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(2) The assurance required with re- fail or refuse to furnish this information, spect to an institution of higher educa- the recipient shall so certify in its report tion, or any other instiution, insofar as and shall set forth what efforts it has the assurance relates to the institution's made to obtain the information. practices with respect to admission or (d) Information to beneficiaries and other treatment of individuals as stu- participants. Each recipient shall make dents, or clients of the institution or to available to participants, beneficiaries, the opportunity to participate in the and other interested persons such inforprovision of services or other benefits to mation regarding the provisions of this such individuals, shall be applicable to part and its applicability to the program the entire institution unless the appli- under which the recipient receives Fedcant establishes, to the satisfaction of eral financial assistance, and make such the responsible Department oficial, that information available to them in such the institution's practices in designated manner, as the responsible Department parts or programs of the institution will official finds necessary to apprise such in no way affect its practices in the persons of the protections against disprogram of the institution for which crimination assured them by the Act and Federal financial assistance is sought, or this part. the beneficiaries of or participants in

8 141.6 Conduct of investigations. such program.

(a) Periodic compliance reviews. The $ 141.5 Compliance information.

responsible Department official or his (a) Cooperation and assistance. Each designee shall from time to time review responsible Department oficial shall to the practices of recipients to determine the fullest extent practicable seek the whether they are complying with this cooperation of recipients in obtaining part. compliance with this regulation and shall (b) Complaints. Any persons who beprovide assistance and guidance to re- lieves himself or any specific class of cipients to help them comply voluntarily individuals to be subjected to discriminawith this part.

tion prohibited by this part may by him(b) Compliance reports. Each re- self or by a representative file with the cipient shall keep such records and sub- responsible Department official a written mit to the responsible Department official complaint. A complaint must be filed or his designee timely, complete and

not later than 90 days from the date of accurate compliance reports at such the alleged discrimination, unless the times, and in such form and containing

time for filing is extended by the responsuch information, as the responsible De

sible Department official or his designee. partment official or his designee may

(c) Investigations. The responsible determine to be necessary to enable him

Department official or his designee will to ascertain whether the recipient has

make a prompt investigation whenever complied or is complying with this part.

a compliance review, report, complaint, In the case of any program under which

or any other information indicates a a primary recipient extends Federal fi

possible failure to comply with this part. nancial assistance to any other recipient,

The investigation should include, where such other recipient shall also submit

appropriate, a review of the pertinent such compliance reports to the primary

practices and policies of the recipient, recipient as may be necessary to enable

the circumstances under which the posthe primary recipient to carry out its

sible noncompliance with this part ocobligations under this part.

curred, and other factors relevant to

a determination as to whether the recipi(c) Access to sources of information.

ent has failed to comply with this part. Each recipient shall permit access by the

(d) Resolution of matters. (1) If an responsible Department official or his

investigation pursuant to paragraph (c) designee during normal business hours

of this section indicates a failure to comto such of its books, records, accounts, ply with this part, the responsible Deand other sources of information, and partment official or his designee will so its facilities as may be pertinent to ascer- inform the recipient and the matter will tain compliance with this part. Where be resolved by informal means whenever any information required of a recipient possible. If it has been determined that is in the exclusive possession of any the matter cannot be resolved by inother agency, institution or person and formal means, action will be taken as this agency, institution or person shall provided for in § 141.7.

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(2) If an investigation does not war- ply and has determined that complirant action pursuant to subparagraph ance cannot be secured by voluntary (1) of this paragraph the responsible means, (2) there has been an express Department official or his designee will finding on the record, after opportunity ?! so inform the recipient and the com- for hearing, of a failure by the appli- ! plainant, if any, in writing.

cant or recipient to comply with a re(e) Intimidatory or retaliatory acts quirement imposed by or pursuant to 4 prohibited. No recipient or other per- this part, (3) the action has been apson shall intimidate, threaten, coerce, proved by the Secretary pursuant to * or discriminate against any individual § 141.9(e), and (4) the expiration of 30 for the purpose of interfering with any days after the Secretary has filed with it right or privilege secured by section 601 the committee of the House and the of the Act or this part, or because he committee of the Senate having legishas made a complaint, testified, assisted, lative jurisdiction over the program inor participated in any manner in an in- volved, a full written report of the cirvestigation, proceeding, or hearing un- cumstances and the grounds for such der this part. The identity of com- action. Any action to suspend or terplainants shall be kept confidential ex- minate or to refuse to grant or to concept to the extent necessary to carry out tinue Federal financial assistance shall the purposes of this part, including the be limited to the particular political conduct of any investigation, hearing, or entity, or part thereof, or other applijudicial proceeding arising thereunder. cant or recipient as to whom such a find

ing has been made and shall be limited $ 141.7 Procedure for effecting com

in its effect to the particular program, pliance.

or part thereof, in which such noncom(a) General. If there appears to be pliance has been so found. a failure or threatened failure to comply

