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(A) the methods and institutional arrangements which will be used to involve community based organizations, educational agencies, and other deliverers of services in the development and implementation of the programs assisted under this chapter; and

(B) the methods and criteria which will be used to select such deliverers of services from an inventory of potentially available deliverers of services (which have expressed an interest in writing) maintained by the prime sponsor as records accessible to the public;

(4) include a detailed description of—

(A) the prime sponsor's administrative arrangements, including the procedures to be used to supervise deliverers of service (including criteria for determining that a program has demonstrated effectiveness), to select and to place individuals on the administrative staff, to evaluate and audit the operation of such programs, and to process complaints and grievances;

(B) the methods to be used to identify and place participants in such programs, the arrangements made with respect to providing such participants with job search assistance, counseling, and other services; and

(C) the procedures for the selection of and the arrangements made with respect to consultation with the prime sponsor planning council, the youth council, and the private industry council;

(5) include a description of arrangements to ensure that

(A) employment and training services, including the development of job opportunities, will be provided to those most in need of them, including low-income persons, handicapped individuals, persons facing barriers to employment commonly experienced by older workers, and persons of limited English-speaking ability, and that the need for continued funding of programs of demonstrated effectiveness is taken into account in serving such groups and persons;

(B) nondiscrimination and equal employment opportunities are provided; and

(C) procedures are developed which will lead to skill development and job opportunities for participants in occupations traditionally limited to individuals of the opposite sex;

(6) provide a description of appropriate arrangements with educational agencies serving youth, community-based organizations serving the poverty community which are not represented on the prime sponsor planning council, and other special target groups, for their participation in the planning of programs included in the plan;

(7) provide for utilizing those services and facilities which are available, with or without reimbursement, from Federal, State, and local agencies to the extent deemed appropriate by the prime sponsor after giving due consideration to the effectiveness of such existing services and facilities, including the State employment service, State vocational education and

vocational rehabilitation agencies, State public assistance agencies, area skills centers, local educational agencies, postsecondary training and education institutions, community action agencies, other public agencies and community-based organizations, but nothing contained herein shall be construed to limit the utilization of services and facilities of private agencies, institutions, and organizations (such as private businesses, labor organizations, and private educational and vocational institutions) which can, at comparable cost, provide substantially equivalent training or services;

(8) provide (A) a description of arrangements for (i) the use of skills centers established under section 2601 of title 42, and (ii) the use of other public vocational education facilities in such area; (B) a description of arrangements to coordinate services for which financial assistance is provided under programs administered by the Secretary relating to employment and training and related services; and (C) a description of arrangements to promote maximum feasible use of apprenticeship or other on-the-job training opportunities available under section 1787 of title 38;

(9) provide for and include a description of arrangements made to ensure the participation of and consultation with local educational agencies, vocational education agencies, community-based organizations, Federal and State agencies, organized labor, business, and other institutions and organizations in the conduct of programs under this chapter;

(10) include a description of procedures for the consideration of any changes in the agreement required by this subsection or in the annual plan required under subsection (b) of this section, including review of such changes by the prime sponsor planning council;

(11) include a detailed description of recordkeeping procedures (including books of account) for the expenditure of funds received under this chapter which will allow the Secretary to audit and monitor the prime sponsor's programs, and will assure adequate supervision and monitoring of such programs by the prime sponsor, particularly with respect to the eligibility of participants and the propriety of participant selection procedures and practices;

(12) include a detailed description of procedures for the monitoring and auditing of any subgrantees or subcontractors;

(13) include a description of the methods and arrangements which will be used to ensure the fullest possible utilization, consistent with the education and training needs identified in the plan, of public vocational education facilities and programs, and of other facilities of local education agencies in the provision of instruction in basic cognitive skills and in the development and implementation of programs assisted under this chapter;

(14) provide evidence that in the development of such plan there has been a continuing process of consultation with interested

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groups in the area not directly represented on the prime sponsor's planning council, including local advisory councils established under section 2305(a) of title 20 and the private industry council established under section 984 of this title, representatives of local education agencies, and representatives of postsecondary educational agencies;

