29 U.S.C. § 3245 — Reports; recordkeeping; investigations

Page 939 TITLE 29—LABOR § 3245 dence of a violation of this subchapter, in- cluding regulations issued under this sub- chapter, by such subgrantee or contractor. (3) Waiver If the Secretary determines that the recipi- ent has demonstrated substantial compliance with the requirements of paragraph (2), the Secretary may waive the imposition of sanc- tions authorized by this section upon such re- cipient. The Secretary is authorized to impose any sanction consistent with the provisions of this subchapter and with any applicable Fed- eral or State law directly against any sub- grantee or contractor for violation of this sub- chapter, including regulations issued under this subchapter. (e) Immediate termination or suspension of as- sistance in emergency situations In emergency situations, if the Secretary de- termines it is necessary to protect the integrity of the funds or ensure the proper operation of the program or activity involved, the Secretary may immediately terminate or suspend finan- cial assistance, in whole or in part, to the recipi- ent if the recipient is given prompt notice and the opportunity for a subsequent hearing within 30 days after such termination or suspension. The Secretary shall not delegate any of the functions or authority specified in this sub- section, other than to an officer whose appoint- ment is required to be made by and with the ad- vice and consent of the Senate. (f) Discrimination against participants If the Secretary determines that any recipient under this subchapter has discharged or in any other manner discriminated against a partici- pant or against any individual in connection with the administration of the program in- volved, or against any individual because such individual has filed any complaint or instituted or caused to be instituted any proceeding under or related to this subchapter, or has testified or is about to testify in any such proceeding or an investigation under or related to this sub- chapter, or otherwise unlawfully denied to any individual a benefit to which that individual is entitled under the provisions of this subchapter, including regulations issued under this sub- chapter, the Secretary shall, within 30 days, take such action or order such corrective meas- ures, as necessary, with respect to the recipient or the aggrieved individual, or both. (g) Remedies The remedies described in this section shall not be considered to be the exclusive remedies available for violations described in this section. (Pub. L. 113–128, title I, § 184, July 22, 2014, 128 Stat. 1590.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective on the first day of the first full pro- gram year after July 22, 2014 (July 1, 2015), see section 506 of Pub. L. 113–128, set out as a note under section 3101 of this title. § 3245. Reports; recordkeeping; investigations (a) Recipient recordkeeping and reports (1) In general Recipients of funds under this subchapter shall keep records that are sufficient to per- mit the preparation of reports required by this subchapter and to permit the tracing of funds to a level of expenditure adequate to ensure that the funds have not been spent unlawfully. (2) Records and reports regarding general per- formance Every such recipient shall maintain such records and submit such reports, in such form and containing such information, as the Sec- retary may require regarding the performance of programs and activities carried out under this subchapter. 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 regarding such infor- mation may be provided. (3) Maintenance of standardized records In order to allow for the preparation of the reports required under subsection (c), such re- cipients 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 pursu- ant to this subsection shall be made avail- able to the public upon request. (B) Exception Subparagraph (A) shall not apply to— (i) information, the disclosure of which would constitute a clearly unwarranted in- vasion of personal privacy; and (ii) trade secrets, or commercial or fi- nancial information, that is— (I) obtained from a person; and (II) 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 subchapter, the Secretary shall conduct, in several States, in each fis- cal year, investigations of the use of funds received by recipients under this subchapter. (B) Comptroller general of the United States In order to ensure compliance with the provisions of this subchapter, the Comp- troller General of the United States may conduct investigations of the use of funds re- Page 940 TITLE 29—LABOR § 3245 ceived under this subchapter by any recipi- ent. (2) Prohibition In conducting any investigation under this subchapter, 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 re- cipient. (3) Audits (A) In general In carrying out any audit under this sub- 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, re- cipient, or other entity to be audited, ad- vance 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 prac- ticable. (C) Additional requirement The reports on the results of such audits shall cite the law, regulation, policy, or other criteria applicable to any finding con- tained in the reports. (D) Rule of construction Nothing contained in this subchapter shall be construed so as to be inconsistent with chapter 4 of title 5 or government auditing standards issued by the Comptroller General of the United States. (c) Grantee information responsibilities Each State, each local board, and each recipi- ent (other than a subrecipient, subgrantee, or contractor of a recipient) receiving funds under this subchapter— (1) shall make readily accessible such re- ports concerning its operations and expendi- tures as shall be prescribed by the Secretary; (2) shall prescribe and maintain comparable management information systems, in accord- ance with guidelines that shall be prescribed by the Secretary, designed to facilitate the uniform compilation, cross tabulation, and analysis of programmatic, participant, and fi- nancial data, on statewide, local area, and other appropriate bases, necessary for report- ing, monitoring, and evaluating purposes, in- cluding data necessary to comply with section 3248 of this title; (3) shall monitor the performance of pro- viders in complying with the terms of grants, contracts, or other agreements made pursuant to this subchapter; and (4) shall, to the extent practicable, submit or make available (including through electronic means) any reports, records, plans, or any other data that are required to be submitted or made available, respectively, under this subchapter. (d) Information to be included in reports (1) In general The reports required in subsection (c) shall