(d) Other means authorized by law. with this part, and if the noncompliance No action to effect compliance by any or threatened noncompliance cannot be other means authorized by law shall be corrected by informal means, compli- taken until (1) the responsible Departance with this part may be effected by ment official has determined that comthe suspension or termination of or re- pliance cannot be secured by voluntary fusal to grant or to continue Federal

means, (2) the action has been approved financial assistance or by any other by the Deputy Under Secretary for Admeans authorized by law.

ministration, (3) the recipient or other (b) Noncompliance with $ 141.4. If

person has been notified of its failure an applicant fails or refuses to furnish

to comply and of the action to be taken an assurance required under $ 141.4 or to effect compliance, and (4) the expiraotherwise fails or refuses to comply with tion of at least 10 days from the mailing a requirement imposed by or pursuant of such notice to the recipient or other to that section Federal financial assist

person. During this period of at least ance may be refused in accordance with

10 days additional efforts shall be made the procedures of paragraph (c) of this to persuade the recipient or other person section. The Department shall not be to comply with this part and to take such required to provide assistance in such a corrective action as may be appropriate. case during the pendency of the admin

§ 141.8 Hearings. istrative proceedings under such paragraph except that the Department shall

(a) Opportunity for hearing. Whencontinue assistance during the pendency

ever an opportunity for a hearing is reof such proceedings where such assist

quired by $ 141.7(c), reasonable notice ance is due and payable pursuant to an

shall be given by registered or certified

mail, return receipt requested, to the afapplication therefor approved prior to

fected applicant or recipient. This nothe effective date of this part.

tice shall advise the applicant or recipi(c) Termination of or refusal to grant ent of the action proposed to be taken, or to continue Federal financial assist- the specific provision under which the ance. No order suspending, terminat- proposed action against it is to be taken, ing or refusing to grant or continue and the matters of fact or law asserted Federal financial assistance shall become as the basis for this action, and either effective until (1) the responsible De- (1) fix a date not less than 20 days after partment official has advised the ap- the date or such notice within which the plicant or recipient of his failure to com- applicant or recipient may request of the

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responsible Department official that the the hearing may exclude irrelevant, immatter be scheduled for hearing or (2) material, or unduly repetitious evidence. advise the applicant or recipient that the All documents and other evidence offered matter in question has been set down or taken for the record shall be open to for hearing at a stated place and time. examination by the parties and opportuThe time and place so fixed shall be rea- nity shall be given to refute facts and sonable and shall be subject to change for arguments advanced on either side of the cause. The complainant, if any, shall issues. A transcript shall be made of the be advised of the time and place of the oral evidence except to the extent the hearing. An applicant or recipient may substance thereof is stipulated for the waive a hearing and submit written in- record. All decisions shall be based upon formation and argument for the record. the hearing record and written findings The failure of an applicant or recipient shall be made. to request & hearing under this para- (e) Consolidated or Joint Hearings. In graph or to appear at a hearing for which cases in which the same or related facts a date has been set shall be deemed to are asserted to constitute noncomplibe a waiver of the right to a hearing ance with this part with respect to two under section 602 of the Act and § 141.- or more programs to which this part 7(c) of this part and consent to the mak- applies, or noncompliance with this part ing of a decision on the basis of such and the regulations of one or more other information as is available.

Federal departments or agencies issued (b) Time and place of hearing. Hear- under Title VI of the Act, the Secretary ings shall normally be held at the offices may, by agreement with such other deof the Department in Washington, D.C., partments or agencies where applicable, at a time fixed by the responsible De- provide for the conduct of consolidated partment oficial. Hearings shall be held or joint hearings, and for the application before an official designated by the Sec- to such hearings of rules of procedures retary other than the responsible De- not inconsistent with this part. The partment official.

Secretary may also transfer the hearing (c) Right to counsel. In all proceed- of any complaint to any other departings under this section, the applicant or ment or agency, with the consent of that recipient and the Department shall have department or agency, where Federal fithe right to be represented by counsel. nancial assistance to the applicant or re

(d) Procedures, evidence, and record. cipient is substantially greater than that (1) The hearing, decision, and any ad- of the Department of State. Final deministrative review thereof shall be con- cisions in all such cases, insofar as this ducted with as much conformity as is part is concerned, shall be made in acpracticable with sections 5-8 of the Ad- cordance with $ 141.9. ministrative Procedure Act, and in accordance with such rules of procedure

§ 141.9 Decisions and notices. as are proper (and not inconsistent with (a) Decisions on record or review by this section) relating to the conduct of the responsible Department official. The the hearing, giving of notices subsequent applicant or recipient shall be given to those provided for in paragraph (a) of reasonable opportunity to file with the this section, taking of testimony, ex- officer presiding at the hearing briefs or hibits, arguments and briefs, requests for other written statements of its contenfindings, and other related matters. Both tions, and a copy of the final decision the Department and the applicant or re- shall be given in writing to the applicant cipient shall be entitled to introduce all or recipient and to the complainant, if relevant evidence on the issues as stated any. The officer presiding at the hearin the notice for hearing or as deter- ing shall render a decision on the matter. mined by the officer conducting the hear- (b) Decisions on record where a hearing at the outset of or during the hearing. ing is waived. Whenever a hearing is

