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tion unless the applicant establishes, to 4. In grant programs to assist in the con. the satisfaction of the responsible
struction of facilities for research or for
the provision of educational services, assurFoundation official, that the institution's
ances will be required that services will be practices in designated parts or pro
provided without discrimination, to the grams of the institution will in no way
same extent that discrimination would be affect its practices in the program of the prohibited as a condition of Federal operatinstitution for which Federal financial ing grants for the support of such services. assistance is sought, or the beneficiaries Thus, as a condition of grants for the conof or participants in such program. If
struction of academic, research, or other
facilities at institutions of higher education, in any such case the assistance sought is
assurances will be required that there will for the construction of a facility or part
be no discrimination in the admission or of a facility, the assurance shall in any
treatment of students. In other construcevent extend to the entire facility and
tion grants the assurances required will simto facilities operated in connection llarly be adapted to the nature of the actherewith.
tivities to be conducted in the facilities for
construction of which the grants have been 611.5 Illustrative applications.
authorized by Congress.
5. Upon transfers of real or personal propThe following examples will illustrate
erty for research or educational uses, disthe application of the foregoing pro
crimination is prohibited to the same extent visions to some of the programs of the
as in the case of grants for the construction Foundation. (In all cases the discrim- of facilities or the provision of equipment ination prohibited is discrimination on
for like purposes. the ground of race, color, or national
8 611.6 Compliance information. origin prohibited by Title VI of the Act and this part, as a condition of the re- (a) Cooperation and assistance. The ceipt of Federal financial assistance.) responsible Foundation official shall, to
the fullest extent practicable, seek the 1. In programs for support to elementary or secondary schools such as for the acquisi
cooperation of recipients in obtaining tion of equipment discrimination by the compliance with this part and shall prorecipient school district in any of its ele- vide assistance and guidance to recipmentary or secondary schools, or by the ients to help them comply voluntarily recipient private institution, in the ad- with this part. mission of students, or in the treatment of
(b) Compliance reports. Each recipits students in any aspect of the educational
ient shall keep such records and submit process, is prohibited. In this and the following illustration the prohibition of dis
to the responsible Foundation official crimination in the treatment of students
timely, complete and accurate comor other trainees includes the prohibition of pliance reports at such times, and in such discrimination among
the students or form and containing such information, trainees in the availability or use of any as the responsible Foundation official academic, dormitory, eating, recreational, or may determine to be necessary to enable other facilities of the grantee or other
him to ascertain whether the recipient recipient.
has complied or is complying with this 2. In a research, training, or other grant to a university for activities to be con
part. In the case of any program under ducted in a graduate school, discrimination
which a primary recipient extends Fedin the admission and treatment of students
eral financial assistance to any other in the graduate school is prohibited, and recipient, such other recipient shall also the prohibition extends to the entire uni- submit such compliance reports to the versity unless it satisfies the responsible primary recipient as may be necessary Foundation official that practices with re
to enable the primary recipient to carry spect to other parts or programs of the
out its obligations under this part. university will not interfere, directly or indirectly, with fulfillment of the assurance
(c) Access to sources of information. required with respect to the graduate school.
Each recipient shall permit access by 3. In a training grant to a hospital or
the responsible Foundation official or his other nonacademic institution, discrimina- designee during normal business hours tion is prohibited in the selection of indi- to such of its books, records, accounts, viduals to be trained and in their treatment and other sources of information, and its by the grantee during their training. In
facilities as may be pertinent to ascer& research or demonstration grant to such an institution, discrimination is prohibited
tain compliance with this part. Where with respect to any educational activity, any
any information required of a recipient provision of medical or other services and
is in the exclusive possession of any other any financial aid to individuals incident to agency, institution or person and this the program.
