nority groups are beneficiaries of fed- complaint, or any other information erally assisted programs.

indicates a possible failure to comply (c) Access to sources of information. with this part 1. The investigation Each recipient shall permit access by should include, where appropriate, a the responsible Department official or review of the pertinent practices and his designee during normal business policies of the recipient, the circumhours to such of its books, records, ac- stances under which the possible noncounts, and other sources of informa- compliance with this part 1 occurred, tion, and its facilities as may be perti. and other factors relevant to a deternent to ascertain compliance with this mination as to whether the recipient part 1. Where any information re- has failed to comply with this part . quired of a recipient is in the exclusive

(d) Resolution of matters. (1) If an possession of any other agency, insti- investigation pursuant to paragraph tution, or person and this agency, in. (c) of this section indicates a failure to stitution, or person shall fail or refuse

comply with this part 1, the responsito furnish this information, the recipi.

ble Department official or his designee ent shall so certify in its report and

will so inform the recipient and the shall set forth what efforts it has

matter will be resolved by informal made to obtain the information.

means whenever possible. If it has (d) Information to beneficiaries and

been determined that the matter participants. Each recipient shall

cannot be resolved by informal means, make available to participants, benefi

action will be taken as provided for in ciaries, and other interested persons

$ 1.8. such information regarding the provi

(2) If an investigation does not warsions of this part 1 and its applicabil

rant action pursuant to paragraph ity to the program or activity under

(d)(1) of this section the responsible which the recipient receives Federal fi. nancial assistance, and make such in

Department official or his designee formation available to them in such

will so inform the recipient and the manner, as the responsible Depart

complainant, if any, in writing. ment official finds necessary to ap

(e) Intimidatory of retaliatory acts

prohibited. No recipient other prise such persons of the protections against discrimination assured them person shall

intimidate, threaten, by the Act and this part 1.

coerce, or discriminate against any

person for the purpose of interfering 81.7 Conduct of investigations.

with any right or privilege secured by (a) Periodic compliance reviews.

title VI of the Act or this part 1, or beThe responsible Department official

cause he has made a complaint, testior his designee shall from time to time

fied, assisted, or participated in any review the practices of recipients to

manner in an investigation, proceeddetermine whether they are comply.

ing, or hearing under this part. The ing with this part 1.

identity of complainants shall be kept (b) Complaints. Any person who be

confidential except to the extent neclieves himself or any specific class of

essary to carry out the purposes of persons to be subjected to discrimina

this part, including the conduct of any tion prohibited by this part 1 may by

investigation, hearing, or judicial prohimself or by a representative file

ceeding arising thereunder. with the responsible Department offi. cial or his designee & written com

8 1.8 Procedure for effecting compliance. plaint. A complaint must be filed not (a) General. If there appears to be a later than 180 days from the date of failure or threatened failure to comply the alleged discrimination, unless the with this part 1, and if the noncomplitime for filing is extended by the re- ance or threatened noncompliance sponsible Department official or his cannot be corrected by informal designee.

means, compliance with this part 1 (c) Investigations. The responsible may be effected by the suspension or Department official or his designee termination of or refusal to grant or to shall make a prompt investigation continue Federal financial assistance, whenever a compliance review, report, or by any other means authorized by


$ 1.9

law. Such other means may include, been made and shall be limited in its but are not limited to: (1) A reference effect to the particular program, or to the Department of Justice with a part thereof, in which such noncomrecommendation that appropriate pro- pliance has been so found. ceedings be brought to enforce any (d) Other means authorized by law. rights of the United States under any No action to effect compliance by any law of the United States (including other means authorized by law shall other titles of the Act), or any assur- be taken until (1) the responsible De ance or other contractual undertaking, partment official has determined that and (2) any applicable proceeding compliance cannot be secured by volunder State or local law.

untary means, (2) the recipient or (b) Noncompliance with $ 1.5. If an other person has been notified of its applicant fails or refuses to furnish an failure to comply and of the action to assurance required under $ 1.5 or oth

be taken to effect compliance, and (3) erwise fails or refuses to comply with the expiration of at least 10 days from the requirement imposed by or pursu- the mailing of such notice to the appli. ant to that section, Federal financial cant or recipient. During this period of assistance may be refused in accord

at least 10 days additional efforts shall ance with the procedures of paragraph be made to persuade the applicant or (c) of this section. The Department recipient to comply with this part 1 shall not be required to provide assist

and to take such corrective action as ance in such a case during the penden- may be appropriate. cy of the administrative proceedings under such paragraph, except that the 8 1.9 Hearings. Department shall continue assistance during the pendency of such proceed