(15) include a description of the methods for coordination between the prime sponsor and the local State employment security agencies and delineate the specific responsibilities of each in the delivery of employment and training services for participants funded under this chapter and under the WagnerPeyser Act [29 U.S.C. 49 et seq.1, with the goal of maximizing the level of coordination between the prime sponsor and the local employment security agency and minimizing duplication;

(16) include a description of the procedures concerning academic credit developed in conjunction with the appropriate local educational agency or institution of higher education and approved by the appropriate State educational agency (including State agencies responsible for postsecondary education), or, where a prime sponsor's area includes more than one local educational agency, developed in conjunction with, and approved by, the appropriate State educational agency;

(17) include a description of recommendations of members of the prime sponsor's planning council which were not included in the plan, together with the reasons for rejecting them;

(18) include a description of actions to ensure compliance with personnel procedures and collective bargaining agreements;

(19) include a description of efforts to remove artificial barriers to employment;

(20) include a description of plans and activities to coordinate, strengthen, and expand employment and training activities under this chapter with economic development activities in the private sector; and

(21) include adequate assurances of compliance with all provisions of this chapter and regulations promulgated pursuant thereto. (b) Annual plan; contents

To receive funds for any fiscal year, a prime sponsor shall submit an annual plan, which shall include

(1) a description of any significant changes from the information provided in the master plan;

(2) a description of the eligible population identified by race, sex, national origin, and age, and the proposed activities and services for participants from these significant segments of the eligible population;

(3) a description of specific services for individuals who are experiencing severe handicaps in obtaining employment, including individuals who lack credentials, require basic and remedial skill development, have limited English-speaking ability, are handicapped, are disabled or Vietnam-era veterans, are offenders, are displaced homemakers, are public assistance recipients, are 55 years of age or

older, are youth, are single parents, are women, or are other individuals who the Secretary determines have particular disadvantages in the labor market;

(4) a description of the services to be provided, the prime sponsor's performance and placement goals (including such goals as may be established with respect to the groups identified in paragraphs (2) and (3)), and the relationship of such goals to the Secretary's performance standards;

(5) the proposed budget for the program year, including a detailed summary of the expenditures made during the preceding year, results achieved, and changes made in the annual plan for the program year;

(6) a description of the relationship between job development and placement under this chapter and other employment and training programs in the area served, and efforts made or which will be made to coordinate programs under this chapter with such other programs;

(7) a description of programs to orient and prepare the participants for their job responsibilities;

(8) a description of efforts to be undertaken to involve the private sector;

(9) a statement of any intention by the prime sponsor to apply for and utilize funds provided under this chapter which are not allocated by formula;

(10) a description of wage rates or salaries and fringe benefits to be paid to persons employed in public service employment and a comparison with the wages or salaries and fringe benefits paid for similar public occupations by the same employer; levels of employment not supported under this chapter; layoffs, and hiring and promotional freezes in each employing agency;

(11) a description of the procedures which will be used to promote the objectives of section 823(a)(4) of this title, including the hiring, licensing, and contracting activities of the political units, subgrantees, and contractors of such prime sponsor;

(12) the method for determining priorities for service under subchapter II of this chapter which shall be based on objective locally established criteria to assist the prime sponsor in assuring service to those most in need, such priorities shall be based on locally determined factors such as employment status, household status, level of employability development, handicap, veteran status, age, race, sex, or other criteria deemed viable by the prime sponsor;

(13) a list of the specific contracts from the previous year with those institutions providing training programs, including information on the rate of positive placement for individuals who have completed such programs;

(14) a summary of any evaluation conducted of the prime sponsor's programs during preceding program years and a description of any use made of such evaluation in the modification or alteration of the prime sponsor's program;

(15) a description of an affirmative action program for outreach to and training, placement, and advancement of handicapped individuals in employment and training programs under this chapter, including

(A) a description of the extent to which and the methods whereby the special needs of the handicapped are to be met; and

(B) a description of the number of handicapped individuals who were served in the preceding year the types of training or employment in which they were placed, and the number of such individuals who were moved into unsubsidized employment; and (16) a copy of all agreements made pursuant to section 843(c) of this title. (c) Establishment of procedures

The Secretary shall establish procedures for submittal, approval, and implementation of changes in the comprehensive employment and training plan, together with any reports required under this chapter, not more than once each fiscal quarter.

