ACTION BULLETINS (PY 2003)
AB - 32 Incident Reporting
AB - # 32
Effective Date: Immediately
ACTION BULLETIN
TO: WIA Program Operators
DATE: October 22, 2003
SUBJECT: INCIDENT REPORTING
Purpose of Bulletin: This Action Bulletin provides procedures for reporting incidents of criminal fraud, criminal abuse or other criminal activity and noncriminal complaints such as mismanagement and gross waste of WIA funds.
Citation(s):
WIA Directive WIAD02-3 dated September 10, 2002
Title 20 Code of Federal Regulations (CFR) Sections 667.505 and 667.630
Policy/Procedure/Definition:
The Alameda County Workforce Investment Board (ACWIB) is required to report all allegations of WIA-related fraud, abuse, and other criminal activity to the Employment Development Department’s Compliance Review Division, and the Department of Labor’s Office of Inspector General. Attachment 1 contains a glossary of terms, which clearly define what constitutes fraud, abuse, and other criminal activity.
The Incident Reporting Document (See Attachment 2) will be used to report incidents of fraud, abuse and criminal activity. This form will be distributed to all WIA Program Operators and be made available for their staff, clients, etc. for incident reporting purposes. The ACWIB will be notified of any suspected or proven incidents of fraud, abuse or other criminal activity involving WIA-funded activities committed by staff, contractors, or program participants. Allegations of fraud, abuse, or other criminal activity in WIA-funded programs may originate from sources other than ACWIB staff, WIA Program Operators, clients, etc. Such sources may include informants, independent auditors, or local law enforcement agencies.
All incident reporting documents will be submitted directly to the ACWIB at the following address:
Alameda County Workforce Investment Board
24100 Amador Street, 6th Floor
Hayward, CA 94544
Phone: (510) 259-3842
Fax: (510) 259-3845
The reporting document must be submitted within one workday (24 hours) of detection or discovery of information alleging fraud, abuse, or other criminal activity involving WIA funds. This immediate action is to prevent further financial loss and hopefully recover WIA funds or property. ACWIB staff is responsible for taking any action it deems appropriate, including contacting the local law enforcement agency when immediate action is required.
ACWIB is responsible for forwarding all incident reports to the following:
Compliance Review Division, MIC 22M
Attention: Compliance Resolution Unit
Employment Development Department
P. O. Box 826880
Sacramento, CA 94280-0001
(916) 653-3270
Office of Inspector General
United States Department of Labor
200 Constitution Avenue, N.W., Room S-5506
Washington, DC 20210
DOL Office of Inspector General
Office of Investigations, Room S5514
200 Constitution Avenue, N.W.
Washington, DC 20210
The ACWIB will forward copies to the Alameda County Board of Supervisors, and will maintain a file of all incident reports received.
Action:
This bulletin is effective immediately. All WIA Program Operators will comply with this requirement.
Information & Inquiries:
For information and inquiries please contact:
Sandra Oubre, Program Financial Specialist
(510) 259-3828
Soubre@co.alameda.ca.us
Attachment(s)
1. Glossary of Terms
2. Incident Report Form
cc: Dorothy Chen
WRS
Attachment 1
Glossary of Terms
The federal definitions that follow are provided for use as a guide in the identification of fraud, abuse, and other criminal activity. Since the definitions cannot address every possible activity, questions as to whether an activity is reportable under this policy should be referred to your ACWIB staff for clarification and guidance.
Fraud is any deceitful act or omission, or willful device used with the intent to obtain some unjust advantage for one party, or to cause an inconvenience or loss to another party. Types of fraud include embezzlement, forgery, theft, solicitation and receipt of bribes (kickbacks), and falsification of records and claims regarding trainees (e.g., knowingly enrolling ineligible participants). Criminal fraud is a type of larceny and is punishable under both federal and California law as a felony. Civil fraud is subject to tort actions under civil laws.
Misapplication of Funds is defined as any use of funds, assets, or property not authorized or provided for in the grant or contract. This category includes, but is not limited to, nepotism, political patronage, use of participants for political activity, intentional services to ineligible enrollees, conflict of interest, failure to report income derived from federal funds, violation of contract provisions, maintenance of effort violations, and the use of the Workforce Investment Act (WIA) funds for other than WIA purposes.
Gross Mismanagement is defined as actions, or situations arising out of management ineptitude or oversight, which lead to a major violation of contract provisions and/or which severely hamper accomplishment of program goals. These include situations, which lead to waste of government resources and put into serious jeopardy future support for a particular project. This category includes, but is not limited to, unauditable records, unsupported costs, highly inaccurate fiscal and/or program reports, payroll discrepancies, payroll deductions not paid to the Internal Revenue Service or the State of California, and the lack of internal control procedures.
Employee/Participant Misconduct should be considered as actions occurring during or outside work hours, that reflect negatively on the program or its purpose, and may include, but are not limited to, conflict of interest involving outside employment, business and professional activities, and the receipt or giving of gifts, fees, entertainment, and favors; misuse of federal property; misuse of official information; and other activities that might adversely affect the confidence of the public regarding the integrity of government.
Standard of Conduct Violations are violations of terms and conditions stipulated in the subgrant agreement. The relevant stipulations in the subgrant agreement are General Assurances, Employment of Former State Employees, Conducting Business Involving Relatives, Conducting Business Involving Close Personal Friends and Associates, Avoidance of Conflict of Economic Interest, and Maintenance of Effort.
Attachment 2
ALAMEDA COUNTY WORKFORCE INVESTMENT BOARD
INCIDENT REPORT
1. ACWIB Staff receiving report: _________________________________________________2. Date report forwarded to CRD: _________________________________________________
4. Type of Report (check one)p Initial p Supplementalp Finalp Other [specify] 5. Type of incident (check one)p Conduct violationp Criminal violationp Program violation
6. Allegation against (check one)p Contractorp Program Participantp Other [(specify), give name and position of employee(s), list telephone number, Social Security account number, if applicable, and other identifying data.]
7. Location of incident [give complete name(s) and addresses of organization(s) involved]
8. Date and time of incident/discovery [date, time]
9. Source of complaint (check one)p Audit p Contractor p Program Participant p Publicp Investigative Law Enforcement Agency [(specify)]p Other [(specify)], give name and telephone number so additional information can be obtained.]
10. Contacts with law enforcement agencies [specify name(s) and agency contacted and results]
11. Persons who can provide additional information [(include custodian of records) name, position or job title, employment, local address (street, city and state) or organization, if employed and telephone number]
12. Details of incident [describe the incident (use additional sheets of paper if necessary)]
Please forward copies of this document to: Alameda County Workforce Investment Board, 24100 Amador Street, 6th Floor, Hayward, CA 94544; Alameda County Board of Supervisors, 1221 Oak Street, Suite 536, Oakland, CA 94612; Compliance Review Division, MIC 22M, Attention: Compliance Resolution Unit, Employee Development Department, P.O. Box 826880, Sacramento, CA 94280-0001
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