(a) Opportunity for hearing. Whenings where such assistance is due and

ever an opportunity for a hearing is payable pursuant to a contract there

required by $ 1.8(c), reasonable notice for approved prior to January 3, 1965.

shall be given by registered or certi(c) Termination of or refusal to

fied mail, return receipt requested, to grant or to continue Federal financial

the affected applicant or recipient. assistance. No order suspending, ter

This notice shall advise the applicant minating, or refusing to grant or con

or recipient of the action proposed to tinue Federal financial assistance shall

be taken, the specific provision under become effective until (1) the responsi.

which the proposed action against it is ble Department official has advised

to be taken, and the matters of fact or the applicant or recipient of his fail.

law asserted as the basis for this ure to comply and has determined

action, and either: that compliance cannot be secured by (1) Fix a date not less than 20 days voluntary means, (2) there has been after the date of such notice within an express finding on the record, after which the applicant or recipient may opportunity for hearing, of a failure request of the responsible Department by the applicant or recipient to official that the matter be scheduled comply with a requirement imposed by for hearing, or (2) advise the applicant or pursuant to this part 1, (3) the or recipient that the matter in quesaction has been approved by the Sec- tion has been set down for hearing at retary, and (4) the expiration of 30 a stated time and place. The time and days after the Secretary has filed with place so fixed shall be reasonable and the committees of the House and shall be subject to change for cause. Senate having legislative jurisdiction The complainant, if any, shall be adover the program or activity involved a vised of the time and place of the full written report of the circum- hearing. An applicant or recipient may stances and the grounds for such waive a hearing and submit written inaction. Any action to suspend or termi. formation and argument for the nate or to refuse to grant or to contin- record. The failure of an applicant or ue Federal financial assistance shall be recipient to request a hearing under limited to the particular political this paragraph (a) or to appear at a entity, or part thereof, or other recipi- hearing for which a date has been set ent as to whom such a finding has shall be deemed to be a waiver of the

right to a hearing under section 602 of to refute facts and arguments adthe Act and g 1.8(c) and consent to the vanced on either side of the issues. A making of a decision on the basis of transcript shall be made of the oral such information as is available.

evidence except to the extent the sub(b) Time and place of hearing. Hear. stance thereof is stipulated for the ings shall be held at the offices of the record. All decisions shall be based Department in Washington, DC, at a upon the hearing record and written time fixed by the responsible Depart- findings shall be made. ment official unless he determines (e) Consolidated or joint hearings. that the convenience of the applicant In cases in which the same or related or recipient or of the Department re- facts are asserted to constitute nonquires that another place be selected.

compliance with this part with respect Hearings shall be held before the re

to two or more programs or activities sponsible Department official or, at

to which this part applies, or noncomhis discretion, before a hearing exam

pliance with this part and the regulainer designated in accordance with sec

tions of one or more other Federal detions 3105 and 3344 of title 5 U.S.C.

partments or agencies issued under (c) Right to counsel. In all proceed- title VI of the Act, the Secretary may, ings under this section, the applicant

by agreement with such other departor recipient and the Department shall

ments or agencies, where applicable, have the right to be represented by

provide for the conduct of consolidatcounsel

ed or joint hearings, and for the appli(d) Procedures, evidence, and record.

cation to such hearings of rules of pro(1) The hearing, decision, and any ad

cedure not inconsistent with this part. ministrative review thereof shall be

Final decisions in such cases insofar as conducted in conformity with 5 U.S.C.

this part is concerned, shall be made 554-557 and in accordance with the

in accordance with $ 1.10. Practice and Procedure for Hearings issued by the Department and pub- 8 1.10 Decisions and notices. lished in part 2 of this title relating to the conduct of the hearing, giving of