(Pub. L. 93-203, title I, § 103, as added Pub. L. 95-524, § 2, Oct. 27, 1978, 92 Stat. 1918.)

REFERENCES IN TEXT

Section 2601 of title 42, referred to in subsec. (a)(8), was repealed by Pub. L. 93-203, title VII, § 714, formerly title VI, § 614, Dec. 28, 1973, 87 Stat. 883, renumbered Pub. L. 93-567, title I, § 101, Dec. 31, 1974, 88 Stat. 1845.

The Wagner-Peyser Act, referred to in subsec. (a)(15), is act June 6, 1933, ch. 49, 48 Stat. 113, as amended, which is classified principally to chapter 4B (§ 49 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 49 of this title and Tables.

PRIOR PROVISIONS

A prior section 813, Pub. L. 93-203, title I, § 103, Dec. 28, 1973, 87 Stat. 842, which provided for the allocation of funds with respect to the comprehensive manpower services program was omitted from the Code in the general revision of Pub. L. 93-203 by Pub. L. 95-524. See sections 818, 825, 842 of this title.

Provisions similar to those comprising this section were contained in former section 815 of this title prior to the general revision of Pub. L. 93-203 by Pub. L. 95-524.

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 834, 842, 843, 944 of this title.

§ 814. Review of comprehensive employment and training plans

(a) Transmission and availability of plan for review and comment

Each prime sponsor shall, at least 45 days before submitting its master or annual plan to the Secretary—

(1) transmit such plan, in order to allow at least 30 days of review and comment, to(A) the Governor;

(B) the State employment and training council;

(C) the prime sponsor planning council and the private industry council;

(D) appropriate units of general local government in its area; and

(E) labor organizations in the area which represent employees engaged in work similar to that proposed to be funded;

(2) make such plan available, in order to allow for at least thirty days of review and comment, to

(A) each House of the State legislature for appropriate referral;

(B) appropriate community based organizations of demonstrated effectiveness in serving significant segments of the eligible population; and

(C) appropriate educational agencies and institutions,

and give written notification of its availability; and

(3) make such plan available to the general public through such means as public hearings, newspapers, bulletins, and other media, including publications that primarily serve significant segments of the eligible population.

(b) Consideration of recommendations and comments The prime sponsor shall consider any comments or recommendations received and shall transmit to the Secretary copies of the comments and recommendations of the Governor, the State employment and training council, and the prime sponsor planning council.

(c) Compliance review by Secretary; requirements for approval

(1) The Secretary shall review each comprehensive employment and training plan to determine whether it is complete, whether it meets the requirements of this chapter and the regulations promulgated under this chapter and other applicable law, and whether, taking into account such factors as past performance and the recommendations made by the Governor, the State employment and training council, and the prime sponsor planning council, it is adequately designed to carry out an effective and well-administered program. The Secretary shall require the prime sponsor to take such action as the Secretary deems necessary to bring its plan and programs into conformance with the chapter and the regulations promulgated under this chapter or to improve the administration and effectiveness of its programs. If it is determined that such action is made necessary as a result of the Secretary's review of recommendations submitted by the Governor, the State employment and training council, or the prime sponsor planning council, the Secretary shall request an explanation of why the prime sponsor rejected such recommendations.

(2) The Secretary shall, prior to approval of any plan, require the inclusion in such plan of specific management and accounting procedures to assure adequate supervision and monitoring of the programs to be conducted pursuant to such plan, and shall require the adoption of specific procedures (such as accrual accounting procedures) where necessary for such purpose.

(3) The Secretary shall, prior to approval of any plan, ensure that the prime sponsor has demonstrated a recognizable and proven

method of verifying eligibility of all participants. The Secretary may require modification or the adoption of specific procedures where necessary for such purposes. The Secretary shall also develop recognizable penalties and inform the prime sponsor of such penalties to be applied upon a finding of the ineligibility of any participant. In reviewing such plans, the Secretary shall ensure that the plans adequately describe, and the prime sponsor demonstrates a thorough understanding of, labor market and economic conditions in the area served, that the plan is reasonably designed to respond to such conditions, that the administrative arrangements and procedures are adequate for the performance of the program and will ensure that professional standards of management will be attained, and that the plans provide for adequate relationships with existing community efforts and maximize the use of existing resources.

