{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 602 sorted by section_id", "rows": [["10:10:5.0.1.3.11.0.1.1", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.1 Purpose and scope.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68729, Nov. 28, 2006; 79 FR 76046, Dec. 19, 2014; 80 FR 5007, Jan. 30, 2015]", "This part sets forth the policies and procedures applicable to the award and administration of grants and cooperative agreements by DOE (through the Office of Environment, Health Safety and Security or any office to which its functions are subsequently redelegated) for health related research, education/training, conferences, communication, and related activities."], ["10:10:5.0.1.3.11.0.1.10", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.10 Additional requirements.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68730, Nov. 28, 2006; 80 FR 5007, Jan. 30, 2015; 88 FR 41292, June 26, 2023]", "(a) A recipient performing research or related activities involving the use of human subjects must comply with DOE regulations in 10 CFR part 745, \u201cProtection of Human Subjects,\u201d and any additional provisions that may be included in the special terms and conditions of an award.\n\n(b) A recipient performing research involving recombinant DNA molecules and/or organisms and viruses containing recombinant DNA molecules shall comply with the National Institutes of Health \u201cGuidelines for Research Involving Recombinant DNA Molecules\u201d (51 FR 16958, May 7, 1986), or such later revision of those guidelines, as may be published in the  Federal Register.  (The guidelines are available from the Office of Recombinant DNA Activities, National Institutes of Health, Building 31, Room BBB, Bethesda, MD 20892, or from the Office of Domestic and International Health Studies, EHSS-13, U.S. Department of Energy, 1000 Independence Avenue SW., Washington, DC 20585.\n\n(c) A recipient performing research on warm-blooded animals shall comply with the Federal Laboratory Animal Welfare Act of 1966, as amended (7 U.S.C. 2131  et seq. ), and the regulations promulgated thereunder by the Secretary of Agriculture at 9 CFR chapter I, subchapter A, pertaining to the care, handling, and treatment of warm-blooded animals held or used for research, teaching, or other activities supported by Federal awards. The recipient shall comply with the guidelines described in the Department of Health and Human Services Publication No. [NIH] 86-23, \u201cGuide for the Care and Use of Laboratory Animals,\u201d or succeeding revised editions. (This guide is available from the Office for Protection from Research Risks, Office of the Director, National Institutes of Health, Building 31, Room 4B09, Bethesda, MD 20892, or from the Office of Domestic and International Health Studies, EHSS-13, U.S. Department of Energy, 1000 Independence Avenue SW., Washington, DC 20585."], ["10:10:5.0.1.3.11.0.1.11", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.11 Funding.", "DOE", "", "", "", "(a) The project period during which DOE expects to provide support for an approved project under this part shall generally not exceed 3 years and may exceed 5 years only if DOE makes a renewal award or otherwise extends the award. The project period shall be specified on the Notice of Financial Assistance Grant (DOE Form 4600.1).\n\n(b) Each budget period of an award under this part shall generally be 12 months and may be as much as 24 months, as DOE deems appropriate."], ["10:10:5.0.1.3.11.0.1.12", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.12 Cost sharing.", "DOE", "", "", "", "Cost sharing is not required, nor will it be considered, as a criterion in the evaluation and selection process unless otherwise provided under \u00a7 602.9(d)(5)."], ["10:10:5.0.1.3.11.0.1.13", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.13 Limitation of DOE liability.", "DOE", "", "", "", "Awards made under this part are subject to the requirement that the maximum DOE obligation to the recipient is the amount shown in the Notice of Financial Assistance Award as the amount of DOE funds obligated. DOE shall not be obligated to make any additional, supplemental, continuation, renewal, or other award for the same or any other purpose."], ["10:10:5.0.1.3.11.0.1.14", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.14 Fee.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 79 FR 76046, Dec. 19, 2014]", "(a) Notwithstanding 2 CFR part 200 as amended by 2 CFR part 910, a fee may be paid, in appropriate circumstances, to a recipient that is a small business concern, as qualified under the criteria and size standards of 13 CFR part 121, in order to permit the concern to participate in the Epidemiology and Other Health Studies Financial Assistance Program. Whether or not it is appropriate to pay a fee shall be determined by the contracting officer, who shall, at a minimum, apply the following guidelines:\n\n(1) Whether the acceptance of an award will displace other work that the small business is currently engaged in or committed to assume in the near future; or\n\n(2) Whether the acceptance of an award will, in the absence of paying a fee, cause substantial financial distress to the business. In evaluating financial distress, the contracting officer shall balance current displacement against reasonable future benefit to the company. (If the award will result in the beneficial expansion of the existing business base of the company, then no fee would generally be appropriate.) Fees shall not be paid to other entities except as a deviation from 2 CFR part 200 as amended by 2 CFR part 910, nor shall fees be paid under awards in support of conferences.\n\n(b) To request a fee, a small business concern shall submit with its application a written self-certification that it is a small business concern qualified under the criteria and size standards in 13 CFR part 121. In addition, the application must state the amount of fee requested for the entire project period and the basis for requesting the amount and must also state why payment of a fee by DOE would be appropriate.\n\n(c) If the contracting officer determines that payment of a fee is appropriate under paragraph (a) of this section, the amount of fee shall be that determined to be reasonable by the contracting officer. The contracting officer shall, at a minimum, apply the following guidelines in determining the fee amount:\n\n(1) The fee base shall include the estimated allowable cost of direct salaries and wages and allocable fringe benefits. This fee base shall exclude all other direct and indirect costs.\n\n(2) The fee amount expressed as a percentage of the appropriate fee base, pursuant to paragraph (c)(1) of this section, shall not exceed the percentage rate of fee that would result if a Federal agency contracted for the same amount of salaries, wages, and allocable fringe benefits under a cost reimbursement contract.\n\n(3) Fee amounts, determined pursuant to paragraphs (c)(1) and (c)(2) of this section, shall be appropriately reduced when:\n\n(i) Advance payments are provided; and/or\n\n(ii) Title to property acquired with DOE funds vests in the recipient (2 CFR part 200 as amended by 2 CFR part 910).\n\n(d) Notwithstanding 2 CFR part 200 as amended by 2 CFR part 910, any fee awarded shall be a fixed fee and shall be payable on an annual basis in proportion to the work completed, as determined by the contracting officer, upon satisfactory submission and acceptance by DOE of the progress report. If the project period is shortened due to termination, or the project period is not fully funded, the fee shall be reduced by an appropriate amount."], ["10:10:5.0.1.3.11.0.1.15", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.15 Indirect cost limitations.", "DOE", "", "", "", "Awards issued under this part for conferences and scientific/technical meetings will not include payment for indirect costs."], ["10:10:5.0.1.3.11.0.1.16", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.16 National security.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68730, Nov. 28, 2006; 80 FR 5008, Jan. 30, 2015; 88 FR 41292, June 26, 2023]", "Activities under the Epidemiology and Other Health Studies Financial Assistance Program are not expected to involve classified information (i.e., Restricted Data, Formerly Restricted Data, National Security Information). However, if in the opinion of the recipient or DOE such involvement becomes expected prior to the closeout of the award, the recipient or DOE shall notify the other in writing immediately. If the recipient believes any information developed or acquired may be classified, the recipient shall not provide the potentially classified information to anyone, including DOE officials with whom the recipient normally communicates, except the Director, Office of Classification, and shall protect such information as if it were classified until notified by DOE that a determination has been made that it does not require such handling. Correspondence that includes the specific information in question shall be sent by registered mail to the U.S. Department of Energy, Attn: Director, Office of Classification, EHSS-60, P.O. Box A, Germantown, MD 20875. If the information is determined to be classified, the recipient may wish to discontinue the project, in which case the recipient and DOE shall terminate the award by mutual agreement. If the award is to be terminated, all material deemed by DOE to be classified shall be forwarded to DOE in a manner specified by DOE for proper disposition. If the recipient and DOE wish to continue the award, even though classified information is involved, the recipient shall be requested to obtain both personnel and facility security clearances through the Office of Headquarters Security Operations awards or from the cognizant field office for awards obtained through DOE field organizations. Costs associated with handling and protecting any such classified information shall be negotiated at the time that the determination to proceed is made."], ["10:10:5.0.1.3.11.0.1.17", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.17 Continuation funding and reporting requirements.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68730, Nov. 28, 2006; 80 FR 5008, Jan. 30, 2015]", "(a) A recipient shall periodically report to DOE on the project's progress in meeting the project objectives of the award. The following types of reports shall be used:\n\n(1)  Progress Reports.  After issuance of an initial award, recipients must submit a satisfactory progress report to receive a continuation award for the remainder of the project period. The original and two copies of the required report must be submitted to the Office of Environment, Health, Safety and Security program manager 90 days prior to the anticipated continuation funding date. The report should include results of work to date and emphasize findings and their significance to the field, and any real or anticipated problems. The report also should contain the following information: On the first page, provide the project title, principal investigator/project director name, period of time the report covers, name and address of recipient organization, DOE award number, the amount of unexpended funds, if any, that are anticipated to be left at the end of the current budget period. If the amount exceeds 10 percent of the funds available for the budget period, provide information as to why the excess funds are anticipated to be available and how they will be used in the next budget period. The report should state whether the aims have changed from the original application, and if they have, provide revised aims. A completed budget page must be submitted with the continuation progress report when a change to anticipated future costs will exceed 25 percent of the original recommended future budget.\n\n(2)  Notice of Energy Research and Development (R&D) Project.  A Notice of Energy R&D Project, DOE Form 1430.22, which summarizes the purpose and scope of the project, must be submitted in accordance with the Distribution and Schedule of Documents set forth in appendix A to this part, Schedule of Renewal Applications and Reports. Copies of the form may be obtained from a DOE contracting office.\n\n(3)  Special Reports.  The recipient shall report the following events to DOE as soon after they occur as possible:\n\n(i) Problems, delays, or adverse conditions that will materially affect the ability to attain project objectives or prevent the meeting of time schedules and goals. The report must describe remedial action that the recipient has taken, or plans to take, and any action DOE should take to alleviate the problems.\n\n(ii) Favorable developments or events that enable meeting time schedules and goals sooner, or a lower cost than anticipated, or producing more beneficial results than originally projected.\n\n(4)  Final Report.  A final report covering the entire project must be submitted by the recipient within 90 days after the project period ends or the award is terminated. Satisfactory completion of an award will be contingent upon the receipt of this report. The final report shall follow the same outline as progress reports. Recipients will provide, as part of the final report, a description of records and data compiled during the project, along with a plan for its preservation or disposition (see \u00a7 602.19 of this part). All manuscripts prepared for publication should be appended to the final report.\n\n(5)  Financial Status Report (FSR) (OMB No. 0348-0039).  The FSR is required within 90 days after completion of each budget period. For budget periods exceeding 12 months, an FSR is also required within 90 days after this first 12 months unless waived by the contracting officer.\n\n(b) DOE may extend the deadline date for any report if the recipient submits a written request before the deadline, that adequately justifies an extension.\n\n(c) A table summarizing the various types of reports, time for submission, and number of copies is set forth in appendix A to this part. The schedule of reports shall be as prescribed in this table, unless the award document specifies otherwise. These reports shall be submitted by the recipient to the awarding office.\n\n(d) DOE, or its authorized representatives, may make site visits, at any reasonable time, to review the project. DOE may provide such technical assistance as may be requested.\n\n(e) Recipients may place performance reporting requirements on a subrecipient consistent with the provisions of this section."], ["10:10:5.0.1.3.11.0.1.18", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.18 Dissemination of results.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 79 FR 76046, Dec. 19, 2014]", "(a) Recipients are encouraged to disseminate research results promptly. DOE reserves the right to utilize, and have others utilize to the extent it deems appropriate, the reports resulting from research awards.\n\n(b) DOE may waive the technical reporting requirement of progress reports set forth in \u00a7 602.17, if the recipient submits to DOE a copy of its own report that is published or accepted for publication in a recognized scientific or technical journal and that satisfies the information requirements of the program.\n\n(c) Recipients are urged to publish results through normal publication channels.\n\n(d) The article shall include an acknowledgement that the project was supported, in whole or in part, by a DOE award, and specify the award number, but state that such support does not constitute an endorsement by DOE of the views expressed in the article."], ["10:10:5.0.1.3.11.0.1.19", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.19 Records and data.", "DOE", "", "", "", "(a) In some cases, DOE will require submission of certain project records or data to facilitate mission-related activities. Recipients, therefore, must take adequate steps to ensure proper management, control, and preservation of all project records and data.\n\n(b) Awardees must ensure that all project data is adequately documented. Documentation shall:\n\n(1) Reference software used to compile, manage, and analyze data;\n\n(2) Define all technical characteristics necessary for reading or processing the records;\n\n(3) Define file and record content and codes;\n\n(4) Describe update cycles or conditions and rules for adding or deleting information; and\n\n(5) Detail instrument calibration effects, sampling and analysis, space and time coverage, quality control measures, data algorithms and reduction methods, and other activities relevant to data collection and assembly.\n\n(c) Recipients agree to comply with designated DOE records and data management requirements, including providing electronic data in prescribed formats and retention of specified records and data for eventual transfer to the Comprehensive Epidemiologic Data Resource or to another repository, as directed by DOE. Recipients will provide, as part of the final report, a description of records and data compiled during the project along with a plan for its preservation or disposition.\n\n(d) Recipients agree to make project records and data available as soon as possible when requested by DOE."], ["10:10:5.0.1.3.11.0.1.2", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.2 Applicability.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 79 FR 76046, Dec. 19, 2014]", "(a) This part applies to all grants and cooperative agreements awarded after the effective date of this rule.\n\n(b) Except as otherwise provided by this part, the award and administration of grants and cooperative agreements shall be governed by 2 CFR part 200 as amended by 2 CFR part 910 (DOE Financial Assistance Regulation)."], ["10:10:5.0.1.3.11.0.1.3", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.3 Definitions.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 79 FR 76046, Dec. 19, 2014]", "In addition to the definitions provided in 2 CFR part 200 and 2 CFR part 910, the following definitions are provided for purposes of this part:\n\nConference and communication activities  means scientific or technical conferences, symposia, workshops, seminars, public meetings, publications, video or slide shows, and other presentations for the purpose of communicating or exchanging information or views pertinent to DOE.\n\nDOE  means the United States Department of Energy.\n\nEducation/Training  means support for education or related activities for an individual or organization that will enhance educational levels and skills, in particular, scientific or technical areas of interest to DOE.\n\nEpidemiology and Other Health Studies  means research pertaining to potential health effects resulting from DOE or predecessor agency operations or from any aspect of energy production, transmission, or use (including electromagnetic fields) in the United States and abroad. Related systems or activities to enhance these areas, as well as other program areas that may be described by notice published in the  Federal Register,  are also included.\n\nPrincipal investigator  means the scientist or other individual designated by the recipient to direct the project.\n\nResearch  means basic and applied research and that part of development not related to the development of specific systems or products. The primary aim of research is scientific study and experimentation directed toward advancing the state of the art or increasing knowledge or understanding rather than focusing on a specific system or product."], ["10:10:5.0.1.3.11.0.1.4", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.4 Exceptions.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68729, Nov. 28, 2006; 79 FR 76046, Dec. 19, 2014; 80 FR 5007, Jan. 30, 2015; 88 FR 41292, June 26, 2023]", "(a) Single-case exceptions from this part may be authorized in writing by the Director, Office of Environment, Health, Safety and Security, the Head of the Contracting Activity, or their designees, upon the written request of DOE staff, an applicant for award, or a recipient. A request from an applicant or a recipient must be submitted to or through the cognizant contracting officer.\n\n(b) Whenever a proposed deviation from this part would be a deviation from 2 CFR part 200 as amended by 2 CFR part 910, the deviation must also be authorized in accordance with the procedures prescribed in that part."], ["10:10:5.0.1.3.11.0.1.5", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.5 Epidemiology and Other Health Studies Financial Assistance Program.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68729, Nov. 28, 2006; 79 FR 76046, Dec. 19, 2014; 80 FR 5007, Jan. 30, 2015]", "(a) DOE may issue under this part awards for research, education/training, conferences, communication, and related activities in the Office of Environment, Health, Safety and Security program areas set forth in paragraph (b) of this section.\n\n(b) The program areas are:\n\n(1) Health experience of DOE and DOE contractor workers;\n\n(2) Health experience of populations living near DOE facilities;\n\n(3) Workers exposed to toxic substances, such as beryllium;\n\n(4) Use of biomarkers to recognize exposure to toxic substances;\n\n(5) Epidemiology and other health studies relating to energy production, transmission, and use (including electromagnetic fields) in the United States and abroad;\n\n(6) Compilation, documentation, management, use, and analysis of data for the DOE Comprehensive Epidemiologic Data Resource; and\n\n(7) Other systems or activities enhancing these areas, as well as other program areas as may be described by notice published in the  Federal Register."], ["10:10:5.0.1.3.11.0.1.6", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.6 Eligibility.", "DOE", "", "", "", "Any individual or entity other than a Federal agency is eligible for a grant or cooperative agreement. An unaffiliated individual is also eligible for a grant or cooperative agreement."], ["10:10:5.0.1.3.11.0.1.7", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.7 Solicitation.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68729, Nov. 28, 2006; 80 FR 5007, Jan. 30, 2015; 88 FR 41292, June 26, 2023]", "(a) The Catalog of Federal Domestic Assistance number for 10 CFR part 602 is 81.108 and its solicitation control number is EOHSFAP 10 CFR part 602.\n\n(b) An application for a new or renewal award under this solicitation may be submitted at any time to DOE at the address specified in paragraph (c) of this section. New or renewal applications shall receive consideration for funding generally within 6 months but, in any event, no later than 12 months from the date of receipt by DOE.\n\n(c) Except as otherwise provided in a notice of availability, applicants may obtain application forms, described in 602.8(b) of this part, and additional information from the Office of Domestic and International Health Studies, EHSS-13, U.S. Department of Energy, 1000 Independence Avenue SW., Washington, DC 20585, 301-903-2340, and shall submit applications to the same address.\n\n(d) DOE will publish program notices in the  Federal Register  regarding the availability of epidemiology and other health studies financial assistance. DOE may also use other means of communication, as appropriate, such as the publication of notices of availability in trade and professional journals and news media.\n\n(1) Each notice of availability shall cite this part and shall include:\n\n(i) The Catalog of Federal Domestic Assistance number and solicitation control number of the program;\n\n(ii) The amount of money available or estimated to be available for award;\n\n(iii) The name of the responsible DOE program official to contact for additional information and an address where application forms may be obtained;\n\n(iv) The address for submission of applications; and\n\n(v) Any evaluation criteria in addition to those set forth in \u00a7 602.9 of this part.\n\n(2) The notice of availability may also include any other relevant information helpful to applicants such as:\n\n(i) Program objectives;\n\n(ii) A project agenda or potential area of project initiatives;\n\n(iii) Problem areas requiring additional effort; and\n\n(iv) Any other information that identifies areas in which grants or cooperative agreements may be made.\n\n(e) DOE is under no obligation to pay for any costs associated with the preparation or submission of applications.\n\n(f) DOE reserves the right to fund, in whole or in part, any, all, or none of the applications submitted.\n\n(g) To be considered for a renewal award under this part, an incumbent recipient shall submit a continuation or renewal application, as provided in \u00a7 602.8 (c) and (h) of this part."], ["10:10:5.0.1.3.11.0.1.8", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.8 Application requirements.