(1)
Contracts. Upon selection of a proposal for funding, the DWD
will issue a contract to the fiscal agent of the appropriate coordinating
service provider. These rules and applicable federal and state laws and
regulations become a part of the contract by reference.
(2)
Record keeping and
retention. Financial records, supporting documents, statistical
records, and all other records pertinent to the program shall be retained by
the grant recipient in accordance with the following:
a. Records for any project shall be retained
for three years after final closeout and audit procedures are completed and
accepted by DWD;
b. Representatives
of the state auditor's office and DWD shall have access to all books, accounts,
documents, records and other property belonging to or in use by a grant
recipient pertaining to the receipt of funds under these rules.
(3)
Data collection and
reporting requirements. Grants recipients shall collect, maintain and
report to DWD participant characteristic information, activity and service
levels, participant status at termination, program outcomes and expenditures as
prescribed in the contract. The reports will assess the use of funds in
accordance with program objectives, the progress of program activities, and
compliance with program requirements.
(4)
Monitoring. DWD may
perform any review or field inspections it deems necessary to ensure program
compliance.
a. The grant recipient must make
available all of its records pertaining to all matters related to this program
and shall permit DWD to utilize, monitor, examine, make excerpts or transcripts
from such records, contracts, invoices, payrolls, personnel records, conditions
of employment, the management information system, and other data and records
related to all other matters covered by this program.
b. When problems of compliance are noted, DWD
may require corrective action to be taken. Failure to respond to corrective
action notifications may result in the implementation of 11.9(5).
(5)
Remedies for
noncompliance. At any time before project closeout, DWD may, for
cause, find that a grant recipient is not in compliance with the requirements
under this program. At DWD's discretion, remedies for noncompliance may include
the following:
a. Issue a warning letter that
further failure to comply with program requirements within a stated period of
time will result in a more serious sanction.
b. Condition a future grant.
c. Direct the grant recipient to stop the
incurring of costs with grant amounts.
d. Require that some or all of the grant
amounts be remitted to the state.
e. Reduce the level of funds the recipient
would otherwise be entitled to receive.
f. Elect not to provide future WFIP funds to
the recipient until appropriate actions are taken to ensure compliance.
Reasons for a finding of noncompliance include, but are not
limited to: the grant recipient's use of program funds for activities not
described in its application, the grant recipient's failure to complete
approved activities in a timely manner, the grant recipient's failure to comply
with the contract or any applicable state or federal rules or regulations, or
the lack of continuing capacity by the grant recipient to carry out the
approved project in a timely manner.
