Finding 1217409 (2021-001)

Material Weakness Repeat Finding
Requirement
E
Questioned Costs
-
Year
2021
Accepted
2026-06-12

AI Summary

  • Core Issue: Four out of twenty-five participant files lacked proper documentation for eligibility.
  • Impacted Requirements: Documentation must be complete and accurate to confirm participant eligibility.
  • Recommended Follow-Up: Create a checklist of required documents and ensure all necessary documentation is obtained and retained in each file.

Finding Text

Condition: Four out of twenty-five participant files tested were either missing documentation or contained inadequate documentation to support the participant's eligibility. Criteria: Proper documentation should be obtained and retained in participants' files to support their eligibility. Cause: The contracted service provider was either not able to obtain necessary documentation or obtained incorrect support documentation regarding eligibility. Effect: There is potential that ineligible participants will be provided services. Recommendation: A list of appropriate documentation to support eligibility should be created and maintained in each file. All attempts should be made to obtain necessary documentation and all support should be retained in the participant's file.

Corrective Action Plan

The Crater Regional Workforce Development Board obtained a waiver beginning in PY24 to service the WIOA Title 1 Program (instead of using an outside service provider as was the case for PY21) which has led to additional internal controls including but not limited to: 1. Streamlining of enrollment to a singular assigned staff who has been trained specifically around enrollment/eligibility criteria. 2. Review of every enrollment by CRWDB leadership staff directly after enrollment to identify and correct any missing information. 3. Audit of every file open during the course of a program year at least 2 times during that PY by staff other than the staff who completed the initial enrollment.

Categories

Eligibility Allowable Costs / Cost Principles

Other Findings in this Audit

  • 1217405 2021-001
    Material Weakness Repeat
  • 1217406 2021-002
    Material Weakness Repeat
  • 1217407 2021-001
    Material Weakness Repeat
  • 1217408 2021-002
    Material Weakness Repeat
  • 1217410 2021-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
17.258 WIOA ADULT PROGRAM $579,162
17.259 WIOA YOUTH ACTIVITIES $510,839
17.278 WIOA DISLOCATED WORKER FORMULA GRANTS $353,474
17.207 EMPLOYMENT SERVICE/WAGNER-PEYSER FUNDED ACTIVITIES $93,375