Page images
PDF
EPUB

(2) Grants that support construction records must be retained until compleactivities paid by letter of credit, elec- tion of the action and resolution of all tronic funds transfer or Treasury check issues which arise from it, or until the advance.

end of the regular 3-year period, which(i) When a construction grant is paid ever is later. by letter of credit, electronic funds (3) To avoid duplicate recordkeeping, transfer or Treasury check advances, awarding agencies may make special the grantee will report its outlays to arrangements with grantees and the Federal agency using Standard subgrantees to retain any records Form 271, Outlay Report and Request which are continuously needed for for Reimbursement for Construction joint use. The awarding agency will rePrograms. The Federal agency will pro- quest transfer of records to its custody vide any necessary special instruction. when it determines that the records However, frequency and due date shall possess long-term retention value. be governed by $1174.41(b) (3) and (4). When the records are transferred to or

(ii) When a construction grant is paid maintained by the Federal agency, the by Treasury check advances based on 3-year retention requirement is not apperiodic requests from the grantee, the plicable to the grantee or subgrantee. advances will be requested on the form (c) Starting date of retention period(1) specified in 8 1174.41(d).

General. When grant support is contin(iii) The Federal agency may sub- ued or renewed at annual or other institute the Financial Status Report tervals, the retention period for the specified in $1174.41(b) for the Outlay records of each funding period starts on Report and Request for Reimbursement the day the grantee or subgrantee subfor Construction Programs.

mits to the awarding agency its single (3) Accounting basis. The accounting or last expenditure report for that pebasis for the Outlay Report and Re riod. However, if grant support is conquest for Reimbursement for Construc tinued or renewed quarterly, the retention Programs shall be governed by tion period for each year's records $1174.41(b)(2).

starts on the day the grantee submits

its expenditure report for the last quar81174.42 Retention and access re ter of the Federal fiscal year. In all quirements for records.

other cases, the retention period starts (a) Applicability. (1) This section ap on the day the grantee submits its plies to all financial and programmatic final expenditure report. If an expendirecords, supporting documents, statis ture report has been waived, the retentical records, and other records of tion period starts on the day the report grantees or subgrantees which are:

would have been due. (i) Required to be maintained by the (2) Real property and equipment terms of this part, program regulations records. The retention period for real or the grant agreement, or

property and equipment records starts (ii) Otherwise reasonably considered from the date of the disposition or reas pertinent to program regulations or placement or transfer at the direction the grant agreement.

of the awarding agency. (2) This section does not apply to (3) Records for income transactions records maintained by contractors or after grant or subgrant support. In some subcontractors. For a requirement to cases grantees must report income place a provision concerning records in after the period of grant support. certain kinds of contracts, see Where there is such a requirement, the $1174.36(i)(10).

retention period for the records per(b) Length of retention period. (1) Ex- taining to the earning of the income cept as otherwise provided, records starts from the end of the grantee's fismust be retained for three years from cal year in which the income is earned. the starting date specified in paragraph (4) Indirect cost rate proposals, cost al(c) of this section.

locations plans, etc. This paragraph ap(2) If any litigation, claim, negotia- plies to the following types of docution, audit or other action involving ments, and their supporting records: the records has been started before the indirect cost rate computations or proexpiration of the 3-year period, the posals, cost allocation plans, and any

similar accounting computations of or elsewhere, the awarding agency may the rate at which a particular group of take one or more of the following accosts is chargeable (such as computer tions, as appropriate in the cirusage chargeback rates or composite cumstances: fringe benefit rates).

(1) Temporarily withhold cash pay(i) If submitted for negotiation. If the ments pending correction of the defiproposal, plan, or other computation is ciency by the grantee or subgrantee or required to be submitted to the Federal more severe enforcement action by the Government (or to the grantee) to form awarding agency, the basis for negotiation of the rate, (2) Disallow (that is, deny both use of then the 3-year retention period for its funds and matching credit for) all or supporting records starts from the date part of the cost of the activity or acof such submission.

tion not in compliance, (ii) If not submitted for negotiation. If (3) Wholly or partly suspend or terthe proposal, plan, or other computa- minate the current award for the tion is not required to be submitted to grantee's or subgrantee's program, the Federal Government (or to the (4) Withhold further awards for the grantee) for negotiation purposes, then program, or the 3-year retention period for the pro- (5) Take other remedies that may be posal plan, or computation and its sup- legally available. porting records starts from end of the (b) Hearings, appeals. In taking an enfiscal year (or other accounting period) forcement action, the awarding agency covered by the proposal, plan, or other will provide the grantee or subgrantee computation.

an opportunity for such hearing, ap (d) Substitution of microfilm. Copies peal, or other administrative proceedmade by microfilming, photocopying, ing to which the grantee or subgrantee or similar methods may be substituted is entitled under any statute or regulafor the original records.

