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to be taken, and the matters of fact or all relevant evidence on the issues as law asserted as the basis for this ac- stated in the notice for hearing or as tion, and either (1) fix a date not less determined by the officer conducting than twenty days after the date of such the hearing at the outset of or during notice within which the applicant or the hearing. recipient may request of the respon- (2) Technical rules of evidence shall sible Foundation official that the mat- not apply to hearings conducted pursuter be scheduled for hearing or (2) ad- ant to this part, but rules or principles vise the applicant or recipient that the designed to assure production of the matter in question has been set down most credible evidence available and to for hearing at a stated place and time. subject testimony to test by cross-exThe time and place so fixed shall be amination shall be applied where reareasonable and shall be subject to sonably necessary by the officer conchange for cause. The complainant, if ducting the hearing. The hearing offiany, shall be advised of the time and cer may exclude irrelevant, immateplace of the hearing. An applicant or rial, or unduly repetitious evidence. All recipient may waive a hearing and sub- documents and other evidence offered mit written information and argument or taken for the record shall be open to for the record. The failure of an appli- examination by the parties and opporcant or recipient to request a hearing

tunity shall be given to refute facts under this paragraph or to appear at a

and arguments advanced on either side hearing for which a date has been set of the issues. A transcript shall be shall be deemed to be a waiver of the made of the oral evidence except to the right to a hearing under section 602 of extent the substance thereof is stiputhe Act and $611.8(c) and consent to the lated for the record. All decisions shall making of a decision on the basis of be based upon the hearing record and such information as is available.

written findings shall be made. (b) Time and place of hearing. Hear

(e) Consolidated or joint hearings. In ings shall be held at the offices of the cases in which the same or related Foundation in Arlington, VA, at a time

facts are asserted to constitute nonfixed by the responsible Foundation of

compliance with this part with respect ficial unless he determines that the to two or more programs to which this convenience of the applicant or recipi

part applies or noncompliance with ent or of the Foundation requires that this part and the regulations of one or another place be selected. Hearings more other Federal departments or shall be held before the responsible

agencies issued under title VI of the Foundation official or at the discre- Act, the Director may, by agreement tion of the Director, a hearing exam

with such other departments or ageniner designated in accordance with 5 cies, where applicable, provide for the U.S.C. 3105 and 3344.

conduct of consolidated or joint hear(c) Right to counsel. In all proceedings ings, and for the application to such under this section, the applicant or re

hearings of rules of procedure not incipient and the Foundation shall have consistent with this part. Final decithe right to be represented by counsel.

sions in such cases, insofar as this part (d) Procedures, evidence, and record. (1)

is concerned, shall be made in accordThe hearing, decision, and any admin ance with 8 611.10. istrative review thereof shall be con (29 FR 16305, Dec. 4, 1964, as amended at 38 ducted in conformity with 5 U.S.C. 554 FR 17985, July 5, 1973; 59 FR 37437, July 22, through 557, and in accordance with 1994) such rules of procedure as are proper (and not inconsistent with this section)

8611.10 Decisions and notices. relating to the conduct of the hearing, (a) Decision by a person or persons giving of notices subsequent to those other than the responsible Foundation ofprovided for in paragraph (a) of this ficial. If the hearing is held by a hearsection, taking of testimony, exhibits, ing examiner, such hearing examiner arguments and briefs, requests for find shall either make an initial decision, if ings, and other related matters. Both 80 authorized or certify the entire the Foundation and the applicant or record including recommended findings recipient shall be entitled to introduce and proposed decision to the respon

sible Foundation official for a final decision, and a copy of such initial decision or certification shall be mailed to the applicant or recipient. Where the initial decision is made by the hearing examiner, the applicant or recipient may within 30 days of the mailing of such notice of initial decision file with the responsible Foundation official his exceptions to the initial decision, with his reasons therefor. In the absence of exceptions, the responsible Foundation official may on his own motion within 45 days after the initial decision serve on the applicant or recipient a notice that he will review the decision. Upon the filing of such exceptions or of such notice of review the responsible Foundation official shall review the initial decision and issue his own decision thereon including the reasons therefor. In the absence of either exceptions or a notice of review the initial decision shall constitute the final decision of the responsible Foundation official.

