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ployee to the extent that employment 8 1010.10-3 Discrimination prohibitedpractices are covered in § 1010.10.3; or Employment practices. (7) Deny any person the opportunity

(a) Where a primary objective of the to participate as a member of a plan

Federal financial assistance is to proning or advisory body which is an inte

vide employment, a grantee may not gral part of the program.

(directly or through contractual or (b) A grantee, in determining the

other arrangements) subject an inditype of services, financial aid, or other vidual to discrimination on the ground benefits or facilities which will be pro

of race, color, or national origin in its vided under any program, or the class employment practices under such proof individuals to whom, or the situa- gram (including recruitment or retions in which such services, financial cruitment advertising, employment, aid, other benefits, or facilities will be layoff or termination, upgrading, deprovided under or on such program, or motion or transfer, rates of pay or the class of individuals to be afforded other forms of compensation, and use an opportunity to participate in any of facilities). This prohibition applies such program may not, directly or where a primary objective of the Fedthrough contractual or other arrange- eral financial assistance is: ments, utilize criteria or methods of (1) To reduce unemployment or to administration which have the effect help individuals through employment of subjecting individuals to discrimina- to meet subsistence needs; tion because of their race, color, sex, (2) To assist individuals through emor national origin, or have the effect

ployment to meet expenses incident to of substantially impairing accomplish- the commencement or continuation of ment of the objectives of the program their education or training; with respect to individuals of a partic

(3) To provide work experience ular race, color, sex, or national origin.

which contributes to the education or (c) In determining the site or loca- training of individuals; or tion of facilities, an applicant or recipi- (4) To provide remunerative activity ent may not make selections with the to individuals who because of severe purpose or effect of excluding individ

handicaps cannot be readily absorbed uals from, denying them the benefits

in the competitive labor market. of, or subjecting them to discrimina

(b) Where a primary objective of the tion under any program to which this Federal financial assistance is not to part applies, on the ground of race, provide employment, but discriminacolor, sex, or national origin or with tion on the ground of race, color, or the purpose or effect of substantially national origin in the employment impairing the accomplishment of the practices of the recipient or other perobjectives of this part.

sons subject to this part tends, on the (d) The enumeration of specific ground of race, color, or national forms of prohibited discrimination in origin, to exclude individuals from parthis subpart does not limit the gener- ticipation in, to deny them the beneality of this subpart's probibition. fits of, or to subject them to discrimi

(e) In administratering a program in nation under any program to which which the grantee has previously dis- this part applies, the provisions of criminated against persons

on the paragraph (a) of this section shall ground of race, color, sex, or national apply to the employment practices of origin, the grantee must take affirma- the recipient or other persons subject tive action to overcome the effects of to the regulations, to the extent necesprior discrimination. Even in the ab- sary to assure equality of opportunity sence of such prior discrimination, a to, and nondiscriminatory treatment grantee, in administrating a program of, beneficiaries. may take affirmative action to over- (c) Where a program receives financome the effects or conditions which cial assistance under the Economic result in limiting participation by per- Opportunity Act of 1964, as amended, sons of a particular race, color, sex, or a grantee may not (directly or through

contractual or other arrangements):

national origin.

(1) Subject an individual to discrimi- a subsequent transfer, the transferee, nation on the basis of sex in its em for the period during which the propployment practices in connection with erty is used for a purpose involving the program; and

the provision of similar services and (2) In connection with any positions benefits, or for as long as the grantee funded in whole or in part with funds retains ownership or possession of the made available under the Act, subject property, whichever is longer. The Asan individual to discrimination on the sociate Director for Human Rights or basis of race, creed, color, national his/her designee shall specify the origin, sex, political affiliation or be- form of the foregoing assurances for liefs.

each program, and the extent to (d) The requirements applicable to which like assurances will be required construction employment under any of subgrantees, contractors, and subsuch program shall be those specified contractors, transferees, successors in in or pursuant to Part III of Executive

interest, and other participants in the Order 11246 or any Executive Order program. Any such assurance shall inwhich supersedes it.

clude provisions which give the United (e) Enforcement of Title VI, section

States a right to seek its judicial en624 of the Economic Opportunity Act forcement. of 1964, as amended, and this part (c) Real property. In the case of real with respect to covered employment

property, structures or improvements practices shall not be superseded by thereon, or interest therein, which state and local merit systems relating were acquired with Federal financial to the same grantee.

assistance, or in the case where Feder

al financial assistance is provided in Subpart C-Responsibilities of the form of a transfer of real property Grantee

or interest therein from the Federal

government, the instrument effecting 8 1010.20-1 Assurances.

or recording the transfer shall contain (a) Economic Opportunity Assur

a covenant running with the land asance. Every application for financial


nondiscrimination for the assistance for a program under the

period during which the real property Economic Opportunity Act of 1964, as

is used for a purpose for which the amended, as well as every grant, con

Federal financial assistance is extract, or agreement with respect to

tended or for another purpose involvsuch program shall specifically pro

ing the provision of similar services or vide:

benefits, or for as long as the grantee (1) That no person with responsibil- retains ownership or possession of the ities in the operation of such programs

property, whichever is longer. Where will discriminate with respect to any no transfer of property is involved, but such program on the basis of race, property is acquired or improved with creed, color, national origin, sex, polit- Federal financial assistance, the grantical affiliation or beliefs; and

ee shall agree to include a covenant as(2) That compliance with such provi- suring nondiscrimination in any subsesion shall be determined by this part. quent transfer of such property.

