RD 400-4 Assurance Agreement

Position 3
USDA
Form RD 400-4
(Rev. 11-17)

ASSURANCE AGREEMENT

(Under Title VI, Civil Rights Act of 1964)

FORM APPROVED
OMB No. 0575-0018
OMB No. 0570-0062
Exp. Date: MM/DD/YY

The
(name of recipient)

(address)
As a condition of receipt of Federal financial assistance, you acknowledge and agree that you must comply (and require any
subgrantees, subrecipients, contractors, successors, transferees, and assignees to comply) with applicable provisions of national
laws and policies prohibiting discrimination, including but not limited to:
1. Title VI of the Civil Rights Act of 1964, as amended, which prohibits you from discriminating on the basis of race,
color, or national origin (42 U.S.C. 2000d et seq.), and 7 CFR Part 15, 7 CFR 1901, Subpart E.
As clarified by Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and
resulting agency (Rural Housing Service, Rural Business and Cooperative Service, and Rural Utilities Service) guidance,
national origin discrimination includes discrimination on the basis of limited English proficiency (LEP). To ensure
compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your
programs [in accordance with USDA RD LEP Guidance for RD Funded (Assisted) Programs]. Meaningful access may
entail providing language assistance services, including oral and written translation, where necessary. You are encouraged
to consider the need for language services for LEP persons served or encountered both in developing your budgets and in
conducting your programs and activities. For assistance and information regarding your LEP obligations, go to
http://www.lep.gov;
2. Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating on the basis of
sex in education programs or activities (20 U.S.C. 1681 et seq.)[as implemented by 7 CFR Part 15, 7 CFR 1901,
Subpart E];
3. The Age Discrimination Act of 1975, as amended, which prohibits you from discriminating on the basis of age
(42 U.S.C. 6101 et seq.) [as implemented by 7 CFR Part 15, 7 CFR 1901, Subpart E];
4. Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits you from discriminating on the basis of
disability (29 U.S.C. 794) [as implemented by 7 CFR Part 15, 7 CFR Part 15b, 7 CFR 1901, Subpart E];
5. Title VIII of the Civil Rights Act, which prohibits you from discriminating in the sale, rental, financing, and advertising
of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion,
disability, familial status, and sex (42 U.S.C. 3601 et seq.), as implemented by the Department of Housing and Urban
Development at 24 CFR part 100. The prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units, i.e., the public and common use areas and individual apartment
units (all units in buildings with elevators and ground-floor units in buildings without elevators) be designed and
constructed with certain accessible features, see 24 CFR Part 100.201; and
6. Titles II and III of the Americans with Disabilities Act, which prohibit you from discriminating on the basis of
disability in the operation of public entities, public and private transportation systems, places of public accommodation,
and certain testing entities (42 U.S.C. §§ 12131-12189), as implemented by Department of Justice regulations at
28 C.F.R. parts 35 and 36, and 7 CFR Part 15, 7 CFR Part 15b, 7 CFR 1901, Subpart E.
A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject
to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for this information
collection is 0575-0018 and 0570-0062. Public reporting for this collection of information is estimated to be approximately 15 minutes per response, including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All responses to this collection of information
are voluntary. However, in order to obtain or retain a benefit, the information in this form is required by 7 CFR 1901 E, Civil Rights Compliance Requirements, and the RMAP authorized under
Section 6022 of the Food, Conservation, and Energy Act of 2008 (2008 Farm Bill). Rural Development has no plans to publish information collected under the provisions of this program.
Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: Information Collection Clearance Officer,
Rural Development Innovation Center, Regulations Management Division at [email protected]

You also acknowledge and agree that you must comply (and require any subgrantees, subrecipients, contractors, successors,
transferees, and assignees to comply) with applicable provisions governing USDA Rural Development (Rural Housing Service,
Rural Business and Cooperative Service, and Rural Utilities Service) access to records, accounts, documents, information,
facilities, and staff :
1.

You must cooperate with any compliance review or complaint investigation conducted by USDA Rural Development
(Rural Housing Service, Rural Business and Cooperative Service, and Rural Utilities Service).

2.

You must give USDA Rural Development (Rural Housing Service, Rural Business and Cooperative Service, and Rural
Utilities Service) access to and the right to examine and copy records, accounts, and other documents and sources of
information related to the grant and permit access to facilities, personnel, and other individuals and information as may
be necessary, as required by Title VI, Title IX, Age, and Section 504 implementing regulations and other applicable
laws or program guidance.

