15 C.F.R. Ð 8.1 - 8.15
PART 8--NONDISCRIMINATION IN FEDERALLY-ASSISTED
PROGRAMS OF THE DEPARTMENT OF COMMERCE--
EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
Subpart A--General Provisions; Prohibitions: Nondiscrimination Clause;
Applicability to Programs
8.2 Application of this part.
8.4 Discrimination prohibited.
8.5 Nondiscrimination clause.
8.6 Applicability of this part to Department assisted programs.
Subpart B--General Compliance
8.7 Cooperation, compliance reports and reviews and access to records.
8.9 Intimidatory or retaliatory acts prohibited.
8.11 Procedures for effecting compliance.
8.13 Decisions and notices.
8.14 Judicial review.
8.15 Effect on other laws; supplementary instructions; coordination.
Appendix A to Part 8--Programs Covered By Title VI
Authority: Sec. 602, Civil Rights Act of 1964 (42 U.S.C. 2000d-1).
Source: 38 FR 17938, July 5, 1973, unless otherwise noted.
Subpart A--General Provisions; Prohibitions: Nondiscrimination Clause;
Applicability to Programs
Sec. 8.1 Purpose.
The purpose of this part is to effectuate the provisions of title VI
of the Civil Rights Act of 1964 (hereafter referred to as the ``Act'')
to the end that no person in the United States shall, on the ground of
race, color, or national origin, be excluded from participation in, be
denied the benefits of, or be otherwise subjected to discrimination
under any program receiving Federal financial assistance from the
Department of Commerce. This part is consistent with achievement of the
objectives of the statutes authorizing the financial assistance given by
the Department of Commerce as provided in section 602 of the Act.
Sec. 8.2 Application of this part.
(a) This part applies to any program for which Federal financial
assistance is authorized under a law administered by the Department,
including the federally assisted programs listed in Appendix A to this
part and as said Appendix may be amended. It applies to money paid,
property transferred, or other Federal financial assistance extended
under any such program after January 9, 1965, pursuant to an application
approved prior to such effective date.
(b) This part does not apply to (1) any Federal financial assistance
by way of insurance or guaranty contracts, (2) money paid, property
transferred, or other assistance extended under any such program before
January 9, 1965, except where such assistance was subject to the title
VI regulations of this Department or of any other agency whose
responsibilities are now exercised by this Department, (3) any
assistance to any individual who is the ultimate beneficiary under any
such program, or (4) any employment practice, under any such program, of
any employer, employment agency, or labor organization except to the
extent described in Sec. 8.4(c). The fact that a program is not listed
in Appendix A shall not mean, if title VI of the Act is otherwise
applicable, that such program is not covered. Other programs under
statutes now in force or hereinafter enacted may be added to the list by
notice published in the Federal Register.
Sec. 8.3 Definitions.
(a) Department means the Department of Commerce, and includes each
and all of its operating and equivalent other units.
(b) Secretary means the Secretary of Commerce.
(c) 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 anyone of the foregoing.
(d) Person means an individual in the United States who is or is
eligible to be a participant in or an ultimate beneficiary of any
program which receives Federal financial assistance, and includes an
individual who is an owner or member of a firm, corporation, or other
business or organization which is or is eligible to be a participant in
or an ultimate beneficiary of such a program. Where a primary objective
of the Federal financial assistance to a program is to provide
employment, ``person'' includes employees or applicants for employment
of a recipient or other party subject to this part under such program.
(e) Responsible department official with respect to any program
receiving Federal financial assistance means the Secretary or other
official of the Department who by law or by delegation has the principal
authority within the Department for the administration of a law
extending such assistance. It also means any officials so designated by
due delegation of authority within the Department to act in such
capacity with regard to any program under this part.
(f) Federal financial assistance includes
(1) Grants, loans, or agreements for participation in loans, of
(2) The grant or donation of Federal property or interests in
(3) The sale or lease of, or the permission to use (on other than a
casual or transient basis), Federal property or any interest in such
property or in property in which the Federal Government has an interest,
without consideration, or at a nominal consideration, or at a
consideration which is reduced, for the purpose of assisting the
recipient, or in recognition of the public interest to be served by such
sale or lease to or use by the recipient,
(4) Waiver of charges which would normally be made for the
furnishing of Government services,
(5) The detail of Federal personnel,
(6) Technical assistance, and
(7) Any Federal agreement, arrangement, contract, or other
instrument which has as one of its purposes the provision of assistance.
(g) Program includes any program, project, or activity for the
planning or provision of services, financial aid, property, other
benefits, or facilities for furnishing services, financial aid,
property, or other benefits, whether provided by the recipient or by
others through contracts or other arrangements with the recipient, with
the aid of Federal financial assistance, or with the aid of any non-
Federal funds, property, facilities or other resources which are
provided to meet the conditions under which Federal financial assistance
is extended or which utilizes federally assisted property, facilities or
(h) Facility includes all or any portion of structures, equipment,
vessels, or other real or personal property or interests therein, and
the provision of facilities includes the construction, expansion,
renovation, remodeling, alteration, contract for use, or acquisition of
(i) Recipient means any governmental, public or private agency,
institution, organization, or other entity, or any individual, who or
which is an applicant for Federal financial assistance, or to whom
Federal financial assistance is extended directly or through another
recipient for or in connection with any program. Recipient further
includes a subgrantee, an entity which leases or operates a facility for
or on behalf of a recipient, and any successors, assignees, or
transferees of any kind of the recipient, but does not include any
person who is an ultimate beneficiary under any program.
