Finding Text
2024-002 INSUFFICIENT WIOA ELIGIBILITY DOCUMENTATION
Federal Agency: U.S. Department of Labor
Federal Program and Assistance Listing Number: 17.265
Type of Finding: Significant Deficiency, Non-compliance
Compliance Area: Eligibility
Award Period: National Employment and Training (07/01/2022-06/30/2025)
National Employment and Training (06/01/2023-06/30/2026)
Questioned Costs: None
Condition:
1 out of 40 sampled applications lacked sufficient documentation to support eligibility under WIOA Section 166. Specifically, the file was missing verification of tribal affiliation, proof of residency, and documentation of public assistance status.
Criteria:
Per 2 CFR §200.303 and §200.430, recipients of federal funds must establish and maintain effective internal controls to ensure compliance with federal statutes, regulations, and the terms and conditions of the award. The NIYC-WIOA Policy Manual requires that eligibility determinations be supported by verifiable documentation, including tribal enrollment records, residency verification, and evidence of low-income or public assistance status.
Effect:
Failure to maintain complete eligibility documentation may result in noncompliance with federal program requirements, potential disallowed costs, and increased risk of audit findings or funding claw backs.
Cause:
The missing documentation was attributed to a participant file being misplaced during a staff transition, indicating a lack of centralized and secure file management protocols.