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 79 FR 76046, Dec. 19, 2014]", "(a) An original and seven copies of the application for initial support must be submitted, except that State and local governments and Indian tribal governments shall not be required to submit more than the original and two copies of the application.\n\n(b) Each new or renewal application in response to this part must include:\n\n(1) An application face page, DOE Form 4650.2 (approved by OMB under OMB Control No. 1910-1400). However, the face page of an application submitted by a State or local government or an Indian tribal government shall be the face page of Standard Form 424 (approved by OMB under OMB Control Number 0348-0043).\n\n(2) A detailed description of the proposed project, including its objectives, its relationship to DOE's program, its impact on the environment, if any, and the applicant's plan for carrying it out.\n\n(3) Detailed information about the background and experience of the recipients of funds or, as appropriate, the principal investigator(s) (including references to publications), the facilities and experience of the applicant, and the cost-sharing arrangements, if any.\n\n(4) A detailed budget for the entire proposed period of support with written justification sufficient to evaluate the itemized list of costs provided on the entire project. Applicants should note the following when preparing budgets:\n\n(i) Numerical details on items of cost provided by State and local government and Indian tribal government applicants shall be on Standard Form 424A, \u201cBudget Information for Non-Construction Programs\u201d (approved under OMB Control No. 0348-0044). All other applicants shall use budget forms ERF 4620.1 (approved by OMB under Control No. 1910-1400).\n\n(ii) DOE may, subsequent to receipt of an application, request additional budgetary information from an applicant when necessary for clarification or make informed pre-award determinations under 2 CFR part 200 as amended by 2 CFR part 910.\n\n(5) Any pre-award assurances required pursuant to 10 CFR parts 600 and 602.\n\n(c) Applications for a renewal award must be submitted with an original and seven copies, except that State and local governments and Indian tribal government applicants are required to submit only an original and two copies (Approved by OMB under OMB Control Numbers 0348-00050348-0009)\n\n(d) The application must be signed by an official who is authorized to act for the applicant organization and to commit the applicant to comply with the terms and conditions of the award, if one is issued, or if unaffiliated, by the individual applicant. (See \u00a7 602.17(a)(1) for requirements on continuation awards.)\n\n(e) DOE may return an application that does not include all information and documentation required by statute, this part, 10 CFR part 600, or the notice of availability, when the nature of the omission precludes review of the application.\n\n(f) During the review of a complete application, DOE may request the submission of additional information only if the information is essential to evaluate the application.\n\n(g) In addition to including the information described in paragraphs (b), (c), and (d) of this section, an application for a renewal award must be submitted no later than 6 months before the expiration of the project period and must be on the same forms as required for initial applications. The renewal application must outline and justify a program and budget for the proposed project period, showing in detail the estimated cost of the proposed project, together with an indication of the amount of cost sharing, if any. The application shall also describe and explain the reasons for any change in the scope or objectives of the proposed project and shall compare and explain any difference between the estimates in the proposed budget and actual costs experienced as of the date of the application.\n\n(h) DOE is not required to return an application to the applicant.\n\n(i) Renewal applications must include a separate section that describes the results of work accomplished through the date of the renewal application and how such results relate to the activities proposed to be undertaken in the renewal period."], ["10:10:5.0.1.3.11.0.1.9", 10, "Energy", "II", "H", "602", "PART 602\u2014EPIDEMIOLOGY AND OTHER HEALTH STUDIES FINANCIAL ASSISTANCE PROGRAM", "", "", "", "\u00a7 602.9 Application evaluation and selection.", "DOE", "", "", "[60 FR 5841, Jan. 31, 1995, as amended at 71 FR 68729, Nov. 28, 2006; 79 FR 76046, Dec. 19, 2014; 80 FR 5007, Jan. 30, 2015]", "(a) Applications shall be evaluated for funding generally within 6 months, but in any event no later than 12 months, from the date of receipt by DOE. After DOE has held an application for 6 months, the applicant may, in response to DOE's request, be required to revalidate the terms of the original application.\n\n(b) DOE shall perform an initial evaluation of all applications to ensure that the information required by this part is provided, that the proposed effort is technically sound and feasible, and that the effort is consistent with program funding priorities. For applications that pass the initial evaluation, DOE shall review and evaluate each application received based on the criteria set forth below and in accordance with the Office of Environment, Health, Safety, and Security Merit Review System developed, as required, under DOE Financial Assistance Regulations, 2 CFR 200 as amended by 2 CFR 910.\n\n(c) DOE shall select evaluators on the basis of their professional qualifications and expertise. To ensure credible and inclusive peer review of applications, every effort will be made to select evaluators apart from DOE employees and contractors. Evaluators shall be required to comply with all applicable DOE rules or directives concerning the use of outside evaluators.\n\n(d) DOE shall evaluate new and renewal applications based on the following criteria that are listed in descending order of importance:\n\n(1) The scientific and technical merit of the proposed research;\n\n(2) The appropriateness of the proposed method or approach;\n\n(3) Competency of research personnel and adequacy of proposed resources;\n\n(4) Reasonableness and appropriateness of the proposed budget; and\n\n(5) Other appropriate factors consistent with the purpose of this part established and set forth in a Notice of Availability or in a specific solicitation.\n\n(e) DOE shall also consider as part of the evaluation other available advice or information, as well as program policy factors, such as ensuring an appropriate balance among the program areas listed in \u00a7 602.5 of this part.\n\n(f) In addition to the evaluation criteria set forth in paragraphs (d) and (e) of this section, DOE shall consider the recipient's performance under the existing award during the evaluation of a renewal application.\n\n(g) Selection of applications for award will be based upon the findings of the technical evaluations (including peer reviews, as specified in the Office of Environment, Health, Safety and Security Merit Review System), the importance and relevance of the proposal to the Office of Environment, Health, Safety and Security's mission, and the availability of funds. Cost reasonableness and realism will also be considered.\n\n(h) After the selection of an application, DOE may, if necessary, enter into negotiations with an applicant. Such negotiations are not a commitment that DOE will make an award."], ["20:20:3.0.2.1.3.1.1.1", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "A", "Subpart A\u2014General Provisions", "", "\u00a7 602.1 Purpose.", "DOL", "", "", "[52 FR 33528, Sept. 3, 1987, as amended at 71 FR 35513, June 21, 2006]", "The purpose of this part is to prescribe a Quality Control (QC) program for the Federal-State unemployment compensation (UC) system, which is applicable to the State UC programs and the Federal unemployment benefit and allowance programs administered by the State unemployment compensation agencies under agreements between the States and the Secretary of Labor (Secretary). QC will be a major tool to assess the timeliness and accuracy of State administration of the UC program. It is designed to identify errors in claims processes and revenue collections (including payments in lieu of contributions and Extended Unemployment Compensation Account collections), analyze causes, and support the initiation of corrective action."], ["20:20:3.0.2.1.3.1.1.2", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "A", "Subpart A\u2014General Provisions", "", "\u00a7 602.2 Scope.", "DOL", "", "", "[52 FR 33528, Sept. 3, 1987, as amended at 71 FR 35513, June 21, 2006]", "This part applies to all State laws approved by the Secretary under the Federal Unemployment Tax Act (section 3304 of the Internal Revenue Code of 1986, 26 U.S.C. section 3304), to the administration of the State laws, and to any Federal unemployment benefit and allowance program administered by the State unemployment compensation agencies under agreements between the States and the Secretary. QC is a requirement for all States, initially being applicable to the largest permanently authorized programs (regular UC including Combined-Wage-Claims) and federally-funded programs (Unemployment Compensation for Ex-Servicemembers and Unemployment Compensation for Federal Employees). Other elements of the QC program (e.g., interstate, extended benefit programs, benefit denials, and revenue collections) will be phased in under a schedule determined by the Department in consultation with State agencies."], ["20:20:3.0.2.1.3.2.1.1", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "B", "Subpart B\u2014Federal Requirements", "", "\u00a7 602.10 Federal law requirements.", "DOL", "", "", "[52 FR 33528, Sept. 3, 1987, as amended at 71 FR 35513, June 21, 2006]", "(a) Section 303(a)(1) of the Social Security Act (SSA), 42 U.S.C. 503(a)(1), requires that a State law include provision for:\n\nSuch methods of administration . . . as are found by the Secretary of Labor to be reasonably calculated to insure full payment of unemployment compensation when due.\n\nSuch methods of administration . . . as are found by the Secretary of Labor to be reasonably calculated to insure full payment of unemployment compensation when due.\n\n(b) Section 303(a)(6), SSA, 42 U.S.C. 505(a)(6), requires that a State law include provision for:\n\nThe making of such reports, in such form and containing such information, as the Secretary of Labor may from time to time require, and compliance with such provisions as the Secretary of Labor may from time to time find necessary to assure the correctness and verification of such reports.\n\nThe making of such reports, in such form and containing such information, as the Secretary of Labor may from time to time require, and compliance with such provisions as the Secretary of Labor may from time to time find necessary to assure the correctness and verification of such reports.\n\n(c) Section 303(b), SSA, 42 U.S.C. 503(b), provides in part that:\n\nWhenever the Secretary of Labor, after reasonable notice and opportunity for hearing to the State agency charged with the administration of the State law, finds that in the administration of the law there is\u2014\n\nWhenever the Secretary of Labor, after reasonable notice and opportunity for hearing to the State agency charged with the administration of the State law, finds that in the administration of the law there is\u2014\n\n(2) a failure to comply substantially with any provision specified in subsection (a);\n \n the Secretary of Labor shall notify such State agency that further payments will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such denial or failure to comply. Until he is so satisfied, he shall make no further certification to the Secretary of the Treasury with respect to such State . . . .\n\n(2) a failure to comply substantially with any provision specified in subsection (a);\n\nthe Secretary of Labor shall notify such State agency that further payments will not be made to the State until the Secretary of Labor is satisfied that there is no longer any such denial or failure to comply. Until he is so satisfied, he shall make no further certification to the Secretary of the Treasury with respect to such State . . . .\n\n(d) Certification of payment of granted funds to a State is withheld only when the Secretary finds, after reasonable notice and opportunity for hearing to the State agency\u2014\n\n(1) That any provision required by section 303(a) of the Social Security Act is no longer included in the State UC law, or\n\n(2) That in the administration of the State UC law there has been a failure to comply substantially with any required provision of such law."], ["20:20:3.0.2.1.3.2.1.2", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "B", "Subpart B\u2014Federal Requirements", "", "\u00a7 602.11 Secretary's interpretation.", "DOL", "", "", "", "(a) The Secretary interprets section 303(a)(1), SSA, to require that a State law provide for such methods of administration as will reasonably ensure the prompt and full payment of unemployment benefits to eligible claimants, and collection and handling of income for the State unemployment fund (particularly taxes and reimbursements), with the greatest accuracy feasible.\n\n(b) The Secretary interprets sections 303(a)(1) and 303(a)(6), SSA, to authorize the Department of Labor to prescribe standard definitions, methods and procedures, and reporting requirements for the QC program and to ensure accuracy and verification of QC findings.\n\n(c) The Secretary interprets section 303(b)(2), SSA to require that, in the administration of a State law, there shall be substantial compliance with the provisions required by sections 303(a) (1) and (6). Further, conformity of the State law with those requirements is required by section 303(a) and \u00a7 601.5(a) of this chapter.\n\n(d) To satisfy the requirements of sections 303(a) (1) and (6), a State law must contain a provision requiring, or which is construed to require, the establishment and maintenance of a QC program in accordance with the requirements of this part. The establishment and maintenance of such a QC program in accordance with this part shall not require any change in State law concerning authority to undertake redeterminations of claims or liabilities or the finality of any determination, redetermination or decision."], ["20:20:3.0.2.1.3.3.1.1", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "C", "Subpart C\u2014State Responsibilities", "", "\u00a7 602.20 Organization.", "DOL", "", "", "", "Each State shall establish a QC unit independent of, and not accountable to, any unit performing functions subject to evaluation by the QC unit. The organizational location of this unit shall be positioned to maximize its objectivity, to facilitate its access to information necessary to carry out its responsibilities, and to minimize organizational conflict of interest."], ["20:20:3.0.2.1.3.3.1.2", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "C", "Subpart C\u2014State Responsibilities", "", "\u00a7 602.21 Standard methods and procedures.", "DOL", "", "", "", "Each State shall:\n\n(a) Perform the requirements of this section in accordance with instructions issued by the Department, pursuant to \u00a7 602.30(a) of this part, to ensure standardization of methods and procedures in a manner consistent with this part;\n\n(b) Select representative samples for QC study of at least a minimum size specified by the Department to ensure statistical validity (for benefit payments, a minimum of 400 cases of weeks paid per State per year);\n\n(c) Complete prompt and in-depth case investigations to determine the degree of accuracy and timeliness in the administration of the State UC law and Federal programs with respect to benefit determinations, benefit payments, and revenue collections; and conduct other measurements and studies necessary or appropriate for carrying out the purposes of this part; and in conducting investigations each State shall:\n\n(1) Inform claimants in writing that the information obtained from a QC investigation may affect their eligibility for benefits and inform employers in writing that the information obtained from a QC investigation of revenue may affect their tax liability,\n\n(2) Use a questionnaire, prescribed by the Department, which is designed to obtain such data as the Department deems necessary for the operation of the QC program; require completion of the questionnaire by claimants in accordance with the eligibility and reporting authority under State law,\n\n(3) Collect data identified by the Department as necessary for the operation of the QC program; however, the collection of demographic data will be limited to those data which relate to an individual's eligibility for UC benefits and necessary to conduct proportions tests to validate the selection of representative samples (the demographic data elements necessary to conduct proportions tests are claimants' date of birth, sex, and ethnic classification); and\n\n(4) Conclude all findings of inaccuracy as detected through QC investigations with appropriate official actions, in accordance with the applicable State and Federal laws; make any determinations with respect to individual benefit claims in accordance with the Secretary's \u201cStandard for Claim Determinations\u2014Separation Information\u201d in the  Employment Security Manual,  part V, sections 6010-6015 (appendix A of this part);\n\n(d) Classify benefit case findings resulting from QC investigations as:\n\n(1) Proper payments, underpayments, or overpayments in benefit payment cases, or\n\n(2) Proper denials or underpayments in benefit denial cases;\n\n(e) Make and maintain records pertaining to the QC program, and make all such records available in a timely manner for inspection, examination, and audit by such Federal officials as the Secretary may designate or as may be required or authorized by law;\n\n(f) Furnish information and reports to the Department, including weekly transmissions of case data entered into the automated QC system and annual reports, without, in any manner, identifying individuals to whom such data pertain; and\n\n(g) Release the results of the QC program at the same time each year, providing calendar year results using a standardized format to present the data as prescribed by the Department; States will have the opportunity to release this information prior to any release by the Department."], ["20:20:3.0.2.1.3.3.1.3", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "C", "Subpart C\u2014State Responsibilities", "", "\u00a7 602.22 Exceptions.", "DOL", "", "", "", "If the Department determines that the QC program, or any constituent part of the QC program, is not necessary for the proper and efficient administration of a State law or in the Department's view is not cost effective, the Department shall use established procedures to advise the State that it is partially or totally excepted from the specified requirements of this part. Any determination under this section shall be made only after consultations with the State agency."], ["20:20:3.0.2.1.3.4.1.1", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "D", "Subpart D\u2014Federal Responsibilities", "", "\u00a7 602.30 Management.", "DOL", "", "", "", "(a) The Department shall establish required methods and procedures (as specified in \u00a7 602.21 of this part); and provide technical assistance as needed on the QC process.\n\n(b) The Department shall consider and explore alternatives to the prescribed sampling, study, recordkeeping, and reporting methodologies. This shall include, but not be limited to, testing the obtaining of information needed for QC by telephone and mail rather than in face-to-face interviews.\n\n(c) The Department shall maintain a computerized data base of QC case data which is transmitted to the Department under \u00a7 602.21, which will be combined with other data for statistical and other analysis such as assessing the impact of economic cycles, funding levels, and workload levels on program accuracy and timeliness."], ["20:20:3.0.2.1.3.4.1.2", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "D", "Subpart D\u2014Federal Responsibilities", "", "\u00a7 602.31 Oversight.", "DOL", "", "", "", "The Department shall review QC operational procedures and samples, and validate QC methodology to ensure uniformity in the administration of the QC program and to ensure compliance with the requirements of this part. The Department shall, for purposes of determining eligibility for grants described in \u00a7 602.40, annually review the adequacy of the administration of a State's QC program."], ["20:20:3.0.2.1.3.5.1.1", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "E", "Subpart E\u2014Quality Control Grants to States", "", "\u00a7 602.40 Funding.", "DOL", "", "", "[52 FR 33528, Sept. 3, 1987, as amended at 71 FR 35513, June 21, 2006]", "(a) The Department shall use established procedures to notify States of the availability of funds for the operation of QC programs in accordance with this part.\n\n(b) The Department may allocate additional resources, if available, to States for analysis of data generated by the QC program, to increase the number of claims sampled in areas where more information is needed, for pilot studies for the purpose of expanding the QC program, and for corrective action."], ["20:20:3.0.2.1.3.5.1.2", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "E", "Subpart E\u2014Quality Control Grants to States", "", "\u00a7 602.41 Proper expenditure of Quality Control granted funds.", "DOL", "", "", "[52 FR 33528, Sept. 3, 1987, as amended at 52 FR 34343, Sept. 10, 1987]", "The Secretary may, after reasonable notice and opportunity for hearing to the State agency, take exception to and require repayment of an expenditure for the operation of a QC program if it is found by the Secretary that such expenditure is not necessary for the proper and efficient administration of the QC program in the State. See sections 303(a)(8), 303(a)(9) and 303(b)(2), SSA, and 20 CFR 601.5. For purposes of this section, an expenditure will be found not necessary for proper and efficient administration if such expenditure fails to comply with the requirements of subpart C of this part."], ["20:20:3.0.2.1.3.5.1.3", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "E", "Subpart E\u2014Quality Control Grants to States", "", "\u00a7 602.42 Effect of failure to implement Quality Control program.", "DOL", "", "", "", "Any State which the Secretary finds, after reasonable notice and opportunity for hearing, has not implemented or maintained a QC program in accordance with this part will not be eligible for any grants under title III of the Social Security Act until such time as the Secretary is satisfied that there is no longer any failure to conform or to comply substantially with any provision specified in this part. See sections 303(a)(1), 303(a)(6), and 303(b)(2), SSA, and 20 CFR 601.5."], ["20:20:3.0.2.1.3.5.1.4", 20, "Employees' Benefits", "V", "", "602", "PART 602\u2014QUALITY CONTROL IN THE FEDERAL-STATE UNEMPLOYMENT INSURANCE SYSTEM", "E", "Subpart E\u2014Quality Control Grants to States", "", "\u00a7 602.43 No incentives or sanctions based on specific error rates.", "DOL", "", "", "", "Neither sanctions nor funding incentives shall be used by the Department to influence the achievement of specified error rates in State UC programs."], ["28:28:2.0.4.5.3.0.127.1", 28, "Judicial Administration", "VI", "", "602", "PART 602\u2014JURISDICTION OF THE INDEPENDENT COUNSEL: IN RE FRANKLYN C. NOFZIGER", "", "", "", "\u00a7 602.1 Independent Counsel: In re Franklyn C. Nofziger.", "", "", "", "[52 FR 22439, June 12, 1987, as amended at 52 FR 22439, June 12, 1987; 52 FR 35544, Sept. 22, 1987]", "(a) The Independent Counsel: In re Franklyn C. Nofziger shall have jurisdiction to investigate to the maximum extent authorized by part 600 of this chapter whether Franklyn C. Nofziger committed a violation of any Federal criminal law, as referred to in 28 U.S.C. 591, and more specifically whether the aforesaid Franklyn C. Nofziger, who served as Assistant to the President from January 21, 1981 through January 22, 1982, and who was therefore prohibited by the provisions of 18 U.S.C. 207 from thereafter knowingly making certain types of oral or written communications, did violate any subsection of 18 U.S.C. 207 because of certain oral or written communications with departments or agencies of the U.S. Government (including but not limited to the White House or the Executive Office of the President) on behalf of Welbilt Electronic Die Corporation, Comet Rice, Inc., or any other person or entity, at any time during 1982 or 1983.