[Code of Federal Regulations]

[Title 45, Volume 1]

[Revised as of October 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR90.43]



[Page 428-430]

 

                        TITLE 45--PUBLIC WELFARE

 

                    SUBTITLE A--DEPARTMENT OF HEALTH

                           AND HUMAN SERVICES

 

PART 90_NONDISCRIMINATION ON THE BASIS OF AGE IN PROGRAMS OR ACTIVITIES 

RECEIVING FEDERAL FINANCIAL ASSISTANCE--Table of Contents

 

    Subpart D_Investigation, Conciliation and Enforcement Procedures

 

Sec.  90.43  What specific responsibilities do agencies and recipients have 

to ensure compliance with the Act?



    (a) Written notice, technical assistance, and educational materials. 

Each agency shall: (1) Provide written notice to each recipient of its 

obligations under the Act. The notice shall include a requirement that 

where the recipient initially receiving funds makes the funds



[[Page 429]]



available to a sub-recipient, the recipient must notify the sub-

recipient of its obligations under the Act.

    (2) Provide technical assistance, where necessary, to recipients to 

aid them in complying with the Act.

    (3) Make available educational materials setting forth the rights 

and obligations of beneficiaries and recipients under the Act.

    (b) Self-evaluation. (1) Each agency shall require each recipient 

employing the equivalent of 15 or more full time employees to complete a 

written self-evaluation of its compliance under the Act within 18 months 

of the effective date of the agency regulations.

    (2) Each recipient's self-evaluation shall identify and justify each 

age distinction imposed by the recipient.

    (3) Each recipient shall take corrective and remedial action 

whenever a self-evaluation indicates a violation of the Act.

    (4) Each recipient shall make the self-evaluation available on 

request to the agency and to the public for a period of 3 years 

following its completion.

    (c) Complaints--(1) Receipt of complaints. Each agency shall 

establish a complaint processing procedure which includes the following:

    (i) A procedure for the filing of complaints with the agency;

    (ii) A review of complaints to assure that they fall within the 

coverage of the Act and contain all information necessary for further 

processing;

    (iii) Notice to the complainant and the recipient of their rights 

and obligations under the complaint procedure, including the right to 

have a representative at all stages of the complaint procedure; and

    (iv) Notice to the complainant and the recipient (or their 

representatives) of their right to contact the agency for information 

and assistance regarding the complaint resolution process.

    (2) Prompt resolution of complaints. Each agency shall establish 

procedures for the prompt resolution of complaints. These procedures 

shall require each recipient and complainant to participate actively in 

efforts toward speedy resolution of the complaint.

    (3) Mediation of complaints. Each agency shall promptly refer all 

complaints which fall within the coverage of the Act to a mediation 

agency designated by the Secretary.

    (i) The referring agency shall require the participation of the 

recipient and the complainant in the mediation process, although both 

parties need not meet with the mediator at the same time.

    (ii) If the complainant and recipient reach a mutually satisfactory 

resolution of the complaint during the mediation period, they shall 

reduce the agreement to writing. The mediator shall send a copy of the 

settlement to the referring agency. No further action shall be taken 

based on that complaint unless it appears that the complainant or the 

recipient is failing to comply with the agreement.

    (iii) Not more than 60 days after the agency receives the complaint, 

the mediator shall return a still unresolved complaint to the referring 

agency for initial investigation. The mediator may return a complaint at 

any time before the end of the 60 day period if it appears that the 

complaint cannot be resolved through mediation.

    (iv) The mediator shall protect the confidentiality of all 

information obtained in the course of the mediation process. No mediator 

shall testify in any adjudicative proceeding, produce any document, or 

otherwise disclose any information obtained in the course of the 

mediation process without prior approval of the head of the agency 

appointing the mediator.

    (4) Federal initial investigation. Each agency shall investigate 

complaints unresolved after mediation or reopened because of a violation 

of the mediation agreement. As part of the initial investigation, the 

agency shall use informal fact finding methods including joint or 

individual discussions with the complainant and the recipient to 

establish the facts, and, if possible, resolve the complaint to the 

mutual satisfaction of the parties. The agency may seek the assistance 

of any involved State agency.

    (5) Formal investigation, conciliation, and hearing. If the agency 

cannot resolve the complaint during the early stages of the 

investigation, it shall:

    (i) Complete the investigation of the complaint.



[[Page 430]]



    (ii) Attempt to achieve voluntary compliance satisfactory to the 

agency, if the investigation indicates a violation.

    (iii) Arrange for enforcement as described in Sec.  90.47, if 

necessary.



[44 FR 33776, June 12, 1979, as amended at 70 FR 24322, May 9, 2005]