(a) Decision by person other than the notices subsequent to those provided

responsible Department official. If the for in paragraph (a) of this section,

hearing is held by a hearing examiner, taking of testimony, exhibits, argu

such hearing examiner shall either ments and briefs, requests for find

make an initial decision, if so author. ings, and other related matters. Both ized, or certify the entire record inthe Department and the applicant or

cluding his recommended findings and recipient shall be entitled to introduce proposed decision to the responsible all relevant evidence on the issues as Department official for a final deci. stated in the notice for hearing or as

sion, and a copy of such initial decidetermined by the officer conducting

sion or certification shall be mailed to the hearing at the outset of or during the applicant or recipient by certified the hearing.

or registered mail, return receipt re(2) Technical rules of evidence shall quested. Where the initial decision is not apply to hearings conducted pur- made by the hearing examiner, the apsuant to this part, but rules or princi- plicant or recipient may, within the ples designed to assure production of period provided for in the Rules of the most credible evidence available Practice and Procedure for Hearings and to subject testimony to test by issued the Department (part 2 of this cross-examination shall be applied subtitle), file with the responsible Dewhere reasonably necessary by the of. partment official his exception to the ficer conducting the hearing. The initial decision, with his reasons therehearing officer may exclude irrele. for. In the absence of exceptions, the vant, immaterial, or unduly repetitious responsible Department official may evidence. All documents and other evi. on his own motion within 45 days dence offered or taken for the record after the initial decision serve on the shall be open to examination by the applicant or recipient a notice that he Department and the applicant or re- will review the decision. Upon the cipient, and opportunity shall be given flling of such exceptions or of such notice of review the responsible De for such program or activity to the ap partment official shall review the ini. plicant or recipient determined by tial decision and issue his own decision such decision to be in default in its thereon including the reasons there performance of an assurance given by for. In the absence of either excep- it pursuant to this part 1, or to have tions or a notice of review the initial otherwise failed to comply with this decision shall constitute

the final deci- part 1, unless and until it corrects its sion of the responsible Department of noncompliance and satisfies the re ficial, in which event a copy shall also sponsible Department official that it be sent to the complainant.

(b) Decisions on record or review by will fully comply with this part 1. the responsible Department official

(f) Posttermination proceedings. (1) Whenever a record is certified to the

An applicant or recipient adversely afresponsible Department official for de

fected by an order issued under paracision or he reviews the decision of a

graph (e) of this section shall be re hearing examiner pursuant to para

stored to full eligibility to receive Fedgraph (a) of this section, or whenever eral financial assistance if it satisfies the responsible Department official the terms and conditions of that order conducts the hearing, the applicant or for such eligibility or if it brings itself recipient shall be given reasonable op- into compliance with this part 1 and portunity to file with him briefs or provides reasonable assurance that it other written statements of its conten- will fully comply with this part 1. tions, and a copy of the final decision (2) Any applicant or recipient adof the responsible Department official versely affected by an order entered shall be given in writing to the appli- pursuant to paragraph (e) of this seccant or recipient, and to the complain. tion may at any time request the reant, if any, by certified or registered sponsible Department official to remail, return receipt requested.

store fully its eligibility to receive Fed(c) Decisions on record where a hear. eral financial assistance. Any such reing is waived. Whenever a hearing is quest shall be supported by informawaived pursuant to $ 1.9(a) a decision

tion showing that the applicant or rea hearing examiner or responsible De

cipient has met the requirements of partment official on the record and a

paragraph (f)(1) of this section. If the copy of such decision shall be given in writing to the applicant or recipient,

responsible Department official deterand to the complainant, if any, by cer

mines that those requirements have tified or registered mail, return receipt been satisfied, he shall restore such requested.

eligibility. (d) Rulings required. Each decision (3) If the responsible Department of of a hearing examiner or responsible ficial denies any such request, the ap. Department official shall set forth his plicant or recipient may submit a reruling on each finding, conclusion, or quest for a hearing in writing, specify. exception presented, and shall identifying why it believes such official to the requirement or requirements im- have been in error. It shall thereupon posed by or pursuant to this part 1 be given an expeditious hearing, with with which it is found that the appli- a decision on the record, in accordance cant or recipient has failed to comply. with the Practice and Procedure for

