Career Dislocated Workers Grant Guide

CHAPTER 8 - AUDITING AND PROGRAM MONITORING

By accepting grant funds from the USDOL Employment and Training Administration (ETA), GuilfordWorks has agreed, as a condition of the award, to participate in an evaluation by DOL, should this organization be selected for that purpose. Such evaluations may be carried out by an independent external evaluator selected by DOL. GuilfordWorks has accepted a total federal award amount of more than $750,000. Grantees that expend more than this amount are subject to a single audit or program-specific audit. 2 CFR 200.502 - Basis for Determining Federal Awards Expended identifies what is counted as expended . Single audits are conducted by an independent, non-Federal auditor in accordance with 2 CFR 200.514 Scope of Audit. Program- specific audits may occur when the program’s statutes, regulations, and terms of the federal award do not require a financial statement audit of the grantee, in accordance with 2 CFR 200.507. Evaluations conducted locally and by ETA will require the sharing of collected data records, such as data on participants, employers, funding, and outcomes. Records about enrollment and training courses must be maintained at a participant level. Staff must maintain personally identifiable participant information in secure conditions. DOL reserves the right to make publicly available the aggregate data and results collected from the CAREER NDWG program. Select GuilfordWorks staff will be involved in the regular monitoring of CAREER NDWG program activities, data entry, PIRL testing, financial desk reviews, and team member interviews. 1. Notification: The Program Coordinator will be notified at least one week prior to the scheduled monitoring review or as soon as practicable. Notification of the monitoring review will include identification of what subject area(s)are to be reviewed, whether participant(s), employer or staff interviews will be required, what files will be required and documentation that will be needed. Notification will be provided via e-mail. 2. Desk Review: The Monitor will review contract requirements/internal policies, reports (programmatic & fiscal); correspondence between the Program Coordinator, Career Navigators, Resource Navigators, and Skills Facilitator; and review MIS information prior to beginning each review. 3. Sampling: Random sampling in 20% intervals and data validation techniques may be used to review PIRL records. The review may include a small percentage of records or if problems are identified a full review of all records will be warranted. 4. Entrance and Exit Conferences: A monitoring entrance conference and exit conference will be held with appropriate staff each review conducted. 5. Working Papers: The Monitor’s working review papers shall be established and maintained as part of the official monitoring file. 6. Report: Upon completion of all stages of the review, the monitor shall produce a written report that includes the scope of the review, any finding(s) along with recommendations for corrective action needed to resolve finding(s) and a response due date. The report will be reviewed by the GuilfordWorks Executive Director. 7. Resolution or Completion: The monitoring review is completed or resolved if corrective action is not required. 8. Report(s) Needing Corrective Action: The Program Coordinator will have five (5) working days from receipt of the monitoring report to respond in writing a corrective action plan. The corrective 8.1 TIMEFRAMES AND SEQUENCE FOR PROGRAM MONITORING

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