(2) Technical rules of evidence shall waived pursuant to § 141.8(a) a decision not apply to hearings conducted pur- shall be made by the responsible Departsuant to this part, but rules or prin- mental official on the record and a copy ciples designed to assure production of of such decision shall be given in writing the most credible evidence available and to the applicant or recipient, and to the to subject testimony to test by cross- complainant, if any. examination shall be applied where rea- (c) Rulings required. Each decision of sonably necessary by the officer conduct- an officer presiding at the hearing shall ing the hearing. The officer presiding at set forth his ruling on each finding, con

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clusion, or exception presented, and shall in any program or situation to which identify the requirement or requirements this regulation is inapplicable, or proimposed by or pursuant to this part with hibit discrimination on any other ground. which it is found that the applicant or (a) Forms and instructions. Each rerecipient has failed to comply.

sponsible Department official shall issue, (d) Appeal. Either party may appeal and promptly make available to infrom a decision of the officer presiding at terested persons, forms and detailed the hearing to the responsible Depart- instructions and procedures for effectuatment official within 30 days of the mail- ing this part as applied to programs to ing of the officer's decision. In the ab- which this part applies and for which sence of such an appeal the decision of he is responsible. the officer presiding at the hearings shall (b) Supervision and coordination. The constitute the final decision of the De- Secretary may from time to time assign partment subject to paragraph (e) of to officials of the Department, or to ofthis section.

ficials of other departments or agencies of (e) Approval by Secretary. Any final the Government with the consent of such decision by an officer (other than the departments or agencies, responsibilities Secretary) which provides for the sus- in connection with the effectuation of the pension or termination of, or the re- purposes of Title VI of the Act and this fusal to grant or continue Federal finan- part including the achievement of efcial assistance, or the imposition of any fective coordination and maximum uniother sanction available under this part formity within the Department and or the Act, shall promptly be transmitted within the Executive Branch of the Govto the Secretary, who may approve such ernment in the application of Title VI decision, may vacate it, or remit or miti- and this part to similar programs and in gate any sanction imposed.

similar situations. (f) Content of orders. The final de.

f 141.12 Definitions. cision may provide for suspension or termination of, or refusal to grant or con

As used in this part tinue Federal financial assistance, in

(a) The term "Department” means whole or in part, under the program in

the Department of State and includes volved, and may contain such terms,

each of its operating agencies and other conditions, and other provisions as are

organizational units except the Agency consistent with and will effectuate the

for International Development. purposes of the Act and this part, in

(b) The term "Secretary” means the cluding provisions designed to assure

Secretary of State. that no Federal financial assistance will (c) The term “responsible Department thereafter be extended under such pro

oficial" with respect to any program gram to the applicant or recipient de

receiving Federal financial assistance termined by such decision to be in default

means the official of the Department in its performance of an assurance given

having responsibility within the Departby it pursuant to this part, or to have

ment for the program extending such otherwise failed to comply with this part,

assistance or such official of the Departunless and until it corrects its noncom

ment as the Secretary designates.

(d) The term “United States” means pliance and satisfies the responsible Department official that it will fully comply

the States of the United States, the Diswith this part.

trict of Columbia, Puerto Rico, the Vir

gin Islands, American Samoa, Guam, § 141.10 Judicial review.

Wake Island, the Canal Zone, and the Action taken pursuant to section 602 territories and possessions of the United of the Act is subject to judicial review as States, and the term “State" means any provided in section 603 of the Act.

one of the foregoing. § 141.11 Effect on other regulations;

(e) The term “Federal financial asforms and instructions.

sistance" includes (1) grants and loans Nothing in this part shall be deemed to

of Federal funds, (2) the grant or donasupersede: Executive Orders 10925 and

tion of Federal property and interests in 11114 and regulations issued thereunder,

property, (3) the detail of Federal peror any other regulations or instructions,

sonnel, and (4) any Federal agreement, insofar as such regulations, or instruc- arrangement, or other contract which tions prohibit discrimination on the has as one of its purposes the provision ground of race, color, or national origin of assistance.

plan required to be approved by a responsible Department official, or by a primary recipient, as a condition to eligibility for Federal financial assistance, and the term “application" means such an application, request, or plan.




(f) The term “program" includes any program, project, or activity for the provision of services, financial aid, or other benefits to individuals whether provided through employees of the recipient of Federal financial assistance or provided by others through contracts or other arrangements with the recipient.

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

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

(i) The term “applicant” means one who submits an application, request, or

1. Mutual understanding between people of the United States and the people of other countries by educational and cultural exchange-studies, research, instruction and other educational activities-cultural exchanges (Mutual Educational and Cultural Exchange Act of 1961—75 Stat. 527-538).

2. Center for Cultural and Technical Interchange Between East and West-grant to State of Hawali (Public Law 86–472, 74 Stat. 141).

3. Assistance to or in behalf of refugees designated by the President (Migration and Refugee Assistance Act of 1962–76 Stat. 121124).

4. Donations of certain foreign language tapes and other training material to public and private institutions (Regulations of Administrator of General Services relating to surplus property-41 CFR 101-6.2).

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