(4) The Secretary may disapprove all or any portion of a plan if he finds that the use of funds for a particular subcontract or subgrant provided within that portion of the plan would be grossly inefficient or fail to carry out the purposes of this chapter.

(d) Disapproval of plan; notice and hearing

(1) The Secretary shall disapprove any plan that does not fully satisfy the review under subsection (c) of this section, after a reasonable opportunity, but not less than 30 days, has been given to the prime sponsor to remedy any defect found in the plan and the prime sponsor has failed to do so.

(2) Whenever the Secretary disapproves a plan he shall transmit a notice of disapproval to the prime sponsor and the Governor, accompanied by a statement of reason for the disapproval. The Secretary shall not disapprove a plan without first affording an opportunity for a hearing to the prime sponsor.

(e) Date for submission of annual plan; regulations requiring change in plan prohibited

(1) The Secretary shall, not later than March 31 of the fiscal year preceding the fiscal year for which an annual plan is to take effect, establish a date for the submission of such annual plan. The Secretary shall make available to each prime sponsor a complete and final set of all applicable regulations and necessary application materials no later than May 15 of the fiscal year preceding the fiscal year for which such plan is to take effect. With respect to funds allocated under this chapter on the basis of a formula, the Secretary shall also provide prime sponsors with a preliminary planning estimate based on the amounts available in the budget of the President or in the most recent concurrent budget resolution under the Congressional Budget Act applicable to such year. If for any reason the Secretary cannot provide a complete and final set of all applicable regulations and necessary application materials by such May 15 prior to the date established under the first sentence of this subsection, the Secretary shall extend the date for submittal of such plan to allow the prime sponsor to review such regulations and to complete such materials prior to submittal.

(2) During the period of time between May 15 and the date for submittal of the plan, the Secretary shall not issue any regulations or guidelines or interpretations thereof that require any change in the prime sponsor's plan, which is a condition for the Secretary's approval or disapproval of the plan. If the Secretary deems that a plan change is required during this period, the Secretary shall allow at least one fiscal quarter for the prime sponsor to submit such change, except that the sponsor may at its own discretion submit the required change as part of its plan submittal under paragraph (1). (Pub. L. 93-203, title I, § 104, as added Pub. L. 95-524, § 2, Oct. 27, 1978, 92 Stat. 1922.)

PRIOR PROVISIONS

A prior section 814, Pub. L. 93-203, title I, § 104, Dec. 28, 1978, 87 Stat. 843, which related to the establishment of prime sponsor's planning councils, was omitted from the Code in the general revision of Pub. L. 93-203 by Pub. L. 95-524. See section 819 of this title. Provisions similar to those comprising this section were contained in former section 818 of this title prior to the general revision of Pub. L. 93-203 by Pub. L. 95-524.

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 812, 817, 820, 825, 913 of this title.

§ 815. Governor's coordination and special services plan

(a) Submission by State to Secretary

Any State seeking financial assistance under this chapter shall submit a Governor's coordination and special services plan to the Secretary.

(b) Contents

Governor's coordination and special services activities shall include the following

(1) coordinating all employment and training, education, and related services provided by the State, by prime sponsors, by State education agencies and other appropriate institutions of vocational and higher education, State and local public assistance agencies, and by other providers of such services within the State;

(2) coordinating programs financed under the Wagner-Peyser Act [29 U.S.C. 49 et seq.] and this chapter; including assisting in the negotiation of any agreements (including partnership arrangements described in section 877 of this title) between prime sponsors and State employment security agencies;

(3) assuring that comprehensive employment and training plans do not unnecessarily result in the duplication of services;

(4) assisting the Secretary in enforcing the requirements for Federal contractors and subcontractors to list all suitable employment openings with local offices of the State employment service agencies and to take affirmative action, as required in section 2012(a) of title 38;

(5) assuring the promotion of prime sponsor planning that takes into account conditions prevailing in labor market areas covering more than one prime sponsor area, as well as

related activities such as community development, economic development, vocational education, vocational rehabilitation, and social services;