(j) Primary recipient means any recipient which is authorized or
required to extend or distribute Federal financial assistance to another
recipient for the purpose of carrying out a program.
(k) Applicant means one who submits an application, request, or 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 ``application'' means such an application, request, or
(l) Other parties subject to this part includes any governmental,
public or private agency, institution, organization, or other entity, or
any individual, who or which, like a recipient, is not to engage in
discriminatory acts with respect to applicable persons covered by this
part, because of his or its direct or substantial participation in any
program, such as a contractor, subcontractor, provider of employment, or
user of facilities or services provided under any program.
Sec. 8.4 Discrimination prohibited.
(a) General. No person in the United States shall, on the ground of
race, color, or national origin be excluded from participation in, be
denied the benefits of, or be otherwise subjected to discrimination
under, any program to which this part applies.
(b) Specific discriminatory acts prohibited. (1) A recipient of
Federal financial assistance, or other party subject to this part under
any program to which this part applies, shall not participate, directly
or through contractual or other arrangements, in any act or course of
conduct which, on the ground of race, color, or national origin:
(i) Denies to a person any service, financial aid, or other benefit
provided under the program;
(ii) Provides any service, financial aid, or other benefit, to a
person which is different, or is provided in a different manner, from
that provided to others under the program;
(iii) Subjects a person to segregation or separate or other
discriminatory treatment in any matter related to his receipt (or
nonreceipt) of any such service, financial aid, property, or other
benefit under the program.
(iv) Restricts a person in any way in the enjoyment of services,
facilities, or any other advantage, privilege, property, or benefit
provided to others under the programs;
(v) Treats a person differently from others in determining whether
he satisfies any admission, enrollment, quota, eligibility, membership,
or other requirement or condition which persons must meet in order to be
provided any service, financial aid, or other benefit provided under the
(vi) Denies a person an opportunity to participate in the program
through the provision of property or services or otherwise, or affords
him an opportunity to do so which is different from that afforded others
under the program (including the opportunity to participate in the
program as an employee but only to the extent set forth in paragraph (c)
of this section);
(vii) Denies a person the same opportunity or consideration given
others to be selected or retained or otherwise to participate as a
contractor, subcontractor, or subgrantee when a program is applicable
(viii) Denies a person the opportunity to participate as a member of
a planning or advisory body which is an integral part of the program.
(2) A recipient, or other party subject to this part under any
program, in determining the types of services, financial aid, or other
benefits, or facilities which will be provided under any such program,
or the class of persons to whom, or the situations in which, such
services, financial aid, other benefits, or facilities will be provided
under any such program, or the class of persons to be afforded an
opportunity to participate in any such program, shall not, directly or
through contractual or other arrangements, utilize criteria or methods
of administration which have the effect of subjecting persons to
discrimination because of their race, color, or national origin, or have
the effect of defeating or substantially impairing accomplishment of the
objectives of the program as respect any persons of a particular race,
color, or national origin.
(3) In determining the site or location of facilities, a recipient
or other party subject to this part may not make selections with the
purpose or effect of excluding persons from, denying them the benefits
of, or subjecting them to discrimination under any program to which this
part applies, on the grounds of race, color or national origin; or with
the purpose or effect of defeating or substantially impairing the
accomplishment of the objectives of the Act or this part.
(4) As used in this section, the services, financial aid, or other
benefits provided under a program receiving Federal financial assistance
shall be deemed to include any service, financial aid, or other benefit
provided or made available in or through or utilizing a facility
provided with the aid of Federal financial assistance.
(5) The enumeration of specific forms of prohibited discrimination
in this paragraph and paragraph (c) of this section does not limit the
generality of the prohibition in paragraph (a) of this section.
(6)(i) In administering a program regarding which the recipient has
previously discriminated against persons on the ground of race, color,
or national origin, the recipient must take affirmative action to
overcome the effects of prior discrimination.
(ii) Even in the absence of such prior discrimination, a recipient
in administering a program may take affirmative action to overcome the
effects of conditions which resulted in limiting participation by
persons of a particular race, color or national origin.
