EDGAR Part 86 Subpart D (Responses/Sanctions Issued/Imposed by the Secretary for Violations by an IHE)
Subpart D_Responses and Sanctions Issued or Imposed by the Secretary for
Violations by an IHE
Sec. 86.300 What constitutes a violation of this part by an IHE?
An IHE violates this part by--
(a) Receiving any form of Federal financial assistance after
becoming ineligible to receive that assistance because of failure to
submit a certification in accordance with Sec. 86.3(b); or
(b) Violating its certification. Violation of a certification
includes failure of an IHE to--
(1) Adopt or implement its drug prevention program; or
(2) Consistently enforce its disciplinary sanctions for violations
by students and employees of the standards of conduct adopted by an IHE
under Sec. 86.100(a)(1).
(Authority: 20 U.S.C. 1145g)
[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66226, Dec. 17, 1996]
Sec. 86.301 What actions may the Secretary take if an IHE violates
this part?
(a) If an IHE violates its certification, the Secretary may issue a
response to the IHE. A response may include, but is not limited to--
(1) Provision of information and technical assistance; and
(2) Formulation of a compliance agreement designed to bring the IHE
into full compliance with this part as soon as feasible.
(b) If an IHE receives any form of Federal financial assistance
without having submitted a certification or violates its certification,
the Secretary may impose one or more sanctions on the IHE, including--
(1) Repayment of any or all forms of Federal financial assistance
received by the IHE when it was in violation of this part; and
(2) The termination of any or all forms of Federal financial
assistance that--
(i)(A) Except as specified in paragraph (b)(2)(ii) of this section,
ends an IHE's eligibility to receive any or all forms of Federal
financial assistance. The Secretary specifies which forms of Federal
financial assistance would be affected; and
(B) Prohibits an IHE from making any new obligations against Federal
funds; and
(ii) For purposes of an IHE's participation in the student financial
assistance programs authorized by title IV of the Higher Education Act
of 1965 as amended, has the same effect as a termination under 34 CFR
668.94.
(Authority: 20 U.S.C. 1145g)
[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996]
Sec. 86.302 What are the procedures used by the Secretary for
providing information or technical assistance?
(a) The Secretary provides information or technical assistance to an
IHE in writing, through site visits, or by other means.
(b) The IHE shall inform the Secretary of any corrective action it
has taken within a period specified by the Secretary.
(Authority: 20 U.S.C. 1145g)
[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996]
Sec. 86.303 What are the procedures used by the Secretary for issuing
a response other than the formulation of a compliance
agreement or the provision of information or technical
assistance?
(a) If the Secretary intends to issue a response other than the
formulation of a compliance agreement or the provision of information or
technical assistance, the Secretary notifies the IHE in writing of--
(1) The Secretary's determination that there are grounds to issue a
response other than the formulation of a compliance agreement or
providing information or technical assistance; and
(2) The response the Secretary intends to issue.
(b) An IHE may submit written comments to the Secretary on the
determination under paragraph (a)(1) of this section and the intended
response under paragraph (a)(2) of this section within 30 days after the
date the IHE receives the notification of the Secretary's intent to
issue a response.
(c) Based on the initial notification and the written comments of
the IHE the Secretary makes a final determination and, if appropriate,
issues a final response.
(d) The IHE shall inform the Secretary of the corrective action it
has taken in order to comply with the terms of the Secretary's response
within a period specified by the Secretary.
(e) If an IHE does not comply with the terms of a response issued by
the Secretary, the Secretary may issue an additional response or impose
a sanction on the IHE in accordance with the procedures in Sec. 86.304.
(Authority: 20 U.S.C. 1145g)
[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996]
Sec. 86.304 What are the procedures used by the Secretary to demand
repayment of Federal financial assistance or terminate an
IHE's eligibility for any or all forms of Federal financial
assistance?
(a) A designated Department official begins a proceeding for
repayment of Federal financial assistance or termination, or both, of an
IHE's eligibility for any or all forms of Federal financial assistance
by sending the IHE a notice by certified mail with return receipt
requested. This notice--
(1) Informs the IHE of the Secretary's intent to demand repayment of
Federal financial assistance or to terminate, describes the consequences
of that action, and identifies the alleged violations that constitute
the basis for the action;
(2) Specifies, as appropriate--
(i) The amount of Federal financial assistance that must be repaid
and the date by which the IHE must repay the funds; and
(ii) The proposed effective date of the termination, which must be
at least 30 days after the date of receipt of the notice of intent; and
(3) Informs the IHE that the repayment of Federal financial
assistance will not be required or that the termination will not be
effective on the date specified in the notice if the designated
Department official receives, within a 30-day period beginning on the
date the IHE receives the notice of intent described in this paragraph--
(i) Written material indicating why the repayment of Federal
financial assistance or termination should not take place; or
(ii) A request for a hearing that contains a concise statement of
disputed issues of law and fact, the IHE's position with respect to
these issues, and, if appropriate, a description of which Federal
financial assistance the IHE contends need not be repaid.
(b) If the IHE does not request a hearing but submits written
material--
(1) The IHE receives no additional opportunity to request or receive
a hearing; and
(2) The designated Department official, after considering the
written material, notifies the IHE in writing whether--
(i) Any or all of the Federal financial assistance must be repaid;
or
(ii) The proposed termination is dismissed or imposed as of a
specified date.
(Authority: 20 U.S.C. 1145g)
[55 FR 33581, Aug. 16, 1990, as amended at 61 FR 66225, Dec. 17, 1996]
EDGAR version June 23, 2005
