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afford him an opportunity to do so which going assurances for each program, and is different from that afforded others the extent to which like assurances will under the program.

be required of subgrantees, contractors (2) A recipient, in determining the and subcontractors, transferees, succestypes of services, financial aid, or other sors in interest and other participants benefits, or facilities which will be pro- in the program. Any such assurance vided under any such program, or the shall include provisions which give the class of individuals to whom, or the United States a right to seek its judicial situations in which, such services, finan- enforcement. cial aid, other benefits, or facilities will (b) Assurances from institutions. (1) be provided under any such program or In the case of any application for Fedthe class of individuals to be afforded an eral financial assistance to an institution opportunity to participate in any such of higher education, the assurance reprogram, may not, directly or through quired by this section shall extend to contractual or other arrangements, admission practices and to all other utilize criteria or methods of adminis- practices relating to the treatment of tration which have the effect of sub- students. jecting individuals to discrimination (2) The assurance required with rebecause of their race, color, or national spect to an institution of higher educaorigin, or have the effect of defeating or tion, or any other instiution, insofar as substantially impairing accomplishment the assurance relates to the institution's of the objectives of the program as re- practices with respect to admission or spect individuals of a particular race, other treatment of individuals as stucolor, or national origin.

dents, or clients of the institution or to (3) As used in this section the services, the opportunity to participate in the financial aid, or other benefits provided provision of services or other benefits to under a program receiving Federal fi- such individuals, shall be applicable to nancial assistance shall be deemed to the entire institution unless the appliinclude any service, financial aid, or cant establishes, to the satisfaction of other benefit provided in or through a the responsible Department official, that facility provided with the aid of Federal the institution's practices in designated financial assistance.

parts or programs of the institution will (4) The enumeration of specific forms in no way affect its practices in the of prohibited discrimination in this para- program of the institution for which graph does not limit the generality of the Federal financial assistance is sought, or prohibition in paragraph (a) of this the beneficiaries of or participants in section.

such program. (c) Special programs. An individual

§ 141.5 Compliance information. shall not be deemed subjected to discrimination by reason of his exclusion (a) Cooperation and assistance. Each from the benefits of a program limited by responsible Department official shall to Federal law to individuals of a particular the fullest extent practicable seek the race, color, or national origin different cooperation of recipients in obtaining from his.

compliance with this regulation and shall

provide assistance and guidance to re$ 141.4 Assurances required.

cipients to help them comply voluntarily (a) General. (1) Every application with this part. for Federal financial assistance to carry (b) Compliance reports. Each reout a program to which this part applies, cipient shall keep such records and subas a condition to its approval and the mit to the responsible Department official extension of any Federal financial as- his designee timely, complete and sistance pursuant to the application, accurate compliance reports at such shall contain or be accompanied by an times, and in such form and containing assurance that the program will be con- such information, as the responsible Deducted or the facility operated in com- partment official or his designee may pliance with all requirements imposed by determine to be necessary to enable him or pursuant to this part. The assurance to ascertain whether the recipient has shall obligate the recipient for the period complied or is complying with this part. during which Federal financial assist- In the case of any program under which ance is extended pursuant to the appli- a primary recipient extends Federal fication. The responsible Department nancial assistance to any other recipient, official shall specify the form of the fore- such other recipient shall also submit


such compliance reports to the primary recipient as may be necessary to enable the primary recipient to carry out its obligations under this part.

(c) Access to sources of information. Each recipient shall permit access by the responsible Department official or his designee during normal business hours to such of its books, records, accounts, and other sources of information, and its facilities as may be pertinent to ascertain compliance with this part. Where any information required of a recipient is in the exclusive possession of any other agency, institution or person and this agency, institution or person shall fail or refuse to furnish this information, the recipient shall so certify in its report and shall set forth what efforts it has made to obtain the information.

(d) Information to beneficiaries and participants. Each recipient shall make available to participants, beneficiaries, and other interested persons such information regarding the provisions of this part and its applicability to the program under which the recipient receives Federal financial assistance, and make such information available to them in such manner, as the responsible Department official finds necessary to apprise such persons of the protections against discrimination assured them by the Act and this part. $ 141.6 Conduct of investigations.

(a) Periodic compliance reviews. The responsible Department official or his designee shall from time to time review the practices of recipients to determine whether they are complying with this part.

(b) Complaints. Any persons who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this part may by himself or by a representative file with the responsible Department official a written complaint. A complaint must be filed not later than 90 days from the date of the alleged discrimination, unless the time for filing is extended by the responsible Department official or his designee.

(c) Investigations. The responsible Department official or his designee will make a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with this part. The investigation should include, where

appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this part occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this part.

