[Title 41 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1997 Edition]
[From the U.S. Government Publishing Office]


          41



          Public Contracts and Property Management



[[Page i]]

          CHAPTERS 1 TO 100

          Revised as of July 1, 1997
          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF JULY 1, 1997

          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1997



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 41:
      Subtitle A--Federal Procurement Regulations System 
                                                                                [Note]

      Subtitle B--Other Provisions Relating to Public 
                                                                                Contracts:


          Chapter 50--Public Contracts, Department of Labor          7
          Chapter 51--Committee for Purchase from People who 
          are Blind or Severely Disabled                            43
          Chapter 60--Office of Federal Contract Compliance 
          Programs, Equal Employment Opportunity, Department 
          of Labor                                                  89
          Chapter 61--Office of the Assistant Secretary for 
          Veterans' Employment and Training, Department of 
          Labor                                                    219
        Chapters 62-100 [Reserved]
  Finding Aids:
    Material Approved for Incorporation by Reference..........     233
    Table of CFR Titles and Chapters..........................     235
    Alphabetical List of Agencies Appearing in the CFR........     251
    List of CFR Sections Affected.............................     261

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                                  ----------------------------------------------------------                    

   Cite this Code:  CFR                                                         
                                                                                                                
   To cite the regulations in this volume use title, part                       
   and section number. Thus, 41 CFR 50-201.1 refers to                         
   title 41, part 50-201, section 1.                                           

----------------------------------------------------------                    
                                                                                                                


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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 1997), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

[[Page vii]]

    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.
SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
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Customer Service call 202-512-1803.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 1997.



[[Page ix]]



                               THIS TITLE

    Title 41--Public Contracts and Property Management consists of 
Subtitle A--Federal Procurement Regulations System; Subtitle B--Other 
Provisions Relating to Public Contracts; Subtitle C--Federal Property 
Management Regulations System; Subtitle D is reserved for other 
provisions relating to property management, Subtitle E--Federal 
Information Resources Management Regulations System and Subtitle F--
Federal Travel Regulation System.

    As of July 1, 1985, the text of subtitle A is no longer published in 
the Code of Federal Regulations. For an explanation of the status of 
subtitle A, see 41 CFR chapters 1--100 (page 2).

    Other government-wide procurement regulations relating to public 
contracts appear in chapters 50 through 100, subtitle B.

    The Federal property management regulations in chapter 101 of 
subtitle C are government-wide property management regulations issued by 
the General Services Administration. In the remaining chapters of 
subtitle C are the implementing and supplementing property management 
regulations issued by individual Government agencies. Those regulations 
which implement chapter 101 are numerically keyed to it.

    The Federal Information Resources Management Regulations in chapter 
201 of subtitle E and the Federal Travel Regulation System in chapters 
301--304 of subtitle F are issued by the General Services 
Administration.

    Title 41 is composed of four volumes. The chapters in these volumes 
are arranged as follows: Chapters 1--100, chapter 101, chapters 102--
200, and chapter 201 to End. These volumes represent all current 
regulations codified under this title of the CFR as of July 1, 1997.

    Redesignation tables appear in the finding aids section of the 
volumes containing chapter 101 and chapters 102 to 200.

    For this volume, Rachel Rondell was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]



 
[[Page 1]]



        TITLE 41--PUBLIC CONTRACTS AND PROPERTY MANAGEMENT




                   (This book contains Chapters 1-100)

  --------------------------------------------------------------------

SUBTITLE A--Federal Procurement Regulations System [Note]

SUBTITLE B--Other Provisions Relating to Public Contracts

                                                                    Part
Chapter 50--Public Contracts, Department of Labor...........      50-201
Chapter 51--Committee for Purchase From People Who are Blind 
  or Severely Disabled......................................        51-1
Chapter 60--Office of Federal Contract Compliance Programs, 
  Equal Employment Opportunity, Department of Labor.........        60-1
Chapter 61--Office of the Assistant Secretary for Veterans' 
  Employment and Training, Department of Labor..............      61-250
Chapters 62--100  [Reserved]

  Cross References: Department of Defense Federal Acquisition 
Regulations, 48 CFR, Chapter 2.
  Army Procurement Procedure, 32 CFR, Chapter V, Subchapter G.
  Department of the Navy Procurement, Property, Patents, and Contracts, 
32 CFR, Chapter VI, Subchapter D.
  Air Force Procurement Regulations, 32 CFR, Chapter VII, Subchapter W.

[[Page 3]]

           Subtitle A--Federal Procurement Regulations System

  --------------------------------------------------------------------

        Editorial Note: On September 19, 1983 (48 FR 42103), a joint 
      document issued by the General Services Administration, the 
      Department of Defense and the National Aeronautics and Space 
      Administration, established a new Federal Acquisition Regulation 
      in title 48 of the Code of Federal Regulations (CFR). The general 
      Federal Acquisition Regulation (FAR) published on that date is 
      codified at chapter 1 of title 48. Chapters 2 through 49 of title 
      48 were reserved and established for individual agency 
      implementations and supplementations of the FAR. The FAR in 
      chapter 1 together with the agency regulations in chapters 2 to 49 
      comprise the Federal Acquisition Regulations System that went into 
      effect on April 1, 1984.
        The FAR system replaced both the Federal Procurement Regulations 
      System (FPRS) for civilian contracts (41 CFR subtitle A, chapters 
      1 to 49) and the Defense Acquisition Regulations (DAR) for defense 
      contracts (32 CFR chapter 1, parts 1 to 39). While the new FAR 
      regulations in title 48 replaced the title 32 DAR and title 41 FPR 
      regulations as of April 1, 1984, both the DAR and FPR provisions 
      continue to apply to those contracts which preceded the effective 
      date of the FAR.
        On April 11, 1991 (56 FR 14643), the Department of Defense 
      removed 32 CFR parts 1-39, contained in volumes I through III. As 
      of the revision date of this volume, the FAR provisions in 41 CFR 
      subtitle A, chapters 1 to 49, appearing in the July 1, 1984 
      edition, continue to apply to those contracts entered into prior 
      to the adoption of the FAR.

[[Page 5]]

                      Subtitle B--Other Provisions

                      Relating to Public Contracts

[[Page 7]]



         CHAPTER 50--PUBLIC CONTRACTS, DEPARTMENT OF LABOR




  --------------------------------------------------------------------
Part                                                                Page
50-201          General regulations.........................           9
50-202          Minimum wage determinations.................          16
50-203          Rules of practice...........................          16
50-204          Safety and health standards for Federal 
                    supply contracts........................          23
50-205          Enforcement of safety and health standards 
                    by State officers and employees.........          39
50-210          Statements of general policy and 
                    interpretation not directly related to 
                    regulations.............................          41

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PART 50-201--GENERAL REGULATIONS--Table of Contents




Sec.
50-201.1  The Walsh-Healey Public Contracts Act.
50-201.2  Administration of the Act.
50-201.3  Insertion of stipulations.
50-201.4  Statutory exemptions.
50-201.101  Employees affected.
50-201.102  Overtime.
50-201.103  Dealer as agent of undisclosed principal.
50-201.104  Protection against unintentional employment of underage 
          minors.
50-201.105  Hours worked.
50-201.201  Breach of stipulations.
50-201.301  Agency regulations.
50-201.501  Records of employment.
50-201.502  Record of injuries.
50-201.601  Requests for exceptions and exemptions.
50-201.602  Decisions concerning exceptions and exemptions.
50-201.603  Full administrative exemptions.
50-201.701  Definition of ``person.''
50-201.1101  Minimum wages.
50-201.1102  Tolerance for apprentices, student-learners, and 
          handicapped workers.
50-201.1201  [Reserved]
50-201.1202  Complaints.
50-201.1203  Other contracts.

    Authority: Sec. 4, 49 Stat. 2038; 41 U.S.C. 38. Interpret or apply 
sec. 6, 49 Stat. 2038, as amended; 41 U.S.C. 40; 108 Stat. 7201.



Sec. 50-201.1  The Walsh-Healey Public Contracts Act.

    The Walsh-Healey Public Contracts Act, as amended (41 U.S.C. 35-45), 
hereinafter referred to as the Act, was enacted ``to provide conditions 
for the purchase of supplies and the making of contracts by the United 
States.'' It is not an act of general applicability to industry. The 
Supreme Court has described it as an instruction by the Government to 
its agents who were selected and granted final authority to fix the 
terms and conditions under which the Government will permit goods to be 
sold to it. Its purpose, according to the Supreme Court ``was to impose 
obligations upon those favored with Government business and to obviate 
the possibility that any part of our tremendous national expenditures 
would go to forces tending to depress wages and purchasing power and 
offending fair social standards of employment.'' (``Perkins v. Lukens 
Steel Co.,'' 310 U.S. 113, 128 (1940); ``Endicott Johnson Corp. v. 
Perkins,'' 317 U.S. 501 (1943).) To this end, the Act requires those who 
enter into contracts to perform Government work subject to its terms to 
adhere to specifically prescribed representations and stipulations as 
set forth in 41 CFR 50-201.1 pertaining to qualifications of 
contractors, minimum wages, overtime pay, safe and sanitary working 
conditions of workers employed on the contract, the use of child labor 
or convict labor on the contract work, and the enforcement of such 
provisions. Except as otherwise specifically provided, these 
representations and stipulations are required to be included in every 
contract ``for the manufacture or furnishing of materials, supplies, 
articles, and equipment in any amount exceeding $10,000'' which is made 
and entered into by an agency of the United States or other entity as 
designated in section 1 of the Act, hereinafter referred to as 
``contracting agency.'' Contractors performing work subject to the Act 
thus ``enter into competition to obtain Government business on terms of 
which they are fairly forwarned by inclusion in the contract.'' 
(``Endicott Johnson Corp. v. Perkins, supra,'' 317 U.S. at 507.) The Act 
also provides for enforcement of the required representations and 
stipulations by various methods. Certain exemptions from the application 
of the Act are provided in section 9 of the statute. Other exemptions, 
variations, and tolerances may be provided under section 6 of the 
statute by the Secretary of Labor or the President.

[43 FR 22975, May 30, 1978. Redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.2  Administration of the Act.

    (a) The Secretary of Labor is authorized and directed to administer 
the provisions of the Act, to make investigations, findings, and 
decisions thereunder, and to make, amend, and rescind rules and 
regulations with respect to its application (see sections 4 and 5). The 
Supreme Court has recognized that the Secretary may issue rulings 
defining the coverage of the Act. (``Endicott Johnson Corp. v. Perkins, 
supra''.) According to the Court (ibid.), in the statute as originally 
enacted ``Congress submitted the administration of the Act to the 
judgment of the

[[Page 10]]

Secretary of Labor, not to the judgment of the courts.'' An amendment to 
the Act in 1952 added specific provisions for judicial review (see 
section 10). The Secretary has promulgated regulations to carry out 
provisions of the Act, which are set forth elsewhere in this chapter 
(Part 50-201 (General Regulations); Part 50-202 (Minimum Wage 
Determinations); Part 50-203 (Rules of Practice); and Part 50-204 
(Safety and Health Standards)). The Secretary of Labor has delegated to 
the Administrator of the Wage and Hour Division through the Assistant 
Secretary for Employment Standards the authority to promulgate 
regulations and to issue official rulings and interpretations. So long 
as such regulations, rulings, and interpretations are not modified, 
amended, rescinded, or determined by judicial authority to be incorrect, 
they may be relied upon as provided in section 10 of the Portal-to-
Portal Act of 1947 (61 Stat. 84, 29 U.S.C. 251, et seq., discussed in 29 
CFR Part 790). Furthermore, these interpretations are intended to 
indicate the construction of the law which the Department of Labor 
believes to be correct and which will be followed in the administration 
of the Act unless and until directed otherwise by Act of Congress or by 
authoritative rulings of the courts. (``Skidmore v. Swift & Co.'', 323 
U.S. 134 (1944), ``Roland Co. v. Walling'', 326 U.S. 657 (1946); 
``Endicott Johnson Corp. v. Perkins, supra'', and ``Perkins v. Lukens 
Steel Co., supra''.)
    (b) The courts have held that the ``interpretations of the Walsh-
Healey Act and the regulations adopted thereunder, as made by the 
Secretary of Labor acting through his Administrator, are both correct 
and reasonable.'' (``Jno. McCall Coal Company v. United States,'' 374 F. 
2d 689, 692 (C.A. 4, 1967); see also ``United States v. Davison Fuel and 
Dock Company,'' 371 F. 2d 705, 711-714 (C.A. 4, 1967).) These policies 
are designed to protect not only employees but also the competitive 
interest of all firms qualified to compete for covered contracts.

[43 FR 22975, May 30, 1978. Redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.3   Insertion of stipulations.

    Except as hereinafter directed, in every contract made and entered 
into by an executive department, independent establishment, or other 
agency or instrumentality of the United States, or by the District of 
Columbia, or by any corporation all the stock of which is beneficially 
owned by the United States, for the manufacture or furnishing of 
materials, supplies, articles, and equipment, the contracting officer 
shall cause to be inserted or incorporated by reference in such 
invitation or the specifications and in such contract, the following 
stipulations:

   representations and stipulations pursuant to public law 846, 74th 
                          congress, as amended

    (a) All persons employed by the contractor in the manufacture or 
furnishing of the materials, supplies, articles, or equipment used in 
the performance of the contract will be paid, without subsequent 
deduction or rebate on any account, not less than the minimum wages as 
determined by the Secretary of Labor to be the prevailing minimum wages 
for persons employed on similar work or in the particular or similar 
industries or groups of industries currently operating in the locality 
in which the materials, supplies, articles, or equipment are to be 
manufactured or furnished under the contract.
    (b) No person employed by the contractor in the manufacture or 
furnishing of the materials, supplies, articles, or equipment used in 
the performance of the contract shall be permittted to work in excess of 
40 hours in any 1 week unless such person is paid such applicable 
overtime rate as has been set by the Secretary of Labor: Provided, 
however, That the provisions of this stipulation shall not apply to any 
employer who shall have entered into an agreement with his employees 
pursuant to the provisions of paragraphs 1 or 2 of subsection (b) of 
section 7 of an act entitled ``The Fair Labor Standards Act of 1938'': 
Provided, further, That in the case of such an employer, during the life 
of the agreement referred to the applicable overtime rate set by the 
Secretary of Labor shall be paid for hours in excess of 12 in any 1 day 
or in excess of 56 in any 1 week and if such overtime is not paid, the 
employer shall be required to compensate his employees during that week 
at the applicable overtime rate set by the Secretary of Labor for hours 
in excess of 40 in any 1 week.
    (c) No person under 16 years of age and no convict labor will be 
employed by the contractor in the manufacture or production or 
furnishing of any of the materials, supplies,

[[Page 11]]

articles, or equipment included in the contract.
    (d) No part of the contract will be performed nor will any of the 
materials, supplies, articles, or equipment to be manufactured or 
furnished under said contract be manufactured or fabricated in any 
plants, factories, buildings, or surroundings or under working 
conditions which are unsanitary or hazardous or dangerous to the health 
and safety of employees engaged in the performance of the contract. 
Compliance with the safety, sanitary, and factory inspection laws of the 
State in which the work or part thereof is to be performed shall be 
prima facie evidence of compliance with this paragraph.
    (e) Any breach or violation of any of the foregoing representations 
and stipulations shall render the party responsible therefor liable to 
the United States of America for liquidated damages, in addition to 
damages for any other breach of the contract, in the sum of $10 per day 
for each person under 16 years of age, or each convict laborer knowingly 
employed in the performance of the contract, and a sum equal to the 
amount of any deductions, rebates, refunds, or underpayment of wages due 
to any employee engaged in the performance of the contract; and, in 
addition, the agency of the United States entering into the contract 
shall have the right to cancel same and to make open-market purchases or 
enter into other contracts for the completion of the original contract, 
charging any additional cost to the original contractor. Any sums of 
money due to the United States of America by reason of any violation of 
any of the representations and stipulations of the contract as set forth 
herein may be withheld from any amounts due on the contract or may be 
recovered in a suit brought in the name of the United States of America 
by the Attorney General thereof. All sums withheld or recovered as 
deductions, rebates, refunds, or underpayments of wages shall be held in 
a special deposit account and shall be paid, on order of the Secretary 
of Labor, directly to the employees who have been paid less than minimum 
rates of pay as set forth in such contracts and on whose account such 
sums were withheld or recovered: Provided, That no claims by employees 
for such payments shall be entertained unless made within 1 year from 
the date of actual notice to the contractor of the withholding or 
recovery of such sums by the United States of America.
    (f) The contractor shall post a copy of the stipulations in a 
prominent and readily accessible place at the site of the contract work 
and shall keep such employment records as are required in the 
regulations under the act available for inspection by authorized 
representatives of the Secretary of Labor.
    (g) The contractor is not a person who is ineligible to be awarded 
Government contracts by virtue of sanctions imposed pursuant to the 
provisions of section 3 of the act.
    (h) No part of the contract shall be performed and none of the 
materials, articles, supplies or equipment manufactured or furnished 
under the contract shall be manufactured or furnished by any person 
found by the Secretary of Labor to be ineligible to be awarded 
Government contracts pursuant to section 3 of the act.
    (i) The foregoing stipulations shall be deemed inoperative if this 
contract is for a definite amount not in excess of $10,000.

[7 FR 4494, June 16, 1942, as amended at 7 FR 11086, Dec. 30, 1942; 11 
FR 6238, June 8, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, and 
amended at 27 FR 306, Jan. 11, 1962; 27 FR 4556, May 12, 1962; 34 FR 
6687, Apr. 19, 1969; 34 FR 7451, May 8, 1969; 51 FR 12266, Apr. 9, 1986. 
Redesignated and amended at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.4   Statutory exemptions.

    Inclusion of the stipulations enumerated in Sec. 50-201.1 is not 
required in the following instances:
    (a) Where the contracting officer is authorized by the express 
language of a statute to purchase ``in the open market'', or where a 
purchase of articles, supplies, materials or equipment, either in being 
or virtually so, is made without advertising for bids under 
circumstances bringing such purchase within the exception to the General 
Purchase Statute, R.S. 3709, that is, where immediate delivery is 
required by the public exigency.
    (b) Where the contract relates to perishables, including dairy, 
livestock, and nursery products (``perishables'' covers products subject 
to decay or spoilage and not products canned, salted, smoked, or 
otherwise preserved);
    (c) Where the contract relates to agricultural or farm products 
processed for first sale by the original producers;
    (d) Where the contract is by the Secretary of Agriculture for the 
purchase of agricultural commodities or the products thereof;
    (e) Where the contract is with a common carrier for carriage of 
freight or personnel by vessel, airplane, bus, truck, express, or 
railway line, where published tariff rates are in effect;
    (f) Where the contract is for the furnishing of service by radio, 
telephone, telegraph, or cable companies, subject to the Federal 
Communications Act of

[[Page 12]]

1934 (48 Stat. 1064 as amended; 47 U.S.C. chapter 5).

[Regs. 504, 1 FR 1626, Sept. 19, 1936, as amended at 9 FR 8347, July 22, 
1944. Redesignated at 24 FR 10952, Dec. 30, 1959, and further 
redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.101   Employees affected.

    The stipulations shall be deemed applicable only to employees 
engaged in or connected with the manufacture, fabrication, assembling, 
handling, supervision, or shipment of materials, supplies, articles, or 
equipment required under the contract, and shall not be deemed 
applicable to employees performing only office or custodial work, nor to 
any employee employed in a bona fide executive, administrative, 
professional, or outside salesman capacity, as those terms are defined 
and delimited by the regulations (29 CFR part 541) applicable during the 
period of performance of the contract under section 13(a)(1) of the Fair 
Labor Standards Act of 1938, as amended.

[35 FR 17782, Nov. 19, 1970. Redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.102   Overtime.

    (a) Employees engaged in or connected with the manufacture, 
fabrication, assembling, handling, supervision, or shipment of 
materials, supplies, articles, or equipment used in the performance of 
the contract may be employed in excess of 40 hours in any one week: 
Provided, Such persons shall be paid for any hours in excess of 40 hours 
in any one week the overtime rate of pay which has been set therefor by 
the Secretary of Labor.
    (b) Until otherwise set by the Secretary of Labor the rate of pay 
for such overtime shall be one and one-half times the basic hourly rate 
received by the employee. The ``basic hourly rate'' means an hourly rate 
equivalent to the rate upon which time-and-one-half overtime 
compensation may be computed and paid under section 7 of the Fair Labor 
Standards Act of 1938, as amended. The basic hourly rate may, in no 
case, be less than the applicable minimum wage.
    (c) If in any one week or part thereof an employee is engaged in 
work covered by the contract's stipulations, overtime shall be paid for 
any hours worked in excess of 40 hours in any one week at the overtime 
rate set forth in paragraph (b) of this section.
    (d) The overtime pay requirements of this section shall be deemed to 
be complied with in the case of any employee employed as provided in 
section 7(b) of the Fair Labor Standards Act of 1938, as amended, 
pursuant to the provisions of paragraph (1) or (2) of that section.

[7 FR 4494, June 16, 1942, as amended at 18 FR 1832, Apr. 2, 1953. 
Redesignated at 24 FR 10952, Dec. 30, 1959, as amended at 51 FR 12266, 
Apr. 9, 1986. Redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.103   Dealer as agent of undisclosed principal.

    Whenever a dealer, to whom a contract within the act and regulations 
in this part has been awarded, causes a manufacturer to deliver directly 
to the Government the materials, supplies, articles, or equipment 
required under the contract, such dealer will be deemed the agent of the 
manufacturer in executing the contract. As the principal of such agent 
the manufacturer will be deemed to have agreed to the stipulations 
contained in the contract.

[1 FR 2359, Nov. 28, 1936. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and further redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.104  Protection against unintentional employment of underage minors.

    An employer shall not be deemed to have knowingly employed an 
underage minor in the performance of contracts subject to the Act if, 
during the period of the employment of such minor, the employer has on 
file an unexpired certificate of age issued and held pursuant to 
regulations issued by the Secretary of Labor under section 3(1) of the 
Fair Labor Standards Act of 1938 (29 CFR 570.121), showing that such 
minor is at least 16 years of age.

[52 FR 6147, Mar. 2, 1987. Redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.105   Hours worked.

    In determining the hours for which an employee is employed, there 
shall be excluded any time which is excluded by section 3(o) of the Fair 
Labor Standards Act of 1938, as amended, from the

[[Page 13]]

computation of hours worked for purposes of sections 6 and 7 of that 
act.

[18 FR 1832, Apr. 2, 1953. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and further redesignated at 61 FR 40716, Aug. 5, 1996]



Sec. 50-201.201   Breach of stipulations.

    (a) Whenever the Department of Labor notifies the head of a 
contracting agency that a contractor is liable for liquidated damages by 
reason of a breach of stipulations as provided in section 2 of the act, 
there shall be withheld from any balance due under the contract such 
amount as may be necessary to satisfy such liability pending final 
disposition of the case.
    (b) Whenever a final determination of a breach of stipulations is 
made, the Secretary of Labor will furnish to the contracting agency a 
copy of the findings and decision with such recommendations as will 
assist the contracting agency in determining whether or not the contract 
should be canceled for such breach.

[Regs. 504, 1 FR 1627, Sept. 19, 1936. Redesignated at 24 FR 10952, Dec. 
30, 1959]



50-201.301  Agency regulations.

    Each agency which prescribes additional regulations for the 
Administration of the Walsh-Healey Public Contracts Act and for the 
implementation of the regulations in this part, shall submit such 
regulations, directives, and orders to the Administrator of the Wage and 
Hour Division prior to issuance. Any such regulations may not be 
enforced prior to approval by the Administrator or prior to 60 days 
after submission if not disapproved by the Administrator. Currently 
existing regulations are not affected by this section, except where such 
regulations are not in conformity with the Walsh-Healey Public Contracts 
Act and the Department of Labor regulations. In such cases, agency 
regulations shall be appropriately revised.

[43 FR 22977, May 30, 1978]



Sec. 50-201.501   Records of employment.

    Every contractor subject to the provisions of the act and this part 
shall maintain the following records of employment which shall be 
available for the inspection and transcription of authorized 
representatives of the Secretary of Labor:
    (a) Name, address, sex, and occupation of each employee covered by 
the contract stipulations;
    (b) Date of birth of each employee under 19 years of age; and if the 
employer has obtained a certificate of age as provided in Sec. 50-
201.105, there shall also be recorded the title and address of the 
office issuing such certificate, the number of the certificate, if any, 
the date of its issuance, and the name, address and date of birth of the 
minor, as the same appears on the certificate of age;
    (c) Wage-and-hour records for each such employee including the rate 
of wages and the amount paid each pay period, the hours worked each day 
and each week, and the period during which each such employee was 
engaged on a Government contract with the number of such contract. 
Compliance with this paragraph shall be deemed complete if wage-and-hour 
records for all employees in the plant are maintained during the period 
between the award of any Government contract and the date of delivery of 
the materials, supplies, articles, or equipment: Provided, That where no 
separate records for employees engaged on Government contracts are 
maintained, it shall be presumed until affirmative proof is present to 
the contrary that all employees in the plant, from the date of award of 
any such contract until the date of delivery of the materials, supplies, 
articles or equipment, were engaged on such Government contract;
    (d) The records required by paragraphs (a), (b), and (c) of this 
section shall be kept on file for at least 3 years from their last date 
of entry;
    (e) Basic employment and earnings records: All basic time and 
earning cards or sheets of the employer on which are entered the daily 
starting and stopping time of individual employees or of separate work 
forces, or the individual employees' daily, weekly, or pay period 
amounts of work accomplished (for example, units produced) when those 
amounts determine in whole or in part the pay period earnings or wages 
of those employees;

[[Page 14]]

    (f) Wage rate tables: All tables or schedules of the employer which 
provide the piece rates or other rates used in computing straight-time 
earnings, wages or salary, or overtime excess compensation;
    (g) Work time schedules: All schedules or tables of the employer 
which establish the hours and days of employment of individual employees 
or of separate work forces;
    (h) The records required by paragraphs (e), (f), and (g) of this 
section shall be kept on file at least 2 years from their last date of 
entry or their last effective date whichever is later.

(Approved by the Office of Management and Budget under control number 
1215-0017)

[7 FR 7949, Oct. 7, 1942, as amended at 13 FR 5440, Sept. 17, 1948; 23 
FR 2573, Apr. 18, 1958. Redesignated at 24 FR 10952, Dec. 30, 1959, and 
amended at 47 FR 145, Jan. 5, 1982]



Sec. 50-201.502   Record of injuries.

    Every person who is or shall become a party to a Government contract 
which is subject to the provisions of the Walsh-Healey Public Contracts 
Act and the regulations thereunder, or who is performing or shall 
perform any part of such contract subject to the provisions of such Act 
or regulations, shall comply with the recordkeeping requirements of 29 
CFR Part 1904.

[36 FR 20676, Oct. 28, 1971]



Sec. 50-201.601   Requests for exceptions and exemptions.

    (a)(1) Request for the exception or exemption of a contract or class 
of contracts from the inclusion or application of one or more of those 
stipulations required by Sec. 50-201.1 must be made by the head of a 
contracting agency or department and shall be accompanied with a finding 
by him setting forth reasons why such inclusion or application will 
seriously impair the conduct of Government business.
    (2) Request for the exception or exemption of a stipulation 
respecting minimum rates of pay and maximum hours of labor contained in 
an existing contract must be made jointly by the head of the contracting 
agency and the contractor and shall be accompanied with a joint finding 
by them setting forth reasons why such exception or exemption is 
desired.
    (b) All requests for exceptions or exemptions which relate solely to 
safety and health standards shall be transmitted directly to the 
Occupational Safety and Health Administration, U.S. Department of Labor, 
Washington, DC 20210, or, for those pertaining to coal mines, the Mine 
Safety and Health Administration, U.S. Department of Labor, 4015 Wilson 
Boulevard, Arlington, VA 22203. All other requests for exceptions or 
exemptions shall be transmitted to the Administrator of the Wage and 
Hour Division, Employment Standards Administration, U.S. Department of 
Labor, Washington, DC 20210.

[7 FR 4767, June 26, 1942. Redesignated at 24 FR 10952, Dec. 30, 1959 
and amended at 36 FR 288, Jan. 8, 1971; 52 FR 6147, Mar. 2, 1987]



Sec. 50-201.602  Decisions concerning exceptions and exemptions.

    Decisions concerning exceptions and exemptions shall be in writing 
and approved by the Secretary of Labor or authorized representative, and 
shall be transmitted to the department or agency originating the request 
and to the Comptroller General. All such decisions containing 
significant issues of general applicability shall be disseminated to all 
contracting agencies by the Wage and Hour Division, ESA, of the 
Department of Labor.

[52 FR 6147, Mar. 2, 1987]



Sec. 50-201.603   Full administrative exemptions.

    The following classes of contracts have been exempted from the 
application of Sec. 50-201.1 pursuant to the procedure required under 
section 6 of the act:
    (a) Contracts for public utility services including electric light 
and power, water, steam, and gas;
    (b) Contracts for materials, supplies, articles, or equipment no 
part of which will be manufactured or furnished within the geographic 
limits of the States of the United States of America, Puerto Rico, the 
Virgin Islands, or the District of Columbia: In addition, the 
representations and stipulations required by the act and this part in 
any

[[Page 15]]

contract for materials, supplies, articles, or equipment to be 
manufactured or furnished in part within and in part outside such 
geographic limits shall not be applicable to any work performed under 
the contract outside such geographic limits;
    (c) Contracts covering purchases against the account of a defaulting 
contractor where the stipulations required in this section were not 
included in the defaulted contract;
    (d) Contracts awarded to sales' agents or publisher representatives, 
for the delivery of newspapers, magazines or periodicals by the 
publishers thereof.

[25 FR 12553, Dec. 8, 1960]



Sec. 50-201.701   Definition of ``person.''

    Whenever used in the regulations in this part, the word person 
includes one or more individuals, partnerships, associations, 
corporations, legal representatives, trustees, trustees in bankruptcy, 
or receivers.

[1 FR 1627, Sept. 19, 1936. Redesignated at 24 FR 10952, Dec. 30, 1959]



Sec. 50-201.1101  Minimum wages.

    Determinations of prevailing minimum wages or changes therein will 
be published in the Federal Register by the Wage and Hour Division, ESA, 
of the Department of Labor.

[52 FR 6147, Mar. 2, 1987]



Sec. 50-201.1102   Tolerance for apprentices, student-learners, and handicapped workers.

    (a) Apprentices, student-learners, and workers, whose earning 
capacity is impaired by age or physical or mental deficiencies or 
injuries may be employed at wages lower than the prevailing minimum 
wages, determined by the Secretary of Labor pursuant to section 1(b) of 
the Public Contracts Act, in accordance with the same standards and 
procedures as are prescribed for the employment of apprentices, student-
learners, handicapped persons, and handicapped clients of sheltered 
workshops under section 14 of the Fair Labor Standards Act of 1938, and 
by the regulations of the Administrator of the Wage and Hour Division of 
the Department of Labor issued thereunder (29 CFR parts 520, 521, 524, 
525, and 528).
    (b) Any certificate in effect pursuant to such regulations shall 
constitute authorization for employment of that worker under the Public 
Contracts Act in accordance with the terms of the certificate, insofar 
as the prevailing minimum wage is concerned.
    (c) The Administrator is authorized to issue certificates under the 
Public Contracts Act for the employment of apprentices, student-
learners, handicapped persons, or handicapped clients of sheltered 
workshops not subject to the Fair Labor Standards Act of 1938, or 
subject to different minimum rates of pay under the two acts, at 
appropriate rates of compensation and in accordance with the standards 
and procedures prescribed by the applicable regulations issued under the 
Fair Labor Standards Act of 1938 (29 CFR parts 520, 521, 524, and 525).
    (d) The Administrator is also authorized to withdraw, annul, or 
cancel such certificates in accordance with the regulations set forth in 
29 CFR parts 525 and 528.

[28 FR 9529, Aug. 30, 1963, as amended at 52 FR 6147, Mar. 2, 1987]
Sec. 50-201.1201  [Reserved]



Sec. 50-201.1202   Complaints.

    Whenever any officer or employee of the United States Government or 
of any agency thereof has any knowledge of, or receives any complaint 
with respect to, a breach or violation of the stipulations required 
under Sec. 50-201.1, he shall transmit such complaint according to the 
usual practice in his department to the Department of Labor, together 
with such other information as he has in his possession.

[1 FR 1627, Sept. 19, 1936. Redesignated at 24 FR 10952, Dec. 30, 1959]



Sec. 50-201.1203   Other contracts.

    Nothing in this part shall be construed as impairing the authority 
possessed by any contracting agency to require labor standards in 
contracts not covered by this act.

[1 FR 1627, Sept. 19, 1936. Redesignated, at 24 FR 10952, Dec. 30, 1959]

[[Page 16]]



PART 50-202--MINIMUM WAGE DETERMINATIONS--Table of Contents




                    Subpart A--Application and Scope

Sec.
50-202.1  Application and scope.

                     Subpart B--Groups of Industries

50-202.2  Minimum wage in all industries.
50-202.3  Learners, student learners, apprentices, and handicapped 
          workers.

                          Subpart C--[Reserved]

    Cross Reference: For regulations relative to employment of learners, 
see 29 CFR Part 522.
    Authority: Secs. 1, 4, and 6, 49 Stat. 2036, 2038; 41 U.S.C. 35, 38, 
40. Sec. 10, 66 Stat. 308; 41 U.S.C. 43a.



                    Subpart A--Application and Scope



Sec. 50-202.1   Application and scope.

    Not less than the minimum wages prescribed in this part shall be 
paid to employees described in Sec. 50-201.102 of this chapter when 
their work relates to contracts subject to the Walsh-Healey Public 
Contracts Act. The minimum wages prescribed in this part shall apply to 
all contracts bids for which are solicited or negotiations otherwise 
commenced on or after the effective date of the applicable 
determination. Nothing in this part shall affect any obligations for the 
payment of minimum wages that an employer may have under any law or 
agreement more favorable to employees than than the requirements of this 
part.

(Secs. 1, 4, 49 Stat. 2036, 2038; 41 U.S.C. 35, 38)

[26 FR 9043, Sept. 26, 1961]



                     Subpart B--Groups of Industries



Sec. 50-202.2  Minimum wage in all industries.

    In all industries, the minimum wage applicable to employees 
described in Sec.  50-201.102 of this chapter shall be not less than 
$3.35 per hour commencing January 1, 1981, $3.80 per hour commencing 
April 1, 1990, and $4.25 per hour commencing April 1, 1991.

[56 FR 32258, July 15, 1991]



Sec. 50-202.3  Learners, student learners, apprentices, and handicapped workers.

    Learners, student learners, apprentices, and handicapped workers may 
be employed at less than the minimum wage prescribed in Sec. 50-202.2 to 
the same extent such employment is permitted under section 14 of the 
Fair Labor Standards Act.

(Sec. 6, 49 Stat. 2038; 41 U.S.C. 40)

[43 FR 28495, June 30, 1978]



                          Subpart C--[Reserved]



PART 50-203--RULES OF PRACTICE--Table of Contents




   Subpart A--Proceedings Under Section 5 of the Walsh-Healey Public 
                              Contracts Act

Sec.
50-203.1  Reports of breach or violation.
50-203.2  Issuance of a formal complaint.
50-203.3  Answer.
50-203.4  Motions.
50-203.5  Intervention.
50-203.6  Witnesses and subpoenas.
50-203.7  Prehearing conferences.
50-203.8  Hearing.
50-203.9  Briefs.
50-203.10  Decision of the administrative law judge.
50-203.11  Review.
50-203.12  Effective date.

Subpart B--Exceptions and Exemptions Pursuant to Section 6 of the Walsh-
                       Healey Public Contracts Act

50-203.13  Requests for exceptions and exemptions.
50-203.14  Decisions concerning exceptions and exemptions.

  Subpart C--Minimum Wage Determinations Under the Walsh-Healey Public 
                              Contracts Act

50-203.15  Initiation of proceeding.
50-203.16  Industry panel meetings.
50-203.17  Hearings.
50-203.18  Evidence.
50-203.19  Subpoenas and witness fees.
50-203.20  Examination of witnesses.
50-203.21  Decisions.
50-203.22  Effective date of determinations.

    Authority: Sec. 4, 49 Stat. 2038; 41 U.S.C. 38.

[[Page 17]]



   Subpart A--Proceedings Under Section 5 of the Walsh-Healey Public 
                              Contracts Act

    Source: 11 FR 14493, Dec. 18, 1946, unless otherwise noted. 
Redesignated at 24 FR 10952, Dec. 30, 1959.



Sec. 50-203.1   Reports of breach or violation.

    (a) Any employer, employee, labor or trade organization or other 
interested person or organization may report a breach or violation, or 
apparent breach or violation of the Walsh-Healey Public Contracts Act of 
June 30, 1936 (49 Stat. 2036, as amended; 41 U.S.C. 35-45), or of any of 
the rules or regulations prescribed thereunder.
    (b) A report of breach or violation may be reported to the nearest 
office of the Wage and Hour Division, Employment Standards 
Administration or with the Administrator, Wage and Hour Division, 
Employment Standards Administration, 200 Constitution Avenue, NW., 
Washington, D.C. 20210.
    (c)  [Reserved]
    (d) In the event that the Wage and Hour Division is notified of a 
breach or violation which also involves safety and health standards, 
such Director shall notify the appropriate Regional Director of the 
Bureau of Labor Standards who shall with respect to the safety and 
health violation take action commensurate with his responsibilities 
pertaining to safety and health standards.
    (e) The report should contain the following:
    (1) The full name and address of the person or organization 
reporting the breach or violation.
    (2) The full name and address of the person against whom the report 
is made, hereinafter referred to as the ``respondent''.
    (3) A clear and concise statement of the facts constituting the 
alleged breach or violation of any of the provisions of the Walsh-Healey 
Public Contracts Act, or of any of the rules or regulations prescribed 
thereunder.

