(a) Roles and responsibilities for all recipients and subrecipients
of funds under WIA title I in general. Each recipient and subrecipient
must conduct regular oversight and monitoring of its WIA activities and
those of its subrecipients and contractors in order to:
(1) Determine that expenditures have been made against the cost
categories and within the cost limitations specified in the Act and
these regulations;
(2) Determine whether or not there is compliance with other
provisions of the Act and these regulations and other applicable laws
and regulations; and
(3) Provide technical assistance as necessary and appropriate.
(b) State roles and responsibilities for grants under WIA sections
127 and 132.
(1) The Governor is responsible for the development of the State
monitoring system. The Governor must be able to demonstrate to the
Department, through a monitoring plan or otherwise, that the State
monitoring system meets the requirements of paragraph (b)(2) of this
section.
(2) The State monitoring system must:
(i) Provide for annual on-site monitoring reviews of local areas'
compliance with DOL uniform administrative requirements, as required by
WIA section 184(a)(4);
(ii) Ensure that established policies to achieve program quality
and outcomes meet the objectives of the Act and these regulations,
including the provision of services by One-Stop Centers, eligible
providers of training services, and eligible providers of youth
activities;
(iii) Enable the Governor to determine if subrecipients and
contractors have demonstrated substantial compliance with WIA
requirements; and
(iv) Enable the Governor to determine whether a local plan will be
disapproved for failure to make acceptable progress in addressing
deficiencies, as required in WIA sec. 118(d)(1).
(3) The State must conduct an annual on-site monitoring review of
each local area's compliance with DOL uniform administrative
requirements, including the appropriate administrative requirements for
subrecipients and the applicable cost principles indicated at
Sec. 667.200 for all entities receiving WIA title I funds.
(4) The Governor must require that prompt corrective action be
taken if any substantial violation of standards identified in
paragraphs (b)(2) or (3) of this section is found. (WIA sec.
184(a)(5).)
(5) The Governor must impose the sanctions provided in WIA sections
184(b) and (c) in the event of a subrecipients's failure to take
required corrective action required under paragraph (b)(4) of this
section.
(6) The Governor may issue additional requirements and instructions
to subrecipients on monitoring activities.
(7) Governor must certify to the Secretary every two years that:
(i) The State has implemented uniform administrative requirements;
(ii) The State has monitored local areas to ensure compliance with
uniform administrative requirements; and
(iii) The State has taken appropriate corrective action to secure
such compliance. (WIA sec. 184(a)(6)(A), (B), and (C).)