(c) Employment practices. (1) Where a primary objective of the
Federal financial assistance to a program to which this part applies is
to provide employment, a recipient or other party subject to this part
shall not, directly or through contractual or other arrangements,
subject a person to discrimination on the ground of race, color, or
national origin in its employment practices under such program
(including recruitment or recruitment advertising, hiring, firing,
upgrading, promotion, demotion, transfer, layoff, termination, rates of
pay or other forms of compensation or benefits, selection for training
or apprenticeship, use of facilities, and treatment of employees). Such
recipients and other parties subject to this part shall take affirmative
action to ensure that applicants are employed, and employees are treated
during employment without regard to their race, color, or national
origin. Such recipients and other parties subject to this part shall, as
may be required by supplemental regulations, develop a written
affirmative action program. The requirements applicable to construction
employment under any such program shall be in addition to those
specified in or pursuant to Part III of Executive Order 11246 or any
Executive order which supersedes it. Federal financial assistance to
programs under laws funded or administered by the Department which has
as a primary objective the providing of employment include those set
forth in Appendix A II of this part.
(2) Where a primary objective of the Federal financial assistance to
a program to which this part applies is not to provide employment, but
discrimination on the grounds of race, color, or national origin, in the
employment practices of the recipient or other party subject to this
part, tends, on the grounds of race, color, or national origin, to
exclude persons from participating in, to deny them the benefits of, or
to subject them to discrimination
under any such program, the provisions of paragraph (c)(1) of this
section shall apply to the employment practices of the recipient or
other party subject to this part, to the extent necessary to assure
equality of opportunity to, and nondiscriminatory treatment of such
[38 FR 17938, July 5, 1973; 38 FR 23777, Sept. 4, 1973]
Sec. 8.5 Nondiscrimination clause.
(a) Applicability. Every application for, and every grant, loan, or
contract authorizing approval of, Federal financial assistance to carry
out a program and to provide a facility subject to this part, and every
modification or amendment thereof, shall, as a condition to its approval
and to the extension of any Federal financial assistance pursuant
thereto, contain or be accompanied by an assurance that the program will
be conducted in compliance with all requirements imposed by or pursuant
to this part. The assurances shall be set forth in a nondiscrimination
clause. The responsible Department official shall specify the form and
contents of the nondiscrimination clause for each program as
(b) Contents. Without limiting its scope or language in any way, a
nondiscrimination clause shall contain, where determined to be
appropriate, and in an appropriate form, reference to the following
assurances, undertakings, and other provisions:
(1) That the recipient or other party subject to this part will not
participate directly or indirectly in the discrimination prohibited by
Sec. 8.4, including employment practices when a program covering such is
(2) That when employment practices are covered, the recipient or
other party subject to this part will (i) in all solicitations or
advertisements for employees placed by or for the recipient, state that
qualified applicants will receive consideration for employment without
regard to race, color, or national origin; (ii) notify each labor union
or representative of workers with which it has a collective bargaining
agreement or other contract or understanding of the recipient's
commitments under this section; (iii) post the nondiscrimination clause
and the notice to labor unions in conspicuous places available to
employees and applicants for employment; and (iv) otherwise comply with
the requirements of Sec. 8.4(c).
(3) That in a program involving continuing Federal financial
assistance, the recipient thereunder (i) will state that the program is
(or, in the case of a new program, will be) conducted in compliance with
all requirements imposed by or pursuant to this part, and (ii) will
provide for such methods of administration for the program as are found
by the responsible Department official to give reasonable assurance that
all recipients of Federal financial assistance under such program and
any other parties connected therewith subject to this part will comply
with all requirements imposed by or pursuant to this part.
(4) That the recipient agrees to secure the compliance or to
cooperate actively with the Department to secure the compliance by
others with this part and the nondiscrimination clause as may be
directed under an applicable program. For instance, the recipient may be
requested by the responsible Department official to undertake and agree
(i) to obtain or enforce or to assist and cooperate actively with the
responsible Department official in obtaining or enforcing, the
compliance of other recipients or of other parties subject to this part
with the nondiscrimination required by this part; (ii) to insert
appropriate nondiscrimination clauses in the respective contracts with
or grants to such parties; (iii) to obtain and to furnish to the
responsible Department official such information as he may require for
the supervision or securing of such compliance; (iv) to carry out
sanctions for noncompliance with the obligations imposed upon recipients
and other parties subject to this part; and (v) to comply with such
additional provisions as the responsible Department official deems
appropriate to establish and protect the interests of the United States
in the enforcement of these obligations. In the event that the
cooperating recipient becomes involved in litigation with a noncomplying
party as a result of such departmental direction, the cooperating recipient
may request the Department to enter into such litigation to protect the
interests of the United States.
(5) In the case of real property, structures or improvements
thereon, or interests therein, which are acquired for a program
receiving Federal financial assistance, or in the case where Federal
financial assistance is provided in the form of a transfer of real
property or interest therein from the Federal Government, the instrument
effecting or recording the transfer shall contain a covenant running
with the land assuring nondiscrimination for the period during which the
real property is used for a purpose for which the Federal financial
assistance is extended or for another purpose involving the provision of
similar services or benefits, or for as long as the recipient retains
ownership or possession of the property, whichever, is longer. Where no
transfer of property is involved, but property is improved with Federal
financial assistance, the recipient shall agree to include such a
covenant in any subsequent transfer of such property. Where the property
is obtained from the Federal Government, such covenant may also include
a condition coupled with a right to be reserved by the Department to
revert title to the property in the event of a breach of the covenant
where, in the discretion of the responsible Department official, such a
condition and right of reverter is appropriate to the program under
which the real property is obtained and to the nature of the grant and
the grantee. In such event if a transferee of real property proposes to
mortgage or otherwise encumber the real property as security for
financing construction of new, or improvement of existing facilities on
such property for the purposes for which the property was transferred,
the responsible Department official may agree, upon request of the
transferee and if necessary to accomplish such financing, and upon such
conditions as he deems appropriate to forebear the exercise of such
right to revert title for so long as the lien of such mortgage or other
encumbrance remains effective.