(41 U.S.C. 35, 40; 5 U.S.C. 556)

[32 FR 7702, May 26, 1967, as amended at 36 FR 288, Jan. 8, 1971; 61 FR 
19987, May 3, 1996]



Sec. 50-203.2   Issuance of a formal complaint.

    After a report of a breach or violation has been filed, or upon his 
own motion and without any report of a breach or violation having been 
previously filed, the Solicitor may issue and cause to be served upon 
the respondent a formal complaint stating the charges. Notice of hearing 
before an administrative law judge designated by the Secretary of Labor 
shall be issued and served within a reasonable time after the issuance 
of the complaint. A copy of the complaint and notice of hearing shall be 
served upon the surety or sureties. Unless the administrative law judge 
otherwise determines, the date of hearing shall not be sooner than 30 
days after the date of issuance of the complaint.

[35 FR 14839, Sept. 24, 1970, as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.3   Answer.

    (a) The respondent shall have the right, unless otherwise specified 
in the complaint and notice, within twenty (20) days after date of 
issuance of the formal complaint, to file an answer thereto. Such answer 
shall not be limited to a mere denial of the charges. It shall 
specifically deny or admit each of the charges, and, if the answer is in 
denial of any one of the charges, it shall contain a concise statement 
of the facts relied upon in support of the denial. Any charges not 
specifically denied in the answer shall be deemed to be admitted and may 
be so found by the the administrative law judge, unless the respondent 
disclaims knowledge upon which to make a denial. If the answer should 
admit any charge but the respondent believes there are reasons or 
circumstances warranting special consideration, such reasons and 
circumstances should be fully but concisely stated.
    (b) Such answer shall be in writing, and signed by the respondent or 
his attorney or by any other duly authorized agent with power of 
attorney affixed.
    (c) If no answer is filed, or if the answer as filed does not 
warrant a postponement of the hearing, such hearing will be held as 
scheduled.

[[Page 18]]

    (d) The original and two copies of the answer shall be filed with 
the Chief administrative law judge, Department of Labor, Washington, 
D.C.
    (e) In any case where formal complaints have been amended, the 
respondent shall have the right to amend his answer within such time as 
may be fixed by the administrative law judge.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.4   Motions.

    (a) All motions except those made at the hearing shall be filed in 
writing with the Chief administrative law judge, Department of Labor, 
Washington, D.C., and shall be included in the record. Such motions 
shall state briefly the order or relief applied for and the grounds for 
such motion. The moving party shall file an original and two copies of 
all such motions. All motions made at the hearing shall be stated orally 
and included in the stenographic report of the hearing.
    (b) The administrative law judge designated to conduct the hearing 
may in his discretion reserve his ruling upon any question or motion.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.5   Intervention.

    Any employer, employee, labor or trade organization or other 
interested person or organization desiring to intervene in any pending 
proceeding prior to, or at the time it is called for hearing, but not 
after a hearing, except for good cause shown, shall file a petition in 
writing for leave to intervene, which shall be served on all parties to 
the proceeding, with the Chief administrative law judge, Department of 
Labor, or with the administrative law judge designated to conduct the 
hearing, setting forth the position and interest of the petitioner and 
the grounds of the proposed intervention. The Chief administrative law 
judge, or the administrative law judge, as the case may be, may grant 
leave to intervene to such extent and upon such terms as he shall deem 
just.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.6   Witnesses and subpoenas.

    (a) Witnesses shall be examined orally under oath except that for 
good and exceptional cause the administrative law judge may permit their 
testimony to be taken by deposition under oath.
    (b) The administrative law judge shall upon application by any 
party, and upon a showing of general relevance and reasonable scope of 
the evidence sought, issue subpoenas requiring the attendance and 
testimony of witnesses and the production of evidence under oath, 
including books, records, correspondence, or documents. Applications for 
the issuance of subpoenas duces tecum shall specify the books, records, 
correspondence or other documents sought.
    (c) Witnesses summoned before the administrative law judge shall be 
paid the same fees and mileage that are paid witnesses in the courts of 
the United States, and witnesses whose depositions are taken and the 
persons taking the same shall severally be entitled to the same fees as 
are paid for like services in the courts of the United States. Witness 
fees and mileage shall be paid by the party at whose instance the 
witnesses appear, and the person taking the depositions shall be paid by 
the party at whose instance the depositions are taken.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and amended at 36 FR 289, Jan. 8, 1971; 61 FR 19987, May 3, 1996]



Sec. 50-203.7   Prehearing conferences.

    (a) At any time prior to the hearing the administrative law judge 
may, on motion of the parties or on his own motion, whenever it appears 
that the public interest will be served thereby, direct the parties to 
appear before him for a conference at a designated time and place to 
consider, among other things:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amending the pleadings for 
purposes of clarification, amplification or limitation;

[[Page 19]]

    (3) Obtaining stipulations of fact or admissions of undisputed facts 
or the authenticity of documents;
    (4) The procedure at the hearing;
    (5) Limiting the number of witnesses;
    (6) The propriety of mutual exchange among parties of prepared 
testimony or exhibits; or
    (7) Any other matters which would tend to expedite the disposition 
of the proceeding.
    (b) The action taken at the conference may be recorded, in summary 
form or otherwise, for use at the hearing. Such record, when agreed to 
by the parties and approved by the administrative law judge, shall be 
conclusive as to the action embodied therein. Stipulations and 
admissions of fact and amendments to pleadings shall be made a part of 
the record of the proceeding.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.8   Hearing.

    (a) The hearing for the purpose of taking evidence upon a formal 
complaint shall be conducted by an administrative law judge. 
Administrative law judges shall, so far as practicable, be assigned to 
cases in rotation. In case of the death, illness, disqualification or 
unavailability of the administrative law judge presiding in any 
proceeding, another administrative law judge may be designated to take 
his place. Such hearings shall be open to the public unless otherwise 
ordered by the administrative law judge.
    (b) The administrative law judges shall perform no duties 
inconsistent with their duties and responsibilities as administrative 
law judges. Save to the extent required for the disposition of ex parte 
matters as authorized by law, no administrative law judge shall consult 
any person or party as to any fact in issue unless upon notice and 
opportunity for all parties to participate.
    (c) Administrative law judges shall act independently in the 
performance of their functions as administrative law judge and shall not 
be responsible to, or subject to the supervision or direction of, any 
officer, employee or agent engaged in the performance of investigative 
or prosecuting functions for the Department of Labor in the enforcement 
of the Public Contracts Act.
    (d) At all hearings it shall be the right of counsel for the 
Government to open and close, subject to the right of the administrative 
law judge to designate, upon cause shown, who shall open and close.
    (e) It shall be the duty of the administrative law judge to inquire 
fully into the facts as to whether the respondent has breached or 
violated any of the provisions of the Walsh-Healey Public Contracts Act 
of June 30, 1936 (49 Stat. 2036, as amended; 41 U.S.C. 35-45), or any 
rules or regulations prescribed thereunder, as set forth in the formal 
complaint. Counsel for the Government, and the administrative law judge, 
shall have the power to call, examine, and cross-examine witnesses and 
to introduce into the record documentary or other evidence.
    (f) Any party to the proceeding shall have the right to appear at 
such hearing in person, by counsel, or otherwise, to call, examine, and 
cross-examine witnesses, and to introduce into the record documentary or 
other evidence.
    (g) In any such proceedings, the rules of evidence prevailing in 
courts of law or equity shall not be controlling. However, it shall be 
the policy to exclude irrelevant, immaterial, or unduly repetitious 
evidence.
    (h) In any such proceedings, in the discretion of the administrative 
law judge, stipulations of fact may be made with respect to any issue.
    (i) Any objection with respect to the conduct of the hearing, 
including any objection to the introduction of evidence, shall be stated 
orally, together with a short statement of the grounds for such 
objection, and included in the stenographic report of the hearing. No 
such objection shall be deemed waived by further participation in the 
proceeding.
    (j) Unless the administrative law judge otherwise directs, any party 
to the proceeding shall be entitled to a reasonable period at the close 
of the hearing for oral argument, which shall not be included in the 
stenographic report of the hearing unless the administrative law judge 
directs.
    (k) In the discretion of the administrative law judge, the hearing 
may be

[[Page 20]]

continued from day to day, or adjourned to a later date, or to a 
different place, by announcement thereof at the hearing by the 
administrative law judge, or by other appropriate notice.
    (l) Contemptuous conduct at any hearing before an administrative law 
judge shall be ground for exclusion from the hearing. The failure or 
refusal of a witness to appear at any such hearing or to answer any 
question which has been ruled to be proper shall be ground for the 
action provided in section 5 of the Walsh-Healey Public Contracts Act of 
June 30, 1936 (sec. 5, 49 Stat. 2039; 41 U.S.C. 39), and in the 
discretion of the administrative law judge may be ground for the 
striking out of all testimony which may have been previously given by 
such witness on related matters.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and amended at 36 FR 289, Jan. 8, 1971; 61 FR 19987, May 3, 1996; 61 FR 
32910, June 25, 1996]



Sec. 50-203.9   Briefs.

    (a) Any interested person or organization shall be entitled to file 
with the administrative law judge, Department of Labor, Washington, 
D.C., briefs, proposed findings of fact or conclusions of law, or other 
written statements, within the time allowed by the administrative law 
judge.
    (b) Any brief or written statement shall be stated in concise terms.
    (c) Three copies of all such documents shall be filed.
    (d) Briefs or written statements of more than twenty pages shall be 
properly indexed.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.10   Decision of the administrative law judge.

    (a) Following the hearing and upon completion of the record, the 
administrative law judge shall issue an order and decision embodying his 
findings of fact and conclusions of law on all issues as to whether 
respondent has violated the representations and stipulations of the act 
and the amount of damages due therefor, which shall become final, unless 
a petition for review is filed under Sec. 50-203.11, before the 
expiration of the time provided for the filing of such petition. The 
decision of the administrative law judge shall be inoperative unless and 
until it becomes final. If the respondent is found to have violated the 
act, the administrative law judge in his decision shall make 
recommendations to the Administrative Review Board as to whether 
respondent should be relieved from the application of the ineligible 
list provisions of section 3 of the Walsh-Healey Public Contracts Act of 
June 30, 1936 (sec. 3, 49 Stat. 2037; 41 U.S.C. 37).
    (b) The decision of the administrative law judge shall be made part 
of the record, and a copy thereof shall be served upon the respondent or 
respondents by mailing a copy thereof by registered mail to the 
respondent or respondents or to the attorney or attorneys of record. 
Upon request from employees or other interested persons, the decision 
will be served upon such persons, and in the discretion of the 
administrative law judge, the decision will be served upon such other 
persons or their attorneys who appeared at the hearing or upon brief by 
mailing a copy thereof to such persons.

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19987, May 3, 1996]



Sec. 50-203.11   Review.

    (a) Within twenty (20) days after service of the decision of the 
administrative law judge any interested party to the proceeding may file 
with the Chief administrative law judge an original and four copies of a 
petition for review of the decision. The petition shall set out 
separately and particularly each error assigned. The request for review 
and the record will then be certified to the Administrative Review 
Board.
    (b) The petitioner may file a brief (original and four copies) in 
support of his petition within the period allowed for the filing of the 
petition. Any interested person upon whom the decision has been served 
may file within ten (10) days after the expiration of the period within 
which the petition is required to be filed a brief in support of or in 
opposition to the administrative law judge's decision.

[[Page 21]]

    (c) The petition and the briefs filed under this section shall make 
specific reference to the pages of the transcript or of the exhibits 
which are relevant to the errors asserted with respect to findings of 
fact, and objections to such findings which are not so supported will 
not be considered.
    (d) No matter properly subject to objection before the 
administrative law judge will be considered by the Administrative Review 
Board unless it shall have been raised before the administrative law 
judge or unless there were reasonable grounds for failure so to do; nor 
will any matter be considered by the Administrative Review Board unless 
included in the assignment or errors. In the discretion of the 
Administrative Review Board, review may be denied if the petition and 
brief in support thereof fail to show adequate cause for such review.
    (e) The order denying review, or the decision of the Administrative 
Review Board, whichever is entered, will be made a part of the record, 
and a copy of such order or decision will be served upon the parties who 
were served with a copy of the administrative law judge's decision.
    (f) If the respondent is found to have violated the Act, the 
Administrative Review Board shall determine whether respondent shall be 
relieved from the application of the ineligible list provisions of 
section 3 of the Walsh-Healey Public Contracts Act (sec. 4, 49 Stat. 
2039; 41 U.S.C. 37).

[11 FR 14493, Dec. 18, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and amended at 36 FR 289, Jan. 8, 1971; 61 FR 19987, May 3, 1996]



Sec. 50-203.12  Effective date.

    The amendments to Subpart A shall become effective upon publication 
in the Federal Register May 3, 1996; Provided, however, That in any case 
where a hearing has begun or has been completed prior to said 
publication, the proceeding shall be conducted pursuant to the rules of 
practice in effect at the time the proceeding was initiated unless the 
parties stipulate in writing or orally for the record that the 
proceeding be conducted in accordance with Secs. 50-203.1 to 50-203.12.

[61 FR 19988, May 3, 1996]



Subpart B--Exceptions and Exemptions Pursuant to Section 6 of the Walsh-
                       Healey Public Contracts Act



Sec. 50-203.13   Requests for exceptions and exemptions.

    (a) Request for the exception or exemption of a contract or class of 
contracts from the inclusion or application of one or more of those 
stipulations required by Sec. 50-201.1 of this chapter must be made by 
the head of a contracting agency or department and shall be accompanied 
with a finding by him setting forth reasons why such inclusion or 
application will seriously impair the conduct of Government business.
    (b) Request for the exception or exemption of a stipulation 
respecting minimum rates of pay and maximum hours of labor contained in 
an existing contract must be made jointly by the head of a contracting 
agency and the contractor and shall be accompanied with a joint finding 
by them setting forth reasons why such exception or exemption is 
desired.
    (c) All requests for exceptions or exemptions which relate solely to 
safety and health standards shall be transmitted directly to the Bureau 
of Labor Standards, WSA, Department of Labor. All other requests for 
exceptions or exemptions shall be transmitted to the Office of 
Government Contracts Wage Standards, WSA, of the Department of Labor.

[12 FR 446, Jan. 22, 1947. Redesignated at 24 FR 10952, Dec. 30, 1959, 
and amended at 36 FR 289, Jan. 8, 1971]



Sec. 50-203.14   Decisions concerning exceptions and exemptions.

    Decisions concerning exceptions and exemptions shall be in writing 
and approved by the Secretary of Labor or officer prescribed by him, 
originals being filed in the Department of Labor, and certified copies 
shall be transferred to the department or agency originating the request 
and to the Comptroller General. All such decisions shall be

[[Page 22]]

promulgated to all contracting agencies by the Office of Government 
Contracts Wage Standards, WSA of the Department of Labor.

[36 FR 289, Jan. 8, 1971]



  Subpart C--Minimum Wage Determinations Under the Walsh-Healey Public 
                              Contracts Act

    Source: 17 FR 7944, Aug. 30, 1952, unless otherwise noted. 
Redesignated at 24 FR 10952, Dec. 30, 1959.



Sec. 50-203.15   Initiation of proceeding.

    Wage determination proceedings may be initiated by the Secretary of 
Labor with respect to any industry. The proceedings may be initiated by 
the Secretary of Labor upon his own motion or upon the request of any 
party showing a proper interest in the industry.



Sec. 50-203.16   Industry panel meetings.

    The Secretary of Labor may, within his discretion, invite 
representatives of employers and employees in an industry to meet as an 
informal panel group to discuss with representatives of the Department 
of Labor the various questions relating to the issuance of a wage 
determination for the industry.



Sec. 50-203.17   Hearings.

    (a) Hearings held for the purpose of receiving evidence with regard 
to prevailing minimum wages in the various industries shall be conducted 
by an administrative law judge.
    (b) Due notice of hearing shall be published in the Federal 
Register.
    (c) The hearing shall be stenographically reported and a transcript 
made which will be available to any person at prescribed rates upon 
request addressed to the Secretary, United States Department of Labor, 
Washington, DC 20210.
    (d) At the discretion of the administrative law judge, the hearing 
may be continued from day to day or adjourned to a later date, or to a 
different place by announcement thereof at the hearing or by other 
appropriate notice.

[17 FR 7944, Aug. 30, 1952. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19988, May 3, 1996]



Sec. 50-203.18   Evidence.

    (a) Witnesses appearing at the hearing need not be sworn. The 
administrative law judge may, however, within his discretion, require 
that witnesses take an oath or affirmation as to testimony submitted.
    (b) Written statements may be filed any time prior to the date of 
the hearing by persons who cannot appear personally.
    (c) Written documents and exhibits shall be tendered in 
quadruplicate. When evidence is embraced in a document containing matter 
not intended to be put in evidence, within the discretion of the 
administrative law judge, such a document will not be received but the 
person offering the same may present to the administrative law judge the 
original document together with two copies of those portions of the 
document intended to be put in evidence.
    (d) At any stage of the hearing, the administrative law judge may 
call for further evidence upon any matter. After the hearing has been 
closed, no further evidence shall be taken, except at the request of the 
Administrative Review Board, unless provision has been made at the 
hearing for the later receipt of such evidence. In the event that the 
Administrative Review Board shall cause the hearing to be reopened for 
the purpose of receiving further evidence, due and reasonable notice of 
the time and place fixed for such taking of testimony shall be given to 
all persons who have appeared at the hearing or filed a notice of 
intention to appear at the hearing.
    (e) The rules of evidence prevailing in courts of law or equity 
shall not be controlling. However, it shall be the policy to exclude 
irrelevant, immaterial, or unduly repetitious evidence.

[17 FR 7944, Aug. 30, 1952. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19988, May 3, 1996]



Sec. 50-203.19   Subpoenas and witness fees.

    (a) Subpoenas requiring the attendance of witnesses or the 
presentation of a document from any place in the United States at any 
designated place of hearing shall be issued by the administrative law 
judge upon request and

[[Page 23]]

upon a timely showing, in writing, of the general relevance and 
reasonable scope of the evidence sought. Any person appearing in the 
proceeding may apply for the issuance of a subpoena. Such application 
shall identify exactly the witness or document and state fully the 
nature of the evidence proposed to be secured.
    (b) Witnesses summoned by the Secretary shall be paid the same fees 
and mileage as are paid witnesses in the courts of the United States. 
Witness fees and mileage shall be paid by the party at whose instance 
witnesses appear, and the Secretary before issuing a subpoena may 
require a deposit of an amount adequate to cover the fees and mileage 
involved.

[17 FR 7944, Aug. 30, 1952. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19988, May 3, 1996]



Sec. 50-203.20   Examination of witnesses.

    The administrative law judge shall, consistent with orderly 
procedure, permit any person appearing at the hearing to conduct such 
examination or cross-examination of any witness as may be required for a 
full and true disclosure of the facts, and to object to the admission or 
exclusion of evidence. Objections to the admission or exclusion of 
evidence shall be stated briefly with the reasons relied on. Such 
objections shall become a part of the record, but the record shall not 
include argument thereon except as ordered by the administrative law 
judge.

[17 FR 7944, Aug. 30, 1952. Redesignated at 24 FR 10952, Dec. 30, 1959, 
as amended at 61 FR 19988, May 3, 1996]



Sec. 50-203.21   Decisions.

    (a) Within 30 days after the close of the hearing, each interested 
person at the hearing may file with the administrative law judge an 
original and four copies of a statement containing proposed findings of 
fact and conclusions of law, together with reasons for such proposals. 
The administrative law judge shall, immediately following the 
termination of the thirty-day period provided for the filing of proposed 
findings and conclusions, certify the complete record to the 
Administrative Review Board.
    (b) Upon the basis, and after consideration, of the whole record, 
the Administrative Review Board may issue a tentative decision. The 
tentative decision shall become part of the record, and shall include: 
(1) A statement of findings and conclusions, with the reasons and bases 
therefor, upon all material issues of fact, law, or discretion presented 
on the record, and (2) any proposed wage determination. Any tentative 
decision shall be published in the Federal Register.
    (c) Within twenty-one days following the publication of any 
tentative decision in the Federal Register, any interested person may 
file an original and four copies of a statement containing exemptions to 
the tentative decision, together with supporting reasons.
    (d) Thereafter, the Administrative Review Board may issue a final 
decision ruling upon each exception filed and including any appropriate 
wage determination. Any final decision shall be published in the Federal 
Register.

[26 FR 8945, Sept. 22, 1961, as amended at 61 FR 19988, May 3, 1996]



Sec. 50-203.22   Effective date of determinations.

    Any minimum wage determination issued as a result of hearings held 
under this subpart shall take effect not less than 30 days after due 
notice is given of the issuance thereof by publication in the Federal 
Register, or at such time prior thereto as may be provided therein upon 
good cause found and published therewith.



PART 50-204--SAFETY AND HEALTH STANDARDS FOR FEDERAL SUPPLY CONTRACTS--Table of Contents




                    Subpart A--Scope and Application

Sec.
50-204.1  Scope and application.
50-204.1a  Variances.

             Subpart B--General Safety and Health Standards

50-204.2  General safety and health standards.
50-204.3  Material handling and storage.
50-204.4  Tools and equipment.
50-204.5  Machine guarding.
50-204.6  Medical services and first aid.

[[Page 24]]

50-204.7  Personal protective equipment.
50-204.8  Use of compressed air.
50-204.10  Occupational noise exposure.

                     Subpart C--Radiation Standards

50-204.20  Radiation--definitions.
50-204.21  Exposure of individuals to radiation in restricted areas.
50-204.22  Exposure to airborne radioactive material.
50-204.23  Precautionary procedures and personnel monitoring.
50-204.24  Caution signs, labels and signals.
50-204.25  Exceptions from posting requirements.
50-204.26  Exemptions for radioactive materials packaged for shipment.
50-204.27  Instruction of personnel posting.
50-204.28  Storage of radioactive materials.
50-204.29  Waste disposal.
50-204.30  Notification of incidents.
50-204.31  Reports of overexposure and excessive levels and 
          concentrations.
50-204.32  Records.
50-204.33  Disclosure to former employee of individual employee's 
          record.
50-204.34  AEC licensees--AEC contractors operating AEC plants and 
          facilities--AEC agreement State licensees or registrants.
50-204.35  Application for variations from radiation levels.
50-204.36  Radiation standards for mining.

            Subpart D--Gases, Vapors, Fumes, Dusts, and Mists

50-204.50  Gases, vapors, fumes, dusts, and mists.
50-204.65  Inspection of compressed gas cylinders.
50-204.66  Acetylene.
50-204.67  Oxygen.
50-204.68  Hydrogen.
50-204.69  Nitrous oxide.
50-204.70  Compressed gases.
50-204.71  Safety relief devices for compressed gas containers.
50-204.72  Safe practices for welding and cutting on containers which 
          have held combustibles.

                    Subpart E--Transportation Safety

50-204.75  Transportation safety.

    Authority: Secs. 1, 4, 49 Stat. 2036, 2038, as amended; 41 U.S.C. 
35, 38; 5 U.S.C. 556.

    Source: 34 FR 7946, May 20, 1969, unless otherwise noted.



                    Subpart A--Scope and Application



Sec. 50-204.1   Scope and application.

    (a) The Walsh-Healey Public Contracts Act requires that contracts 
entered into by any agency of the United States for the manufacture or 
furnishing of materials, supplies, articles, and equipment in any amount 
exceeding $10,000 must contain, among other provisions, a stipulation 
that ``no part of such contract will be performed nor will any of the 
materials, supplies, articles, or equipment to be manufactured or 
furnished under said contract be manufactured or fabricated in any 
plants, factories, buildings, or surroundings or under working 
conditions which are unsanitary or hazardous or dangerous to the health 
and safety of employees engaged in the performance of said contract. 
Compliance with the safety, sanitary, and factory inspection laws of the 
State in which the work or part thereof is to be performed shall be 
prima-facie evidence of compliance with this subsection.'' (sec. 1(e)), 
49 Stat. 2036, 41 U.S.C. 35(e)). This part 50-204 expresses the 
Secretary of Labor's interpretation and application of this provision 
with regard to certain particular working conditions. In addition, 
Secs. 50-204.27, 50-204.30, 50-204.31, 50-204.32, 50-204.33, and 50-
204.36 contain requirements concerning the instruction of personnel, 
notification of incidents, reports of exposures, and maintenance and 
disclosure of records.
    (b)(1) Every investigator conducting investigations and every 
officer of the Department of Labor determining whether there are or have 
been violations of the safety and health requirements of the Walsh-
Healey Public Contracts Act and of any contract subject thereto; and 
whether a settlement of the resulting issues should be made without 
resort to administrative or court litigation, shall treat a failure to 
comply with, or violation of, any of the safety and health measures 
contained in this part 50-204 as resulting in working conditions which 
are ``unsanitary or hazardous or dangerous to the health and safety of 
employees'' within

[[Page 25]]

the meaning of section 1(e) of the Act and the contract stipulation it 
requires. Evidence of compliance with the safety, sanitary, and factory 
inspection laws of a State in which the work, or part thereof, is 
performed will be considered prima facie evidence of compliance with the 
safety and health requirements of the Act and of any contract subject 
thereto, and it shall be sufficient unless rebutted or overcome by a 
preponderance of evidence of a failure to comply with any applicable 
safety and health rules contained in this part.
    (2) Every investigator shall have technical competence in safety, 
industrial hygiene, or both as may be appropriate, in the matters under 
investigation.
    (c) [Reserved]
    (d) The standards expressed in this part 50-204 are for application 
to ordinary employment situations; compliance with them shall not 
relieve anyone from the obligation to provide protection for the health 
and safety of his employees in unusual employment situations. Neither do 
such standards purport to describe all of the working conditions which 
are unsanitary or hazardous or dangerous to the health and safety of 
employees. Where such other working conditions may be found to be 
unsanitary or hazardous or dangerous to the health and safety of 
employees, professionally accepted safety and health practices will be 
used.
    (e) Compliance with the standards expressed in this part 50-204 is 
not intended, and shall not be deemed to relieve anyone from any other 
obligation he may have to protect the health and safety of his 
employees, arising from sources other than the Walsh-Healey Public 
Contracts Act, such as State, local law or collective bargaining 
agreement.

[34 FR 7946, May 20, 1969, as amended at 36 FR 9868, May 29, 1971]



Sec. 50-204.1a   Variances.

    (a) Variances from standards in this part may be granted in the same 
circumstances in which variances may be granted under sections 
6(b)(6)(A) or 6(d) of the Williams-Steiger Occupational Safety and 
Health Act of 1970 (29 U.S.C. 655). The procedures for the granting of 
variances and for related relief under this part are those published in 
part 1905 of title 29, Code of Federal Regulations.
    (b) Any requests for variances shall also be considered requests for 
variances under the Williams-Steiger Occupational Safety and Health Act 
of 1970, and any variance from a standard which is contained in this 
part and which is incorporated in part 1910 of title 29, Code of Federal 
Regulations, shall be deemed a variance from the standard under both the 
Walsh-Healey Public Contracts Act and the Williams-Steiger Occupational 
Safety and Health Act of 1970. In accordance with the requirements of 
Sec. 1954.3(d)(1)(i) of title 29, Code of Federal Regulations, variance 
actions taken under State provisions under a State occupational safety 
and health plan approved under section 18 of the Occupational Safety and 
Health Act of 1970 with regard to State standards found to be at least 
as effective as the comparable Federal standards contained in this Part 
and incorporated in part 1910 of title 29, Code of Federal Regulations, 
shall be deemed a variance action from the standard under both the 
Walsh-Healey Public Contracts Act and the Occupational Safety and Health 
Act of 1970.

[36 FR 9868, May 29, 1971, as amended at 40 FR 25452, June 16, 1975]



             Subpart B--General Safety and Health Standards



Sec. 50-204.2   General safety and health standards.

    (a) Every contractor shall protect the safety and health of his 
employees by complying with the standards described in the subparagraphs 
of this paragraph whenever a standard deals with an occupational safety 
or health subject or issue involved in the performance of the contract.
    (1) U.S. Department of Labor--Title 29 CFR--

Part 1501--Safety and Health Regulations for Ship Repairing.
Part 1502--Safety and Health Regulations for Shipbuilding.
Part 1503--Safety and Health Regulations for Shipbreaking.
Part 1504--Safety and Health Regulations for Longshoring.

[[Page 26]]

Part 1910--Subpart C through Subpart S (national consensus standards).

    (2) U.S. Department of Interior, Bureau of Mines.
    (i) In Chapter I of Title 30, Code of Federal Regulations, the 
standards requiring safe and healthful working conditions or 
surroundings in:

Subchapter B--Respiratory Protective Apparatus; Tests for 
Permissibility; Fees.
Subchapter C--Explosives and Related Articles; Tests for Permissibility 
and Suitability.
Subchapter D--Electrical Equipment, Lamps, Methane Detectors; Tests for 
Permissibility; Fees.
Subchapter O--Coal Mine Health and Safety.

    (ii) In Chapter II of Title 30 the standards requiring safe and 
healthful working conditions or surroundings in:

Part 211--Coal-Mining Operating and Safety Regulations.
Part 216--Operating and Safety Regulations Governing the Mining of Coal 
in Alaska.
Part 221--Oil and Gas Operating Regulations.
Part 231--Operating and Safety Regulations Governing the Mining of 
Potash; Oil Shale, Sodium, and Phosphate; Sulphur; and Gold, Silver, or 
Quicksilver; and Other Nonmetallic Minerals, Including Silica Sand.

    (3) U.S. Department of Transportation: 49 CFR parts 171--179 and 14 
CFR part 103 Hazardous material regulation--Transportation of compressed 
gases.
    (4) U.S. Department of Agriculture Respiratory Devices for 
Protection against Certain Pesticides--ARS-33-76-2.
    (b) Information concerning the applicability of the standards 
prescribed in paragraph (a) of this section may be obtained from the 
following offices:
    (1) Office of the Bureau of Labor Standards, U.S. Department of 
Labor, Railway Labor Building, Washington, DC 20210.
    (2) The regional and field offices of the Bureau of Labor Standards 
which are listed in the U.S. Government Organization Manual, 1970-71 
edition at p. 324.
    (c) In applying the safety and health standards referred to in 
paragraph (a) of this section the Secretary may add to, strengthen or 
otherwise modify any standards whenever he considers that the standards 
do not adequately protect the safety and health of employees as required 
by the Walsh-Healey Public Contracts Act.

[34 FR 7946, May 20, 1969, as amended at 36 FR 9868, May 29, 1971]



Sec. 50-204.3   Material handling and storage.

    (a) Where mechanical handling equipment is used, sufficient safe 
clearances shall be allowed for aisles, at loading docks, through 
doorways and wherever turns or passage must be made. Aisles and 
passageways shall be kept clear and in good repair, with no obstruction 
across or in aisles that could create a hazard. Permanent aisles and 
passageways shall be appropriately marked.
    (b) Storage of material shall not create a hazard. Bags, containers, 
bundles, etc. stored in tiers shall be stacked, blocked, interlocked and 
limited in height so that they are stable and secure against sliding or 
collapse.
    (c) Storage areas shall be kept free from accumulation of materials 
that constitute hazards from tripping, fire, explosion, or pest 
harborage. Vegetation control will be exercised when necessary.
    (d) Proper drainage shall be provided.
    (e) Clearance signs to warn of clearance limits shall be provided.
    (f) Derail and/or bumper blocks shall be provided on spur railroad 
tracks where a rolling car could contact other cars being worked, enter 
a building, work or traffic area.
    (g) Covers and/or guard rails shall be provided to protect personnel 
from the hazards of open pits, tanks, vats, ditches, etc.

[34 FR 7946, May 20, 1969; 35 FR 1015, Jan. 24, 1970]



Sec. 50-204.4   Tools and equipment.

    Each employer shall be responsible for the safe condition of tools 
and equipment used by employees, including tools and equipment which may 
be furnished by employees.



Sec. 50-204.5   Machine guarding.

    (a) One or more methods of machine guarding shall be provided to 
protect the operator and other employees in the machine area from 
hazards such as those created by point of operation, in

[[Page 27]]

going nip points, rotating parts, flying chips and sparks. Examples of 
guarding methods are--Barrier guards, two hand tripping devices, 
electronic safety devices, etc.
    (b) General requirements for machine guards. Guards shall be affixed 
to the machine where possible and secured elsewhere if for any reason 
attachment to the machine is not possible. The guard shall be such that 
it does not offer an accident hazard in itself.
    (c) Point of Operation Guarding.
    (1) Point of operation is the area on a machine where work is 
actually performed upon the material being processed.
    (2) Where existing standards prepared by organizations listed in 
Sec. 50-204.2 provide for point of operation guarding such standards 
shall prevail. Other types of machines for which there are no specific 
standards, and the operation exposes an employee to injury, the point of 
operation shall be guarded. The guarding device shall be so designed and 
constructed so as to prevent the operator from having any part of his 
body in the danger zone during the operating cycle.
    (3) Special hand tools for placing and removing material shall be 
such as to permit easy handling of material without the operator placing 
a hand in the danger zone. Such tools shall not be in lieu of other 
guarding required by this section, but can only be used to supplement 
protection provided.
    (4) The following are some of the machines which usually require 
point of operation guarding:

Guillotine cutters.
Shears.
Alligator shears.
Power presses.
Milling machines.
Power saws.
Jointers.
Portable power tools.
Forming rolls and calenders.

    (d) Revolving drums, barrels and containers shall be guarded by an 
enclosure which is interlocked with the drive mechanism, so that the 
barrel, drum or container cannot revolve unless the guard enclosure is 
in place.
    (e) When the periphery of the blades of a fan is less than seven (7) 
feet above the floor or working level, the blades shall be guarded. The 
guard shall have openings no larger than one half (\1/2\) inch.
    (f) Machines designed for a fixed location shall be securely 
anchored to prevent walking or moving.



Sec. 50-204.6   Medical services and first aid.

    (a) The employer shall ensure the ready availability of medical 
personnel for advice and consultation on matters of plant health.
    (b) In the absence of an infirmary, clinic or hospital in near 
proximity to the work place which is used for the treatment of all 
injured employees, a person or persons shall be adequately trained to 
render first aid. First aid supplies approved by the consulting 
physician shall be readily available.
    (c) Where the eyes or body of any person may be exposed to injurious 
corrosive materials, suitable facilities for quick drenching or flushing 
of the eyes and body shall be provided within the work area for 
immediate emergency use.

[34 FR 7946, May 20, 1969; 35 FR 1015, Jan. 24, 1970]



Sec. 50-204.7   Personal protective equipment.

    Protective equipment, including personal protective equipment for 
eyes, face, head, and extremities, protective clothing, respiratory 
devices, and protective shields and barriers, shall be provided, used, 
and maintained in a sanitary and reliable condition wherever it is 
necessary by reason of hazards of processes or environment, chemical 
hazards, radiological hazards, or mechanical irritants encountered in a 
manner capable of causing injury or impairment in function of any part 
of the body through absorption, inhalation or physical contact. Where 
employees provide their own protective equipment, the employer shall be 
responsible to assure its adequacy, including proper maintenance and 
sanitation of such equipment. All personal protective equipment shall be 
of safe design and construction for the work to be performed.

[35 FR 1015, Jan. 24, 1970]

[[Page 28]]



Sec. 50-204.8   Use of compressed air.

    Compressed air shall not be used for cleaning purposes except where 
reduced to less than 30 p.s.i. and then only with effective chip 
guarding and personal protective equipment.



Sec. 50-204.10   Occupational noise exposure.

    (a) Protection against the effects of noise exposure shall be 
provided when the sound levels exceed those shown in Table I of this 
section when measured on the A scale of a standard sound level meter at 
slow response. When noise levels are determined by octave band analysis, 
the equivalent A-weighted sound level may be determined as follows:
[GRAPHIC] [TIFF OMITTED] TC21OC91.015

Equivalent sound level contours. Octave band sound pressure levels may 
be converted to the equivalent A-weighted sound level by plotting them 
on this graph and noting the A-weighted sound level corresponding to the 
point of highest penetration into the sound level contours. This 
equivalent A-weighted sound level, which may differ from the actual A-
weighted sound level of the noise, is used to determine exposure limits 
from Table I.
    (b) When employees are subject to sound exceeding those listed in 
Table I of this section, feasible administrative or engineering controls 
shall be utilized. If such controls fail to reduce sound levels within 
the levels of the table, personal protective equipment shall be provided 
and used to reduce sound levels within the levels of the table.
    (c) If the variations in noise level involve maxima at intervals of 
1 second

[[Page 29]]

or less, it is to be considered continuous.
    (d) In all cases where the sound levels exceed the values shown 
herein, a continuing, effective hearing conservation program shall be 
administered.

                                 Table I                                
                     permissible noise exposures\1\                     
------------------------------------------------------------------------
                                                            Sound level 
                 Duration per day, hours                     dBA slow   
                                                             response   
------------------------------------------------------------------------
  8.....................................................              90
  6.....................................................              92
  4.....................................................              95
  3.....................................................              97
  2.....................................................             100
  1\1/2\................................................             102
  1.....................................................             105
  \1/2\.................................................             110
  \1/4\ or less.........................................            115 
------------------------------------------------------------------------
\1\When the daily noise exposure is composed of two or more periods of  
  noise exposure of different levels, their combined effect should be   
  considered, rather than the individual effect of each. If the sum of  
  the following fractions: C1/T1+C2/T2 * * * Cn/Tn exceeds unity, then, 
  the mixed exposure should be considered to exceed the limit value. Cn 
  indicates the total time of exposure at a specified noise level, and  
  Tn indicates the total time of exposure permitted at that level.      