agency, institution or person shall fall
or refuse to furnish this information, (2) If an investigation does not warthe recipient shall so certify in its re- rant action pursuant to subparagraph port and shall set forth what efforts (1) of this paragraph the responsible it has made to obtain the information. Foundation official will so inform the
(d) Information to beneficiaries and recipient and the complainant, if any, participants. Each recipient shall make in writing. available to participants, beneficiaries, (e) Intimidatory or retaliatory acts and other interested persons such in- prohibited. No recipient or other performation regarding the provisions of son shall intimidate, threaten, coerce, or this part and its applicability to the pro- discriminate against any individual for gram under which the recipient receives the purpose of interfering with any right Federal financial assistance, and make or privilege secured by section 601 of the such information available to them in Act or this part, or because he has made such manner, as the responsible Foun- a complaint, testified, assisted, or pardation official finds necessary to apprise ticipated in any manner in an investigasuch persons of the protections against tion, proceeding, or hearing under this discrimination assured them by the Act part. The identity of complainants shall and this part.
be kept confidential except to the ex8 611.7 Conduct of investigations.
tent necessary to carry out the purposes
of this part, including the conduct of (a) Periodic compliance reviews. The any investigation, hearing, or judicial responsible Foundation official shall from proceeding arising thereunder. time to time review the practices of re
8 611.8 Procedure for effecting complicipients to determine whether they are complying with this part. (b) Complaints. Any person who be
(a) General. If there appears to be lieves himself or any specific class of
a failure or threatened failure to comindividuals to be subjected to discrim- ply with this part, and if the noncomination prohibited by this part may by
pliance or threatened noncompliance himself or by a representative file with cannot be corrected by informal means, the responsible Foundation official a compliance with this part may be efwritten complaint. A complaint must be fected by the suspension or termination filed not later than 90 days from the date
of or refusal to grant or to continue of the alleged discrimination, unless the
Federal financial assistance or by any time for filing is extended by the respon
other means authorized by law. Such sible Foundation official.
other means may include, but are not (c) Investigations. The responsible
limited to, (1) a reference to the DepartFoundation official will make a prompt
ment of Justice with a recommendation investigation whenever a compliance re
that appropriate proceedings be brought view, report, complaint, or any other
to enforce any rights of the United information indicates a possible failure
States under any law of the United States to comply with this part. The investiga
(including other titles of the Act), or tion should include, where appropriate,
any assurance or other contractual una review of the pertinent practices and
dertaking, and (2) any applicable propolicies of the recipient, the circum
ceeding under State or local law. stances under which the possible non
(b) Noncompliance with $ 611.4. 11 compliance with this part occurred, and an applicant fails or refuses to furnish other factors relevant to a determination an assurance required under $ 611.4 or as to whether the recipient has failed
otherwise fails to comply with that secto comply with this part.
tion, Federal financial assistance may (d) Resolution of matters. (1) If an
be refused in accordance with the proceinvestigation pursuant to paragraph (c)
dures of paragraph (c) of this section. of this section indicates a failure to com
The Foundation shall not be required to ply with this regulation, the responsible
provide assistance in such a case during Foundation official will so inform the
the pendency of the administrative pro
ceedings under such subsection, except recipient and the matter will be resolved
that the Foundation shall continue asby informal means whenever possible.
sistance during the pendency of such If it has been determined that the mat
proceedings where such assistance is due ter cannot be resolved by informal
and payable pursuant to an application means, action will be taken as provided therefor approved prior to the effective for in § 611.8.
date of this part.