include information regarding programs and activities carried out under this subchapter pertaining to— (A) the relevant demographic characteris- tics (including race, ethnicity, sex, and age) and other related information regarding par- ticipants; (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 activi- ties for participants, including the occupa- tions of participants, and placement for par- ticipants in nontraditional employment; (D) specified costs of the programs and ac- tivities; and (E) information necessary to prepare re- ports to comply with section 3248 of this title. (2) Additional requirement The Secretary shall ensure that all elements of the information required for the reports de- scribed in paragraph (1) are defined and that the information is reported uniformly. (e) Quarterly financial reports (1) In general Each local board in a State shall submit quarterly financial reports to the Governor with respect to programs and activities car- ried out under this subchapter. Such reports shall include information identifying all pro- gram and activity costs by cost category in accordance with generally accepted account- ing principles and by year of the appropriation involved. (2) Additional requirement Each State shall submit to the Secretary, and the Secretary shall submit to the Com- mittee on Health, Education, Labor, and Pen- sions of the Senate and the Committee on Education and the Workforce of the House of Representatives, on a quarterly basis, a sum- mary 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 subchapter that identify— (1) any income or profits earned, including such income or profits earned by subrecipi- ents; 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 cost category under this subchapter, Page 941 TITLE 29—LABOR § 3248 the Secretary shall require only that the costs be categorized as administrative or pro- grammatic costs. (Pub. L. 113–128, title I, § 185, July 22, 2014, 128 Stat. 1594; Pub. L. 117–286, § 4(b)(48), Dec. 27, 2022, 136 Stat. 4348.) Editorial Notes AMENDMENTS 2022—Subsec. (b)(3)(D). Pub. L. 117–286 substituted ‘‘chapter 4 of title 5’’ for ‘‘the Inspector General Act of 1978 (5 U.S.C. App.)’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective on the first day of the first full pro- gram year after July 22, 2014 (July 1, 2015), see section 506 of Pub. L. 113–128, set out as a note under section 3101 of this title. § 3246. Administrative adjudication (a) In general Whenever any applicant for financial assist- ance under this subchapter is dissatisfied be- cause the Secretary has made a determination not to award financial assistance in whole or in part to such applicant, the applicant may re- quest a hearing before an administrative law judge of the Department of Labor. A similar hearing may also be requested by any recipient for whom a corrective action has been required or a sanction has been imposed by the Secretary under section 3244 of this title. (b) Appeal The decision of the administrative law judge shall constitute final action by the Secretary unless, within 20 days after receipt of the deci- sion of the administrative law judge, a party dissatisfied with the decision or any part of the decision has filed exceptions with the Secretary specifically identifying the procedure, fact, law, or policy to which exception is taken. Any ex- ception not specifically urged during the 20-day period shall be deemed to have been waived. After the 20-day period the decision of the ad- ministrative law judge shall become the final decision of the Secretary unless the Secretary, within 30 days after such filing, notifies the par- ties that the case involved has been accepted for review. (c) Time limit Any case accepted for review by the Secretary under subsection (b) shall be decided within 180 days after such acceptance. If the case is not de- cided within the 180-day period, the decision of the administrative law judge shall become the final decision of the Secretary at the end of the 180-day period. (d) Additional requirement The provisions of section 3247 of this title shall apply to any final action of the Secretary under this section. (Pub. L. 113–128, title I, § 186, July 22, 2014, 128 Stat. 1596.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective on the first day of the first full pro- gram year after July 22, 2014 (July 1, 2015), see section 506 of Pub. L. 113–128, set out as a note under section 3101 of this title. § 3247. Judicial review (a) Review (1) Petition With respect to any final order by the Sec- retary under section 3246 of this title by which the Secretary awards, declines to award, or only conditionally awards, financial assist- ance under this subchapter, or any final order of the Secretary under section 3246 of this title with respect to a corrective action or sanction imposed under section 3244 of this title, any party to a proceeding that resulted in such final order may obtain review of such final order in the United States Court of Appeals having jurisdiction over the applicant for or recipient of the funds involved, by filing a re- view petition within 30 days after the date of issuance of such final order. (2) Action on petition The clerk of the court shall transmit a copy of the review petition to the Secretary, who shall file the record on which the final order was entered as provided in section 2112 of title 28. The filing of a review petition shall not stay the order of the Secretary, unless the court orders a stay. Petitions filed under this subsection shall be heard expeditiously, if pos- sible within 10 days after the date of filing of a reply to the petition. (3) Standard and scope of review No objection to the order of the Secretary shall be considered by the court unless the ob- jection was specifically urged, in a timely manner, before the Secretary. The review shall be limited to questions of law and the findings of fact of the Secretary shall be con- clusive if supported by substantial evidence. (b) Judgment The court shall have jurisdiction to make and enter a decree affirming, modifying, or setting aside the order of the Secretary in whole or in part. The judgment of the court regarding the order shall be final, subject to certiorari review by the Supreme Court as provided in section 1254(1) of title 28. (Pub. L. 113–128, title I, § 187, July 22, 2014, 128 Stat. 1597.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective on the first day of the first full pro- gram year after July 22, 2014 (July 1, 2015), see section 506 of Pub. L. 113–128, set out as a note under section 3101 of this title. § 3248. Nondiscrimination (a) In general (1) Federal financial assistance For the purpose of applying the prohibitions against discrimination on the basis of age