6 CFR Part 21

§ 17.600

6 CFR Ch. I (1–1–14 Edition)

sex with regard to such action is essential to successful operation of the employment function concerned. A recipient shall not take action pursuant to
this section that is based upon alleged
comparative employment characteristics or stereotyped characterizations of
one or the other sex, or upon preference based on sex of the recipient,
employees, students, or other persons,
but nothing contained in this section
shall prevent a recipient from considering an employee’s sex in relation to
employment in a locker room or toilet
facility used only by members of one
sex.

regulations (other than responsibility
for review as provided in § 17.625(e)), including the achievements of effective
coordination and maximum uniformity
within the Department and within the
Executive Branch of the Government
in the application of Title IX and these
Title IX regulations to similar programs and in similar situations. Any
action taken, determination made, or
requirement imposed by an official of
another department or agency acting
pursuant to an assignment of responsibility under this section shall have the
same effect as though such action had
been taken by the designated official of
this Department.

Subpart F—Procedures
§ 17.600 Notice of covered programs.
Within 60 days of March 6, 2003, each
component of the Department that
awards Federal financial assistance
shall publish in the FEDERAL REGISTER
a notice of the programs covered by
these Title IX regulations. Each such
component shall periodically republish
the notice of covered programs to reflect changes in covered programs.
Copies of this notice also shall be made
available upon request to the Department’s office that enforces Title IX.
§ 17.605 Enforcement procedures.
The investigative, compliance, and
enforcement procedural provisions of
Title VI of the Civil Rights Act of 1964
(42 U.S.C. 2000d) (‘‘Title VI’’) are hereby
adopted and applied to these Title IX
regulations. These procedures may be
found at 6 CFR part 21.
§ 17.635 Forms and instructions; coordination.
(a) Forms and instructions. The designated agency official shall issue and
promptly make available to interested
persons forms and detailed instructions
and procedures for effectuating these
Title IX regulations.
(b) Supervision and coordination. The
designated agency official may from
time to time assign to officials of the
Department, or to officials of other departments or agencies of the Government with the consent of such departments or agencies, responsibilities in
connection with the effectuation of the
purposes of Title IX and these Title IX

PART
21—NONDISCRIMINATION
ON THE BASIS OF RACE, COLOR,
OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT
OF HOMELAND SECURITY
Sec.
21.1 Purpose.
21.3 Application.
21.4 Definitions.
21.5 Discrimination prohibited.
21.7 Assurances required.
21.9 Compliance information.
21.11 Conduct of investigations.
21.13 Procedure for effecting compliance.
21.15 Hearings.
21.17 Decisions and notices.
21.19 Judicial review.
21.21 Effect on other regulations, forms, and
instructions.
APPENDIX A TO PART 21—ACTIVITIES TO WHICH
THIS PART APPLIES
APPENDIX B TO PART 21—ACTIVITIES TO WHICH
THIS PART APPLIES WHEN A PRIMARY OBJECTIVE OF THE FEDERAL FINANCIAL ASSISTANCE IS TO PROVIDE EMPLOYMENT
AUTHORITY: 5 U.S.C. 310, 42 U.S.C. 2000d–
2000d–7.
SOURCE: 68 FR 10904, Mar. 6, 2003, unless
otherwise noted.

§ 21.1

Purpose.

The purpose of this part is to effectuate the provisions of title VI of the
Civil Rights Act of 1964 (the Act) to the
end that no person in the United States
shall, on the grounds of race, color, or
national origin, be excluded from participation in, be denied the benefits of,

