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(a) Each grantee shall provide for keeping accessible and intact all records supporting claims for Federal funds and relating to the accountability of the grantee for expenditure of such funds and relating to its expenditure of its contribution to the cost of the program or project for 3 years after the close of the budget period in which the expenditures were made by the grantee; or if a Federal audit has not occurred within 3 years:
(1) For 5 years after the close of the budget period in which the expenditures were made by the grantee; or
(2) Until the grantee is notified of the completion of the Federal fiscal audit, whichever is earlier.
(b) The records involved in any claim or expenditure which has been questioned by the Federal fiscal audit shall be further maintained until necessary adjustments have been made and the adjustments have been approved by the Commissioner.
(a) Material produced as a result of any program or project supported with grants under this part may be published without prior review by the Commissioner: Provided, That (1) 15 copies of such material shall be furnished to the Commissioner and (2) that no such materials may be published for sale without the prior approval of the Commissioner, which approval shall be subject to such requirements as he deems appropriate. All such published material shall contain the following statement:
The (program) (project) presented or reported herein was performed pursuant to a grant from the U.S. Office of Education, Department of Health, Education, and Welfare. The opinions expressed herein, however, do not necessarily reflect the position or policy of the U.S. Office of Education, and no official endorsement by the U.S. Office of Education should be inferred.
(b) All printing or duplicating authorized under a grant under this part shall be subject to the restrictions and limitations contained in the current issue of the "Printing and Binding Regulations", published by the Joint Committee on Printing, Congress of the United States. § 103.51 Patents and copyrights.
(a) Any material of a copyrightable nature produced through a program or project supported with grants under this part shall be subject to the copyright policy of the U.S. Office of Education set forth in its Statement of Policy of March 1, 1968 (33 F.R. 3653) or any modification thereof in effect at the time of the grant. Provisions implementing this policy will be included in the terms and conditions of the grant award document.
(b) Any material of a patentable nature produced through a program or project supported with grants under this part shall be subject to the provisions of 45 CFR Parts 6 and 8. Provisions implementing these parts will be included in the terms and conditions of the grant award document.
§ 103.52 Termination of grant.
(a) Any grant may be terminated by the Commissioner
(1) If he determines that the program or project is no longer susceptible of productive results; or
(2) If the grantee fails to compy with any grant requirement or condition.
(b) Where action is taken under this section, the Commissioner may authorize the expenditure of Federal funds in such amounts as he deems necessary for the purpose of terminating the program or project financed by the grant which is being terminated.
§ 103.53 Use of and accountability for equipment.
(a) Definition. As used in this section, the term "equipment" means nonconsumable personal property procured or fabricated which is complete in itself, is of a durable nature, and has an expected useful life of more than 1 year.
(b) Use. Equipment procured or fabricated under the grant shall be used only to accomplish the purposes of the grant unless another use is approved in writing by the Commissioner. The grantee shall safeguard and protect all such equipment in accordance with prudent property management practices.
(c) Accountability. The grantee shall maintain current records on all equipment procured or fabricated under the grant, and costing more than $300 or having a residual value of more than $100. Such equipment may not be disposed of by the grantee without the prior consent of the Commissioner and shall, upon the expiration or termination of the grant, be made available by the grantee for such disposition as the Commissioner may direct in accordance with the applicable provisions of the Department's Grants Administration Manual, Chapter 1-410.
Sale of goods and services.
The grantee shall obtain from the Commissioner prior approval of any sale of goods and services resulting from the program or project, and such approval will be subject to such conditions and requirements as the Commissioner deems appropriate.
§ 103.55 Service contracts.
The grantee may enter into contracts or agreements for the provision of part of the services to be provided under the grant by other appropriate public or private agencies or institutions. Such contract or agreement shall incorporate the regulations of this part and other applicable Federal requirements, describe the services to be provided for the agency or institution, and contain provisions assuring that the grantee will retain supervision and administrative control over the provision of services under the contract or agreement. Services to be provided by contract or agreement pursuant to this section shall be specified in the program or project proposal or in an amendment thereto, and the proposed contract or agreement shall be submitted to the Commissioner for prior approval. § 103.56 Changes in key personnel.
If for any reason it becomes necessary to substitute the project director or other persons listed in the program or project proposal as persons employed in connection with the grant, the grantee shall in writing notify the Commissioner of such substitution. Such written notification shall include the name and qualifications of the successor.
ported by Federal funds either under this part or otherwise, he may not be compensated for more than 100 percent of his time from Federal funds during any part of the period of dual involvement. The grantee shall not use any grant funds or funds from other sources to pay a fee to, or travel expenses of, employees of the U.S. Office of Education for lectures, attending program or project functions, or any other activities in connection with the grant.