\n\n(b) The lndependent Counsel shall have jurisdiction and authority to investigate other allegations and evidence of violation of any Federal criminal law by Franklyn C. Nofziger, and/or any of his business associates who may have acted in concert with or aided or abetted Franklyn C. Nofziger, developed. during the Independent Counsel's investigation referred to in paragraph (a) of this section or connected with or arising out of that investigation, and to seek indictments and to prosecute any such persons or entities involved in any of the foregoing events or transactions that Independent Counsel believes constitute a Federal offense and that there is reasonable cause to believe that the admissible evidence probably will be sufficient to obtain and sustain a conviction (28 U.S.C. 594(f)) of any Federal criminal law (other than a violation constituting a Class B or C misdemeanor, or an infraction, or a petty offense) arising out of such events, including such persons or entities who have engaged in an unlawful conspiracy or who have aided or abetted any criminal offense related to the prosecutorial jurisdiction of the Independent Counsel as herein established.\n\n(c) The Independent Counsel: In re Franklyn C. Nofziger shall have jurisdiction to investigate to the maximum extent authorized by title 28 U.S.C. 594, whether the conduct of Edwin Meese III specified in this section constituted a violation of any federal criminal law, as referred to in 28 U.S.C. 591, and more specifically whether the federal conflict of interest laws, 18 U.S.C. 201-211, or any other provision of the federal criminal law, was violated by Mr. Meese's relationship or dealings at any time from 1981 to the present with any of the following: Welbilt Electronic Die Corporation/Wedtech Corporation (including any of its contracts with the U.S. Government, or efforts to obtain same); Franklyn C. Nofziger; E. Robert Wallach; W. Franklyn Chinn; and/or Financial Management International, Inc.\n\n(d) The Independent Counsel: In re Franklyn C. Nofziger shall have jurisdiction and authority to investigate other allegations and evidence of violation of any federal criminal law by Edwin Meese III developed during the Independent Counsel's investigation referred to in paragraph (c) of this section, and connected with or arising out of that investigation, and to seek indictments and to prosecute any persons or entities involved in any of the foregoing events or transactions that Independent Counsel believes constitute a federal offense and that there is reasonable cause to believe that the admissible evidence probably will be sufficient to obtain and sustain a conviction (28 U.S.C. 594(f)) of any federal criminal law (other than a violation constituting a Class B or C misdemeanor, or an infraction, or a petty offense) arising out of such events, including persons or entities who have engaged in an unlawful conspiracy or who have aided or abetted any criminal offense related to the prosecutorial jurisdiction of the Independent Counsel as herein established.\n\n(e) The Independent Counsel shall have prosecutorial jurisdiction to initiate and conduct prosecutions in any court of competent jurisdiction for any violation of 28 U.S.C. 1826, or any obstruction of the due administration of justice, or any material false testimony or statement in violation of the Federal criminal laws, in connection with the investigation authorized by this regulation, and shall have all the powers and authority provided by the Ethics in Government Act of 1978, as amended, and specifically by 28 U.S.C. 594."], ["34:34:3.1.3.1.3.1.9.1", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "A", "Subpart A\u2014General", "", "\u00a7 602.1 Why does the Secretary recognize accrediting agencies?", "ED", "", "", "", "(a) The Secretary recognizes accrediting agencies to ensure that these agencies are, for the purposes of the Higher Education Act of 1965, as amended (HEA), or for other Federal purposes, reliable authorities regarding the quality of education or training offered by the institutions or programs they accredit.\n\n(b) The Secretary lists an agency as a nationally recognized accrediting agency if the agency meets the criteria for recognition listed in subpart B of this part."], ["34:34:3.1.3.1.3.1.9.2", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "A", "Subpart A\u2014General", "", "\u00a7 602.2 How do I know which agencies the Secretary recognizes?", "ED", "", "", "", "(a) Periodically, the Secretary publishes a list of recognized agencies in the  Federal Register,  together with each agency's scope of recognition. You may obtain a copy of the list from the Department at any time. The list is also available on the Department's web site.\n\n(b) If the Secretary denies continued recognition to a previously recognized agency, or if the Secretary limits, suspends, or terminates the agency's recognition before the end of its recognition period, the Secretary publishes a notice of that action in the  Federal Register.  The Secretary also makes the reasons for the action available to the public, on request."], ["34:34:3.1.3.1.3.1.9.3", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "A", "Subpart A\u2014General", "", "\u00a7 602.3 What definitions apply to this part?", "ED", "", "", "[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55426, Oct. 27, 2009; 84 FR 58917, Nov. 1, 2019; 85 FR 54812, Sept. 2, 2020]", "(a) The following definitions are contained in the regulations for Institutional Eligibility under the Higher Education Act of 1965, as amended, 34 CFR part 600:\n\n(1) Accredited.\n\n(2) Additional location.\n\n(3) Branch campus.\n\n(4) Correspondence course.\n\n(5) Direct assessment program.\n\n(6) Distance education.\n\n(7) Institution of higher education.\n\n(8) Nationally recognized accrediting agency.\n\n(9) Preaccreditation.\n\n(10) Religious mission.\n\n(11) Secretary.\n\n(12) State.\n\n(13) Teach-out.\n\n(14) Teach-out agreement.\n\n(15) Teach-out plan.\n\n(b) The following definitions apply to this part:\n\nAccreditation  means the status of public recognition that an accrediting agency grants to an educational institution or program that meets the agency's standards and requirements.\n\nAccrediting agency  or  agency  means a legal entity, or that part of a legal entity, that conducts accrediting activities through voluntary, non-Federal peer review and makes decisions concerning the accreditation or preaccreditation status of institutions, programs, or both.\n\nAct  means the Higher Education Act of 1965, as amended.\n\nAdverse accrediting action  or  adverse action  means the denial, withdrawal, suspension, revocation, or termination of accreditation or preaccreditation, or any comparable accrediting action an agency may take against an institution or program.\n\nAdvisory Committee  means the National Advisory Committee on Institutional Quality and Integrity.\n\nCompliance report  means a written report that the Department requires an agency to file when the agency is found to be out of compliance to demonstrate that the agency has corrected deficiencies specified in the decision letter from the senior Department official or the Secretary. Compliance reports must be reviewed by Department staff and the Advisory Committee and approved by the senior Department official or, in the event of an appeal, by the Secretary.\n\nDesignated Federal Official  means the Federal officer designated under section 10(f) of the Federal Advisory Committee Act, 5 U.S.C. Appdx. 1.\n\nFinal accrediting action  means a final determination by an accrediting agency regarding the accreditation or preaccreditation status of an institution or program. A final accrediting action is a decision made by the agency, at the conclusion of any appeals process available to the institution or program under the agency's due process policies and procedures.\n\nInstitutional accrediting agency  means an agency that accredits institutions of higher education.\n\nMonitoring report  means a report that an agency is required to submit to Department staff when it is found to be substantially compliant. The report contains documentation to demonstrate that\u2014\n\n(i) The agency is implementing its current or corrected policies; or\n\n(ii) The agency, which is compliant in practice, has updated its policies to align with those compliant practices.\n\nProgram  means a postsecondary educational program offered by an institution of higher education that leads to an academic or professional degree, certificate, or other recognized educational credential.\n\nProgrammatic accrediting agency  means an agency that accredits specific educational programs, including those that prepare students in specific academic disciplines or for entry into a profession, occupation, or vocation.\n\nRecognition  means an unappealed determination by the senior Department official under \u00a7 602.36, or a determination by the Secretary on appeal under \u00a7 602.37, that an accrediting agency complies with the criteria for recognition listed in subpart B of this part and that the agency is effective in its application of those criteria. A grant of recognition to an agency as a reliable authority regarding the quality of education or training offered by institutions or programs it accredits remains in effect for the term granted except upon a determination made in accordance with subpart C of this part that the agency no longer complies with the subpart B criteria or that it has become ineffective in its application of those criteria.\n\nRepresentative of the public  means a person who is not\u2014\n\n(1) An employee, member of the governing board, owner, or shareholder of, or consultant to, an institution or program that either is accredited or preaccredited by the agency or has applied for accreditation or preaccreditation;\n\n(2) A member of any trade association or membership organization related to, affiliated with, or associated with the agency; or\n\n(3) A spouse, parent, child, or sibling of an individual identified in paragraph (1) or (2) of this definition.\n\nScope of recognition  or  scope  means the range of accrediting activities for which the Secretary recognizes an agency. The Secretary may place a limitation on the scope of an agency's recognition for title IV, HEA purposes. The Secretary's designation of scope defines the recognition granted according to\u2014\n\n(i) Types of degrees and certificates covered;\n\n(ii) Types of institutions and programs covered;\n\n(iii) Types of preaccreditation status covered, if any; and\n\n(iv) Coverage of accrediting activities related to distance education or correspondence courses.\n\nSenior Department official  means the official in the U.S. Department of Education designated by the Secretary who has, in the judgment of the Secretary, appropriate seniority and relevant subject matter knowledge to make independent decisions on accrediting agency recognition.\n\nSubstantial compliance  means the agency demonstrated to the Department that it has the necessary policies, practices, and standards in place and generally adheres with fidelity to those policies, practices, and standards; or the agency has policies, practices, and standards in place that need minor modifications to reflect its generally compliant practice."], ["34:34:3.1.3.1.3.1.9.4", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "A", "Subpart A\u2014General", "", "\u00a7 602.4 Severability.", "ED", "", "", "[84 FR 58918, Nov. 1, 2019]", "If any provision of this subpart or its application to any person, act, or practice is held invalid, the remainder of the subpart or the application of its provisions to any person, act, or practice shall not be affected thereby."], ["34:34:3.1.3.1.3.2.10.5", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.14 Purpose and organization.", "ED", "", "", "[84 FR 58919, Nov. 1, 2019]", "(a) The Secretary recognizes only the following four categories of accrediting agencies:\n\n(1) A State agency that\u2014\n\n(i) Has as a principal purpose the accrediting of institutions of higher education, higher education programs, or both; and\n\n(ii) Has been listed by the Secretary as a nationally recognized accrediting agency on or before October 1, 1991.\n\n(2) An accrediting agency that\u2014\n\n(i) Has a voluntary membership of institutions of higher education;\n\n(ii) Has as a principal purpose the accrediting of institutions of higher education and that accreditation is used to provide a link to Federal HEA programs in accordance with \u00a7 602.10; and\n\n(iii) Satisfies the \u201cseparate and independent\u201d requirements in paragraph (b) of this section.\n\n(3) An accrediting agency that\u2014\n\n(i) Has a voluntary membership; and\n\n(ii) Has as its principal purpose the accrediting of institutions of higher education or programs, and the accreditation it offers is used to provide a link to non-HEA Federal programs in accordance with \u00a7 602.10.\n\n(4) An accrediting agency that, for purposes of determining eligibility for title IV, HEA programs\u2014\n\n(i)(A) Has a voluntary membership of individuals participating in a profession; or\n\n(B) Has as its principal purpose the accrediting of programs within institutions that are accredited by another nationally recognized accrediting agency; and\n\n(ii) Satisfies the \u201cseparate and independent\u201d requirements in paragraph (b) of this section or obtains a waiver of those requirements under paragraph (d) of this section.\n\n(b) For purposes of this section, \u201cseparate and independent\u201d means that\u2014\n\n(1) The members of the agency's decision-making body, who decide the accreditation or preaccreditation status of institutions or programs, establish the agency's accreditation policies, or both, are not elected or selected by the board or chief executive officer of any related, associated, or affiliated trade association, professional organization, or membership organization and are not staff of the related, associated, or affiliated trade association, professional organization, or membership organization;\n\n(2) At least one member of the agency's decision-making body is a representative of the public, and at least one-seventh of the body consists of representatives of the public;\n\n(3) The agency has established and implemented guidelines for each member of the decision-making body including guidelines on avoiding conflicts of interest in making decisions;\n\n(4) The agency's dues are paid separately from any dues paid to any related, associated, or affiliated trade association or membership organization; and\n\n(5) The agency develops and determines its own budget, with no review by or consultation with any other entity or organization.\n\n(c) The Secretary considers that any joint use of personnel, services, equipment, or facilities by an agency and a related, associated, or affiliated trade association or membership organization does not violate the \u201cseparate and independent\u201d requirements in paragraph (b) of this section if\u2014\n\n(1) The agency pays the fair market value for its proportionate share of the joint use; and\n\n(2) The joint use does not compromise the independence and confidentiality of the accreditation process.\n\n(d) For purposes of paragraph (a)(4) of this section, the Secretary may waive the \u201cseparate and independent\u201d requirements in paragraph (b) of this section if the agency demonstrates that\u2014\n\n(1) The Secretary listed the agency as a nationally recognized agency on or before October 1, 1991, and has recognized it continuously since that date;\n\n(2) The related, associated, or affiliated trade association or membership organization plays no role in making or ratifying either the accrediting or policy decisions of the agency;\n\n(3) The agency has sufficient budgetary and administrative autonomy to carry out its accrediting functions independently;\n\n(4) The agency provides to the related, associated, or affiliated trade association or membership organization only information it makes available to the public.\n\n(e) An agency seeking a waiver of the \u201cseparate and independent\u201d requirements under paragraph (d) of this section must apply for the waiver each time the agency seeks recognition or continued recognition."], ["34:34:3.1.3.1.3.2.10.6", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.15 Administrative and fiscal responsibilities.", "ED", "", "", "[84 FR 58919, Nov. 1, 2019]", "The agency must have the administrative and fiscal capability to carry out its accreditation activities in light of its requested scope of recognition. The agency meets this requirement if the agency demonstrates that\u2014\n\n(a) The agency has\u2014\n\n(1) Adequate administrative staff and financial resources to carry out its accrediting responsibilities;\n\n(2) Competent and knowledgeable individuals, qualified by education or experience in their own right and trained by the agency on their responsibilities, as appropriate for their roles, regarding the agency's standards, policies, and procedures, to conduct its on-site evaluations, apply or establish its policies, and make its accrediting and preaccrediting decisions, including, if applicable to the agency's scope, their responsibilities regarding distance education and correspondence courses;\n\n(3) Academic and administrative personnel on its evaluation, policy, and decision-making bodies, if the agency accredits institutions;\n\n(4) Educators, practitioners, and/or employers on its evaluation, policy, and decision-making bodies, if the agency accredits programs or single-purpose institutions that prepare students for a specific profession;\n\n(5) Representatives of the public, which may include students, on all decision-making bodies; and\n\n(6) Clear and effective controls, including guidelines, to prevent or resolve conflicts of interest, or the appearance of conflicts of interest, by the agency's\u2014\n\n(i) Board members;\n\n(ii) Commissioners;\n\n(iii) Evaluation team members;\n\n(iv) Consultants;\n\n(v) Administrative staff; and\n\n(vi) Other agency representatives; and\n\n(b) The agency maintains complete and accurate records of\u2014\n\n(1) Its last full accreditation or preaccreditation review of each institution or program, including on-site evaluation team reports, the institution's or program's responses to on-site reports, periodic review reports, any reports of special reviews conducted by the agency between regular reviews, and a copy of the institution's or program's most recent self-study; and\n\n(2) All decision letters issued by the agency regarding the accreditation and preaccreditation of any institution or program and any substantive changes."], ["34:34:3.1.3.1.3.2.11.10", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.19 Monitoring and reevaluation of accredited institutions and programs.", "ED", "", "", "[84 FR 58921, Nov. 1, 2019]", "(a) The agency must reevaluate, at regularly established intervals, the institutions or programs it has accredited or preaccredited.\n\n(b) The agency must demonstrate it has, and effectively applies, monitoring and evaluation approaches that enable the agency to identify problems with an institution's or program's continued compliance with agency standards and that take into account institutional or program strengths and stability. These approaches must include periodic reports, and collection and analysis of key data and indicators, identified by the agency, including, but not limited to, fiscal information and measures of student achievement, consistent with the provisions of \u00a7 602.16(g). This provision does not require institutions or programs to provide annual reports on each specific accreditation criterion.\n\n(c) Each agency must monitor overall growth of the institutions or programs it accredits and, at least annually, collect head-count enrollment data from those institutions or programs.\n\n(d) Institutional accrediting agencies must monitor the growth of programs at institutions experiencing significant enrollment growth, as reasonably defined by the agency.\n\n(e) Any agency that has notified the Secretary of a change in its scope in accordance with \u00a7 602.27(a) must monitor the headcount enrollment of each institution it has accredited that offers distance education or correspondence courses. The Secretary will require a review, at the next meeting of the National Advisory Committee on Institutional Quality and Integrity, of any change in scope undertaken by an agency if the enrollment of an institution that offers distance education or correspondence courses that is accredited by such agency increases by 50 percent or more within any one institutional fiscal year. If any such institution has experienced an increase in head-count enrollment of 50 percent or more within one institutional fiscal year, the agency must report that information to the Secretary within 30 days of acquiring such data."], ["34:34:3.1.3.1.3.2.11.11", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.20 Enforcement of standards.", "ED", "", "", "[84 FR 58922, Nov. 1, 2019]", "(a) If the agency's review of an institution or program under any standard indicates that the institution or program is not in compliance with that standard, the agency must\u2014\n\n(1) Follow its written policy for notifying the institution or program of the finding of noncompliance;\n\n(2) Provide the institution or program with a written timeline for coming into compliance that is reasonable, as determined by the agency's decision-making body, based on the nature of the finding, the stated mission, and educational objectives of the institution or program. The timeline may include intermediate checkpoints on the way to full compliance and must not exceed the lesser of four years or 150 percent of the\u2014\n\n(i) Length of the program in the case of a programmatic accrediting agency; or\n\n(ii) Length of the longest program at the institution in the case of an institutional accrediting agency;\n\n(3) Follow its written policies and procedures for granting a good cause extension that may exceed the standard timeframe described in paragraph (a)(2) of this section when such an extension is determined by the agency to be warranted; and\n\n(4) Have a written policy to evaluate and approve or disapprove monitoring or compliance reports it requires, provide ongoing monitoring, if warranted, and evaluate an institution's or program's progress in resolving the finding of noncompliance.\n\n(b) Notwithstanding paragraph (a) of this section, the agency must have a policy for taking an immediate adverse action, and take such action, when the agency has determined that such action is warranted.\n\n(c) If the institution or program does not bring itself into compliance within the period specified in paragraph (a) of this section, the agency must take adverse action against the institution or program, but may maintain the institution's or program's accreditation or preaccreditation until the institution or program has had reasonable time to complete the activities in its teach-out plan or to fulfill the obligations of any teach-out agreement to assist students in transferring or completing their programs.\n\n(d) An agency that accredits institutions may limit the adverse or other action to particular programs that are offered by the institution or to particular additional locations of an institution, without necessarily taking action against the entire institution and all of its programs, provided the noncompliance was limited to that particular program or location.\n\n(e) All adverse actions taken under this subpart are subject to the arbitration requirements in 20 U.S.C. 1099b(e).\n\n(f) An agency is not responsible for enforcing requirements in 34 CFR 668.14, 668.15, 668.16, 668.41, or 668.46, but if, in the course of an agency's work, it identifies instances or potential instances of noncompliance with any of these requirements, it must notify the Department.\n\n(g) The Secretary may not require an agency to take action against an institution or program that does not participate in any title IV, HEA or other Federal program as a result of a requirement specified in this part."], ["34:34:3.1.3.1.3.2.11.12", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.21 Review of standards.", "ED", "", "", "[64 FR 56617, Oct. 20, 1999, as amended at 84 FR 58922, Nov. 1, 2019]", "(a) The agency must maintain a comprehensive systematic program of review that involves all relevant constituencies and that demonstrates that its standards are adequate to evaluate the quality of the education or training provided by the institutions and programs it accredits and relevant to the educational or training needs of students.\n\n(b) The agency determines the specific procedures it follows in evaluating its standards, but the agency must ensure that its program of review\u2014\n\n(1) Is comprehensive;\n\n(2) Occurs at regular, yet reasonable, intervals or on an ongoing basis;\n\n(3) Examines each of the agency's standards and the standards as a whole; and\n\n(4) Involves all of the agency's relevant constituencies in the review and affords them a meaningful opportunity to provide input into the review.