Initial and final determination; request for hearing at the Federal level.
(a) Initial determination. Upon the conclusion of a review of the entire administrative record of an investigation conducted pursuant to § 636.6 or after the conclusion of the comment period for audits, the Grant Officer shall make an initial determination of the matter in controversy including the allowability of questioned costs or activities. Such determination shall be based upon the requirements of the Act, regulations, grants or other agreements, under the Act. The determination may conclude either:
(1) That based upon the entire record there is no violation of the Act, regulations, grants or other agreements under the Act; or
(2) That there is evidence to support the allegation, or finding of questioned costs or activities.
(b) Contents of initial determination.(1) In the event that the Grant Officer makes a finding that there is evidence to support the allegation of a violation the initial determination shall:
(i) Be in writing;
(ii) State the basis of the determination, including factual findings and conclusions;
(iii) Specify the costs or activities disallowed;
(iv) Specify the corrective actions required and/or that sanctions may be imposed; and
(v) Give notice of an opportunity for informal resolution of the matters as necessary to the appropriate parties, which should include all interested parties specified by the Grant Officer.
(2) In the event that the Grant Officer makes a finding of no violation the initial determination shall:
(i) Be in writing;
(ii) State the bases of the determination (factual findings and conclusions); and
(iii) Give notice of the opportunity to present additional information within 30 days of receipt of the initial determination.
(3) The initial determination shall be mailed by certified mail return receipt requested to the parties and interested parties.
(c) Allowability of certain questioned costs. In any case in which the Grant Officer determines that the recipient meets the requirements of section 164(e)(2)(A) -(D) of the Act, the Grant Officer may waive the imposition of sanctions ( sec. 164(e)(3) ). It is the responsibility of the grantee to request such waiver by the Grant Officer and to submit the evidence to be used to make the finding.
(d) Informal resolution. Except as provided by section 164(f) of the Act, the Grant Officer shall not revoke a grant, in whole or in part, nor institute corrective action or sanctions against a grantee without first providing the grantee with an opportunity to informally resolve those matters contained in the Grant Officer's initial determination. If all matters are informally resolved, the Grant Officer shall notify the parties in writing of the nature of the resolution, which shall constitute final agency action, not subject to appeal, and shall close the file.
(e) Final determination.(1) If all the parties and the Grant Officer cannot informally resolve any matter pursuant to paragraph (d) of this section, the Grant Officer shall provide each party with a final written determination by certified mail, return receipt requested. In the case of audits, the final determination shall be issued not later than 180 days after the receipt by the Grant Officer of the final approved audit report.
(2) The final determination shall:
(i) Indicate that efforts to informally resolve matters contained in the initial determination pursuant to paragraph (a) of this section have been unsuccessful;
(ii) List those matters upon which the parties continue to disagree;
(iii) List any modifications to the factual findings and conclusions set in the initial determination;
(iv) List any sanctions, and required corrective actions, including any other alteration or modification of the plan, grant, agreement or program ordered by the Grant Officer; and
(v) Inform the parties of their opportunity to request a hearing pursuant to these regulations.
(3) If it is determined in the final notice that the complaint does not allege and/or the evidence does not indicate that there is reason to believe there may have been a violation of the Act, regulations, grants or other agreements under the Act, the Grant Officer shall dismiss the complaint without an offer of a hearing. Such dismissal shall constitute final agency action.
Title 20 published on 2012-04-01
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