(a) The Director may from time to time conduct pre- and post-
approval compliance reviews of grant applicants for and recipients of
Federal financial assistance under JTPA to determine compliance with the
nondiscrimination and equal opportunity provisions of JTPA and this
part. Techniques used in such reviews may include desk reviews, on-site
reviews, and off-site analyses.
(b) Pre-approval reviews. (1) As appropriate and necessary to ensure
compliance with the nondiscrimination and equal opportunity provisions
of JTPA or this part, the Director may review any application, or class
of applications, for Federal financial assistance under JTPA prior to
and as a condition
of their approval. The basis for such review shall be the assurance
specified in Sec. 34.20, information and reports submitted by the grant
applicant pursuant to this part or guidelines published by the Director,
and any relevant records on file with the Department.
(2) Where the Director determines that the grant applicant for
Federal financial assistance under JTPA, if funded, would not comply
with the nondiscrimination and equal opportunity requirements of JTPA or
this part, the Director shall issue a Letter of Findings. Such Letter of
Findings shall advise the grant applicant, in writing, of:
(i) The preliminary findings of the review;
(ii) The proposed remedial or corrective action pursuant to
Sec. 34.44 and the time within which the remedial or corrective action
should be completed;
(iii) Whether it will be necessary for the grant applicant to enter
into a written Conciliation Agreement as described in Sec. 34.45; and
(iv) The opportunity to engage in voluntary compliance negotiations.
(3) If a grant applicant has agreed to certain remedial or
corrective actions in order to receive Federal financial assistance
under JTPA, the Department shall ensure that the remedial or corrective
actions have been taken or that a Conciliation Agreement has been
entered into, prior to approving the award of further assistance under
JTPA. If a grant applicant refuses or fails to take remedial or
corrective actions or to enter into a Conciliation Agreement, as
applicable, the Director shall follow the procedures outlined in
Sec. 34.46.
(4) The Director shall notify, in a timely manner, the departmental
granting agency of the findings of the pre-approval compliance review.
(c) Post-approval reviews. (1) The Director may initiate a post-
approval review of any recipient to determine compliance with the
nondiscrimination and equal opportunity provisions of JTPA and this
part. The initiation of a review may be based on, but need not be
limited to, the following: The results of routine program monitoring,
the nature of or incidence of complaints, the date of the last review,
and Congressional or community concerns.
(2) Such review shall be initiated by a Notification Letter,
advising the recipient of:
(i) The practices to be reviewed;
(ii) The programs to be reviewed;
(iii) The data to be submitted by the recipient within 30 days of
the receipt of the Notification Letter; and
(iv) The opportunity, at any time prior to receipt of the Final
Determination described in Sec. 34.46, to make a documentary or other
submission which explains, validates or otherwise addresses the
practices under review.
(3) Except as provided in Sec. 34.41(e), within 210 days of issuing
a Notification Letter initiating a review, the Director shall:
(i) Issue a Letter of Findings, which shall advise the recipient, in
writing, of:
(A) The preliminary findings of the review;
(B) Where appropriate, the proposed remedial or corrective action to
be taken, and the time by which such action should be completed, as
provided in Sec. 34.44;
(C) Whether it will be necessary for the recipient to enter into a
written assurance and/or Conciliation Agreement, as provided in
Sec. 34.45; and
(D) The opportunity to engage in voluntary compliance negotiations.
(ii) Where no violation is found, the recipient shall be so informed
in writing.
(4) The time limit for submitting data to the Director pursuant to
paragraph (c)(2)(iii) of this section may be modified by the Director.