\n\n(c) If the agency determines, at any point during its systematic program of review, that it needs to make changes to its standards, the agency must initiate action within 12 months to make the changes and must complete that action within a reasonable period of time.\n\n(d) Before finalizing any changes to its standards, the agency must\u2014\n\n(1) Provide notice to all of the agency's relevant constituencies, and other parties who have made their interest known to the agency, of the changes the agency proposes to make;\n\n(2) Give the constituencies and other interested parties adequate opportunity to comment on the proposed changes; and\n\n(3) Take into account and be responsive to any comments on the proposed changes submitted timely by the relevant constituencies and other interested parties."], ["34:34:3.1.3.1.3.2.11.7", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.16 Accreditation and preaccreditation standards.", "ED", "", "", "[84 FR 58919, Nov. 1, 2019]", "(a) The agency must demonstrate that it has standards for accreditation, and preaccreditation, if offered, that are sufficiently rigorous to ensure that the agency is a reliable authority regarding the quality of the education or training provided by the institutions or programs it accredits. The agency meets this requirement if the following conditions are met:\n\n(1) The agency's accreditation standards must set forth clear expectations for the institutions or programs it accredits in the following areas:\n\n(i) Success with respect to student achievement in relation to the institution's mission, which may include different standards for different institutions or programs, as established by the institution, including, as appropriate, consideration of State licensing examinations, course completion, and job placement rates.\n\n(ii) Curricula.\n\n(iii) Faculty.\n\n(iv) Facilities, equipment, and supplies.\n\n(v) Fiscal and administrative capacity as appropriate to the specified scale of operations.\n\n(vi) Student support services.\n\n(vii) Recruiting and admissions practices, academic calendars, catalogs, publications, grading, and advertising.\n\n(viii) Measures of program length and the objectives of the degrees or credentials offered.\n\n(ix) Record of student complaints received by, or available to, the agency.\n\n(x) Record of compliance with the institution's program responsibilities under title IV of the Act, based on the most recent student loan default rate data provided by the Secretary, the results of financial or compliance audits, program reviews, and any other information that the Secretary may provide to the agency; and\n\n(2) The agency's preaccreditation standards, if offered, must\u2014\n\n(i) Be appropriately related to the agency's accreditation standards; and\n\n(ii) Not permit the institution or program to hold preaccreditation status for more than five years before a final accrediting action is made.\n\n(b) Agencies are not required to apply the standards described in paragraph (a)(1)(x) of this section to institutions that do not participate in title IV, HEA programs. Under such circumstance, the agency's grant of accreditation or preaccreditation must specify that the grant, by request of the institution, does not include participation by the institution in title IV, HEA programs.\n\n(c) If the agency only accredits programs and does not serve as an institutional accrediting agency for any of those programs, its accreditation standards must address the areas in paragraph (a)(1) of this section in terms of the type and level of the program rather than in terms of the institution.\n\n(d)(1) If the agency has or seeks to include within its scope of recognition the evaluation of the quality of institutions or programs offering distance education, correspondence courses, or direct assessment education, the agency's standards must effectively address the quality of an institution's distance education, correspondence courses, or direct assessment education in the areas identified in paragraph (a)(1) of this section.\n\n(2) The agency is not required to have separate standards, procedures, or policies for the evaluation of distance education or correspondence courses.\n\n(e) If none of the institutions an agency accredits participates in any title IV, HEA program, or if the agency only accredits programs within institutions that are accredited by a nationally recognized institutional accrediting agency, the agency is not required to have the accreditation standards described in paragraphs (a)(1)(viii) and (a)(1)(x) of this section.\n\n(f) An agency that has established and applies the standards in paragraph (a) of this section may establish any additional accreditation standards it deems appropriate.\n\n(g) Nothing in paragraph (a) of this section restricts\u2014\n\n(1) An accrediting agency from setting, with the involvement of its members, and applying accreditation standards for or to institutions or programs that seek review by the agency;\n\n(2) An institution from developing and using institutional standards to show its success with respect to student achievement, which achievement may be considered as part of any accreditation review; or\n\n(3) Agencies from having separate standards regarding an institution's or a program's process for approving curriculum to enable programs to more effectively meet the recommendations of\u2014\n\n(i) Industry advisory boards that include employers who hire program graduates;\n\n(ii) Widely recognized industry standards and organizations;\n\n(iii) Credentialing or other occupational registration or licensure; or\n\n(iv) Employers in a given field or occupation, in making hiring decisions.\n\n(4) Agencies from having separate faculty standards for instructors teaching courses within a dual or concurrent enrollment program, as defined in 20 U.S.C. 7801, or career and technical education courses, as long as the instructors, in the agency's judgment, are qualified by education or work experience for that role."], ["34:34:3.1.3.1.3.2.11.8", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.17 Application of standards in reaching accreditation decisions.", "ED", "", "", "[84 FR 58920, Nov. 1, 2019]", "The agency must have effective mechanisms for evaluating an institution's or program's compliance with the agency's standards before reaching a decision to accredit or preaccredit the institution or program. The agency meets this requirement if the agency demonstrates that it\u2014\n\n(a) Evaluates whether an institution or program\u2014\n\n(1) Maintains clearly specified educational objectives that are consistent with its mission and appropriate in light of the degrees or certificates awarded;\n\n(2) Is successful in achieving its stated objectives at both the institutional and program levels; and\n\n(3) Maintains requirements that at least conform to commonly accepted academic standards, or the equivalent, including pilot programs in \u00a7 602.18(b);\n\n(b) Requires the institution or program to engage in a self-study process that assesses the institution's or program's education quality and success in meeting its mission and objectives, highlights opportunities for improvement, and includes a plan for making those improvements;\n\n(c) Conducts at least one on-site review of the institution or program during which it obtains sufficient information to determine if the institution or program complies with the agency's standards;\n\n(d) Allows the institution or program the opportunity to respond in writing to the report of the on-site review;\n\n(e) Conducts its own analysis of the self-study and supporting documentation furnished by the institution or program, the report of the on-site review, the institution's or program's response to the report, and any other information substantiated by the agency from other sources to determine whether the institution or program complies with the agency's standards;\n\n(f) Provides the institution or program with a detailed written report that assesses the institution's or program's compliance with the agency's standards, including areas needing improvement, and the institution's or program's performance with respect to student achievement;\n\n(g) Requires institutions to have processes in place through which the institution establishes that a student who registers in any course offered via distance education or correspondence is the same student who academically engages in the course or program; and\n\n(h) Makes clear in writing that institutions must use processes that protect student privacy and notify students of any projected additional student charges associated with the verification of student identity at the time of registration or enrollment."], ["34:34:3.1.3.1.3.2.11.9", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.18 Ensuring consistency in decision-making.", "ED", "", "", "[84 FR 58920, Nov. 1, 2019]", "(a) The agency must consistently apply and enforce standards that respect the stated mission of the institution, including religious mission, and that ensure that the education or training offered by an institution or program, including any offered through distance education, correspondence courses, or direct assessment education is of sufficient quality to achieve its stated objective for the duration of any accreditation or preaccreditation period.\n\n(b) The agency meets the requirement in paragraph (a) of this section if the agency\u2014\n\n(1) Has written specification of the requirements for accreditation and preaccreditation that include clear standards for an institution or program to be accredited or preaccredited;\n\n(2) Has effective controls against the inconsistent application of the agency's standards;\n\n(3) Bases decisions regarding accreditation and preaccreditation on the agency's published standards and does not use as a negative factor the institution's religious mission-based policies, decisions, and practices in the areas covered by \u00a7 602.16(a)(1)(ii), (iii), (iv), (vi), and (vii) provided, however, that the agency may require that the institution's or program's curricula include all core components required by the agency;\n\n(4) Has a reasonable basis for determining that the information the agency relies on for making accrediting decisions is accurate;\n\n(5) Provides the institution or program with a detailed written report that clearly identifies any deficiencies in the institution's or program's compliance with the agency's standards; and\n\n(6) Publishes any policies for retroactive application of an accreditation decision, which must not provide for an effective date that predates either\u2014\n\n(i) An earlier denial by the agency of accreditation or preaccreditation to the institution or program; or\n\n(ii) The agency's formal approval of the institution or program for consideration in the agency's accreditation or preaccreditation process.\n\n(c) Nothing in this part prohibits an agency, when special circumstances exist, to include innovative program delivery approaches or, when an undue hardship on students occurs, from applying equivalent written standards, policies, and procedures that provide alternative means of satisfying one or more of the requirements set forth in 34 CFR 602.16, 602.17, 602.19, 602.20, 602.22, and 602.24, as compared with written standards, policies, and procedures the agency ordinarily applies, if\u2014\n\n(1) The alternative standards, policies, and procedures, and the selection of institutions or programs to which they will be applied, are approved by the agency's decision-making body and otherwise meet the intent of the agency's expectations and requirements;\n\n(2) The agency sets and applies equivalent goals and metrics for assessing the performance of institutions or programs;\n\n(3) The agency's process for establishing and applying the alternative standards, policies, and procedures is set forth in its published accreditation manuals; and\n\n(4) The agency requires institutions or programs seeking the application of alternative standards to demonstrate the need for an alternative assessment approach, that students will receive equivalent benefit, and that students will not be harmed through such application.\n\n(d) Nothing in this part prohibits an agency from permitting the institution or program to be out of compliance with one or more of its standards, policies, and procedures adopted in satisfaction of \u00a7\u00a7 602.16, 602.17, 602.19, 602.20, 602.22, and 602.24 for a period of time, as determined by the agency annually, not to exceed three years unless the agency determines there is good cause to extend the period of time, and if\u2014\n\n(1) The agency and the institution or program can show that the circumstances requiring the period of noncompliance are beyond the institution's or program's control, such as\u2014\n\n(i) A natural disaster or other catastrophic event significantly impacting an institution's or program's operations;\n\n(ii) Accepting students from another institution that is implementing a teach-out or closing;\n\n(iii) Significant and documented local or national economic changes, such as an economic recession or closure of a large local employer;\n\n(iv) Changes relating to State licensure requirements;\n\n(v) The normal application of the agency's standards creates an undue hardship on students; or\n\n(vi) Instructors who do not meet the agency's typical faculty standards, but who are otherwise qualified by education or work experience, to teach courses within a dual or concurrent enrollment program, as defined in 20 U.S.C. 7801, or career and technical education courses;\n\n(2) The grant of the period of noncompliance is approved by the agency's decision-making body;\n\n(3) The agency projects that the institution or program has the resources necessary to achieve compliance with the standard, policy, or procedure postponed within the time allotted; and\n\n(4) The institution or program demonstrates to the satisfaction of the agency that the period of noncompliance will not\u2014\n\n(i) Contribute to the cost of the program to the student without the student's consent;\n\n(ii) Create any undue hardship on, or harm to, students; or\n\n(iii) Compromise the program's academic quality."], ["34:34:3.1.3.1.3.2.12.13", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.22 Substantive changes and other reporting requirements.", "ED", "", "", "[84 FR 58922, Nov. 1, 2019, as amended at 87 FR 63692, Oct. 20, 2022]", "(a)(1) If the agency accredits institutions, it must maintain adequate substantive change policies that ensure that any substantive change, as defined in this section, after the agency has accredited or preaccredited the institution does not adversely affect the capacity of the institution to continue to meet the agency's standards. The agency meets this requirement if\u2014\n\n(i) The agency requires the institution to obtain the agency's approval of the substantive change before the agency includes the change in the scope of accreditation or preaccreditation it previously granted to the institution; and\n\n(ii) The agency's definition of substantive change covers high-impact, high-risk changes, including at least the following:\n\n(A) Any substantial change in the established mission or objectives of the institution or its programs.\n\n(B) Any change in the legal status, form of control, or ownership of the institution.\n\n(C) The addition of programs that represent a significant departure from the existing offerings or educational programs, or method of delivery, from those that were offered or used when the agency last evaluated the institution.\n\n(D) The addition of graduate programs by an institution that previously offered only undergraduate programs or certificates.\n\n(E) A change in the way an institution measures student progress, including whether the institution measures progress in clock hours or credit-hours, semesters, trimesters, or quarters, or uses time-based or non-time-based methods.\n\n(F) A substantial increase in the number of clock hours or credit hours awarded, or an increase in the level of credential awarded, for successful completion of one or more programs.\n\n(G) The acquisition of any other institution or any program or location of another institution.\n\n(H) The addition of a permanent location at a site at which the institution is conducting a teach-out for students of another institution that has ceased operating before all students have completed their program of study.\n\n(I) The addition of a new location or branch campus, except as provided in paragraph (c) of this section. The agency's review must include assessment of the institution's fiscal and administrative capability to operate the location or branch campus, the regular evaluation of locations, and verification of the following:\n\n( 1 ) Academic control is clearly identified by the institution.\n\n( 2 ) The institution has adequate faculty, facilities, resources, and academic and student support systems in place.\n\n( 3 ) The institution is financially stable.\n\n( 4 ) The institution had engaged in long-range planning for expansion.\n\n(J) Entering into a written arrangement under 34 CFR 668.5 under which an institution or organization not certified to participate in the title IV, HEA programs offers more than 25 percent but less than 50 percent of one or more of the accredited institution's educational programs.\n\n(K) Addition of each direct assessment program.\n\n(2)(i) For substantive changes under only paragraph (a)(1)(ii)(C), (E), (F), (H), or (J) of this section, the agency's decision-making body may designate agency senior staff to approve or disapprove the request in a timely, fair, and equitable manner; and\n\n(ii) In the case of a request under paragraph (a)(1)(ii)(J) of this section, the agency must make a final decision within 90 days of receipt of a materially complete request, unless the agency or its staff determine significant circumstances related to the substantive change require a review by the agency's decision-making body to occur within 180 days.\n\n(b) Institutions that have been placed on probation or equivalent status, have been subject to negative action by the agency over the prior three academic years, or are under a provisional certification, as provided in 34 CFR 668.13, must receive prior approval for the following additional changes (all other institutions must report these changes within 30 days to their accrediting agency):\n\n(1) A change in an existing program's method of delivery.\n\n(2) An aggregate change of 25 percent or more of the clock hours, credit hours, or content of a program since the agency's most recent accreditation review.\n\n(3) The development of customized pathways or abbreviated or modified courses or programs to\u2014\n\n(i) Accommodate and recognize a student's existing knowledge, such as knowledge attained through employment or military service; and\n\n(ii) Close competency gaps between demonstrated prior knowledge or competency and the full requirements of a particular course or program.\n\n(4) Entering into a written arrangement under 34 CFR 668.5 under which an institution or organization not certified to participate in the title IV, HEA programs offers up to 25 percent of one or more of the accredited institution's educational programs.\n\n(c) Institutions that have successfully completed at least one cycle of accreditation and have received agency approval for the addition of at least two additional locations as provided in paragraph (a)(1)(ii)(I) of this section, and that have not been placed on probation or equivalent status or been subject to a negative action by the agency over the prior three academic years, and that are not under a provisional certification, as provided in 34 CFR 668.13, need not apply for agency approval of subsequent additions of locations, and must report these changes to the accrediting agency within 30 days, if the institution has met criteria established by the agency indicating sufficient capacity to add additional locations without individual prior approvals, including, at a minimum, satisfactory evidence of a system to ensure quality across a distributed enterprise that includes\u2014\n\n(1) Clearly identified academic control;\n\n(2) Regular evaluation of the locations;\n\n(3) Adequate faculty, facilities, resources, and academic and student support systems;\n\n(4) Financial stability; and\n\n(5) Long-range planning for expansion.\n\n(d) The agency must have an effective mechanism for conducting, at reasonable intervals, visits to a representative sample of additional locations approved under paragraphs (a)(1)(ii)(H) and (I) of this section.\n\n(e) The agency may determine the procedures it uses to grant prior approval of the substantive change. However, these procedures must specify an effective date, on which the change is included in the program's or institution's grant of accreditation or preaccreditation. The date of prior approval must not pre-date either an earlier agency denial of the substantive change, or the agency's formal acceptance of the application for the substantive change for inclusion in the program's or institution's grant of accreditation or preaccreditation. An agency may designate the date of a change in ownership as the effective date of its approval of that substantive change if the accreditation decision is made within 30 days of the change in ownership. Except as provided in paragraphs (d) and (f) of this section, an agency may require a visit before granting such an approval.\n\n(f) Except as provided in paragraph (c) of this section, if the agency's accreditation of an institution enables the institution to seek eligibility to participate in title IV, HEA programs, the agency's procedures for the approval of an additional location that is not a branch campus where at least 50 percent of an educational program is offered must include\u2014\n\n(1) A visit, within six months, to each additional location the institution establishes, if the institution\u2014\n\n(i) Has a total of three or fewer additional locations;\n\n(ii) Has not demonstrated, to the agency's satisfaction, that the additional location is meeting all of the agency's standards that apply to that additional location; or\n\n(iii) Has been placed on warning, probation, or show cause by the agency or is subject to some limitation by the agency on its accreditation or preaccreditation status;\n\n(2) A mechanism for conducting, at reasonable intervals, visits to a representative sample of additional locations of institutions that operate more than three additional locations; and\n\n(3) A mechanism, which may, at the agency's discretion, include visits to additional locations, for ensuring that accredited and preaccredited institutions that experience rapid growth in the number of additional locations maintain education quality.\n\n(g) The purpose of the visits described in paragraph (f) of this section is to verify that the additional location has the personnel, facilities, and resources the institution claimed it had in its application to the agency for approval of the additional location.\n\n(h) The agency's substantive change policy must define when the changes made or proposed by an institution are or would be sufficiently extensive to require the agency to conduct a new comprehensive evaluation of that institution."], ["34:34:3.1.3.1.3.2.12.14", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.23 Operating procedures all agencies must have.", "ED", "", "", "[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55428, Oct. 27, 2009; 84 FR 58923, Nov. 1, 2019]", "(a) The agency must maintain and make available to the public written materials describing\u2014\n\n(1) Each type of accreditation and preaccreditation it grants;\n\n(2) The procedures that institutions or programs must follow in applying for accreditation, preaccreditation, or substantive changes and the sequencing of those steps relative to any applications or decisions required by States or the Department relative to the agency's preaccreditation, accreditation, or substantive change decisions;\n\n(3) The standards and procedures it uses to determine whether to grant, reaffirm, reinstate, restrict, deny, revoke, terminate, or take any other action related to each type of accreditation and preaccreditation that the agency grants;\n\n(4) The institutions and programs that the agency currently accredits or preaccredits and, for each institution and program, the year the agency will next review or reconsider it for accreditation or preaccreditation; and\n\n(5) A list of the names, academic and professional qualifications, and relevant employment and organizational affiliations of\u2014\n\n(i) The members of the agency's policy and decision-making bodies; and\n\n(ii) The agency's principal administrative staff.