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Office of the Secretary, Homeland Security
or be otherwise subjected to discrimination under any program or activity
receiving Federal financial assistance
from the Department of Homeland Security. The provisions established by
this part shall be effective for all components of the Department, including
all Department components that are
transferred to the Department, except
to the extent that a Department component already has existing title VI
regulations.
§ 21.3 Application.
(a) This part applies to any program
for which Federal financial assistance
is authorized under a law administered
by the Department, including the types
of Federal financial assistance listed in
appendix A to this part. It also applies
to money paid, property transferred, or
other Federal financial assistance extended after the effective date of this
part pursuant to an application approved before that effective date. This
part does not apply to:
(1) Any Federal financial assistance
by way of insurance or guaranty contracts;
(2) Money paid, property transferred,
or other assistance extended before the
effective date of this part, except
where such assistance was subject to
the title VI regulations of any agency
whose responsibilities are now exercised by this Department;
(3) Any assistance to any individual
who is the ultimate beneficiary; or
(4) Any employment practice, under
any such program, of any employer,
employment agency, or labor organization, except to the extent described in
§ 21.5(c). The fact that a type of Federal
financial assistance is not listed in appendix A to this part shall not mean, if
title VI of the Act is otherwise applicable, that a program is not covered.
Other types of Federal financial assistance under statutes now in force or
hereinafter enacted may be added to
appendix A to this part.
(b) In any program receiving Federal
financial assistance in the form, or for
the acquisition, of real property or an
interest in real property, to the extent
that rights to space on, over, or under
any such property are included as part
of the program receiving that assistance, the nondiscrimination require-

§ 21.4

ment of this part shall extend to any
facility located wholly or in part in
that space.
§ 21.4 Definitions.
Unless the context requires otherwise, as used in this part:
(a) Applicant means a person who submits an application, request, or plan
required to be approved by the Secretary, or designee thereof, or by a primary recipient, as a condition to eligibility for Federal financial assistance,
and application means such an application, request, or plan.
(b) Facility includes all or any part of
structures, equipment, or other real or
personal property or interests therein,
and the provision of facilities includes
the construction, expansion, renovation, remodeling, alteration or acquisition of facilities.
(c) Federal financial assistance includes:
(1) Grants and loans of Federal funds;
(2) The grant or donation of Federal
property and interests in property;
(3) The detail of Federal personnel;
(4) The sale and lease of, and the permission to use (on other than a casual
or transient basis), Federal property or
any interest in such property without
consideration or at a nominal consideration, or at a consideration which is reduced for the purpose of assisting the
recipient, or in recognition of the public interest to be served by such sale or
lease to the recipient; and
(5) Any Federal agreement, arrangement, or other contract which has as
one of its purposes the provision of assistance.
(d) Primary recipient means any recipient that is authorized or required
to extend Federal financial assistance
to another recipient.
(e) Program or activity and program
mean all of the operations of any entity described in paragraphs (e)(1)
through (4) of this section, any part of
which is extended Federal financial assistance:
(1)(i) A department, agency, special
purpose district, or other instrumentality of a State or of a local government; or
(ii) The entity of such State or local
government that distributes such assistance and each such department or

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§ 21.5

6 CFR Ch. I (1–1–14 Edition)

agency (and each other State or local
government entity) to which the assistance is extended, in the case of assistance to a State or local government;
(2)(i) A college, university, or other
postsecondary institution, or a public
system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 8801), system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private organization, or
an entire sole proprietorship—
(A) If assistance is extended to such
corporation, partnership, private organization, or sole proprietorship as a
whole; or
(B) Which is principally engaged in
the business of providing education,
health care, housing, social services, or
parks and recreation; or
(ii) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any
other corporation, partnership, private
organization or sole proprietorship; or
(4) Any other entity which is established by two or more of the entities
described in paragraph (e)(1), (2), or (3)
of this section.
(f) Recipient may mean any State,
territory, possession, the District of
Columbia, or the Commonwealth of
Puerto Rico, or any political subdivision thereof, or instrumentality thereof, any public or private agency, institution, or organization, or other entity, or any individual, in any State, territory, possession, the District of Columbia, or the Commonwealth of Puerto Rico, to whom Federal financial assistance is extended, directly or
through another recipient, including
any successor, assignee, or transferee
thereof, but such term does not include
any ultimate beneficiary.
(g) Secretary means the Secretary of
the Department of Homeland Security
or, except in § 21.17(e), any delegatee of
the Secretary.
§ 21.5 Discrimination prohibited.
(a) General. No person in the United
States shall, on the grounds of race,
color, or national origin be excluded
from participation in, be denied the