(6) In programs receiving Federal financial assistance in the form,
or for the acquisition, of real property or an interest in real property
to the extent that rights to space on, over, or under any such property
are included as part of the program receiving such assistance the
nondiscrimination requirements of this part shall extend to any facility
located wholly or in part in such space.
(7) That a recipient shall not take action that is calculated to
bring about indirectly what this part forbids it to accomplish directly.
(8) Provisions specifying the extent to which like assurances will
be required of subgrantees, contractors and subcontractors, lessees,
transferees, successors in interest, and other participants in the
(9) Provisions which give the United States a right to seek judicial
enforcement of the assurances.
(10) In the case where any assurances are required from an academic,
a medical care, detention or correctional, or any other institution or
facility, insofar as the assurances relate to the institution's
practices with respect to the admission, care, or other treatment of
persons by the institution or with respect to the opportunity of persons
to participate in the receiving or providing of services, treatment, or
benefits, such assurances shall be applicable to the entire institution
or facility. That requirement may be waived by the responsible
Department official if the party furnishing the assurances establishes
to the satisfaction of the responsible Department official that the
practices in designated parts or programs of the institution or facility
will in no way affect its practices in the program of the institution or
facility for which Federal financial assistance is or is sought to be
provided, or affect the beneficiaries of or participants in such
program. If in any such case the assistance is or is sought for the
construction of a facility or part of a facility, the assurances shall
in any event extend to the entire facility and to facilities operated in
(11) In the case where the Federal financial assistance is in the
form of or to aid in the acquisition of personal
property, or real property or interest therein or structures thereon,
the assurance shall obligate the recipients, or, in the case of a
subsequent transfer, the transferee, for the period during which the
property is used for a purpose for which the Federal financial
assistance is extended or for another purpose involving the provision of
similar services and benefits, or for as long as the recipient or
transferee retains ownership or possession of the property, whichever is
longer. In the case of any other type or form of assistance, the
assurances shall be in effect for the duration of the period during
which Federal financial assistance is extended to the program.
[38 FR 17938, July 5, 1973; 38 FR 23777, Sept. 4, 1973]
Sec. 8.6 Applicability of this part to Department assisted programs.
The following examples illustrate the applicability of this part to
programs which receive or may receive Federal financial assistance
administered by the Department. The fact that a particular program is
not listed does not indicate that it is not covered by this part, The
discrimination referred to is that described in Sec. 8.4 against persons
on the ground of race, color, or national origin.
(a) Assistance to support economic development programs.
Discrimination in which recipients and other parties subject to this
part shall not engage, directly or indirectly, includes discrimination
(1) The letting of contracts or other arrangements for the planning,
designing, engineering, acquisition, construction, rehabilitation,
conversion, enlargement, installation, occupancy, use, maintenance,
leasing, subleasing, sales, or other utilization or disposition of
property or facilities purchased or financed in whole or in part with
the aid of Federal financial assistance;
(2) The acquisition of goods or services, or the production,
preparation, manufacture, marketing, transportation, or distribution of
goods or services in connection with a program or its operations;
(3) The onsite operation of the project or facilities;
(4) Services or accommodations offered to the public in connection
with the program; and
(5) In employment practices in connection with or which affect the
program (as defined in Sec. 8.4(c)); in the following programs:
(i) Any program receiving Federal financial assistance for the
purchase or development of land and facilities (including machinery and
equipment) for industrial or commercial usage.
(ii) Any program receiving Federal financial assistance in the form
of loans or direct or supplementary grants for the acquisition or
development of land and improvements for public works, public service or
development facility usage, and the acquisition, construction,
rehabilitation, alteration, expansion, or improvement of such
facilities, including related machinery and equipment.
(iii) In any program receiving any form of technical assistance
designed to alleviate or prevent conditions of excessive employment or
(iv) In any program receiving Federal financial assistance in the
form of administrative expense grants.
(b) Assistance to support the training of students. A current
example of such assistance is that received by State maritime academies
or colleges, by contract, of facilities (vessels), related equipment and
funds to train merchant marine officers. In this and other student
training programs, discrimination which is prohibited by recipients and
other parties subject to this part includes discrimination in the
selection of persons to be trained and in their treatment by the
recipients in any aspect of the educational process and discipline
during their training, or in the availability or use of any academic,
housing, eating, recreational, or other facilities and services, or in
financial assistance to students furnished or controlled by the
recipients or incidental to the program. In any case where selection of
trainees is made from a predetermined group, such as the students in an
institution or area, the group must be selected without discrimination.