\n\n(b) In providing public notice that an institution or program subject to its jurisdiction is being considered for accreditation or preaccreditation, the agency must provide an opportunity for third-party comment concerning the institution's or program's qualifications for accreditation or preaccreditation. At the agency's discretion, third-party comment may be received either in writing or at a public hearing, or both.\n\n(c) The accrediting agency must\u2014\n\n(1) Review in a timely, fair, and equitable manner any complaint it receives against an accredited institution or program that is related to the agency's standards or procedures. The agency may not complete its review and make a decision regarding a complaint unless, in accordance with published procedures, it ensures that the institution or program has sufficient opportunity to provide a response to the complaint;\n\n(2) Take follow-up action, as necessary, including enforcement action, if necessary, based on the results of its review; and\n\n(3) Review in a timely, fair, and equitable manner, and apply unbiased judgment to, any complaints against itself and take follow-up action, as appropriate, based on the results of its review.\n\n(d) If an institution or program elects to make a public disclosure of its accreditation or preaccreditation status, the agency must ensure that the institution or program discloses that status accurately, including the specific academic or instructional programs covered by that status and the name and contact information for the agency.\n\n(e) The accrediting agency must provide for the public correction of incorrect or misleading information an accredited or preaccredited institution or program releases about\u2014\n\n(1) The accreditation or preaccreditation status of the institution or program;\n\n(2) The contents of reports of on-site reviews; and\n\n(3) The agency's accrediting or preaccrediting actions with respect to the institution or program.\n\n(f)(1) If preaccreditation is offered\u2014\n\n(i) The agency's preaccreditation policies must limit the status to institutions or programs that the agency has determined are likely to succeed in obtaining accreditation;\n\n(ii) The agency must require all preaccredited institutions to have a teach-out plan, which must ensure students completing the teach-out would meet curricular requirements for professional licensure or certification, if any, and which must include a list of academic programs offered by the institution and the names of other institutions that offer similar programs and that could potentially enter into a teach-out agreement with the institution;\n\n(iii) An agency that denies accreditation to an institution it has preaccredited may maintain the institution's preaccreditation for currently enrolled students until the institution has had a reasonable time to complete the activities in its teach-out plan to assist students in transferring or completing their programs, but for no more than 120 days unless approved by the agency for good cause; and\n\n(iv) The agency may not move an accredited institution or program from accredited to preaccredited status unless, following the loss of accreditation, the institution or program applies for initial accreditation and is awarded preaccreditation status under the new application. Institutions that participated in the title IV, HEA programs before the loss of accreditation are subject to the requirements of 34 CFR 600.11(c).\n\n(2) All credits and degrees earned and issued by an institution or program holding preaccreditation from a nationally recognized agency are considered by the Secretary to be from an accredited institution or program.\n\n(g) The agency may establish any additional operating procedures it deems appropriate. At the agency's discretion, these may include unannounced inspections."], ["34:34:3.1.3.1.3.2.12.15", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.24 Additional procedures certain institutional agencies must have.", "ED", "", "", "[84 FR 58924, Nov. 1, 2019]", "If the agency is an institutional accrediting agency and its accreditation or preaccreditation enables those institutions to obtain eligibility to participate in title IV, HEA programs, the agency must demonstrate that it has established and uses all of the following procedures:\n\n(a)  Branch campus.  The agency must require the institution to notify the agency if it plans to establish a branch campus and to submit a business plan for the branch campus that describes\u2014\n\n(1) The educational program to be offered at the branch campus; and\n\n(2) The projected revenues and expenditures and cash flow at the branch campus.\n\n(b)  Site visits.  The agency must undertake a site visit to a new branch campus or following a change of ownership or control as soon as practicable, but no later than six months, after the establishment of that campus or the change of ownership or control.\n\n(c)  Teach-out plans and agreements.  (1) The agency must require an institution it accredits to submit a teach-out plan as defined in 34 CFR 600.2 to the agency for approval upon the occurrence of any of the following events:\n\n(i) For a nonprofit or proprietary institution, the Secretary notifies the agency of a determination by the institution's independent auditor expressing doubt about the institution's ability to operate as a going concern or indicating an adverse opinion or a finding of material weakness related to financial stability.\n\n(ii) The agency acts to place the institution on probation or equivalent status.\n\n(iii) The Secretary notifies the agency that the institution is participating in title IV, HEA programs under a provisional program participation agreement and the Secretary has required a teach-out plan as a condition of participation.\n\n(2) The agency must require an institution it accredits or preaccredits to submit a teach-out plan and, if practicable, teach-out agreements (as defined in 34 CFR 600.2) to the agency for approval upon the occurrence of any of the following events:\n\n(i) The Secretary notifies the agency that it has placed the institution on the reimbursement payment method under 34 CFR 668.162(c) or the heightened cash monitoring payment method requiring the Secretary's review of the institution's supporting documentation under 34 CFR 668.162(d)(2).\n\n(ii) The Secretary notifies the agency that the Secretary has initiated an emergency action against an institution, in accordance with section 487(c)(1)(G) of the HEA, or an action to limit, suspend, or terminate an institution participating in any title IV, HEA program, in accordance with section 487(c)(1)(F) of the HEA.\n\n(iii) The agency acts to withdraw, terminate, or suspend the accreditation or preaccreditation of the institution.\n\n(iv) The institution notifies the agency that it intends to cease operations entirely or close a location that provides one hundred percent of at least one program, including if the location is being moved and is considered by the Secretary to be a closed school.\n\n(v) A State licensing or authorizing agency notifies the agency that an institution's license or legal authorization to provide an educational program has been or will be revoked.\n\n(3) The agency must evaluate the teach-out plan to ensure it includes a list of currently enrolled students, academic programs offered by the institution, and the names of other institutions that offer similar programs and that could potentially enter into a teach-out agreement with the institution.\n\n(4) If the agency approves a teach-out plan that includes a program or institution that is accredited by another recognized accrediting agency, it must notify that accrediting agency of its approval.\n\n(5) The agency may require an institution it accredits or preaccredits to enter into a teach-out agreement as part of its teach-out plan.\n\n(6) The agency must require a closing institution to include in its teach-out agreement\u2014\n\n(i) A complete list of students currently enrolled in each program at the institution and the program requirements each student has completed;\n\n(ii) A plan to provide all potentially eligible students with information about how to obtain a closed school discharge and, if applicable, information on State refund policies;\n\n(iii) A record retention plan to be provided to all enrolled students that delineates the final disposition of teach-out records ( e.g.,  student transcripts, billing, financial aid records);\n\n(iv) Information on the number and types of credits the teach-out institution is willing to accept prior to the student's enrollment; and\n\n(v) A clear statement to students of the tuition and fees of the educational program and the number and types of credits that will be accepted by the teach-out institution.\n\n(7) The agency must require an institution it accredits or preaccredits that enters into a teach-out agreement, either on its own or at the request of the agency, to submit that teach-out agreement for approval. The agency may approve the teach-out agreement only if the agreement meets the requirements of 34 CFR 600.2 and this section, is consistent with applicable standards and regulations, and provides for the equitable treatment of students being served by ensuring that the teach-out institution\u2014\n\n(i) Has the necessary experience, resources, and support services to provide an educational program that is of acceptable quality and reasonably similar in content, delivery modality, and scheduling to that provided by the institution that is ceasing operations either entirely or at one of its locations; however, while an option via an alternate method of delivery may be made available to students, such an option is not sufficient unless an option via the same method of delivery as the original educational program is also provided;\n\n(ii) Has the capacity to carry out its mission and meet all obligations to existing students; and\n\n(iii) Demonstrates that it\u2014\n\n(A) Can provide students access to the program and services without requiring them to move or travel for substantial distances or durations; and\n\n(B) Will provide students with information about additional charges, if any.\n\n(8) Irrespective of any teach-out plan or signed teach-out agreement, the agency must not permit an institution to serve as a teach-out institution under the following conditions:\n\n(i) The institution is subject to the conditions in paragraph (c)(1) or (2) of this section.\n\n(ii) The institution is under investigation, subject to an action, or being prosecuted for an issue related to academic quality, misrepresentation, fraud, or other severe matters by a law enforcement agency.\n\n(9) The agency is permitted to waive requirements regarding the percentage of credits that must be earned by a student at the institution awarding the educational credential if the student is completing his or her program through a written teach-out agreement or transfer.\n\n(10) The agency must require the institution to provide copies of all notifications from the institution related to the institution's closure or to teach-out options to ensure the information accurately represents students' ability to transfer credits and may require corrections.\n\n(d)  Closed institution.  If an institution the agency accredits or preaccredits closes without a teach-out plan or agreement, the agency must work with the Department and the appropriate State agency, to the extent feasible, to assist students in finding reasonable opportunities to complete their education without additional charges.\n\n(e)  Transfer of credit policies.  The accrediting agency must confirm, as part of its review for initial accreditation or preaccreditation, or renewal of accreditation, that the institution has transfer of credit policies that\u2014\n\n(1) Are publicly disclosed in accordance with \u00a7 668.43(a)(11); and\n\n(2) Include a statement of the criteria established by the institution regarding the transfer of credit earned at another institution of higher education.\n\n(f)  Agency designations.  In its accrediting practice, the agency must\u2014\n\n(1) Adopt and apply the definitions of \u201cbranch campus\u201d and \u201cadditional location\u201d in 34 CFR 600.2;\n\n(2) On the Secretary's request, conform its designations of an institution's branch campuses and additional locations with the Secretary's if it learns its designations diverge; and\n\n(3) Ensure that it does not accredit or preaccredit an institution comprising fewer than all of the programs, branch campuses, and locations of an institution as certified for title IV participation by the Secretary, except with notice to and permission from the Secretary."], ["34:34:3.1.3.1.3.2.12.16", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.25 Due process.", "ED", "", "", "[74 FR 55429, Oct. 27, 2009, as amended at 84 FR 58925, Nov. 1, 2019]", "The agency must demonstrate that the procedures it uses throughout the accrediting process satisfy due process. The agency meets this requirement if the agency does the following:\n\n(a) Provides adequate written specification of its requirements, including clear standards, for an institution or program to be accredited or preaccredited.\n\n(b) Uses procedures that afford an institution or program a reasonable period of time to comply with the agency's requests for information and documents.\n\n(c) Provides written specification of any deficiencies identified at the institution or program examined.\n\n(d) Provides sufficient opportunity for a written response by an institution or program regarding any deficiencies identified by the agency, to be considered by the agency within a timeframe determined by the agency, and before any adverse action is taken.\n\n(e) Notifies the institution or program in writing of any adverse accrediting action or an action to place the institution or program on probation or show cause. The notice describes the basis for the action.\n\n(f) Provides an opportunity, upon written request of an institution or program, for the institution or program to appeal any adverse action prior to the action becoming final.\n\n(1) The appeal must take place at a hearing before an appeals panel that\u2014\n\n(i) May not include current members of the agency's decision-making body that took the initial adverse action;\n\n(ii) Is subject to a conflict of interest policy;\n\n(iii) Does not serve only an advisory or procedural role, and has and uses the authority to make the following decisions: To affirm, amend, or remand adverse actions of the original decision-making body; and\n\n(iv) Affirms, amends, or remands the adverse action. A decision to affirm or amend the adverse action is implemented by the appeals panel or by the original decision-making body, at the agency's option; however, in the event of a decision by the appeals panel to remand the adverse action to the original decision-making body for further consideration, the appeals panel must explain the basis for a decision that differs from that of the original decision-making body and the original decision-making body in a remand must act in a manner consistent with the appeals panel's decisions or instructions.\n\n(2) The agency must recognize the right of the institution or program to employ counsel to represent the institution or program during its appeal, including to make any presentation that the agency permits the institution or program to make on its own during the appeal.\n\n(g) The agency notifies the institution or program in writing of the result of its appeal and the basis for that result.\n\n(h)(1) The agency must provide for a process, in accordance with written procedures, through which an institution or program may, before the agency reaches a final adverse action decision, seek review of new financial information if all of the following conditions are met:\n\n(i) The financial information was unavailable to the institution or program until after the decision subject to appeal was made.\n\n(ii) The financial information is significant and bears materially on the financial deficiencies identified by the agency. The criteria of significance and materiality are determined by the agency.\n\n(iii) The only remaining deficiency cited by the agency in support of a final adverse action decision is the institution's or program's failure to meet an agency standard pertaining to finances.\n\n(2) An institution or program may seek the review of new financial information described in paragraph (h)(1) of this section only once and any determination by the agency made with respect to that review does not provide a basis for an appeal."], ["34:34:3.1.3.1.3.2.12.17", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.26 Notification of accrediting decisions.", "ED", "", "", "[64 FR 56617, Oct. 20, 1999, as amended at 74 FR 55429, Oct. 27, 2009; 84 FR 58924, Nov. 1, 2019]", "The agency must demonstrate that it has established and follows written procedures requiring it to provide written notice of its accrediting decisions to the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and the public. The agency meets this requirement if the agency, following its written procedures\u2014\n\n(a) Provides written notice of the following types of decisions to the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and the public no later than 30 days after it makes the decision:\n\n(1) A decision to award initial accreditation or preaccreditation to an institution or program.\n\n(2) A decision to renew an institution's or program's accreditation or preaccreditation;\n\n(b) Provides written notice of a final decision of a probation or equivalent status or an initiated adverse action to the Secretary, the appropriate State licensing or authorizing agency, and the appropriate accrediting agencies at the same time it notifies the institution or program of the decision and requires the institution or program to disclose such an action within seven business days of receipt to all current and prospective students;\n\n(c) Provides written notice of the following types of decisions to the Secretary, the appropriate State licensing or authorizing agency, and the appropriate accrediting agencies at the same time it notifies the institution or program of the decision, but no later than 30 days after it reaches the decision:\n\n(1) A final decision to deny, withdraw, suspend, revoke, or terminate the accreditation or preaccreditation of an institution or program.\n\n(2) A final decision to take any other adverse action, as defined by the agency, not listed in paragraph (c)(1) of this section;\n\n(d) Provides written notice to the public of the decisions listed in paragraphs (b) and (c) of this section within one business day of its notice to the institution or program;\n\n(e) For any decision listed in paragraph (c) of this section, requires the institution or program to disclose the decision to current and prospective students within seven business days of receipt and makes available to the Secretary, the appropriate State licensing or authorizing agency, and the public, no later than 60 days after the decision, a brief statement summarizing the reasons for the agency's decision and the official comments that the affected institution or program may wish to make with regard to that decision, or evidence that the affected institution has been offered the opportunity to provide official comment;\n\n(f) Notifies the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and, upon request, the public if an accredited or preaccredited institution or program\u2014\n\n(1) Decides to withdraw voluntarily from accreditation or preaccreditation, within 10 business days of receiving notification from the institution or program that it is withdrawing voluntarily from accreditation or preaccreditation; or\n\n(2) Lets its accreditation or preaccreditation lapse, within 10 business days of the date on which accreditation or preaccreditation lapses."], ["34:34:3.1.3.1.3.2.12.18", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.27 Other information an agency must provide the Department.", "ED", "", "", "[84 FR 58926, Nov. 1, 2019]", "(a) The agency must submit to the Department\u2014\n\n(1) A list, updated annually, of its accredited and preaccredited institutions and programs, which may be provided electronically;\n\n(2) A summary of the agency's major accrediting activities during the previous year (an annual data summary), if requested by the Secretary to carry out the Secretary's responsibilities related to this part;\n\n(3) Any proposed change in the agency's policies, procedures, or accreditation or preaccreditation standards that might alter its\u2014\n\n(i) Scope of recognition, except as provided in paragraph (a)(4) of this section; or\n\n(ii) Compliance with the criteria for recognition;\n\n(4) Notification that the agency has expanded its scope of recognition to include distance education or correspondence courses as provided in section 496(a)(4)(B)(i)(I) of the HEA. Such an expansion of scope is effective on the date the Department receives the notification;\n\n(5) The name of any institution or program it accredits that the agency has reason to believe is failing to meet its title IV, HEA program responsibilities or is engaged in fraud or abuse, along with the agency's reasons for concern about the institution or program; and\n\n(6) If the Secretary requests, information that may bear upon an accredited or preaccredited institution's compliance with its title IV, HEA program responsibilities, including the eligibility of the institution or program to participate in title IV, HEA programs.\n\n(b) If an agency has a policy regarding notification to an institution or program of contact with the Department in accordance with paragraph (a)(5) or (6) of this section, it must provide for a case-by-case review of the circumstances surrounding the contact, and the need for the confidentiality of that contact. When the Department determines a compelling need for confidentiality, the agency must consider that contact confidential upon specific request of the Department."], ["34:34:3.1.3.1.3.2.12.19", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.28 Regard for decisions of States and other accrediting agencies.", "ED", "", "", "", "(a) If the agency is an institutional accrediting agency, it may not accredit or preaccredit institutions that lack legal authorization under applicable State law to provide a program of education beyond the secondary level.\n\n(b) Except as provided in paragraph (c) of this section, the agency may not grant initial or renewed accreditation or preaccreditation to an institution, or a program offered by an institution, if the agency knows, or has reasonable cause to know, that the institution is the subject of\u2014\n\n(1) A pending or final action brought by a State agency to suspend, revoke, withdraw, or terminate the institution's legal authority to provide postsecondary education in the State;\n\n(2) A decision by a recognized agency to deny accreditation or preaccreditation;\n\n(3) A pending or final action brought by a recognized accrediting agency to suspend, revoke, withdraw, or terminate the institution's accreditation or preaccreditation; or\n\n(4) Probation or an equivalent status imposed by a recognized agency.\n\n(c) The agency may grant accreditation or preaccreditation to an institution or program described in paragraph (b) of this section only if it provides to the Secretary, within 30 days of its action, a thorough and reasonable explanation, consistent with its standards, why the action of the other body does not preclude the agency's grant of accreditation or preaccreditation.\n\n(d) If the agency learns that an institution it accredits or preaccredits, or an institution that offers a program it accredits or preaccredits, is the subject of an adverse action by another recognized accrediting agency or has been placed on probation or an equivalent status by another recognized agency, the agency must promptly review its accreditation or preaccreditation of the institution or program to determine if it should also take adverse action or place the institution or program on probation or show cause.