Sec. 404. Reports; recordkeeping; investigations
967 words·~4 min read·
/bill/114/s/3151/is/section-404·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
Recipients of funds under this Act shall keep records that are sufficient to permit the preparation of reports required by this Act and to permit the tracing of funds to a level of expenditure adequate to ensure that the funds have not been spent unlawfully. 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 of worker training services and activities carried out under this Act.
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. In order to allow for the preparation of the reports required under subsection (c), 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.
Except as provided in subparagraph (B), records maintained by such recipients pursuant to this subsection shall be made available to the public upon request. Subparagraph
(A)shall not apply to— information, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; and trade secrets, or commercial or financial information, that is— obtained from a person; and privileged or confidential. Such recipients may charge fees sufficient to recover costs applicable to the processing of requests for records under subparagraph (A). In order to evaluate compliance with the provisions of this Act, the Secretary shall conduct, in several States, in each fiscal year, investigations of the use of funds received by recipients under this Act. In order to ensure compliance with the provisions of this Act, the Comptroller General of the United States may conduct investigations of the use of funds received under this Act by any recipient. In conducting any investigation under this Act, 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. In carrying out any audit under this Act (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. 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. 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. Nothing contained in this Act 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. Each State, local board, and other direct recipient receiving funds under this Act— shall make readily accessible such reports concerning its operations and expenditures as shall be prescribed by the Secretary; 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, crosstabulation, and analysis of programmatic, participant, and financial data, on statewide, local area, and other appropriate bases, necessary for reporting, monitoring, and evaluating purposes; and shall monitor the performance of providers in complying with the terms of grants, contracts, or other agreements made pursuant to this Act. The reports required under subsection
(c)shall include information regarding programs carried out under this Act pertaining to— the relevant demographic characteristics (including race, ethnicity, sex, and age) and other related information regarding participants; the worker training services and activities in which participants are enrolled through the program, and the length of time that participants are engaged in such services and activities; outcomes of the programs and workforce training services and activities for participants, including the occupations of participants, and placement for participants in nontraditional employment; and specified costs of the programs and the workforce training services and activities carried out under the program. The Secretary shall ensure that all elements of the information required for the reports described in paragraph
(1)are defined and reported uniformly. Each State and local board, and each other direct recipient, shall maintain records with respect to worker training services and activities carried out under this Act that identify— any income or profits earned, including such income or profits earned by subrecipients; and any costs incurred (such as stand-in costs) that are otherwise allowable except for funding limitations. Each local board in a State shall submit quarterly financial reports to the Governor with respect to the programs of worker training services and activities. Such reports shall include information identifying all workforce training service or activity costs by cost category in accordance with generally accepted accounting principles and by year of the appropriation involved. Each State shall submit to the Secretary, on a quarterly basis, a summary of the reports submitted to the Governor pursuant to paragraph (1). Each other direct recipient shall submit to the Secretary, on a quarterly basis, a report containing the information required under this subsection. In requiring entities to maintain records of costs by category under this Act, the Secretary shall require only that the costs be categorized as administrative or programmatic costs.