---
kind: "range"
citation: "45 C.F.R. §§ 1203.6–1203.11"
title: "45"
from: "1203.6"
to: "1203.11"
count: 6
url: "https://uscodex.org/cfr/45/1203.6..1203.11"
---

# §1203.6. Compliance information.

- (a) **Cooperation and assistance.** ACTION, to the fullest extent practicable, shall seek the cooperation of recipients in obtaining compliance with this part and shall provide assistance and guidance to recipients to help them comply voluntarily with this part.
- (b) **Compliance reports.** Each recipient shall keep records and submit to ACTION timely, complete, and accurate compliance reports at the times, and in the form and containing the information ACTION may determine necessary to enable it to ascertain whether the recipient has complied or is complying with this part. In the case in which a primary recipient extends Federal financial assistance to other recipients, the other recipients shall also submit compliance reports to the primary recipient as may be necessary to enable the primary recipient to carry out its obligations under this part. In general, recipients should have available for ACTION racial and ethnic data showing the extent to which members of minority groups are beneficiaries of federally assisted programs.
- (c) **Access to sources of information.** Each recipient shall permit access by ACTION 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. When information required of a recipient is in the exclusive possession of an other agency, institution, or person and this agency, institution, or person fails or refuses to furnish this information, the recipient 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 shall make available to participants, beneficiaries, and other interested persons the information regarding the provisions of this part and its applicability to the program for which the recipient received Federal financial assistance, and make this information available to them in the manner, as ACTION finds necessary, to apprise the persons of the protections against discrimination assured them by title VI and this part.

# §1203.7. Conduct of investigations.

- (a) **Periodic compliance reviews.** ACTION may from time to time review the practices of recipients to determine whether they are complying with this part.
- (b) **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 ACTION a written complaint. A complaint shall be filed not later than 180 days after the date of the alleged discrimination, unless the time for filing is extended by ACTION.
- (c) **Investigations.** ACTION will make a prompt investigation whenever a compliance review, report, complaint, or other information indicates a possible failure to comply with this part. The investigation will include, when appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this part occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this part.
- (d) **Resolution of matters.**
  - (1) If an investigation pursuant to [paragraph (c)](#c) of this section indicates a failure to comply with this part, ACTION will so inform the recipient and the matter will be resolved by voluntary means whenever possible. If it has been determined that the matter cannot be resolved by voluntary means, action will be taken as provided for in [§ 1203.8](/cfr/45/1203.8.md).
  - (2) If an investigation does not warrant action pursuant to [paragraph (d)(1)](#d-1) of this section, ACTION will so inform, in writing, the recipient and the complainant, if any.
- (e) **Intimidatory or retaliatory acts prohibited.** A recipient or other person shall not intimidate, threaten, coerce, or discriminate against an individual for the purpose of interfering with a right or privilege secured by [section 601](/cfr/45/601.md) of title VI of this part, or because he has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. 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 an investigation, hearing, or judicial proceeding arising thereunder.

# §1203.8. Procedure for effecting compliance.

- (a) **General.**
  - (1) 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 other means authorized by law.
  - (2) Other means may include, but are not limited to:
    - (i) A reference to the Department of Justice with a recommendation that appropriate proceedings be brought to enforce the rights of the United States under a law of the United States (including other titles of the Civil Rights Act of 1964) or an assurance or other contractual undertaking, and
    - (ii) **An applicable proceeding under State or local law.**
- (b) **Noncompliance with § 1203.5.** If an applicant fails or refuses to furnish an assurance required under [§ 1203.5](/cfr/45/1203.5.md) 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)](#c) of this section. ACTION shall not be required to provide assistance in that case during the pendency of the administrative proceedings under this paragraph. Subject, however, to [§ 1203.12](/cfr/45/1203.12.md), ACTION shall continue assistance during the pendency of the proceedings where the assistance is due and payable pursuant to an application approved prior to the effective date of this part.
- (c) **Termination of or refusal to grant or to continue Federal financial assistance.** An order suspending, terminating, or refusing to grant or to continue Federal financial assistance shall not become effective until—
  - (1) ACTION has advised the applicant or recipient of his failure to comply and has determined that compliance cannot be secured by informal voluntary means;
  - (2) There has been an express finding on the record, after opportunity for hearing, of a failure by the applicant or recipient to comply with a requirement imposed by or pursuant to this part;
  - (3) The action has been approved by the Director pursuant to [§ 1203.10(e)](/cfr/45/1203.10.md?p=e); and
  - (4) The expiration of 30 days after the Director 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 the action.
- (d) **Other means authorized by law.** An action to effect compliance with title VI by other means authorized by law shall not be taken by ACTION until—
  - (1) ACTION has determined that compliance cannot be secured by voluntary means;
  - (2) The recipient or other person 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 a notice to the recipient or person.** During this period of at least 10 days, additional efforts shall be made to persuade the recipient or other person to comply with the regulation and to take corrective action as may be appropriate.

