§ 2935. — Reports; recordkeeping; investigations.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 29USC2935]
TITLE 29--LABOR
CHAPTER 30--WORKFORCE INVESTMENT SYSTEMS
SUBCHAPTER V--ADMINISTRATION
Sec. 2935. Reports; recordkeeping; investigations
(a) Reports
(1) In general
Recipients of funds under this chapter shall keep records that
are sufficient to permit the preparation of reports required by this
chapter and to permit the tracing of funds to a level of expenditure
adequate to ensure that the funds have not been spent unlawfully.
(2) Submission to the Secretary
Every such recipient shall maintain such records and submit such
reports, in such form and containing such information, as the
Secretary may require regarding the performance of programs and
activities carried out under this chapter. Such records and reports
shall be submitted to the Secretary but shall not be required to be
submitted more than once each quarter unless specifically requested
by Congress or a committee of Congress, in which case an estimate
may be provided.
(3) Maintenance of standardized records
In order to allow for the preparation of the reports required
under subsection (c) of this section, such recipients shall maintain
standardized records for all individual participants and provide to
the Secretary a sufficient number of such records to provide for an
adequate analysis of the records.
(4) Availability to the public
(A) In general
Except as provided in subparagraph (B), records maintained
by such recipients pursuant to this subsection shall be made
available to the public upon request.
(B) Exception
Subparagraph (A) shall not apply to--
(i) information, the disclosure of which would
constitute a clearly unwarranted invasion of personal
privacy; and
(ii) trade secrets, or commercial or financial
information, that is obtained from a person and privileged
or confidential.
(C) Fees to recover costs
Such recipients may charge fees sufficient to recover costs
applicable to the processing of requests for records under
subparagraph (A).
(b) Investigations of use of funds
(1) In general
(A) Secretary
In order to evaluate compliance with the provisions of this
chapter, the Secretary shall conduct, in several States, in each
fiscal year, investigations of the use of funds received by
recipients under this chapter.
(B) Comptroller General of the United States
In order to ensure compliance with the provisions of this
chapter, the Comptroller General of the United States may
conduct investigations of the use of funds received under this
chapter by any recipient.
(2) Prohibition
In conducting any investigation under this chapter, the
Secretary or the Comptroller General of the United States may not
request the compilation of any information that the recipient is not
otherwise required to compile and that is not readily available to
such recipient.
(3) Audits
(A) In general
In carrying out any audit under this chapter (other than any
initial audit survey or any audit investigating possible
criminal or fraudulent conduct), either directly or through
grant or contract, the Secretary, the Inspector General of the
Department of Labor, or the Comptroller General of the United
States shall furnish to the State, recipient, or other entity to
be audited, advance notification of the overall objectives and
purposes of the audit, and any extensive recordkeeping or data
requirements to be met, not later than 14 days (or as soon as
practicable), prior to the commencement of the audit.
(B) Notification requirement
If the scope, objectives, or purposes of the audit change
substantially during the course of the audit, the entity being
audited shall be notified of the change as soon as practicable.
(C) Additional requirement
The reports on the results of such audits shall cite the
law, regulation, policy, or other criteria applicable to any
finding contained in the reports.
(D) Rule of construction
Nothing contained in this chapter shall be construed so as
to be inconsistent with the Inspector General Act of 1978 (5
U.S.C. App.) or government auditing standards issued by the
Comptroller General of the United States.
(c) Accessibility of reports
Each State, each local board, and each recipient (other than a
subrecipient, subgrantee, or contractor of a recipient) receiving funds
under this chapter--
(1) shall make readily accessible such reports concerning its
operations and expenditures as shall be prescribed by the Secretary;
(2) shall prescribe and maintain comparable management
information systems, in accordance with guidelines that shall be
prescribed by the Secretary, designed to facilitate the uniform
compilation, cross tabulation, and analysis of programmatic,
participant, and financial data, on statewide, local area, and other
appropriate bases, necessary for reporting, monitoring, and
evaluating purposes, including data necessary to comply with section
2938 of this title; and
(3) shall monitor the performance of providers in complying with
the terms of grants, contracts, or other agreements made pursuant to
this chapter.
(d) Information to be included in reports
(1) In general
The reports required in subsection (c) of this section shall
include information regarding programs and activities carried out
under this chapter pertaining to--
(A) the relevant demographic characteristics (including
race, ethnicity, sex, and age) and other related information
regarding participants;
(B) the programs and activities in which participants are
enrolled, and the length of time that participants are engaged
in such programs and activities;
(C) outcomes of the programs and activities for
participants, including the occupations of participants, and
placement for participants in nontraditional employment;
(D) specified costs of the programs and activities; and
(E) information necessary to prepare reports to comply with
section 2938 of this title.
(2) Additional requirement
The Secretary shall ensure that all elements of the information
required for the reports described in paragraph (1) are defined and
reported uniformly.
(e) Quarterly financial reports
(1) In general
Each local board in the State shall submit quarterly financial
reports to the Governor with respect to programs and activities
carried out under this chapter. Such reports shall include
information identifying all program and activity costs by cost
category in accordance with generally accepted accounting principles
and by year of the appropriation involved.
(2) Additional requirement
Each State shall submit to the Secretary, on a quarterly basis,
a summary of the reports submitted to the Governor pursuant to
paragraph (1).
(f) Maintenance of additional records
Each State and local board shall maintain records with respect to
programs and activities carried out under this chapter that identify--
(1) any income or profits earned, including such income or
profits earned by subrecipients; and
(2) any costs incurred (such as stand-in costs) that are
otherwise allowable except for funding limitations.
(g) Cost categories
In requiring entities to maintain records of costs by category under
this chapter, the Secretary shall require only that the costs be
categorized as administrative or programmatic costs.
(Pub. L. 105-220, title I, Sec. 185, Aug. 7, 1998, 112 Stat. 1046.)
References in Text
The Inspector General Act of 1978, referred to in subsec. (b)(3)(D),
is Pub. L. 95-452, Oct. 12, 1978, 92 Stat. 1101, as amended, which is
set out in the Appendix to Title 5, Government Organization and
Employees.
Prior Provisions
Provisions similar to this section were contained in section 1575 of
this title prior to repeal by Pub. L. 105-220.
