[Code of Federal Regulations]
[Title 45, Volume 4]
[Revised as of October 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR1303.21]

[Page 116-118]
 
                        TITLE 45--PUBLIC WELFARE
 
CHAPTER XIII--OFFICE OF HUMAN DEVELOPMENT SERVICES, DEPARTMENT OF HEALTH 
                           AND HUMAN SERVICES
 
PART 1303_APPEAL PROCEDURES FOR HEAD START GRANTEES AND CURRENT OR 
PROSPECTIVE DELEGATE AGENCIES--Table of Contents
 
      Subpart C_Appeals by Current or Prospective Delegate Agencies
 
Sec. 1303.21  Procedures for appeal by current or prospective delegate 

agencies to the responsible HHS official from denials by grantees of 
an application or 
          failure to act on an application.

    (a) Any current or prospective delegate agency that is dissatisfied 
with the decision of a grantee rendered under Sec. 1303.20 may appeal 
to the responsible HHS official whose decision is final and not 
appealable to the Commissioner, ACYF. Such an appeal must be in writing 
and it must fully set forth the grounds for the appeal and be 
accompanied by all documentation that the current or prospective 
delegate agency believes is relevant and supportive of this position, 
including all written material or documentation submitted to the grantee 
under the procedures set forth in Sec. 1303.20, as well as a copy of 
any decision rendered by the grantee. A copy of the appeal and all 
material filed with the responsible HHS official must be simultaneously 
served on the grantee.

[[Page 117]]

    (b) In providing the information required by paragraph (a) of this 
section, delegate agencies must set forth:
    (1) Whether, when and how the grantee advised the delegate agency of 
alleged defects and deficiencies in the delegate agency's application or 
in the operation of its program prior to the grantee's rejection or 
termination notice;
    (2) Whether the grantee provided the delegate agency reasonable 
opportunity to correct the defects and deficiencies, the details of the 
opportunity that was given and whether or not the grantee provided or 
provided for technical advice, consultation, or assistance to the 
current delegate agency concerning the correction of the defects and 
deficiencies;
    (3) What steps or measures, if any, were undertaken by the delegate 
agency to correct any defects or deficiencies;
    (4) When and how the grantee notified the delegate agency of its 
decision;
    (5) Whether the grantee told the delegate agency the reasons for its 
decision and, if so, how such reasons were communicated to the delegate 
agency and what they were;
    (6) If it is the delegate agency's position that the grantee acted 
arbitrarily or capriciously, the reasons why the delegate agency takes 
this position; and
    (7) Any other facts and circumstances which the delegate agency 
believes supports its appeal.
    (c) The grantee may submit a written response to the appeal of a 
prospective delegate agency. It may also submit additional information 
which it believes is relevant and supportive of its position.
    (d) In the case of an appeal by a delegate agency, the grantee must 
submit a written statement to the responsible HHS official responding to 
the items specified in paragraph (b) of this section. The grantee must 
include information that explains why it acted properly in arriving at 
its decision or in failing to act, and any other facts and circumstances 
which the grantee believes supports its position.
    (e)(1) The responsible HHS official may meet informally with the 
current or prospective delegate agency if such official determines that 
such a meeting would be beneficial to the proper resolution of the 
appeal. Such meetings may be conducted by conference call.
    (2) An informal meeting must be requested by the current or 
prospective delegate agency at the time of the appeal. In addition, the 
grantee may request an informal meeting with the responsible HHS 
official. If none of the parties requests an informal meeting, the 
responsible HHS official may hold such a meeting if he or she believes 
it would be beneficial for a proper resolution of the dispute. Both the 
grantee and the current or prospective delegate agency may attend any 
informal meeting concerning the appeal. If a party wishes to oppose a 
request for a meeting it must serve its opposition on the responsible 
HHS official and any other party within five work days of its receipt of 
the request.
    (f) A grantee's response to appeals by current or prospective 
delegate agencies must be submitted to the responsible HHS official 
within ten work days of receipt of the materials served on it by the 
current or prospective delegate agency in accordance with paragraph (a) 
of this section. The grantee must serve a copy of its response on the 
current or prospective delegate agency.
    (g) The responsible HHS official shall notify the current or 
prospective delegate agency and the grantee whether or not an informal 
meeting will be held. If an informal meeting is held, it must be held 
within ten work days after the notice by the responsible HHS official is 
mailed. The responsible HHS official must designate either the Regional 
Office or the place where the current or prospective delegate agency or 
grantee is located for holding the informal meeting.
    (h) If an informal meeting is not held, each party shall have an 
opportunity to reply in writing to the written statement submitted by 
the other party. The written reply must be submitted to the responsible 
HHS official within five work days after the notification required by 
paragraph (g) of this section. If a meeting is not to be held, notice of 
that fact shall be served on the parties within five work days of the 
receipt of a timely response to such a request or the expiration of the 
time

[[Page 118]]

for submitting a response to such a request.
    (i) In deciding an appeal under this section, the responsible HHS 
official will arrive at his or her decision by considering:
    (1) The material submitted in writing and the information presented 
at any informal meeting;
    (2) The application of the current or prospective delegate agency;
    (3) His or her knowledge of the grantee's program as well as any 
evaluations of his or her staff about the grantee's program and current 
or prospective delegate agency's application and prior performance; and
    (4) Any other evidence deemed relevant by the responsible HHS 
official.