# §1203.9. Hearings.

- (a) **Opportunity for hearing.** When an opportunity for a hearing is required by [§ 1203.8(c)](/cfr/45/1203.8.md?p=c), reasonable notice shall be given by registered or certified mail, return receipt requested, to the affected applicant or recipient. This notice shall advise the applicant or recipient 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 notice within which the applicant or recipient may request of ACTION that the matter be scheduled for hearing; or
  - (2) Advise the applicant or recipient that the matter in question has been set down for hearing at a stated time and place. The time and place so fixed shall be reasonable and subject to change for cause. The complainant, if any, shall be advised of the time and place of the hearing. An applicant or recipient may waive a hearing and submit written information and argument for the record. The failure of an applicant or recipient to request a hearing under this paragraph or to appear at a hearing for which a date has been set is deemed to be a waiver of the right to a hearing under [section 602](/cfr/45/602.md) of title VI and [§ 1203.8(c)](/cfr/45/1203.8.md?p=c) and consent to the making of a decision on the basis of the information available.
- (b) **Time and place of hearing.** Hearings shall be held at the offices of ACTION in Washington, DC, at a time fixed by ACTION unless it determines that the convenience of the applicant or recipient or of ACTION requires that another place be selected. Hearings shall be held before the Director, or at his discretion, before a hearing examiner appointed in accordance with [section 3105](/usc/5/3105.md) of title 5, United States Code, or detailed under [section 3344](/usc/5/3344.md) of title 5, United States Code.
- (c) **Right to counsel.** In all proceedings under this section, the applicant or recipient and ACTION have the right to be represented by counsel.
- (d) **Procedures, evidence, and record.**
  - (1) The hearing, decision, and an administrative review thereof shall be conducted in conformity with [sections 554 through 557](/usc/5/554..557.md) of title 5, United States Code, and in accordance with the 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)](#a) of this section, taking of testimony, exhibits, arguments, and briefs, requests for findings, and other related matters. Both ACTION and the applicant or recipient are entitled to introduce 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 do 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 determined reasonably necessary by the officer conducting the hearing. The hearing officer may exclude irrelevant, immaterial, or unduly repetitious evidence. 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. Decisions shall be based on 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 Federal statutes, authorities, or other means by which Federal financial assistance is extended and 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, ACTION may, by agreement with the other departments or agencies, when applicable, provide for the conduct of consolidated or joint hearings, and for the application to these hearings of rules or procedures not inconsistent with this part. Final decisions in these cases, insofar as this regulation is concerned, shall be made in accordance with [§ 1203.10](/cfr/45/1203.10.md).

# §1203.10. Decisions and notices.

- (a) **Procedure on decisions by hearing examiner.** If the hearing is held by a hearing examiner, the hearing examiner shall either make an initial decision, if so authorized, or certify the entire record including his recommended findings and proposed decision to the Director for a final decision, and a copy of the initial decision or certification shall be mailed to the applicant or recipient. When the initial decision is made by the hearing examiner, the applicant or recipient may, within 30 days after the mailing of a notice of initial decision, file with the Director his exceptions to the initial decision, with his reasons therefor. In the absence of exceptions, the Director 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. On the filing of the exceptions or of notice of review, the Director 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, subject to [paragraph (e)](#e) of this section, shall constitute the final decision of the Director.
- (b) **Decisions on record or review by the Director.** When a record is certified to the Director for decision or the Director reviews the decision of a hearing examiner pursuant to [paragraph (a)](#a) of this section, or when the Director conducts the hearing, the applicant or recipient shall be given reasonable opportunity to file with it briefs or other written statements of the recipient's contentions, and a written copy of the final decision of the Director will be sent to the applicant or recipient and to the complainant, if any.
- (c) **Decisions on record where a hearing is waived.** When a hearing is waived pursuant to [§ 1203.9](/cfr/45/1203.9.md), a decision shall be made by ACTION on the record and a written copy of the decision shall be sent to the applicant or recipient, and to the complainant, if any.
- (d) **Rulings required.** Each decision of a hearing examiner or the Director shall set forth a 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 ACTION.** A final decision by an official of ACTION other than by 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 title VI, shall promptly be transmitted to the Director, who may approve the decision, vacate it, or remit or mitigate a 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, to which this regulation applies, and may contain the terms, conditions, and other provisions as are consistent with and will effectuate the purposes of title VI and this part, including provisions designed to assure that Federal financial assistance to which this regulation applies will not thereafter be extended to the applicant or recipient determined by the decision to be in default in its performance of an assurance given by it under this part, or to have otherwise failed to comply with this part, unless and until it corrects its noncompliance and satisfies ACTION that it will fully comply with this part.
- (g) **Post-termination proceedings.**
  - (1) An applicant or recipient adversely affected by an order issued under [paragraph (f)](#f) of this section shall be restored to full eligibility to receive Federal financial assistance if it satisfies the terms and conditions of the order for eligibility, or if it brings itself into compliance with this part and provides reasonable assurance that it will fully comply with this part.
  - (2) An applicant or recipient adversely affected by an order entered pursuant to [paragraph (f)](#f) of this section may at any time request ACTION to restore fully its eligibility to receive Federal financial assistance. A request shall be supported by information showing that the applicant or recipient has met the requirements of [paragraph (g)(1)](#g-1) of this section. If ACTION determines that those requirements have been satisfied, it shall restore the eligibility.
  - (3) If ACTION denies a request, the applicant or recipient may submit a request for a hearing in writing, specifying why it believes ACTION is in error. The applicant or recipient shall be given an expeditious hearing, with a decision on the record in accordance with the rules or procedures issued by ACTION. The applicant or recipient shall be restored to eligibility if it proves at the hearing that it satisfied the requirements of [paragraph (g)(1)](#g-1) of this section. While proceedings under this paragraph are pending, the sanctions imposed by the order issued under [paragraph (f)](#f) of this section remain in effect.

# §1203.11. Judicial review.


Action taken pursuant to [section 602](/cfr/45/602.md) of title VI is subject to judicial review as provided in [section 603](/cfr/45/603.md) of title VI.