1303 Appeals - Module Two

This Head Start Standards Training Module includes parts of 1303.8 - parts of 1303.12
Pages 107 - 109

Successful completion of this Programmed Learning Packet will provide you with 30 minutes of training.
Office of Human Development Services, HHS

 § 1303.11

(e) Waivers of timely filing or service shall be granted only when necessary in the interest of fairness to all parties, including the Federal agency. They will be granted sparingly as prompt resolution of disputes is a major goal of these regulations. The responsible HHS official or the Departmental Appeals Board shall have the right, on own motion or on motion of a party, to require such documentation as deemed necessary in support of a request for a waiver.

(f) A request for an informal meeting by a delegate agency, including a prospective delegate agency, may be denied by the responsible HHS official, on motion of the grantee or on his or her own motion, if the official concludes that the written appeal fails to state plausible grounds for reversing the grantee’s decision or the grantee’s failure to act on an application.

(g) The requirements of this section may not be waived.

Subpart B—Appeals by Grantees

§ 1303.10 Purpose.

(a) This subpart establishes rules and procedures for the suspension of a grantee, denial of a grantee’s application for refunding, or termination of assistance under the Act for circumstances related to the particular grant, such as ineffective or improper use of Federal funds or for failure to comply with applicable laws, regulations, policies, instructions, assurances, terms and conditions or, in accordance with part 1302 of this chapter, upon loss by the grantee of legal status or financial viability.

(b) This subpart does not apply to any administrative action based upon any violation, or alleged violation, of title VI of the Civil Rights Act of 1964.

§ 1303.11 Suspension on notice and opportunity to show cause.

(a) After receiving concurrence from the Commissioner, ACYF, the responsible HHS official may suspend financial assistance to a grantee in whole or in part for breach or threatened breach of any requirement stated in § 1303.10 pursuant to notice and opportunity to show cause why assistance should not be suspended.

"A request for an informal meeting by a delegate agency, ...may be denied by the responsible HHS official, ...if the official concludes that the written appeal fails to state plausible grounds for reversing the grantee’s decision or the grantee’s failure to act on an application."

(b) The responsible HHS official will notify the grantee as required by § 1303.5 or by telegram that ACYF intends to suspend financial assistance, in whole or in part, unless good cause is shown why such action should not be taken. The notice will include:

(1) The grounds for the proposed suspension;
(2) The effective date of the proposed suspension;
(3)

Information that the grantee has the opportunity to submit written material in opposition to the intended suspension and to meet informally with the responsible HHS official regarding the intended suspension;
(4)

Information that the written material must be submitted to the responsible HHS official at least seven days prior to the effective date of the proposed suspension and that a request for an informal meeting must be made in writing to the responsible HHS official no later than seven days after the day the notice of intention to suspend was mailed to the grantee;
(5) Invitation to correct the deficiency by voluntary action; and
(6) A copy of this subpart.

(c) If the grantee requests an informal meeting, the responsible HHS official will fix a time and place for the meeting. In no event will such meeting be scheduled less than seven days after the notice of intention to suspend was sent to the grantee.

(d) The responsible HHS official may at his or her discretion extend the period of time or date for making requests or submitting material by the grantee and will notify the grantee of any such extension.

(e) At the time the responsible HHS official sends the notice of intention to suspend financial assistance to the grantee, the official will send a copy of it to any delegate agency whose activities or failures to act are a substantial cause of the proposed suspension, and will inform such delegate agency that it is entitled to submit written material in opposition and to participate in the informal meeting with the responsible HHS official if one is held. In addition, the responsible HHS official may give such notice to any other Head Start delegate agency of the grantee.
107

Test Question:

    Select the correct "True" or "False" option.
1.

The responsible HHS official will notify the grantee that ACYF intends to suspend financial assistance, in whole or in part, unless good cause is shown why such action should not be taken.     (1303.11)
  True  
  False  
2.

