Finding Text
Eligibility Criteria – The Uniform Guidance, Part 200.303, requires the Local Workforce Development Area establish and maintain effective internal control over the federal award which provides reasonable assurance the Local Workforce Development Area is managing the federal award in compliance with federal statutes, regulations and the terms of the federal award. In addition, WIOA details criteria individuals must meet in order to be eligible for the WIOA program. Condition – Three cases were identified that did not contain signed applications documenting eligibility approval. In addition, two cases were identified that did not contain supporting documentation for eligibility determination. Cause – The Local Workforce Development Area policies do not require and procedures have not been established to require all documentation for eligibility determination, including signed applications, are included in case files. Effect – The lack of supporting documentation for eligibility determination could result in disbursements being made to ineligible individuals or for unallowable costs or activities. Recommendation – The Local Workforce Development Area should obtain, review and retain documentation to support eligibility determinations to ensure disbursements are made to eligible individuals for allowable costs or activities and are in compliance with requirements of the Uniform Guidance and the WIOA program. Response and Corrective Action Planned – The Northeast Iowa Workforce Development Area acknowledges the finding. Since the period under review, a new Title I service provider has been implemented, and multiple corrective measures have been established to strengthen eligibility determination and documentation. Eligibility checklists and standardized enrollment packets are now required for each program. In addition, the new service provider has instituted a quality assurance process, with two directors conducting case file reviews across the local area. The NEIWDB has hired a compliance specialist to provide oversight, including ongoing, quarterly, and annual monitoring of eligibility and documentation. Title I staff utilize IowaWORKS reports and alerts to support compliance, and regular monthly technical assistance sessions, statewide trainings, and structured onboarding were provided to the new service provider. These measures were implemented beginning July 1, 2024 and are ongoing. The compliance specialist will report monitoring results to the NEIWDB to ensure accountability and corrective follow-up where needed. The Northeast Iowa Local Area believe these actions fully address the issue and will prevent recurrence in future program years. Conclusion – Response accepted.