(c) Assistance to support mobile or other trade fairs. In programs
in which operators of mobile trade fairs using U.S. flag vessels and
aircraft and designed to exhibit and sell U.S. products abroad, or in
which other trade fairs or exhibitions, receive technical and financial
assistance, discrimination which is prohibited by recipients and other
parties subject to this part includes discrimination in the selection or
retention of any actual or potential exhibitors, or in access to or use
of the services or accommodations by, or otherwise with respect to
treatment of, exhibitors or their owners, officers, employees, or
(d) Assistance to support business entities eligible for trade
adjustment assistance. In programs in which eligible business entities
receive any measure or kind of technical, financial or tax adjustment
assistance because of or in connection with the impact of U.S.
international trade upon such business, discrimination which is
prohibited by recipients and other parties subject to this part includes
discrimination in their employment practices as defined in Sec. 8.4(c).
(e) Assistance to support research and development and related
activities. In programs in which individuals, educational or other
institutions, public governmental or business entities receive Federal
financial assistance in order to encourage or foster research or
development activities as such, or to obtain, promote, develop, or
protect thereby technical, scientific, environmental, or other
information, products, facilities, resources, or services which are to
be made available to or used by others; but where such programs do not
constitute Government procurement of property or services,
discrimination which is prohibited by recipients and other parties
subject to this part includes discrimination with respect to (1) the
choice, retention or treatment of contractors, subcontractors,
subgrantees or of any other person; (2) the provision of services,
facilities, or financial aid; (3) the participation of any party in the
research activities; (4) the dissemination to or use by any person of
the results or benefits of the research or development, whether in the
form of information, products, services, facilities, resources, or
otherwise. If research is performed within an educational institution
under which it is expected that students or others will participate in
the research as a part of their experience or training, on a compensated
or uncompensated basis, there shall be no discrimination in admission of
students to, or in their treatment by, that part of the school from
which such students are drawn or in the selection otherwise of trainees
or participants. The recipient educational institutions will be required
to give the assurances provided in Sec. 8.5(b)(10).
(f) Assistance to aid in the operations of vessels engaged in U.S.
foreign commerce. In programs in which the operators of American-flag
vessels used to furnish shipping services in the foreign commerce of the
United States receive Federal financial assistance in the form of
operating differential subsidies, discrimination which is prohibited by
recipients and other parties subject to this part includes
discrimination in soliciting, accepting or serving in any way passengers
or shippers of cargo entitled to protection in the United States under
Subpart B--General Compliance
Sec. 8.7 Cooperation, compliance reports and reviews and access to
(a) Cooperation and assistance. Each responsible Department official
shall to the fullest extent practicable seek the cooperation of
recipients and other parties subject to this part in obtaining
compliance with this part and shall provide assistance and guidance to
recipients and other parties to help them comply voluntarily with this
(b) Compliance reports. Each recipient and other party subject to
this part shall keep such records and submit to the responsible
Department official timely, complete, and accurate compliance reports at
such times and in such form and containing such information as the
responsible Department official may determine to be necessary to enable
him to ascertain whether the recipient or such other party has complied
or is complying with this part. In general, recipients should have
available for the department racial and ethnic data showing the extent
to which members of minority groups are beneficiaries of federally assisted
programs. In the case of any program under which a primary recipient
extends Federal financial assistance to any other recipient, or under
which a recipient is obligated to obtain or to cooperate in obtaining
the compliance of other parties subject to this part, such other
recipients or other parties shall also submit such compliance reports to
the primary recipient or recipients as may be necessary to enable them
to carry out their obligations under this part.
(c) Access to sources of information. Each recipient or other party
subject to this part 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 or other party is in the
exclusive possession of another who fails or refuses to furnish this
information, the recipient or other party 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 or
other party subject to this part 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 this part and the
responsible Department official finds necessary to apprise such persons
of the protections against discrimination assured them by the Act and
(e) Compliance review. The responsible Department official or his
designee shall from time to time review the practices of recipients and
other parties subject to this part to determine whether they are
complying with this part.
Sec. 8.8 Complaints.
(a) Filing complaints. Any person who believes himself or any
specific class of persons 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 shall
be filed not later than 180 days from the date of the alleged
discrimination, unless the time for filing is extended by the
responsible Department official.
Sec. 8.9 Intimidatory or retaliatory acts prohibited.
(a) No recipient or other party subject to this part shall
intimidate, threaten, coerce, or discriminate against, any person for
the purpose of interfering with any right or privilege secured by
section 601 of the Act of this part, or because the person has made a
complaint, testified, assisted, or participated in any manner in an
investigation, proceeding, or hearing under this part.
(b) 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 or
other proceeding arising thereunder.
Sec. 8.10 Investigations.