(c) Termination of or refusal to grant fected applicant or recipient. This noor to continue Federal financial as- tice shall advise the applicant or recipisistance. No order suspending, termi- ent of the action proposed to be taken, nating, or refusing to grant or continue the specific provision under which the Federal financial assistance shall be- proposed action against it is to be taken, come effective until (1) the responsible and the matters of fact or law asserted Foundation official has advised the ap- as the basis for this action, and either plicant or recipient of his failure to (1) fix a date not less than twenty days comply and has determined that com- after the date of such notice within pliance cannot be secured by voluntary which the applicant or recipient may remeans, (2) there has been an express quest of the responsible Foundation offinding on the record, after opportunity ficial that the matter be scheduled for for hearings, of a failure by the appli- hearing or (2) advise the applicant or cant or recipient to comply with a re- recipient that the matter in question has quirement imposed by or pursuant to been set down for hearing at a stated this part, (3) the action has been ap- place and time. The time and place so proved by the Director and the National fixed shall be reasonable and shall be Science Board pursuant to $ 611.10(e) subject to change for cause. The comand (4) the expiration of thirty days plainant, if any, shall be advised of the after the Director has filed with the time and place of the hearing. An apCommittee of the House and the Com- plicant or recipient may waive a hearing mittee of the Senate having legislative and submit written information and jurisdiction over the program involved, argument for the record. The failure a full written report of the circum- of an applicant or recipient to request stances and the grounds for such action. a hearing under this paragraph or to Any action to suspend or terminate or appear at a hearing for which a date to refuse to grant or to continue Fed- has been set shall be deemed to be a eral financial assistance shall be limited waiver of the right to a hearing under to the particular political entity, or part section 602 of the Act and $ 611.8(c) thereof, or other applicant or recipient and consent to the making of a decision as to whom such a finding has been made on the basis of such information as is and shall be limited in its effect to the available. particular program, or part thereof, in (b) Time and place of hearing. which such noncompliance has been so Hearings shall be held at the offices of found.
the Foundation in Washington, D.C., at (d) Other means authorized by law. a time fixed by the responsible FoundaNo action to effect compliance by any tion official unless he determines that the other means authorized by law shall be convenience of the applicant or recipitaken until (1) the responsible Founda- ent or of the Foundation requires that tion official has determined that compli- another place be selected. Hearings ance cannot be secured by voluntary
shall be held before the responsible means, (2) the action has been approved Foundation official or, at the discretion by the Director and the National Science of the Director, a hearing examiner desBoard, (3) the recipient or other person ignated in accordance with section 11 of has been notified of its failure to comply
the Administrative Procedure Act. and of the action to be taken to effect (c) Right to counsel. In all proceedcompliance, and (4) the expiration of at ings under this section, the applicant or least ten days from the mailing of such recipient and the Foundation shall have notice to the recipient or other person. the right to be represented by counsel. During this period of at least ten days (d) Procedures, evidence, and record. additional efforts shall be made to per
(1) The hearing, decision, and any adsuade the recipient or other person to
ministrative review thereof shall be concomply with this part and to take such
ducted in conformity with sections 5-8 corrective action as may be appropriate.
of the Administrative Procedure Act,
and in accordance with such rules of $ 611.9 Hearings.
procedure as are proper (and not incon(a) Opportunity for hearing. When- sistent with this section) relating to the ever an opportunity for a hearing is re- conduct of the hearing, giving of notices quired by $ 611.8(b), reasonable notice subsequent to those provided for in parashall be given by registered or certified graph (a) of this section, taking of testi. mail, return receipt requested, to the af- mony, exhibits, arguments and briefs,
requests for findings, and other related matters. Both the Foundation 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 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 Director 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 procedure not inconsistent with this part. Final decisions in such cases, insofar as this part is concerned, shall be made in accordance with 8 611.10. § 611.10 Decisions and notices.
(a) Decision by a person or persons other than the responsible Foundation official. If the hearing is held by a hearing examiner, such hearing examiner shall either make an initial decision, if so authorized, or certify the entire record including recommended findings and proposed decision to the responsible Foundation official for a final decision, and a copy of such initial decision or certification shall be mailed to the applicant or recipient. Where the initial
decision is made by the hearing examiner, the applicant or recipient may within 30 days of the mailing of such notice of initial decision file with the responsible Foundation official his exceptions to the initial decision, with his reasons therefor. In the absence of exceptions, the responsible Foundation official may on his own motion within 45 days after the initial decision serve on the applicant or recipient a notice that he will review the decision. Upon the filing of such exceptions or of such notice of review the responsible Foundation 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 Foundation official.