(b) Decisions on record or review by the responsible Foundation official. Whenever, after hearing, a record is certified to the responsible Foundation official for decision or he reviews the decision of a hearing examiner pursuant to paragraph (a) of this section, or when ever the responsible Foundation official conducts the hearing, the applicant or recipient shall be given reason able opportunity to file with him briefs or other written statements of its contentions, and a copy of the final decision of the responsible Foundation official shall be given in writing to the ap plicant or recipient, and to the complainant, if any.

(c) Decisions on record where a hearing is waived. Whenever a hearing is waived pursuant to 8611.9(a), a decision shall be made by the responsible Foundation official on the record and a copy of such decision shall be given in writing to the applicant or recipient, and to the complainant, if any.

(d) Rulings required. Each decision of a hearing officer, panel, or responsible Foundation official shall set forth the ruling on each finding, conclusion, or exception presented, and shall identify the requirement or requirements imposed by or pursuant to this part with which it is found that the applicant or recipient has failed to comply.

(e) Approval by Director. Any final decision of a responsible Foundation official (other than the Director) which provides for the suspension or termination of, or the refusal to grant or continue Federal financial assistance, or the imposition of any other sanction available under this part or the Act, shall promptly be transmitted to the Director who may approve such decision, may vacate it, or remit or mitigate any sanction imposed.

(f) Content of orders. The final decision may provide for suspension or termination of, or refusal to grant or continue Federal financial assistance, in whole or in part, under the program involved, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Act and this part, including provisions designed to assure that no Federal financial assistance will thereafter be extended under such program to the applicant or recipient determined by such decision to be in default in its performance of an assurance given by it pursuant to this part, or to have otherwise failed to comply with this part, unless and until it corrects its noncompliance and satisfies the responsible Foundation official that it will fully comply with this part.

(g) Posttermination proceedings. (1) An applicant or recipient adversely affected by an order issued under paragraph (1) of this section shall be restored to full eligibility to receive Federal financial assistance if it satisfies the terms and conditions of that order for such eligibility or if it brings itself into compliance with this regulation and provides reasonable assurance that it will fully comply with this regulation.

(2) Any applicant or recipient adversely affected by an order entered pursuant to paragraph (f) of this section may at any time request the responsible Foundation official to restore fully its eligibility to receive Federal financial assistance. Any such request shall be supported by information showing that the applicant or recipient has met the requirements of paragraph (g)(1) of this section. If the responsible Foundation official determines that those requirements have been satisfied, he shall restore such eligibility.

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(3) If the responsible Foundation official denies any such request, the applicant or recipient may submit a request for a hearing in writing, specifying why it believes such official to have been in error. It shall thereupon be given an expeditious hearing, with a decision on the record, in accordance with rules of procedure issued by the responsible Foundation official. The applicant or recipient will be restored to such eligibility if it proves at such a hearing that it satisfied the requirements of paragraph (8)(1) of this section. While proceedings under this paragraph are pending, the sanctions imposed by the order issued under paragraph (f) of this section shall remain in effect. (29 FR 16305, Dec. 4, 1964, as amended at 38 FR 17985, July 5, 1973; 51 FR 22939, June 24, 1986)

8611.11 Judicial review.

Action taken pursuant to section 602 of the Act is subject to judicial review as provided in section 603 of the Act.

8611.12 Effect on other regulations;

forms and instructions. (a) Effect on other regulations. All regulations, orders, or like directions heretofore issued by any officer of the Foundation which impose requirements designed to prohibit any discrimination against individuals on the ground of race, color, or national origin under any program to which this part applies, and which authorize the suspension or termination of or refusal to grant or to continue Federal financial assistance to any applicant for or recipient of such assistance under such program for failure to comply with such requirements, are hereby superseded to the extent that such discrimination is prohibited by this part, except that nothing in this part shall be deemed to relieve any person of any obligation assumed or imposed under any such superseded regulation, order, instruction, or like direction prior to the effective date of this part. Nothing in this part, however, supersedes any of the following (including future amendments thereof): (1) Executive Order 11246 and regulation issued thereunder, or (2) any other orders, regulations, or instructions, insofar as such orders, regula. tions, or instructions prohibit discrimi

nation on the ground of race, color, or national origin in any program or situation to which this part is inapplicable, or prohibit discrimination on any other ground.

