(a) Data and information collection. The Director shall not require
submission of data that can be obtained from existing reporting
requirements or sources, including those of other agencies, if the
source is known and available to the Director.
(1) Each recipient shall collect such data and maintain such
records, in accordance with procedures prescribed by the Director, as
the Director finds necessary to determine whether the recipient has
complied or is complying with the nondiscrimination and equal
opportunity provisions of JTPA or this part.
(2) Such records shall include, but are not limited to, records on
applicants, eligible applicants, participants, terminees, employees and
applicants for employment. Each recipient shall record the race/
ethnicity, sex, age, and where known, disability status, of every
applicant, eligible applicant, participant, terminee, applicant for
employment and employee. Such information shall be stored in such a
manner as to ensure confidentiality and shall be used only for the
purposes of recordkeeping and reporting; determining eligibility, where
appropriate, for JTPA-funded programs or activities; determining the
extent to which the recipient is operating its JTPA-funded program or
activity in a nondiscriminatory manner; or other use authorized by the
nondiscrimination and equal opportunity provisions of JTPA or this part.
(3) In addition to the information which shall be collected,
maintained, and upon request, submitted to the Directorate pursuant to
paragraphs (a)(1) and (a)(2) of this section:
(i) Each grant applicant and recipient shall promptly notify the
Director of any administrative enforcement actions or lawsuits filed
against it alleging discrimination on the ground of race, color,
religion, sex, national origin, age, disability, political affiliation
or belief, and for beneficiaries only, citizenship or participation in
JTPA;
(ii) Each grant applicant (as part of its application) and recipient
(as part of a compliance review conducted pursuant to Sec. 34.40 (b) or
(c), or monitoring activity carried out pursuant to Sec. 34.34) shall
provide: the name of any other Federal agency that conducted a civil
rights compliance review or complaint investigation during the two
preceding years in which the grant applicant or recipient was found to
be in noncompliance; and shall identify the parties to, the forum of,
and case numbers pertaining to, any administrative enforcement actions
or lawsuits filed against it during the two years prior to its
application (or, with respect to recipients, its renewal application)
which allege discrimination on the ground of race, color, religion, sex,
national origin, age, disability, political affiliation or belief,
citizenship or participation in JTPA;
(iii) Each recipient shall maintain a log of complaints filed with
it that allege discrimination on the ground of race, color, religion,
sex, national origin, age, disability, political affiliation or belief,
citizenship or participation in JTPA. The log shall include: the name
and address of the complainant; the ground of the complaint, i.e., race,
color, religion, sex, national origin, age, disability, political
affiliation or belief, citizenship or participation in JTPA; a
description of the complaint; the date the complaint was filed; the
disposition and date of disposition of the complaint; and other
pertinent information.
(4) At the discretion of the Director, grant applicants and
recipients may be required to provide such information and data as are
necessary to investigate complaints and conduct compliance reviews on
grounds prohibited under the nondiscrimination and equal opportunity
provisions of JTPA and this part, other than race/ethnicity, sex, age,
and disability.
(5) At the discretion of the Director, recipients may be required to
provide such particularized information and/or to submit such periodic
reports as the Director deems necessary to determine compliance with the
nondiscrimination and equal opportunity provisions of JTPA or this part.
(6) At the discretion of the Director, grant applicants may be
required to submit such particularized information as is necessary to
determine whether or not the grant applicant, if funded, would be able
to comply with the nondiscrimination and equal opportunity provisions of
JTPA or this part.
(7) Service Providers. A service provider's responsibility for
collecting and maintaining the information required pursuant to this
section may be assumed by the Governor, SDA grant recipient or Substate
grantee, as provided in the State's Methods of Administration.
(b) Access to sources of information. (1) Each grant applicant and
recipient shall permit access by the Director during normal business
hours to its premises and to its employees and participants, to the
extent that such individuals are on the premises during the course of
the investigation, for the purpose of conducting complaint
investigations, compliance reviews, monitoring activities associated
with a State's development and implementation of a Methods of
Administration, and inspecting and copying such books, records, accounts
and other materials as may be pertinent to ascertain compliance with and
ensure enforcement of the nondiscrimination and equal opportunity
provisions of JTPA or this part.
(2) Asserted considerations of privacy or confidentiality shall not
be a basis for withholding information from the Directorate and shall
not bar the Directorate from evaluating or seeking to enforce compliance
with the nondiscrimination and equal opportunity provisions of JTPA and
this part. Information obtained pursuant to the requirements of this
part shall be used only in connection with compliance and enforcement
activities pertinent to the nondiscrimination and equal opportunity
provisions of JTPA and this part. Whenever any information required of a
grant applicant or recipient
is in the exclusive possession of another agency or institution which,
or person who, fails or refuses to furnish such information, the grant
applicant or recipient shall provide certification to the Directorate of
such refusal and the efforts it has made to obtain the information.
(c) Record retention requirements. (1) Each recipient shall maintain
for a period of not less than three years from the close of the
applicable program year, applicant, eligible applicant, participant,
terminee, employee and applicant for employment records; and such other
records as are required under this part or by the Director. (2) Records
regarding complaints and actions taken thereunder shall be maintained
for a period of not less than three years from the date of resolution of
the complaint.
(d) Confidentiality. The identity of any person who furnishes
information relating to, or assisting in, an investigation or a
compliance review shall be kept confidential to the extent possible,
consistent with a fair determination of the issues. A person whose
identity it is necessary to disclose shall be protected from retaliation
(see Sec. 34.8).
(e) Where designation of persons by race or ethnicity is required,
the guidelines of the Office of Management and Budget shall be used.
