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(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 §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 $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 the Act.
Subport B–General Complicance
$8.7 Cooperation, compliance reports and reviews and access to records.
(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 part.
(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 a Scertain 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 this part.
(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.
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.
(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 $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.
$8.11 Procedures for effecting compli3\ITCC,
(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 reconmendation 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 $8.5. If a recipient Or Other party Subject to this part fails or refuses to furnish an assurance required under $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 $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.
(a) Opportunity for hearing. Whenever an opportunity for a hearing is required by $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 of ficial 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 $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, immate
rial, 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 $8.13.
$8.13 Decisions and notices.
(a) Decision by persom 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 official. (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 $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 comply. (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