[Code of Federal Regulations]

[Title 45 Volume 4]

[Revised as of October 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR1303.15]



[Page 113-114]

 

                        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 B_Appeals by Grantees

 

Sec.  1303.15  Appeal by a grantee from a denial of refunding.



    (a) After receiving concurrence from the Commissioner, ACYF, a 

grantee's application for refunding may be denied by the responsible HHS 

official for circumstances described in paragraph (c) of this section.

    (b) When an intention to deny a grantee's application for refunding 

is arrived at on a basis to which this subpart applies, the responsible 

HHS official will provide the grantee as much advance notice thereof as 

is reasonably possible, in no event later than 30 days after the receipt 

by ACYF of the application. The notice will inform the grantee that it 

has the opportunity for a full and fair hearing on whether refunding 

should be denied.

    (1) Such appeals shall be governed by 45 CFR part 16, except as 

otherwise provided in the Head Start appeals regulations. Any grantee 

which requests a hearing shall be afforded one, as mandated by 42 U.S.C. 

9841.

    (2) Any such appeals must be filed within 30 days after the grantee 

receives notice of the decision to deny refunding.

    (c) Refunding of a grant may be denied for any or all of the reasons 

for which a grant may be terminated, as set forth in Sec.  1303.14(b) of 

this part.



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    (d) Decisions to deny refunding shall be in writing, signed by the 

responsible HHS official, dated, and sent in compliance with Sec.  

1303.5 of this part or by telegram, or by any other mode establishing 

the date sent and received by the addressee, or the date it was 

determined delivery could not be made, or the date delivery was refused. 

A Notice of Decision shall contain:

    (1) The legal basis for the denial of refunding under paragraph (c) 

of this section, the factual findings on which the denial of refunding 

is based or references to specific findings in another document that 

form the basis for the denial of refunding (such as reference to item 

numbers in an on-site review report or instrument), and citation to any 

statutory provisions, regulations or policy issuances on which ACF is 

relying for its determination.

    (2) The identity of the delegate agency, if the activities of that 

delegate agency are the basis, in whole or in part, for the proposed 

denial of refunding; and

    (3) If the responsible HHS official has initiated denial of 

refunding proceedings because of the activities of a delegate agency, 

the delegate agency may participate in the hearing as a matter of right. 

Any other delegate agency, person, agency or organization that wishes to 

participate in the hearing may request permission to do so from the 

Departmental Appeals Board. Any request for participation, including a 

request by a delegate agency, must be filed within 30 days of the 

grantee's appeal.

    (4) A statement that failure of the notice of denial of refunding to 

meet the requirements of this paragraph may result in the dismissal of 

the denial of refunding action without prejudice, or the remand of that 

action for the purpose of reissuing it with the necessary corrections.

    (e) The appeal may be made only by the Board of Directors of the 

grantee or by an official acting on behalf of such Board.

    (f) If the responsible HHS official has initiated denial of 

refunding proceedings because of the activities of a delegate agency, 

that delegate agency may participate in the hearing as a matter of 

right. Any other delegate agency, person, agency or organization that 

wishes to participate in the hearing may request permission to do so 

from the Departmental Appeals Board. Any request for participation, 

including a request by a delegate agency, must be filed within 30 days 

of the grantee's appeal.

    (g) Paragraphs (i), (j), and (k) of 45 CFR 1303.14 shall apply to 

appeals of denials of refunding.

    (h) The Departmental Appeals Board sanctions with respect to a 

grantee's appeal of denial of refunding are as follows:

    (1) If in the judgment of the Departmental Appeals Board a grantee 

has failed to substantially comply with the provisions of the preceding 

paragraphs of this section, its appeal must be dismissed with prejudice.

    (2) If the Departmental Appeals Board concludes that the grantee's 

failure to comply is not substantial, but is confined to one or a few 

specific instances, it shall bar the submittal of an omitted document, 

or preclude the raising of an argument or objection not timely raised in 

the appeal, or deny a request for a document or other ``discovery'' 

request not timely made.

    (3) The sanctions set forth in paragraphs (h)(1) and (2) of this 

section shall not apply if the Departmental Appeals Board determines 

that a grantee has shown good cause for its failure to comply with the 

relevant requirements. Delays in obtaining representation shall not 

constitute good cause. Matters within the control of its agents and 

attorneys shall be deemed to be within the control of the grantee.



[57 FR 59264, Dec. 14, 1992, as amended at 65 FR 4769, Feb. 1, 2000]