(b) Decisions on record or review by the responsible Foundation official. Whenever, after hearing, a record is certified to the responsible Foundation official for decision or he reviews the decision of a hearing examiner pursuant to paragraph (a) of this section, or whenever the responsible Foundation official conducts the hearing, the applicant or recipient 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 foundation official shall be given in writing to the applicant or recipient, and to the complainant, if any.
(c) Decisions on record where a hearing is waived. Whenever a hearing is waived pursuant to § 611.9(a), a decision shall be made by the responsible Foundation 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.
(d) Rulings required. Each decision of a hearing officer, panel, or responsible Foundation official shall set forth the 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.
(e) Approval by Director and National Science Board. Any final decision of a responsible Foundation official (other than the Director) 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 trans- ing future amendments thereof): (1) mitted to the Director who may approve Executive Orders 10925 and 11114, and such decision, may vacate it, or remit or regulations issued thereunder, or (2) mitigate any sanction imposed. In the Executive Order 11063 and regulations event that the imposition of a sanction issued thereunder or any other reglais considered appropriate by the Director, tions or instructions insofar as such such decision will be forwarded to the order, regulations or instructions proNational Science Board for approval be- hibit discrimination on the grounds of fore any sanction is imposed.
race, color, or natural origin in any pro(f) Content of orders. The final de- gram or situation to which this part is cision may provide for suspension or ter- inapplicable, or prohibit discrimination mination of, or refusal to grant or con- on any other ground. tinue Federal financial assistance, in
(b) Forms and instructions. Each whole or in part, under the program in- responsible Foundation official shall issue volved, and may contain such terms, and promptly make available to interconditions, and other provisions as are ested persons forms and detailed instrucconsistent with and will effectuate the tions and procedures for effectuating purposes of the Act and this part, includ- this part as applied to programs to which ing provisions designed to assure that no this part applies and for which he is Federal financial assistance will there- responsible. after be extended under such program to (C) Supervision and coordination. the applicant or recipient determined by The Director may from time to time assuch decision to be in default in its sign to officials of other departments or performance of an assurance given by agencies of the Government, with the it pursuant to this part, or to have other- consent of such departments or agencies, wise failed to comply with this part, responsibilities in connection with the unless and until it corrects its noncom
effectuation of the purposes of Title VI pliance and satisfies the responsible of the Act and this part (other than reFoundation official that it will fully com- sponsibility for final decision as provided ply with this part.
in $ 611.10), including the achievement
of effective coordination and maximum 8 611.11 Judicial review.
uniformity within the Foundation and Action taken pursuant to section 602 of within the Executive Branch of the Govthe Act is subject to judicial review as ernment in the application of Title VI provided in section 603 of the Act.
and this regulation to similar programs
and in similar situations. & 611.12 Effect on other regulations; forms and instructions.
8 611.13 Definitions. (a) Effect on other regulations. All As used in this part: regulations, orders, or like directions (a) The term "Foundation" means the heretofore issued by any officer of the National Science Foundation, and inFoundation which impose requirements cludes each of its organizational units. designed to prohibit any discrimination (b) The term "Director" means the against individuals on the ground of Director of the National Science Founrace, color, or national origin under any dation. program to which this part applies, and (c) The term “responsible Foundation which authorize the suspension or ter- official" with respect to any program remination of or refusal to grant or to con- ceiving Federal financial assistance tinue Federal financial assistance to any means the Director or other official of applicant for or recipient of such assist- the Foundation designated by the ance under such program for failure to Director. comply with such requirements, are (d) The term "United States" means hereby superseded to the extent that the States of the United States, the Dissuch discrimination is prohibited by this trict of Columbia, Puerto Rico, the part, except that nothing in this part Virgin Islands, American Samoa, Guam, shall be deemed to relieve any person of Wake Island, the Canal Zone, and the any obligation assumed or imposed under territories and possessions of the United any such superseded regulation, order, States, and the term “State" means any Instruction, or like direction prior to the one of the foregoing. effective date of this part. Nothing in (e) The term “Federal financial asthis part, however, shall be deemed to sistance" Includes (1) grants and loans supersede any of the following (includ- of Federal funds, (2) the grant or the