(b) Forms and instructions. Each responsible Foundation official shall issue and promptly make available to interested persons forms and detailed instructions and procedures for effectuating this part as applied to programs to which this part applies and for which he is responsible.

(c) Supervision and coordination. The Director may from time to time assign to officials of other departments or agencies of the Government, with the consent of such departments or agencies, responsibilities in connection with the effectuation of the purposes of title VI of the Act and this part (other than responsibility for final decision as provided in $611.10), including the achievement of effective coordination and maximum uniformity within the Foundation and within the Executive Branch of the Government in the application of title VI and this regulation to similar programs and in similar situations. Any action taken, determination made, or requirement imposed by an official of another Department or agency acting pursuant to an assignment of responsibility under this subsection shall have the same effect as though such action had been taken by the responsible official of this agency. (29 FR 16305, Dec. 4, 1964, as amended at 38 FR 17985, July 5, 1973] 8611.13 Definitions.

As used in this part:

(a) The term Foundation means the National Science Foundation, and includes each of its organizational units.

(b) The term Director means the Director of the National Science Foundation.

(c) The term responsible Foundation official with respect to any program receiving Federal financial assistance means the Director or other official of the Foundation designated by the Director.

(d) The term United States means the States of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, facilities includes the construction, expansion, renovation, remodeling, alteration or acquisition of facilities.

(h) The term recipient means any State, political subdivision of any State, or instrumentality of any State or political subdivision, any public or private agency, institution, or organization, or other entity or any individual, in any State, to whom Federal financial assistance is extended, directly or through another recipient, for any program, including any successor, assign, or transferee thereof, but such term does not include any ultimate beneficiary under any such program.

(i) The term primary recipient means any recipient which is authorized or required to extend Federal financial assistance to another recipient for the purpose of carrying out a program.

(j) The term applicant means one who submits an application, request, or plan required to be approved by a responsible Foundation official, or by a primary recipient, as a condition to eligibility for Federal financial assistance, and the term application means such an application, request, or plan.

and the territories and possessions of the United States, and the term State neans any one of the foregoing.

(e) The term Federal financial assistince includes (1) grants and loans of Federal funds, (2) the grant or the dolation of Federal property and interists in property, (3) the detail of Fedral personnel, (4) the sale and lease of, und the permission to use (on other ihan a casual or transient basis), Fed?ral property or any interest in such property without consideration or at a nominal consideration, or at a considration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by such sale or lease to the recipient, and (5) any Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance.

(1) The term program includes any program, project, or activity involving the provision of services, financial aid, or other benefits to individuals (including education or training, health, housing, or other services, whether provided through employees of the recipient of Federal financial assistance or provided by others through contracts or other arrangements with the recipient, and including work opportunities and cash or loan or other assistance to individuals), or for the provision of facilities for furnishing services, financial aid or other benefits to individuals. The services, financial aid, or other benefits provided under a program receiving Federal financial assistance shall be deemed to include any seryices, financial aid, or other benefits provided with the aid of Federal financial assistance or with the aid of any non-Federal funds, property, or other resources required to be expended or made available for the program to meet matching requirements or other conditions which must be met in order to receive the Federal financial assistance, and to include any services, financial aid, or other benefits provided in or through a facility provided with the aid of Federal financial assistance or such non-Federal resources.