benefits of, or be otherwise subjected
to discrimination under, any program
to which this part applies.
(b) Specific discriminatory actions prohibited. (1) A recipient to which this
part applies may not, directly or
through contractual or other arrangements, on the grounds of race, color, or
national origin:
(i) Deny a person any service, financial aid, or other benefit provided
under the program;
(ii) Provide any service, financial aid,
or other benefit to a person which is
different, or is provided in a different
manner, from that provided to others
under the program;
(iii) Subject a person to segregation
or separate treatment in any matter
related to his receipt of any service, financial aid, or other benefit under the
program;
(iv) Restrict a person in any way in
the enjoyment of any advantage or
privilege enjoyed by others receiving
any service, financial aid, or other benefit under the program;
(v) Treat a person differently from
others in determining whether he satisfies any admission, enrollment, quota,
eligibility, membership, or other requirement or condition which persons
must meet in order to be provided any
service, financial aid, or other benefit
provided under the program;
(vi) Deny a person an opportunity to
participate in the program through the
provision of services or otherwise or afford him an opportunity to do so which
is different from that afforded others
under the program; or
(vii) Deny a person the opportunity
to participate as a member of a planning, advisory, or similar body which is
an integral part of the program.
(2) A recipient, in determining the
types of services, financial aid, or other
benefits, or facilities which will be provided under any such program, or the
class of person to whom, or the situations in which, such services, financial
aid, other benefits, or facilities will be
provided under any such program, or
the class of persons to be afforded an
opportunity to participate in any such
program; may not, directly or through
contractual or other arrangements,

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Office of the Secretary, Homeland Security
utilize criteria or methods of administration which have the effect of subjecting persons to discrimination because of their race, color, or national
origin or have the effect of defeating or
substantially impairing accomplishment of the objectives of the program
with respect to individuals of a particular race, color, or national origin.
(3) In determining the site or location of facilities, a recipient or applicant may not make selections with the
purpose or effect of excluding persons
from, denying them the benefits of, or
subjecting them to discrimination
under any program to which this regulation applies, on the grounds of race,
color, or national origin; or with the
purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the Act or
this part.
(4) As used in this section the services, financial aid, or other benefits
provided under a program receiving
Federal financial assistance include
any service, financial aid, or other benefit provided in or through a facility
provided with the aid of Federal financial assistance.
(5) The enumeration of specific forms
of prohibited discrimination in this
paragraph does not limit the generality
of the prohibition in paragraph (a) of
this section.
(6) This part does not prohibit the
consideration of race, color, or national origin if the purpose and effect
are to remove or overcome the consequences of practices or impediments
which have restricted the availability
of, or participation in, the program or
activity receiving Federal financial assistance, on the grounds of race, color,
or national origin. Where prior discriminatory practice or usage tends, on
the grounds of race, color, or national
origin to exclude individuals from participation in, to deny them the benefits
of, or to subject them to discrimination under any program or activity to
which this part applies, the applicant
or recipient must take affirmative action to remove or overcome the effects
of the prior discriminatory practice or
usage. Even in the absence of prior discriminatory practice or usage, a recipient in administering a program or activity to which this part applies, may

§ 21.5

take affirmative action to assure that
no person is excluded from participation in or denied the benefits of the
program or activity on the grounds of
race, color, or national origin.
(c) Employment practices. (1) Where a
primary objective of the Federal financial assistance to a program to which
this part applies is to provide employment, a recipient subject to this part
shall not, directly or through contractual or other arrangements, subject a
person to discrimination on the ground
of race, color, or national origin in its
employment practices under such program (including recruitment or recruitment advertising, hiring, firing,
upgrading, promotion, demotion, transfer, layoff, termination, rates of pay or
other forms of compensation or benefits, selection for training or apprenticeship, and use of facilities). Such recipient shall take affirmative action to
insure that applicants are employed,
and employees are treated during employment, without regard to their race,
color, or national origin. The requirements applicable to construction employment under any such program
shall be those specified in or pursuant
to Part III of Executive Order 11246 or
any Executive order which supersedes
it.
(2) Federal financial assistance to
programs under laws funded or administered by the Department which have
as a primary objective the providing of
employment include those set forth in
appendix B to this part.
(3) Where a primary objective of the
Federal financial assistance is not to
provide employment, but discrimination on the grounds of race, color, or
national origin in the employment
practices of the recipient or other persons subject to the regulation tends, on
the grounds of race, color, or national
origin, to exclude individuals from participation in, deny them the benefits
of, or subject them to discrimination
under any program to which this regulation applies, the provisions of paragraph (c)(1) of this section shall apply
to the employment practices of the recipient or other persons subject to the
regulation, to the extent necessary to
assure equality of opportunity to, and
nondiscriminatory treatment of, beneficiaries.