tion applicable to the action involved. (e) Access to records (1) Records of (c) Effects of suspension and termigrantees and subgrantees. The awarding nation. Costs of grantee or subgrantee agency and the Comptroller General of resulting from obligations incurred by the United States, or any of their au the grantee or subgrantee during a susthorized representatives, shall have the pension or after termination of an right of access to any pertinent books, award are not allowable unless the documents, papers, or other records of awarding agency expressly authorizes grantees and subgrantees which are them in the notice of suspension or terpertinent to the grant, in order to mination or subsequently. Other grantmake audits, examinations, excerpts, ee or subgrantee costs during suspenand transcripts.

sion or after termination which are (2) Espiration of right of access. The necessary and not reasonably avoidable rights of access in this section must are allowable if: not be limited to the required reten (1) The costs result from obligations tion period but shall last as long as the which were properly incurred by the records are retained.

grantee or subgrantee before the effec(f) Restrictions on public access. The tive date of suspension or termination, Federal Freedom of Information Act (5 are not in anticipation of it, and, in the U.S.C. 552) does not apply to records case of a termination, are Unless required by Federal, State, or noncancellable, and, local law, grantees and subgrantees are (2) The costs would be allowable if not required to permit public access to the award were not suspended or extheir records.

pired normally at the end of the fund

ing period in which the termination $1174.43 Enforcement.

takes effect. (a) Remedies for noncompliance. If a (d) Relationship to debarment and susgrantee or subgrantee materially fails pension. The enforcement remedies to comply with any term of an award, identified in this section, including whether stated in a Federal statute or suspension and termination, do not regulation, an assurance, in a state preclude grantee or subgrantee from plan or application, a notice of award, being subject to “Debarment and Sus

pension” under Executive Order 12549 (see $1174.35).

$ 1174.44 Termination for convenience.

Except as provided in $1174.43 awards may be terminated in whole or in part only as follows:

(a) By the awarding agency with the consent of the grantee or subgrantee in which case the two parties shall agree upon the termination conditions, including the effective date and in the case of partial termination, the portion to be terminated, or

(b) By the grantee or subgrantee upon written notification to the awarding agency, setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. However, if, in the case of a partial termination, the awarding agency determines that the remaining portion of the award will not accomplish the purposes for which the award was made, the awarding agency may terminate the award in its entirety under either $1174.43 or paragraph (a) of this section.

In accordance with $1174.32(1), a grantee must submit an inventory of all federally owned property (as distinct from property acquired with grant funds) for which it is accountable and request disposition instructions from the Federal agency of property no longer needed.

(c) Cost adjustment. The Federal agency will, within 90 days after receipt of reports in paragraph (b) of this section, make upward or downward adjustments to the allowable costs.

(d) Cash adjustments. (1) The Federal agency will make prompt payment to the grantee for allowable reimbursable costs.

(2) The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered) cash advanced that is not authorized to be retained for use on other grants.

81174.51 Later disallowances and ad

justments. The closeout of a grant does not affect:

(a) The Federal agency's right to disallow costs and recover funds on the basis of a later audit or other review;

(b) The grantee's obligation to return any funds due as a result of later refunds, corrections, or other transactions;

(c) Records retention as required in $1174.42;

(d) Property management requirements in 881174.31 and 1174.32; and

(e) Audit requirements in $1174.26.

con

Subpart D-After-The-Grant

Requirements 81174.50 Closeout.

(a) General. The Federal agency will close out the award when it determines that all applicable administrative actions and all required work of the grant has been completed. .

(b) Reports. Within 90 days after the expiration or termination of the grant, the grantee must submit all financial, performance, and other reports required as a condition of the grant. Upon request by the grantee, Federal agencies may extend this timeframe. These may include but are not limited to:

(1) Final performance of progress report.

(2) Financial Status Report (SF 269) or Outlay Report and Request for Reimbursement for Construction Programs (SF-271) (as applicable).

(3) Final request for payment (SF-270) (if applicable).

(4) Invention disclosure (if applicable). (5) Federally-owned property report:

$ 1174.52 Collection of amounts due.

(a) Any funds paid to a grantee in excess of the amount to which the grantee is finally determined to be entitled under the terms of the award stitute a debt to the Federal Government. If not paid within a reasonable period after demand, the Federal agency may reduce the debt by:

(1) Making an adminstrative offset against other requests for reimbursements,

(2) Withholding advance payments otherwise due to the grantee, or

(3) Other action permitted by law.