(b) General. Every application for Where the property is obtained from Federal financial assistance to a pro- the Federal government, such covgram to which this subpart applies enant may also include a condition shall, as a condition to the extension coupled with a right to be reserved by of any Federal assistance, contain or CSA to have title to the property be accompanied by an assurance that revert to the Federal government in the program will be conducted in com- the event of the breach of the covpliance with all requirements imposed enant where at the discretion of the by this part. In the case where Federal Associate Director for Human Rights financial assistance is to provide or is or his/her designee such a condition in the form of personal property, or and right of reverter are appropriate real property or interest therein or to the program under which the real structures thereon, the assurance shall property is obtained and to the nature obligate the grantee, or, in the case of of the grant and the grantee. In such


event if a transferee of real property extend to admission practices and to proposes to mortgage or otherwise en- all other practices relating to the cumber the real property as security treatment of students. The assurance for financing construction of new, or required with respect to an institution improvement of existing facilities on of higher education, hospital, or any such property for the purposes for other institution, insofar as the assurwhich the property was transferred, ance relates to the institution's practhe Associate Director for Human tices with respect to admission or Rights or his/her designee may agree, other treatment of individuals as stuupon written request of the transferee dents, patients, or clients of the instito accomplish such financing, and tution or to the opportunity to particiupon such conditions as he/she deems pate in the provision of services or appropriate, to forebear the exercise other benefits to such individuals, of such right to have title revert to shall be applicable to the entire instiCSA for so long as the lien of such tution unless the institution estabmortgage or other encumbrance re- lishes, to the satisfaction of the Assomains effective.

ciate Director for Human Rights or (d)

Elementary and Secondary his/her designee that the institution's Schools. In the case of any program practices in designated parts or profor the benefit of elementary or sec- grams of the institution in no way ondary school students which, as affect the beneficiaries of or particinecessary part of such program, uti- pants in the programs for which Fedlizes to a substantial extent the facili- eral financial assistance is sought. If in ties of an elementary or secondary any such case, the assistance sought is school or school system, the require- for the construction of a facility or ments of 8 1010.20-1 shall be deemed part of a facility, the assurance shall to be satisfied if such school or school in any event extend to the entire fasystem:

cility and to facilities operated in con(1) Is subject to a final order of a nection therewith. court of the United States for the desegregation of such school or school 8 1010.20-2 Required grantee civil rights system, and provides an assurance program. that it will comply with such order, in

(a) To be eligible for funding, each cluding any future modification of

CSA grantee shall have an affirmative such order; or

action plan approved by the Associate (2) Submits a plan for the desegra- Director for Human Rights or his/her tion of such school or school system

designee which shall include the folwhich the Department of Health, Edu- lowing: cation and Welfare determines is ade

(1) A written Equal Opportunity quate to accomplish the purposes of

Policy; Title VI and this part within the earliest practicable time, and provides as

(2) An Equal Opportunity Commit

tee; surances that it will carry out such plan. In any case in which a final

(3) An Equal Opportunity Officer; order of a court of the United States

(4) A written discrimination comfor the desegregation of such school or

plaint procedure at a minimum incorschool system is entered after submis

porating the procedures in Subpart D, sion of such a plan, such plan shall be

1010.30-3. revised to conform with such final

(5) A data-collection, record-keeping order, including any future modifica

and reporting system to provide the tion of such order.

information required by this part. The provisions of this paragraph do

(6) A comprehensive self-analysis, not apply to programs for pre-school which shall include a comparison of

the provision of benefits on the basis (e) Institutions of Higher Education.

of race, sex, and national origin as to In the case of any application for Fed- the eligible racial, sexual, and national eral financial assistance to an institu

origin population. tion of higher education, the assur- This analysis shall also include a comance required by this paragraph shall parison of the grantee's employment


by race, sex and national origin to the racial, sexual, and national origin characteristics of the relevant workforce. Where significant disparities are found, the recipient shall determine the reasons and, if appropriate, set forth corrective actions.

(b) The recipient of CSA financial assistance is required to implement its CSA-approved affirmative action plan and to ensure compliance with this part. At a minimum, the following requirements must be met:

(1) Each grantee board shall formally adopt an Equal Opportunity Policy and establish an Equal Opportunity Committee which shall reflect the composition of the board in regard to representation of the public, private and low-income sectors.

(2) The Equal Opportunity Committee shall review the determinations of the Equal Opportunity Officer (EOO) regarding complaints of discrimination and shall oversee the enforcement of the grantee's civil rights program.

