20 C.F.R. Subpart C—Program Planning, Application and Modification Procedures
Title 20 - Employees' Benefits
(a) Each Native American grantee shall establish a planning process for the development of its Master Plan and Comprehensive Annual Plan. This planning process shall involve consideration of the need for job training and employment services, appropriate means of providing needed services and methods of monitoring and assessing the services provided. Recognizing the importance of employer involvement in designing and implementing programs, each Native American grantee shall involve employers in program planning. (b) (1) Each Native American grantee's planning process shall involve consultation with major employers or organizations representing employers inside the grantee's designated service or surrounding labor market area. Such consultation shall include consideration of the opportunities for placement of program participants and the design of training activities and related services. (2) A description of the procedures used for this consultation shall be included in the grantee's Master Plan. The results of the consultation shall be described in the grantee's Comprehensive Annual Plan. (3) Native American grantees are encouraged to establish or to use existing formal advisory councils, such as Private Industry Councils, as vehicles for such consultation. Grantees are also encouraged to use all appropriate mechanisms, including Tribal Employment Rights Offices (TEROs), to insure maximum opportunity for the placement of participants in unsubsidized employment. (4) A Native American grantee will not be held responsible for the refusal of any employer or organization representing employers to engage in the consultation process described in this section. (c) In addition to the requirement in paragraph (b) of this section, the planning process shall provide the opportunity for the involvement of the client community, service providers (such as appropriate community-based organizations) and educational agencies, tribal agencies or other Indian and Native American organizations whose programs are relevant to the provision of job training services within the grantee's service area. Grant funds may be used for holding regional and national planning meetings, subject to restrictions of allowable costs. The basic document will be a four year Master Plan which will be supplemented each fiscal year by submission and approval of a Comprehensive Annual Plan (CAP). The Master Plan and CAP system will be implemented for 1985 or the first designation period following the FY 1984 designations. Each designated grantee will be informed of and provided the necessary documents and requirements in sufficient time to complete grant actions without interrupting services to participants. (a) Beginning with 1985 or the first designation period after 1984, a Master Plan must be submitted by a date and pursuant to instructions issued by the Department. The approved Master Plan will remain in effect for four years unless terminated. During the fourth year of the Master Plan a new Master Plan must be submitted by a date and pursuant to instructions issued by the Department. (b) Each year a completed CAP is to be submitted for approval by registered mail to the Chief, DINAP by a date and pursuant to instructions announced by the Department. The CAP will be approved by DINAP if it is consistent with the basic provisions or the Master Plan and applicable regulations and formal directives. (a) A CAP shall be disapproved by the Grant Officer if it fails to meet the requirements of the Act or the regulations. (b) No CAP shall be finally disapproved until the designated Native American grantee is provided with a description by the Chief, DINAP in writing of the CAP's defects and has been provided with at least 30 days to remedy such defect(s), but has failed to do so. (c) When a CAP is finally disapproved a notice of disapproval shall be transmitted by certified mail, return receipt requested, to the applicant, accompanied by a statement of the grounds of the disapproval and a statement that the applicant may file a Petition for Reconsideration with respect to the disapproval. (a) The requirements for modifying a Master Plan and/or CAP will be included in administrative instructions issued by the Grant Officer upon final implementation of the Master Plan/CAP system. (b) Prior to implementing the Master Plan/CAP system, a formal modification will be required when: (1) There is a change of at least 25 percent or $25,000 (whichever is greater) in any cost category; or (2) There is a change of at least 25 percent or 25 individuals (whichever is greater) in the number of individuals to be served in any category of program activity. (c) The documentation to be submitted to the DINAP Federal Representative requesting such a modification shall consist of a letter explaining the need for the change and four copies of the proposed modification. (d) The Grant Officer should notify the Native American grantee of tentative approval or disapproval within 10 calendar days of receipt of the proposed modifications. The Grant Officer should notify the Native American grantee in writing of final approval or disapproval within 30 calendar days of the receipt of the proposed modification. (e) A Native American grantee may make any change in its Program Planning Summary and Budget Information Summary without prior approval, except as provided in this section. (f) Native American grantees shall notify DINAP by submitting a modification whenever there is a change in a name, address, or other similar information. (g) The Department will unilaterally modify a grant when a simple funding or performance period increase is required and it is consistent with the approved plan.
Title 20: Employees' Benefits
PART 632—INDIAN AND NATIVE AMERICAN EMPLOYMENT AND TRAINING PROGRAMS
Subpart C—Program Planning, Application and Modification Procedures
§ 632.17 Planning process.
§ 632.18 Regional and national planning meetings.
§ 632.19 Grant application content.
§ 632.20 Submission of grant application.
§ 632.21 Application disapproval.
§ 632.22 Modification of a Comprehensive Annual Plan (CAP) and/or Master Plan.
§ 632.23 Termination and corrective action of a CAP and/or Master Plan.
(a) Emergency Termination. The Department may terminate or suspend a CAP designation or Master Plan under emergency termination procedures in accordance with section 164(f) of the Act. The provisions in part 636 shall not apply in instances of emergency termination.
(1) Instances under which emergency termination can occur include but are not limited to: Audit reports identifying numerous adverse findings in the area of financial control and management; information gathered through onsite monitoring which substantiates serious management, fiscal and/or performance problems, information from the Inspector General or gained through incident reports of poor performance, serious administrative problems and/or inability to protect and account for Federal funds.
(2) Within 30 days of written termination notification to a grantee, the Department will secure applicable documents onsite, seize bank accounts relating to the program, arrange for the payment of legitimate bills and debts and arrange, to the degree feasible, for the continued provision of services to program enrollees.
(b) Termination for Cause. Termination for cause can occur whenever there is a substantial or persistent violation of the governing rules and regulations or failure to comply with the grant terms and conditions. The following factors will be considered for termination:
(1) Poor performance and inability to meet Federal standards related to such debt collection requirements as:
(i) Failure to respond to demand letters from DOL for repayment of debts within the stated timeframe;
(ii) Failure to comply with an approved repayment agreement revealed through monitoring or subsequent audit;
(iii) Failure to take necessary corrective action to improve underperformance and to plan for more effective subsequent operations.
(2) Nonperformance related to such requirements as:
(i) Failure to submit required quarterly financial reports for two successive periods within 45 days after they are due;
(ii) Failure to submit required quarterly performance reports for two successive periods within 45 days after they are due;
(iii) Failure to develop a plan of action to correct deficiencies identified in an audit report or by an onsite monitoring review.
(3) Nonperformance related to such requirements as:
(i) Failure to comply with formal corrective action after due notice;
(ii) Failure to comply with the requirements of the Act related to a grievance procedure and other requirements;
(iii) Failure to submit a required modification within 10 days to adjust the grant award due to reduction in available funds, reductions due to debt collection action, etc.
(c) In addition, the Department, by written notice, may terminate a grant in whole or in part in the event of a reduction in the funds available or a change in provisions for JTPA title IV, section 401 programs by reason of congressional action.
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