(a) Making the investigation. 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 shall include, where
appropriate, a review of the pertinent practices and policies of the
recipient or other party subject to this part, the circumstances under
which the possible noncompliance with this part occurred, and other
factors relevant to a determination as to whether there has been a
failure to comply with this part.
(b) Resolution of matters. (1) If an investigation pursuant to
paragraph (a) of this section indicates a failure to comply with this
part, the responsible Department official will so inform the recipient
or other party subject to this part 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 Sec. 8.11.
(2) If an investigation does not warrant action pursuant to
paragraph (b)(1) of this section, the responsible Department official
will so inform the recipient or other party subject to this part and the
complainant, if any, in writing.
Sec. 8.11 Procedures for effecting compliance.
(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. Such other means may include, but are not
limited to, (1) a reference to the Department of Justice with a
recommendation that appropriate proceedings be brought to enforce any
rights of the United States under any law of the United States
(including other titles of the Act), or any assurance or other
contractural undertaking, and (2) any applicable proceeding under State
or local law.
(b) Noncompliance with Sec. 8.5. If a recipient or other party
subject to this part fails or refuses to furnish an assurance required
under Sec. 8.5 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 said 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 or contract
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 recipient
or other party subject to this part 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 such recipient or other party to comply with a
requirement imposed by or pursuant to this part, (3) the action has been
approved by the Secretary pursuant to Sec. 8.13(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 recipient or other party 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 recipient or other party has been
notified of its failure to comply and of the action to be taken to
effect compliance, and (3) the expiration of at least 10 days from the
mailing of such notice to the recipient or other party. During this
period of at least 10 days additional efforts shall be made to persuade
the recipient or other party to comply with this part and to take such
corrective action as may be appropriate.
Sec. 8.12 Hearings.
(a) Opportunity for hearing. Whenever an opportunity for a hearing
is required by Sec. 8.11(c), reasonable notice shall be given by
registered or certified mail, return receipt requested, to the affected
recipient or other party subject to this part. This notice shall advise
the recipient or other party 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 of such
notice within which the recipient or other party may request of the
responsible Department official that the matter be scheduled for
hearing, or (2) advise the recipient or other party 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. A recipient or other party may waive a hearing
and submit written information and argument for the record. The failure
of a recipient or other party to request a hearing under this paragraph
of this section 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 Sec. 8.11(c) 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 be held at the offices
of the Department in Washington, D.C., at a time fixed by the
responsible Department official or hearing officer unless he determines
that the convenience of the recipient or other party or of the
Department requires that another place be selected. Hearings shall be
held before the responsible Department official, or at his discretion,
before a hearing officer.
(c) Right to counsel. In all proceedings under this section, the
recipient or other party 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 in conformity with
5 U.S.C. 554-557 (sections 5-8 of the Administrative Procedures Act),
and in accordance 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 recipient or other party 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 cross-examination shall be applied where reasonably
necessary by the officer conducting the hearing. The hearing officer 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. Final decisions in such cases, insofar
as this part is concerned, shall be made in accordance with Sec. 8.13.
Sec. 8.13 Decisions and notices.
(a) Decision by person other than the responsible Department
official. If the hearing is held by a hearing officer such hearing
officer shall either make an initial decision, if so authorized, or
certify the entire record including his recommended findings and
proposed decision to the responsible Department official for a final
decision, and a copy of such initial decision or certification
shall be mailed to the recipient or other party subject to this part.
Where the initial decision is made by the hearing officer, the recipient
or other party may within 30 days of the mailing of such notice of
initial decision file with the responsible Department official his
exceptions to the initial decision, with his reasons therefor. In the
absence of exceptions, the responsible Department official may on his
own motion within 45 days after the initial decision serve on the
recipient or other party a notice that he will review the decision. Upon
the filing of such exceptions or of such notice of review, the
responsible Department official shall review the initial decision and
issue his own decision thereon including the reasons therefor. In the
absence of either exceptions or a notice of review the initial decision
shall constitute the final decision of the responsible Department
(b) Decisions on record or review by the responsible Department
official. Whenever a record is certified to the responsible Department
official for decision or he reviews the decision of a hearing officer
pursuant to paragraph (a) of this section, or whenever the responsible
Department official conducts the hearing, the recipient or other party
shall be given reasonable opportunity to file with him briefs or other
written statements of its contentions, and a copy of the final decision
of the responsible Department official shall be given in writing to the
recipient or other party and to the complainant, if any.
(c) Decisions on record where a hearing is waived. Whenever a
hearing is waived pursuant to Sec. 8.12(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 recipient or other party, and
to the complainant, if any.
(d) Ruling required. Each decision of a hearing officer or
responsible Department official 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 recipient or other party has failed to
(e) Approval by Secretary. Any final decision of a responsible
Department official (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 of 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
recipient or other party 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.
(g) Posttermination proceedings. (1) Any recipient or other party
which is adversely affected by an order issued under paragraph (f) of
this section shall be restored to full eligibility to receive Federal
financial assistance if it satisfies the terms and conditions of that
order for such eligibility or if it brings itself into compliance with
this part and provides reasonable assurance that it will fully comply
with this part.