If notified of a suspension, the grantee may request an informal meeting, and set the time and date to the responsible HHS official.      (1303.11)
  True  
  False  
45 CFR Ch. XIII (10–1–05 Edition)

 § 1303.12

(f) Within three days of receipt of the notice of intention to suspend financial assistance, the grantee shall send a copy of such notice and a copy of this subpart to all delegate agencies which would be financially affected by the proposed suspension action. Any delegate agency that wishes to submit written material may do so within the time stated in the notice. Any delegate agency that wishes to participate in the informal meeting regarding the intended suspension, if not otherwise afforded a right to participate, may request permission to do so from the responsible HHS official, who may grant or deny such permission. In acting upon any such request from a delegate agency, the responsible HHS official will take into account the effect of the proposed suspension on the particular delegate agency, the extent to which the meeting would become unduly complicated as a result of granting such permission, and the extent to which the interests of the delegate agency requesting such permission ap-pear to be adequately represented by other participants.

"Any delegate agency that wishes to participate in the informal meeting regarding the intended suspension, if not otherwise afforded a right to participate, may request permission to do so from the responsible HHS official, ..."

(g) The responsible HHS official will consider any timely material presented  in writing, any material presented during  the course of the informal meeting as well as any showing that the grantee has adequately corrected the deficiency  which led to the suspension proceedings.  The decision of the responsible  HHS official will be made within five days after the conclusion of the informal meeting, or, if no informal meeting is held, within five days of receipt  by the responsible HHS official of written material from all concerned parties. If the responsible HHS official concludes that the grantee has failed to show cause why financial assistance should not be suspended, the official may suspend financial assistance in whole or in part and under such terms and conditions as he or she specifies.

(h) Notice of such suspension will be promptly transmitted to the grantee as required in § 1303.5 of this part or by some other means showing the date of receipt, and shall become effective upon delivery or on the date delivery is refused or the material is returned. Suspension shall not exceed 30 days unless the responsible HHS official and

 

the grantee agree to a continuation of the suspension for an additional period of time. If termination proceedings are initiated in accordance with § 1303.14, the suspension of financial assistance will be rescinded.

(i) New obligations incurred by the grantee during the suspension period will be not be allowed unless the granting agency expressly authorizes them in the notice of suspension or an amendment to it. Necessary and otherwise allowable costs which the grantee could not reasonably avoid during the suspension period will be allowed if they result from obligations properly incurred by the grantee before the effective date of the suspension and not in anticipation of suspension or termination.  At the discretion of the granting agency, third-party in-kind contributions applicable to the suspension period may be allowed in satisfaction of cost sharing or matching requirements.

(j) The responsible HHS official may appoint an agency to serve as an interim grantee to operate the program until the grantee’s suspension is lifted.

(k) The responsible HHS official may modify the terms, conditions and nature of the suspension or rescind the suspension action at any time on his or her own initiative or upon a satisfactory showing that the grantee has adequately corrected the deficiency which led to the suspension and that repetition is not threatened. Suspension partly or fully rescinded may, at the discretion of the responsible HHS official, be reimposed with or without further proceedings, except that the total time of suspension may not exceed 30 days unless termination proceedings are initiated in accordance with § 1303.14 or unless the responsible HHS official and the grantee agree to continuation of the suspension for an additional period of time. If termination proceedings are initiated, the suspension of financial assistance will be rescinded.

"The responsible HHS official may modify the terms, conditions and nature of the suspension or rescind the suspension action at any time on his or her own initiative or upon a satisfactory showing that the grantee has adequately corrected the deficiency which led to the suspension and that repetition is not threatened."

§ 1303.12 Summary suspension and opportunity to show cause.

(a) After receiving concurrence from the Commissioner, ACYF, the responsible HHS official may suspend financial assistance in whole or in part
108

Test Question:

    Select the correct "True" or "False" option.
3.

Any delegate agency that wishes to participate in the informal meeting regarding the intended suspension must request permission to do so from the grantee.     (1303.11)
  True  
  False  
4.