§ 103.58 Clearance of forms.
The grantee shall be required to obtain from the Commissioner clearance of tests, questionnaires, or other forms to be employed in collecting data in the program or project supported with funds under this part in accordance with terms and conditions specified in the grant award document.
Interest earned on grants made under this part to grantees other than States shall be credited to the United States. The grantee shall submit as a part of each financial report required under the grant a statement showing the amount of interest earned on Federal funds during the period covered by the report. § 103.60
Applicability of State, local, or institutional procedures.
Subject to the provisions and the limitations of the Act and regulations in this part, grant funds shall be available only for expenditures made in accordance with applicable State, local, or institutional laws, rules, regulations, and standards governing expenditures by the grantee.
In addition to such other accounting as the Commissioner may require, the grantee shall render, with respect to the program or project under the grant, a full account of:
(a) Funds expended, obligated, and remaining under the grant;
(b) All equipment and materials purchased with Federal funds;
(c) All instructional materials developed for use in the program or project; and
(d) All salable items resulting from the program or project.
A report of such accounting shall be submitted to the Commissioner within 60 days of the expiration or termination of
(a) "Act" means the Elementary and Secondary Education Amendments of 1967 (Public Law 90-247).
(b) "Commissioner” means the U.S. Commissioner of Education.
(c) "Elementary and secondary education" means elementary and secondary education as determined under State law.
(d) "Evaluation" means determining the extent to which management and program objectives are being achieved, using measures of efficiency and effectiveness to compare results with predetermined standards.
(e) "Grant period" means that period of time for which grant funds are made available for expenditure by the grantee.
(f) "Planning” means a series of activities involving assessing needs, defining objectives, identifying problems, establishing priorities, examining alternative solutions, selecting possible approaches, and formulating action programs, including strategies for their evaluation, to achieve specified goals.
(g) "Project period" means the total amount of time for which a project is approved in principle for support under section 402 of the Act.
(h) "State" means, in addition to the several States of the Union, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa,
It is the purpose of the regulations in this part to cover grants authorized in section 402 of the Act to be made by the Commissioner to State educational agencies for expenses for planning for the succeeding year programs or projects for elementary and secondary education, including, where appropriate, preschool programs or projects, under programs for which the Commissioner has responsibility for administration, either by statute or by delegation pursuant to statute, and for evaluation of such programs or projects. Grants in equal amounts will be made, consistent with applications approved pursuant to § 107.3, for each State of the Union; in lesser equal amounts for the District of Columbia and the Commonwealth of Puerto Rico; and in yet lesser equal amounts for Guam, American Samoa, the Virgin Islands, and the Trust Territory of the Pacific Islands. It is not the purpose of the regulations in this part to cover grants, contracts, or other payments to be made to other organizations or individuals.
§ 107.3 Applications.
An application for a grant shall be submitted to the Commissioner. The application shall be made in the form and detail and in accordance with such procedures as the Commissioner may prescribe. An application shall contain (a) a statement of the purpose of the project, (b) a description of the nature and scope of the activities to be undertaken and the methods and arrangements for working toward project objectives, (c) a proposed budget, (d) an assurance that the applicant will comply with the requirements of the regulations in this part, and with such other conditions and procedures as the Commissioner may prescribe in awarding the grant, and (e) any other documents and information which the Commissioner may require.
An amendment to an approved application shall be submitted in writing to the Commissioner for approval whenever necessary to reflect any substantial change that may be proposed in the scope or nature of the project or in its conduct or administration.
§ 107.5 Project and grant periods.
The project period shall begin on the date, and shall remain in effect for the period, specified in the notice of award. A grant of Federal funds will normally be made for only 1 year but need not coincide with a fiscal year. The grantee must make separate application for continuation support beyond a grant period. (31 U.S.C. 200)
Expenditures by grantee.
For the purposes of determining whether funds are expended during the grant period, Federal funds will be considered to be expended by a grantee on the basis of documentary evidence of binding commitments by the grantee for the acquisition of goods or property or for the performance of work, except that the expenditure of funds for personal services, for services performed by public utilities, for travel, and for rental of equipment and facilities shall be determined on the basis of the time such services were rendered, such travel was performed, and such rented equipment and facilities were used, respectively. (31 U.S.C. 200)
§ 107.7 Liquidation of obligations.