(8) The term facility includes all or any portion of structures, equipment, or other real or personal property or interests therein, and the provision of


Statutory Provisions under which the National Science Foundation provides Federal financial assistance: The National Science Foundation Act of

1950, as amended (42 U.S.C. 1861-1875). (38 FR 17986, July 5, 1973, as amended at 59 FR 37437, July 22, 1994)


Sec. 612.1 Scope. 612.2 Information policy. 612.3 Procedures applicable to the public

requests and appeals. 612.4 Copies of records. 612.5 Creation of records. 612.6 Confidential commercial informa

tion-notice. 612.7 Agency actions on receipt of a prop

erly presented request for record. 612.8 Records not available. 612.9 Fees to be charged-definitions. 612.10 Fees to be charged-general. 612.11 Fees to be charged-categories of re

questers. 612.12 Administrative actions to improve

assessment and collection of fees. 612.13 Waivers or reductions.

AUTHORITY: 5 U.S.C. 552, as amended. 8612.1 Scope.

This part establishes procedures by which the National Science Foundation (NSF) will implement the Freedom of Information Act, 5 U.S.C. 552(a), relating to public availability of NSF records. (56 FR 47415, Sept. 19, 1991) 8612.2 Information policy.

(a) Subject to the policies set forth below, NSF will make the fullest possible disclosure of information to any person who requests information, without unnecessary expenses or delay. The Inspector General (concerning records maintained by the Office of Inspector General) or the Deputy Director (concerning all other NSF records) may, except where prohibited by law, order disclosure in the public interest of records exempt from mandatory disclosure under $612.8 of this part.

(b) A collection of NSF policy documents, staff instructions, and of agency opinions and orders in the adjudication of cases, with respective indices, shall be physically located in the National Science Foundation library at 4201 Wilson Boulevard, Arlington, VA, where they will be available for inspection by the public during regular working hours on Monday through Friday. Copies of such documents shall be furnished in accordance with these regula

8612.3 Procedures applicable to the

public-requests and appeals. (a) Publications excluded. For the purpose of public requests for records the term record does not include publications which are available to the public in the FEDERAL REGISTER, or by sale or free distribution. Such publications may be obtained from the Government Printing Office, the National Technical Information Service, the NSF Forms and Publications Unit or NSF grantees or contractors. Requests for such publications will be referred to or the requester informed of the appropriate source. The booklet, Publications of the National Science Foundation, which is available without charge from Forms and Publications, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, identifies Annual Reports, Descriptive Brochures, Program Announcements, Science Resources Studies, Special Studies, and Periodicals descriptive of Foundation activities, policies, and procedures, sets forth the cost of each, and tells how copies may be obtained.

(b) Form of request. A request need not be in any particular format, but it: (1) Must be in writing, (2) must be clearly identified both on the envelope and in the letter as a Freedom of Information Act or FOIA request, (3) must describe the records sought with sufficient specificity to permit identification, and (4) must state that the requester promptly will pay the fees chargeable under this regulation. Provided, however, that when the requester places an inadequate limit on the amount he will pay or the requester has failed to make payments for previous requests, the NSF may require advance payment in accordance with 8612.12(d) of this part except in cases when fees have been waived or reduced in accordance with $612.13 of this part.

(c) Place of request. Any request for records under FOIA shall be addressed to the National Science Foundation, Office of Legislative and Public Affairs, 4201 Wilson Boulevard, Arlington, VA 22230, except that requests for records maintained by the Office of the Inspector General may be addressed to either the Office of Legislative and Public Affairs, National Science Foundation,


(c) The Director, Office of Information and Resource Management (DI IRM) shall be responsible for maintaining, publishing, distributing and making available for inspection and copying the current indexes and supplements thereto which are required by 5 U.S.C. 552(a)(2). Such indexes shall promptly be published, quarterly or more frequently, unless the D/IRM determines by order published in the FEDERAL REGISTER that the publication would be unnecessary. The fee for furnishing copies of indexes and supplements shall not exceed the direct cost of duplication. (40 FR 12793, Mar. 21, 1975, as amended at 49 FR 23049, June 4, 1984; 49 FR 37595, Sept. 25, 1984; 56 FR 47416, Sept. 19, 1991; 59 FR 37437, 37438, July 22, 1994)

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