The responsible HHS official must appoint an agency to serve as an interim grantee to operate the program until the grantee’s suspension is lifted.    (1303.11)
  True  
  False  
Office of Human Development Services, HHS

 § 1303.12

without prior notice and an opportunity to show cause if it is determined that immediate suspension is necessary because of a serious risk of:

(1) Substantial injury to property or loss of project funds; or
(2)

Violation of a Federal, State, or local criminal statute; or
(3) If staff or participants’ health and safety are at risk.

(b) The notice of summary suspension will be given to the grantee as required by § 1303.5 of this part, or by some other means showing the date of receipt, and shall become effective on delivery or on the date delivery is refused or the material is returned unclaimed.

(c) The notice must include the following items:

(1)

The effective date of the suspension;
(2) The grounds for the suspension;
(3)

The extent of the terms and conditions of any full or partial suspension;
(4)

A statement prohibiting the grantee from making any new expenditures or incurring any new obligations in connection with the suspended portion of the program; and
(5)

A statement advising the grantee that it has an opportunity to show cause at an informal meeting why the  suspension should be rescinded. The request for an informal meeting must be made by the grantee in writing to the  responsible HHS official no later than five workdays after the effective date of the notice of summary suspension as described in paragraph (b) of this section.

 (d) If the grantee requests in writing the opportunity to show cause why the suspension should be rescinded, the responsible HHS official will fix a time and place for an informal meeting for this purpose. This meeting will be held within five workdays after the grantee’s  request is received by the responsible HHS official. Notwithstanding the provisions of this paragraph, the responsible HHS official may proceed to deny refunding or initiate termination  proceedings at any time even though financial assistance of the grantee has been suspended in whole or in part.

"This meeting will be held within five workdays after the grantee’s  request is received by the responsible HHS official."

(e) Notice of summary suspension must also be furnished by the grantee to its delegate agencies within

two workdays of its receipt of the notice  from ACYF by certified mail, return receipt requested, or by any other means showing dates of transmittal and receipt or return as undeliverable or unclaimed. Delegate agencies affected by the summary suspension have the right to participate in the informal meeting as set forth in paragraph (d) of this section.

"Delegate agencies affected by the summary suspension have the right to participate in the informal meeting ..."

(f) The effective period of a summary suspension of financial assistance may not exceed 30 days unless:

(1)

The conditions creating the summary  suspension have not been corrected; or
(2)

The parties agree to a continuation of the summary suspension for an additional period of time; or
(3)

The grantee, in accordance with paragraph (d) of this section, requests an opportunity to show cause why the summary suspension should be rescinded, in which case it may remain in effect in accordance with paragraph (h) of this section; or
(4)

Termination or denial of refunding proceedings are initiated in accordance with § 1303.14 or § 1303.15.

(g) Any summary suspension that remains in effect for more than 30 days is subject to the requirements of § 1303.13 of this part. The only exceptions are where there is an agreement under paragraph (f)(2) of this section, or the circumstances described in paragraph (f)(4) or (h)(1) of this section exist.

(h)

(1)

If the grantee requests an opportunity to show cause why a summary suspension should be rescinded, the suspension of financial assistance will continue in effect until the grantee has been afforded such opportunity and a decision has been made by the responsible  HHS official.
(2)

If the suspension continues for more than 30 days, the suspension remains in effect even if it is appealed to the Departmental Appeals Board.
(3)

Notwithstanding any other provisions of these or other regulations, if a denial of refunding occurs or a termination action is instituted while the summary suspension is in effect, the suspension shall merge into the later action and funding shall not be available until the action is rescinded or a decision favorable to the grantee is rendered.
109

Test Question:

    Select the correct "True" or "False" option.
5.

The notice of summary suspension must include the grounds for the suspension.    (1303.12)
  True  
  False  
6.

The effective period of a summary suspension of financial assistance may not exceed 30 days unless the conditions creating the summary  suspension have not been corrected.   (1303.12)
  True  
  False  

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