[Code of Federal Regulations]
[Title 28, Volume 1]
[Revised as of July 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 28CFR42.407]

[Page 818-819]
 
                    TITLE 28--JUDICIAL ADMINISTRATION
 
                    CHAPTER I--DEPARTMENT OF JUSTICE
 
PART 42_NONDISCRIMINATION; EQUAL EMPLOYMENT OPPORTUNITY; POLICIES AND 
PROCEDURES--Table of Contents
 
Subpart F_Coordination of Enforcement of Non-discrimination in Federally 
                            Assisted Programs
 
Sec.  42.407  Procedures to determine compliance.

    (a) Agency staff determination responsibility. All federal agency 
staff determinations of title VI compliance shall be made by, or be 
subject to the review of, the agency's civil rights office. Where 
federal agency responsibility for approving applications or specific 
projects has been assigned to regional or area offices, the agency shall 
include personnel having title VI review responsibility on the staffs of 
such offices and such personnel shall perform the functions described in 
paragraphs (b) and (c) of this section.
    (b) Application review. Prior to approval of federal financial 
assistance, the federal agency shall make written determination as to 
whether the applicant is in compliance with title VI (see 28 CFR 50.3(c) 
II A). The basis for such a determination under ``the agency's own 
investigation'' provision (see 28 CFR 50.3(c) II A(2)), shall be 
submission of an assurance of compliance and a review of the data 
submitted by the applicant. Where a determination cannot be made from 
this data, the agency shall require the submission of necessary 
additional information and shall take other steps necessary for making 
the determination. Such other steps may include, for example, 
communicating with local government officials or minority group 
organizations and field reviews. Where the requested assistance is for 
construction, a pre-approval review should determine whether the 
location and design of the project will provide service on a 
nondiscriminatory basis and whether persons will be displaced or 
relocated on a nondiscriminatory basis.
    (c) Post-approval review. (1) Federal agencies shall establish and 
maintain an effective program of post-approval compliance reviews 
regarding approved new applications (see 28 CFR 50.3(c) II A), 
applications for continuation or renewal of assistance (28 CFR 50.3(c) 
II B) and all other federally assisted programs. Such reviews are to 
include periodic submission of compliance reports by recipients to the 
agencies and, where appropriate, field reviews of a representative 
number of major recipients. In carrying out this program, agency 
personnel shall follow agency manuals which establish appropriate review 
procedures and standards of evaluation. Additionally, agencies should 
consider incorporating a title VI component into general program reviews 
and audits.
    (2) The results of post-approval reviews shall be committed to 
writing and shall include specific findings of fact and recommendations. 
A determination of the compliance status of the recipient reviewed shall 
be made as promptly as possible.
    (d) Notice to assistant attorney general. Federal agencies shall 
promptly notify

[[Page 819]]

the Assistant Attorney General of instances of probable noncompliance 
determined as the result of application reviews or post-approval 
compliance reviews.