(3) Grantees shall have at least one EOO, who shall report directly to the Board of Directors on EO matters, with responsibility for the civil rights program required by this part and such additional personnel as are necessary to carry out the requirements of this part. The EOO shall not be the Executive Director, Deputy Director or Personnel Officer. The Regional Human Rights Chief will make the determination whether the EOO will be full-time or part-time.

(4) The EOO shall undergo training as prescribed by CSA. All expenses incurred by such training shall be borne by the grantee.

(5) The EO0 shall be granted the authority to carry out the following activities:

(i) Receive and attempt to resolve complaints of discrimination;

(ii) Provide aggrieved persons with information and advice on equal opportunity procedures including local, state, and Federal redress procedures, and notification of the filing deadlines for Equal Employment Opportunity Commission complaints, where applicable;

(iii) Take other steps which may assist in the resolution of a problem,

prior to the filing of a formal complaint;

(iv) Assist, if requested by a complainant, in preparing a formal complaint to CSA of alleged discrimination based on race, color, creed, sex, national origin, age, handicap, political affiliation or beliefs; and

(v) Provide staff leadership in developing, implementing, and evaluating the grantee's Affirmative Action Plan (AAP).

(6) Grantees shall display, in conspicuous places, posters which summa. rize the rights of the employees, program participants and beneficiaries under Title VI, section 624 of the Economic Opportunity Act of 1964, as amended, and this part. Such posters shall describe the functions of the EOO and the procedures for filing complaints of discrimination, including the right to complain directly to CSA.

(7) In addition to the posters, each grantee shall make available information regarding the provisions of this part and its applicability to the program under which the grantee receives Federal financial assistance and make such information available in such manner as the Associate Director for Human Rights or his/her designee finds necessary to apprise such persons of the protections against discrimination assured them by Title VI, the Economic Opportunity Act, and this part.

(8) Grantee shall make its posters and other material available in a language other than English where a sig. nificant number or proportion of the population eligible to be served or likely to be directly affected a by Federally assisted program need services in another language. The Associate Di. rector for Human Rights or his/her designee will determine when publication in a language other than English is necessary. 8 1010.20-3 Data and information require.

ments. (a) Each grantee shall collect, maintain, and, upon request of CSA, submit the information set forth in this section. All of the information set forth shall be collected unless the Associate

Director for Human Rights or his/her designee grants a written exemption to any information requirement for good cause shown by the grantee.

(b) To the extent that CSA has supplied or prescribed forms for the following information such forms shall be utilized by the grantee.

(c) Grantees shall collect and maintain the following information:

(1) The manner in which services are or will be provided by the program in question, and related data necessary for determining whether any persons are or will be denied such services on the basis of race, color, sex or national origin.

(2) The population eligible to be served by race, color, sex or national origin.

(3) The location of existing or proposed facilities connected with the program and related information adequate for determining whether the location has or will have the effect of unnecessarily denying services to any persons on the basis of race, color, sex or national origin.

(4) The present or proposed membership by race, color, sex and national origin in any policy making or advisory body which is an integral part of the program.

(5) Where relocation is involved, the requirements and steps used or proposed to guard against unnecessary adverse impact on persons on the basis of race, color, sex or national origin.

(6) Data regarding covered employment, including use or planned use of bilingual public contact employees serving the beneficiaries of the program where necessary to permit effective participation by beneficiaries unable to speak or understand Eng. lish.

(7) A brief description of any of its pending applications to other Federal agencies for assistance and of assistance being provided at the time of the application or requested report.

(8) A statement describing any civil rights compliance reviews regarding the applicant or grantee conducted during the two-year period before the applicant or report, and the results of

(d) In addition to the data and information required in 1010.20-3(c)(1)(8), each applicant or grantee shall:

(1) Promptly notify CSA of any lawsuits filed against the applicant or grantee alleging discrimination on the basis of race, color, sex or national origin,

(2) Maintain a log of complaints under Title VI and this part identifying each complainant by race, color, sex or national origin, the nature of the complaint, the date the complaint was filed, the date the grantee's investigation was completed and the disposition and the date of disposition; and

(3) Where CSA determines that it is necessary and appropriate for the enforcement of Title VI or this part, additional data such as demographic maps, the racial or sexual composition of affected neighborhoods, or census data will be required, however, only to the extent that the information is readily available or the requirement can be complied with by reasonable effort.

(e) Access to Sources of Information. Each gr tee shall permit access by the responsible CSA official or his/her designee during normal business hours to 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 grantee is in the exclusive possession of any other agency, institution or person and that agency, institution or person fails or refuses to furnish this information, the grantee shall set forth in writing the efforts it has made to obtain the information and provide this information to the CSA official requesting such information.

Subpart D-Conduct of Investigations

and Reviews

8 1010.30-1 Pre-award compliance reviews.

(a) Prior to approval of financial assistance, all applications for financial assistance shall be reviewed by the Associate Director for Human rights or his/her designee, who will make a written determination as to whether the applicant is in compliance with Title VI, section 624 of the Economic

those reviews.

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