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§ 21.7

6 CFR Ch. I (1–1–14 Edition)

(d) Facility location or site. A recipient
may not make a selection of a site or
location of a facility if the purpose of
that selection, or its effect when made,
is to exclude individuals from participation in, to deny them the benefits of,
or to subject them to discrimination
under any program or activity to
which this rule applies, on the grounds
of race, color, or national origin; or if
the purpose is to, or its effect when
made will substantially impair the accomplishment of the objectives of this
part.
§ 21.7 Assurances required.
(a) General. (1) Every application for
Federal financial assistance to which
this part applies, except an application
to which paragraph (b) of this section
applies, and every application for Federal financial assistance to provide a
facility shall, as a condition to its approval and the extension of any Federal financial assistance pursuant to
the application, contain or be accompanied by, an assurance that the program will be conducted or the facility
operated in compliance with all requirements imposed by or pursuant to
this part. Every award of Federal financial assistance shall require the
submission of such an assurance. In the
case where the Federal financial assistance is to provide or is in the form of
personal property, or real property or
interest therein or structures thereon,
the assurance shall obligate the recipient, or, in the case of a subsequent
transfer, the transferee, for the period
during which the property is used for a
purpose for which the Federal financial
assistance is extended or for another
purpose involving the provision of
similar services or benefits, or for as
long as the recipient retains ownership
or possession of the property, whichever is longer. In all other cases the assurance shall obligate the recipient for
the period during which Federal financial assistance is extended to the program. The Secretary shall specify the
form of the foregoing assurances, and
the extent to which like assurances
will be required of subgrantees, contractors and subcontractors, transferees, successors in interest, and other
participants. Any such assurance shall
include provisions which give the

United States a right to seek its judicial enforcement.
(2) In the case where Federal financial assistance is provided in the form
of a transfer of real property, structures, or improvements thereon, or interest therein, from the Federal Government, the instrument effecting or
recording the transfer shall contain a
covenant running with the land assuring nondiscrimination for the period
during which the real property is used
for a purpose for which the Federal financial assistance is extended or for
another purpose involving the provision of similar services or benefits.
Where no transfer of property or interest therein from the Federal Government is involved, but property is acquired or improved with Federal financial assistance, the recipient shall
agree to include such covenant in any
subsequent transfer of such property.
When the property is obtained from the
Federal Government, such covenant
may also include a condition coupled
with a right to be reserved by the Department to revert title to the property in the event of a breach of the covenant where, in the discretion of the
Secretary, such a condition and right
of reverter is appropriate to the statute under which the real property is
obtained and to the nature of the grant
and the grantee. In such event if a
transferee of real property proposes to
mortgage or otherwise encumber the
real property as security for financing
construction of new, or improvement of
existing, facilities on such property for
the purposes for which the property
was transferred, the Secretary may
agree, upon request of the transferee
and if necessary to accomplish such financing, and upon such conditions as
he deems appropriate, to subordinate
such right of reversion to the lien of
such mortgage or other encumbrance.
(b) Continuing Federal financial assistance. Every application by a State or a
State agency for continuing Federal financial assistance to which this part
applies (including the types of Federal
financial assistance listed in appendix
A to this part) shall as a condition to
its approval and the extension of any
Federal financial assistance pursuant
to the application:

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Office of the Secretary, Homeland Security
(1) Contain or be accompanied by a
statement that the program is (or, in
the case of a new program, will be) conducted in compliance with all requirements imposed by or pursuant to this
part; and
(2) Provide or be accompanied by provision for such methods of administration for the program as are found by
the Secretary to give reasonable guarantee that the applicant and all recipients of Federal financial assistance
under such program will comply with
all requirements imposed by or pursuant to this part.
(c) Assurance from institutions. (1) In
the case of any application for Federal
financial assistance to an institution of
higher education (including assistance
for construction, for research, for special training projects, for student loans
or for any other purpose), the assurance required by this section shall extend to admission practices and to all
other practices relating to the treatment of students.
(2) The assurance required with respect to an institution of higher education, hospital, or any other institution, insofar as the assurance relates to
the institution’s practices with respect
to admission or other treatment of individuals as students, patients, or clients of the institution or to the opportunity to participate in the provision
of services or other benefits to such individuals, shall be applicable to the entire institution.
§ 21.9 Compliance information.
(a) Cooperation and assistance. The
Secretary shall to the fullest extent
practicable 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 such records and submit to
the Secretary timely, complete, and
accurate compliance reports at such
times, and in such form and containing
such information, as the Secretary
may determine to be necessary to enable him to ascertain whether the recipient has complied or is complying
with this part. In the case in which a
primary recipient extends Federal fi-

§ 21.11

nancial assistance to any other recipient, such other recipient shall also submit such 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 the Secretary racial and ethnic
data showing the extent to which members of minority groups are beneficiaries of programs receiving Federal
financial assistance.
(c) Access to sources of information.
Each recipient shall permit access by
the Secretary during normal business
hours to such of 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 recipient is in the exclusive possession of any 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 such information regarding the provisions of
this part and its applicability to the
program for which the recipient receives Federal financial assistance, and
make such information available to
them in such manner, as the Secretary
finds necessary to apprise such persons
of the protections against discrimination assured them by the Act and this
part.
§ 21.11

Conduct of investigations.

(a) Periodic compliance reviews. The
Secretary shall from time to time review the practices of recipients to determine whether they are complying
with this part.
(b) Complaints. Any person who believes that he or she, or any specific
class of persons, has been subjected to
discrimination prohibited by this part
may by himself or herself, or by a representative, file with the Secretary a
written complaint. A complaint must
be filed not later than 180 days after
the date of the alleged discrimination,

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§ 21.13

6 CFR Ch. I (1–1–14 Edition)

unless the time for filing is extended
by the Secretary.
(c) Investigations. The Secretary 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 will include, where 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)
of this section indicates a failure to
comply with this part, the Secretary
will so inform the recipient 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 § 21.13.
(2) If an investigation does not warrant action pursuant to paragraph
(d)(1) of this section the Secretary will
so inform the recipient and the complainant, if any, in writing.
(e) Intimidatory or retaliatory acts prohibited. No recipient or other person
shall intimidate, threaten, coerce, or
discriminate against any individual for
the purpose of interfering with any
right or privilege secured by section 601
of the Act or 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 any investigation, hearing, or judicial proceeding
arising thereunder.
§ 21.13 Procedure for effecting compliance.
(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 con-

tinue Federal financial assistance or by
any other means authorized by law.
Such other means may include, but are
not limited to:
(1) A referral to the Department of
Justice with a recommendation 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 contractual undertaking; and
(2) Any applicable proceeding under
State or local law.
(b) Noncompliance with § 21.7. If an applicant fails or refuses to furnish an assurance required under § 21.7 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 such paragraph. However, subject to § 21.21, the
Department shall continue assistance
during the pendency of such proceedings where such 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.
(1) No order suspending, terminating,
or refusing to grant or continue Federal financial assistance shall become
effective until:
(i) The Secretary has advised the applicant or recipient of his failure to
comply and has determined that compliance cannot be secured by voluntary
means;
(ii) 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;
(iii) The action has been approved by
the Secretary pursuant to § 21.17(e); and
(iv) 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.