(e) Content of orders. The final deci- Hearings issued by the Department sion may provide for suspension or ter. (part 2 of this title). The applicant or mination of, or refusal to grant or con- recipient will be restored to such eligitinue, Federal financial assistance, in bility if it proves at such a hearing whole or in part, to the program or ac- that it satisfied the requirements of tivity involved and may contain such terms, conditions, and other provisions proceedings under this paragraph are

paragraph (fX1) of this section. While as are consistent with and will effectuate the purposes of the Act

and this pending, the sanctions imposed by the

order issued under paragraph (e) of part 1, including provisions designed

this section shall remain in effect. to assure that no Federal financial assistance will thereafter be extended

$ 1.11 Judicial review.

effectuation of the purposes of title VI Action taken pursuant to section 602 of the Act and this part (other than of the Act is subject to judicial review responsibility for final decision as proas provided in section 603 of the Act. vided in $ 1.10), including the achieve

ment of effective coordination and 8 1.12 Effect on other regulations; forms maximum uniformity within the Deand instructions.

partment and within the Executive (&) Effect on other regulations. All

Branch of the Government in the apregulations, orders, or like directions plication of title VI and this part to heretofore issued by any officer of the similar programs or activities and in Department which impose require similar situations. Any action taken, ments designed to prohibit any dis- determination made, or requirement crimination against persons on the imposed by an official of another de. ground of race, color, or national partment or agency acting pursuant to origin under any program or activity an assignment of responsibility under to which this part applies, and which this paragraph shall have the same authorize the suspension or termina- effect as though such action had been tion of or refusal to grant or to contin- taken by the responsible official of ue Federal financial assistance to any this Department. applicant or recipient for failure to comply with such requirements, are hereby superseded to the extent that

APPENDIX A TO PART 1 such discrimination is prohibited by this part, except that nothing in this FEDERAL FINANCIAL ASSISTANCE OF THE part shall be deemed to relieve any DEPARTMENT OF HOUSING AND URBAN person of any obligation assumed or DEVELOPMENT TO WHICH THIS PART 1 imposed under any such superseded APPLIES regulation, order, instruction, or like

1. Advance Acquisition of Land. Sec. 704, direction prior to January 3, 1965.

Housing and Urban Development Act of Nothing in this part, however, shall be

1965, 42 U.S.C. 3104. deemed to supersede any of the fol

2. Advice and Assistance with respect to lowing (including future amendments

Housing for Low and Moderate Income thereof):

Families. Sec. 106, Housing and Urban De(1) Executive Orders 11246 and

velopment Act of 1968, as amended by sec. 11375 and regulations issued thereun- 903 (a) Housing and Urban Development der, or

Act of 1970, 12 U.S.C. 1701x. (2) Executive Order 11063 and regu- 3. Alaska Housing Assistance. Sec. 1004, lations issued thereunder, or any

Demonstration Cities and Metropolitan Deother order, regulations or instruc

velopment Act of 1966, 42 U.S.C. 3371. tions, insofar as such order, regula

4. College Housing Program. Title IV,

Housing Act of 1950, 12 U.S.C. 1749. tions, or instructions, prohibit discrim

5. Community Disposition Program. ination on the ground of race, color, or

Atomic Energy Community Act of 1955, national origin in any program or ac

secs. 11-13, 21, 31-36, 41-43, 51-57, 61-66, tivity or situation to which this part is

101-103, 111-119, 42 U.S.C. 2301; E.O. 11105, inapplicable, or prohibit discrimina

28 FR 3909. tion on any other ground.

6. Comprehensive Planning Assistance and (b) Forms and instructions. The re- Comprehensive Planning Research and sponsible Department official shall Demonstration Programs. Sec. 701, Housing assure that forms and detailed instruc- Act of 1954, 40 U.S.C. 461. tions and procedures for effectuating 7. Counselling Service to Mortgagors and this part are issued and promptly

Prospective Mortgagors. Sec. 237(e), Nationmade available to interested persons.

al Housing Act, 12 U.S.C. 17152-2. (C) Supervision and coordination.

8. Federal-State Training and City Plan

ning and Urban Studies Fellowship ProThe Secretary may from time to time assign to officials of the Department,

grams. Title VIII, Housing Act of 1964, 20

U.S.C. 801-807. or to officials of other departments or

9. Grants for Housing Management Trainagencies of the Government with the ing. Sec. 803, Housing Act of 1964, 83 Stat. consent of such department or agency, 393 (1969), 84 Stat. 1809 (1970), 20 U.S.C. responsibilities in connection with the 803.

« ForrigeFortsett »