Exposure to impulsive or impact noise should not exceed 140 dB peak 
sound pressure level.

[34 FR 7946, May 20, 1969, as amended at 35 FR 1015, Jan. 24, 1970]



                     Subpart C--Radiation Standards



Sec. 50-204.20   Radiation--definitions.

    As used in this subpart:
    (a) Radiation includes alpha rays, beta rays, gamma rays, X-rays, 
neutrons, high-speed electrons, high-speed protons, and other atomic 
particles; but such term does not include sound or radio waves, or 
visible light, or infrared or ultraviolet light.
    (b) Radioactive material means any material which emits, by 
spontaneous nuclear disintegration, corpuscular or electromagnetic 
emanations.
    (c) Restricted area means any area access to which is controlled by 
the employer for purposes of protection of individuals from exposure to 
radiation or radioactive materials.
    (d) Unrestricted area means any area access to which is not 
controlled by the employer for purposes of protection of individuals 
from exposure to radiation or radioactive materials.
    (e) Dose means the quantity of ionizing radiation absorbed, per unit 
of mass, by the body or by any portion of the body. When the provisions 
in this subpart specify a dose during a period of time, the dose is the 
total quantity of radiation absorbed, per unit of mass, by the body or 
by any portion of the body during such period of time. Several different 
units of dose are in current use. Definitions of units used in this 
subpart are set forth in paragraphs (f) and (g) of this section.
    (f) Rad means a measure of the dose of any ionizing radiation to 
body tissues in terms of the energy absorbed per unit of mass of the 
tissue. One rad is the dose corresponding to the absorption of 100 ergs 
per gram of tissue (1 millirad (mrad)=0.001 rad).
    (g) Rem means a measure of the dose of any ionizing radiation to 
body tissue in terms of its estimated biological effect relative to a 
dose of 1 roentgen (r) of X-rays (1 millirem (mrem)=0.001 rem). The 
relation of the rem to other dose units depends upon the biological 
effect under consideration and upon the conditions for irradiation. Each 
of the following is considered to be equivalent to a dose of 1 rem:
    (1) A dose of 1 rad due to X- or gamma radiation;
    (2) A dose of 1 rad due to X-, gamma, or beta radiation;
    (3) A dose of 0.1 rad due to neutrons or high energy protons;
    (4) A dose of 0.05 rad due to particles heavier than protons and 
with sufficient energy to reach the lens of the eye;
    (5) If it is more convenient to measure the neutron flux, or 
equivalent, than to determine the neutron dose in rads, as provided in 
paragraph (g)(3) of this section, 1 rem of neutron radiation may, for 
purposes of the provisions in this subpart be assumed to be equivalent 
to 14 million neutrons per square centimeter incident upon the body; or, 
if there is sufficient information to estimate with reasonable accuracy 
the approximate distribution in energy of the neutrons, the incident 
number of neutrons per square centimeter equivalent to 1 rem may be 
estimated from the following table:


[[Page 30]]



                      Neutron Flux Dose Equivalents                     
------------------------------------------------------------------------
                                        Number of                       
                                       neutrons per     Average flux to 
 Neutron energy (million electron   square centimeter     deliver 100   
           volts [Mev])              equivalent to a     millirem in 40 
                                      dose of 1 rem     hours (neutrons/
                                     (neutrons/cm\2\)   cm\2\ per sec.) 
------------------------------------------------------------------------
Thermal...........................        970 x 10\6\                670
0.0001............................        720 x 10\6\                500
0.005.............................        820 x 10\6\                570
0.02..............................        400 x 10\6\                280
0.1...............................        120 x 10\6\                 80
0.5...............................         43 x 10\6\                 30
1.0...............................         26 x 10\6\                 18
2.5...............................         29 x 10\6\                 20
5.0...............................         26 x 10\6\                 18
7.5...............................         24 x 10\6\                 17
10................................         24 x 10\6\                 17
10 to 30..........................         14 x 10\6\                 10
------------------------------------------------------------------------

    (h) For determining exposures to X-or gamma rays up to 3 Mev., the 
dose limits specified in this part may be assumed to be equivalent to 
the ``air dose''. For the purpose of this subpart ``air dose'' means 
that the dose is measured by a properly calibrated appropriate 
instrument in air at or near the body surface in the region of the 
highest dosage rate.



Sec. 50-204.21   Exposure of individuals to radiation in restricted areas.

    (a) Except as provided in paragraph (b) of this section, no employer 
shall possess, use, or transfer sources of ionizing radiation in such a 
manner as to cause any individual in a restricted area to receive in any 
period of one calendar quarter from sources in the employer's possession 
or control a dose in excess of the limits specified in the following 
table:

                                                                        
                                                               Rems per 
                                                               calendar 
                                                                quarter 
                                                                        
1. Whole body: Head and trunk; active blood-forming organs;             
 lens of eyes; or gonads....................................      1\1/4\
2. Hands and forearms; feet and ankles......................     18\3/4\
3. Skin of whole body.......................................      7\1/2\
                                                                        

    (b) An employer may permit an individual in a restricted area to 
receive doses to the whole body greater than those permitted under 
paragraph (a) of this section, so long as:
    (1) During any calendar quarter the dose to the whole body shall not 
exceed 3 rems; and
    (2) The dose to the whole body, when added to the accumulated 
occupational dose to the whole body, shall not exceed 5 (N-18) rems, 
where ``N'' equals the individual's age in years at his last birthday; 
and
    (3) The employer maintains adequate past and current exposure 
records which show that the addition of such a dose will not cause the 
individual to exceed the amount authorized in this paragraph. As used in 
this paragraph ``Dose to the whole body'' shall be deemed to include any 
dose to the whole body, gonad, active bloodforming organs, head and 
trunk, or lens of the eye.
    (c) No employer shall permit any employee who is under 18 years of 
age to receive in any period of one calendar quarter a dose in excess of 
10 percent of the limits specified in the table in paragraph (a) of this 
section.
    (d) Calendar quarter means any 3-month period determined as follows:
    (1) The first period of any year may begin on any date in January: 
Provided, That the second, third, and fourth periods accordingly begin 
on the same date in April, July, and October, respectively, and that the 
fourth period extends into January of the succeeding year, if necessary 
to complete a 3-month quarter. During the first year of use of this 
method of determination, the first period for that year shall also 
include any additional days in January preceding the starting date for 
the first period; or
    (2) The first period in a calendar year of 13 complete, consecutive 
calendar weeks; the second period in a calendar year of 13 complete, 
consecutive calendar weeks; the third period in a calendar year of 13 
complete, consecutive calendar weeks; the fourth period in a calendar 
year of 13 complete, consecutive calendar weeks. If at the end of a 
calendar year there are any days not falling within a complete calendar 
week of that year, such days shall be included within the last complete 
calendar week of that year. If at the beginning of any calendar year 
there are days not falling within a complete calendar week of that year, 
such days shall be included within the last complete calendar week of 
the previous year; or
    (3) The four periods in a calendar year may consist of the first 14 
complete, consecutive calendar weeks; the next 12 complete, consecutive 
calendar

[[Page 31]]

weeks, the next 14 complete, consecutive calendar weeks, and the last 12 
complete, consecutive calendar weeks. If at the end of a calendar year 
there are any days not falling within a complete calendar week of that 
year, such days shall be included (for purposes of this part) within the 
last complete calendar week of the year. If at the beginning of any 
calendar year there are days not falling within a complete calendar week 
of that year, such days shall be included (for purposes of this part) 
within the last complete week of the previous year.
    (e) No employer shall change the method used by him to determine 
calendar quarters except at the beginning of a calendar year.



Sec. 50-204.22   Exposure to airborne radioactive material.

    (a) No employer shall possess, use or transport radioactive material 
in such a manner as to cause any employee, within a restricted area, to 
be exposed to airborne radioactive material in an average concentration 
in excess of the limits specified in Table I of Appendix B to 10 CFR 
Part 20. The limits given in Table I are for exposure to the 
concentrations specified for 40 hours in any workweek of 7 consecutive 
days. In any such period where the number of hours of exposure is less 
than 40, the limits specified in the table may be increased 
proportionately. In any such period where the number of hours of 
exposure is greater than 40, the limits specified in the table shall be 
decreased proportionately.
    (b) No employer shall possess, use, or transfer radioactive material 
in such a manner as to cause any individual within a restricted area, 
who is under 18 years of age to be exposed to airborne radioactive 
material in an average concentration in excess of the limits specified 
in Table II of Appendix B to 10 CFR Part 20. For purposes of this 
paragraph, concentrations may be averaged over periods not greater than 
1 week.
    (c) Exposed as used in this section means that the individual is 
present in an airborne concentration. No allowance shall be made for the 
use of protective clothing or equipment, or particle size, except as 
authorized by the Director, Bureau of Labor Standards.



Sec. 50-204.23   Precautionary procedures and personnel monitoring.

    (a) Every employer shall make such surveys as may be necessary for 
him to comply with the provisions in this subpart. ``Survey'' means an 
evaluation of the radiation hazards incident to the production, use, 
release, disposal, or presence of radioactive materials or other sources 
of radiation under a specific set of conditions. When appropriate, such 
evaluation includes a physical survey of the location of materials and 
equipment, and measurements of levels of radiation or concentrations of 
radioactive material present.
    (b) Every employer shall supply appropriate personnel monitoring 
equipment, such as film badges, pocket chambers, pocket dosimeters, or 
film rings, to, and shall require the use of such equipment by:
    (1) Each employee who enters a restricted area under such 
circumstances that he receives, or is likely to receive, a dose in any 
calendar quarter in excess of 25 percent of the applicable value 
specified in paragraph (a) of Sec. 50-204.21; and
    (2) Each employee under 18 years of age who enters a restricted area 
under such circumstances that he receives, or is likely to receive, a 
dose in any calendar quarter in excess of 5 percent of the applicable 
value specified in paragraph (a) of Sec. 50-204.21; and
    (3) Each employee who enters a high radiation area.
    (c) As used in this subpart:
    (1) ``Personnel monitoring equipment'' means devices designed to be 
worn or carried by an individual for the purpose of measuring the dose 
received (e.g., film badges, pocket chambers, pocket dosimeters, film 
rings, etc.);
    (2) ``Radiation area'' means any area, accessible to personnel, in 
which there exists radiation at such levels that a major portion of the 
body could receive in any one hour a dose in excess of 5 millirem, or in 
any 5 consecutive days a dose in excess of 100 millirem; and
    (3) ``High radiation area'' means any area, accessible to personnel, 
in which there exists radiation at such levels

[[Page 32]]

that a major portion of the body could receive in any one hour a dose in 
excess of 100 millirem.



Sec. 50-204.24   Caution signs, labels, and signals.

    (a) General. (1) Symbols prescribed by this section shall use the 
conventional radiation caution colors (magenta or purple on yellow 
background). The symbol prescribed by this section is the conventional 
three-bladed design:

                            Radiation Symbol

    1. Cross-hatched area is to be magenta or purple.
    2. Background is to be yellow.
    [GRAPHIC] [TIFF OMITTED] TC21OC91.016
    
    (2) In addition to the contents of signs and labels prescribed in 
this section, employers may provide on or near such signs and labels any 
additional information which may be appropriate in aiding individuals to 
minimize exposure to radiation or to radioactive material.
    (b) Radiation areas. Each radiation area shall be conspicuously 
posted with a sign or signs bearing the radiation caution symbol and the 
words:

                              Caution2
---------------------------------------------------------------------------

    2 Or ``Danger''.
---------------------------------------------------------------------------

                             Radiation Area

    (c) High radiation area. (1) Each high radiation area shall be 
conspicuously posted with a sign or signs bearing the radiation caution 
symbol and the words:

                              Caution2

                        High Radiation Area

    (2) Each high radiation area shall be equipped with a control device 
which shall either cause the level of radiation to be reduced below that 
at which an individual might receive a dose of 100 millirems in 1 hour 
upon entry into the area or shall energize a conspicuous visible or 
audible alarm signal in such a manner that the individual entering and 
the employer or a supervisor of the activity are made aware of the 
entry. In the case of a high radiation area established for a period of 
30 days or less, such control device is not required.
    (d) Airborne radioactivity area. (1) As used in the provisions of 
this subpart, ``airborne radioactivity area'' means (i) any room, 
enclosure, or operating area in which airborne radioactive materials, 
composed wholly or partly of radioactive material, exist in 
concentrations in excess of the amounts specified in column 1 of Table 1 
of Appendix B to 10 CFR Part 20 or (ii) any room, enclosure, or 
operating area in which airborne radioactive materials exist in 
concentrations which, averaged over the number of hours in any week 
during which individuals are in the area, exceed 25 percent of the 
amounts specified in column 1 of the described Table 1.
    (2) Each airborne radioactivity area shall be conspicuously posted 
with a sign or signs bearing the radiation caution symbol and the words:

                              Caution2

                    Airborne Radioactivity Area

    (e) Additional requirements. (1) Each area or room in which 
radioactive material is used or stored and which contains any 
radioactive material (other than natural uranium or thorium) in

[[Page 33]]

any amount exceeding 10 times the quantity of such material specified in 
Appendix C to 10 CFR Part 20 shall be conspiciously posted with a sign 
or signs bearing the radiation caution symbol and the words:

                              Caution2

                       Radioactive Materials

    (2) Each area or room in which natural uranium or thorium is used or 
stored in an amount exceeding 100 times the quantity specified in 
Appendix C to 10 CFR Part 20 shall be conspicuously posted with a sign 
or signs bearing the radiation caution symbol and the words:

                              Caution2

                       Radioactive Materials

    (f) Containers. (1) Each container in which is transported, stored, 
or used a quantity of any radioactive material (other than natural 
uranium or thorium) greater than the quantity of such material specified 
in Appendix C to 10 CFR Part 20 shall bear a durable, clearly visible 
label bearing the radiation caution symbol and the words:

                              Caution2

                       Radioactive Materials

    (2) Each container in which natural uranium or thorium is 
transported, stored, or used in a quantity greater than 10 times the 
quantity specified in Appendix C to 10 CFR Part 20 shall bear a durable, 
clearly visible label bearing the radiation caution symbol and the 
words:

                              Caution2
---------------------------------------------------------------------------

    2 Or ``Danger''.
---------------------------------------------------------------------------

                          Radioactive Materials

    (3) Notwithstanding the provisions of paragraphs (f) (1) and (2) of 
this section a label shall not be required:
    (i) If the concentration of the material in the container does not 
exceed that specified in column 2 of the described Table 1, or
    (ii) For laboratory containers, such as beakers, flasks, and tests 
tubes, used transiently in laboratory procedures, when the user is 
present.
    (4) Where containers are used for storage, the labels required in 
this paragraph shall state also the quantities and kinds of radioactive 
materials in the containers and the date of measurement of the 
quantities.



Sec. 50-204.25   Exceptions from posting requirements.

    Notwithstanding the provisions of Sec. 50-204.24:
    (a) A room or area is not required to be posted with a caution sign 
because of the presence of a sealed source, provided the radiation level 
12 inches from the surface of the source container or housing does not 
exceed 5 millirem per hour.
    (b) Rooms or other areas in on-site medical facilities are not 
required to be posted with caution signs because of the presence of 
patients containing radioactive material, provided that there are 
personnel in attendance who shall take the precautions necessary to 
prevent the exposure of any individual to radiation or radioactive 
material in excess of the limits established in the provisions of this 
subpart.
    (c) Caution signs are not required to be posted at areas or rooms 
containing radioactive materials for periods of less than 8 hours: 
Provided, That (1) the materials are constantly attended during such 
periods by an individual who shall take the precautions necessary to 
prevent the exposure of any individual to radiation or radioactive 
materials in excess of the limits established in the provisions of this 
subpart; and (2) such area or room is subject to the employer's control.



Sec. 50-204.26   Exemptions for radioactive materials packaged for shipment.

    Radioactive materials packaged and labeled in accordance with 
regulations of the Department of Transportation shall be exempt from the 
labeling and posting requirements during shipment, provided that the 
inside containers are labeled in accordance with the provisions of 
Sec. 50-204.24.

[[Page 34]]



Sec. 50-204.27   Instruction of personnel posting.

    Employers regulated by the AEC shall be governed by ``Sec. 20.206'' 
(10 CFR Part 20) standards. Employers in a State named in Sec. 50-
204.34(c) shall be governed by the requirements of the laws and 
regulations of that State. All other employers shall be regulated by the 
following:
    (a) All individuals working in or frequenting any portion of a 
radiation area shall be informed of the occurrence of radioactive 
materials or of radiation in such portions of the radiation area; shall 
be instructed in the safety problems associated with exposure to such 
materials or radiation and in precautions or devices to minimize 
exposure; shall be instructed in the applicable provisions of this 
subpart for the protection of employees from exposure to radiation or 
radioactive materials; and shall be advised of reports of radiation 
exposure which employees may request pursuant to the regulations in this 
part.
    (b) Each employer to whom this subpart applies shall post a current 
copy of its provisions and a copy of the operating procedures applicable 
to the work under contract conspicuously in such locations as to ensure 
that employees working in or frequenting radiation areas will observe 
these documents on the way to and from their place of employment, or 
shall keep such documents available for examination of employees upon 
request.



Sec. 50-204.28   Storage of radioactive materials.

    Radioactive materials stored in a nonradiation area shall be secured 
against unauthorized removal from the place of storage.



Sec. 50-204.29   Waste disposal.

    No employer shall dispose of radioactive material except by transfer 
to an authorized recipient, or in a manner approved by the Atomic Energy 
Commission or a State named in Sec. 50-204.34(c).



Sec. 50-204.30   Notification of incidents.

    (a) Immediate notification. Each employer shall immediately notify 
the Regional Director of the appropriate Wage and Labor Standards 
Administration, Office of Occupational Safety of the Bureau of Labor 
Standards of the U.S. Department of Labor, for employees not protected 
by AEC by means of 10 CFR Part 20, Sec. 50-204.34(b) of this part, or 
the requirements of the laws and regulations of States named in Sec. 50-
204.34(c), by telephone or telegraph of any incident involving radiation 
which may have caused or threatens to cause:
    (1) Exposure of the whole body of any individual to 25 rems or more 
of radiation; exposure of the skin of the whole body of any individual 
to 150 rems or more of radiation; or exposure of the feet, ankles, 
hands, or forearms of any individual to 375 rems or more of radiation; 
or
    (2) The release of radioactive material in concentrations which, if 
averaged over a period of 24 hours, would exceed 5,000 times the limit 
specified for such materials in Table II of Appendix B to 10 CFR Part 
20.
    (3) A loss of 1 working week or more of the operation of any 
facilities affected; or
    (4) Damage to property in excess of $100,000.
    (b) Twenty-four hour notification. Each employer shall within 24 
hours following its occurrence notify the Regional Director of the 
appropriate Wage and Labor Standards Administration, Office of 
Occupational Safety of the Bureau of Labor Standards of the U.S. 
Department of Labor, for employees not protected by AEC by means of 10 
CFR Part 20, Sec. 50-204.34(b) of this part, or the requirements of the 
laws and applicable regulations of States named in Sec. 50-204.34(c), by 
telephone or telegraph of any incident involving radiation which may 
have caused or threatens to cause:
    (1) Exposure of the whole body of any individual to 5 rems or more 
of radiation; exposure of the skin of the whole body of any individual 
to 30 rems or more of radiation; or exposure of the feet, ankles, hands, 
or forearms to 75 rems or more of radiation; or
    (2) A loss of 1 day or more of the operation of any facilities; or
    (3) Damage to property in excess of $10,000.

[[Page 35]]



Sec. 50-204.31   Reports of overexposure and excessive levels and concentrations.

    (a) In addition to any notification required by Sec. 50-204.30 each 
employer shall make a report in writing within 30 days to the Regional 
Director of the appropriate Wage and Labor Standards Administration, 
Office of Occupational Safety of the Bureau of Labor Standards of the 
U.S. Department of Labor, for employees not protected by AEC by means of 
10 CFR Part 20, or under Sec. 50-204.34(b) of this part, or the 
requirements of the laws and regulations of States named in Sec. 50-
204.34(c), of each exposure of an individual to radiation or 
concentrations of radioactive material in excess of any applicable limit 
in this subpart. Each report required under this paragraph shall 
describe the extent of exposure of persons to radiation or to 
radioactive material; levels of radiation and concentrations of 
radioactive material involved, the cause of the exposure, levels of 
concentrations; and corrective steps taken or planned to assure against 
a recurrence.
    (b) In any case where an employer is required pursuant to the 
provisions of this section to report to the U.S. Department of Labor any 
exposure of an individual to radiation or to concentrations of 
radioactive material, the employer shall also notify such individual of 
the nature and extent of exposure. Such notice shall be in writing and 
shall contain the following statement: ``You should preserve this report 
for future reference.''



Sec. 50-204.32   Records.

    (a) Every employer shall maintain records of the radiation exposure 
of all employees for whom personnel monitoring is required under 
Sec. 50-204.23 and advise each of his employees of his individual 
exposure on at least an annual basis.
    (b) Every employer shall maintain records in the same units used in 
tables in Sec. 50-204.21 and Appendix B to 10 CFR Part 20.



Sec. 50-204.33   Disclosure to former employee of individual employee's record.

    (a) At the request of a former employee an employer shall furnish to 
the employee a report of the employee's exposure to radiation as shown 
in records maintained by the employer pursuant to Sec. 50-204.32(a). 
Such report shall be furnished within 30 days from the time the request 
is made, and shall cover each calendar quarter of the individual's 
employment involving exposure to radiation or such lesser period as may 
be requested by the employee. The report shall also include the results 
of any calculations and analysis of radioactive material deposited in 
the body of the employee. The report shall be in writing and contain the 
following statement: ``You should preserve this report for future 
reference.''
    (b) The former employee's request should include appropriate 
identifying data, such as social security number and dates and locations 
of employment.



Sec. 50-204.34   AEC licensees--AEC contractors operating AEC plants and facilities--AEC agreement State licensees or registrants.

    (a) Any employer who possesses or uses source material, byproduct 
material, or special nuclear material, as defined in the Atomic Energy 
Act of 1954, as amended, under a license issued by the Atomic Energy 
Commission and in accordance with the requirements of 10 CFR Part 20 
shall be deemed to be in compliance with the requirements of this 
subpart with respect to such possession and use.
    (b) AEC contractors operating AEC plants and facilities: Any 
employer who possesses or uses source material, byproduct material, 
special nuclear material, or other radiation sources under a contract 
with the Atomic Energy Commission for the operation of AEC plants and 
facilities and in accordance with the standards, procedures, and other 
requirements for radiation protection established by the Commission for 
such contract pursuant to the Atomic Energy Act of 1954 as amended (42 
U.S.C. 2011 et seq.), shall be deemed to be in compliance with the 
requirements of this subpart with respect to such possession and use.
    (c) AEC-agreement State licensees or registrants:
    (1) Atomic Energy Act sources. Any employer who possesses or uses 
source

[[Page 36]]

material, byproduct material, or special nuclear material, as defined in 
the Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), and 
has either registered such sources with, or is operating under a license 
issued by, a State which has an agreement in effect with the Atomic 
Energy Commission pursuant to section 274(b) (42 U.S.C. 2021(b)) of the 
Atomic Energy Act of 1954, as amended, and in accordance with the 
requirements of that State's laws and regulations shall be deemed to be 
in compliance with the radiation requirements of this part, insofar as 
his possession and use of such material is concerned, unless the 
Secretary of Labor, after conference with the Atomic Energy Commission, 
shall determine that the State's program for control of these radiation 
sources is incompatible with the requirements of this part. Such 
agreements currently are in effect only in the States of Alabama, 
Arkansas, California, Kansas, Kentucky, Florida, Mississippi, New 
Hampshire, New York, North Carolina, Texas, Tennessee, Oregon, Idaho, 
Arizona, Colorado, Louisiana, Nebraska, and Washington.
    (2) Other sources. Any employer who possesses or uses radiation 
sources other than source material, byproduct material, or special 
nuclear material, as defined in the Atomic Energy Act of 1954, as 
amended (42 U.S.C. 2011 et seq.), and has either registered such sources 
with, or is operating under a license issued by a State which has an 
agreement in effect with the Atomic Energy Commission pursuant to 
section 274(b) (42 U.S.C. 2021(b)) of the Atomic Energy Act of 1954, as 
amended, and in accordance with the requirements of that State's laws 
and regulations shall be deemed to be in compliance with the radiation 
requirements of this part, insofar as his possession and use of such 
material is concerned, provided the State's program for control of these 
radiation sources is the subject of a currently effective determination 
by the Secretary of Labor that such program is compatible with the 
requirements of this part. Such determinations currently are in effect 
only in the States of Alabama, Arkansas, California, Kansas, Kentucky, 
Florida, Mississippi, New Hampshire, New York, North Carolina, Texas, 
Tennessee, Oregon, Idaho, Arizona, Colorado, Louisiana, Nebraska, and 
Washington.



Sec. 50-204.35   Application for variations from radiation levels.

    (a) In accordance with policy expressed in the Federal Radiation 
Council's memorandum concerning radiation protection guidance for 
Federal agencies (25 FR 4402), the Director, Bureau of Labor Standards 
may from time to time grant permission to employers to vary from the 
limitations contained in Secs. 50-204.21 and 50-204.22 when the extent 
of variation is clearly specified and it is demonstrated to his 
satisfaction that (1) such variation is necessary to obtain a beneficial 
use of radiation or atomic energy, (2) such benefit is of sufficient 
value to warrant the variation, (3) employees will not be exposed to an 
undue hazard, and (4) appropriate actions will be taken to protect the 
health and safety of such employees.
    (b) Applications for such variations should be filed with the 
Director, Bureau of Labor Standards, U.S. Department of Labor, 
Washington, DC 20210.



Sec. 50-204.36   Radiation standards for mining.

    (a) For the purpose of this section, a ``working level'' is defined 
as any combination of radon daughters in 1 liter of air which will 
result in the ultimate emission of 1.3 x 105 million electron 
volts of potential alpha energy. The numerical value of the ``working 
level'' is derived from the alpha energy released by the total decay of 
short-lived radon daughter products in equilibrium with 100 pico-curies 
of radon 222 per liter of air. A working level month is defined as the 
exposure received by a worker breathing air at one working level 
concentration for 4\1/3\ weeks of 40 hours each.
    (b)(1) Occupational exposure to radon daughters in mines shall be 
controlled so that no individual will receive an exposure of more than 2 
working level months in any calendar quarter and no more than 4 working 
level months in any calendar year. Actual exposures shall be kept as far 
below these values as practicable.

[[Page 37]]

    (2) In enforcing this section, the Director of the Bureau of Labor 
Standards may at any stage approve variations in individual cases from 
the limitation set forth in paragraph (b)(1) of this section to comply 
with the requirements of the Act upon a showing to the satisfaction of 
the Director by an employer having a mine with conditions resulting in 
an exposure of more than 4 working level months but not more than 12 
working level months in any 12 consecutive months that (i) under the 
particular facts and circumstances involved the working conditions of 
the employees so exposed are such that their health and safety are 
protected, and (ii) the employer has a bona fide plan to reduce the 
levels of exposure to those specified in paragraph (b)(1) of this 
section as soon as practicable, but in no event later than January 1, 
1971.
    (3) Whenever a variation under paragraph (b)(2) of this section is 
sought, a request therefor should be submitted in writing to the 
Director of the Bureau of Labor Standards, U.S. Department of Labor, 
Washington, DC 20210, within 90 days following the end of the calendar 
quarter or year, as the case may be.
    (c)(1) For uranium mines, records of environmental concentrations in 
the occupied parts of the mine, and of the time spent in each area by 
each person involved in underground work shall be established and 
maintained. These records shall be in sufficient detail to permit 
calculations of the exposures, in units of working level months, of the 
individuals and shall be available for inspection by the Secretary of 
Labor or his authorized agents.
    (2) For other than uranium mines and for surface workers in all 
mines, paragraph (c)(1) of this section will be applicable: Provided, 
however, That if no environmental sample shows a concentration greater 
than 0.33 working level in any occupied part of the mine, the 
maintenance of individual occupancy records and the calculation of 
individual exposures will not be required.
    (d)(1) At the request of an employee (or former employee) a report 
of the employee's exposure to radiation as shown in records maintained 
by the employer pursuant to paragraph (c) of this section, shall be 
furnished to him. The report shall be in writing and contain the 
following statement:

    This report is furnished to you under the provisions of the U.S. 
Department of Labor, Radiation Safety and Health Standards (41 CFR 50-
204.36). You should preserve this report for future reference.

    (2) The former employee's request should include appropriate 
identifying data, such as social security number and dates and locations 
of employment.



            Subpart D--Gases, Vapors, Fumes, Dusts, and Mists



Sec. 50-204.50   Gases, vapors, fumes, dusts, and mists.

    (a) (1) Exposures by inhalation, ingestion, skin absorption, or 
contact to any material or substance (i) at a concentration above those 
specified in the ``Threshold Limit Values of Airborne Contaminants for 
1968'' of the American Conference of Governmental Industrial Hygienists, 
except for the ANSI Standards listed in Table I of this section and 
except for the values of mineral dusts listed in Table II of this 
section, and (ii) concentrations above those specified in Tables I and 
II of this section, shall be avoided, or protective equipment shall be 
provided and used.
    (2) The requirements of this section do not apply to exposures to 
airborne asbestos dust. Exposures of employees to airborne asbestos dust 
shall be subject to the requirements of 29 CFR 1910.93a.
    (b) To achieve compliance with paragraph (a) of this section, 
feasible administrative or engineering controls must first be determined 
and implemented in all cases. In cases where protective equipment in 
addition to other measures is used as the method of protecting the 
employee, such protection must be approved for each specific application 
by a competent industrial hygienist or other technically qualified 
source.

[[Page 38]]



                         Table II--Mineral Dusts                        
------------------------------------------------------------------------
                   Substance                       Mppcfe      Mg/M\3\  
------------------------------------------------------------------------
Silica:                                                                 
  Crystalline:                                                          
    Quartz (respirable).......................         250f   10mg/M\3\m
                                               -------------------------
                                                    %SiO2+5      %SiO2+2
    Quartz (total dust).......................  ...........    30mg/M\3\
                                                            ------------
                                                                 %SiO2+2
  Cristobalite: Use \1/2\ the value calculated                          
   from the count or mass formulae for quartz.                          
  Tridymite: Use \1/2\ the value calculated                             
   from the formulae for quartz.                                        
  Amorphous, including natural diatomaceous                             
   earth......................................           20    80mg/M\3\
                                                            ------------
                                                                   %SiO2
                                                            ============
Silicates (less than 1% crystalline silica):                            
    Mica......................................           20             
    Soapstone.................................           20             
    Talc......................................           20             
    Portland cement...........................           50             
  Graphite (natural)..........................           15             
  Coat dust (respirable fraction less than 5%                           
   SiO2)......................................  ...........   2.4mg/M\3\
                                                                    or  
  For more than 5% SiO2.......................  ...........    10mg/M\3\
                                                            ------------
                                                                 %SiO2+2
  Inert or Nuisance Dust:                                               
    Respirable fraction.......................          1       5mg/M\3\
    Total dust................................          505     15mg/M3 
------------------------------------------------------------------------
Note: Conversion factors--                                              
mppcf x 35.3=million particles per cubic meter                          
 =particles per c.c.                                                    
                                                                        
eMillions of particles per cubic foot of air, based on impinger samples 
  counted by light-field technics.                                      
fThe percentage of crystalline silica in the formula is the amount      
  determined from air-borne samples, except in those instances in which 
  other methods have been shown to be applicable.                       
jAs determined by the membrane filter method at 430  x  phase contrast  
  magnification.                                                        
mBoth concentration and percent quartz for the application of this limit
  are to be determined from the fraction passing a size-selector with   
  the following characteristics:                                        



------------------------------------------------------------------------
                                                               Percent  
         Aerodynamic diameter (unit density sphere)            passing  
                                                               selector 
------------------------------------------------------------------------
                 2                                                    90
                 2.5                                                  75
                 3.5                                                  50
                 5.0                                                  25
                10                                                    0 
------------------------------------------------------------------------
The measurements under this note refer to the use of an AEC instrument. 
  If the respirable fraction of coal dust is determined with a MRE the  
  figure corresponding to that of 2.4 Mg/M\3\ in the table for coal dust
  is 4.5 Mg/M\3\                                                        

[36 FR 23217, Dec. 7, 1971]



Sec. 50-204.65   Inspection of compressed gas cylinders.

    Each contractor shall determine that compressed gas cylinders under 
his extent that this can be determined by visual inspection. Visual and 
other inspections shall be conducted as prescribed in the Hazardous 
Materials Regulations of the Department of Transportation (49 CFR Parts 
171-179 and 14 CFR Part 103). Where those regulations are not 
applicable, visual and other inspections shall be conducted in 
accordance with Compressed Gas Association Pamphlets C-6-198 and C-8-
1962.



Sec. 50-204.66   Acetylene.

    (a) The in-plant transfer, handling, storage, and utilization of 
acetylene in cylinders shall be in accordance with Compressed Gas 
Association Pamphlet G-1-1966.
    (b) The piped systems for the in-plant transfer and distribution of 
acetylene shall be designed, installed, maintained, and operated in 
accordance with Compressed Gas Association Pamphlet G-1.3-1959.
    (c) Plants for the generation of acetylene and the charging 
(filling) of acetylene cylinders shall be designed, constructed, and 
tested in accordance with the standards prescribed in Compressed Gas 
Association Pamphlet G-1.4-1966.



Sec. 50-204.67   Oxygen.

    The in-plant transfer, handling, storage, and utilization of oxygen 
as a liquid or a compressed gas shall be in accordance with Compressed 
Gas Association Pamphlet G-4-1962.



Sec. 50-204.68   Hydrogen.

    The in-plant transfer, handling, storage, and utilization of 
hydrogen shall be in accordance with Compressed Gas Association 
Pamphlets G-5.1-1961 and G-5.2-1966.



Sec. 50-204.69   Nitrous oxide.

    The piped systems for the in-plant transfer and distribution of 
nitrous oxide shall be designed, installed, maintained, and operated in 
accordance with Compressed Gas Association Pamphlet G-8.1-1964.



Sec. 50-204.70   Compressed gases.

    The in-plant handling, storage, and utilization of all compressed 
gases in cylinders, portable tanks, rail tankcars, or motor vehicle 
cargo tanks

[[Page 39]]

shall be in accordance with Compressed Gas Association Pamphlet P-1-
1965.

[35 FR 1015, Jan. 24, 1970]



Sec. 50-204.71   Safety relief devices for compressed gas containers.

    Compressed gas cylinders, portable tanks, and cargo tanks shall have 
pressure relief devices installed and maintained in accordance with 
Compressed Gas Association Pamphlets S-1.1-1963 and 1965 addenda and S-
1.2-1963.



Sec. 50-204.72   Safe practices for welding and cutting on containers which have held combustibles.

    Welding or cutting, or both, on containers which have held flammable 
or combustible solids, liquids, or gases, or have contained substances 
which may produce flammable vapors or gases will not be attempted until 
the containers have been thoroughly cleaned, purged, or inerted in 
strict accordance with the rules and procedures embodied in American 
Welding Society Pamphlet A-6.0-65, edition of 1965.

[35 FR 1015, Jan. 24, 1970]



                    Subpart E--Transportation Safety



Sec. 50-204.75   Transportation safety.

    Any requirements of the U.S. Department of Transportation under 49 
CFR Parts 171-179 and Parts 390-397 and 14 CFR Part 103 shall be applied 
to transportation under contracts which are subject to the Walsh-Healey 
Public Contracts Act. See also Sec. 50-204.2(a)(3) of this part. When 
such requirements are not otherwise applicable, Chapters 10, 11, 12, and 
14 of the Uniform Vehicle Code of the National Committee on Uniform 
Traffic Laws and Ordinances, 1962 edition, shall be applied whenever 
pertinent.

[35 FR 1016, Jan. 24, 1970]



PART 50-205--ENFORCEMENT OF SAFETY AND HEALTH STANDARDS BY STATE OFFICERS AND EMPLOYEES--Table of Contents




Sec.
50-205.1  Purpose and scope.
50-205.2  Definitions.
50-205.3  Agreement with a State agency.
50-205.4  Plan of cooperation.
50-205.5  Inspections by State agency.
50-205.6  Complaints.
50-205.7  Manual of instructions.
50-205.8  Reports of inspections.
50-205.9  Inspections by the Department of Labor.
50-205.10  Modification or termination of agreement.

    Authority: Sec. 4, 49 Stat. 2038, 41 U.S.C. 38. Interpret or apply 
sec. 1, 49 Stat. 2036, 41 U.S.C. 35.

    Source: 27 FR 1270, Feb. 10, 1962, unless otherwise noted.



Sec. 50-205.1   Purpose and scope.

    The Walsh-Healey Public Contracts Act authorizes and directs the 
Secretary of Labor to utilize, with the consent of a State, such State 
and local officers and employees as he may find necessary to assist in 
the administration of the Act. It is the purpose of this part to 
prescribe the rules governing the use of such State and local officers 
in inspections (or investigations) relating to the enforcement of the 
stipulation required by the Act providing that no part of a contract 
subject thereto will be performed nor will any materials, supplies, 
articles, or equipment to be manufactured or furnished under such a 
contract be manufactured or fabricated in any plants, factories, 
buildings, or surroundings or under working conditions which are 
unsanitary or hazardous or dangerous to the health and safety of 
employees engaged in the performance of the contract, and the 
enforcement of the safety and health standards interpreting and applying 
that stipulation published in Part 50-204 of this chapter.



