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MEMO:  AP 06-03
 

Last Updated: November 15, 2016

DATE: March 9, 2006 

TO: WIB Directors; WIB Chairpersons; Grant Recipients 

FROM:  Carl Buzzelli; WIA Program Manager 

SUBJECT:  WIA Audit Resolution Process

America's Workforce Network

Purpose: The audit resolution process will extend for 120 days consisting of 60 days for the initial resolution process and 60 days for the final resolution process. 

The process will be conducted in the following manner: 

  1. The CTDOL WIA Administration will allow the subrecipient (as defined in Section 660.300 of the Regulations) thirty (30) days to comment upon issuance of the final audit report. 

  2. The subrecipient will respond in writing to the CTDOL WIA Administration on each audit finding with documentation, to substantiate the allowability of disputed questioned or disallowed costs.  The response must be submitted to the Program Manager of  CTDOL WIA Administration. 

  3. The CTDOL WIA Administration will then review the documentation and issue an initial findings and determination letter.  The letter will be issued by the Program Manager of CTDOL WIA Administration within thirty (30) days from the receipt of the subrecipientís response. 

  4. The subrecipient may request an informal hearing to resolve the CTDOL WIA Administrationís findings and determinations.  The request for an informal hearing must be sent to the CTDOL WIA Administration Program Manager within ten (10) days from the receipt of the initial findings and determinations letter.

  5. When the request for an informal hearing is granted, CTDOL WIA Administrative Unit will schedule the hearing in an attempt to resolve the questioned or disallowed costs.  The subrecipient must be prepared to substantiate its position with documentary evidence. 

  6. The hearing and review period begins with the informal hearing and extends to the 120th day from the issuance of the final audit report. 

  7. A written final findings and determination letter will be written by the CTDOL WIA Program Manager, accepting or rejecting the subrecipientís evidence on the disputed questioned or disallowed costs.  This letter will be issued 120 days from the date of issuance of the final audit report and will be based on an evaluation of the available information including:  the subrecipientís response to the final audit report, CTDOL WIA Administrationís initial findings and determinations, the subrecipientís documentary evidence, the information made available through the informal hearing process. 

  8. The final determination will include all debts, sanctions and remedies required, and will specify the corrective action necessary to resolve the audit findings. 

  9. The subrecipient may appeal the CTDOL WIA Administration Program Managerís final determination.  The request for appeal must be sent to CTDOL WIA Administration, Program Manager, Connecticut Department of Labor, 200 Folly Brook Boulevard, Wethersfield, CT 06109, within ten (10) days from the receipt of the final determination letter. 

Effective Date: This policy is effective for all audits of the Workforce Investment Act from the inception of the Act. 

Inquiries:  Questions regarding this policy should be directed to your area liaison.

Administrative Procedures Memos


200 Folly Brook Boulevard, Wethersfield, CT 06109 / Phone: 860-263-6000

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