(6) exchanging of information between States and prime sponsors with respect to State, interstate, and regional planning for economic development, human resource development, education, and other subjects relevant to employment and training planning;

(7) developing and providing to prime sponsors information on a State and local area basis regarding economic, industrial, and labor market conditions;

(8) making available to prime sponsors, with or without reimbursement and upon request, appropriate information and technical assistance to assist them in developing and implementing their programs;

(9) carrying out special model training and employment programs and related services, which may include programs for offenders similar to programs described in section 871(b)(2) of this title;

(10) providing financial assistance for special programs and services designed to meet the needs of rural areas outside major labor market areas;

(11) providing labor market and occupational information to prime sponsors and appropriate educational agencies and institutions without reimbursement; and

(12) facilitating and fostering the activities of the State Occupational Information Coordinating Committee established pursuant to section 2391(b)(2) of title 20, with special emphasis on the systematic use of occupational information for prime sponsor planning as well as assisting and encouraging the development and use of career outlook information for individuals who are receiving rehabilitation services, students in local schools, and individuals using the services of prime sponsors and local offices of State employment security agencies.

(c) Approval by Secretary

A Governor's coordination and special services plan shall be approved by the Secretary only if the Secretary determines that the plan satisfactorily implements subsection (b) of this section.

(Pub. L. 93-203, title I, § 105, as added Pub. L. 95-524, § 2, Oct. 27, 1978, 92 Stat. 1925.)

REFERENCES IN TEXT

The Wagner-Peyser Act, referred to in subsec. (b)(2), is act June 6, 1933, ch. 49, 48 Stat. 113, as amended, which is classified principally to chapter 4B (§ 49 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 49 of this title and Tables.

PRIOR PROVISIONS

A prior section 815, Pub. L. 93-203, title I, § 105, Dec. 28, 1973, 87 Stat. 843; Pub. L. 94-444, § 12(b)(1), Oct. 1, 1976, 90 Stat. 1483, which related to conditions for receipt of financial assistance was omitted from the Code in the general revision of Pub. L. 93-203 by Pub. L. 95-524. See sections 813 and 843 of this title.

Provisions similar to those comprising this section were contained in former section 816 of this title prior

to the general revision of Pub. L. 93-203, which comprised this chapter, by Pub. L. 95-524.

SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 842, 904 of this title.

§ 816. Complaints and sanctions

(a) Establishment and maintenance of grievance procedures

(1) Except for complaints subject to the provision of paragraph (2), each prime sponsor receiving financial assistance under this chapter or contractor or grantee under subchapter III of this chapter shall establish and maintain a grievance procedure, including provision for hearings within 30 days after the filing of a grievance, and for handling complaints about the program arising from its participants, subgrantees, contractors, and other interested persons. Hearings under such procedure shall be conducted expeditiously and decisions shall be made not later than 60 days after the filing of the grievance involved. With the exception of grievances alleging fraud or any criminal activity, the filing of a grievance must be made within one year of the alleged occurrence.

(2) Whenever the recipient of financial assistance under this chapter is an employer and the participant is an employee of that employer, the recipient shall continue to operate or shall establish and maintain a grievance procedure relating to the terms and conditions of employment.

(b) Investigation of complaints by Secretary

Whenever the Secretary receives a complaint from any interested person or organization (which has exhausted the prime sponsor's grievance system under subsection (a)(1) of this section or which has exhausted or failed to achieve resolution of the grievance under the recipient's grievance system under subsection (a)(2) of this section or under a collective bargaining agreement within the time limits prescribed in subsection (a)(1) of this section or in such agreement) which alleges, or whenever the Secretary has reason to believe (because of an audit, report, on-site review, or otherwise) that a recipient of financial assistance under this chapter is failing to comply with the requirements of this chapter, the regulations under this chapter or the terms of the comprehensive employment and training plan, the Secretary shall investigate the matter. The Secretary shall conduct such investigation, and make the final determination required by the following sentence regarding the truth of the allegation or belief involved, not later than 120 days after receiving the complaint. If, after such investigation, the Secretary determines that there is substantial evidence to support such allegation or belief that such a recipient is failing to comply with such requirements, the Secretary shall, after due notice and opportunity for a hearing to such recipient, determine whether such allegation or belief is true.

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