Sec. 50-205.2   Definitions.

    (a) Act means the Walsh-Healey Public Contracts Act.
    (b) Secretary means the Secretary of Labor.
    (c) State agency means any authority of a State government which is 
responsible for the enforcement of State laws or regulations prescribing 
safety and health standards for employees.
    (d) Director means the Director, Bureau of Labor Standards or his 
duly authorized representative.

(41 U.S.C. 40; 5 U.S.C. 556)

[27 FR 1270, Feb. 10, 1962, as amended at 32 FR 7704, May 26, 1967]

[[Page 40]]



Sec. 50-205.3   Agreement with a State agency.

    The Secretary may enter into an agreement with the head of a State 
agency providing for the use of State or local officers and employees in 
the conduct of inspections under the safety and health provisions of the 
Act as interpreted or applied in Part 50-204 of this chapter whenever he 
finds that the utilization of such State or local officers is necessary 
to assist in the administration of those provisions. In making such a 
finding, consideration may be given to the State laws or regulations 
administered by the State agency providing safety and health standards, 
the central and field organization of the State agency, and the 
qualifications of its investigative personnel.



Sec. 50-205.4   Plan of cooperation.

    Each agreement under this part shall incorporate a plan of 
cooperation between the Department of Labor and the State agency. The 
plan shall include the operative details of the cooperation contemplated 
in the making of safety and health inspections. The plan shall include a 
statement of the location of the State offices designated to make 
inspections and those of the Department of Labor designated to cooperate 
with such State offices.



Sec. 50-205.5   Inspections by State agency.

    Inspections shall be conducted by the State agency with whom an 
agreement has been made under this part in order to determine the extent 
of compliance by Government contractors subject to the Act (as 
determined by the Department of Labor) with the safety and health 
provisions interpreted or applied in Part 50-204 of this chapter. 
Inspectors of the State agency shall be considered authorized 
representatives of the Secretary of Labor in making inspections 
including the examining of the records of the Government contractor 
maintained under Secs. 50-201.501 and 50-201.502 of this chapter. 
Inspections shall be made upon request of the Department of Labor or 
concurrently with inspections made to ascertain the compliance by 
employers with State safety and health requirements.



Sec. 50-205.6   Complaints.

    When a complaint of alleged safety and health violations by an 
employer apparently subject to the Act is filed with a State agency, 
that agency shall transmit a copy of the complaint to the cooperating 
office of the Department of Labor within 5 days from the receipt of the 
complaint. All complaints shall be considered confidential and shall not 
be disclosed to any employer without the consent of the complainant.



Sec. 50-205.7   Manual of instructions.

    The Director shall provide the State agency with a manual of 
instructions which shall be used in the making of inspections.

(41 U.S.C. 40; 5 U.S.C. 556)

[32 FR 7704, May 26, 1967]



Sec. 50-205.8   Reports of inspections.

    The State agency shall furnish the Department of Labor with a report 
of its inspection when the following circumstances exist:
    (a) The inspection was requested by the Department of Labor;
    (b) The inspection discloses serious violations of the safety and 
health requirements of Part 50-204 of this chapter by an employer 
apparently subject to the Act;
    (c) The inspection discloses minor violations of the safety and 
health requirements of Part 50-204 of this chapter by an employer 
apparently subject to the Act which are not corrected promptly when such 
apparent violations are brought to the attention of the employer or as 
to which fully reliable assurances of future compliance are not or 
cannot be obtained.



Sec. 50-205.9   Inspections by the Department of Labor.

    The Director may conduct such inspections as he may find appropriate 
to assure compliance with the safety and health provisions of the Act or 
whenever he may find that a safety and health inspection should be 
carried out along with investigation under other provisions of the Act 
or the Fair Labor Standards Act of 1938. Whenever an inspection by the 
Director discloses apparent violations of State safety and

[[Page 41]]

health requirements, the Director shall report such disclosures to the 
State agency.

(41 U.S.C. 40; 5 U.S.C. 556)

[32 FR 7704, May 26, 1967]



Sec. 50-205.10   Modification or termination of agreement.

    Any agreement entered into this part may be modified at any time 
with the consent of both parties, and may be terminated by either party 
after notifying the other party 60 days prior thereto.



PART 50-210--STATEMENTS OF GENERAL POLICY AND INTERPRETATION NOT DIRECTLY RELATED TO REGULATIONS--Table of Contents




Sec.
50-210.0  General enforcement policy.
50-210.1  Coverage under the Walsh-Healey Public Contracts Act of truck 
          drivers employed by oil dealers.

    Authority: Sec. 4, 49 Stat. 2038; 41 U.S.C. 38.



Sec. 50-210.0   General enforcement policy.

    (a) In order to clarify at this time the practices and policies 
which will guide the administration and enforcement of the Fair Labor 
Standards Act of 1938 (52 Stat 1060, as amended, 29 U.S.C. 201-219), and 
the Walsh-Healey Public Contracts Act (49 Stat. 2036, as amended; 41 
U.S.C. 35-45), as affected by the Portal-to-Portal Act of 1947 (Pub. L. 
49, 80th Cong.), the following policy is announced effective June 30, 
1947:
    (b) The investigation, inspection and enforcement activities of all 
officers and agencies of the Department of Labor as they relate to the 
Fair Labor Standards Act (52 Stat. 1060, as amended, 29 U.S.C. 201-219) 
and the Walsh-Healey Public Contracts Act of June 30, 1936 (49 Stat. 
2036, as amended; 41 U.S.C. 35-45), will be carried out on the basis 
that all employers in all industries whose activities are subject to the 
provisions of the Fair Labor Standards Act (52 Stat. 1060, as amended; 
29 U.S.C. 201-219) or the Walsh-Healey Public Contracts Act (49 Stat. 
2036, as amended; 41 U.S.C. 35-45) are responsible for strict compliance 
with the provisions thereof and the regulations issued pursuant thereto.
    (c) Any statements, orders, or instructions inconsistent herewith 
are rescinded.

    Note: The text of Sec. 50-210.0 General enforcement policy is 
identical to that of Sec. 775.0 under 29 CFR Chapter V.

[12 FR 3916, June 17, 1947. Redesignated at 24 FR 10952, Dec. 30, 1959]



Sec. 50-210.1   Coverage under the Walsh-Healey Public Contracts Act of truck drivers employed by oil dealers.

    (a) The Division of Public Contracts returns to the interpretation 
contained in Rulings and Interpretations No. 21 with respect 
to coverage under the Walsh-Healey Public Contracts Act of truck drivers 
employed by oil dealers, by amending section 40(e)(1) of Rulings and 
Interpretations No. 31 to read as follows:
---------------------------------------------------------------------------

    1Not filed with the Office of the Federal Register.
---------------------------------------------------------------------------

    (1) Where the contractor is a dealer, the act applies to employees 
at the central distributing plant, including warehousemen, compounders, 
and chemists testing the lot out of which the Government order is 
filled, the crews engaged in loading the materials in vessels, tank cars 
or tank wagons for shipment, and truck drivers engaged in the activities 
described in section 37(m) above.2 However, the contractor is 
not required to show that the employees at the bulk stations, including 
truck drivers, are employed in accordance with the standards of the act. 
(Bulk stations as the term is used herein are intermediate points of 
storage between a central distributing plant and service stations.)
---------------------------------------------------------------------------

    2Refers to Rulings and Interpretation No. 3.

[12 FR 2477, Apr. 17, 1947. Redesignated at 24 FR 10952, Dec. 30, 1959]

[[Page 43]]



CHAPTER 51--COMMITTEE FOR PURCHASE FROM PEOPLE WHO ARE BLIND OR SEVERELY DISABLED




  --------------------------------------------------------------------
Part                                                                Page
51-1            General.....................................          44
51-2            Committee for Purchase From People who are 
                    Blind or Severely Disabled..............          46
51-3            Central nonprofit agencies..................          50
51-4            Nonprofit agencies..........................          52
51-5            Contracting requirements....................          55
51-6            Procurement procedures......................          57
51-7            Procedures for environmental analysis.......          63
51-8            Public availabililty of agency materials....          65
51-9            Privacy Act rules...........................          72
51-10           Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Committee 
                    for Purchase From People who are Blind 
                    or Severely Disabled....................          81

[[Page 44]]



PART 51-1--GENERAL--Table of Contents




Sec.
51-1.1  Policy.
51-1.2  Mandatory source priorities.
51-1.3  Definitions.

    Authority: 41 U.S.C. 46-48c.

    Source: 56 FR 48976, Sept. 26, 1991, unless otherwise noted.



Sec. 51-1.1  Policy.

    (a) It is the policy of the Government to increase employment and 
training opportunities for persons who are blind or have other severe 
disabilities through the purchase of commodities and services from 
qualified nonprofit agencies employing persons who are blind or have 
other severe disabilities. The Committee for Purchase from People who 
are Blind or Severely Disabled (hereinafter the Committee) was 
established by the Javits-Wagner--O'Day Act, Public Law 92-28, 85 Stat. 
77 (1971), as amended, 41 U.S.C. 46-48c (hereinafter the JWOD Act). The 
Committee is responsible for implementation of a comprehensive program 
designed to enforce this policy.
    (b) It is the policy of the Committee to encourage all Federal 
entities and employees to provide the necessary support to ensure that 
the JWOD Act is implemented in an effective manner. This support 
includes purchase of products and services published on the Committee's 
Procurement List through appropriate channels from nonprofit agencies 
employing persons who are blind or have other severe disabilities 
designated by the Committee; recommendations to the Committee of new 
commodities and services suitable for addition to the Procurement List; 
and cooperation with the Committee and the central nonprofit agencies in 
the provision of such data as the Committee may decide is necessary to 
determine suitability for addition to the Procurement List.

[56 FR 48976, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994]



Sec. 51-1.2  Mandatory source priorities.

    (a) The JWOD Act mandates that commodities or services on the 
Procurement List required by Government entities be procured, as 
prescribed in this regulation, from a nonprofit agency employing persons 
who are blind or have other severe disabilities, at a price established 
by the Committee, if that commodity or service is available within the 
normal period required by that Government entity. Except as provided in 
paragraph (b) of this section, the JWOD Act has priority, under the 
provisions of 41 U.S.C. 48, over any other supplier of the Government's 
requirements for commodities and services on the Committee's Procurement 
List.
    (b) Federal Prison Industries, Inc. has priority, under the 
provisions of 18 U.S.C. 4124, over nonprofit agencies employing persons 
who are blind or have other severe disabilities in furnishing 
commodities for sale to the Government. All or a portion of the 
Government's requirement for a commodity for which Federal Prison 
Industries, Inc. has exercised its priority may be added to the 
Procurement List. However, such addition is made with the understanding 
that procurement under the JWOD Act shall be limited to that portion of 
the Government's requirement for the commodity which is not available or 
not required to be procured from Federal Prison Industries, Inc.
    (c) The JWOD Act requires the Committee to prescribe regulations 
providing that, in the purchase by the Government of commodities 
produced and offered for sale by qualified nonprofit agencies employing 
persons who are blind and nonprofit agencies employing persons who have 
other severe disabilities, priority shall be accorded to commodities 
produced and offered for sale by qualified nonprofit agencies for the 
blind. In approving the addition of commodities, to the Procurement 
List, the Committee accords priority to nonprofit agencies for the 
blind. Nonprofit agencies for the blind and nonprofit agencies employing 
persons with severe disabilities have equal priority for services.



Sec. 51-1.3  Definitions.

    As used in this chapter:
    Agency and Federal agency mean Entity of the Government, as defined 
herein.

[[Page 45]]

    Blind means an individual or class of individuals whose central 
visual acuity does not exceed 20/200 in the better eye with correcting 
lenses or whose visual acuity, if better than 20/200, is accompanied by 
a limit to the field of vision in the better eye to such a degree that 
its widest diameter subtends an angle no greater than 20 degrees.
    Central nonprofit agency means an agency organized under the laws of 
the United States or of any State, operated in the interest of the blind 
or persons with other severe disabilities, the net income of which does 
not incur in whole or in part to the benefit of any shareholder or other 
individual, and designated by the Committee to facilitate the 
distribution (by direct allocation, subcontract, or any other means) of 
orders of the Government for commodities and services on the Procurement 
List among nonprofit agencies employing persons who are blind or have 
other severe disabilities, to provide information required by the 
Committee to implement the JWOD Program, and to otherwise assist the 
Committee in administering these regulations as set forth herein by the 
Committee.
    Committee means the Committee for Purchase from People who are Blind 
or Severely Disabled.
    Contracting activity means any element of an entity of the 
Government that has responsibility for identifying and/or procuring 
Government requirements for commodities or services. Components of a 
contracting activity, such as a contracting office and an ordering 
office, are incorporated in this definition, which includes all offices 
within the definitions of ``contracting activity,'' ``contracting 
office,'' and ``contract administration office'' contained in the 
Federal Acquisition Regulation, 48 CFR 2.101.
    Direct labor means all work required for preparation, processing, 
and packing of a commodity or work directly related to the performance 
of a service, but not supervision, administration, inspection or 
shipping.
    Fiscal year means the 12-month period beginning on October 1 of each 
year.
    Government and Entity of the Government mean any entity of the 
legislative branch or the judicial branch, any executive agency, 
military department, Government corporation, or independent 
establishment, the U.S. Postal Service, and any nonappropriated fund 
instrumentality under the jurisdiction of the Armed Forces.
    Interested person means an individual or legal entity affected by a 
proposed addition of a commodity or service to the Procurement List or a 
deletion from it.
    JWOD Program means the program authorized by the JWOD Act to 
increase employment and training opportunities for persons who are blind 
or have other severe disabilities through Government purchasing of 
commodities and services from nonprofit agencies employing these 
persons.
    Military resale commodities means commodities on the Procurement 
List sold for the private, individual use of authorized patrons of Armed 
Forces commissaries and exchanges, or like activities of other 
Government departments and agencies.
    Nonprofit agency (formerly workshop) means a nonprofit agency for 
the blind or a nonprofit agency employing persons with severe 
disabilities, as appropriate.
    Other severely handicapped and severely handicapped individuals 
(hereinafter persons with severe disabilities) mean a person other than 
a blind person who has a severe physical or mental impairment (a 
residual, limiting condition resulting from an injury, disease, or 
congenital defect) which so limits the person's functional capabilities 
(mobility, communication, self-care, self-direction, work tolerance or 
work skills) that the individual is unable to engage in normal 
competitive employment over an extended period of time.
    (1) Capability for normal competitive employment shall be determined 
from information developed by an ongoing evaluation program conducted by 
or for the nonprofit agency and shall include as a minimum, a 
preadmission evaluation and a reevaluation at least annually of each 
individual's capability for normal competitive employment.

[[Page 46]]

    (2) A person with a severe mental or physical impairment who is able 
to engage in normal competitive employment because the impairment has 
been overcome or the condition has been substantially corrected is not 
``other severely handicapped'' within the meaning of the definition.
    Participating nonprofit agency (formerly participating workshop) 
means any nonprofit agency which has been authorized by the Committee to 
furnish a commodity or service to the Government under the JWOD Act.
    Procurement List means a list of commodities (including military 
resale commodities) and services which the Committee has determined to 
be suitable to be furnished to the Government by nonprofit agencies for 
the blind or nonprofit agencies employing persons with severe 
disabilities pursuant to the JWOD Act and these regulations.
    Qualified nonprofit agency for other severely handicapped 
(hereinafter nonprofit agency employing persons with severe 
disabilities) (formerly workshop for other severely handicapped) means 
an agency organized under the laws of the United States or any State, 
operated in the interests of persons with severe disabilities who are 
not blind, and the net income of which does not inure in whole or in 
part to the benefit of any shareholder or other individual; which 
complies with applicable occupational health and safety standards 
prescribed by the Secretary of Labor; and which in furnishing 
commodities and services (whether or not the commodities or services are 
procured under these regulations) during the fiscal year employs persons 
with severe disabilities (including blind) for not less than 75 percent 
of the work-hours of direct labor required to furnish such commodities 
or services.
    Qualified nonprofit agency for the blind (hereinafter nonprofit 
agency for the blind) (formerly workshop for the blind) means an agency 
organized under the laws of the United States or of any State, operated 
in the interest of blind individuals, and the net income of which does 
not inure in whole or in part to the benefit of any shareholder or other 
individual; which complies with applicable occupational health and 
safety standards prescribed by the Secretary of Labor; and which in 
furnishing commodities and services (whether or not the commodities or 
services are procured under these regulations) during the fiscal year 
employs blind individuals for not less than 75 percent of the work-hours 
of direct labor required to furnish such commodities or services.
    State means the 50 States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 
the Commonwealth of the Northern Mariana Islands, and any territory 
remaining under the jurisdiction of the Trust Territory of the Pacific 
Islands.

[56 FR 48976, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994]



PART 51-2--COMMITTEE FOR PURCHASE FROM PEOPLE WHO ARE BLIND OR SEVERELY DISABLED--Table of Contents




Sec.
51-2.1  Membership.
51-2.2  Powers and responsibilities.
51-2.3  Notice of proposed addition or deletion.
51-2.4  Determination of suitability.
51-2.5  Committee decision.
51-2.6  Reconsideration of Committee decision.
51-2.7  Fair market price.
51-2.8  Procurement list.
51-2.9  Oral presentations by interested persons at Committee meetings.

    Authority: 41 U.S.C. 46-48c.

    Source: 56 FR 48977, Sept. 26, 1991, unless otherwise noted.

    Editorial Note: Nomenclature change to 51-2 appears at 59 FR 16777, 
Apr. 8, 1994.



Sec. 51-2.1  Membership.

    Under the JWOD Act, the Committee is composed of 15 members 
appointed by the President. There is one representative from each of the 
following departments or agencies of the Government: The Department of 
Agriculture, the Department of Defense, the Department of the Army, the 
Department of the Navy, the Department of the Air Force, the Department 
of Education, the Department of Commerce, the Department of Justice, the 
Department of Labor, the Department of Veterans Affairs, and the General 
Services Administration. Four members are private

[[Page 47]]

citizens: One who is conversant with the problems incident to the 
employment of blind individuals; one who is conversant with the problems 
incident to the employment of persons with other severe disabilities; 
one who represents blind individuals employed in qualified nonprofit 
agencies for the blind; and one who represents persons with severe 
disabilities (other than blindness) employed in qualified nonprofit 
agencies employing persons with severe disabilities.



Sec. 51-2.2  Powers and responsibilities.

    The Committee is responsible for carrying out the following 
functions in support of its mission of providing employment and training 
opportunities for persons who are blind or have other severe 
disabilities and, whenever possible, preparing those individuals to 
engage in competitive employment:
    (a) Establish rules, regulations, and policies to assure effective 
implementation of the JWOD Act.
    (b) Determine which commodities and services procured by the Federal 
Government are suitable to be furnished by qualified nonprofit agencies 
employing persons who are blind or have other severe disabilities and 
add those items to the Committee's Procurement List. Publish notices of 
addition to the Procurement List in the Federal Register. Disseminate 
information on Procurement List items to Federal agencies. Delete items 
no longer suitable to be furnished by nonprofit agencies. Authorize and 
deauthorize central nonprofit agencies and nonprofit agencies to accept 
orders from contracting activities for the furnishing of specific 
commodities and services on the Procurement List.
    (c) Determine fair market prices for items added to the Procurement 
List and revise those prices in accordance with changing market 
conditions to assure that the prices established are reflective of the 
market.
    (d) Monitor nonprofit agency compliance with Committee regulations 
and procedures.
    (e) Inform Federal agencies about the JWOD Program and the statutory 
mandate that items on the Procurement List be purchased from qualified 
nonprofit agencies, and encourage and assist entities of the Federal 
Government to identify additional commodities and services that can be 
purchased from qualified nonprofit agencies. To the extent possible, 
monitor Federal agencies' compliance with JWOD requirements.
    (f) Designate, set appropriate ceilings on fee paid to these central 
nonprofit agencies by nonprofit agencies selling items under the JWOD 
Program, and provide guidance to central nonprofit agencies engaged in 
facilitating the distribution of Government orders and helping State and 
private nonprofit agencies participate in the JWOD Program.
    (g) Conduct a continuing study and evaluation of its activities 
under the JWOD Act for the purpose of assuring effective and efficient 
administration of the JWOD Act. The Committee may study, independently, 
or in cooperation with other public or nonprofit private agencies, 
problems relating to:
    (1) The employment of the blind or individuals with other severe 
disabilities.
    (2) The development and adaptation of production methods which would 
enable a greater utilization of these individuals.
    (h) Provide technical assistance to the central nonprofit agencies 
and the nonprofit agencies to contribute to the successful 
implementation of the JWOD Act.
    (i) Assure that nonprofit agencies employing persons who are blind 
will have priority over nonprofit agencies employing persons with severe 
disabilities in furnishing commodities.

[56 FR 48977, Sept. 26, 1991, as amended at 59 FR 59341, Nov. 16, 1994]



Sec. 51-2.3  Notice of proposed addition or deletion.

    At least 30 days prior to the Committee's consideration of the 
addition or deletion of a commodity or service to or from the 
Procurement List, the Committee publishes a notice in the Federal 
Register announcing the proposed addition or deletion and providing 
interested persons an opportunity to submit written data or comments on 
the proposal. Interested persons submitting comments in bound form 
should also submit an unbound copy

[[Page 48]]

that is capable of being legibly photocopied.

[59 FR 59341, Nov. 16, 1994]



Sec. 51-2.4  Determination of suitability.

    (a) For a commodity or service to be suitable for addition to the 
Procurement List, each of the following criteria must be satisfied:
    (1) Employment potential. The proposed addition must demonstrate a 
potential to generate employment for persons who are blind or have other 
severe disabilities.
    (2) Nonprofit agency qualifications. The nonprofit agency (or 
agencies) proposing to furnish the item must qualify as a nonprofit 
agency serving persons who are blind or have other severe disabilities, 
as set forth in part 51-4 of this chapter.
    (3) Capability. The nonprofit agency (or agencies) desiring to 
furnish a commodity or service under the JWOD Program must satisfy the 
Committee as to the extent of the labor operations to be performed and 
that it will have the capability to meet Government quality standards 
and delivery schedules by the time it assumes responsibility for 
supplying the Government.
    (4) Level of impact on the current contractor for the commodity or 
service. (i) In deciding whether or not a proposed addition to the 
Procurement List is likely to have a severe adverse impact on the 
current contractor for the specific commodity or service, the Committee 
gives particular attention to:
    (A) The possible impact on the contractor's total sales, including 
the sales of affiliated companies and parent corporations. In addition, 
the Committee considers the effects of previous Committee actions.
    (B) Whether that contractor has been a continuous supplier to the 
Government of the specific commodity or service proposed for addition 
and is, therefore, more dependent on the income from such sales to the 
Government.
    (C) Any substantive comments received as the result of the notice of 
the proposed addition in the Federal Register.
    (ii) If there is not a current contract for the commodity or service 
being proposed for addition to the Procurement List, the Committee may 
consider the most recent contractor to furnish the item to the 
Government as the current contractor for the purpose of determining the 
level of impact.
    (b) In determining the suitability of a commodity or service for 
addition to the Procurement List, the Committee also considers other 
information it deems pertinent, including comments on a proposal 
published in the Federal Register to add the commodity or service to the 
Procurement List and information submitted by Government personnel and 
interested persons.

[56 FR 48977, Sept. 26, 1991, as amended at 59 FR 59341, Nov. 16, 1994]



Sec. 51-2.5  Committee decision.

    The Committee considers the particular facts and circumstances in 
each case in determining if a commodity or service is suitable for 
addition to the Procurement List. When the Committee determines that a 
proposed addition is likely to have a severe adverse impact on a current 
contractor, it takes this fact into consideration in deciding not to add 
the commodity or service to the Procurement List, or to add only a 
portion of the Government requirement for the item. If the Committee 
decides to add a commodity or service in whole or in part to the 
Procurement List, that decision is announced in the Federal Register 
with a notice that includes information on the effective date of the 
addition.

[59 FR 59342, Nov. 16, 1994]



Sec. 51-2.6  Reconsideration of Committee decision.

    (a) The Committee may reconsider its decision to add items to the 
Procurement List if it receives pertinent information which was not 
before it when it initially made the decision. Unless otherwise provided 
by the Committee, requests for reconsideration from interested persons 
must be received by the Committee within 60 days following the effective 
date of the addition in question. A request for reconsideration must 
include the specific facts believed by the interested person to justify 
a decision by the Committee to modify or reverse its earlier action.

[[Page 49]]

    (b) In reconsidering its decision, the Committee will balance the 
harm to the party requesting reconsideration if the item remains on the 
Procurement List against the harm which the nonprofit agency or its 
employees who are blind or have other severe disabilities would suffer 
if the item were deleted from the Procurement List. The Committee may 
also consider information bringing into question its conclusions on the 
suitability criteria on which it based its original decision as factors 
weighing toward a decision to delete the item, and information 
concerning possible harm to the Government and the JWOD Program as 
factors weighing toward confirmation of the original decision.

[56 FR 48977, Sept. 26, 1991, as amended at 59 FR 59342, Nov. 16, 1994]



Sec. 51-2.7  Fair market price.

    The Committee is responsible for determining the fair market prices, 
and changes thereto, for commodities and services on the Procurement 
List. The Committee establishes the initial fair market price at the 
time a commodity or service is added to the Procurement List. In cases 
where initial prices are not based on competitive bids, the Committee 
considers recommendations from contracting activities and the central 
nonprofit agency concerned. Prices are revised in accordance with 
changing market conditions as reflected primarily by economic indices 
and changes in nonprofit agency costs, as provided in Committee pricing 
procedures. Recommendations for fair market prices or changes thereto 
shall be submitted by the nonprofit agencies to the appropriate central 
nonprofit agency. The central nonprofit agency shall analyze the data 
and submit a recommended fair market price to the Committee accompanied 
by the information required by the Committee's pricing procedures to 
support the recommended price.

[59 FR 59342, Nov. 16, 1994]



Sec. 51-2.8  Procurement list.

    (a) The Committee maintains a Procurement List which includes the 
commodities and services which shall be procured by Government 
departments and agencies under the JWOD Act from the nonprofit 
agency(ies) designated by the Committee. Copies of the Procurement List, 
together with information on procurement requirements and procedures, 
are available to contracting activities upon request.
    (b) For commodities, including military resale commodities, the 
Procurement List identifies the name and national stock number or item 
designation for each commodity, and where appropriate, any limitation on 
the portion of the commodity which must be procured under the JWOD Act.
    (c) For services, the Procurement List identifies the type of 
service to be furnished, the Government department or agency responsible 
for procuring the service, and, where appropriate, the activity or item 
to be serviced.
    (d) Additions to and deletions from the Procurement List are 
published in the Federal Register as they are approved by the Committee.



Sec. 51-2.9  Oral presentations by interested persons at Committee meetings.

    (a) Upon written request from an interested person, that person may, 
at the discretion of the Committee Chair, be permitted to appear before 
the Committee to present views orally. Generally, only those persons who 
have raised significant issues which, if valid, could influence the 
Committee's decision in the matter under consideration will be permitted 
to appear.
    (b) When the Chair has approved the appearance before the Committee 
of an interested person who has made a written request:
    (1) The name of the spokesperson and the names of any other persons 
planning to appear shall be provided to the Committee staff by telephone 
at least three working days before the meeting.
    (2) In the absence of prior authorization by the Chair, only one 
person representing a particular agency or organization will be 
permitted to speak.
    (3) Oral statements to the Committee and written material provided 
in conjunction with the oral statements shall be limited to issues 
addressed in written comments which have previously been submitted to 
the Committee as

[[Page 50]]

the result of notice of proposed rulemaking in the Federal Register.
    (4) Written material to be provided in conjunction with the oral 
presentation and an outline of the presentation shall be submitted to 
the Committee staff at least three working days before the meeting.
    (c) The Committee may also invite other interested persons to make 
oral presentations at Committee meetings when it determines that these 
persons can provide information which will assist the Committee in 
making a decision on a proposed addition to the Procurement List. Terms 
of appearance of such persons shall be determined by the Chair.



PART 51-3--CENTRAL NONPROFIT AGENCIES--Table of Contents




Sec.
51-3.1  General.
51-3.2  Responsibilities under the JWOD Program.
51-3.3  Assignment of commodity or service.
51-3.4  Distribution of orders.
51-3.5  Fees.
51-3.6  Reports to central nonprofit agencies.

    Authority: 41 U.S.C. 46-48c.

    Source: 56 FR 48979, Sept. 26, l991, unless otherwise noted.



Sec. 51-3.1  General.

    Under the provisions of section 2(c) of the JWOD Act, the following 
are currently designated central nonprofit agencies:
    (a) To represent nonprofit agencies for the blind: National 
Industries for the Blind.
    (b) To represent nonprofit agencies employing persons with other 
severe disabilities: NISH.



Sec. 51-3.2  Responsibilities under the JWOD Program.

    Each central nonprofit agency shall:
    (a) Represent its participating nonprofit agencies in dealing with 
the Committee under the JWOD Act.
    (b) Evaluate the qualifications and capabilities of its nonprofit 
agencies and provide the Committee with pertinent data concerning its 
nonprofit agencies, their status as qualified nonprofit agencies, their 
manufacturing or service capabilities, and other information concerning 
them required by the Committee.
    (c) Obtain from Federal contracting activities such procurement 
information as is required by the Committee to:
    (1) Determine the suitability of a commodity or service being 
recommended to the Committee for addition to the Procurement List; or
    (2) Establish an initial fair market price for a commodity or 
service or make changes in the fair market price.
    (d) Recommend to the Committee, with the supporting information 
required by Committee procedures, suitable commodities or services for 
procurement from its nonprofit agencies.
    (e) Recommend to the Committee, with the supporting information 
required by Committee procedures, initial fair market prices for 
commodities or services proposed for addition to the Procurement List.
    (f) Distribute within the policy guidelines of the Committee (by 
direct allocation, subcontract, or any other means) orders from 
Government activities among its nonprofit agencies.
    (g) Maintain the necessary records and data on its nonprofit 
agencies to enable it to allocate orders equitably.
    (h) Oversee and assist its nonprofit agencies to insure contract 
compliance in furnishing a commodity or a service.
    (i) As market conditions change, recommend price changes with 
appropriate justification for assigned commodities or services on the 
Procurement List.
    (j) Monitor and inspect the activities of its nonprofit agencies to 
ensure compliance with the JWOD Act and appropriate regulations.
    (k) When authorized by the Committee, enter into contracts with 
Federal contracting activities for the furnishing of commodities or 
services provided by its nonprofit agencies.
    (l) At the time designated by the Committee, submit a completed, 
original copy of the appropriate Initial Certification (Committee Form 
401 or 402) for the nonprofit agency concerned. This requirement does 
not apply to a nonprofit agency that is already authorized to furnish a 
commodity or service under the JWOD Act.

[[Page 51]]

    (m) Review and forward to the Committee by December 15 of each year 
a completed, original copy of the appropriate Annual Certification 
(Committee Form 403 or 404) for each of its participating nonprofit 
agencies covering the fiscal year ending the preceding September 30.
    (n) Perform other JWOD administrative functions, including 
activities to increase Government and public awareness of the JWOD Act 
subject to the oversight of the Committee.

[56 FR 48979, Sept. 26, l991, as amended at 59 FR 59342, Nov. 16, 1994; 
62 FR 32237, June 13, 1997]

    Effective Date Note: At 62 FR 32237, June 13, 1997, Sec. 51-3.2(c) 
was revised, effective July 14, 1997. For the convenience of the user, 
the superseded text is set forth as follows:
Sec. 51-3.2  Responsibilities under the JWOD Program.

                                * * * * *

    (c) Obtain from Federal contracting activities such procurement 
information as is required by the Committee to determine the suitability 
of a commodity or service being recommended to the Committee for 
addition to the Procurement List.

                                * * * * *



Sec. 51-3.3  Assignment of commodity or service.

    (a) The central nonprofit agencies shall determine by mutual 
agreement the assignment to one of them of a commodity or service for 
the purpose of evaluating its potential for possible future addition to 
the Procurement List, except that the Committee shall initially assign a 
commodity to National Industries for the Blind when NISH has expressed 
an interest in the commodity and National Industries for the Blind has 
exercised the blind priority.
    (b) NISH shall provide National Industries for the Blind with 
procurement information necessary for a decision to exercise or waive 
the blind priority when it requests a decision. National Industries for 
the Blind shall normally notify NISH of its decision within 30 days, but 
not later than 60 days after receipt of the procurement information, 
unless the two central nonprofit agencies agree to an extension of time 
for the decision. Disagreements on extensions shall be referred to the 
Committee for resolution.
    (c) If National Industries for the Blind exercises the blind 
priority for a commodity, it shall immediately notify the Committee and 
NISH and shall submit to the Committee a proposal to add the commodity 
to the Procurement List within nine months of the notification, unless 
the Committee extends the assignment period because of delays beyond the 
control of National Industries for the Blind. Upon expiration of the 
assignment period, the Committee shall reassign the commodity to NISH.
    (d) The central nonprofit agency assigned a commodity shall obtain a 
decision from Federal Prison Industries on the exercise or waiver of its 
priority and shall submit the procurement information required by 
Federal Prison Industries when it requests the decision. Federal Prison 
Industries shall normally notify the central nonprofit agency of its 
decision within 30 days, but not later than 60 days after receipt of the 
procurement information, unless it agrees with the central nonprofit 
agency on an extension of time for the decision. The central nonprofit 
agency shall refer a disagreement over an extension to the Committee for 
resolution with Federal Prison Industries.
    (e) The central nonprofit agency shall provide the Committee the 
decision of Federal Prison Industries on the waiver or exercise of its 
priority when it requests the addition of the commodity to the 
Procurement List. NISH shall also provide the decision of National 
Industries for the Blind waiving its priority.

[59 FR 59342, Nov. 16, 1994]



Sec. 51-3.4  Distribution of orders.

    Central nonprofit agencies shall distribute orders from the 
Government only to nonprofit agencies which the Committee has approved 
to furnish the specific commodity or service. When the Committee has 
approved two or more nonprofit agencies to furnish a specific commodity 
or service, the

[[Page 52]]

central nonprofit agency shall distribute orders among those nonprofit 
agencies in a fair and equitable manner.

[56 FR 48979, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991]



Sec. 51-3.5  Fees.

    A central nonprofit agency may charge fees to nonprofit agencies for 
facilitating their participation in the JWOD Program. Fees shall be 
calculated based on nonprofit agency sales to the Government under the 
JWOD Program. Fees shall not exceed the fee limit approved by the 
Committee.



Sec. 51-3.6  Reports to central nonprofit agencies.

    Any information, other than that contained in the Annual 
Certification required by Sec. 51-4.3(a) of this chapter, which a 
central nonprofit agency requires its nonprofit agencies to submit on an 
annual basis, shall be requested separately from the Annual 
Certification. If the information is being sought in response to a 
request by the Committee, nonprofit agencies shall be advised of that 
fact and the central nonprofit agency shall, prior to distribution, 
provide to the Committee a copy of each form which it plans to use to 
obtain such information from its nonprofit agencies.



PART 51-4--NONPROFIT AGENCIES--Table of Contents




Sec.
51-4.1  General.
51-4.2  Initial qualification.
51-4.3  Maintaining qualification.
51-4.4  Subcontracting.
51-4.5  Violations by nonprofit agencies.

    Authority: 41 U.S.C. 46-48c.

    Source: 56 FR 48980, Sept. 26, l991, unless otherwise noted.



Sec. 51-4.1  General.

    To participate in the JWOD Program, a nonprofit agency shall be 
represented by the central nonprofit agency assigned by the Committee on 
the basis of the nonprofit agency's articles of incorporation and 
bylaws.



Sec. 51-4.2  Initial qualification.

    (a) To qualify for participation in the JWOD Program:
    (1) A privately incorporated nonprofit agency shall submit to the 
Committee through its central nonprofit agency the following documents, 
transmitted by a letter signed by an officer of the corporation or chief 
executive:
    (i) A legible copy (preferably a photocopy) of the articles of 
incorporation showing the date of filing and the signature of an 
appropriate State official.
    (ii) A copy of the bylaws certified by an officer of the 
corporation.
    (iii) If the articles of incorporation or bylaws do not include a 
statement to the effect that no part of the net income of the nonprofit 
agency may inure to the benefit of any shareholder or other individual, 
one of the following shall be submitted:
    (A) A certified true copy of the State statute under which the 
nonprofit agency was incorporated which includes wording to the effect 
that no part of the net income of the nonprofit agency may inure to the 
benefit of any shareholder or other individual.
    (B) A copy of a resolution approved by the governing body of the 
corporation, certified by an officer of the corporation, to the effect 
that no part of the net income of the nonprofit agency may inure to the 
benefit of any shareholder or other individual.
    (2) A State-owned or State-operated nonprofit agency, or a nonprofit 
agency established or authorized by a State statute other than the State 
corporation laws and not privately incorporated, shall submit to the 
Committee through its central nonprofit agency the following documents, 
transmitted by a letter signed by an officer of the wholly-owned State 
corporation or an official of the agency that directs the operations of 
the nonprofit agency, as applicable:
    (i) A certified true copy of the State statute establishing or 
authorizing the establishment of nonprofit agency(ies) for persons who 
are blind or have other severe disabilities.
    (ii) In the case of a wholly-owned State corporation, a certified 
true copy of the corporation bylaws; and, in the case of a State or 
local government agency, a certified true copy of implementing 
regulations, operating procedures, notice of establishment of the

[[Page 53]]

nonprofit agency, or other similar documents.
    (b) The Committee shall review the documents submitted and, if they 
are acceptable, notify the nonprofit agency by letter, with a copy to 
its central nonprofit agency, that the Committee has verified its 
nonprofit status under the JWOD Act.
    (c) A nonprofit agency shall submit two completed copies of the 
appropriate Initial Certification (Committee Form 401 or 402) to its 
central nonprofit agency at the time designated by the Committee. This 
requirement does not apply if a nonprofit agency is already authorized 
to furnish a commodity or service under the JWOD Act.