(d) Resolution of matters. (1) If an investigation pursuant to paragraph (c) of this section indicates a failure to comply with this part, the responsible Department official or his designee will so inform the recipient and the matter will be resolved by informal means whenever possible. If it has been determined that the matter cannot be resolved by informal means, action will be taken as provided for in § 141.7.

(2) If an investigation does not warrant action pursuant to subparagraph (1) of this paragraph the responsible Department official or his designee will so inform the recipient and the complainant, if any, in writing.

(e) Intimidatory or retaliatory acts prohibited. No recipient or other person shall intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by section 601 of the Act or this part, or because he has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purposes of this part, including the conduct of any investigation, hearing, or judicial proceeding arising thereunder. § 141.7 Procedure for effecting com

pliance. (a) General. If there appears to be a failure or threatened failure to comply with this part, and if the noncompliance or threatened noncompliance cannot be corrected by informal means, compliance with this part may be effected by the suspension or termination of or refusal to grant or to continue Federal financial assistance or by any other means authorized by law.

(b) Noncompliance with § 141.4. If an applicant fails or refuses to furnish an assurance required under § 141.4 or otherwise fails or refuses to comply with a requirement imposed by or pursuant to that section Federal financial assistance may be refused in accordance with the procedures of paragraph (c) of this section. The Department shall not be required to provide assistance in such a case during the pendency of the administrative proceedings under such paragraph except that the Department shall continue assistance during the pendency of such proceedings where such assistance is due and payable pursuant to an application therefor approved prior to the effective date of this part.

(c) Termination of or refusal to grant or to continue Federal financial assistance. No order suspending, terminating or refusing to grant or continue Federal financial assistance shall become effective until (1) the responsible Department official has advised the applicant or recipient of his failure to comply and has determined that compliance cannot be secured by voluntary means, (2) there has been an express finding on the record, after opportunity for hearing, of a failure by the applicant or recipient to comply with a requirement imposed by or pursuant to this part, (3) the action has been approved by the Secretary pursuant to $ 141.9(e), and (4) the expiration of 30 days after the Secretary has filed with the committee of the House and the committee of the Senate having legislative jurisdiction over the program involved, a full written report of the circumstances and the grounds for such action. Any action to suspend or terminate or to refuse to grant or to continue Federal financial assistance shall be limited to the particular political entity, or part thereof, or other applicant or recipient as to whom such a finding has been made and shall be limited in its effect to the particular program, or part thereof, in which such noncompliance has been so found.

(d) Other means authorized by law. No action to effect compliance by any other means authorized by law shall be taken until (1) the responsible Department official has determined that compliance cannot be secured by voluntary means, (2) the action has been approved by the Deputy Under Secretary for Administration, (3) the recipient or other person has been notified of its failure to comply and of the action to be taken to effect compliance, and (4) the expiration of at least 10 days from the mailing of such notice to the recipient or other person. During this period of at least

10 days additional efforts shall be made to persuade the recipient or other person to comply with this part and to take such corrective action as may be appropriate. § 141.8 Hearings.

(a) Opportunity for hearing. Whenever an opportunity for a hearing is required by § 141.7(c), reasonable notice shall be given by registered or certified mail, return receipt requested, to the affected applicant or recipient. This notice shall advise the applicant or recipient of the action proposed to be taken, the specific provision under which the proposed action against it is to be taken, and the matters of fact or law asserted as the basis for this action, and either (1) fix a date not less than 20 days after the date or such notice within which the applicant or recipient may request of the responsible Department official that the matter be scheduled for hearing or (2) advise the applicant or recipient that the matter in question has been set down for hearing at a stated place and time. The time and place so fixed shall be reasonable and shall be subject to change for cause. The complainant, if any, shall be advised of the time and place of the hearing. An applicant or recipient may waive a hearing and submit written information and argument for the record. The failure of an applicant or recipient to request a hearing under this paragraph or to appear at a hearing for which a date has been set shall be deemed to be a waiver of the right to a hearing under section 602 of the Act and § 141.7(c) of this part and consent to the making of a decision on the basis of such information as is available.

(b) Time and place of hearing. Hearings shall normally be held at the offices of the Department in Washington, D.C., at a time fixed by the responsible Department official. Hearings shall be held before an official designated by the Secretary other than the responsible Department official.

(c) Right to counsel. In all proceedings under this section, the applicant or recipient and the Department shall have the right to be represented by counsel.