(b) Except where otherwise provided by statutes or regulations, the Federal agency will charge interest on an overdue debt in accordance with the Federal Claims Collection Standards (4 CFR Ch. II). The date from which interist is computed is not extended by litiration or the filing of any form of apseal.

iubpart E-Entitlements (Reserved) ART 1175-ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL ENDOWMENT FOR THE HUMANITIES

Sec. L175.101 Purpose. 1173.102 Application. 1195.103 Definitions. 1175.104-1175.109 (Reserved) 1173.110 Self-evaluation. 1193.111 Notice. 1175.112—1175.129 (Reserved) C1175.130 General prohibitions against dis

crimination. 1175.131—1175.139 (Reserved] 1175.140 Employment. 1175.141—1175.148 (Reserved] 1175.149 Program accessibility: Discrimina

tion prohibited. 1175.150 Program accessibility: Existing fa

cilities. 1175.151 Program accessibility: New con

struction and alterations. 1175.152—1175.159 (Reserved) 1175.160 Communications. 1175.161—1175.169 [Reserved) 1175.170 Compliance procedures. 1175.171—1175.999 (Reserved) AUTHORITY: 29 U.S.C. 794.

SOURCE: 51 FR 4578 and 4579, Feb. 5, 1986, unless otherwise noted. $1176.101 Purpose.

This part effectuates section 119 of the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 to prohibit discrimination on the basis of handicap in programs or activities conducted by Executive agencies or the United States Postal Service. $1175.102 Application.

This part applies to all programs or activities conducted by the agency. $1175.103 Definitions.

For purposes of this part, the term

Assistant Attorney General means the Assistant Attorney General, Civil Rights Division, United States Department of Justice.

Auxiliary aids means services or devices that enable persons with impaired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities conducted by the agency. For example, auxiliary aids useful for persons with impaired vision include readers, Brailled materials, audio recordings, telecommunications devices and other similar services and devices. Auxiliary aids useful for persons with impaired hearing include telephone handset amplifiers, telephones compatible with hearing aids, telecommunication devices for deaf persons (TDD's), interpreters, notetakers, written materials, and other similar services and devices.

Complete complaint means a written statement that contains the complainant's name and address and describes the agency's alleged discriminatory action in sufficient detail to inform the agency of the nature and date of the alleged violation of section 504. It shall be signed by the complainant or by someone authorized to do so on his or her behalf. Complaints filed on behalf of classes or third parties shall describe or identify (by name, if possible) the alleged victims of discrimination.

Facility means all or any portion of buildings, structures, equipment, roads, walks, parking lots, rolling stock or other conveyances, or other real or personal property.

Handicapped person means any person who has a physical or mental impairment that substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment.

As used in this definition, the phrase:

(1) Physical or mental impairment includes

(i) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one of more of the following body systems: Neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine; or

150–173 0-94--26

(ii) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. The term physical or mental impairment includes, but is not limited to, such diseases and conditions as orthopedic, visual, speech, and hearing impairments, cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, emotional illness, and drug addition and alcholism.

(2) Major life activities includes functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working.

(3) Has a record of such an impairment means has a history of, or has been misclassified as having, a mental or physical impairment that substantially limits one or more major life activi

ties.

(3) Qualified handicapped person is defined for purposes of employment in 29 CFR 1613.702(1), which is made applicable to this part by $1175.140.

Section 504 means section 504 of the Rehabilitation Act of 1973 (Pub. L. 93– 112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), and the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used in this part, section 504 applies only to programs or activities conducted by Executive agencies and not to federally assisted programs. (51 FR 4578 and 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986) $8 1175.104—1175.109 (Reserved) 91175.110 Self-evaluation.

(a) The agency shall, by April 9, 1987, evaluate its current policies and practices, and the effects thereof, that do not or may not meet the requirements of this part, and, to the extent modification of any such policies and practices is required, the agency shall proceed to make the necessary modifications.

(b) The agency shall provide an opportunity to interested persons, including handicapped persons or organizations representing handicapped persons, to participate in the self-evaluation process by submitting comments (both oral and written).

(c) The agency shall, until three years following the completion of the self-evaluation, maintain on file and make available for public inspections:

(1) A description of areas examined and any problems identified, and

(2) A description of any modifications made.

(4) Is regarded as having an impairment means

(i) Has a physical or mental impairment that does not substantially limit major life activities but is treated by the agency as constituting such a limitation;

(ii) Has a physical or mental impairment that substantially limits major life activities only as a result of the attitudes of others toward such impairment; or

(iii) Has none of the impairments defined in paragraph (1) of this definition but is treated by the agency as having such an impairment.

Qualified handicapped person means

(1) With respect to any agency program or activity under which a person is required to perform services or to achieve a level of accomplishment, a handicapped person who meets the essential eligibility requirements and who can achieve the purpose of the program or activity without modifications in the program or activity that the agency can demonstrate would result in a fundamental alteration in its nature; or

(2) With respect to any other program or activity, a handicapped person who meets the essential eligibility requirements for participation in, or receipt of benefits from, that program or activity.

81175.111 Notice.

The agency shall make available to employees, applicants, participants, beneficiaries, and other interested persons such information regarding the provisions of this part and its applicability to the programs or activities conducted by the agency, and make such information available to them in such manner as the head of the agency finds necessary to apprise such persons

« PreviousContinue »