[56 FR 48980, Sept. 26, l991, as amended at 59 FR 59342, Nov. 16, 1994]



Sec. 51-4.3  Maintaining qualification.

    (a) To maintain its qualification under the JWOD Act, each nonprofit 
agency authorized to furnish a commodity or a service shall continue to 
comply with the requirements of a ``nonprofit agency for other severely 
handicapped'' or a ``nonprofit agency for the blind'' as defined in 
Sec. 51-1.3 of this chapter. In addition, each such nonprofit agency 
must submit to its central nonprofit agency by November 15 of each year, 
two completed copies of the appropriate Annual Certification covering 
the fiscal year ending the preceding September 30.
    (b) In addition to paragraph (a) of this section, each nonprofit 
agency participating in the JWOD Program shall:
    (1) Furnish commodities or services in strict accordance with 
Government orders.
    (2) Comply with the applicable compensation, employment, and 
occupational health and safety standards prescribed by the Secretary of 
Labor, including procedures to encourage filling of vacancies within the 
nonprofit agency by promotion of qualified employees who are blind or 
have other severe disabilities.
    (3) Comply with directives or requests issued by the Committee in 
furtherance of the objectives of the JWOD Act or its implementing 
regulations.
    (4) Make its records available for inspection at any reasonable time 
to representatives of the Committee or the central nonprofit agency 
representing the nonprofit agency.
    (5) Maintain records of direct labor hours performed in the 
nonprofit agency by each worker.
    (6) Maintain a file on each blind individual performing direct labor 
which contains a written report reflecting visual acuity and field of 
vision of each eye, with best correction, signed by a person licensed to 
make such an evaluation, or a State certification of blindness.
    (7) Maintain in the file for each blind individual performing direct 
labor annual reviews of ability to engage in normal competitive 
employment. These reviews must be signed by an individual qualified by 
training and/or experience to make this determination.
    (8) Maintain an ongoing placement program operated by or for the 
nonprofit agency to include liaison with appropriate community services 
such as the State employment service, employer groups and others. Those 
individuals determined capable and desirous of normal competitive 
employment shall be assisted in obtaining such employment.
    (9) Upon receipt of payment by the Government for commodities or 
services furnished under the JWOD Program, pay to the central nonprofit 
agency a fee which meets the requirements of Sec. 51-3.5 of this 
chapter.
    (c) Each nonprofit agency employing persons with severe disabilities 
participating in the JWOD Program shall, in addition to the requirements 
of paragraphs (a) and (b) of this section, maintain in each individual 
with a severe disability's file:
    (1) A written report signed by a licensed physician, psychiatrist, 
or qualified psychologist, reflecting the nature and extent of the 
disability or disabilities that cause such person to qualify as a person 
with a severe disability, or a State certification listing the 
disability or disabilities.
    (2) Reports which state whether that individual is capable of 
engaging in normal competitive employment. These reports shall be signed 
by a person or persons qualified by training and experience to evaluate 
the work potential, interests, aptitudes, and

[[Page 54]]

abilities of persons with disabilities and shall normally consist of 
preadmission evaluations and reevaluations prepared at least annually. 
The file on individuals who have been in the nonprofit agency for less 
than two years shall contain the preadmission report and, where 
appropriate, the next annual reevaluation. The file on individuals who 
have been in the nonprofit agency for two or more years shall contain, 
as a minimum, the reports of the two most recent annual reevaluations.
    (d) The information collection requirements of Sec. 51-4.2 and 
Sec. 51-4.3 and the recordkeeping requirements of Sec. 51-4.3 have been 
approved by the Office of Management and Budget (OMB) under the 
provisions of the Paperwork Reduction Act of 1980 (Public Law 96-511). 
The information collection requirements have been assigned the following 
OMB control numbers:

------------------------------------------------------------------------
                                                             OMB control
                       Committee form                            No.    
------------------------------------------------------------------------
Committee form 401.........................................    3037-0004
Committee form 402.........................................    3037-0003
Committee form 403.........................................    3037-0001
Committee form 404.........................................    3037-0002
------------------------------------------------------------------------

The recordkeeping requirements have been assigned OMB control number 
3037-0005.

[56 FR 48980, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 62 FR 32237, June 13, 1997]

    Effective Date Note: At 62 FR 32237, June 13, 1997, Sec. 51-4.3 was 
amended by revising paragraph (b)(2), removing paragraph (b)(9), and 
redesignating paragraph (b)(10) as (b)(9), effective July 14, 1997. For 
the convenience of the user, the superseded text is set forth as 
follows:

Sec. 51-4.3  Maintaining qualification.

                                * * * * *

    (b) * * *
    (2) Comply with the applicable compensation, employment, and 
occupational health and safety standards prescribed by the Secretary of 
Labor.

                                * * * * *

    (9) Establish written procedures to encourage, where appropriate, 
filling of vacancies within the nonprofit agency by promotion of 
qualified employees who are blind or have other severe disabilities.

                                * * * * *



Sec. 51-4.4  Subcontracting.

    (a) Nonprofit agencies shall seek broad competition in the purchase 
of materials and components used in the commodities and services 
furnished to the Government under the JWOD Act. Nonprofit agencies shall 
inform the Committee, through their central nonprofit agency, before 
entering into multiyear contracts for materials or components used in 
the commodities and services furnished to the Government under the JWOD 
Act.
    (b) Each nonprofit agency shall accomplish the maximum amount of 
subcontracting with other nonprofit agencies and small business concerns 
that the nonprofit agency finds to be consistent both with efficient 
performance in furnishing commodities or services under the JWOD Act and 
maximizing employment for persons who are blind or have other severe 
disabilities.
    (c) Nonprofit agencies may subcontract a portion of the process for 
producing a commodity on the Procurement List provided that the portion 
of the process retained by the prime nonprofit agency generates 
employment for persons who are blind or have other severe disabilities.
    (d) A nonprofit agency may not subcontract the entire production 
process for all or a portion of an order without the Committee's prior 
approval.



Sec. 51-4.5  Violations by nonprofit agencies.

    (a) Any alleged violations of these regulations by a nonprofit 
agency shall be investigated by the appropriate central nonprofit agency 
which shall notify the nonprofit agency concerned and afford it an 
opportunity to submit a statement of facts and evidence. The central 
nonprofit agency shall report its findings to the Committee, together 
with its recommendation. In reviewing the case, the Committee may 
request the submission of additional evidence or may conduct its own 
investigation of the matter. Pending a decision by the Committee, the 
central nonprofit agency concerned may be directed by

[[Page 55]]

the Committee to temporarily suspend allocations to the nonprofit 
agency.
    (b) If a nonprofit agency fails to correct its violations of these 
regulations, the Committee, after affording the nonprofit agency an 
opportunity to address the Committee on the matter, may terminate the 
nonprofit agency's eligibility to participate in the JWOD Program.

[56 FR 48979, Sept. 26, l991, as amended at 59 FR 59343, Nov. 16, 1994]



PART 51-5--CONTRACTING REQUIREMENTS--Table of Contents




Sec.
51-5.1  General.
51-5.2  Mandatory source requirement.
51-5.3  Scope of requirement.
51-5.4  Purchase exceptions.
51-5.5  Prices.
51-5.6  Shipping.
51-5.7  Payments.
51-5.8  Violations by entities of the Government.

    Authority: 41 U.S.C. 46-48C.

    Source: 56 FR 48981, Sept. 26, l991, unless otherwise noted.



Sec. 51-5.1  General.

    (a) Contracting activities are encouraged to assist the Committee 
and the central nonprofit agencies in identifying suitable commodities 
and services to be furnished by nonprofit agencies employing persons who 
are blind or have other severe disabilities so that the Committee can 
attain its objective of increasing employment and training opportunities 
for individuals who are blind or have other severe disabilities. For 
items which appear to be suitable to be furnished by nonprofit agencies, 
the contracting activity should refer the candidate commodities and 
services to the Committee or a central nonprofit agency. If a 
contracting activity decides to procure one or more commodities which 
are similar to a commodity or commodities on the Procurement List, the 
contracting activity should refer the commodities it intends to procure 
to the Committee or a central nonprofit agency.
    (b) Contracting activities shall provide the Committee and 
designated central nonprofit agencies with information needed to enable 
the Committee to determine whether a commodity or service is suitable to 
be furnished by a nonprofit agency. For commodities, information such as 
the latest solicitation and amendments, bid abstracts, procurement 
history, estimated annual usage quantities, and anticipated date of next 
solicitation issuance and opening may be needed. For services, similar 
information including the statement of work and applicable wage 
determination may be required. In order to assist in evaluating the 
suitability of an Office of Management and Budget Circular No. A-76 
conversion, contracting activities should provide a copy of the draft 
statement of work and applicable wage determination to the central 
nonprofit agency upon its request.



Sec. 51-5.2  Mandatory source requirement.

    (a) Nonprofit agencies designated by the Committee are mandatory 
sources of supply for all entities of the Government for commodities and 
services included on the Procurement List, as provided in Sec. 51-1.2 of 
this chapter.
    (b) Purchases of commodities on the Procurement List by entities of 
the Government shall be made from sources authorized by the Committee. 
These sources may include nonprofit agencies, central nonprofit 
agencies, Government central supply agencies such as the Defense 
Logistics Agency and the General Services Administration, and certain 
commercial distributors. Identification of the authorized sources for a 
particular commodity may be obtained from the central nonprofit agencies 
at the addresses noted in Sec. 51-6.2 of this chapter.
    (c) Contracting activities shall require other persons providing 
commodities which are on the Procurement List to entities of the 
Government by contract to order these commodities from the sources 
authorized by the Committee.
    (d) Procedures for obtaining military resale commodities are 
contained in Sec. 51-6.4 of this chapter.

[56 FR 48981, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 60 FR 54200, Oct. 20, 1995]

[[Page 56]]



Sec. 51-5.3  Scope of requirement.

    (a) When a commodity is included on the Procurement List, the 
mandatory source requirement covers the National Stock Number or item 
designation listed and commodities that are essentially the same as the 
listed item. In some instances, only a portion of the Government 
requirement for a National Stock Number or item designation is specified 
by the Procurement List. Where geographic areas, quantities, percentages 
or specific supply locations for a commodity are listed, the mandatory 
provisions of the JWOD Act apply only to the portion or portions of the 
commodity indicated by the Procurement List.
    (b) For services, where an agency and location or geographic area 
are listed on the Procurement List, only the service for the location or 
geographic area listed must be procured from the nonprofit agency. Where 
no location or geographic area is indicated by the Procurement List, it 
is mandatory that the total Government requirement for that service be 
procured from a nonprofit agency.
    (c) When a commodity or service is added to the Procurement List, 
the addition does not affect contracts for the commodity or service 
awarded prior to the effective date of the Procurement List addition or 
options exercised under those contracts.

[56 FR 48981, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994]



Sec. 51-5.4  Purchase exceptions.

    (a) A central nonprofit agency will normally grant a purchase 
exception for a contracting activity to procure from commercial sources 
commodities or services on the Procurement List when both of the 
following conditions are met:
    (1) The central nonprofit agency or its nonprofit agency(ies) cannot 
furnish a commodity or service within the period specified, and
    (2) The commodity or service is available from commercial sources in 
the quantities needed and significantly sooner than it will be available 
from the nonprofit agency(ies).
    (b) The central nonprofit agency may grant a purchase exception when 
the quantity involved is not sufficient to be furnished economically by 
the nonprofit agency(ies).
    (c) The Committee may also grant a purchase exception for the 
reasons set forth in paragraphs (a) and (b) of this section.
    (d) The central nonprofit agency shall obtain the approval of the 
Committee before granting a purchase exception when the value of the 
procurement exceeds the simplified acquisition threshold set forth in 
the Federal Acquisition Streamlining Act of 1994 or any subsequent 
amendments thereto.
    (e) When the central nonprofit agency grants a purchase exception 
under the above conditions, it shall do so promptly and shall specify 
the quantities and delivery period covered by the exception.
    (f) When a purchase exception is granted under paragraph (a) of this 
section:
    (1) Contracting activities shall initiate purchase actions within 15 
days following the date of the purchase exception. The deadline may be 
extended by the central nonprofit agency with, in cases of procurements 
exceeding the simplified acquisition threshold, the concurrence of the 
Committee.
    (2) Contracting activities shall furnish a copy to the solicitation 
to the appropriate central nonprofit agency at the time it is issued, 
and a copy of the annotated bid abstract upon awarding of the commercial 
contract.
    (g) Any decision by a central nonprofit agency regarding a purchase 
exception may be appealed to the Committee by the contracting activity.

[56 FR 48981, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994]



Sec. 51-5.5  Prices.

    (a) The prices for items on the Procurement List are fair market 
prices established by the Committee.
    (b) Prices for commodities include applicable packaging, packing, 
and marking. Prices include transportation to point of delivery as 
specified in Sec. 51-5.6.

[[Page 57]]

    (c) Price changes for commodities and services shall usually apply 
to orders received by the nonprofit agency on or after the effective 
date of the change. In special cases, after considering the views of the 
contracting activity, the Committee may make price changes applicable to 
orders received by the nonprofit agency prior to the effective date of 
the change.
    (d) To assist the Committee in revising the fair market prices for 
services on the Procurement List, upon request from the central 
nonprofit agency, the contracting activity should take the following 
actions:
    (1) Submit to the Department of Labor in a timely fashion a request 
for wage determination rate.
    (2) Provide a copy of the new wage determination rate or the 
Department of Labor document stating that the wage determination rate is 
unchanged and a completed Standard Form 98, ``Notice of Intention to 
Make a Service Contract and Response to Notice,'' to the central 
nonprofit agency at least 90 days before the beginning of the new 
service period.
    (3) Provide to the central nonprofit agency at least 90 days before 
the beginning of the new service period a copy of the statement of work 
applicable to the new service period.
    (e) If a contracting activity desires packing, packaging, or marking 
of products other than the standard pack or as provided in the 
Procurement List, the difference in cost thereof, if any, shall be added 
as a separate item on the purchase order.

[56 FR 48981, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994]



Sec. 51-5.6  Shipping.

    (a) Except as provided in paragraph (c) of this section for 
commodities other than military resale commodities, delivery is 
accomplished when a shipment is placed aboard the vehicle of the initial 
carrier. Time of delivery is when the shipment is released to and 
accepted by the initial carrier.
    (b) Method of transportation to destination shall normally be by 
Government bills of lading although the contracting activity may 
designate another method of transportation on its order, in accordance 
with Committee procedures. Government bills of lading may accompany 
orders or be otherwise furnished, but shall be supplied promptly. If the 
contracting activity fails to designate a method of transportation or 
furnish a Government bill of lading promptly, it shall constitute an 
excusable cause for delay in delivery.
    (c) The Committee may determine that for certain commodity orders, 
delivery is accomplished when the shipment is delivered to the 
purchaser's facility (plant, warehouse, store, lot, or other location to 
which shipment can be made). Time of delivery for these orders is when 
the shipment is released by the carrier and accepted by the purchaser. 
Under this method of transportation, the nonprofit agency will normally 
ship by commercial bills of lading and will be responsible for any loss 
or damage to the goods occurring before receipt of the shipment at the 
delivery point specified. The nonprofit agency will prepare and 
distribute commercial bills of lading, furnish a delivery schedule and 
designate the mode of delivering carrier, and pay all charges to the 
specified point of delivery.

[59 FR 59343, Nov. 16, 1994]



Sec. 51-5.7  Payments.

    Payments for products or services of persons who are blind or have 
other severe disabilities shall be made within 30 days after shipment or 
receipt of a proper invoice or voucher.



Sec. 51-5.8  Violations by entities of the Government.

    Any alleged violations of the JWOD Act or these regulations by 
entities of the Government shall be investigated by the Committee, which 
shall notify the entity and afford it an opportunity to submit a 
statement.

[56 FR 48981, Sept. 26, l991, as amended at 59 FR 59343, Nov. 16, 1994]



PART 51-6--PROCUREMENT PROCEDURES--Table of Contents




Sec.
51-6.1  Direct order process.
51-6.2  Allocation process.
51-6.3  Long-term procurements.

[[Page 58]]

51-6.4  Military resale commodities.
51-6.5  Adjustment and cancellation of orders.
51-6.6  Request for waiver of specification requirement.
51-6.7  Orders in excess of nonprofit agency capability.
51-6.8  Deletion of items from the Procurement List.
51-6.9  Correspondence and inquiries.
51-6.10  Quality of merchandise.
51-6.11  Quality complaints.
51-6.12  Specification changes and similar actions.
51-6.13  Replacement and similar commodities.
51-6.14  Disputes.

    Authority: 41 U.S.C. 46-48c.

    Source: 56 FR 48983, Sept. 26, l991, unless otherwise noted.



Sec. 51-6.1  Direct order process.

    (a) Once a commodity or service is added to the Procurement List, 
the central nonprofit agency may authorize the contracting activity to 
issue orders directly to a nonprofit agency without requesting an 
allocation for each order. This procedure is known as the direct order 
process.
    (b) In these cases, the central nonprofit agency shall specify the 
normal leadtime required for orders transmitted directly to the 
nonprofit agencies. This method shall be used whenever possible since it 
eliminates double handling and decreases the time required for 
processing orders.
    (c) An order for commodities or services shall provide leadtime 
sufficient for purchase of materials, production or preparation, and 
delivery or completion.
    (d) The central nonprofit agency shall keep the contracting activity 
informed of any changes in leadtime experienced by its nonprofit 
agencies in order to keep to a minimum requests for extensions once an 
order is placed. Where, due to unusual conditions, an order does not 
provide sufficient leadtime, the central nonprofit agency or the 
individual nonprofit agency may request an extension of delivery or 
completion date which should be granted, if feasible. If extension of 
delivery or completion date is not feasible, the contracting activity 
shall:
    (1) Notify the central nonprofit agency and the individual nonprofit 
agency(ies) as appropriate.
    (2) Request the central nonprofit agency to reallocate or to issue a 
purchase exception authorizing procurement from commercial sources as 
provided in Sec. 51-5.4 of this chapter.
    (e) The contracting activity shall promptly provide to the central 
nonprofit agency concerned a copy of all orders issued to nonprofit 
agencies.
    (f) The written direct order authorization remains valid until it is 
revoked by the central nonprofit agency.



Sec. 51-6.2  Allocation process.

    (a) In those cases where a direct order authorization has not been 
issued as described in Sec. 51-6.1, the contracting activity shall 
submit written requests for allocation to the appropriate central 
nonprofit agency indicated by the Procurement List at the address listed 
below:

------------------------------------------------------------------------
                    Agency                           Agency symbol      
------------------------------------------------------------------------
National Industries for the Blind, 1901 North  NIB                      
 Beauregard Street, Suite 200, Alexandria,                              
 Virginia 22311-1727.                                                   
NISH, 2235 Cedar Lane, Vienna, Virginia 22182- NISH                     
 5200.                                                                  
------------------------------------------------------------------------

    (b) Requests for allocations shall contain, as a minimum:
    (1) For commodities. Name, stock number, latest specification, 
quantity, unit price, and place and time of delivery.
    (2) For services. Type and location of service required, latest 
specification, work to be performed, estimated volume, and time for 
completion.
    (c) Contracting activities shall request allocations in sufficient 
time for the central nonprofit agency to reply, for the order(s) to be 
placed, and for the nonprofit agencies to furnish the commodity or 
service (see paragraph (i) of this section).
    (d) When a commodity on the Procurement List also appears on the 
Federal Prison Industries' ``Schedule of Products,'' the contracting 
activity shall obtain clearance from the Federal Prison Industries prior 
to requesting an allocation or placing an order directly to the 
nonprofit agency(ies).
    (e) The central nonprofit agency shall make allocations to the 
appropriate nonprofit agency(ies) upon receipt of a request from the 
contracting

[[Page 59]]

activity and instruct that the orders be forwarded to the central 
nonprofit agency or direct to the nonprofit agency(ies) with a copy 
provided promptly to the central nonprofit agency.
    (f) Central nonprofit agencies shall reply promptly to requests for 
allocation. When a request for allocation provides a delivery schedule 
(based on established lead times and time required for processing the 
allocation request) which cannot be met, the central nonprofit agency 
shall request a revision, which the contracting activity shall grant, if 
feasible, or the central nonprofit agency shall issue a purchase 
exception authorizing procurement from commercial sources as provided in 
Sec. 51-5.4 of this chapter.
    (g) An allocation is not an obligation to supply a commodity or 
service, or an obligation for the contracting activity to issue an 
order. Nonprofit agencies are not authorized to commence production 
until receipt of an order.
    (h) Upon receipt of an allocation, the contracting activity shall 
promptly submit an order to the appropriate central nonprofit agency or 
designated nonprofit agency(ies). Where this cannot be done promptly, 
the contracting activity shall advise the central nonprofit agency and 
the nonprofit agency(ies) immediately.
    (i) An order for commodities or services shall provide leadtime 
sufficient for purchase of materials, production or preparation, and 
delivery or completion.
    (j) The Central nonprofit agency shall keep the contracting activity 
informed of any changes in leadtime experienced by its nonprofit 
agency(ies) in order to keep to a minimum requests for extensions once 
an order is placed. Where, due to unusual conditions, an order does not 
provide sufficient leadtime, the central nonprofit agency or nonprofit 
agency may request an extension of delivery or completion date which 
should be granted, if feasible. If extension of delivery or completion 
date is not feasible, the contracting activity shall:
    (1) Notify the central nonprofit agency and nonprofit agency(ies) as 
appropriate.
    (2) Request the central nonprofit agency to reallocate or to issue a 
purchase exception authorizing procurement from commercial sources as 
provided in Sec. 51-5.4 of this chapter.
    (k) In those instances where the central nonprofit agency is the 
prime contractor rather than the nonprofit agency, the central nonprofit 
agency will designate the nonprofit agency(ies) authorized by the 
Committee to furnish definite quantities of commodities or specific 
services upon receipt of an order from the contracting activity.

[56 FR 48983, Sept. 26, l991, as amended at 59 FR 59343, Nov. 16, 1994]



Sec. 51-6.3  Long-term procurements.

    (a) Contracting activities are encouraged to investigate long-term 
ordering agreements for commodities listed on the Procurement List to 
level off demand, thereby helping ensure stability of employment and 
development of job skills for persons who are blind or have other severe 
disabilities.
    (b) Contracting activities are encouraged to use the longest 
contract term available by law to their agencies for contracts for 
commodities and services under the JWOD Program, in order to minimize 
the time and expense devoted to formation and renewal of these 
contracts.

[56 FR 48983, Sept. 26, 1991, as amended at 62 FR 32237, June 13, 1997]

    Effective Date Note: At 62 FR 32237, June 13, 1997, Sec. 51-6.3 was 
amended by redesignating the existing text as paragraph (a), adding 
paragraph (b), effective July 14, 1997.



Sec. 51-6.4  Military resale commodities.

    (a) Purchase procedures for ordering military resale commodities are 
available from the central nonprofit agencies. Authorized resale outlets 
(military commissary stores, Armed Forces exchanges and like activities 
of other Government departments and agencies) shall request the central 
nonprofit agency responsible for the military resale commodity being 
ordered to designate the nonprofit agency or its agent to which the 
outlets shall forward orders.
    (b) Authorized resale outlets shall stock military resale 
commodities in

[[Page 60]]

as broad a range as practicable. Authorized resale outlets may stock 
commercial items comparable to the military resale commodities they 
stock, except that military commissary stores shall stock military 
resale commodities in the 800-, 900-, and 1000- series exclusively, 
unless an exception has been granted on an individual store basis for 
the stocking of comparable commercial items for which there is a 
significant customer demand.
    (c) The Defense Commissary Agency shall, after consultation with the 
Committee:
    (1) Establish mandatory lists of military resale commodities to be 
stocked in commissary stores.
    (2) Require the stocking in commissary stores of military resale 
commodities in the 400-, 500-, 800-, 900-, and 1000- series in as broad 
a range as is practicable.
    (3) Issue guidance requiring commissary store personnel to maximize 
sales potential of military resale commodities.
    (4) Establish policies and procedures which reserve to its agency 
headquarters the authority to grant exceptions to the exclusive stocking 
of 800-, 900-, and 1000- series military resale commod-ities.
    (d) The Defense Commissary Agency shall provide the Committee a copy 
of each directive which relates to the stocking of military resale 
commodities in commissary stores, including exceptions authorizing the 
stocking of commercial items in competition with 800-, 900-, and 1000- 
series military resale commodities.
    (e) The prices of military resale commodities include delivery to 
destination or, in the case of destinations overseas, to designated 
depots at ports of embarkation. Zone pricing is used for delivery to 
Alaska and Hawaii.

[56 FR 48983, Sept. 26, l991, as amended at 59 FR 59343, Nov. 16, 1994; 
62 FR 32237, June 13, 1997]

    Effective Date Note: At 62 FR 32237, June 13, 1997, Sec.  51-6.4 was 
amended by revising the second sentence of paragraph (b) and paragraphs 
(c)(2), (c)(4), and (d), effective July 14, 1997. For the convenience of 
the user, the superseded text is set forth as follows:
Sec. 51-6.4  Military resale commodities.

                                * * * * *

    (b) * * *. Authorized resale outlets may stock commercial items 
comparable to the military resale commodities they stock, except that 
military commissary stores shall stock military resale commodities in 
the 800- and 900-series exclusively, unless an exception has been 
granted on an individual store basis for the stocking of comparable 
commercial items for which there is a significant customer demand.
    (c) * * *
    (2) Require the stocking in commissary stores of military resale 
commodities in both the 500-, 800- and 900-series in as broad a range as 
is practicable.

                                * * * * *

    (4) Establish policies and procedures which reserve to its agency 
headquarters the authority to grant exceptions to the exclusive stocking 
of 800- and 900-series military resale commodities.
    (d) The Defense Commissary Agency shall provide the Committee a copy 
of each directive which relates to the stocking of military resale 
commodities in commissary stores, including exceptions authorizing the 
stocking of commercial items in competition with 800- and 900-series 
military resale commodities.

                                * * * * *



Sec. 51-6.5  Adjustment and cancellation of orders.

    When the central nonprofit agency or an individual nonprofit agency 
fails to comply with the terms of a Government order, the contracting 
activity shall make every effort to negotiate an adjustment before 
taking action to cancel the order. When a Government order is canceled 
for failure to comply with its terms, the central nonprofit agency shall 
be notified, and, if practicable, requested to reallocate the order. The 
central nonprofit agency shall notify the Committee of any cancellation 
of an order and the reasons for that cancellation.



Sec. 51-6.6  Request for waiver of specification requirement.

    (a) Nonprofit agencies and central nonprofit agencies are encouraged 
to recommend changes to specification requirements or request waivers 
where there are opportunities to provide

[[Page 61]]

equal or improved products at a lower cost to the Government.
    (b) A nonprofit agency shall not request a waiver of a specification 
requirement except when it is not possible to obtain the material 
meeting the specification or when other requirements contained in the 
specification cannot be met.
    (c) Requests for waiver of specification shall be transmitted by the 
nonprofit agency to its central nonprofit agency.
    (d) The central nonprofit agency shall review the request and the 
specification to determine if the request is valid and shall submit to 
the contracting activity only those requests which it has determined are 
necessary to enable the nonprofit agency to furnish the item.
    (e) The central nonprofit agency request for waiver shall be 
transmitted in writing to the contracting activity. In addition, a copy 
of the request shall be transmitted to the Committee, annotated to 
include a statement concerning the impact on the cost of producing the 
item if the waiver is approved.



Sec. 51-6.7  Orders in excess of nonprofit agency capability.

    (a) Nonprofit agencies are expected to furnish commodities on the 
Procurement List within the time frames specified by the Government. The 
nonprofit agency must have the necessary production facilities to meet 
normal fluctuations in demand.
    (b) Nonprofit agencies shall take those actions necessary to ensure 
that they can ship commodities within the time frames specified by the 
Government. In instances where the nonprofit agency determines that it 
cannot ship the commodity in the quantities specified by the required 
shipping date, it shall notify the central nonprofit agency and the 
contracting activity. The central nonprofit agency shall request a 
revision of the shipping schedule which the contracting activity should 
grant, if feasible, or the central nonprofit agency shall issue a 
purchase exception authorizing procurement from commercial sources as 
provided in Sec. 51-5.4 of this chapter.



Sec. 51-6.8  Deletion of items from the Procurement List.

    (a) When a central nonprofit agency decides to request that the 
Committee delete a commodity or service from the Procurement List, it 
shall notify the Committee staff immediately. Before reaching a decision 
to request a deletion of an item from the Procurement List, the central 
nonprofit agency shall determine that none of its nonprofit agencies is 
capable and desirous of furnishing the commodity or service involved.
    (b) Except in cases where the Government is no longer procuring the 
item in question, the Committee shall, prior to deleting an item from 
the Procurement List, determine that none of the nonprofit agencies of 
the other central nonprofit agency is desirous and capable of furnishing 
the commodity or service involved.
    (c) Nonprofit agencies will normally be required to complete 
production of any orders for commodities on hand regardless of the 
decision to delete the item. Nonprofit agencies shall obtain concurrence 
of the contracting activity and the Committee prior to returning a 
purchase order to the contracting activity.
    (d) For services, a nonprofit agency shall notify the contracting 
activity of its intent to discontinue performance of the service 90 days 
in advance of the termination date to enable the contracting activity to 
assure continuity of the service after the nonprofit agency's 
discontinuance.
    (e) The Committee may delete an item from the Procurement List 
without a request from a central nonprofit agency if the Committee 
determines that none of the nonprofit agencies participating in the JWOD 
Program are capable and desirous of furnishing the commodity or service 
to the Government, or if the Committee decides that the commodity or 
service is no longer suitable for procurement from nonprofit agencies 
employing people who are blind or have other severe disabilities. In 
considering such an action, the Committee will consult with the 
appropriate central nonprofit agency,

[[Page 62]]

the nonprofit agency or agencies involved, and the contracting activity.

[56 FR 48983, Sept. 26, l991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59344, Nov. 16, 1994]



Sec. 51-6.9  Correspondence and inquiries.

    Routine contracting activity correspondence or inquiries concerning 
deliveries of commodities being shipped from or performance of services 
by nonprofit agencies employing persons who are blind or have other 
severe disabilities shall be with the nonprofit agency involved. Major 
problems shall be referred to the appropriate central nonprofit agency. 
In those instances where the problem cannot be resolved by the central 
nonprofit agency and the contracting activity involved, the contracting 
activity or central nonprofit agency shall notify the Committee of the 
problem so that action can be taken by the Committee to resolve it.



Sec. 51-6.10  Quality of merchandise.

    (a) Commodities furnished under Government specification by 
nonprofit agencies employing persons who are blind or have other severe 
disabilities shall be manufactured in strict compliance with such 
specifications. Where no specifications exist, commodities furnished 
shall be of a quality equal to or higher than similar items available on 
the commercial market. Commodities shall be inspected utilizing 
nationally recognized test methods and procedures for sampling and 
inspection.
    (b) Services furnished by nonprofit agencies employing persons who 
are blind or have other severe disabilities shall be performed in 
accordance with Government specifications and standards. Where no 
Government specifications and standards exist, the services shall be 
performed in accordance with commercial practices.



Sec. 51-6.11  Quality complaints.

    (a) When the quality of a commodity received is not considered 
satisfactory by the using activity, the activity shall take the 
following actions as appropriate:
    (1) For commodities received from Defense Logistics Agency supply 
centers, General Services Administration supply distribution facilities, 
Department of Veterans Affairs distribution division or other central 
stockage depots, or specifically authorized supply source, notify the 
supplying agency in writing in accordance with that agency's procedures. 
The supplying agency shall, in turn, provide copies of the notice to the 
nonprofit agency involved and its central nonprofit agency.
    (2) For commodities received directly from nonprofit agencies 
employing persons who are blind or have other severe disabilities, 
address complaints to the nonprofit agency involved with a copy to the 
central nonprofit agency with which it is affiliated.
    (b) When the quality of a service is not considered satisfactory by 
the contracting activity, it shall address complaints to the nonprofit 
agency involved with a copy to the central nonprofit agency with which 
it is affiliated.



Sec. 51-6.12  Specification changes and similar actions.

    (a) Contracting activities shall notify the nonprofit agency or 
agencies authorized to furnish a commodity on the Procurement List and 
the central nonprofit agency concerned of any changes to the 
specification or other description of the commodity.
    (b) When a Government entity is changing the specification or 
description of a commodity on the Procurement List, including a change 
that involves the assignment of a new national stock number or item 
designation, the office assigned responsibility for the action shall 
obtain the comments of the Committee and the central nonprofit agency 
concerned on the proposed change and shall notify the nonprofit agency 
and the central nonprofit agency concerned at least 90 days prior to 
placing an order for a commodity covered by the new specification or 
description.
    (c) For services on the Procurement List, the contracting activity 
shall notify the nonprofit agency furnishing the service and the central 
nonprofit agency concerned at least 90 days prior to the date that any 
changes in the statement of work or other conditions of performance will 
be required.

[[Page 63]]

    (d) If an emergency makes it impossible for a contracting activity 
to give the 90-day notice required by paragraphs (b) and (c) of this 
section, the contracting activity shall inform the nonprofit agency and 
the central nonprofit agency concerned of the reasons it cannot meet the 
90-day notice requirement when it places the order or change notice.
    (e) Nonprofit agencies shall recommend changes in specifications, 
item descriptions, and statements of work that will improve the 
commodity or service being provided, reduce costs, or improve overall 
value to the Government. Contracting activities shall respond promptly 
to these recommendations and work with the nonprofit agencies to 
implement them when appropriate.

[56 FR 48983, Sept. 26, l991, as amended at 59 FR 59344, Nov. 16, 1994]



Sec. 51-6.13  Replacement and similar commodities.

    (a) When a commodity on the Procurement List is replaced by another 
commodity which has not been recently procured, and a nonprofit agency 
can furnish the replacement commodity in accordance with the 
Government's quality standards and delivery schedules, the replacement 
commodity is automatically considered to be on the Procurement List and 
shall be procured from the nonprofit agency designated by the Committee 
at the fair market price the Committee has set for the replacement 
commodity. The commodity being replaced shall continue to be included on 
the Procurement List until there is no longer a Government requirement 
for that commodity.
    (b) If contracting activities desire to procure additional sizes, 
colors, or other variations of a commodity after the commodity is added 
to the Procurement List, and these similar commodities have not recently 
been procured, these commodities are also automatically considered to be 
on the Procurement List.
    (c) In accordance with Sec. 51-5.3 of this chapter, contracting 
activities are not permitted to purchase commercial items that are 
essentially the same as commodities on the Procurement List.

[59 FR 59344, Nov. 16, 1994]



Sec. 51-6.14  Disputes.

    Disputes between a nonprofit agency and a contracting activity 
arising out of matters covered by this part 51-6 should be resolved, 
where possible, by the contracting activity and the nonprofit agency, 
with assistance from the appropriate central nonprofit agency. Disputes 
which cannot be resolved by these parties shall be referred to the 
Committee for resolution.



PART 51-7--PROCEDURES FOR ENVIRONMENTAL ANALYSIS--Table of Contents




Sec.
51-7.1  Purpose and scope.
51-7.2  Early involvement in private, State, and local activities 
          requiring Federal approval.
51-7.3    Ensuring environmental documents are actually considered in 
          agency determinations.
51-7.4  Typical classes of action.
51-7.5  Environmental information.

    Authority: 42 U.S.C. 4321 et seq.

    Source: 56 FR 48986, Sept. 26, l991, unless otherwise noted.



Sec. 51-7.1  Purpose and scope.

    (a) Purpose. This part implements the National Environmental Policy 
Act of 1969 (NEPA) and provides for the implementation of those 
provisions identified in 40 CFR 1507.3(b) of the regulations issued by 
the Council on Environmental Quality (CEQ) (40 CFR parts 1500-1508) 
published pursuant to NEPA.
    (b) Scope. This part applies to all actions of the Committee for 
Purchase from Persons who are Blind or Severely Disabled which may 
affect environmental quality in the United States.

[56 FR 48986, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994]



Sec. 51-7.2  Early involvement in private, State, and local activities requiring Federal approval.

    (a) 40 CFR 1501.2(d) requires agencies to provide for early 
involvement in actions which, while planned by private

[[Page 64]]

applicants or other non-Federal entities, require some sort of Federal 
approval. Pursuant to the JWOD Act (41 U.S.C. 46-48c), the Committee for 
Purchase from People who are Blind or Severely Disabled makes the 
determination as to which qualified nonprofit agency serving persons who 
are blind or have other severe disabilities will furnish designated 
products and services to the Government.
    (b) To implement the requirements of 40 CFR 1501.2(d) with respect 
to these actions, the Committee staff shall consult as required with 
other appropriate parties to initiate and coordinate the necessary 
environmental analysis. The Executive Director shall determine on the 
basis of information submitted by private agencies and other non-Federal 
entities or generated by the Committee whether the proposed action is 
one that normally does not require an environmental assessment or 
environmental impact statement (EIS) as set forth in Sec. 51-7.4, or is 
one that requires an environmental assessment as set forth in 40 CFR 
1501.4.
    (c) To facilitate compliance with these requirements, private 
agencies and other non-Federal entities are expected to:
    (1) Contact the Committee staff as early as possible in the planning 
process for guidance on the scope and level of environmental information 
required to be submitted in support of their request;
    (2) Conduct any studies which are deemed necessary and appropriate 
by the Committee to determine the impact of the proposed action on the 
human environment;
    (3) Consult with appropriate Federal, regional, State and local 
agencies and other potentially interested parties during preliminary 
planning stages to ensure that all environmental factors are identified;
    (4) Submit applications for all Federal, regional, State and local 
approvals as early as possible in the planning process;
    (5) Notify the Committee as early as possible of all other Federal, 
regional, State, local and Indian tribe actions required for project 
completion so that the Committee may coordinate all Federal 
environmental reviews; and
    (6) Notify the Committee of all known parties potentially affected 
by or interested in the proposed action.