\n\n(e) The agency must, upon request, share with other appropriate recognized accrediting agencies and recognized State approval agencies information about the accreditation or preaccreditation status of an institution or program and any adverse actions it has taken against an accredited or preaccredited institution or program."], ["34:34:3.1.3.1.3.2.12.20", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.29 Severability.", "ED", "", "", "[84 FR 58926, Nov. 1, 2019]", "If any provision of this subpart or its application to any person, act, or practice is held invalid, the remainder of the subpart or the application of its provisions to any person, act, or practice shall not be affected thereby."], ["34:34:3.1.3.1.3.2.9.1", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.10 Link to Federal programs.", "ED", "", "", "[64 FR 56617, Oct. 20, 1999, as amended at 85 FR 58918, Nov. 1, 2019]", "The agency must demonstrate that\u2014\n\n(a) If the agency accredits institutions of higher education, its accreditation is a required element in enabling at least one of those institutions to establish eligibility to participate in HEA programs. If, pursuant to 34 CFR 600.11(b), an agency accredits one or more institutions that participate in HEA programs and that could designate the agency as its link to HEA programs, the agency satisfies this requirement, even if the institution currently designates another institutional accrediting agency as its Federal link; or\n\n(b) If the agency accredits institutions of higher education or higher education programs, or both, its accreditation is a required element in enabling at least one of those entities to establish eligibility to participate in non-HEA Federal programs."], ["34:34:3.1.3.1.3.2.9.2", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.11 Geographic area of accrediting activities.", "ED", "", "", "[84 FR 58918, Nov. 1, 2019]", "The agency must demonstrate that it conducts accrediting activities within\u2014\n\n(a) A State, if the agency is part of a State government;\n\n(b) A region or group of States chosen by the agency in which an agency provides accreditation to a main campus, a branch campus, or an additional location of an institution. An agency whose geographic area includes a State in which a branch campus or additional location is located is not required to also accredit a main campus in that State. An agency whose geographic area includes a State in which only a branch campus or additional location is located is not required to accept an application for accreditation from other institutions in such State; or\n\n(c) The United States."], ["34:34:3.1.3.1.3.2.9.3", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.12 Accrediting experience.", "ED", "", "", "[84 FR 58918, Nov. 1, 2019]", "(a) An agency seeking initial recognition must demonstrate that it has\u2014\n\n(1) Granted accreditation or preaccreditation prior to submitting an application for recognition\u2014\n\n(i) To one or more institutions if it is requesting recognition as an institutional accrediting agency and to one or more programs if it is requesting recognition as a programmatic accrediting agency;\n\n(ii) That covers the range of the specific degrees, certificates, institutions, and programs for which it seeks recognition; and\n\n(iii) In the geographic area for which it seeks recognition; and\n\n(2) Conducted accrediting activities, including deciding whether to grant or deny accreditation or preaccreditation, for at least two years prior to seeking recognition, unless the agency seeking initial recognition is affiliated with, or is a division of, an already recognized agency.\n\n(b)(1) A recognized agency seeking an expansion of its scope of recognition must follow the requirements of \u00a7\u00a7 602.31 and 602.32 and demonstrate that it has accreditation or preaccreditation policies in place that meet all the criteria for recognition covering the range of the specific degrees, certificates, institutions, and programs for which it seeks the expansion of scope and has engaged and can show support from relevant constituencies for the expansion. A change to an agency's geographic area of accrediting activities does not constitute an expansion of the agency's scope of recognition, but the agency must notify the Department of, and publicly disclose on the agency's website, any such change.\n\n(2) An agency that cannot demonstrate experience in making accreditation or preaccreditation decisions under the expanded scope at the time of its application or review for an expansion of scope may\u2014\n\n(i) If it is an institutional accrediting agency, be limited in the number of institutions to which it may grant accreditation under the expanded scope for a designated period of time; or\n\n(ii) If it is a programmatic accrediting agency, be limited in the number of programs to which it may grant accreditation under that expanded scope for a certain period of time; and\n\n(iii) Be required to submit a monitoring report regarding accreditation decisions made under the expanded scope."], ["34:34:3.1.3.1.3.2.9.4", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "B", "Subpart B\u2014The Criteria for Recognition", "", "\u00a7 602.13 [Reserved]", "ED", "", "", "", ""], ["34:34:3.1.3.1.3.3.13.1", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.30 [Reserved]", "ED", "", "", "", ""], ["34:34:3.1.3.1.3.3.13.2", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.31 Agency applications and reports to be submitted to the Department.", "ED", "", "", "[84 FR 58926, Nov. 1, 2019]", "(a)  Applications for recognition or renewal of recognition.  An accrediting agency seeking initial or continued recognition must submit a written application to the Secretary. Each accrediting agency must submit an application for continued recognition at least once every five years, or within a shorter time period specified in the final recognition decision, and, for an agency seeking renewal of recognition, 24 months prior to the date on which the current recognition expires. The application, to be submitted concurrently with information required by \u00a7 602.32(a) and, if applicable, \u00a7 602.32(b), must consist of\u2014\n\n(1) A statement of the agency's requested scope of recognition;\n\n(2) Documentation that the agency complies with the criteria for recognition listed in subpart B of this part, including a copy of its policies and procedures manual and its accreditation standards; and\n\n(3) Documentation of how an agency that includes or seeks to include distance education or correspondence courses in its scope of recognition applies its standards in evaluating programs and institutions it accredits that offer distance education or correspondence courses.\n\n(b)  Applications for expansions of scope.  An agency seeking an expansion of scope by application must submit a written application to the Secretary. The application must\u2014\n\n(1) Specify the scope requested;\n\n(2) Provide copies of any relevant standards, policies, or procedures developed and applied by the agency for its use in accrediting activities conducted within the expansion of scope proposed and documentation of the application of these standards, policies, or procedures; and\n\n(3) Provide the materials required by \u00a7 602.32(j) and, if applicable, \u00a7 602.32(l).\n\n(c)  Compliance or monitoring reports.  If an agency is required to submit a compliance or monitoring report, it must do so within 30 days following the end of the period for achieving compliance as specified in the decision of the senior Department official or Secretary, as applicable.\n\n(d)  Review following an increase in headcount enrollment.  If an agency that has notified the Secretary in writing of its change in scope to include distance education or correspondence courses in accordance with \u00a7 602.27(a)(4) reports an increase in headcount enrollment in accordance with \u00a7 602.19(e) for an institution it accredits, or if the Department notifies the agency of such an increase at one of the agency's accredited institutions, the agency must, within 45 days of reporting the increase or receiving notice of the increase from the Department, as applicable, submit a report explaining\u2014\n\n(1) How the agency evaluates the capacity of the institutions or programs it accredits to accommodate significant growth in enrollment and to maintain education quality;\n\n(2) The specific circumstances regarding the growth at the institution or program that triggered the review and the results of any evaluation conducted by the agency; and\n\n(3) Any other information that the agency deems appropriate to demonstrate the effective application of the criteria for recognition or that the Department may require.\n\n(e)  Consent to sharing of information.  By submitting an application for recognition, the agency authorizes Department staff throughout the application process and during any period of recognition\u2014\n\n(1) To observe its site visits to one or more of the institutions or programs it accredits or preaccredits, on an announced or unannounced basis;\n\n(2) To visit locations where agency activities such as training, review and evaluation panel meetings, and decision meetings take place, on an announced or unannounced basis;\n\n(3) To obtain copies of all documents the staff deems necessary to complete its review of the agency; and\n\n(4) To gain access to agency records, personnel, and facilities.\n\n(f)  Public availability of agency records obtained by the Department.\n\n(1) The Secretary's processing and decision-making on requests for public disclosure of agency materials reviewed under this part are governed by the Freedom of Information Act, 5 U.S.C. 552; the Trade Secrets Act, 18 U.S.C. 1905; the Privacy Act of 1974, as amended, 5 U.S.C. 552a; the Federal Advisory Committee Act, 5 U.S.C. Appdx. 1; and all other applicable laws. In recognition proceedings, agencies must, before submission to the Department\u2014\n\n(i) Redact the names and any other personally identifiable information about individual students and any other individuals who are not agents of the agency or of an institution or program the agency is reviewing;\n\n(ii) Redact the personal addresses, personal telephone numbers, personal email addresses, Social Security numbers, and any other personally identifiable information regarding individuals who are acting as agents of the agency or of an institution or program under review;\n\n(iii) Designate all business information within agency submissions that the agency believes would be exempt from disclosure under exemption 4 of the Freedom of Information Act (FOIA), 5 U.S.C. 552(b)(4). A blanket designation of all information contained within a submission, or of a category of documents, as meeting this exemption will not be considered a good faith effort and will be disregarded; and\n\n(iv) Ensure documents submitted are only those required for Department review or as requested by Department officials.\n\n(2) The agency may, but is not required to, redact the identities of institutions or programs that it believes are not essential to the Department's review of the agency and may identify any other material the agency believes would be exempt from public disclosure under FOIA, the factual basis for the request, and any legal basis the agency has identified for withholding the document from public disclosure.\n\n(3) The Secretary processes FOIA requests in accordance with 34 CFR part 5 and makes all documents provided to the Advisory Committee available to the public.\n\n(4) Upon request by Department staff, the agency must disclose to Department staff any specific material the agency has redacted that Department staff believes is needed to conduct the staff review. Department staff will make any arrangements needed to ensure that the materials are not made public if prohibited by law.\n\n(g)  Length of submissions.  The Secretary may publish reasonable, uniform limits on the length of submissions described in this section."], ["34:34:3.1.3.1.3.3.13.3", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.32 Procedures for submitting an application for recognition, renewal of recognition, expansion of scope, compliance reports, and increases in enrollment.", "ED", "", "", "[84 FR 58927, Nov. 1, 2019, as amended at 87 FR 63692, Oct. 20, 2022]", "(a) An agency preparing for renewing recognition will submit, 24 months prior to the date on which the current recognition expires, and in conjunction with the materials required by \u00a7 602.31(a), a list of all institutions or programs that the agency plans to consider for an award of initial or renewed accreditation over the next year or, if none, over the succeeding year, as well as any institutions or programs currently subject to compliance report review or reporting requirements. An agency that does not anticipate a review of any institution or program for an initial award of accreditation or renewed accreditation in the 24 months prior to the date of recognition expiration may submit a list of institutions or programs it has reviewed for an initial award of accreditation or renewal of accreditation at any time since the prior award of recognition or leading up to the application for an initial award of recognition.\n\n(b) An agency seeking initial recognition must follow the policies and procedures outlined in paragraph (a) of this section, but in addition must also submit\u2014\n\n(1) Letters of support for the agency from at least three accredited institutions or programs, three educators, and, if appropriate, three employers or practitioners, explaining the role for such an agency and the reasons for their support; and\n\n(2) Letters from at least one program or institution that will rely on the agency as its link to a Federal program upon recognition of the agency or intends to seek multiple accreditation which will allow it in the future to designate the agency as its Federal link.\n\n(c) Department staff publishes a notice of the agency's submission of an application in the  Federal Register  inviting the public to comment on the agency's compliance with the criteria for recognition and establishing a deadline for receipt of public comment.\n\n(d) The Department staff analyzes the agency's application for initial or renewal of recognition, to determine whether the agency satisfies the criteria for recognition, taking into account all available relevant information concerning the compliance of the agency with those criteria and the agency's consistency in applying the criteria. The analysis of an application may include and, after January 1, 2021, will include\u2014\n\n(1)(i) Observations from site visits, on an announced or unannounced basis, to the agency or to a location where the agency conducts activities such as training, review and evaluation panel meetings, or decision meetings;\n\n(ii) Observations from site visits, on an announced or unannounced basis, to one or more of the institutions or programs the agency accredits or preaccredits;\n\n(iii) A file review at the agency of documents, at which time Department staff may retain copies of documents needed for inclusion in the administrative record;\n\n(iv) Review of the public comments and other third-party information Department staff receives by the established deadline, the agency's responses to the third-party comments, as appropriate, and any other information Department staff obtains for purposes of evaluating the agency under this part; and\n\n(v) Review of complaints or legal actions involving the agency; and\n\n(2) Review of complaints or legal actions against an institution or program accredited or preaccredited by the agency, which may be considered but are not necessarily determinative of compliance.\n\n(e) The Department may view as a negative factor when considering an application for initial, or expansion of scope of, recognition as proposed by an agency, among other factors, any evidence that the agency was part of a concerted effort to unnecessarily restrict the qualifications necessary for a student to sit for a licensure or certification examination or otherwise be eligible for entry into a profession.\n\n(f) Department staff's evaluation of an agency may also include a review of information directly related to institutions or programs accredited or preaccredited by the agency relative to their compliance with the agency's standards, the effectiveness of the standards, and the agency's application of those standards, but must make all materials relied upon in the evaluation available to the agency for review and comment.\n\n(g) If, at any point in its evaluation of an agency seeking initial recognition, Department staff determines that the agency fails to demonstrate compliance with the basic eligibility requirements in \u00a7\u00a7 602.10 through 602.15, the staff\u2014\n\n(1) Returns the agency's application and provides the agency with an explanation of the deficiencies that caused staff to take that action; and\n\n(2) Requires that the agency withdraw its application and instructs the agency that it may reapply when the agency is able to demonstrate compliance.\n\n(h) Except with respect to an application that has been returned and is withdrawn under paragraph (g) of this section, when Department staff completes its evaluation of the agency, the staff may and, after July 1, 2021, will\u2014\n\n(1) Prepare a written draft analysis of the agency's application;\n\n(2) Send to the agency the draft analysis including any identified areas of potential noncompliance and all third-party comments and complaints, if applicable, and any other materials the Department received by the established deadline or is including in its review;\n\n(3) Invite the agency to provide a written response to the draft analysis and third-party comments or other material included in the review, specifying a deadline that provides at least 180 days for the agency's response;\n\n(4) Review the response to the draft analysis the agency submits, if any, and prepares the written final analysis\u2014\n\n(i) Indicating that the agency is in full compliance, substantial compliance, or noncompliance with each of the criteria for recognition; and\n\n(ii) Recommending that the senior Department official approve, continue recognition with a compliance report-to be submitted to the Department within 12 months, continue recognition with a compliance report to be submitted to the Department with a deadline in excess of 12 months based on a finding of good cause and extraordinary circumstances, approve with monitoring or other reporting requirements, or deny, limit, suspend, or terminate recognition; and\n\n(5) Provide to the agency, no later than 30 days before the Advisory Committee meeting, the final staff analysis and any other available information provided to the Advisory Committee under \u00a7 602.34(c).\n\n(i) The agency may request that the Advisory Committee defer acting on an application at that Advisory Committee meeting if Department staff fails to provide the agency with the materials described, and within the timeframes provided, in paragraphs (g)(3) and (5) of this section. If the Department staff's failure to send the materials in accordance with the timeframe described in paragraph (g)(3) or (5) of this section is due to the failure of the agency to, by the deadline established by the Secretary, submit reports to the Department, other information the Secretary requested, or its response to the draft analysis, the agency forfeits its right to request a deferral of its application.\n\n(j) An agency seeking an expansion of scope, either as part of the regular renewal of recognition process or during a period of recognition, must submit an application to the Secretary, separately or as part of the policies and procedures outlined in paragraph (a) of this section, that satisfies the requirements of \u00a7\u00a7 602.12(b) and 602.31(b) and\u2014\n\n(1) States the reason for the expansion of scope request;\n\n(2) Includes letters from at least three institutions or programs that would seek accreditation under one or more of the elements of the expansion of scope; and\n\n(3) Explains how the agency must expand capacity to support the expansion of scope, if applicable, and, if necessary, how it will do so and how its budget will support that expansion of capacity.\n\n(k) The Department may view as a negative factor when considering an application for initial or expansion of scope of recognition as proposed by an agency, among other factors, any evidence that the agency was part of a concerted effort to unnecessarily restrict the qualifications necessary for a student to sit for a licensure or certification examination or otherwise be eligible for entry into a profession.\n\n(l) Department staff's evaluation of a compliance report includes review of public comments solicited by Department staff in the  Federal Register  received by the established deadline, the agency's responses to the third-party comments, as appropriate, other third-party information Department staff receives, and additional information described in paragraphs (d) and (e) of this section, as appropriate.\n\n(m) The Department will process an application for an expansion of scope, compliance report, or increase in enrollment report in accordance with paragraphs with paragraphs (c) through (h) of this section."], ["34:34:3.1.3.1.3.3.13.4", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.33 Procedures for review of agencies during the period of recognition, including the review of monitoring reports.", "ED", "", "", "[84 FR 58928, Nov. 1, 2019]", "(a) Department staff may review the compliance of a recognized agency with the criteria for recognition at any time\u2014\n\n(1) Based on the submission of a monitoring report as directed by a decision by the senior Department official or Secretary; or\n\n(2) Based on any information that, as determined by Department staff, appears credible and raises concerns relevant to the criteria for recognition.\n\n(b) The review may include, but need not be limited to, any of the activities described in \u00a7 602.32(d) and (f).\n\n(c) If, in the course of the review, and after providing the agency the documentation concerning the inquiry and consulting with the agency, Department staff notes that one or more deficiencies may exist in the agency's compliance with the criteria for recognition or in the agency's effective application of those criteria, Department staff\u2014\n\n(1) Prepares a written draft analysis of the agency's compliance with the criteria of concern;\n\n(2) Sends to the agency the draft analysis including any identified areas of noncompliance and all supporting documentation;\n\n(3) Invites the agency to provide a written response to the draft analysis within 90 days; and\n\n(4) Reviews any response provided by the agency, including any monitoring report submitted, and either\u2014\n\n(i) Concludes the review;\n\n(ii) Continues monitoring of the agency's areas of deficiencies; or\n\n(iii)(A) Notifies the agency, in the event that the agency's response or monitoring report does not satisfy the staff, that the draft analysis will be finalized for presentation to the Advisory Committee;\n\n(B) Publishes a notice in the  Federal Register  with an invitation for the public to comment on the agency's compliance with the criteria in question and establishing a deadline for receipt of public comment;\n\n(C) Provides the agency with a copy of all public comments received and invites a written response from the agency;\n\n(D) Finalizes the staff analysis as necessary to reflect its review of any agency response and any public comment received;\n\n(E) Provides to the agency, no later than 30 days before the Advisory Committee meeting, the final staff analysis and a recognition recommendation and any other information provided to the Advisory Committee under \u00a7 602.34(c); and\n\n(F) Submits the matter for review by the Advisory Committee in accordance with \u00a7 602.34."], ["34:34:3.1.3.1.3.3.14.5", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.34 Advisory Committee meetings.", "ED", "", "", "[84 FR 58929, Nov. 1, 2019]", "(a) Department staff submits a proposed schedule to the Chairperson of the Advisory Committee based on anticipated completion of staff analyses.\n\n(b) The Chairperson of the Advisory Committee establishes an agenda for the next meeting and, in accordance with the Federal Advisory Committee Act, presents it to the Designated Federal Official for approval.\n\n(c) Before the Advisory Committee meeting, Department staff provides the Advisory Committee with\u2014\n\n(1) The agency's application for recognition, renewal of recognition, or expansion of scope when Advisory Committee review is required, or the agency's compliance report and supporting documentation submitted by the agency;\n\n(2) The final Department staff analysis of the agency developed in accordance with \u00a7 602.32 or \u00a7 602.33, and any supporting documentation;\n\n(3) The agency's response to the draft analysis;\n\n(4) Any written third-party comments the Department received about the agency on or before the established deadline;\n\n(5) Any agency response to third-party comments; and\n\n(6) Any other information Department staff relied upon in developing its analysis.\n\n(d) At least 30 days before the Advisory Committee meeting, the Department publishes a notice of the meeting in the  Federal Register  inviting interested parties to make oral presentations before the Advisory Committee.