(2) Any recipient or other party adversely affected by an order
entered pursuant to paragraph (f) of this section may at any time
request the responsible Department official to restore fully its
eligibility to receive Federal financial assistance. Any such request
shall be supported by information showing that the recipient or other
party has met the requirements of paragraph (g)(1) of this section. If
the responsible Department official determines that those requirements
have been satisfied, he shall restore such eligibility.
(3) If the responsible Department official denies any such request,
the recipient or other party may submit a request for a hearing in
writing, specifying why it believes such official to have been in error.
It shall thereupon be given an expeditious hearing, with a decision on
the record in accordance with rules of procedure issued by the
responsible Department official. The recipient or other party will be
restored to such eligibility if it proves at such a hearing that it
satisfied the requirements of paragraph (g)(1) of this section. While
proceedings under this paragraph are pending, the sanctions imposed by
the order issued under paragraph (f) of this section shall remain in
Sec. 8.14 Judicial review.
Action taken pursuant to section 602 of the Act is subject to
judicial review as provided in section 603 of the Act.
Sec. 8.15 Effect on other laws; supplementary instructions;
(a) Effect on other laws. All regulations, orders, or like
directions heretofore issued by any officer of the Department which
impose requirements designed to prohibit any discrimination against
individuals on the ground of race, color, or national origin under any
program to which this part applies, and which authorizes the suspension
or termination of or refusal to grant or to continue Federal financial
assistance to any recipient or other party subject to this part of such
assistance under such program for failure to comply with such
requirements, are hereby superseded to the extent that such
discrimination is prohibited by this part, except that nothing in this
part shall be deemed to relieve any one of any obligations assumed or
imposed under any such superseded regulation, order, instruction, or
like direction prior to January 9, 1965. Nothing in this part, however,
shall be deemed to supersede any of the following (including future
(1) Executive Order 11246 and regulations issued thereunder, or
(2) Executive Order 11063 and regulations issued thereunder, or any
other regulations or instructions, insofar as such order, regulations,
or instructions prohibit discrimination on the ground of race, color, or
national origin in any program or situation to which this part is
inapplicable, or prohibit discrimination on any other ground.
(b) Forms and instructions. Each responsible Department official
shall issue and promptly make available to interested parties forms and
detailed instructions and procedures for effectuating this part as
applied to programs to which this part applies and for which he is
(c) 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 (other
than responsibility for final decision as provided in Sec. 8.13),
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. Any action taken, determination
made, or requirement imposed by an official of another Department or
agency acting pursuant to an assignment of responsibility under this
paragraph shall have the same effect as though such action had been
taken by the responsible official of this Department.
Appendix A to Part 8--Programs Covered by Title VI
i. federal financial assistance to which title 15, subtitle a, part 8
Economic Development Administration
1. Loans, grants, technical and other assistance for public works
and development facilities, for supplementing Federal grants-in-aid, for
private businesses, and for other purposes, including assistance in
connection with designated economic development districts and regions
(Public Works and Economic Development Act of 1965, as amended, 42
U.S.C. 3121 et seq.).
2. Financial and technical assistance to firms to aid economic
adjustment to the effects of increased imports in direct competition
with firm products (Trade Act of 1974, 19 U.S.C. 2341-2354).
3. Assistance to communities adversely affected by increased imports
in direct competition with products manufactured in the community area
(Trade Act of 1974, 19 U.S.C. 2371-2374).
4. Assistance to projects involving construction of local and State
public facilities in order to reduce unemployment and provide State and
local governments with badly needed public facilities (Local Public
Works Capital Development and Assistance Act of 1976, 42 U.S.C. 6701-
5. Trade adjustment assistance: Loans, dissemination of technical
information (title II of the Trade Act of 1974, 19 U.S.C. 2341-2374).
1. Operating differential subsidy assistance to operators of U.S.
flag vessels engaged in U.S. foreign commerce (46 U.S.C. 1171 et seq.).
2. Assistance to operate State maritime academies and colleges to
train merchant marine officers (46 U.S.C. 1381-1388).
3. Ship construction differential subsidies, direct payments
(Merchant Marine Act of 1936, as amended, 46 U.S.C. 1151-1161).
National Bureau of Standards
1. Grants to universities and other research organizations for fire
research and safety programs (15 U.S.C. 278f).
National Fire Prevention and Control Administration
1. Academy planning assistance: To assist States in the development
of training and education in the fire prevention and control area (15
2. State fire incident reporting assistance: To assist States in the
establishment and operation of a statewide fire incident and casualty
reporting system (15 U.S.C. 2201-2219).
3. Public education assistance planning: Publications, audiovisual
presentations and demonstrations, research, testing, and experimentation
to determine the most effective means for such public education (15
4. Policy development assistance: Studies of the operations and
management aspects of fire services (15 U.S.C. 2207c).
National Oceanic and Atmospheric Administration
1. Assistance to States, educational institutions, and the
commercial fishing industry for the development of tuna and other latent
fisheries (16 U.S.C. 758e).