3.

You must keep such records and submit to the responsible Department official or designee timely, complete, and
accurate compliance reports at such times, and in such form and containing such information, as the responsible
Department official or his designee may determine to be necessary to ascertain whether you have complied or are
complying with relevant obligations.

4.

You must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed
in program guidance.

5.

Make available to users, participants, beneficiaries and other interested persons such information regarding the
provisions of this agreement and the regulations, and in such manner as the Rural Development or the U.S. Department
of Agriculture finds necessary to inform such persons of the protection assured them against discrimination.

6.

If, during the past three years, you (the recipient) have been accused of discrimination on the grounds of race, color,
national origin (including limited English proficiency), sex, age, disability, religion, or familial status, you must provide
a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements.

7.

In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national
origin (including limited English proficiency), sex, age, disability, religion, or familial status against you, or you settle
a case or matter alleging such discrimination, you must forward a copy of the complaint and findings to USDA Rural
Development (Rural Housing Service, Rural Business and Cooperative Service, and Rural Utilities Service), Office of
Civil Rights.

The United States has the right to seek judicial enforcement of these obligations.
You also acknowledge and agree that you must comply (and require any subgrantees, subrecipients, contractors, successors, transferees, and assignees to comply) with applicable provisions of program-specific nondiscrimination policy requirements found at
CFR Part 15, 7 CFR Part 15 b, 12 CFR Part 202, 7 CFR 1901, Subpart E., DR4300-003, DR4330-0300, DR4330-005.
Period of Obligation
In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved with
federal assistance extended to the Recipient by Rural Development (Rural Housing Service, Rural Business and Cooperative Service, and Rural Utilities Service), this assurance obligates the Recipient for the period during which federal assistance is extended.
In the case of any transfer of such service, financial aid, equipment, property, or structure, this assurance obligates the transferee
for the period during which federal assistance is extended. If any personal property is so provided, this assurance obligates the
Recipient for the period during which it retains ownership or possession of the property. In all other cases, this assurance obligates
the Recipient for the period during which the federal assistance is extended to the Recipient by Rural Development (Rural Housing
Service, Rural Business and Cooperative Service, and Rural Utilities Service).
Employment Practices
Where a primary objective of the federal assistance is to provide employment or where the Recipient’s employment practices affect
the delivery of services in programs or activities resulting from federal assistance extended by Rural Development (Rural Housing Service, Rural Business and Cooperative Service, and Rural Utilities Service), the Recipient agrees not to discriminate on the
grounds of race, color, national origin, sex, age, or disability, in its employment practices. Such employment practices may include,
but are not limited to, recruitment, advertising, hiring, layoff or termination, promotion, demotion, transfer, rates of pay, training
and participation in upward mobility programs; or other forms of compensation and use of facilities.

Data Collection
The Recipient agrees to compile and maintain information pertaining to programs or activities developed as a result of the
Recipient’s receipt of federal assistance from Rural Development (Rural Housing Service, Rural Business and Cooperative Service,
and Rural Utilities Service). Such information shall include, but is not limited to the following: (1) the manner in which services
are or will be provided and related data necessary for determining whether any persons are or will be denied such services on the
basis of prohibited discrimination; (2) the population eligible to be served by race, color, national origin, sex, age, and disability;
(3) data regarding covered employment including use or planned use of bilingual public contact employees serving beneficiaries
of the program where necessary to permit effective participation by beneficiaries unable to speak or understand English; (4) 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 access to any person on the basis of prohibited discrimination; (5) the
present or proposed membership by race, color, national origin, sex, age and disability in any planning or advisory body which is an
integral part of the program; and (6) any additional written data determined by Rural Development (Rural Housing Service, Rural
Business and Cooperative Service, and Rural Utilities Service) to be relevant to the obligation to assure compliance by recipients
with laws cited in this assurance agreement.
Under penalty of perjury, the undersigned officials certify that they have read and understand their obligations as herein described,
that the information submitted in conjunction with this Document is accurate and complete, and that the recipient is in compliance
with the nondiscrimination requirements set out above.
Rights and remedies provided for under this agreement shall be cumulative.
In witness whereof,

on this
(name of recipient)
date has caused this agreement to be executed by its duly authorized officers and its seal affixed hereto, or, if a natural person, has
hereunto executed this agreement.

(S E A L)

Recipient
Date

Attest:
Title

Title