\n\n(e) The Advisory Committee considers the materials provided under paragraph (c) of this section in a public meeting and invites Department staff, the agency, and other interested parties to make oral presentations during the meeting. A transcript is made of all Advisory Committee meetings.\n\n(f) The written motion adopted by the Advisory Committee regarding each agency's recognition will be made available during the Advisory Committee meeting. The Department will provide each agency, upon request, with a copy of the motion on recognition at the meeting. Each agency that was reviewed will be sent an electronic copy of the motion relative to that agency as soon as practicable after the meeting.\n\n(g) After each meeting of the Advisory Committee, the Advisory Committee forwards to the senior Department official its recommendation with respect to each agency, which may include, but is not limited to\u2014\n\n(1)(i) For an agency that is fully compliant, approve initial or renewed recognition;\n\n(ii) Continue recognition with a required compliance report to be submitted to the Department within 12 months from the decision of the senior Department official;\n\n(iii) In conjunction with a finding of exceptional circumstances and good cause, continue recognition for a specified period in excess of 12 months pending submission of a compliance report;\n\n(iv) In the case of substantial compliance, grant initial recognition or renewed recognition and recommend a monitoring report with a set deadline to be reviewed by Department staff to ensure that corrective action is taken, and full compliance is achieved or maintained (or for action by staff under \u00a7 602.33 if it is not); or\n\n(v) Deny, limit, suspend, or terminate recognition;\n\n(2) Grant or deny a request for expansion of scope; or\n\n(3) Revise or affirm the scope of the agency."], ["34:34:3.1.3.1.3.3.14.6", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.35 Responding to the Advisory Committee's recommendation.", "ED", "", "", "[74 FR 55430, Oct. 27, 2009, as amended at 84 FR 58929, Nov. 1, 2019]", "(a) Within ten business days following the Advisory Committee meeting, the agency and Department staff may submit written comments to the senior Department official on the Advisory Committee's recommendation. The agency must simultaneously submit a copy of its written comments, if any, to Department staff. Department staff must simultaneously submit a copy of its written comments, if any, to the agency.\n\n(b) Comments must be limited to\u2014\n\n(1) Any Advisory Committee recommendation that the agency or Department staff believes is not supported by the record;\n\n(2) Any incomplete Advisory Committee recommendation based on the agency's application; and\n\n(3) The inclusion of any recommendation or draft proposed decision for the senior Department official's consideration.\n\n(c)(1) Neither the Department staff nor the agency may submit additional documentationwith its comments unless the Advisory Committee's recognition recommendation proposes finding the agency noncompliant with, or ineffective in its application of, a criterion or criteria for recognition not identified in the final Department staff analysis provided to the Advisory Committee.\n\n(2) Within ten business days of receipt by the Department staff of an agency's comments or new evidence, if applicable, or of receipt by the agency of the Department staff's comments, Department staff, the agency, or both, as applicable, may submit a response to the senior Department official. Simultaneously with submission, the agency must provide a copy of any response to the Department staff. Simultaneously with submission, Department staff must provide a copy of any response to the agency. No additional comments or new documentation may be submitted after the responses described in this paragraph are submitted."], ["34:34:3.1.3.1.3.3.15.7", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.36 Senior Department official's decision.", "ED", "", "", "[84 FR 58929, Nov. 1, 2019]", "(a) The senior Department official makes a decision regarding recognition of an agency based on the record compiled under \u00a7\u00a7 602.32, 602.33, 602.34, and 602.35 including, as applicable, the following:\n\n(1) The materials provided to the Advisory Committee under \u00a7 602.34(c).\n\n(2) The transcript of the Advisory Committee meeting.\n\n(3) The recommendation of the Advisory Committee.\n\n(4) Written comments and responses submitted under \u00a7 602.35.\n\n(5) New documentation submitted in accordance with \u00a7 602.35(c)(1).\n\n(6) A communication from the Secretary referring an issue to the senior Department official's consideration under \u00a7 602.37(e).\n\n(b) In the event that statutory authority or appropriations for the Advisory Committee ends, or there are fewer duly appointed Advisory Committee members than needed to constitute a quorum, and under extraordinary circumstances when there are serious concerns about an agency's compliance with subpart B of this part that require prompt attention, the senior Department official may make a decision on an application for renewal of recognition or compliance report on the record compiled under \u00a7 602.32 or \u00a7 602.33 after providing the agency with an opportunity to respond to the final staff analysis. Any decision made by the senior Department official under this paragraph from the Advisory Committee may be appealed to the Secretary as provided in \u00a7 602.37.\n\n(c) Following consideration of an agency's recognition under this section, the senior Department official issues a recognition decision.\n\n(d) Except with respect to decisions made under paragraph (f) or (g) of this section and matters referred to the senior Department official under \u00a7 602.37(e) or (f), the senior Department official notifies the agency in writing of the senior Department official's decision regarding the agency's recognition within 90 days of the Advisory Committee meeting or conclusion of the review under paragraph (b) of this section.\n\n(e) The senior Department official's decision may include, but is not limited to, approving for recognition; approving with a monitoring report; denying, limiting, suspending, or terminating recognition following the procedures in paragraph (g) of this section; granting or denying an application for an expansion of scope; revising or affirming the scope of the agency; or continuing recognition pending submission and review of a compliance report under \u00a7\u00a7 602.32 and 602.34 and review of the report by the senior Department official under this section.\n\n(1)(i) The senior Department official approves recognition if the agency has demonstrated compliance or substantial compliance with the criteria for recognition listed in subpart B of this part. The senior Department official may determine that the agency has demonstrated compliance or substantial compliance with the criteria for recognition if the agency has a compliant policy or procedure in place but has not had the opportunity to apply such policy or procedure.\n\n(ii) If the senior Department official approves recognition, the recognition decision defines the scope of recognition and the recognition period. The recognition period does not exceed five years, including any time during which recognition was continued to permit submission and review of a compliance report.\n\n(iii) If the scope of recognition is less than that requested by the agency, the senior Department official explains the reasons for continuing or approving a lesser scope.\n\n(2)(i) Except as provided in paragraph (e)(3) of this section, if the agency fails to comply with the criteria for recognition listed in subpart B of this part, the senior Department official denies, limits, suspends, or terminates recognition.\n\n(ii) If the senior Department official denies, limits, suspends, or terminates recognition, the senior Department official specifies the reasons for this decision, including all criteria the agency fails to meet and all criteria the agency has failed to apply effectively.\n\n(3)(i) If the senior Department official concludes an agency is noncompliant, the senior Department official may continue the agency's recognition, pending submission of a compliance report that will be subject to review in the recognition process, provided that\u2014\n\n(A) The senior Department official concludes that the agency will demonstrate compliance with, and effective application of, the criteria for recognition within 12 months from the date of the senior Department official's decision; or\n\n(B) The senior Department official identifies a deadline more than 12 months from the date of the decision by which the senior Department official concludes the agency will demonstrate full compliance with, and effective application of, the criteria for recognition, and also identifies exceptional circumstances and good cause for allowing the agency more than 12 months to achieve compliance and effective application.\n\n(ii) In the case of a compliance report ordered under paragraph (e)(3)(i) of this section, the senior Department official specifies the criteria the compliance report must address, and the time period for achieving compliance and effective application of the criteria. The compliance report documenting compliance and effective application of criteria is due not later than 30 days after the end of the period specified in the senior Department official's decision.\n\n(iii) If the record includes a compliance report required under paragraph (e)(3)(i) of this section, and the senior Department official determines that an agency has not complied with the criteria for recognition, or has not effectively applied those criteria, during the time period specified by the senior Department official in accordance with paragraph (e)(3)(i) of this section, the senior Department official denies, limits, suspends, or terminates recognition, except, in extraordinary circumstances, upon a showing of good cause for an extension of time as determined by the senior Department official and detailed in the senior Department official's decision. If the senior Department official determines good cause for an extension has been shown, the senior Department official specifies the length of the extension and what the agency must do during it to merit a renewal of recognition.\n\n(f) If the senior Department official determines that the agency is substantially compliant, or is fully compliant but has concerns about the agency maintaining compliance, the senior Department official may approve the agency's recognition or renewal of recognition and require periodic monitoring reports that are to be reviewed and approved by Department staff.\n\n(g) If the senior Department official determines, based on the record, that a decision to deny, limit, suspend, or terminate an agency's recognition may be warranted based on a finding that the agency is noncompliant with one or more criteria for recognition, or if the agency does not hold institutions or programs accountable for complying with one or more of the agency's standards or criteria for accreditation that were not identified earlier in the proceedings as an area of noncompliance, the senior Department official provides\u2014\n\n(1) The agency with an opportunity to submit a written response addressing the finding; and\n\n(2) The staff with an opportunity to present its analysis in writing.\n\n(h) If relevant and material information pertaining to an agency's compliance with recognition criteria, but not contained in the record, comes to the senior Department official's attention while a decision regarding the agency's recognition is pending before the senior Department official, and if the senior Department official concludes the recognition decision should not be made without consideration of the information, the senior Department official either\u2014\n\n(1)(i) Does not make a decision regarding recognition of the agency; and\n\n(ii) Refers the matter to Department staff for review and analysis under \u00a7 602.32 or \u00a7 602.33, as appropriate, and consideration by the Advisory Committee under \u00a7 602.34; or\n\n(2)(i) Provides the information to the agency and Department staff;\n\n(ii) Permits the agency to respond to the senior Department official and the Department staff in writing, and to include additional documentation relevant to the issue, and specifies a deadline;\n\n(iii) Provides Department staff with an opportunity to respond in writing to the agency's submission under paragraph (h)(2)(ii) of this section, specifying a deadline; and\n\n(iv) Issues a recognition decision based on the record described in paragraph (a) of this section, as supplemented by the information provided under this paragraph (h).\n\n(i) No agency may submit information to the senior Department official, or ask others to submit information on its behalf, for purposes of invoking paragraph (h) of this section. Before invoking paragraph (h) of this section, the senior Department official will take into account whether the information, if submitted by a third party, could have been submitted in accordance with \u00a7 602.32(a) or \u00a7 602.33(e)(2).\n\n(j) If the senior Department official does not reach a final decision to approve, deny, limit, suspend, or terminate an agency's recognition before the expiration of its recognition period, the senior Department official automatically extends the recognition period until a final decision is reached.\n\n(k) Unless appealed in accordance with \u00a7 602.37, the senior Department official's decision is the final decision of the Secretary."], ["34:34:3.1.3.1.3.3.16.10", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.39 Severability.", "ED", "", "", "[84 FR 58931, Nov. 1, 2019]", "If any provision of this subpart or its application to any person, act, or practice is held invalid, the remainder of the subpart or the application of its provisions to any person, act, or practice shall not be affected thereby."], ["34:34:3.1.3.1.3.3.16.8", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.37 Appealing the senior Department official's decision to the Secretary.", "ED", "", "", "[84 FR 58931, Nov. 1, 2019]", "(a) The agency may appeal the senior Department official's decision to the Secretary. Such appeal stays the decision of the senior Department official until final disposition of the appeal. If an agency wishes to appeal, the agency must\u2014\n\n(1) Notify the Secretary and the senior Department official in writing of its intent to appeal the decision of the senior Department official, no later than 10 business days after receipt of the decision;\n\n(2) Submit its appeal to the Secretary in writing no later than 30 days after receipt of the decision; and\n\n(3) Provide the senior Department official with a copy of the appeal at the same time it submits the appeal to the Secretary.\n\n(b) The senior Department official may file a written response to the appeal. To do so, the senior Department official must\u2014\n\n(1) Submit a response to the Secretary no later than 30 days after receipt of a copy of the appeal; and\n\n(2) Provide the agency with a copy of the senior Department official's response at the same time it is submitted to the Secretary.\n\n(c) Once the agency's appeal and the senior Department official's response, if any, have been provided, no additional written comments may be submitted by either party.\n\n(d) Neither the agency nor the senior Department official may include in its submission any new documentation it did not submit previously in the proceeding.\n\n(e) On appeal, the Secretary makes a recognition decision, as described in \u00a7 602.36(e). If the decision requires a compliance report, the report is due within 30 days after the end of the period specified in the Secretary's decision. The Secretary renders a final decision after taking into account the senior Department official's decision, the agency's written submissions on appeal, the senior Department official's response to the appeal, if any, and the entire record before the senior Department official. The Secretary notifies the agency in writing of the Secretary's decision regarding the agency's recognition.\n\n(f) The Secretary may determine, based on the record, that a decision to deny, limit, suspend, or terminate an agency's recognition may be warranted based on a finding that the agency is noncompliant with, or ineffective in its application with respect to, a criterion or criteria for recognition not identified as an area of noncompliance earlier in the proceedings. In that case, the Secretary, without further consideration of the appeal, refers the matter to the senior Department official for consideration of the issue under \u00a7 602.36(g). After the senior Department official makes a decision, the agency may, if desired, appeal that decision to the Secretary.\n\n(g) If relevant and material information pertaining to an agency's compliance with recognition criteria, but not contained in the record, comes to the Secretary's attention while a decision regarding the agency's recognition is pending before the Secretary, and if the Secretary concludes the recognition decision should not be made without consideration of the information, the Secretary either\u2014\n\n(1)(i) Does not make a decision regarding recognition of the agency; and\n\n(ii) Refers the matter to Department staff for review and analysis under \u00a7 602.32 or \u00a7 602.33, as appropriate; review by the Advisory Committee under \u00a7 602.34; and consideration by the senior Department official under \u00a7 602.36; or\n\n(2)(i) Provides the information to the agency and the senior Department official;\n\n(ii) Permits the agency to respond to the Secretary and the senior Department official in writing, and to include additional documentation relevant to the issue, and specifies a deadline;\n\n(iii) Provides the senior Department official with an opportunity to respond in writing to the agency's submission under paragraph (g)(2)(ii) of this section, specifying a deadline; and\n\n(iv) Issues a recognition decision based on all the materials described in paragraphs (e) and (g) of this section.\n\n(h) No agency may submit information to the Secretary, or ask others to submit information on its behalf, for purposes of invoking paragraph (g) of this section. Before invoking paragraph (g) of this section, the Secretary will take into account whether the information, if submitted by a third party, could have been submitted in accordance with \u00a7 602.32(a) or \u00a7 602.33(c).\n\n(i) If the Secretary does not reach a final decision on appeal to approve, deny, limit, suspend, or terminate an agency's recognition before the expiration of its recognition period, the Secretary automatically extends the recognition period until a final decision is reached."], ["34:34:3.1.3.1.3.3.16.9", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "C", "Subpart C\u2014The Recognition Process", "", "\u00a7 602.38 Contesting the Secretary's final decision to deny, limit, suspend, or terminate an agency's recognition.", "ED", "", "", "", "An agency may contest the Secretary's decision under this part in the Federal courts as a final decision in accordance with applicable Federal law. Unless otherwise directed by the court, a decision of the Secretary to deny, limit, suspend, or terminate the agency's recognition is not stayed during an appeal in the Federal courts."], ["34:34:3.1.3.1.3.4.17.1", 34, "Education", "VI", "", "602", "PART 602\u2014THE SECRETARY'S RECOGNITION OF ACCREDITING AGENCIES", "D", "Subpart D\u2014Department Responsibilities", "", "\u00a7 602.50 What information does the Department share with a recognized agency about its accredited institutions and programs?", "ED", "", "", "", "(a) If the Department takes an action against an institution or program accredited by the agency, it notifies the agency no later than 10 days after taking that action.\n\n(b) If another Federal agency or a State agency notifies the Department that it has taken an action against an institution or program accredited by the agency, the Department notifies the agency as soon as possible but no later than 10 days after receiving the written notice from the other Government agency."], ["49:49:7.1.2.1.3.0.1.1", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.1 Purpose.", "FTA", "", "", "", "This part establishes the procedures and eligibility requirements for the administration of emergency relief funds for emergency public transportation services, and the protection, replacement, repair or reconstruction of public transportation equipment and facilities which are found to have suffered or are in danger of suffering serious damage resulting from a natural disaster affecting a wide area or a catastrophic failure from an external cause."], ["49:49:7.1.2.1.3.0.1.2", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.3 Applicability.", "FTA", "", "", "", "This part applies to entities that provide public transportation services and that are impacted by emergencies and major disasters."], ["49:49:7.1.2.1.3.0.1.3", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.5 Definitions.", "FTA", "", "", "", "The following definitions apply to this part:\n\nAffected recipient.  A recipient or subrecipient that operates public transportation service in an area impacted by an emergency or major disaster.\n\nApplicant.  An entity that operates or allocates funds to an entity to operate public transportation service and that applies for a grant under 49 U.S.C. 5324.\n\nBuilding.  For insurance purposes, a structure with two or more outside rigid walls and a fully secured roof, that is affixed to a permanent site. This includes manufactured or modular office trailers that are built on a permanent chassis, transported to a site in one or more sections, and affixed to a permanent foundation.\n\nCatastrophic failure.  The sudden failure of a major element or segment of the public transportation system due to an external cause. The failure must not be primarily attributable to gradual and progressive deterioration, lack of proper maintenance or a design flaw.\n\nContents coverage.  For insurance purposes, contents are personal property within a building, including fixtures, machinery, equipment and supplies. In addition to the costs to repair or replace, contents insurance coverage shall include the cost of debris removal and the reasonable cost of removal of contents to minimize damage.\n\nEmergency.  A natural disaster affecting a wide area (such as a flood, hurricane, tidal wave, earthquake, severe storm or landslide) or a catastrophic failure from any external cause, as a result of which:\n\n(1) The Governor of a State has declared an emergency and the Secretary of Transportation has concurred; or\n\n(2) The President has declared a major disaster under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170).\n\nEmergency operations.  The net project cost of temporary service that is outside the scope of an affected recipient's normal operations, including but not limited to: evacuations; rescue operations; bus, ferry, or rail service to replace inoperable service or to detour around damaged areas; additional service to accommodate an influx of passengers or evacuees; returning evacuees to their homes after the disaster or emergency; and the net project costs related to reestablishing, expanding, or relocating public transportation service before, during, or after an emergency or major disaster.\n\nEmergency protective measures.  (1) Projects undertaken immediately before, during or following the emergency or major disaster for the purpose of protecting public health and safety or for protecting property. Such projects:\n\n(i) Eliminate or lessen immediate threats to public health or safety; or\n\n(ii) Eliminate or lessen immediate threats of significant damage or additional damage to an affected recipient's property through measures that are cost effective.\n\n(2) Examples of such projects include, but are not limited to:\n\n(i) Moving rolling stock in order to protect it from damage, e.g., to higher ground in order to protect it from storm surges;\n\n(ii) Emergency communications;\n\n(iii) Security measures;\n\n(iv) Sandbagging;\n\n(v) Bracing/shoring damaged structures;\n\n(vi) Debris removal;\n\n(vii) Dewatering; and\n\n(viii) Removal of health and safety hazards.\n\nEmergency repairs.  Capital projects undertaken following the emergency or major disaster, until such time as permanent repairs can be undertaken, for the purpose of:\n\n(1) Minimizing the extent of the damage,\n\n(2) Restoring service, or\n\n(3) Ensuring service can continue to be provided until permanent repairs are made.\n\nExternal cause.  An outside force or phenomenon that is separate from the damaged element and not primarily the result of existing conditions.\n\nHeavy maintenance.  