2. Assistance to States for the development and implementation of
programs to protect and study certain species of marine mammals (16
3. Financial assistance to States with agencies which have entered
into a cooperative agreement to assist in the preservation of threatened
and endangered species (16 U.S.C. 1535).
4. Assistance to coastal States for the development of estuarine
sanctuaries to serve as field laboratories and for acquiring access to
public beaches (16 U.S.C. 1461).
5. Assistance to coastal States for the development, implementation,
and administration of coastal zone management programs (16 U.S.C. 1454-
6. Assistance to coastal States to help communities in dealing with
the economic, social, and environmental consequences resulting from
expanded coastal energy activity (16 U.S.C. 1456).
7. Authority to enter into cooperative agreements with ``colleges
and universities, with game and fish departments of the several States,
and with nonprofit organizations relating to cooperative research
units.'' Assistance limited to assignment of personnel, supplies, and
incidental expenses (16 U.S.C. 753 a and b).
8. Grants for education and training of personnel in the field of
commercial fishing, ``to public and nonprofit private universities and
colleges * * *'' (16 U.S.C. 760d).
9. Grants for ``office and any other necessary space'' for the
Northern Pacific Halibut Commission (16 U.S.C. 772).
10. The ``Dingell Johnson Act'': Apportionment of dollars to States
for restoration and management of sport or recreational species (16
U.S.C. 777-777i; 777k).
11. Authority to cooperate with and provide assistance to States in
controlling jellyfish, etc. (16 U.S.C. 1201, 1202).
12. Authority to cooperate with and provide assistance to certain
States and territories in the study and control of ``Crown of Thorns''
starfish (16 U.S.C. 1211-1213).
13. Technical assistance to fishing cooperatives regarding catching
and marketing aquatic products (15 U.S.C. 521-522).
14. Fish research and experimentation program cooperation with other
agencies in acquisition of lands, construction of buildings, employment
of personnel in establishing and maintaining research stations (16
15. Assistance to upgrade commercial fishing vessels and gear (16
16. Assistance to State projects designed for the research and
development of commercial fisheries resources of the nation (16 U.S.C.
17. Assistance to State and other non-Federal interests under
cooperative agreements to conserve, develop, and enhance anadromous and
Great Lakes Fisheries (16 U.S.C. 757a et seq.).
18. Grants and other assistance under the National Sea Grant College
and Program Act of 1966: To support establishment of major university
centers for marine research, education, training, and advisory services
(33 U.S.C. 1121-1124).
19. Geodetic surveys and services; advisory services; dissemination
of technical information (33 U.S.C. 883a).
20. Nautical charts assistance; advisory services; dissemination of
technical information (33 U.S.C. 883a).
21. River and flood forecast and warning services; advisory services
(15 U.S.C. 313).
22. Weather forecast and warning services (15 U.S.C. 311 and 313, 49
U.S.C. 1351 and 1463).
23. Commercial fisheries disaster assistance (16 U.S.C. 779b).
24. Provision for the Weather Service to assist in joint projects
``of mutual interest'' (15 U.S.C. 1525).
National Telecommunications and Information Administration
1. Grants for the planning and construction of public
telecommunications facilities for the production and distribution of
noncommercial educational and cultural radio and television programming
and related instructional and informational materials. (Public
Telecommunications Financing Act of 1978, 47 U.S.C. Sections 390-394).
Office of Minority Business Enterprise
1. Assistance to minority business enterprises: Grants, contracts,
advisory service, technical information (15 U.S.C. 1512; title III of
the Public Works and Economic Development Act of 1965, as amended, 42
U.S.C. 3151; Executive Order 11625, Oct. 13, 1971).
Regional Action Planning Commissions
1. Supplemental grants to Federal grant-in-aid programs and
technical assistance funds for planning, investigations, studies,
training programs, and demonstration projects, including demonstrations
in energy, transportation, health and nutrition, education and
indigenous arts and crafts (title V of the Public Works and Economic
Development Act of 1965, as amended, 42 U.S.C. 3181-3196).
United States Travel Service
1. Assistance to strengthen the domestic and foreign commerce of the
United States, and to promote friendly understanding and appreciation of
the United States by encouraging foreign residents to visit the United
States (22 U.S.C. 2121 et seq.).
1. Authority to make basis scientific research grants (42 U.S.C.
1891-1893; to be superseded no later than Feb. 3, 1979, by the Federal
Grant and Cooperative Agreement Act of 1977, Pub. L. 95-224).
ii. a primary objective of the financial assistance authorized by the
following statutes, already listed above in appendix ai, is to provide
1. Public Works and Economic Development Act of 1965, as amended (42
U.S.C. 3121 et seq.).
2. Trade Act of 1974 (19 U.S.C. 2341-2354).
3. Local Public Works Capital Development and Assistance Act of 1976
(42 U.S.C. 6701-6710)
[43 FR 49303, Oct. 23, 1978, as amended at 44 FR 12642, Mar. 8, 1979]