[56 FR 48986, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994]



Sec. 51-7.3  Ensuring environmental documents are actually considered in agency determinations.

    (a) 40 CFR 1505.1 of the NEPA regulations contains requirements to 
ensure adequate consideration of environmental documents in agency 
decision-making. To implement these requirements, the Committee staff 
shall:
    (1) Consider all relevant environmental documents in evaluating 
proposals for agency action;
    (2) Ensure that all relevant environmental documents, comments and 
responses accompany the proposal through the agency review processes;
    (3) Consider only those alternatives discussed in the relevant 
environmental documents when evaluating proposals for agency action; and
    (4) Where an EIS has been prepared, consider the specific 
alternative analysis in the EIS when evaluating the proposal which is 
the subject of the EIS.
    (b) For each of the Committee's actions authorized by the JWOD Act, 
the following list identifies the point at which the NEPA process 
begins, the point at which it ends, and the key agency official or 
office required to consider the relevant environmental documents as a 
part of their decision-making:
    (1) Action: Request.
    (2) Start of NEPA process: Upon receipt of request.
    (3) Completion of NEPA process: When the deciding official reviews 
the proposal and makes a determination.
    (4) Key official or office required to consider environmental 
document: When a positive determination is made under Sec. 51-7.2(b), 
the applicant in conjunction with the Committee staff will prepare the 
necessary papers.



Sec. 51-7.4  Typical classes of action.

    (a) 40 CFR 1507.3(b)(2) in conjunction with 40 CFR 1508.4 requires 
agencies to establish three typical classes of action for similar 
treatment under NEPA. These typical classes of action are set forth 
below:

[[Page 65]]

    (1) Actions normally requiring EIS: None.
    (2) Actions normally requiring assessments but not necessarily EISs: 
Requests for actions for which determinations under Sec. 51-7.2(b) are 
found to be affirmative.
    (3) Actions normally not requiring assessments or EISs: Request for 
actions by nonprofit agencies through the central nonprofit agencies to 
add a commodity or service to the Committee's Procurement List.
    (b) The Committee shall independently determine, by referring to 40 
CFR 1508.27, whether an EIS or an environmental assessment is required 
where:
    (1) A proposal for agency action is not covered by one of the 
typical classes of action above; or
    (2) For actions which are covered, but where the presence of 
extraordinary circumstances indicates that some other level of 
environmental review may be appropriate.



Sec. 51-7.5  Environmental information.

    Interested parties may contact the Executive Director at (703) 603-
7740 for information regarding the Committee's compliance with NEPA.

[56 FR 48986, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994]



PART 51-8--PUBLIC AVAILABILITY OF AGENCY MATERIALS--Table of Contents




Sec.
51-8.1  Purpose.
51-8.2  Scope.
51-8.3  Definitions.
51-8.4  Availability of materials.
51-8.5  Requests for records.
51-8.6  Aggregating requests.
51-8.7  Committee response to requests for records.
51-8.8  Business information.
51-8.9  Records of other agencies.
51-8.10  Appeals.
51-8.11  Extensions of time.
51-8.12  Fee schedule.
51-8.13  Fees charged by category of requester.
51-8.14  Fee waivers and reductions.
51-8.15  Collection of fees and charges.
51-8.16  Preservation of records.

    Authority: 5 U.S.C. 552.

    Source: 54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, 
Sept. 26, 1991.

    Editorial Note: Nomenclature change to part 51-8 appears at 59 FR 
16777, Apr. 8, 1994.



Sec. 51-8.1  Purpose.

    These regulations implement the provisions of the ``Freedom of 
Information Act,'' 5 U.S.C. 552. They establish procedures under which 
the public may inspect and obtain copies of material maintained by the 
Committee, provide for administrative appeal of initial determinations 
to deny requests for material, and prescribe fees to be charged by the 
Committee to recover search, review, and duplication costs.

[59 FR 59344, Nov. 16, 1994]



Sec. 51-8.2  Scope.

    (a) These regulations shall apply to all final determinations made 
by the Committee, including all objections; and to any other Committee 
records reasonably described and requested by a person in accordance 
with these regulations--except to the extent that such material is 
exempt in accordance with paragraph (b) of this section. Where a request 
does not reasonably describe the requested information, the requester 
will be asked to provide more specific information.
    (b) Requests for inspection and copies shall not be granted with 
respect to matters that are:
    (1) Related to records:
    (i) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense or 
foreign policy, and
    (ii) In fact properly classified pursuant to such Executive Order;
    (2) Related solely to the internal personnel rules and practices of 
the Committee;
    (3) Specifically exempted from disclosure by statute;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Inter-agency or intra-agency memoranda or letters which would 
not be available by law to a party other than an agency in litigation 
with the Committee;
    (6) Personnel, medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;

[[Page 66]]

    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings,
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication,
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy,
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution, which furnished information on a 
confidential basis and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source,
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law, or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual;
    (8) Contained in or related to examination, operation, or condition 
of reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (9) Geological and geophysical information and data, including maps 
concerning wells.
    (c) Whenever a request is made which involves access to records 
described in paragraph (b)(7)(i) of this section and:
    (1) The investigation or proceeding involves a possible violation of 
criminal law; and
    (2) There is reason to believe that:
    (i) The subject of the investigation or proceeding is not aware of 
its pendency, and
    (ii) Disclosure of the existence of the records could reasonably be 
expected to interfere with enforcement proceedings, then the agency may, 
during only such time as that circumstance continues, treat the records 
as not subject to the requirements of this section.
    (d) Whenever informant records maintained by a criminal law 
enforcement agency under an informant's name or personal identifier are 
requested by a third party according to the informant's name or personal 
identifier, the agency may treat the records as not subject to the 
requirements of this section unless the informant's status as an 
informant has been officially confirmed.
    (e) Whenever a request is made which involves access to records 
maintained by the Federal Bureau of Investigation pertaining to foreign 
intelligence or counterintelligence, or international terrorism, and the 
existence of the records is classified information as provided in 
paragraph (b)(1) of this section, the Bureau may, as long as the 
existence of the records remains classified information, treat the 
records as not subject to the requirements of this section.



Sec. 51-8.3  Definitions.

    As used in this part:
    (a) The term Act means the Freedom of Information Act (5 U.S.C. 
552), as amended.
    (b) The term Chairperson means the Chairperson of the Committee for 
Purchase From People Who Are Blind or Severely Disabled.
    (c) The term Executive Director means the Executive Director of the 
Committee for Purchase from People who are Blind or Severely Disabled.
    (d) The term exempt materials means those materials described in 
Sec. 51-8.2(b).
    (e) The term non-exempt materials refers to all materials described 
in Sec. 51-8.2(a), except exempt materials included in Sec. 51-8.2(b).
    (f) The term duplication refers to the process of making a copy of a 
document necessary to respond to a request. Such copies can take the 
form of paper copy, audio-visual materials, or machine readable 
materials (e.g., magnetic tape or disk), among others.
    (g) The term search includes all time spent looking for material 
that is responsive to a request, including page-

[[Page 67]]

by-page or line-by-line identification of material within documents.
    (h) The term review refers to the process of examining documents 
located in response to a request that is for a commercial use to 
determine whether any portion of any document located is permitted to be 
withheld. It also includes processing any documents for disclosure, 
e.g., doing all that is necessary to excise them and otherwise prepare 
them for release. Review does not include time spent resolving general 
legal or policy issues regarding the application of exemptions.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59344, Nov. 16, 1994]



Sec. 51-8.4  Availability of materials.

    Material described in 5 U.S.C. 552(a)(2) shall be available for 
inspection during normal business hours at the Committee's offices, 
Crystal Square 3, Suite 403, 1735 Jefferson Davis Highway, Arlington, 
Virginia 22202-3461. An individual who intends to visit the Committee 
offices to inspect this material shall make an appointment with the 
Executive Director at least one week in advance, except when the 
Committee has provided notification to the individual that the material 
is available for inspection in the Committee offices, in which case an 
appointment must be made at least 24 hours in advance.

[59 FR 59344, Nov. 16, 1994]



Sec. 51-8.5  Requests for records.

    (a) Requests to obtain copies of any material maintained by the 
Committee must be submitted in writing to the Executive Director at the 
Committee's offices, Crystal Square 3, Suite 403, 1735 Jefferson Davis 
Highway, Arlington, Virginia 22202-3461. The requester may in his or her 
petition ask for a fee waiver if there is likely to be a charge for the 
requested information. All requests for records shall be deemed to have 
been made pursuant to the FOIA, regardless of whether the Act is 
specifically mentioned. Failure to submit a request in accordance with 
these procedures may delay the processing of the request.
    (b) A request must reasonably describe the records to enable agency 
personnel to locate them with reasonable effort. Where possible, a 
requester should supply specific information regarding dates, titles, 
and other identification which will help to identify the records.
    (c) If the Committee determines that a request does not reasonably 
describe the records, it shall inform the requester of this fact and 
extend to the requester an opportunity to clarify the request or to 
confer promptly with knowledgeable agency personnel to attempt to 
identify the records he or she is seeking. The ``date of receipt'' in 
such instances shall be the date of receipt of the amended or clarified 
request.
    (d) Nothing in this part shall be interpreted to preclude the 
Committee from honoring an oral request for information, but, if the 
requester is dissatisfied with the response, the Committee official 
involved shall advise the requester to submit a written request in 
accordance with paragraph (a) of this section. The ``date of receipt'' 
of such a request shall be the date of receipt of the written request. 
For recordkeeping purposes, the Committee in responding to an oral 
request for information may ask the requester to confirm the oral 
request in writing.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59345, Nov. 16, 1994]



Sec. 51-8.6  Aggregating requests.

    When the Committee reasonably believes that a requester, or a group 
of requesters acting in concert, is attempting to break a request down 
into a series of requests for the purpose of evading the assessment of 
fees, the Committee may aggregate any such requests and charge 
accordingly. Elements to be considered in determining whether a belief 
would be reasonable include the time period in which the requests have 
occurred and the subject matter involved.



Sec. 51-8.7  Committee response to requests for records.

    (a) An initial determination whether, and to what extent, to grant 
each request for records or a fee waiver shall

[[Page 68]]

be made by the Executive Director within 10 days (excepting Saturdays, 
Sundays, and legal public holidays) after receipt of that request. The 
person making the request shall be notified as soon as the determination 
is made.
    (b) In making an initial determination whether and to what extent 
requested information will be released, the Committee shall first 
consider whether the material requested is of a type described in 
Sec. 51-8.2(a); if it is, the request shall be granted unless the 
material is exempted by Sec. 51-8.2(b). If the material requested is not 
a type described in Sec. 51-8.2(a), or is the subject of one or more 
exemptions, the request may be denied.
    (c) If a determination is made to grant a request, the relevant 
material shall be furnished as soon as possible following the 
determination to grant the request, and after payment of the fee 
specified in Sec. 51-8.12 when required, except that copies of less than 
10 pages of material requested in person ordinarily will be furnished 
immediately following the determination to grant the request.
    (d) Where portions of the requested material are exempt under 
Sec. 51-8.2(b), and are reasonably segregable from the remainder of the 
material, those portions shall be excised from the materials disclosed.
    (e) If a determination is made to deny a request, or a portion 
thereof, the notification shall include a statement of the reasons for 
such action, shall set forth the name and position of the person 
responsible for the denial, and shall advise the requester of the right, 
and the procedures required under Sec. 51-8.10 to appeal the denial to 
the Chairperson.
    (f) The Committee will require prepayment of fees for search, 
review, and reproduction which are likely to exceed $250.00. When the 
anticipated total fee exceeds $250.00, the requester will receive notice 
to prepay and at the same time will be given an opportunity to modify 
his or her request to reduce the fee. The Committee will also inform the 
requester that fees for search time will be charged even if the search 
proves unsuccessful. The Committee will not start processing a request 
until payment is received.
    (g) Whenever duplication fees or search fees are anticipated to 
exceed $25.00, but not more than $250.00 and the requester has not 
indicated, in advance, a willingness to pay fees as high as those 
anticipated, the Committee will notify the requester of the amount of 
the anticipated fee. Similarly, where an extensive and therefore costly 
successful search is anticipated, the Committee will notify requesters 
of the anticipated fees. The Committee will not start processing the 
request until assurance of payment is received.
    (h) Photocopies and directives furnished to the public are 
restricted to one copy of each page.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59345, Nov. 16, 1994]



Sec. 51-8.8  Business information.

    (a) When, in responding to an FOIA request, the Committee cannot 
readily determine whether the information obtained from a person is 
privileged or confidential business information or when a submitter has 
labeled information as proprietary at the time of submission, it shall:
    (1) Obtain and consider the views of the submitter of the 
information and provide the submitter at least 10 working days to object 
to any decision to disclose the information and to provide reasons for 
the objection;
    (2) Provide business information submitters with notice of any 
determination to disclose such records, to which the submitter has 
objected to disclosure, 10 working days prior to the disclosure date, 
and the reasons for which its disclosure objection is not sustained;
    (3) Notify business information submitters promptly of all instances 
in which FOIA requesters are bringing suit seeking to compel disclosure 
of submitted information.
    (b) The submitter, in responding to a request under paragraph (a)(1) 
of this section, must explain fully all grounds upon which disclosure is 
opposed. For example, if the submitter maintains

[[Page 69]]

that disclosure is likely to cause substantial harm to its competitive 
position, the submitter must explain how disclosure would cause such 
harm.
    (c) When a central nonprofit agency has submitted business 
information on behalf of a workshop, the workshop shall be considered to 
be the ``business information submitter'' for the purposes of this 
section.



Sec. 51-8.9  Records of other agencies.

    (a) When the Committee receives a request to make available current 
records that are the primary responsibility of another agency, the 
Committee will refer the request to the agency concerned for appropriate 
action.
    (b) The Committee will notify the requestor of the referral in 
paragraph (a) of this section and include the name and address of the 
office to which the request was referred.



Sec. 51-8.10  Appeals.

    (a) An appeal to the Chairperson of any denial, in whole or in part, 
of a request for access to and copies of material may be made by 
submission of a written request for reconsideration. Such requests shall 
state the specific reasons for reconsideration that address directly the 
grounds upon which the denial was based. Requests must be addressed to 
the Chairperson at the Committee offices and must be received within 30 
calendar days of the requester's receipt of the Committee's initial 
denial.
    (b) The Chairperson shall make a determination with respect to any 
appeal within 20 days (excepting Saturdays, Sundays, and legal public 
holidays) after receipt of the request for reconsideration. The person 
making such a request shall immediately be notified by mail of the 
determination.
    (c) If the initial denial is reversed by the Chairperson, any 
material with which the reversal is concerned shall be made available in 
accordance with Sec. 51-8.7(b).
    (d) If the denial is upheld, in whole or in part, the Chairperson 
shall include in the notification a statement of the requester's right 
of judicial review under 5 U.S.C. 552(a)(4), and the name and position 
of the person responsible for the denial.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59345, Nov. 16, 1994]



Sec. 51-8.11  Extensions of time.

    (a) Whenever unusual circumstances exist, such as those set forth in 
paragraph (b) of this section, the times within which determinations 
must be made by the Executive Director on requests for access (10 
working days), and by the Chairperson on requests for reconsideration 
(20 working days), may be extended by written notice to the requester 
for a time not to exceed an aggregate of 30 working days. The notice 
shall set forth the reasons for such extension, and the date on which a 
determination is expected to be made. Extensions of time shall be 
utilized only to the extent reasonably necessary to the proper 
processing of the particular request.
    (b) As used in this section, ``unusual circumstances'' may mean:
    (1) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are the subject 
of a single request;
    (2) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request; or
    (3) The need to obtain and consider the views of a business 
information submitter under Sec. 51-8.8.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59345, Nov. 16, 1994]



Sec. 51-8.12  Fee schedule.

    (a) This schedule sets forth fees to be charged for processing 
requests for records under the FOIA. No higher fees or charges in 
addition to those provided for in this schedule may be charged a party 
requesting records under FOIA.
    (b) Subject to the criteria set forth in Sec. 51-8.13, fees may be 
assessed under FOIA on all requests involving document search, 
duplication, and review. Fees may also be charged in situations 
involving special service to requests,

[[Page 70]]

such as certifying that records requested are true copies, or sending 
records by special methods such as express mail, etc.
    (c) Instances in which fees may not be charged are as follows:
    (1) No charge shall be made for the first 100 pages of duplicated 
information (8\1/2\''x14'' or smaller-size paper), or the first two 
hours of manual search time, or the first two minutes of computer search 
time, except on requests seeking documents for a commercial use, as 
specified in Sec. 51-8.13;
    (2) Also, no charge shall be made--even to commercial use 
requesters--if the cost of collecting a fee would be equal to or greater 
than the fee itself;
    (3) In addition, fees shall not be charged for time spent by an 
agency employee in resolving legal or policy issues, or in monitoring a 
requester's inspection of agency records;
    (4) Documents shall also be furnished without charge when members of 
the public provide their own copying equipment, in which case no copying 
fee will be charged (although search and review fees may still be 
assessed).
    (d) Fees for records and related services are as follows:
    (1) The fee for photocopies of pages 8\1/2\''x14'' or smaller shall 
be $0.20 for each page;
    (2) The fee for photocopies larger than 8\1/2\''x14'' shall be $0.50 
per linear foot of the longest side of the copy;
    (3) The fee for other forms of duplicated information, such as 
microfilm, audio-visual materials, or machine-readable documentation 
(i.e., magnetic tape or disk) shall be the actual direct cost of 
producing the document(s);
    (4) Manual searches shall be charged at the salary rate of the 
employee conducting the search, plus 16 percent of the employee's basic 
pay.
    (e) Computer searches and services shall be charged at the rate of 
$22.00 per minute. The $22.00-per-minute rate includes the cost of 
operating the central processing unit (CPU), and the computer operator's 
salary. When the services of a computer programmer or a computer program 
analyst are required in connection with an FOIA request, the fee for 
those services shall be $16.00 and $20.00 per hour, respectively.
    (f) Charges for unsuccessful searches, or searches which fail to 
locate records or which locate records which are exempt from disclosure, 
shall be assessed at the same fee rate as searches which result in 
disclosure of records.
    (g) The fee for providing review services shall be the hourly salary 
rate (i.e., basic pay plus 16 percent) of the employee conducting the 
review to determine whether any information is exempt from mandatory 
disclosure.



Sec. 51-8.13  Fees charged by category of requester.

    (a) Under the FOIA, as amended, there are four categories of FOIA 
requesters: Commercial use requesters; educational and non-commercial 
scientific institutions; representatives of the news media; and all 
other requesters. The Act prescribes specific levels of fees for each 
category.
    (b) Commercial use requesters. For commercial use requesters, the 
Committee shall assess charges which recover the full direct costs of 
searching for, reviewing for release, and duplicating the records 
sought. Commercial use requesters are not entitled to two hours of free 
search time nor 100 free pages of reproduction of documents referenced 
in Sec. 51-8.12(c)(1). The Committee may charge for the cost of 
searching for and reviewing records for commercial use requesters even 
if there is ultimately no disclosure of records.
    (1) A commercial use requester is defined as one who seeks 
information for a use or purpose that furthers the commercial, trade, or 
profit interests of the requester or the person on whose behalf the 
request is made.
    (2) In determining whether a requester properly belongs in this 
category the Committee must determine whether the requester will put the 
documents to a commercial use. Where the Committee has reasonable cause 
to doubt the use to which a requester will put the records sought, or 
where that use is not clear from the request itself, the Committee may 
seek additional clarification from the requester.
    (c) Educational and non-commercial scientific institution 
requesters. Fees for this category of requesters shall be limited to the 
cost of providing duplication service alone, minus the charge

[[Page 71]]

for the first 100 reproduced pages. No charge shall be made for search 
or review services. To qualify for this category, requesters must show 
that the request is being made as authorized by and under the auspices 
of an eligible institution and that the records are not sought for a 
commercial use, but are sought in furtherance of scholarly research (if 
the request is from a non-commercial scientific institution).
    (1) The term ``educational institution'' refers to a preschool, a 
public or private elementary or secondary school, an institution of 
graduate higher education, an institution of undergraduate higher 
education, an institution of professional education, and an institution 
of vocational education, which operates a program or programs of 
scholarly research.
    (2) The term ``non-commercial scientific institution'' refers to an 
institution that is not operated on a ``commercial'' basis, and which is 
operated solely for the purpose of conducting scientific research the 
results of which are not intended to promote any particular product or 
industry.
    (d) Requesters who are representatives of the news media--Fees for 
this category of requesters shall also be limited to the cost of 
providing duplication service alone, minus the charge for the first 100 
reproduced pages. No charge shall be made for providing search for 
review services. Requests in this category must not be made for a 
commercial use.
    (1) The term ``representative of the news media'' refers to any 
person actively gathering news for an entity that is organized and 
operated to publish or broadcast news to the public.
    (2) The term ``news'' means information that is about current events 
or that would be of current interest to the public.
    (3) Examples of news media entities include television or radio 
stations broadcasting to the public at large, and publishers of 
periodicals which disseminate news and who make their products available 
for purchase or subscription by the general public.
    (4) ``Freelance'' journalists may be regarded as working for a news 
organization if they can demonstrate a solid basis for expecting 
publication through that organization, even though not actually employed 
by it.
    (e) All other requesters. Fees for requesters who do not fit into 
any of the above categories shall be assessed for the full reasonable 
direct cost of searching for and duplicating documents that are 
responsive to a request, except that the first 100 pages of reproduction 
and the first two hours of search time shall be furnished without 
charge.



Sec. 51-8.14  Fee waivers and reductions.

    The Committee will waive or reduce fees on requests for information 
if disclosure of the information is deemed to be in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the Government, and is not primarily 
in the commercial interest of the requester.
    (a) In determining when fees shall be waived or reduced, the 
Committee will consider the following six factors:
    (1) The subject of the request, i.e., whether the subject of the 
requested records concerns ``the operations or activities of the 
Government;''
    (2) The informative value of the information to be disclosed, i.e., 
whether the disclosure is ``likely to contribute'' to an understanding 
of Government operations or activities;
    (3) The contribution to an understanding of the subject by the 
general public likely to result from disclosure, i.e., whether 
disclosure of the requested information will contribute to ``public 
understanding'';
    (4) The significance of the contribution to public understanding, 
i.e., whether the disclosure is likely to contribute ``significantly'' 
to public understanding of Government operations or activities;
    (5) The existence and magnitude of a commercial interest, i.e., 
whether the requester has a commercial interest that would be furthered 
by the requested disclosure; and, if so,
    (6) The primary interest in disclosure, i.e., whether the magnitude 
of the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is ``primarily

[[Page 72]]

in the commercial interest of the requester.''
    (b) The Committee may waive or reduce fees associated with a request 
for disclosure regardless of whether a waiver or reduction has been 
requested if the Committee determines that disclosure will primarily 
benefit the general public.
    (c) Fees shall be waived in all circumstances where the amount of 
the fee is $10 or less as the cost of collection would be greater than 
the fee. This minimum shall be applied separately to each Committee 
response when it is necessary for the Committee to make more than one 
response to a request for records.

[54 FR 15189, Apr. 17, 1989. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 59345, Nov. 16, 1994]



Sec. 51-8.15  Collection of fees and charges.

    (a) Except when prepayment is required, payments shall be collected 
to the fullest extent possible at the time the requested materials are 
furnished. Payments shall be made by requesters within 30 days of the 
date of the billing.
    (b) Payments shall be made by check, draft, or money order made 
payable to the Treasury of the United States.
    (c) In instances where a requester has previously failed to pay a 
fee, the Committee may require the requester to pay the full amount 
owed, plus any applicable interest as provided below, as well as the 
full estimated fee associated with any new request before it begins to 
process the new or subsequent request.
    (d) On requests that result in fees being assessed, interest will be 
charged on an unpaid bill starting on the 31st day following the day on 
which the billing was sent. Interest will be at the rate prescribed in 
section 3717 of Title 31 United States Code, and will accrue from the 
date of the billing.
    (e) In attempting to collect fees levied under FOIA, the Committee 
will abide by the provisions of the Debt Collection Act of 1982 (Pub. L. 
97-365) in disclosing information to consumer reporting agencies and in 
the use of collection agencies, where appropriate, to encourage payment.



Sec. 51-8.16  Preservation of records.

    The Committee shall preserve all correspondence relating to the 
requests it receives under this part, and all records processed pursuant 
to such requests, until such time as the destruction of such 
correspondence and records is authorized pursuant to Title 44 United 
States Code, and to the General Records Schedule. Records shall not be 
destroyed while they are the subject of a pending request, appeal, or 
lawsuit under the Act.



PART 51-9--PRIVACY ACT RULES--Table of Contents




                     Subpart 51-9.1--General Policy

Sec.
51-9.101  Maintenance of records.
51-9.101-1  Collection and use.
51-9.101-2  Standards of accuracy.
51-9.101-3  Content of systems of records.
51-9.101-4  Rules of conduct.
51-9.101-5  Safeguarding systems of records.
51-9.102  Availability of records.
51-9.102-1  Specific exemptions.

                  Subpart 51-9.2--Disclosure of Records

51-9.201  Conditions of disclosure.
51-9.202  Accounting of disclosures.

              Subpart 51-9.3--Individual Access to Records

51-9.301  Notification.
51-9.302  Times, places and requirements for access requests.
51-9.303  Access procedures.
51-9.303-1  Form of requests.
51-9.303-2  Special requirements for medical/psychological records.
51-9.303-3  Granting access.
51-9.303-4  Denials of access.
51-9.304  Fees.
51-9.304-1  Records available without charge.
51-9.304-2  Records available at a fee.
51-9.304-3  Prepayment of fees over $25.
51-9.304-4  Form of payment.
51-9.304-5  Reproduction fee schedule.

                Subpart 51-9.4--Requests To Amend Records

51-9.401  Submission of requests to amend records.
51-9.402  Review of requests to amend records.
51-9.403  Approval of requests to amend.
51-9.404  Refusal of request to amend.
51-9.405  Request of review of refusal to amend a record.

[[Page 73]]

Subpart 51-9.5--Report on New Systems and Alteration of Existing Systems

51-9.501  Reporting requirement.
51-9.502  Federal Register notice of establishment of new system or 
          alteration of existing system.
51-9.503  Effective date of new systems of records or alteration of an 
          existing system of records.

                 Subpart 51-9.6--Exceptions--[Reserved]

Subpart 51-9.7--Rules of Conduct for Disclosure of Information About an 
                               Individual

51-9.701  Committee rules of conduct.

    Authority: 5 U.S.C. 552a.

    Source: 40 FR 51168, Nov. 3, 1975. Redesignated at 56 FR 48983, 
Sept. 26, 1991.

    Editorial Note: Nomenclature change to part 51-9 appears at 56 FR 
48983, Sept. 26, 1991.



                     Subpart 51-9.1--General Policy



Sec. 51-9.101   Maintenance of records.



Sec. 51-9.101-1   Collection and use.

    Any information used in whole or in part in making a determination 
about an individual's rights, benefits, or privileges under the 
Committee programs, shall, to the extent practicable, be collected 
directly from the subject individual. At the time information is 
collected, the individual must be informed of the authority for 
collecting such information, whether providing the information is 
mandatory or voluntary, the purposes for which the information will be 
used, the routine uses as published in the Federal Register, and the 
effects on the individual, if any, of not providing the information. The 
information collected shall be used only for the intended purpose or 
permission for additional use will be obtained from the subject 
individual.



Sec. 51-9.101-2   Standards of accuracy.

    The Executive Director shall ensure that all records which are used 
by the agency to make determinations about any individual are maintained 
with such accuracy, relevance, timeliness, and completeness as is 
reasonably necessary to assure fairness to the individual. Upon petition 
by an individual, the Executive Director shall provide the individual 
with the opportunity to review his records, and to request amendment of 
a portion which the individual believes is not accurate, relevant, 
timely or complete. Prior to dissemination of records about any 
individual to any person or to another agency, exclusive of disclosure 
pursuant to the Freedom of Information Act, the Executive Director shall 
make reasonable effort to ensure that such records are accurate, 
complete, timely, and relevant.



Sec. 51-9.101-3   Content of systems of records.

    The Executive Director shall maintain in records only such 
information about an individual as is relevant and necessary to 
accomplish an agency purpose required by statute or executive order. 
Such records shall not contain any information describing how any 
individual exercises rights guaranteed by the First Amendment unless 
specifically authorized by statute, by the subject individual, or is 
pertinent to and within the scope of an authorized law enforcement 
activity. For these purposes, First Amendment rights include, but are 
not limited to, religious and political beliefs, freedom of speech, the 
press, assembly, and freedom to petition.



Sec. 51-9.101-4   Rules of conduct.

    Any employee of the Committee involved in the design, development, 
operation or maintenance of any system of records, or in maintaining any 
record, shall review the provisions of 5 U.S.C. 552a and these 
regulations, and shall conduct himself accordingly with the rules of 
conduct concerning the protection of personal information outlined in 41 
CFR 51-9.7, Disclosure of Information about an Individual.



Sec. 51-9.101-5   Safeguarding systems of records.

    The Executive Director shall ensure that appropriate administrative, 
technical and physical safeguards are established to ensure the security 
and confidentiality of records and to protect against any anticipated 
threats or hazards to their security or integrity which could result in 
substantial harm,

[[Page 74]]

embarrassment, inconvenience, or unfairness to any individual on whom 
information is maintained.



Sec. 51-9.102   Availability of records.

    Committee records pertaining to an individual shall be made 
available to the subject individual to the greatest extent possible. 
Disclosures of records to other than the subject individual will be made 
only in accordance with Subpart 51-9.2 of this part.



Sec. 51-9.102-1   Specific exemptions.

    Systems of records maintained by the Committee which have been 
exempted from certain requirements of the Privacy Act are designated in 
Subpart 51-9.6 of this part. An individual shall have access to all 
exempted records containing information about him under procedures 
outlined in Subpart 51-9.3 of this part. Upon request, an individual 
shall receive an accounting of any disclosure of information about him.



                  Subpart 51-9.2--Disclosure of Records



Sec. 51-9.201   Conditions of disclosure.

    No Committee member or employee of the Committee shall disclose any 
record to any person or to another agency without the express written 
consent of the subject individual unless the disclosure is:
    (a) To Committee members or employees who have a need for the 
information in the official performance of their duties.
    (b) Required under the provisions of the Freedom of Information Act.
    (c) For a routine use as published in the annual notice in the 
Federal Register.
    (d) To the Bureau of Census for uses pursuant to Title 13.
    (e) To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record and the record is to be transferred in a 
form that is not individually identifiable. The written statement should 
include as a minimum:
    (1) A statement of the purpose for requesting the records, and
    (2) Certification that the records will be used only for statistical 
purposes.

These written statements shall be maintained as records. In addition to 
stripping, personally identifying information from records released for 
statistical purpose, the Committee will ensure that the identity of the 
individual cannot reasonably be deducted by combining various 
statistical records.
    (f) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Administrator of General Services or his designee to determine whether 
the record has such value.
    (g) To another agency or instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to the agency which maintains the record specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought.
    (h) To a person showing compelling circumstances affecting the 
health and safety of an individual (not necessarily the individual to 
whom the record pertains). Upon such disclosure, a notification of such 
shall be sent to the last known address of the individual.
    (i) To either House of Congress or to a subcommittee or committee 
(joint or of either House, to the extent that the subject matter falls 
within their jurisdiction).
    (j) To the Comptroller General, or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office, or
    (k) Pursuant to the order of the court of competent jurisdiction.



Sec. 51-9.202   Accounting of disclosures.

    (a) Except for disclosures made pursuant to paragraphs (a) and (b) 
of Sec. 51-9.201 of this part, an accurate accounting of each disclosure 
will be made and

[[Page 75]]

retained for five years after the disclosure or for the life of the 
record, whichever is longer. The accounting will include the date, 
nature, and purpose of each disclosure, and the name and address of the 
person or agency to whom the disclosure is made.
    (b) The accounting will be recorded and maintained in any manner the 
Executive Director determines is satisfactory for the purposes of 
constructing a listing of all disclosures, and for providing a cross 
reference to the justification or basis upon which the disclosure was 
made, including written documentation required when records are released 
for statistical or law enforcement purposes and any written consents 
provided by the individual.
    (c) Except for disclosures made to agencies or instrumentalities in 
law enforcement activities in accordance with Sec. 51-9.201(e)(2) or for 
disclosures made from systems exempted from this requirement of the Act 
as outlined in subpart 51-9.6 of this part, the accounting of 
disclosures will be made available to the individual upon request. 
Procedures for requesting access to the accounting are outlined in 
subpart 51-9.3 of this part.



              Subpart 51-9.3--Individual Access to Records



Sec. 51-9.301   Notification.

    Any individual who wishes to determine if a system of records 
maintained by the Committee contains a record pertaining to him should 
direct a request to the Executive Director at the address indicated in 
the public notice describing the system of records which has been 
published in the Federal Register. The request should display clearly 
the legend ``Privacy Act Request'' both on the face of the request 
letter and on the face of the envelope. The request letter should 
contain the complete name and identifying number of the system as 
published in the Federal Register; the full name, address, and telephone 
number of the subject individual; a brief description of the nature, 
time, place and circumstances of the individual's association with the 
Committee and any other information which the individual believes would 
facilitate the Executive Director's determination whether the 
individual's name is included in the system of records. The Executive 
Director shall answer or acknowledge the request within ten working 
days.



Sec. 51-9.302   Times, places and requirements for access requests.

    Records will be available for authorized access during normal 
business hours at the offices where the records are located. A requester 
should be prepared to identify himself through production of a driver's 
license, student or employee identification card, or other 
identification acceptable to the Executive Director. When the disclosure 
of records to the wrong individual would result in substantial harm, 
embarrassment, inconvenience, or unfairness to the subject individual, 
the Executive Director may require a notarized statement of identity. 
The Executive Director shall ensure that such times, places, and 
requirements for identification are not excessive and do not restrict 
individual access unduly.



Sec. 51-9.303   Access procedures.



Sec. 51-9.303-1   Form of requests.

    (a) An individual must request access to his record in writing. The 
Executive Director shall accept by telephone only general inquiries for 
information regarding systems of records or procedures.
    (b) A written request should be directed to the Executive Director 
as listed in the public notice describing the system of records. The 
individual should display clearly on the face of the request letter and 
on the face of the envelope the legend ``Privacy Act Request'', and 
include the complete name and identifying number of the system as 
published in the Federal Register; the full name, address, the telephone 
number of the individual; a brief description of the nature, time, place 
and circumstances of the individual's association with the Committee; 
and any other information which the individual believes would facilitate 
the Executive Director's search for the record.
    (c) An individual who wishes to have a person of his choosing 
accompany him in reviewing a record must sign a

[[Page 76]]

statement authorizing the disclosure of his record in the presence of 
another individual, if so requested by the Executive Director. An 
individual who intends to visit the Committee office in order to review 
a record should make an appointment with the Executive Director at least 
one week in advance.



Sec. 51-9.303-2   Special requirements for medical/psychological records.

    (a) The Executive Director may require an individual who requests 
access to his medical or psychological record to designate a physician 
of his choice to whom he may disclose the individual's record if in the 
opinion of the Executive Director, disclosure directly to the individual 
might be harmful.
    (b) The Executive Director shall mark records which should not be 
disclosed directly to the subject individual and shall inform an 
individual requesting such records of the requirement to designate a 
physician to whom the records can be disclosed.



Sec. 51-9.303-3   Granting access.

    (a) Upon receipt of a request for access to non-exempt records, the 
Executive Director shall make such records available to the individual, 
or shall acknowledge the request within ten working days. The 
acknowledgment shall indicate when the Executive Director will make the 
record available.
    (b) If the Executive Director anticipates more than ten days in 
making a record available he also shall include in the acknowledgement 
specific reasons for the delay.
    (c) If an individual's request for access does not contain 
sufficient information to permit the Executive Director to locate the 
record, the Executive Director shall request additional information from 
the individual and shall have ten working days following receipt of the 
additional information in which to make the record available, or to 
acknowledge receipt of the request and indicate when the record will be 
available. In no case shall more information be requested from the 
individual than that contained in the pertinent system of records.
    (d) The Executive Director, at his discretion, either shall permit 
an individual to examine the original of the record, or shall provide 
the individual with a copy of the record. Fees shall be charged only for 
copies requested by the individual and not for copies provided to the 
individual for convenience of the agency.
    (e) An individual may request to pick up a record in person or 
receive it by mail, directed to the name and address provided by the 
individual in his request. The Executive Director shall not make a 
record available to a third party for delivery to the subject 
individual, except in the case of medical records outlined in Sec. 51-
9.303-2.
    (f) The Executive Director shall maintain in an individual's record 
an accounting of disclosures to the individual's documenting compliance 
with the request.
    (g) The procedures for access to an accounting of disclosures is 
identical to the procedure for access to a record as set forth in this 
section.



Sec. 51-9.303-4   Denials of access.

