
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 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.