Work usually done by a recipient or subrecipient in repairing damage normally expected from seasonal and occasionally unusual natural conditions or occurrences, such as routine snow removal, debris removal from seasonal thunderstorms, or heavy repairs necessitated by excessive deferred maintenance. This may include work required as a direct result of a disaster, but which can reasonably be accommodated by a recipient or subrecipient's routine maintenance, emergency or contingency program.\n\nIncident period.  The time interval during which the emergency-causing incident occurs. FTA will not approve pre-award authority for projects unless the damage to be alleviated resulted from the emergency-causing incident during the incident period or was incurred in anticipation of that incident. For each Stafford Act incident, FTA will adopt the incident period established by FEMA.\n\nMajor disaster.  Any natural catastrophe (including any hurricane, tornado, storm, high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the United States, which in the determination of the President causes damage of sufficient severity and magnitude to warrant major disaster assistance under the Stafford Act to supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the damage, loss, hardship, or suffering caused thereby. 42 U.S.C. 5122.\n\nNet project cost.  The part of a project that reasonably cannot be financed from revenues. 49 U.S.C. 5302.\n\nPermanent repairs.  Capital projects undertaken following the emergency or major disaster for the purpose of repairing, replacing or reconstructing seriously damaged public transportation system elements, including rolling stock, equipment, facilities and infrastructure, as necessary to restore the elements to a state of good repair.\n\nRecipient.  An entity that operates public transportation service and receives Federal transit funds directly from FTA.\n\nResilience.  The ability to anticipate, prepare for, and adapt to changing conditions and withstand, respond to, and recover rapidly from disruptions such as significant multi-hazard threats with minimum damage to social well-being, the economy, and the environment.\n\nResilience project.  A project designed and built to address existing and future vulnerabilities to a public transportation facility or system due to a probable occurrence or recurrence of an emergency or major disaster in the geographic area in which the public transportation system is located, and which may include the consideration of projected changes in development patterns, demographics, or climate change and extreme weather patterns. A resilience project may be a stand-alone project or may be completed at the same time as permanent repairs.\n\nSerious damage.  Heavy, major or unusual damage to a public transportation facility which severely impairs the safety or usefulness of the facility. Serious damage must be beyond the scope of heavy maintenance.\n\nState.  A State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the Virgin Islands.\n\nSubrecipient.  An entity that operates public transportation service and receives FTA funding through a recipient."], ["49:49:7.1.2.1.3.0.1.4", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.7 Policy.", "FTA", "", "", "", "(a) The Emergency Relief Program is intended to aid recipients and subrecipients in restoring public transportation service and in repairing and reconstructing public transportation assets to a state of good repair as expeditiously as possible following an emergency or major disaster.\n\n(b) Emergency relief funds are not intended to supplant other Federal funds for the correction of preexisting, non-disaster related deficiencies.\n\n(c) Following an emergency, affected recipients may include projects that increase the resilience of affected public transportation systems to protect the systems from the effects of future emergencies and major disasters.\n\n(d) The expenditure of emergency relief funds for emergency repair shall be in such a manner so as to reduce, to the greatest extent feasible, the cost of permanent restoration work completed after the emergency or major disaster.\n\n(e) Emergency relief funds, or funds made available under 49 U.S.C. 5307 (Urbanized Area Formula Program) or 49 U.S.C. 5311 (Rural Area Formula Program) awarded for emergency relief purposes shall not duplicate assistance under another Federal program or compensation from insurance or any other source. Partial compensation for a loss by other sources will not preclude FTA emergency relief fund assistance for the part of such loss not compensated otherwise. Any compensation for damages or insurance proceeds for repair or replacement of the public transit equipment or facility must be used upon receipt to reduce FTA's emergency relief fund participation in the project.\n\n(1) If a recipient receives insurance proceeds that are directly attributable to specific assets, the recipient must:\n\n(i) Apply those proceeds to the cost of replacing or repairing the damaged or destroyed project property; or\n\n(ii) Return to FTA an amount equal to the remaining Federal interest in the lost, damaged, or destroyed project property.\n\n(2) If under the terms of its policy a recipient receives insurance proceeds that are not attributable to specific assets, such as blanket, lump-sum, or unallocated proceeds, FTA, in consultation with the recipient, will determine the portion of such proceeds that the recipient must attribute to transit assets.\n\n(3) Any insurance proceeds not attributable to transit assets may be used for other purposes without obligation to FTA, including as local share for FTA grants.\n\n(f) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.) provides that Federal agencies may not provide any financial assistance for the acquisition, construction, reconstruction, repair, or improvement of a building in a special flood hazard area (100-year flood zone) unless the recipient has first acquired flood insurance to cover the buildings and contents constructed or repaired with Federal funds, in an amount at least equal to the Federal investment (less land cost) or to the maximum limit of coverage made available under the National Flood Insurance Act of 1968, whichever is less.\n\n(1) Transit facilities to which this paragraph (f) applies are buildings located in special flood hazard areas and include but are not limited to maintenance facilities, storage facilities, above-ground stations and terminals, and manufactured or modular office trailers.\n\n(2) Flood insurance is not required for underground subway stations, track, tunnels, ferry docks, or to any transit facilities located outside of a special flood hazard area.\n\n(g) Recipients must obtain and maintain flood insurance on those buildings and contents for which FTA has provided funds."], ["49:49:7.1.2.1.3.0.1.5", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.9 Federal share.", "FTA", "", "", "", "(a) A grant, contract, or other agreement for emergency operations, emergency protective measures, emergency repairs, permanent repairs and resilience projects under 49 U.S.C. 5324 shall be for up to 80 percent of the net project cost.\n\n(b) A grant made available under 49 U.S.C. 5307 or 49 U.S.C. 5311 to address an emergency shall be for up to 80 percent of the net project cost for capital projects, and up to 50 percent of the net project cost for operations projects.\n\n(c) The FTA Administrator may waive, in whole or part, the non-Federal share required under paragraphs (a) and (b) of this section."], ["49:49:7.1.2.1.3.0.1.6", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.11 Pre-award authority.", "FTA", "", "", "", "(a) Except as provided in paragraph (c) of this section, pre-award authority for the Emergency Relief Program shall be effective beginning on the first day of the incident period, subject to the appropriation of Emergency Relief Program funds.\n\n(b) Recipients may use section 5307 or section 5311 formula funds to address an emergency, and, except as provided in paragraph (c) of this section, pre-award authority shall be effective beginning on the first day of the incident period of the emergency or major disaster.\n\n(c) For expected weather events, pre-award authority for evacuations and activities to protect public transportation vehicles, equipment and facilities, shall be effective in advance of the event under the following conditions:\n\n(1) The Governor of a State declares a state of emergency and requests concurrence by the Secretary of Transportation or makes a request to the President for an emergency declaration, in advance or anticipation of the impact of an incident that threatens such damage as could result in a major disaster;\n\n(2) The Governor takes appropriate action under State law and directs execution of the State emergency plan;\n\n(3) The activities are required in anticipation of the event; and\n\n(4) Assistance for a pre-disaster emergency declaration is limited to Emergency Protective Measures and Emergency Operations.\n\n(d) Pre-award authority shall be subject to a maximum amount determined by FTA based on estimates of immediate financial need, preliminary damage assessments, available Emergency Relief funds and other criteria to be determined in response to a particular event.\n\n(e) Pre-award authority is not a legal or implied commitment that the subject project will be approved for FTA assistance or that FTA will obligate Federal funds. Furthermore, it is not a legal or implied commitment that all activities undertaken by the applicant will be eligible for inclusion in the project(s).\n\n(f) Except as provided in \u00a7 602.15, all FTA statutory, procedural, and contractual requirements must be met.\n\n(g) The recipient must take no action that prejudices the legal and administrative findings that the FTA Regional Administrator must make in order to approve a project.\n\n(h) The Federal amount of any future FTA assistance awarded to the recipient for the project will be determined on the basis of the overall scope of activities and the prevailing statutory provisions with respect to the Federal/non-Federal match ratio at the time the funds are obligated.\n\n(i) When FTA subsequently awards a grant for the project, the Financial Status Report in FTA's electronic grants management system must indicate the use of pre-award authority."], ["49:49:7.1.2.1.3.0.1.7", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.13 Eligible activities.", "FTA", "", "", "", "(a) An affected recipient may apply for emergency relief funds on behalf of itself as well as affected subrecipients.\n\n(b) Eligible uses of Emergency Relief funds include:\n\n(1) Emergency operations;\n\n(2) Emergency protective measures;\n\n(3) Emergency repairs;\n\n(4) Permanent repairs;\n\n(5) Actual engineering and construction costs on approved projects;\n\n(6) Repair or replacement of spare parts that are the property of an affected recipient or subrecipient and held in the normal course of business that are damaged or destroyed; and\n\n(7) Resilience projects.\n\n(c) Ineligible uses of Emergency Relief funds include:\n\n(1) Heavy maintenance;\n\n(2) Project costs for which the recipient has received funding from another Federal agency;\n\n(3) Project costs for which the recipient has received funding through payments from insurance policies;\n\n(4) Except for resilience projects that have been approved in advance, projects that change the function of the original infrastructure;\n\n(5) Projects for which funds were obligated in an FTA grant prior to the declared emergency or major disaster;\n\n(6) Reimbursements for lost revenue due to service disruptions caused by an emergency or major disaster;\n\n(7) Project costs associated with the replacement or replenishment of damaged or lost material that are not the property of the affected recipient and not incorporated into a public transportation system such as stockpiled materials or items awaiting installation; and\n\n(8) Other project costs FTA determines are not appropriate for the Emergency Relief Program."], ["49:49:7.1.2.1.3.0.1.8", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.15 Grant requirements.", "FTA", "", "", "", "(a) Funding available under the Emergency Relief program is subject to the terms and conditions FTA determines are necessary.\n\n(b) The FTA Administrator shall determine the terms and conditions based on the circumstances of a specific emergency or major disaster for which funding is available under the Emergency Relief Program.\n\n(1) In general, projects funded under the Emergency Relief Program shall be subject to the requirements of chapter 53 of title 49, United States Code, as well as cross-cutting requirements, including but not limited to those outlined in FTA's Master Agreement.\n\n(2) The FTA Administrator may determine that certain requirements associated with public transportation programs are inapplicable as necessary and appropriate for emergency repairs, permanent repairs, emergency protective measures and emergency operating expenses that are incurred within 45 days of the emergency or major disaster, or longer as determined by FTA. If the FTA Administrator determines any requirement is inapplicable, the determination shall apply to all eligible activities undertaken with funds authorized under 49 U.S.C. 5324 within the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 5311 and used for eligible emergency relief activities.\n\n(3) FTA shall publish a notice on its Web site and in the emergency relief docket established under 49 CFR part 601 regarding the grant requirements for a particular emergency or major disaster.\n\n(c) In the event an affected recipient or subrecipient believes an FTA requirement limits its ability to respond to the emergency or major disaster, the recipient or subrecipient may request that the requirement be waived in accordance with the emergency relief docket process as outlined in 49 CFR part 601, subpart D. Applicants should not proceed on projects assuming that requests for such waivers will be granted.\n\n(d) In accordance with Executive Order 11988, Floodplain Management, recipients shall not use grant funds for any activity in an area delineated as a special flood hazard area or equivalent, as labeled in the Federal Emergency Management Agency's (FEMA) Flood Insurance Rate Maps (FIRMs). If there are no alternatives but to locate the action in a floodplain, prior to seeking FTA funding for such action, the recipient shall design or modify its actions in order to minimize potential harm to or within the floodplain.\n\n(1) Except as otherwise provided in this subparagraph, recipients shall use the \u201cbest available information\u201d as identified by FEMA, which includes advisory data (such as Advisory Base Flood Elevations (ABFEs)), preliminary and final Flood Insurance Rate Maps, or Flood Insurance Studies (FISs).\n\n(2) If FEMA data is mutually determined by FTA and the recipient to be unavailable or insufficiently detailed, other Federal, State, or local data may be used as \u201cbest available information\u201d in accordance with Executive Order 11988.\n\n(3) The final determination on \u201cbest available information\u201d shall be used to establish such reconstruction requirements as a project's minimum elevation.\n\n(4) Where higher minimum elevations are required by either State or locally adopted building codes or standards, the higher of the State or local minimums would apply.\n\n(5) A base flood elevation from an interim or preliminary or non-FEMA source may not be used if it is lower than the current FIRM.\n\n(6) Recipients shall also consider the best available data on sea-level rise, storm surge, scouring and erosion before rebuilding."], ["49:49:7.1.2.1.3.0.1.9", 49, "Transportation", "VI", "", "602", "PART 602\u2014EMERGENCY RELIEF", "", "", "", "\u00a7 602.17 Application procedures.", "FTA", "", "", "", "(a) As soon as practical after an emergency, major disaster or catastrophic failure, affected recipients shall make a preliminary field survey, working cooperatively with the appropriate FTA Regional Administrator and other governmental agencies with jurisdiction over affected public transportation systems. The preliminary field survey should be coordinated with the Federal Emergency Management Agency, if applicable, to eliminate duplication of effort. The purpose of this survey is to determine the general nature and extent of damage to eligible public transportation systems.\n\n(1) The affected recipient shall prepare a damage assessment report. The purpose of the damage assessment report is to provide a factual basis for the FTA Regional Administrator's finding that serious damage to one or more public transportation systems has been caused by a natural disaster affecting a wide area, or a catastrophic failure. As appropriate, the damage assessment report should include by political subdivision or other generally recognized administrative or geographic boundaries\u2014\n\n(i) The specific location, type of facility or equipment, nature and extent of damage;\n\n(ii) The most feasible and practical method of repair or replacement;\n\n(iii) A preliminary estimate of cost of restoration, replacement, or reconstruction for damaged systems in each jurisdiction.\n\n(iv) Potential environmental and historic impacts;\n\n(v) Photographs showing the kinds and extent of damage and sketch maps detailing the damaged areas;\n\n(vi) Recommended resilience projects to protect equipment and facilities from future emergencies or major disasters; and\n\n(vii) An evaluation of reasonable alternatives, including change of location, addition of resilience/mitigation elements, and any other alternative the recipient considered, for any damaged transit facility that has been previously repaired or reconstructed as a result of an emergency or major disaster.\n\n(2) Unless unusual circumstances prevail, the initial damage assessment report should be prepared within 60 days following the emergency, major disaster, or catastrophic failure. Affected recipients should update damage assessment reports as appropriate.\n\n(3) For large disasters where extensive damage to public transportation systems is readily evident, the FTA Regional Administrator may approve an application for assistance prior to submission of the damage assessment report. In these cases, the applicant shall prepare and submit to the FTA Regional Administrator an abbreviated or preliminary damage assessment report, summarizing eligible repair costs by jurisdiction, after the damage inspections have been completed.\n\n(b) Before funds can be made available, a grant application for emergency relief funds must be made to, and approved by, the appropriate FTA Regional Administrator. The application shall include:\n\n(1) A copy of the damage assessment report, as appropriate;\n\n(2) A list of projects, as documented in the damage assessment report, identifying emergency operations, emergency protective measures, and emergency repairs completed as well as permanent repairs needed to repair, reconstruct or replace the seriously damaged or destroyed rolling stock, equipment, facilities, and infrastructure to a state of good repair; and\n\n(3) Supporting documentation showing other sources of funding available, including insurance policies, agreements with other Federal agencies, and any other source of funds available to address the damage resulting from the emergency or major disaster.\n\n(c) Applications for emergency operations must include the dates, hours, number of vehicles, and total fare revenues received for the emergency service. Only net project costs may be reimbursed.\n\n(d) Applicants that receive funding from another Federal agency for operating expenses and also seek funding from FTA for operating expenses must include:\n\n(1) A copy of the agreement with the other Federal agency, including the scope of the agreement, the amount funded, and the dates the other agency funded operating costs; and\n\n(2) The scope of service and dates for which the applicant is seeking FTA funding.\n\n(e) Applicants that receive funding from another Federal agency for emergency or permanent repairs or emergency protective measures and also seek funding from FTA for emergency or permanent repairs or emergency protective measures must include:\n\n(1) A copy of the agreement with the other Federal agency, including the scope of the agreement and the amount funded; and\n\n(2) A list of projects included in the other agency's application or equivalent document.\n\n(f) Applicants are responsible for preparing and submitting a grant application. The FTA regional office may provide technical assistance to the applicant in preparation of a program of projects. This work may involve joint site inspections to view damage and reach tentative agreement on the type of permanent repairs the applicant will undertake. Project information should be kept to a minimum, but should be sufficient to identify the approved disaster or catastrophe and to permit a determination of the eligibility of proposed work. If the appropriate FTA Regional Administrator determines the damage assessment report is of sufficient detail to meet these criteria, additional project information need not be submitted.\n\n(g) The appropriate FTA Regional Administrator's approval of the grant application constitutes a finding of eligibility under 49 U.S.C. 5324."]], "truncated": false, "filtered_table_rows_count": 77, "expanded_columns": [], "expandable_columns": [], "columns": ["section_id", "title_number", "title_name", "chapter", "subchapter", "part_number", "part_name", "subpart", "subpart_name", "section_number", "section_heading", "agency", "authority", "source_citation", "amendment_citations", "full_text"], "primary_keys": ["section_id"], "units": {}, "query": {"sql": "select section_id, title_number, title_name, chapter, subchapter, part_number, part_name, subpart, subpart_name, section_number, section_heading, agency, authority, source_citation, amendment_citations, full_text from cfr_sections where \"part_number\" = :p0 order by section_id limit 101", "params": {"p0": "602"}}, "facet_results": {"title_number": {"name": "title_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=602", "results": [{"value": 34, "label": 34, "count": 35, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&title_number=34", "selected": false}, {"value": 10, "label": 10, "count": 19, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&title_number=10", "selected": false}, {"value": 20, "label": 20, "count": 13, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&title_number=20", "selected": false}, {"value": 49, "label": 49, "count": 9, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&title_number=49", "selected": false}, {"value": 28, "label": 28, "count": 1, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&title_number=28", "selected": false}], "truncated": false}, "agency": {"name": "agency", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=602", "results": [{"value": "ED", "label": "ED", "count": 35, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&agency=ED", "selected": false}, {"value": "DOE", "label": "DOE", "count": 19, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&agency=DOE", "selected": false}, {"value": "DOL", "label": "DOL", "count": 13, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&agency=DOL", "selected": false}, {"value": "FTA", "label": "FTA", "count": 9, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&agency=FTA", "selected": false}, {"value": "", "label": "", "count": 1, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&agency=", "selected": false}], "truncated": false}, "part_number": {"name": "part_number", "type": "column", "hideable": false, "toggle_url": "/openregs/cfr_sections.json?part_number=602", "results": [{"value": "602", "label": "602", "count": 77, "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json", "selected": true}], "truncated": false}}, "suggested_facets": [{"name": "title_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=title_name"}, {"name": "chapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=chapter"}, {"name": "subchapter", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=subchapter"}, {"name": "part_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=part_name"}, {"name": "subpart", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=subpart"}, {"name": "subpart_name", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=subpart_name"}, {"name": "amendment_citations", "toggle_url": "https://www.pawtectors.org/openregs/cfr_sections.json?part_number=602&_facet=amendment_citations"}], "next": null, "next_url": null, "private": false, "allow_execute_sql": true, "query_ms": 923.3724819496274, "source": "Federal Register API & Regulations.gov API", "source_url": "https://www.federalregister.gov/developers/api/v1", "license": "Public Domain (U.S. Government data)", "license_url": "https://www.regulations.gov/faq"}