(d) Procedures, evidence, and record. (1) The hearing, decision, and any administrative review thereof shall be conducted with as much conformity as is practicable with sections 5-8 of the Administrative Procedure Act, and in ac

cordance with such rules of procedure as are proper (and not inconsistent with this section) relating to the conduct of the hearing, giving of notices subsequent to those provided for in paragraph (a) of this section, taking of testimony, exhibits, arguments and briefs, requests for findings, and other related matters. Both the Department and the applicant or recipient shall be entitled to introduce all relevant evidence on the issues as stated in the notice for hearing or as determined by the officer conducting the hearing at the outset of or during the hearing.

(2) Technical rules of evidence shall not apply to hearings conducted pursuant to this part, but rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by crossexamination shall be applied where reasonably necessary by the officer conducting the hearing. The officer presiding at the hearing may exclude irrelevant, immaterial, or unduly repetitious evidence. All documents and other evidence offered or taken for the record shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced on either side of the issues. A transcript shall be made of the oral evidence except to the extent the substance thereof is stipulated for the record. All decisions shall be based upon the hearing record and written findings shall be made.

(e) Consolidated or Joint Hearings. In cases in which the same or related facts are asserted to constitute noncompliance with this part with respect to two or more programs to which this part applies, or noncompliance with this part and the regulations of one or more other Federal departments or agencies issued under Title VI of the Act, the Secretary may, by agreement with such other departments or agencies where applicable, provide for the conduct of consolidated or joint hearings, and for the application to such hearings of rules of procedures not inconsistent with this part. The Secretary may also transfer the hearing of any complaint to any other department or agency, with the consent of that department or agency, where Federal financial assistance to the applicant or recipient is substantially greater than that of the Department of State. Final decisions in all such cases, insofar as this part is concerned, shall be made in accordance with $ 141.9.

§ 141.9 Decisions and notices.

(a) Decisions on record or review by the responsible Department official. The applicant or recipient shall be given reasonable opportunity to file with the oficer presiding at the hearing briefs or other written statements of its contentions, and a copy of the final decision shall be given in writing to the applicant or recipient and to the complainant, if any. The officer presiding at the hearing shall render a decision on the matter.

(b) Decisions on record where a hearing is waived. Whenever a hearing is waived pursuant to § 141.8(a) a decision shall be made by the responsible Departmental official on the record and a copy of such decision shall be given in writing to the applicant or recipient, and to the complainant, if any.

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

(d) Appeal. Either party may appeal from a decision of the officer presiding at the hearing to the responsible Department official within 30 days of the mailing of the officer's decision. In the absence of such an appeal the decision of the officer presiding at the hearings shall constitute the final decision of the Department subject to paragraph (e) of this section.

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

(f) Content of orders. The final decision may provide for suspension or termination of, or refusal to grant or continue Federal financial assistance, in whole or in part, under the program involved, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Act and this part, including provisions designed to assure that no Federal financial assistance will thereafter be extended under such program to the applicant or recipient determined by such decision to be in default in its performance of an assurance given by it pursuant to this part, or to have otherwise failed to comply with this part, unless and until it corrects its noncompliance and satisfies the responsible Department official that it will fully comply with this part. § 141.10 Judicial review.

Action taken pursuant to section 602 of the Act is subject to judicial review as provided in section 603 of the Act. § 141.11 Effect on other regulations;

forms and instructions. Nothing in this part shall be deemed to supersede: Executive Orders 10925 and

11114 and regulations issued thereunder, ! or any other regulations or instructions,

insofar as such regulations, or instruc

tions prohibit discrimination on the i ground of race, color, or national origin

in any program or situation to which this regulation is inapplicable, or prohibit discrimination on any other ground.

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

(b) Supervision and coordination. The Secretary may from time to time assign to officials of the Department, or to officials of other departments or agencies of the Government with the consent of such departments or agencies, responsibilities in connection with the effectuation of the purposes of Title VI of the Act and this part including the achievement of effective coordination and maximum uniformity within the Department and within the Executive Branch of the Government in the application of Title VI and this part to similar programs and in similar situations. § 141.12 Definitions.

As used in this part

(a) The term “Department” means the Department of State and includes each of its operating agencies and other organizational units except the Agency for International Development.

(b) The term "Secretary" means the Secretary of State.

(c) The term “responsible Department official" with respect to any program receiving Federal financial assistance means the official of the Department having responsibility within the Department for the program extending such assistance or such official of the Department as the Secretary designates.

(d) The term “United States” means the States of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, and the territories and possessions of the United States, and the term “State” means any one of the foregoing.

(e) The term "Federal financial assistance" includes (1) grants and loans of Federal funds, (2) the grant or donation of Federal property and interests in property, (3) the detail of Federal personnel, and (4) any Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance.

(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 plan required to be approved by a responsible Department oficial, 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.

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