42 U.S.C. § 300w–5: Reports, data, and audits

Summary

States must file a yearly report with the Secretary by February 1 after the fiscal year ends. The report must say how the State used the federal funds, describe progress on the State’s goals, follow required data formats, and include any other information the Secretary asks for. The Secretary will work with States to create "uniform data sets" and the formats for collecting them. For each set, the State must collect the specific data item the Secretary chooses. Starting with fiscal year 1995, a State must also report data for each uniform set that matches the goals the State listed in its plan. The Secretary will also set rules for collecting data when no uniform item exists. States must make the reports available for the public and give copies on request for a fee that does not exceed the State’s cost to make the copy. States must keep proper financial controls and records for these federal funds. They must have an annual audit done by an independent auditor and send the audit to the Secretary within 30 days after it is finished. If money was not spent properly, the State must repay it after being given notice and a chance for a hearing. If the State does not repay, the Secretary may recover the money by reducing future allotments after notice and a hearing. The Comptroller General will review State spending from time to time. The Secretary had to report to Congress by October 1, 1990, about State activities and possible law changes. A separate law (Title XVII of the Omnibus Budget Reconciliation Act of 1981) does not apply to these audits.

Title 42, §300w–5

The Public Health and Welfare, Source: USLM XML via OLRC

(a)Annual reports; contents; data collection; copies

(1)For purposes of section 300w–4(c)(5)(B)(i) of this title, a State is collecting and reporting data for a fiscal year in accordance with this subsection if the State submits to the Secretary, not later than February 1 of the succeeding fiscal year, a report that—

(A)describes the purposes for which the State expended payments made to the State under section 300w–2 of this title;

(B)pursuant to section 300w–4(c)(5)(A) of this title, describes the extent of progress made by the State for purposes of such section;

(C)meets the conditions described in the subsequent paragraphs of this subsection; and

(D)contains such additional information regarding activities authorized in section 300w–3 of this title, and is submitted in such form, as the Secretary may require.

(2)(A)The Secretary, in consultation with the States, shall develop sets of data for uniformly defining health status for purposes of the year 2000 health objectives (which sets are in this subsection referred to as “uniform data sets”). Each of such sets shall consist of one or more categories of information (in this subsection individually referred to as a “uniform data item”). The Secretary shall develop formats for the uniform collecting and reporting of information on such items.

(B)A condition under paragraph (1)(C) for a fiscal year is that the State involved will, in accordance with the applicable format under subparagraph (A), collect during such year, and include in the report under paragraph (1), the necessary information for one uniform data item from each of the uniform data sets, which items are selected for the State by the Secretary.

(C)In the case of fiscal year 1995 and each subsequent fiscal year, a condition under paragraph (1) for a State is that the State will, in accordance with the applicable format under subparagraph (A), collect during such year, and include in the report under paragraph (1), the necessary information for each of the uniform data sets appropriate to the year 2000 health objectives that the State has, in the State plan submitted under section 300w–4 of this title for the fiscal year, specified as a purpose for which payments under section 300w–2 of this title are to be expended.

(3)The Secretary, in consultation with the States, shall establish criteria for the uniform collection and reporting of data on activities authorized in section 300w–3 of this title with respect to which no uniform data items exist.

(4)A condition under paragraph (1) for a fiscal year is that the State involved will make copies of the report submitted under such paragraph for the fiscal year available for public inspection, and will upon request provide a copy of the report to any individual for a charge not exceeding the cost of providing the copy.

(b)Fiscal control; accounting procedures; annual audits; repayments and offsets; public inspection; Comptroller General evaluations; report to Congress

(1)Each State shall establish fiscal control and fund accounting procedures as may be necessary to assure the proper disbursal of and accounting for Federal funds paid to the State under section 300w–2 of this title and funds transferred under section 300w–3(c) of this title for use under this part.

(2)Each State shall annually audit its expenditures from payments received under section 300w–2 of this title. Such State audits shall be conducted by an entity independent of any agency administering a program funded under this part and, in so far as practical, in accordance with the Comptroller General’s standards for auditing governmental organizations, programs, activities, and functions. Within 30 days following the date each audit is completed, the chief executive officer of the State shall transmit a copy of that audit to the Secretary.

(3)Each State shall, after being provided by the Secretary with adequate notice and opportunity for a hearing within the State, repay to the United States amounts found not to have been expended in accordance with the requirements of this part or the certification provided by the State under section 300w–4 of this title. If such repayment is not made, the Secretary shall, after providing the State with adequate notice and opportunity for a hearing within the State, offset such amounts against the amount of any allotment to which the State is or may become entitled under this part.

(4)The State shall make copies of the reports and audits required by this section available for public inspection within the State.

(5)The Comptroller General of the United States shall, from time to time, evaluate the expenditures by States of grants under this part in order to assure that expenditures are consistent with the provisions of this part and the certification provided by the State under section 300w–4 of this title.

(6)Not later than October 1, 1990, the Secretary shall report to the Congress on the activities of the States that have received funds under this part and may include in the report any recommendations for appropriate changes in legislation.

(c)Inapplicability of title XVII of Omnibus Budget Reconciliation Act of 1981

Title XVII of the Omnibus Budget Reconciliation Act of 1981 shall not apply with respect to audits of funds allotted under this part.

Notes & Related Subsidiaries

Editorial Notes

References in Text

The Omnibus Budget Reconciliation Act of 1981, referred to in subsec. (c), is Pub. L. 97–35, Aug. 13, 1981, 95 Stat. 357. Title XVII of the Omnibus Budget Reconciliation Act of 1981 enacted section 3595, and 4511 to 4514 of Title 5, Government Organization and Employees, amended section 3393, 3593, 3596, 4501, 4502, 4505, 4506, 7542, 7543, 8340, and 8345 of Title 5, and section 2003 and 2401 of Title 39, Postal Service, and enacted provisions set out as notes under section 3595, 4501, 5303, 5343, 8340, and 8345 of Title 5, section 1243 of former Title 31, Money and Finance, and section 403, 2003, 2004, and 2401 of Title 39. For complete classification of this Act to the Code, see Tables.

Amendments

1992—Pub. L. 102–531, § 104(b)(1), substituted “Reports, data, and audits” for “Reports and audits” in section catchline. Subsec. (a). Pub. L. 102–531, § 104(a), amended subsec. (a) generally, substituting present provisions for provisions requiring an annual report by each State of its activities under this part, outlining the contents of such report, and for providing copies of the report to interested persons. Subsec. (d). Pub. L. 102–531, § 104(b)(2), struck out subsec. (d) which provided for development of model criteria and forms for collection of data and information on services provided under this part. 1988—Subsec. (a)(3). Pub. L. 100–607, § 301(d)(1), added par. (3). Subsec. (b)(6). Pub. L. 100–607, § 301(d)(2), substituted “1990” for “1983”. 1984—Subsec. (a)(1)(B). Pub. L. 98–555, § 5(b), substituted “preventive health and preventive health services programs in the State assisted by funds from allotments under this part, including a summary of the services which were provided, the providers of such services, and the individuals who received such services” for “activities of the State under this part”. Subsec. (d). Pub. L. 98–555, § 5(c), added subsec. (d).

Statutory Notes and Related Subsidiaries

Effective Date

Section effective Oct. 1, 1981, see section 901 of Pub. L. 97–35, set out in part as a note under section 300w of this title.

§300w–5 Reports, Data, and Audits