Encl. (1) to COMDTINST 5350.20A
In the case in which a primary recipient extends Federal financial 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.
Sec. 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, 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 Sec. 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
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