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Office of the Secretary, Homeland Security
(2) 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 applicant or recipient 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 with title
VI of the Act by any other means authorized by law shall be taken by this
Department until:
(1) The Secretary 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 such notice to the
recipient or other 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 such corrective action as may be appropriate.
§ 21.15 Hearings.
(a) Opportunity for hearing. Whenever
an opportunity for a hearing is required by § 21.13(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 such notice within
which the applicant or recipient may
request of the Secretary 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 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. An applicant or
recipient may waive a hearing and sub-

§ 21.15

mit 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
shall be deemed to be a waiver of the
right to a hearing under section 602 of
the Act and § 21.13(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, DC, at a
time fixed by the Secretary unless he
determines that the convenience of the
applicant or recipient or of the Department requires that another place be selected. Hearings shall be held before
the Secretary, or at his discretion, before a hearing examiner appointed in
accordance with section 3105 of title 5,
United States Code, or detailed under
section 3344 of title 5, United States
Code.
(c) Right to counsel. In all proceedings
under this section, the applicant or recipient 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 sections 554
through 557 of title 5, United States
Code, 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 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 do not
apply to hearings conducted pursuant
to this part, but rules or principles designed to assure production of the most

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§ 21.17

6 CFR Ch. I (1–1–14 Edition)

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 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 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 or
procedures not inconsistent with this
part. Final decisions in such cases, insofar as this regulation is concerned,
shall be made in accordance with
§ 21.17.
§ 21.17 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
Secretary 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 after the mailing of such notice of
initial decision, file with the Secretary
his exceptions to the initial decision,
with his reasons therefor. In the ab-

sence of exceptions, the Secretary 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 notice of review,
the Secretary 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, subject to paragraph (e) of this
section, constitute the final decision of
the Secretary.
(b) Decisions on record or review by the
Secretary. Whenever a record is certified to the Secretary for decision or
he reviews the decision of a hearing examiner pursuant to paragraph (a) of
this section, or whenever the Secretary
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 written copy of the final
decision of the Secretary shall be sent
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 § 21.15, a decision shall be
made by the Secretary on the record
and a written copy of such 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 Secretary
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 applicant or recipient has failed to
comply.
(e) Approval by Secretary. Any final
decision by an official of the Department, other than the Secretary personally, 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 transmitted
to the Secretary personally, who may
approve such decision, may vacate it,
or remit or mitigate any sanction imposed.

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Office of the Secretary, Homeland Security
(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 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 to which this regulation applies
will thereafter be extended to the applicant or recipient 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 Secretary 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) 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 applicant or recipient adversely affected by an order entered
pursuant to paragraph (f) of this section may at any time request the Secretary to restore fully its eligibility to
receive Federal financial assistance.
Any such request shall be supported by
information showing that the applicant
or recipient has met the requirements
of paragraph (g)(1) of this section. If
the Secretary determines that those
requirements have been satisfied, he
shall restore such eligibility.
(3) If the Secretary denies any such
request, the applicant or recipient 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 or procedures
issued by the Secretary. The applicant
or recipient 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

§ 21.21

pending, the sanctions imposed by the
order issued under paragraph (f) of this
section shall remain in effect.
§ 21.19 Judicial review.
Action taken pursuant to section 602
of the Act is subject to judicial review
as provided in section 603 of the Act.
§ 21.21 Effect on other regulations,
forms, and instructions.
(a) Effect on other regulations. All regulations, orders, or like directions
issued before the effective date of this
part by any officer of the Department
which impose requirements designed to
prohibit any discrimination against individuals on the grounds of race, color,
or national origin under any program
to which this part applies, and which
authorize the suspension or termination of or refusal to grant or to continue Federal financial assistance to
any applicant for a recipient of such
assistance for failure to comply with
such requirements, are hereby superseded to the extent that such discrimination is prohibited by this part, except that nothing in this part may be
considered to relieve any person of any
obligation assumed or imposed under
any such superseded regulation, order,
instruction, or like direction before the
effective date of this part. Nothing in
this part, however, supersedes any of
the following (including future amendments thereof):
(1) Executive Order 11246 (3 CFR, 1965
Supp., p. 167) and regulations issued
thereunder; or
(2) Any other orders, regulations, or
instructions, insofar as such orders,
regulations, or instructions prohibit
discrimination on the ground of race,
color, or national origin in any program or situation to which this part is
inapplicable, or prohibit discrimination on any other ground.
(b) Forms and instructions. The Secretary shall issue and promptly make
available to all interested persons
forms and detailed instructions and
procedures for effectuating this part as
applied to programs to which this part
applies and for which he is responsible.
(c) Supervision and coordination. The
Secretary may from time to time assign to officials of the Department, or
to officials of other departments or