Obligations entered into by a grantee and payable from funds under section 402 of the Act shall be liquidated within 12 months following the end of the grant period unless prior to the end of that 12month period the grantee reports to the Commissioner the reasons why such obligations cannot be timely liquidated and, on the basis thereof, the Commissioner extends the time for so liquidating obligations.
(31 U.S.C. 200)
§ 107.8 Records.
claims for Federal funds or relating to the accountability for expenditure of such funds for 3 years after the end of the period for which such funds were made available for expenditure unless, by that time an audit by or on behalf of the Department of Health, Education, and Welfare has not occurred, in which case the records must be retained until audit or until 5 years following the end of the budget period, whichever is earlier.
(b) The grantee shall maintain inventories of all equipment acquired under section 402 of the Act and costing $100 or more per unit for the expected useful life of the equipment or until its disposition, whichever is earlier. The records of such inventories shall be kept for 3 years following the period for which such inventories are required to be made, unless by that time an audit by or on behalf of the Department has not occurred, in which case the records must be retained until audit or until 5 years following the end of the budget period, whichever is earlier.
(a) The grantee shall maintain and keep intact and accessible to the Secretary of Health, Education, and Welfare and the Comptroller General of the United States all records supporting
Procedures, evidence, and record.
Decisions and notices.
Decisions on record or review by
111.10 Other determinations not affected by this part.
Terms defined in Public Law 815, 81st Congress (64 Stat. 967), as amended, and Public Law 874, 81st Congress (64 Stat. 1100), as amended, and not defined in this section shall have the meaning given such terms in such public laws. As used in this part, the following terms shall have the meaning indicated in paragraphs (a) to (e) of this section:
(a) Commissioner. The "Commissioner" means the Commissioner of Education, Department of Health, Education, and Welfare.
(b) Public Law 815. "Public Law 815" means Public Law 815, 81st Congress (64 Stat. 967), as amended.
(c) Public Law 874. "Public Law 874" means Public Law 874, 81st Congress (64 Stat. 1100), as amended.
(d) Applicant. "Applicant" means a local educational agency which has filed an application under Public Law 815 or Public Law 874, and the regulations issued thereunder.
Opportunity for hearing.
(a) Any applicant whose application under Public Law 815 or Public Law 874 is disapproved by the Commissioner, or his delegatee, in whole or in part, or which is dissatisfied with the Commissioner's action, or failure to act (or that of his delegatee), upon its application under such public laws shall be entitled to a hearing thereon.
(b) A hearing shall be given to an applicant dissatisfied with an adverse administrative action of the Commissioner (or of his delegatee) with respect to its application only (1) if a written request for such a hearing with respect to such action is filed with the Commissioner within 60 days of notice to the applicant of such action; and (2) if the action at issue is material to the determination
of the applicant's rights and is not committed wholly to the discretion of the Commissioner. The time within which such a request for hearing must be filed will not be extended by a request for reconsideration or by reconsideration by the Commissioner on his own motion, unless the time for filing such request is extended in writing by the Commissioner.
(c) In the event the Commissioner has reason to believe that further payments to an applicant under Public Law 815 should be withheld by reason of the failure of the applicant to comply with the conditions of such law, he shall so notify the applicant. Such notice, a copy of which shall likewise be sent to the State educational agency, shall either (1) advise the applicant of the specific provision under which the Commissioner's action is taken and the basis for his belief and fix a date not less than 20 days, nor more than 60 days, after the date of such notice within which the applicant may request that the matter be scheduled for hearing in due course; or (2) advise the applicant that the matter in question has been set down for hearing at a stated place and time. The time and place so fixed shall be subject to change for cause. The failure of an applicant without the consent of the Commissioner to request a hearing under subparagraph (1) of this paragraph or to appear at a hearing for which a date has been set, shall be deemed to be a waiver of the right to a hearing under this subsection and consent to the Commissioner making a decision on the basis of such information as is available to him.
[18 F.R. 6707, Oct. 22, 1953, as amended at 24 F.R. 3880, May 14, 1959]
§ 111.3 Procedure in requesting hearing.
A request by an applicant for a hearing in accordance with this part must be addressed to the Commissioner and must clearly specify in writing the issues of fact and law to be considered, and, where the applicant is not a State agency, a copy of such request should be furnished to the State educational agency by the applicant.
§ 111.4 Reconsideration after request or order for hearing.
The request for a hearing, or the fact that any matter or issue has been sched