    (a) The Executive Director may deny any individual access to his 
record only on the grounds that the Committee has published rules in the 
Federal Register exempting the pertinent system of records from the 
access requirement.
    (b) Upon receipt of a request for access to an exempt system, the 
Executive Director shall prepare a letter denying access. The letter of 
denial shall contain a justification for denial of access which includes 
appropriate citation to the exemption provisions of these rules or other 
Federal Register notice exempting the system.



Sec. 51-9.304   Fees.



Sec. 51-9.304-1  Records available without charge.

    The Executive Director shall make one copy of a record available to 
an employee without charge, and may waive the fee requirement for any 
other individual requesting records if the cost of collecting the fee is 
an unduly large part of, or greater than, the fee, or when furnishing 
the record without charge conforms to generally established business 
custom or is in the public interest.

[[Page 77]]



Sec. 51-9.304-2   Records available at a fee.

    The Executive Director shall provide one copy of a record to the 
individual at a fee prescribed in Sec. 51-9.304-5. A reasonable number 
of additional copies will be provided for the applicable fee where 
reproduction services are not readily available.



Sec. 51-9.304-3   Prepayment of fees over $25.

    When the Executive Director determines that the anticipated total 
fee is likely to exceed $25, he shall notify the individual that he must 
prepay the anticipated fee prior to making the records available. The 
Committee will remit the excess paid by the individual or bill the 
individual for an additional amount according to variations between the 
final fee charged and the amount prepaid.



Sec. 51-9.304-4   Form of payment.

    Payment shall be by check or money order payable to the Committee 
for Purchase from People who are Blind or Severely Disabled and shall be 
addressed to the Executive Director.

[40 FR 51168, Nov. 3, 1975, as amended at 59 FR 16777, Apr. 8, 1994]



Sec. 51-9.304-5   Reproduction fee schedule.

    (a) The fee for reproducing a copy of a record (by routine 
electrostatic copying) up to and including material 8\1/2\ x 14 inches 
shall be $0.10 per page.
    (b) The fee for reproducing a copy of a record over 8\1/2\ x 14 
inches or whose physical characteristics do not permit reproduction by 
routine electrostatic copying shall be the direct cost of reproducing 
the records through Government or commercial sources.



                Subpart 51-9.4--Requests To Amend Records



Sec. 51-9.401   Submission of requests to amend records.

    (a) An individual who desires to amend any record or information 
pertaining to him should direct a written request to the Executive 
Director, Committee for Purchase from People who are Blind or Severely 
Disabled, Crystal Square 3, Suite 403, 1735 Jefferson Davis Highway, 
Arlington, Virginia 22202-3461.
    (b) A request should bear the legend ``Privacy Act--Request to Amend 
Record'' prominently marked on both the face of the request letter and 
the envelope.

(5 U.S.C. 552a)

[40 FR 51168, Nov. 3, 1975. Redesignated at 56 FR 48983, Sept. 26, 1991, 
and amended at 59 FR 16777, Apr. 8, 1994]



Sec. 51-9.402   Review of requests to amend records.

    (a) Upon receipt of a request to amend a record, the responsible 
official, whenever practicable shall complete the review and advise the 
individual of the results within ten working days. If a determination 
cannot be made within ten working days, the Executive Director, within 
ten working days, shall send the individual a written acknowledgment of 
receipt of the request including a description of the request and the 
date when the requester may except to be advised of action taken on the 
request. Except in unusual circumstances, the Executive Director shall 
complete the review within 30 working days. In unusual circumstances, 
causing delay beyond the 30 day limit, the Executive Director shall 
inform the individual in writing of the cause of delay, the actions 
taken to review the record, and the date the Executive Director 
anticipates the review to be complete.
    (b) When reviewing a record in response to a request to amend, the 
Executive Director shall assess the accuracy, relevance, timeliness, and 
completeness of the record to ensure fairness to the individual in any 
determination made on the basis of the record. With respect to a request 
to delete information, the Executive Director also shall review the 
request and record to determine whether the information is relevant and 
necessary to accomplish an agency purpose required to be accomplished by 
law or Executive Order.



Sec. 51-9.403   Approval of requests to amend.

    If the Executive Director agrees to amend a record, he promptly 
shall make the necessary corrections to the

[[Page 78]]

record and shall send a copy of the corrected record to the individual. 
Where an accounting of disclosure has been maintained, he shall advise 
all previous recipients of the record of the fact that a correction was 
made of/and the substance of the correction. Where practicable, the 
Executive Director shall send a copy of the corrected record to previous 
recipients.



Sec. 51-9.404   Refusal of request to amend.

    (a) The Executive Director, or any official acting for him, shall 
have the authority to issue an initial refusal of a request to amend a 
record within his custody and shall be responsible for the initial 
adverse agency determination.
    (b) If the Executive Director, after reviewing the request to amend 
a record, determines not to amend the record, he promptly shall advise 
the requester in writing of the determination. The refusal letter (1) 
shall state the reasons for refusal, (2) shall state the requester's 
right to seek a review of the initial determination, and (3) shall state 
the procedures for requesting such review.



Sec. 51-9.405   Request of review of refusal to amend a record.

    (a) An individual who disagrees with the refusal to amend may appeal 
that refusal with the Committee. An individual should address a request 
for review of a refusal to amend any record, exclusive of a personnel 
record of a current Committee employee to the Chairperson, Committee for 
Purchase from People who are Blind or Severely Disabled, Crystal Square 
3, Suite 403, 1735 Jefferson Davis Highway, Arlington, Virginia 22202-
3461.
    (b) A request to review must be in writing and should include a copy 
of the initial request and refusal to amend. The request to review 
should bear the legend ``Privacy Act--Request for Review of Refusal to 
Amend'' on both the face of the letter and the envelope. The Chairperson 
shall complete the review and make a determination no later than 30 
working days after receipt of the request for review, unless a 
determination is made to extend the 30 day period. If a determination is 
made to extend the 30 day period, the Chairperson shall notify the 
requester in writing of the reasons for the delay and the date when the 
review will be completed.
    (c) Upon receipt of a request to review a refusal to amend, the 
Chairperson shall undertake an independent review of the request and 
initial determination. If, after conducting the review, the Chairperson 
agrees to amend, he shall notify the requester promptly in writing of 
the determination, amend the record, and notify previous recipients in 
accordance with Sec. 51-9.403.
    (d) If, after conducting the review, the Chairperson agrees with the 
refusal to amend the record, he shall notify the requester promptly in 
writing of the determination. The notification shall include the reasons 
for the refusal, and shall advise the individual of his right to file a 
statement of disagreement, and the procedures for doing so. The 
Chairperson also shall advise the individual that such statement of 
disagreement will be made available in any subsequent disclosures of the 
record together with a concise statement summarizing reasons for refusal 
where the responsible official deems it appropriate. The Chairperson 
also will advise the individual of his right to bring civil action 
against the agency in a district court of the United States.

(5 U.S.C. 552a)

[40 FR 51168, Nov. 3, 1975, Redesignated at 56 FR 48983, Sept. 26, 1991, 
and amended at 59 FR 16777, Apr. 8, 1994; 59 FR 59345, Nov. 16, 1994]



Subpart 51-9.5--Report on New Systems and Alteration of Existing Systems



Sec. 51-9.501   Reporting requirement.

    (a) No later than 30 days prior to the establishment of a new 
systems of records, the Executive Director shall submit a copy of the 
proposal to the President of the Senate, the Speaker of the House of 
Representatives, and the Director of the Office of Management and Budget 
for their evaluation of the probable or potential effect of such 
proposal on the privacy and other personal or property rights of 
individuals of the disclosure of information relating to such 
individuals.

[[Page 79]]

    (b) No later than 30 days prior to the alteration of a system of 
records, the Executive Director for the maintenance of that system of 
records shall submit a copy of the proposal to the President of the 
Senate, the Speaker of the House of Representatives, and the Director of 
the Office of Management and Budget for their evaluation of the probable 
or potential effect of such proposal on the privacy and other personal 
or property rights of individuals of the disclosure of information 
relating to such individuals.



Sec. 51-9.502   Federal Register notice of establishment of new system or alteration of existing system.

    (a) When the Executive Director receives notice that the Senate, the 
House of Representatives, and the Office of Management and Budget do not 
object to the establishment of a new system of records, or the 
alteration of an existing system of records, or
    (b) When no fewer than 30 days elapse from the submission of the 
proposal to the Senate, the House of Representatives, and the Office of 
Management and Budget, without receipt by the Executive Director of an 
objection to the proposal, then a notice shall be published in the 
Federal Register of the proposed establishment or alteration of a system 
of records. The notice shall include all of the information required to 
be provided by the Privacy Act of 1974, and such other information as 
deemed necessary.



Sec. 51-9.503   Effective date of new systems of records or alteration of an existing system of records.

    Systems of records proposed to be established or altered in 
accordance with the provision of the subpart shall be effective no 
sooner than 30 days from the publication of notice required by Sec. 51-
9.502.



                  Subpart 51-9.6--Exemptions [Reserved]



Subpart 51-9.7--Rules of Conduct for Disclosure of Information About an 
                               Individual



Sec. 51-9.701   Committee rules of conduct.

    (a) Every Committee member and employee who is involved in the 
design, development, operation, or maintenance of a system of records, 
or who has access to a system of records, shall familiarize himself with 
the requirements of the Privacy Act of 1974 (5 U.S.C. 552a) and the 
Committee regulations and orders issued thereunder and apply these 
requirements to all systems of records.
    (b) No Committee member or employee shall disclose any record which 
is contained in a system of records by any means of communication to any 
person, or to another agency, except pursuant to a written request by, 
or with the prior written consent of the individual to whom the record 
pertains, unless the disclosure would be to a recipient specified in 
paragraph (c) of this section. The term ``record'' means any item, 
collection, or grouping of information about an individual that is 
maintained by an agency, including but not limited to, his education, 
financial transactions, medical history, and criminal or employment 
history and that contains his name, or the identifying number, symbol, 
or other identifying particular assigned to the individual, such as a 
finger or voice print or a photograph. The term ``system of records'' 
means a group of any records under the control of the Committee from 
which information is retrieved by the name of the individual or by some 
identifying number symbol, or other identifying particular assigned to 
the individual. The term ``routine use'' means, with respect to the 
disclosure of a record, the use of such record for a purpose which is 
compatible with the purpose for which it was collected. The term 
``individual'' means a citizen

[[Page 80]]

of the United States or an alien lawfully admitted for permanent 
residence. The term ``agency'' is defined in 5 U.S.C. 552(e).
    (c) An employee may disclose any record which is contained in a 
system of records, without a written request by and without the prior 
written consent of the individual to whom the record pertains, if the 
disclosure would be:
    (1) To those Committee members and employees of the agency which 
maintains the record who have a need for the record in the performance 
of their duties;
    (2) Required under section 552 of Title 5 U.S.C.;
    (3) For a routine use as described in paragraph (b) of this section;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to the provisions of 
Title 13 U.S.C.;
    (5) To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (6) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Administrator of General Services or his designee to determine whether 
the record has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to the agency which maintains the record specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought;
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (9) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (10) To the Comptroller General, or any of his authorized 
representatives, in the course of the performance of the duties of the 
General Accounting Office; or
    (11) Pursuant to the order of a court of competent jurisdiction.
    (d) No Committee member or employee shall maintain a record 
describing how any individual exercises rights guaranteed by the First 
Amendment unless expressly authorized by statute or by the individual 
about whom the record is maintained or unless pertinent to and within 
the scope of an authorized law enforcement activity.
    (e) No Committee member or employee shall sell or rent an 
individual's name and address unless such action is specifically 
authorized by law.
    (f) A Committee member or employee, who by virtue of his employment 
or official position, has possession of, or access to, agency records 
which contain individually identifiable information the disclosure of 
which is prohibited by paragraph a of this section or by any other rules 
or regulations established under the Privacy Act of 1974, and who (1) 
knowing that disclosure of the specific material is so prohibited, 
willfully discloses the material in any manner to any person or agency 
not entitled to receive it, or (2) willfully maintains a system of 
records without meeting the notice requirements of the Privacy Act of 
1974, or (3) knowingly and willfully requests or obtains any record 
concerning an individual from any agency under false pretenses, is 
subject to criminal penalties and administrative sanctions. Any 
Committee member or employee who (i) makes a determination not to amend 
an individual's record in accordance with the Privacy Act of 1974, or 
(ii) refuses to comply with an individual's request to gain access to 
review, and obtain a copy of any information pertaining to him, or (iii) 
fails to maintain any record concerning any individual with such 
accuracy, relevance,

[[Page 81]]

timeliness, and completeness as is necessary to assure fairness in any 
determination relating to the qualifications, character, rights, or 
opportunities or of benefits to the individual that may be made on the 
basis of such record, and consequently a determination is made which is 
adverse to the individual, or (iv) fails to comply with any provision of 
the Privacy Act of 1974 or any Committee regulation implementing it, 
subjects the Committee to civil penalties and himself to administrative 
sanctions.



  PART 51-10--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMITTEE FOR PURCHASE FROM PEOPLE WHO ARE BLIND OR SEVERELY DISABLED--Table of Contents





Sec.
51-10.101  Purpose.
51-10.102  Application.
51-10.103  Definitions.
51-10.104--51-10.109 [Reserved]
51-10.110  Self-evaluation.
51-10.111  Notice.
51-10.112--51-10.129 [Reserved]
51-10.130  General prohibitions against discrimination.
51-10.131--51-10.139 [Reserved]
51-10.140  Employment.
51-10.141--51-10.148 [Reserved]
51-10.149  Program accessibility: Discrimination prohibited.
51-10.150  Program accessibility: Existing facilities.
51-10.151  Program accessibility: New construction and alterations.
51-10.152--51-10.159 [Reserved]
51-10.160  Communications.
51-10.161--51-10.169 [Reserved]
51-10.170  Compliance procedures.
51-10.171--51-10.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 50 FR 22894, June 23, 1986. Redesignated at 56 FR 48983, 
Sept. 26, 1991.

    Editorial Note: Nomenclature change to part 51-10 appears at 56 FR 
48983, Sept. 26, 1991.



Sec. 51-10.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 51-10.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 51-10.103  Definitions.

    For purposes of this part, the term--
    Asssistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record

[[Page 82]]

of such an impairment, or is regarded as having such an impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, emotional illness, 
and drug addiction and alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can acheive the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 51-10.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.

[[Page 83]]

Secs. 51-10.104--51-10.109  [Reserved]



Sec. 51-10.110  Self-evaluation.

    (a) The agency shall, by August 24, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspection:
    (1) a description of areas examined and any problems identified, and
    (2) a description of any modifications made.



Sec. 51-10.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.
Secs. 51-10.112--51-10.129  [Reserved]



Sec. 51-10.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination

[[Page 84]]

under any program or activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.
Secs. 51-10.131--51-10.139  [Reserved]



Sec. 51-10.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
Part 1613, shall apply to employment in federally conducted programs or 
activities.
Secs. 51-10.141--51-10.148  [Reserved]



Sec. 51-10.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 51-10.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 51-10.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 51-10.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result

[[Page 85]]

in such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of the services to accessible buildings, 
assignment of aides to beneficiaries, home visits, delivery of services 
at alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 51-10.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to handicapped 
persons. In cases where a physical alteration to an historic property is 
not required because of Sec. 51-10.150(a)(2) or (a)(3), alternative 
methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987 months after the effective 
date], a transition plan setting forth the steps necessary to complete 
such changes. The agency shall provide an opportunity to interested 
persons, including handicapped persons or organizations representing 
handicapped persons, to participate in the development of the transition 
plan by submitting comments (both oral and written). A copy of the 
transition plan shall be made available for public inspection. The plan 
shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 51-10.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.

[[Page 86]]

Secs. 51-10.152--51-10.159  [Reserved]



Sec. 51-10.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 51-10.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.
Secs. 51-10.161--51-10.169  [Reserved]



Sec. 51-10.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
Part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Executive Director shall be responsible for coordinating the 
implementation of this section. Complaints may be sent to the Executive 
Director, Committee for Purchase from People who are Blind or Severely 
Disabled, Crystal Square 3, Suite 403, 1735 Jefferson Davis Highway, 
Arlington, Virginia 22202-3461.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or

[[Page 87]]

facility that is subject to the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), or section 502 of the Rehabilitation Act 
of 1973, as amended (29 U.S.C. 792), is not readily accessible to and 
usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 51-10.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[50 FR 22894, June 23, 1986. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 16777, Apr. 8, 1994]
Secs. 51-10.171--51-10.999  [Reserved]

[[Page 89]]



CHAPTER 60--OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS, EQUAL EMPLOYMENT OPPORTUNITY, DEPARTMENT OF LABOR




  --------------------------------------------------------------------
Part                                                                Page
60-1            Obligations of contractors and 
                    subcontractors..........................          90
60-2            Affirmative action programs.................         107
60-3            Uniform guidelines on employee selection 
                    procedures (1978).......................         118
60-4            Construction contractors--affirmative action 
                    requirements............................         144
60-20           Sex discrimination guidelines...............         151
60-30           Rules of practice for administrative 
                    proceedings to enforce equal opportunity 
                    under Executive Order 11246.............         153
60-40           Examination and copying of OFCCP documents..         164
60-50           Guidelines on discrimination because of 
                    religion or national origin.............         166
60-60           Contractor evaluation procedures for 
                    contractors for supplies and services...         168
60-250          Affirmative action obligations of 
                    contractors and subcontractors for 
                    disabled veterans and veterans of the 
                    Vietnam era.............................         172
60-741          Affirmative action and nondiscrimination 
                    obligations of contractors and 
                    subcontractors regarding individuals 
                    with disabilities.......................         186
60-742          Procedures for complaints/charges of 
                    employment discrimination based on 
                    disability filed against employers 
                    holding government contracts or 
                    subcontracts............................         214
60-999          OMB control numbers for OFCCP information 
                    collection requirements.................         218

[[Page 90]]



PART 60-1--OBLIGATIONS OF CONTRACTORS AND SUBCONTRACTORS--Table of Contents




  Subpart A--Preliminary Matters; Equal Opportunity Clause; Compliance 
                                 Reports

Sec.
60-1.1  Purpose and application.
60-1.2  Administrative responsibility.
60-1.3  Definitions.
60-1.4  Equal opportunity clause.
60-1.5  Exemptions.
60-1.6  [Reserved]
60-1.7  Reports and other required information.
60-1.8  Segregated facilities.
60-1.9  Compliance by labor unions and by recruiting and training 
          agencies.
60-1.10  Foreign government practices.
60-1.11  Payment or reimbursement of membership fees and other expenses 
          to private clubs.

    Subpart B--General Enforcement; Compliance Review and Complaint 
                                Procedure

60-1.20  Compliance reviews.
60-1.21  Filing complaints.
60-1.22  Where to file.
60-1.23  Contents of complaint.
60-1.24  Processing of matters.
60-1.25  Assumption of jurisdiction by or referrals to the Director.
60-1.26  Enforcement proceedings.
60-1.27  Sanctions and penalties.
60-1.28  Show cause notices.
60-1.29  Preaward notices.
60-1.30  Contract ineligibility list.
60-1.31  Reinstatement of ineligible prime contractors and 
          subcontractors.
60-1.32  Intimidation and interference.
60-1.33  Conciliation agreements.
60-1.34  Violation of a conciliation agreement or letter of commitment.

                      Subpart C--Ancillary Matters

60-1.40  Affirmative action compliance programs.
60-1.41  Solicitations or advertisements for employees.
60-1.42  Notices to be posted.
60-1.43  Access to records and site of employment.
60-1.44  Rulings and interpretations.
60-1.45  Existing contracts and subcontracts.
60-1.46  Delegation of authority by the Director.
60-1.47  Effective date.

    Authority: Sec. 201, E.O. 11246 (30 FR 12319), as amended by E.O. 
12086.

    Source: 43 FR 49240, Oct. 20, 1978, unless otherwise noted.



  Subpart A--Preliminary Matters; Equal Opportunity Clause; Compliance 
                                 Reports



Sec. 60-1.1  Purpose and application.

    The purpose of the regulations in this part is to achieve the aims 
of parts II, III, and IV of Executive Order 11246 for the promotion and 
insuring of equal opportunity for all persons, without regard to race, 
color, religion, sex, or national origin, employed or seeking employment 
with Government contractors or with contractors performing under 
federally assisted construction contracts. The regulations in this part 
apply to all contracting agencies of the Government and to contractors 
and subcontractors who perform under Government contracts, to the extent 
set forth in this part. The regulations in this part also apply to all 
agencies of the Government administering programs involving Federal 
financial assistance which may include a construction contract, and to 
all contractors and subcontractors performing under construction 
contracts which are related to any such programs. The procedures set 
forth in the regulations in this part govern all disputes relative to a 
contractor's compliance with his obligations under the equal opportunity 
clause regardless of whether or not his contract contains a ``Disputes'' 
clause. Failure of a contractor or applicant to comply with any 
provision of the regulations in this part shall be grounds for the 
imposition of any or all of the sanctions authorized by the order. The 
regulations in this part do not apply to any action taken to effect 
compliance with respect to employment practices subject to title VI of 
the Civil Rights Act of 1964. The rights and remedies of the Government 
hereunder are not exclusive and do not affect rights and remedies 
provided elsewhere by law, regulation, or contract; neither do the 
regulations limit the exercise by the Secretary or Government agencies 
of powers not herein specifically set forth, but granted to them by the 
order.



Sec. 60-1.2  Administrative responsibility.

    The Director has been delegated authority and assigned 
responsibility for

[[Page 91]]

carrying out the responsibilities assigned to the Secretary under the 
Executive order. All correspondence regarding the order should be 
directed to the Director, Office of Federal Contract Compliance 
Programs, Employment Standards Administration, U.S. Department of Labor, 
200 Constitution Avenue NW., Washington, DC 20210.



Sec. 60-1.3  Definitions.

     Administering agency means any department, agency and establishment 
in the executive branch of the Government, including any wholly owned 
Government corporation, which administers a program involving federally 
assisted construction contracts.
    Administrative law judge means an administrative law judge appointed 
as provided in 5 U.S.C. 3105 and Subpart B of Part 930 of Title 5 of the 
Code of Federal Regulations (see 37 FR 16787) and qualified to preside 
at hearings under 5 U.S.C. 557.
    Agency means any contracting or any administering agency of the 
Government.
    Applicant means an applicant for Federal assistance involving a 
construction contract, or other participant in a program involving a 
construction contract as determined by regulation of an administering 
agency. The term also includes such persons after they become recipients 
of such Federal assistance.
    Construction work means the construction, rehabilitation, 
alteration, conversion, extension, demolition or repair of buildings, 
highways, or other changes or improvements to real property, including 
facilities providing utility services. The term also includes the 
supervision, inspection, and other onsite functions incidental to the 
actual construction.
    Contract means any Government contract or any federally assisted 
construction contract.
    Contracting agency means any department, agency, establishment, or 
instrumentality in the executive branch of the Government, including any 
wholly owned Government corporation, which enters into contracts.
    Contractor means, unless otherwise indicated, a prime contractor or 
subcontractor.
    Director means the Director, Office of Federal Contract Compliance 
Programs (OFCCP), U.S. Department of Labor or any person to whom he 
delegates authority under the regulations in this chapter.
    Equal opportunity clause means the contract provisions set forth in 
Sec. 60-1.4 (a) or (b), as appropriate.
    Federally assisted construction contract means any agreement or 
modification thereof between any applicant and a person for construction 
work which is paid for in whole or in part with funds obtained from the 
Government or borrowed on the credit of the Government pursuant to any 
Federal program involving a grant, contract, loan, insurance, or 
guarantee, or undertaken pursuant to any Federal program involving such 
grant, contract, loan, insurance, or guarantee, or any application or 
modification thereof approved by the Government for a grant, contract, 
loan, insurance, or guarantee under which the applicant itself 
participates in the construction work.
    Government means the government of the United States of America.
    Government contract means any agreement or modification thereof 
between any contracting agency and any person for the furnishing of 
supplies or services or for the use of real or personal property, 
including lease arrangements. The term ``services'', as used in this 
section includes, but is not limited to the following services: Utility, 
construction, transportation, research, insurance, and fund depository. 
The term ``Government contract'' does not include (1) agreements in 
which the parties stand in the relationship of employer and employee, 
and (2) federally assisted construction contracts.
    Minority group as used herein shall include, where appropriate, 
female employees and perspective female employees.
    Modification means any alteration in the terms and conditions of a 
contract, including supplemental agreements, amendments, and extensions.
    Order, Executive order, or Executive Order 11246 means parts II, 
III, and IV of the Executive Order 11246 dated September 24, 1965 (30 FR 
12319), any Executive order amending such order, and

[[Page 92]]

any other Executive order superseding such order.
    Person means any natural person, corporation, partnership, 
unincorporated association, State or local government, and any agency, 
instrumentality, or subdivision of such a government.
    Prime contractor means any person holding a contract and, for the 
purposes of Subpart B of this part, any person who has held a contract 
subject to the order.
    Recruiting and training agency means any person who refers workers 
to any contractor or subcontractor or who provides for employment by any 
contractor or subcontractor.
    Rules, regulations, and relevant orders of the Secretary of Labor 
used in paragraph (4) of the equal opportunity clause means rules, 
regulations, and relevant orders of the Secretary of Labor or his 
designee issued pursuant to the order.
    Secretary means the Secretary of Labor, U.S. Department of Labor, or 
his or her designee.
    Site of construction means the general physical location of any 
building, highway, or other change or improvement to real property which 
is undergoing construction, rehabilitation, alteration, conversion, 
extension, demolition, or repair and any temporary location or facility 
at which a contractor, subcontractor, or other participating party meets 
a demand or performs a function relating to the contract or subcontract.
    Subcontract means any agreement or arrangement between a contractor 
and any person (in which the parties do not stand in the relationship of 
an employer and an employee):
    (1) For the furnishing of supplies or services or for the use of 
real or personal property, including lease arrangements, which, in whole 
or in part, is necessary to the performance of any one or more 
contracts; or
    (2) Under which any portion of the contractor's obligation under any 
one or more contracts is performed, undertaken, or assumed.
    Subcontractor means any person holding a subcontract and, for the 
purposes of Subpart B of this part, any person who has held a 
subcontract subject to the order. The term ``Firsttier subcontractor'' 
refers to a subcontractor holding a subcontract with a prime contractor.
    United States as used herein shall include the several States, the 
District of Columbia, the Commonwealth of Puerto Rico, the Panama Canal 
Zone, and the possessions of the United States.

[43 FR 49240, Oct. 20, 1978, as amended at 61 FR 19988, May 3, 1996]



Sec. 60-1.4  Equal opportunity clause.

    (a) Government contracts. Except as otherwise provided, each 
contracting agency shall include the following equal opportunity clause 
contained in section 202 of the order in each of its Government 
contracts (and modifications thereof if not included in the original 
contract):

    During the performance of this contract, the contractor agrees as 
follows:
    (1) The contractor will not discriminate against any employee or 
applicant for employment because of race, color, religion, sex, or 
national origin. The contractor will take affirmative action to ensure 
that applicants are employed, and that employees are treated during 
employment, without regard to their race, color, religion, sex, or 
national origin. Such action shall include, but not be limited to the 
following: Employment, upgrading, demotion, or transfer, recruitment or 
recruitment advertising; layoff or termination; rates of pay or other 
forms of compensation; and selection for training, including 
apprenticeship. The contractor agrees to post in conspicuous places, 
available to employees and applicants for employment, notices to be 
provided by the contracting officer setting forth the provisions of this 
nondiscrimination clause.
    (2) The contractor will, in all solicitations or advertisements for 
employees placed by or on behalf of the contractor, state that all 
qualified applicants will receive consideration for employment without 
regard to race, color, religion, sex, or national origin.
    (3) The contractor will send to each labor union or representative 
of workers with which he has a collective bargaining agreement or other 
contract or understanding, a notice to be provided by the agency 
contracting officer, advising the labor union or workers' representative 
of the contractor's commitments under section 202 of Executive Order 
11246 of September 24, 1965, and shall post copies of the notice in 
conspicuous places available to employees and applicants for employment.

[[Page 93]]

    (4) The contractor will comply with all provisions of Executive 
Order 11246 of September 24, 1965, and of the rules, regulations, and 
relevant orders of the Secretary of Labor.
    (5) The contractor will furnish all information and reports required 
by Executive Order 11246 of September 24, 1965, and by the rules, 
regulations, and orders of the Secretary of Labor, or pursuant thereto, 
and will permit access to his books, records, and accounts by the 
contracting agency and the Secretary of Labor for purposes of 
investigation to ascertain compliance with such rules, regulations, and 
orders.
    (6) In the event of the contractor's non-compliance with the 
nondiscrimination clauses of this contract or with any of such rules, 
regulations, or orders, this contract may be canceled, terminated or 
suspended in whole or in part and the contractor may be declared 
ineligible for further Government contracts in accordance with 
procedures authorized in Executive Order 11246 of September 24, 1965, 
and such other sanctions may be imposed and remedies invoked as provided 
in Executive Order 11246 of September 24, 1965, or by rule, regulation, 
or order of the Secretary of Labor, or as otherwise provided by law.
    (7) the contractor will include the provisions of paragraphs (1) 
through (7) in every subcontract or purchase order unless exempted by 
rules, regulations, or orders of the Secretary of Labor issued pursuant 
to section 204 of Executive Order 11246 of September 24, 1965, so that 
such provisions will be binding upon each subcontractor or vendor. The 
contractor will take such action with respect to any subcontract or 
purchase order as may be directed by the Secretary of Labor as a means 
of enforcing such provisions including sanctions for noncompliance: 
Provided, however, that in the event the contractor becomes involved in, 
or is threatened with, litigation with a subcontractor or vendor as a 
result of such direction, the contractor may request the United States 
to enter into such litigation to protect the interests of the United 
States.

    (b) Federally assisted construction contracts. (1) Except as 
otherwise provided, each administering agency shall require the 
inclusion of the following language as a condition of any grant, 
contract, loan, insurance, or guarantee involving federally assisted 
construction which is not exempt from the requirements of the equal 
opportunity clause:

    The applicant hereby agrees that it will incorporate or cause to be 
incorporated into any contract for construction work, or modification 
thereof, as defined in the regulations of the Secretary of Labor at 41 
CFR Chapter 60, which is paid for in whole or in part with funds 
obtained from the Federal Government or borrowed on the credit of the 
Federal Government pursuant to a grant, contract, loan insurance, or 
guarantee, or undertaken pursuant to any Federal program involving such 
grant, contract, loan, insurance, or guarantee, the following equal 
opportunity clause:
    During the performance of this contract, the contractor agrees as 
follows:
    (1) The contractor will not discriminate against any employee or 
applicant for employment because of race, color, religion, sex, or 
national origin. The contractor will take affirmative action to ensure 
that applicants are employed, and that employees are treated during 
employment without regard to their race, color, religion, sex, or 
national origin. such action shall include, but not be limited to the 
following: Employment, upgrading, demotion, or transfer; recruitment or 
recruitment advertising; layoff or termination; rates of pay or other 
forms of compensation; and selection for training, including 
apprenticeship. The contractor agrees to post in conspicuous places, 
available to employees and applicants for employment, notices to be 
provided setting forth the provisions of this nondiscrimination clause.
    (2) The contractor will, in all solicitations or advertisements for 
employees placed by or on behalf of the contractor, state that all 
qualified applicants will receive considerations for employment without 
regard to race, color, religion, sex, or national origin.
    (3) The contractor will send to each labor union or representative 
of workers with which he has a collective bargaining agreement or other 
contract or understanding, a notice to be provided advising the said 
labor union or workers' representatives of the contractor's commitments 
under this section, and shall post copies of the notice in conspicuous 
places available to employees and applicants for employment.
    (4) The contrator will comply with all provisions of Executive Order 
11246 of September 24, 1965, and of the rules, regulations, and relevant 
orders of the Secretary of Labor.
    (5) The contractor will furnish all information and reports required 
by Executive Order 11246 of September 24, 1965, and by rules, 
regulations, and orders of the Secretary of Labor, or pursuant thereto, 
and will permit access to his books, records, and accounts by the 
administering agency and the Secretary of Labor for purposes of 
investigation to ascertain compliance with such rules, regulations, and 
orders.
    (6) In the event of the contractor's noncompliance with the 
nondiscrimination clauses of this contract or with any of the

[[Page 94]]

said rules, regulations, or orders, this contract may be canceled, 
terminated, or suspended in whole or in part and the contractor may be 
declared ineligible for further Government contracts or federally 
assisted construction contracts in accordance with procedures authorized 
in Executive Order 11246 of September 24, 1965, and such other sanctions 
may be imposed and remedies invoked as provided in Executive Order 11246 
of September 24, 1965, or by rule, regulation, or order of the Secretary 
of Labor, or as otherwise provided by law.
    (7) The contractor will include the portion of the sentence 
immediately preceding paragraph (1) and the provisions of paragraphs (1) 
through (7) in every subcontract or purchase order unless exempted by 
rules, regulations, or orders of the Secretary of Labor issued pursuant 
to section 204 of Executive Order 11246 of September 24, 1965, so that 
such provisions will be binding upon each subcontractor or vendor. The 
contractor will take such action with respect to any subcontract or 
purchase order as the administering agency may direct as a means of 
enforcing such provisions, including sanctions for noncompliance: 
Provided, however, That in the event a contractor becomes involved in, 
or is threatened with, litigation with a subcontractor or vendor as a 
result of such direction by the administering agency the contractor may 
request the United States to enter into such litigation to protect the 
interests of the United States.
    The applicant further agrees that it will be bound by the above 
equal opportunity clause with respect to its own employment practices 
when it participates in federally assisted construction work: Provided, 
That if the applicant so participating is a State or local government, 
the above equal opportunity clause is not applicable to any agency, 
instrumentality or subdivision of such government which does not 
participate in work on or under the contract.
    The applicant agrees that it will assist and cooperate actively with 
the administering agency and the Secretary of Labor in obtaining the 
compliance of contractors and subcontractors with the equal opportunity 
clause and the rules, regulations, and relevant orders of the Secretary 
of Labor, that it will furnish the administering agency and the 
Secretary of Labor such information as they may require for the 
supervision of such compliance, and that it will otherwise assist the 
administering agency in the discharge of the agency's primary 
responsibility for securing compliance.
    The applicant further agrees that it will refrain from entering into 
any contract or contract modification subject to Executive Order 11246 
of September 24, 1965, with a contractor debarred from, or who has not 
demonstrated eligibility for, Government contracts and federally 
assisted construction contracts pursuant to the Executive order and will 
carry out such sanctions and penalties for violation of the equal 
opportunity clause as may be imposed upon contractors and subcontractors 
by the administering agency or the Secretary of Labor pursuant to Part 
II, Subpart D of the Executive order. In addition, the applicant agrees 
that if it fails or refuses to comply with these undertakings, the 
administering agency may take any or all of the following actions: 
Cancel, terminate, or suspend in whole or in part this grant (contract, 
loan, insurance, guarantee); refrain from extending any further 
assistance to the applicant under the program with respect to which the 
failure or refund occurred until satisfactory assurance of future 
compliance has been received from such applicant; and refer the case to 
the Department of Justice for appropriate legal proceedings.

    (c) Subcontracts. Each nonexempt prime contractor or subcontractor 
shall include the equal opportunity clause in each of its nonexempt 
subcontracts.
    (d) Incorporation by reference. The equal opportunity clause may be 
incorporated by reference in all Government contracts and subcontracts, 
including Government bills of lading, transportation requests, contracts 
for deposit of Government funds, and contracts for issuing and paying 
U.S. savings bonds and notes, and such other contracts and subcontracts 
as the Director may designate.
    (e) Incorporation by operation of the order. By operation of the 
order, the equal opportunity clause shall be considered to be a part of 
every contract and subcontract required by the order and the regulations 
in this part to include such a clause whether or not it is physically 
incorporated in such contracts and whether or not the contract between 
the agency and the contractor is written.
    (f) Adaptation of language. Such necessary changes in language may 
be made in the equal opportunity clause as shall be appropriate to 
identify properly the parties and their undertakings.



Sec. 60-1.5  Exemptions.