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Pt. 21, App. A

6 CFR Ch. I (1–1–14 Edition)

agencies of the Government with the
consent of such departments or agencies, responsibilities in connection
with the effectuation of the purposes of
title VI of the Act and this part (other
than responsibility for final decision as
provided in § 21.17), including the
achievement of effective coordination
and maximum uniformity within the
Department and within the Executive
Branch of the Government in the application of title VI and this part to similar programs and in similar situations.
Any action taken, determination made
or requirement imposed by an official
of another department or agency acting pursuant to an assignment of responsibility under this paragraph shall
have the same effect as though such action had been taken by the Secretary
of this Department.
APPENDIX A TO PART 21—ACTIVITIES TO
WHICH THIS PART APPLIES
NOTE: Failure to list a type of Federal assistance in appendix A shall not mean, if
title VI is otherwise applicable, that a program is not covered.
1. Lease of real property and the grant of
permits, licenses, easements and rights-ofway covering real property under control of
the U.S. Coast Guard (14 U.S.C. 93 (n) and
(o)).
2. Utilization of U.S. Coast Guard personnel and facilities by any State, territory,
possession, or political subdivision thereof
(14 U.S.C. 141(a)).
3. Use of U.S. Coast Guard personnel for
duty in connection with maritime instruction and training by the States, territories,
and the Commonwealth of Puerto Rico (14
U.S.C. 148).
4. Use of obsolete and other U.S. Coast
Guard material by sea scout service of Boy
Scouts of America, any incorporated unit of
the U.S. Coast Guard auxiliary, and public
body or private organization not organized
for profit (14 U.S.C. 641(a)).
5. U.S. Coast Guard Auxiliary Program (14
U.S.C. 821–832).
6. U.S. Coast Guard Boating Safety Financial Assistance program.
7. U.S. Coast Guard State Access to Oil
Spill Liability Trust Fund.
8. U.S. Coast Guard Bridge Alteration.
9. Use of Customs personnel and facilities
by any State, territory, possession, or political subdivision thereof.
10. Use of Customs personnel for duty in
connection with instruction and training by
the States, territories and the Commonwealth of Puerto Rico.

11. Grants to educational institutions, associations, States, or other entities for research, analysis, or programs or strategies
relating to trade issues.

APPENDIX B TO PART 21—ACTIVITIES TO
WHICH THIS PART APPLIES WHEN A
PRIMARY OBJECTIVE OF THE FEDERAL FINANCIAL ASSISTANCE IS TO
PROVIDE EMPLOYMENT
NOTE: Failure to list a type of Federal assistance in appendix B shall not mean, if
title VI is otherwise applicable, that a program is not covered.
[Reserved]

PART 25—REGULATIONS TO SUPPORT ANTI-TERRORISM BY FOSTERING
EFFECTIVE
TECHNOLOGIES
Sec.
25.1 Purpose.
25.2 Definitions.
25.3 Delegation.
25.4 Designation of qualified anti-terrorism
technologies.
25.5 Obligations of seller.
25.6 Procedures for designation of qualified
anti-terrorism technologies.
25.7 Litigation management.
25.8 Government contractor Defense.
25.9 Procedures for certification of approved
products for Homeland Security.
25.10 Confidentiality and protection of intellectual property.
AUTHORITY: Subtitle G, of Title VIII, Public Law 107–296, 116 Stat. 2238 (6 U.S.C. 441–
444).
SOURCE: 71 FR 33159, June 8, 2006, unless
otherwise noted.

§ 25.1 Purpose.
This part implements the Support
Anti-terrorism by Fostering Effective
Technologies Act of 2002, sections 441–
444 of title 6, United States Code (the
‘‘SAFETY Act’’ or ‘‘the Act’’).
§ 25.2 Definitions.
Act of Terrorism—The term ‘‘Act of
Terrorism’’ means any act determined
to have met the following requirements
or such other requirements as defined
and specified by the Secretary:
(1) Is unlawful;
(2) Causes harm, including financial
harm, to a person, property, or entity,
in the United States, or in the case of
a domestic United States air carrier or

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