    (a) General--(1) Transactions of $10,000 or under. Contracts and 
subcontracts not exceeding $10,000, other than Government bills of 
lading, and other than

[[Page 95]]

contracts and subcontracts with depositories of Federal funds in any 
amount and with financial institutions which are issuing and paying 
agents for U.S. savings bonds and savings notes, are exempt from the 
requirements of the equal opportunity clause. In determining the 
applicability of this exemption to any federally assisted construction 
contract, or subcontract thereunder, the amount of such contract or 
subcontract rather than the amount of the Federal financial assistance 
shall govern. No agency, contractor, or subcontractor shall procure 
supplies or services in a manner so as to avoid applicability of the 
equal opportunity clause: Provided, that where a contractor has 
contracts or subcontracts with the Government in any 12-month period 
which have an aggregate total value (or can reasonably be expected to 
have an aggregate total value) exceeding $10,000, the $10,000 or under 
exemption does not apply, and the contracts are subject to the order and 
the regulations issued pursuant thereto regardless of whether any single 
contract exceeds $10,000.
    (2) Contracts and subcontracts for indefinite quantities. With 
respect to contracts and subcontracts for indefinite quantities 
(including, but not limited to, open end contracts, requirement-type 
contracts, Federal Supply Schedule contracts, ``call-type'' contracts, 
and purchase notice agreements), the equal opportunity clause shall be 
included unless the purchaser has reason to believe that the amount to 
be ordered in any year under such contract will not exceed $10,000. The 
applicability of the equal opportunity clause shall be determined by the 
purchaser at the time of award for the first year, and annually 
thereafter for succeeding years, if any. Notwithstanding the above, the 
equal opportunity clause shall be applied to such contract whenever the 
amount of a single order exceeds $10,000. Once the equal opportunity 
clause is determined to be applicable, the contract shall continue to be 
subject to such clause for its duration, regardless of the amounts 
ordered, or reasonably expected to be ordered in any year.
    (3) Work outside the United States. Contracts and subcontracts are 
exempt from the requirements of the equal opportunity clause with regard 
to work performed outside the United States by employees who were not 
recruited within the United States.
    (4) Contracts with State or local governments. The requirements of 
the equal opportunity clause in any contract or subcontract with a State 
or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract. In addition, any agency, 
instrumentality or subdivision of such government, except for 
educational institutions and medical facilities, are exempt from the 
requirements of filing the annual compliance report provided for by 
Sec. 60-1.7(a)(1) and maintaining a written affirmative action 
compliance program prescribed by Sec. 60-1.40 and Part 60-2 of this 
chapter.
    (5) Contracts with certain educational institutions. It shall not be 
a violation of the equal opportunity clause for a school, college, 
university, or other educational institution or institution of learning 
to hire and employ employees of a particular religion if such school, 
college, university, or other educational institution or institution of 
learning is, in whole or in substantial part, owned, supported, 
controlled, or managed by a particular religion or by a particular 
religious corporation, association, or society, or if the curriculum of 
such school, college, university, or other educational institution or 
institution of learning is directed toward the propagation of a 
particular religion. The primary thrust of this provision is directed at 
religiously oriented church-related colleges and universities and should 
be so interpreted.
    (6) Work on or near Indian reservations. It shall not be a violation 
of the equal opportunity clause for a construction or nonconstruction 
contractor to extend a publicly announced preference in employment to 
Indians living on or near an Indian reservation in connection with 
employment opportunities on or near an Indian reservation. The use of 
the word ``near'' would include all that area where a person seeking 
employment could reasonably be expected

[[Page 96]]

to commute to and from in the course of a work day. Contractors or 
subcontractors extending such a preference shall not, however, 
discriminate among Indians on the basis of religion, sex, or tribal 
affiliation, and the use of such a preference shall not excuse a 
contractor from complying with the other requirements contained in this 
chapter.
    (b) Specific contracts and facilities--(1) Specific contracts. The 
Director may exempt an agency or any person from requiring the inclusion 
of any or all of the equal opportunity clause in any specific contract 
or subcontract when he deems that special circumstances in the national 
interest so require. The Director may also exempt groups or categories 
of contracts or subcontracts of the same type where he finds it 
impracticable to act upon each request individually or where group 
exemptions will contribute to convenience in the administration of the 
order.
    (2) Facilities not connected with contracts. The Director may exempt 
from the requirements of the equal opportunity clause any of a prime 
contractor's or subcontractor's facilities which he finds to be in all 
respects separate and distinct from activities of the prime contractor 
or subcontractor related to the performance of the contract or 
subcontract, provided that he also finds that such an exemption will not 
interfere with or impede the effectuation of the order.
    (c) National security. Any requirement set forth in these 
regulations in this part shall not apply to any contract or subcontract 
whenever the head of an agency determines that such contract or 
subcontract is essential to the national security and that its award 
without complying with such requirement is necessary to the national 
security. Upon making such a determination, the head of the agency will 
notify the Director in writing within 30 days.
    (d) Withdrawal of exemption. When any contract or subcontract is of 
a class exempted under this section, the Director may withdraw the 
exemption for a specific contract or subcontract or group of contracts 
or subcontracts when in his judgment such action is necessary or 
appropriate to achieve the purposes of the order. Such withdrawal shall 
not apply to contracts or subcontracts awarded prior to the withdrawal, 
except that in procurements entered into by formal advertising, or the 
various forms of restricted formal advertising, such withdrawal shall 
not apply unless the withdrawal is made more than 10 calendar days 
before the date set for the opening of the bids.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]
Sec. 60-1.6  [Reserved]



Sec. 60-1.7  Reports and other required information.

    (a) Requirements for prime contractors and subcontractors. (1) Each 
prime contractor and subcontractor shall file annually, on or before the 
31st day of March, complete and accurate reports on Standard Form 100 
(EEO-1) promulgated jointly by the Office of Federal Contract Compliance 
Programs, the Equal Employment Opportunity Commission and Plans for 
Progress or such form as may hereafter be promulgated in its place if 
such prime contractor or subcontractor (i) is not exempt from the 
provisions of these regulations in accordance with Sec. 60-1.5; (ii) has 
50 or more employees; (iii) is a prime contractor or first tier 
subcontractor; and (iv) has a contract, subcontract or purchase order 
amounting to $50,000 or more or serves as a depository of Government 
funds in any amount, or is a financial institution which is an issuing 
and paying agent for U.S. savings bonds and savings notes: Provided, 
That any subcontractor below the first tier which performs construction 
work at the site of construction shall be required to file such a report 
if it meets requirements of paragraphs (a)(1) (i), (ii), and (iv) of 
this section.
    (2) Each person required by Sec. 60-1.7(a)(1) to submit reports 
shall file such a report with the contracting or administering agency 
within 30 days after the award to him of a contract or subcontract, 
unless such person has submitted such a report within 12 months 
preceding the date of the award. Subsequent reports shall be submitted 
annually in accordance with Sec. 60-1.7(a)(1), or at such other 
intervals

[[Page 97]]

as the Director may require. The Director may extend the time for filing 
any report.
    (3) The Director or the applicant, on their own motions, may require 
a contractor to keep employment or other records and to furnish, in the 
form requested, within reasonable limits, such information as the 
Director or the applicant deems necessary for the administration of the 
order.
    (4) Failure to file timely, complete and accurate reports as 
required constitutes noncompliance with the prime contractor's or 
subcontractor's obligations under the equal opportunity clause and is 
ground for the imposition by the Director, an applicant, prime 
contractor or subcontractor, of any sanctions as authorized by the order 
and the regulations in this part.
    (b) Requirements for bidders or prospective contractors--(1) 
Certification of compliance with Part 60-2: Affirmative Action Programs. 
Each agency shall require each bidder or prospective prime contractor 
and proposed subcontractor, where appropriate, to state in the bid or in 
writing at the outset of negotiations for the contract: (i) Whether it 
has developed and has on file at each establishment affirmative action 
programs pursuant to Part 60-2 of this chapter; (ii) whether it has 
participated in any previous contract or subcontract subject to the 
equal opportunity clause; (iii) whether it has filed with the Joint 
Reporting Committee, the Director or the Equal Employment Opportunity 
Commission all reports due under the applicable filing requirements.
    (2) Additional information. A bidder or prospective prime contractor 
or proposed subcontractor shall be required to submit such information 
as the Director requests prior to the award of the contract or 
subcontract. When a determination has been made to award the contract or 
subcontract to a specific contractor, such contractor shall be required, 
prior to award, or after the award, or both, to furnish such other 
information as the applicant or the Director requests.
    (c) Use of reports. Reports filed pursuant to this section shall be 
used only in connection with the administration of the order, the Civil 
Rights Act of 1964, or in furtherance of the purposes of the order and 
said Act.



Sec. 60-1.8  Segregated facilities.

    (a) General. In order to comply with his obligations under the equal 
opportunity clause, a prime contractor or subcontractor must insure that 
facilities provided for employees are provided in such a manner that 
segregation on the basis of race, color, religion, or national origin 
cannot result. He may neither require such segregated use by written or 
oral policies nor tolerate such use by employee custom. His obligation 
extends further to insuring that his employees are not assigned to 
perform their services at any location, under his control, where the 
facilities are segregated. This obligation extends to all contracts 
containing the equal opportunity clause regardless of the amount of the 
contract. The term ``facilities'' as used in this section means waiting 
rooms, work areas, restaurants and other eating areas, time clocks, 
restrooms, washrooms, locker rooms, and other storage or dressing areas, 
parking lots, drinking fountains, recreation or entertainment areas, 
transportation, and housing facilities provided for employees.
    (b) Certification by prime contractors and subcontractors. Prior to 
the award or any nonexempt Government contract of subcontract or 
federally assisted construction contract or subcontract, each agency or 
applicant shall require the prospective prime contractor and each prime 
contractor and subcontractor shall require each subcontractor to submit 
a certification, in the form approved by the Director, that the 
prospective prime contractor or subcontractor does not and will not 
maintain any facilities he provides for his employees in a segregated 
manner, or permit his employees to perform their services at any 
location, under his control, where segregated facilities are maintained; 
and that he will obtain a similar certification in the form approved by 
the Director, prior to the award of any nonexempt subcontract.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]

[[Page 98]]



Sec. 60-1.9  Compliance by labor unions and by recruiting and training agencies.

    (a) Whenever compliance with the equal opportunity clause may 
necessitate a revision of a collective bargaining agreement the labor 
union or unions which are parties to such an agreement shall be given an 
adequate opportunity to present their views to the director.
    (b) The Director shall use his best efforts, directly and through 
agencies, contractors, subcontractors, applicants, State and local 
officials, public and private agencies, and all other available 
instrumentalities, to cause any labor union, recruiting and training 
agency or other representative of workers who are or may be engaged in 
work under contracts and subcontracts to cooperate with, and to comply 
in the implementation of, the purposes of the order.
    (c) In order to effectuate the purposes of paragraph (a) of this 
section, the Director may hold hearings, public or private, with respect 
to the practices and policies of any such labor union or recruiting and 
training agency.
    (d) The Director may notify any Federal, State, or local agency of 
his conclusions and recommendations with respect to any such labor 
organization or recruiting and training agency which in his judgment has 
failed to cooperate with himself, agencies, prime contractors, 
subcontractors, or applicants in carrying out the purposes of the order. 
The Director also may notify the Equal Employment Opportunity 
Commission, the Department of Justice, or other appropriate Federal 
agencies whenever he has reason to believe that the practices of any 
such labor organization or agency violates title VII of the Civil Rights 
Act of 1964 or other provisions of Federal law.



Sec. 60-1.10  Foreign government practices.

    Contractors shall not discriminate on the basis of race, color, 
religion, sex, or national origin when hiring or making employee 
assignments for work to be performed in the United States or abroad. 
Contractors are exempted from this obligation only when hiring persons 
outside the United States for work to be performed outside the United 
States (see 41 CFR 60-1.5(a)(3)). Therefore, a contractor hiring workers 
in the United States for either Federal or nonfederally connected work 
shall be in violation of Executive Order 11246, as amended, by refusing 
to employ or assign any person because of race, color, religion, sex, or 
national origin regardless of the policies of the country where the work 
is to be performed or for whom the work will be performed. Should any 
contractor be unable to acquire a visa of entry for any employee or 
potential employee to a country in which or with which it is doing 
business, and which refusal it believes is due to the race, color, 
religion, sex, or national origin of the employee or potential employee, 
the contractor must immediately notify the Department of State and the 
Director of such refusal.



Sec. 60-1.11  Payment or reimbursement of membership fees and other expenses to private clubs.

    (a)(1) A contractor which maintains a policy or practice of paying 
membership fees or other expenses for employee participation in private 
clubs or organizations shall ensure that the policy or practice is 
administered without regard to the race, color, religion, sex, or 
national origin of employees.
    (2) Payment or reimbursement by contractors of membership fees and 
other expenses for participation by their employees in a private club or 
organization which bars, restricts or limits its membership on the basis 
of race, color, sex, religion, or national origin constitutes a 
violation of Executive Order 11246 except where the contractor can 
provide evidence that such restrictions or limitations do not abridge 
the promotional opportunities, status, compensation or other terms and 
conditions of employment of those of its employees barred from 
membership because of their race, color, religion, sex, or national 
origin. OFCCP shall provide the contractor with the opportunity to 
present evidence in defense of its actions.
    (b) The contractor has the responsibility of determining whether the

[[Page 99]]

club or organization restricts membership on the basis of race, color, 
religion, sex, or national origin. The contractor may make separate 
determinations for different chapters of an organization, and where it 
does so, may limit any necessary corrective action to the particular 
chapters which observe discriminatory membership policies and practices.

[46 FR 3896, Jan. 16, 1981]

    Effective Date Note: At 46 FR 3896, Jan. 16, 1981, Sec. 60-1.11 was 
added. At 46 FR 18951, Mar. 27, 1981, the effective date was deferred 
until further notice.



    Subpart B--General Enforcement; Compliance Review and Complaint 
                                Procedure



Sec. 60-1.20  Compliance reviews.

    (a) The purpose of a compliance review is to determine if the prime 
contractor or subcontractor maintains nondiscriminatory hiring and 
employment practices and is taking affirmative action to insure that 
applicants are employed and that employees are placed, trained, 
upgraded, promoted, and otherwise treated during employment without 
regard to race, color, religion, sex, or national origin. It shall 
consist of a comprehensive analysis and evaluation of each aspect of the 
aforementioned practices, policies, and conditions resulting therefrom. 
Where necessary, recommendations for appropriate sanctions shall be 
made.
    (b) Where deficiencies are found to exist, reasonable efforts shall 
be made to secure compliance through conciliation and persuasion. Before 
the contractor can be found to be in compliance with the order, it must 
make a specific commitment, in writing, to correct any such 
deficiencies. The commitment must include the precise action to be taken 
and dates for completion. The time period allotted shall be no longer 
than the minimum period necessary to effect such changes. Upon approval 
of the commitment, the contractor may be considered in compliance, on 
condition that the commitments are faithfully kept. The contractor shall 
be notified that making such commitments does not preclude future 
determinations of noncompliance based on a finding that the commitments 
are not sufficient to achieve compliance.
    (c) [Reserved]
    (d) Each agency shall include in the invitation for bids for each 
formally advertised nonconstruction contract or state at the outset of 
negotiations for each negotiated contract, that if the award, when let, 
should exceed the amount of $1 million or more, the prospective 
contractor and his known first-tier subcontractors with subcontracts of 
$1 million or more will be subject to a compliance review before the 
award of the contract. No such contract shall be awarded unless a 
preaward compliance review of the prospective contractor and his known 
first-tier $1 million subcontractors has been conducted within 12 months 
prior to the award. The awarding agency will notify OFCCP and request 
appropriate action and findings in accordance with this subsection. 
OFCCP will provide awarding agencies with written reports of compliance 
within 30 days following the request. In order to qualify for the award 
of a contract, a contractor and such first-tier subcontractors must be 
found to be in compliance pursuant to paragraph (b) of this section, and 
with Part 60-2 of these regulations.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-1.21  Filing complaints.

    Complaints shall be filed within 180 days of the alleged violation 
unless the time for filing is extended by the Director for good cause 
shown.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-1.22  Where to file.

    Complaints may be filed with the OFCCP, 200 Constitution Avenue, 
NW., Washington, DC 20210, or with any OFCCP regional or area office.



Sec. 60-1.23  Contents of complaint.

    (a) The complaint shall include the name, address, and telephone 
number of the complainant, the name and address of the contractor or 
subcontractor committing the alleged discrimination, a description of 
the acts considered to be discriminatory, and any other pertinent 
information which will

[[Page 100]]

assist in the investigation and resolution of the complaint. The 
complaint shall be signed by the complainant or his/her authorized 
representative. Complaints alleging class-type violations which do not 
identify the alleged discriminatee or discriminatees will be accepted, 
provided the other requirements of this paragraph are met.
    (b) If a complaint contains incomplete information, OFCCP shall seek 
the needed information from the complainant. In the event such 
information is not furnished to the Director within 60 days of the date 
of such request, the case may be closed.



Sec. 60-1.24  Processing of matters.

    (a) Complaints. OFCCP may refer appropriate complaints to the Equal 
Employment Opportunity Commission (EEOC) for processing under Title VII 
of the Civil Rights Act of 1964, as amended, rather than processing 
under E.O. 11246 and the regulations in this chapter. Upon referring 
complaints to the EEOC, OFCCP shall promptly notify complainant(s) and 
the contractor of such referral.
    (b) Complaint investigations. In conducting complaint 
investigations, OFCCP shall, as a minimum, conduct a thorough evaluation 
of the allegations of the complaint and shall be responsible for 
developing a complete case record. The case record should contain the 
name, address, and telephone number of each person interviewed, the 
interview statements, copies, transcripts, or summaries (where 
appropriate) of pertinent documents, a reference to at least one covered 
contract, and a narrative report of the investigation with references to 
exhibits and other evidence which relate to the alleged violations.
    (c)(1) [Reserved]
    (2) If any complaint investigation or compliance review indicates a 
violation of the equal opportunity clause, the matter should be resolved 
by informal means whenever possible. Such informal means may include the 
holding of a compliance conference.
    (3) Where any complaint investigation or compliance review indicates 
a violation of the equal opportunity clause and the matter has not been 
resolved by informal means, the Director shall proceed in accordance 
with Sec. 60-1.26.
    (4) When a prime contractor or subcontractor, without a hearing, 
shall have complied with the recommendations or orders of the Director 
and believes such recommendations or orders to be erroneous, he shall, 
upon filing a request therefor within ten days of such compliance, be 
afforded an opportunity for a hearing and review of the alleged 
erroneous action.
    (5) For reasonable cause shown, the Director may reconsider or cause 
to be reconsidered any matter on his/her own motion or pursuant to a 
request.
    (d) Reports to the Director. (1) With the exception of complaints 
which have been referred to EEOC, within 60 days from receipt of a 
complaint or within such additional time as may be allowed by the 
Director for good cause shown, the complaint shall be processed and the 
case record developed containing the following information:
    (i) Name and address of the complainant;
    (ii) Brief summary of findings, including a statement regarding the 
contractor's compliance or noncompliance with the requirements of the 
equal opportunity clause;
    (iii) A statement of the disposition of the case, including any 
corrective action taken and any sanctions or penalties imposed or, 
whenever appropriate, the recommended corrective action and sanctions or 
penalties.
    (2) A written report of every preaward compliance review required by 
this regulation or otherwise required by the Director, shall be 
developed and maintained.
    (3) A written report of every other compliance review or any other 
matter processed involving an apparent violation of the equal 
opportunity clause shall be made. Such report shall contain a brief 
summary of the findings, including a statement of conclusions regarding 
the contractor's compliance or noncompliance with the requirements of 
the order, and a statement of the disposition of the case, including any 
corrective action taken or recommended and any sanctions or penalties 
imposed or recommended.

[[Page 101]]



Sec. 60-1.25  Assumption of jurisdiction by or referrals to the Director.

    The Director may inquire into the status of any matter pending 
before an agency. Where he considers it necessary or appropriate to the 
achievement of the purposes of the order, he may assume jurisdiction 
over the matter and proceed as provided herein. Whenever the Director 
assumes jurisdiction over any matter, or an agency refers any matter he 
may conduct, or have conducted, such investigations, hold such hearings, 
make such findings, issue such recommendations and directives, order 
such sanctions and penalties, and take such other action as may be 
necessary or appropriate to achieve the purposes of the order. The 
Director shall promptly notify the agency of any corrective action to be 
taken or any sanctions to be taken or any sanction to be imposed by the 
agency. The agency shall take such action, and report the results 
thereof to the Director within the time specified.



Sec. 60-1.26  Enforcement proceedings.

    (a) General. (1) Violations of the order, equal opportunity clause, 
the regulations in this chapter, or of applicable construction industry 
equal employment opportunity requirements, may result in the institution 
of administrative or judicial enforcement proceedings to enforce the 
order and to seek appropriate relief. Violations may be found based 
upon, inter alia, any of the following: (i) The results of a complaint 
investigation; (ii) analysis of an affirmative action program; (iii) the 
results of an on-site review of the contractor's compliance with the 
order and its implementing regulations; (iv) a contractor's refusal to 
submit an affirmative action program; (v) a contractor's refusal to 
allow an on-site compliance review to be conducted; (vi) a contractor's 
refusal to supply records or other information as required by these 
regulations or applicable construction industry requirements; or (vii) 
any substantial or material violation or the threat of a substantial or 
material violation of the contractual provisions of the order, or of the 
rules or regulations issued pursuant thereto.
    (2) If the investigation of a complaint, or a compliance review, 
results in a determination that the order, equal opportunity clause or 
regulations issued pursuant thereto, have been violated, and the 
violations have not been corrected in accordance with the conciliation 
procedures in this chapter, OFCCP may institute an administrative 
enforcement proceeding to enjoin the violations, to seek appropriate 
relief (which may include affected class and back pay relief), and to 
impose appropriate sanctions, or any of the above. However, if the 
contractor refuses to submit an affirmative action program, or refuses 
to supply records or other requested information, or refuses to allow 
the compliance agency access to its premises for an on-site review; and 
if conciliation efforts under this chapter are unsuccessful, OFCCP, 
notwithstanding the requirements of this chapter, may go directly to 
administrative enforcement proceedings to enjoin the violations, to seek 
appropriate relief, and to impose appropriate sanctions, or any of the 
above. Whenever the Director has reason to believe that there is 
substantial or material violation or the threat of substantial or 
material violation of the contractual provisions of the order or of the 
rules, regulations or orders issued pursuant thereto, he/she may refer 
the matter to the Solicitor of Labor to institute administrative 
enforcement proceedings as set forth in this section or refer the matter 
to the Department of Justice to enforce the contractual provisions of 
the order, to seek injunctive relief (including relief against 
noncontractors, including labor unions, who seek to thwart 
implementation of the order and regulations) and to seek such additional 
relief, including back pay, as may be appropriate. There are no 
procedural prerequisites to a referral to the Department of Justice by 
the Director, and such referrals may be accomplished without proceeding 
through the conciliation procedures in this chapter, and a referral may 
be made at any stage in the procedures under this chapter: Provided, 
That no order for debarment from further contracts or subcontracts 
pursuant to section 209(a)(6) of the order shall be made without 
affording the contractor an opportunity for a hearing, either 
administrative or judicial.

[[Page 102]]

    (b) [Reserved]
    (c) Administrative enforcement proceedings. Administrative 
enforcement proceedings shall be conducted under the control and 
supervision of the Solicitor of Labor and under the Rules of Practice 
for Administrative Proceedings to Enforce Equal Opportunity Under 
Executive Order 11246 contained in Part 60-30 of this chapter.
    (d) Decision following administrative proceeding. If it is 
determined after a hearing (or after the contractor waives a hearing) 
that the contractor is violating the order or the regulations issued 
thereunder, the Administrative Review Board, United States Department of 
Labor, (in accordance with 41 CFR 60-30.30) shall issue an 
Administrative order enjoining the violations and requiring the 
contractor to provide whatever remedies are appropriate, and imposing 
whatever sanctions are appropriate, or any of the above. In any event, 
failure to comply with the Administrative order shall result in the 
imposition of the sanctions contained in section 209 (a)(5) or (a)(6) of 
the Executive Order.
    (e) Referrals to the Department of Justice. (1) Whenever a matter 
has been referred to the Department of Justice for consideration of 
judicial proceedings pursuant to Sec. 60-1.26(a)(2) of these 
regulations, the Attorney General may bring a civil action in the 
appropriate district court of the United States requesting a temporary 
restraining order, preliminary or permanent injunction, and an order for 
such additional equitable relief, including back pay, deemed necessary 
or appropriate to ensure the full enjoyment of the rights secured by the 
order, or any of the above.
    (2) The Attorney General is authorized to conduct such investigation 
of the facts as he may deem necessary or appropriate to carry out his 
responsibilities under these regulations.
    (3) Prior to the institution of any judicial proceedings, the 
Attorney General, on behalf of the Director, is authorized to make 
reasonable efforts to secure compliance with the contract provisions of 
the order. He may do so by providing the contractor and any other 
respondent with reasonable notice of his findings, his intent to file 
suit, and the actions he believes necessary to obtain compliance with 
the contract provisions of the order without contested litigation, and 
by offering the contractor and any other respondent a reasonable 
opportunity for conference and conciliation, in an effort to obtain such 
compliance without contested litigation.
    (4) As defined in these regulations, the Attorney General shall mean 
the Attorney General, the Assistant Attorney General for Civil Rights, 
or any other person authorized by regulations or practice to act for the 
Attorney General with respect to the enforcement of equal employment 
opportunity laws, orders and regulations generally, or in a particular 
matter or case.
    (5) The Director or his/her designee, and representatives of the 
Attorney General may consult from time to time to determine what 
investigations should be conducted to determine whether contractors or 
groups of contractors or other persons may be engaged in patterns or 
practices in violation of the Executive order or these regulations, or 
of resistance to or interference with the full enjoyment of any of the 
rights secured by them, warranting judicial proceedings.
    (f) Initiation of lawsuits by the Attorney General without referral 
from the Director. In addition to initiating lawsuits upon referral 
under 41 CFR 60-1.26, the Attorney General may, subject to approval by 
the Director, initiate independent investigations of contractors which 
he/she has reason to believe may be in violation of the order or the 
rules and regulations issued pursuant thereto. If, upon completion of 
such an investigation, the Attorney General determines that the 
contractor has in fact violated the order or the rules and regulations 
issued thereunder, he shall make reasonable efforts to secure compliance 
with the contract provisions of the order. He may do so by providing the 
contractor and any other respondent with reasonable notice of the 
Department's findings, its intent to file suit, and the actions that the 
Attorney General believes are necessary to obtain compliance with the 
contract provisions of the order without contested

[[Page 103]]

litigation, and by offering the contractor and any other respondent a 
reasonable opportunity for conference and conciliation in an effort to 
obtain such compliance without contested litigation. If these efforts 
are unsuccessful, the Attorney General may, upon approval by the 
Director, bring a civil action in the appropriate district court of the 
United States requesting a temporary restraining order, preliminary or 
permanent injunction, and an order for such additional equitable relief, 
including back pay, deemed necessary or appropriate to ensure the full 
enjoyment of the rights secured by the order or any of the above.
    (g) To the extent applicable, this section and Part 60-30 of this 
chapter shall govern proceedings resulting from the Director's 
determination under Sec. 60-2.2(b) that there are substantial issues of 
law or fact as to the contractor/bidder's responsibility.

(E.O. 11246 (30 FR 12319) as amended by E.O. 11375 and 12086; sec. 503, 
Pub. L. 93-112, 87 Stat. 393 (29 U.S.C. 793), as amended by sec. 111, 
Pub. L. 93-516, 88 Stat. 1619 (29 U.S.C. 706) and E. O. 11758; sec. 
503(a), Pub. L. 92-540, 86 Stat. 1097 (38 U.S.C. 2012), as amended by 
sec. 402, Pub. L. 93-508, 88 Stat. 1593 (38 U.S.C. 2012))

[43 FR 49240, Oct. 20, 1978, as amended at 45 FR 9272, Feb. 12, 1980; 61 
FR 19988, May 3, 1996]



Sec. 60-1.27  Sanctions and penalties.

    The sanctions described in subsections (1), (5), and (6) of section 
209(a) of the order may be exercised only by or with the approval of the 
Director. Referral of any matter arising under the order to the 
Department of Justice or to the Equal Employment Opportunity Commission 
shall be made by the Director.



Sec. 60-1.28  Show cause notices.

    When the director has reasonable cause to believe that a contractor 
has violated the equal opportunity clause he may issue a notice 
requiring the contractor to show cause, within 30 days, why monitoring, 
enforcement proceedings or other appropriate action to ensure compliance 
should not be instituted.



Sec. 60-1.29  Preaward notices.

    (a) Preaward compliance reviews. Upon the request of the Director, 
agencies shall not enter into contracts or approve the entry into 
contracts or subcontracts with any bidder, prospective prime contractor, 
or proposed subcontractor named by the Director until a preaward 
compliance review has been conducted and the Director or his designee 
has approved a determination that the bidder, prospective prime 
contractor or proposed subcontractor will be able to comply with the 
provisions of the equal opportunity clause.
    (b) Other special preaward procedures. Upon the request of the 
Director, agencies shall not enter into contracts or approve the entry 
into subcontracts with any bidder; prospective prime contractor or 
proposed subcontractor specified by the Director until the agency has 
complied with the directions contained in the request.



Sec. 60-1.30  Contract ineligibility list.

    The Director shall distribute periodically a list to all executive 
departments and agencies giving the names of prime contractors and 
subcontractors who have been declared ineligible under the regulations 
in this part and the order.



Sec. 60-1.31  Reinstatement of ineligible prime contractors and subcontractors.

    Any prime contractor or subcontractor declared ineligible for 
further contracts or subcontracts under the order may request 
reinstatement in a letter directed to the Director. In connection with 
the reinstatement proceedings, the prime contractor or subcontractor 
shall be required to show that it has established and will carry out 
employment policies and practices in compliance with the equal 
opportunity clause.



Sec. 60-1.32  Intimidation and interference.

    The sanctions and penalties contained in Subpart D of the order may 
be exercised by the Director against any prime contractor, subcontractor 
or applicant who fails to take all necessary steps to ensure that no 
person

[[Page 104]]

intimidates, threatens, coerces, or discriminates against any individual 
for the purpose of interfering with the filing of a complaint, 
furnishing information, or assisting or participating in any manner in 
an investigation, compliance review, hearing, or any other activity 
related to the administration of the order or any other Federal, State, 
or local laws requiring equal employment opportunity.



Sec. 60-1.33  Conciliation agreements.

    (a) If a compliance review, complaint investigation or other review 
by OFCCP or its representative indicates a material violation of the 
equal opportunity clause, and (1) if the contractor, subcontractor or 
bidder is willing to correct the violations and/or deficiencies, and (2) 
if OFCCP or its representative determines that settlement (rather than 
referral for consideration of formal enforcement) is appropriate, a 
written agreement shall be required. The agreement shall provide for 
such remedial action as may be necessary to correct the violations and/
or deficiencies noted, including, where appropriate (but not necessarily 
limited to), remedies such as back pay and retroactive seniority.
    (b) The term ``conciliation agreement'' does not include ``letters 
of commitment'' which are appropriate for resolving minor technical 
deficiencies.

(E.O. 11246 (30 FR 12319) as amended by E.O. 11375 and 12086)

[44 FR 77002, Dec. 28, 1979]



Sec. 60-1.34  Violation of a conciliation agreement or letter of commitment.

    (a) When a conciliation agreement has been violated, the following 
procedures are applicable:
    (1) A written notice shall be sent to the contractor setting forth 
the violations alleged and summarizing the supporting evidence. The 
contractor shall have 15 days from receipt of the notice to respond, 
except in those cases in which such a delay would result in irreparable 
injury to the employment rights of affected employees or applicants.
    (2) During the 15-day period the contractor may demonstrate in 
writing that it has not violated its commitments.
    (3) If the contractor is unable to demonstrate that it has not 
violated its commitments, or if the complaint alleges irreparable 
injury, enforcement proceedings may be intitiated immediately without 
issuing a show cause notice or proceeding through any other requirement 
contained in this chapter.
    (b) If the contractor has violated a letter of commitment, the 
matter shall be handled, where appropriate, pursuant to 41 CFR 60-2.2(c) 
or 60-4.8. The violation may be corrected through a conciliation 
agreement, or an enforcement proceeding may be initiated.

(E.O. 11246 (30 FR 12319) as amended by EO 11375 and 12086)

[44 FR 77002, Dec. 28, 1979]



                      Subpart C--Ancillary Matters



Sec. 60-1.40  Affirmative action compliance programs.

    (a) Requirements of programs. Each contractor who has 50 or more 
employees and (1) has a contract of $50,000 or more; or (2) has 
Government bills of lading which in any 12-month period, total or can 
reasonably be expected to total $50,000 or more; or (3) serves as a 
depository of Government funds in any amount; or (4) is a financial 
institution which is an issuing and paying agent for U.S. savings bonds 
and savings notes in any amount, shall develop a written affirmitive 
action compliance program for each of its establishments. Each 
contractor and subcontractor shall require each subcontractor who has 50 
or more employees and (i) has a subcontract of $50,000 or more; or (ii) 
has Government bills of lading which in any 12-month period, total or 
can reasonably be expected to total $50,000 or more; or (iii) serves as 
a depository of Government funds in any amount; or (iv) is a financial 
institution which is an issuing and paying agent for U.S. savings bonds 
and savings notes in any amount, to develop a written affirmative action 
compliance program for each of its establishments. A necessary 
prerequisite to the development of a satisfactory affirmative action 
program is the identification and analysis of problem areas inherent in 
minority

[[Page 105]]

employment and an evaluation of opportunities for utilization of 
minority group personnel. The contractor's program shall provide in 
detail for specific steps to guarantee equal employment opportunity 
keyed to the problems and needs of members of minority groups, 
including, when there are deficiencies, the development of specific 
goals and time tables for the prompt achievement of full and equal 
employment opportunity. Each contractor shall include in its affirmative 
action compliance program a table of job classifications. This table 
should include but need not be limited to job titles, principal duties 
(and auxiliary duties, if any), rates of pay, and where more than one 
rate of pay applied (because of length of time in the job or other 
factors), the applicable rates. The affirmative action compliance 
program shall be signed by an executive official of the contractor.
    (b) Utilization evaluation. The evaluation of utilization of 
minority group personnel shall include the following:
    (1) An analysis of minority group representation in all job 
categories.
    (2) An analysis of hiring practices for the past year, including 
recruitment sources and testing, to determine whether equal employment 
opportunity is being afforded in all job categories.
    (3) An analysis of upgrading, transfer and promotion for the past 
year to determine whether equal employment opportunity is being 
afforded.
    (c) Maintenance of programs. Within 120 days from the commencement 
of the contract, each contractor shall maintain a copy of separate 
affirmative action compliance programs for each establishment, including 
evaluations of utilization of minority group personnel and the job 
classification tables, at each local office responsible for the 
personnel matters of such establishment. An affirmative action 
compliance program shall be part of the manpower and training plans for 
each new establishment and shall be developed and made available prior 
to the staffing of such establishment. A report of the results of such 
program shall be compiled annually and the program shall be updated at 
that time. This information shall be made available to representatives 
of the Director upon request and the contractor's affirmative action 
program and the result it produces shall be evaluated as part of 
compliance review activities.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-1.41  Solicitations or advertisements for employees.

    In solicitations or advertisements for employees placed by or on 
behalf of a prime contractor or subcontractor, the requirements of 
paragraph (2) of the equal opportunity clause shall be satisfied 
whenever the prime contractor or subcontractor complies with any of the 
following:
    (a) States expressly in the solicitations or advertising that all 
qualified applicants will receive consideration for employment without 
regard to race, color, religion, sex, or national origin;
    (b) Uses display or other advertising, and the advertising includes 
an appropriate insignia prescribed by the Director. The use of the 
insignia is considered subject to the provisions of 18 U.S.C. 701;
    (c) Uses a single advertisement, and the advertisement is grouped 
with other advertisements under a caption which clearly states that all 
employers in the group assure all qualified applicants equal 
consideration for employment without regard to race, color, religion, 
sex, or national origin;
    (d) Uses a single advertisement in which appears in clearly 
distinguishable type the phrase ``an equal opportunity employer.''



Sec. 60-1.42  Notices to be posted.

    (a) Unless alternative notices are prescribed by the Director, the 
notices which prime contractors and subcontractors are required to post 
by paragraphs (1) and (3) of the equal opportunity clause will contain 
the following language and will be provided by the contracting or 
administering agencies:

[[Page 106]]

Equal Employment Opportunity Is the Law--Discrimination Is Prohibited by 
      the Civil Rights Act of 1964 and by Executive Order No. 11246

Title VII of the Civil Rights Act of 1964--Administered by:

               The Equal Employment Opportunity Commission

    Prohibits discrimination because of Race, Color, Religion, Sex, or 
National Origin by Employers with 75 or more employees, by Labor 
Organizations with a hiring hall of 75 or more members, by Employment 
Agencies, and by Joint Labor-Management Committees for Apprenticeship or 
Training. After July 1, 1967, employers and labor organizations with 50 
or more employees or members will be covered; after July 1, 1968, those 
with 25 or more will be covered.

                               Any Person

          Who believes he or she has been discriminated against

                             Should Contact

........................................................................

               The Equal Employment Opportunity Commission

2401 E Street NW, Washington, D.C. 20506

               Executive Order No. 11246--Administered by:

           The Office of Federal Contract Compliance Programs

    Prohibits discrimination because of Race, Color, Religion, Sex, or 
National Origin, and requires affirmative action to ensure equality of 
opportunity in all aspects of employment.
    By all Federal Government Contractors and Subcontractors, and by 
Contractors Performing Work Under a Federal Assisted Construction 
Contract, regardless of the number of employees in either case.

                               Any Person

          Who believes he or she has been discriminated against

                             Should Contact

........................................................................

           The Office of Federal Contract Compliance Programs

             U.S. Department of Labor Washington, D.C. 20210

    (b) The requirements of paragraph (3) of the equal opportunity 
clause will be satisfied whenever the prime contractor or subcontractor 
posts copies of the notification prescribed by or pursuant to paragraph 
(a) of this section in conspicuous places available to employees, 
applicants for employment, and representatives of each labor union or 
other organization representing his employees with which he has a 
collective-bargaining agreement or other contract or understanding.



Sec. 60-1.43  Access to records and site of employment.

    Each prime contractor and subcontractor shall permit access during 
normal business hours to its premises for the purpose of conducting on-
site compliance reviews and inspecting and copying such books, records, 
accounts, and other material as may be relevant to the matter under 
investigation and pertinent to compliance with the order, and the rules 
and regulations promulgated pursuant thereto by the agency, or the 
Director. Information obtained in this manner shall be used only in 
connection with the administration of the order, the administration of 
the Civil Rights Act of 1964 (as amended) and in furtherance of the 
purposes of the order and that Act. (See 41 CFR Part 60-60, Contractor 
Evaluation Procedures for Nonconstruction Contractors; 41 CFR Part 60-
40, Examination and Copying of OFCCP Documents.)

(Sec. 201. E.O. 11246, 30 FR 12319, and E.O. 11375, 32 FR 14303)



Sec. 60-1.44  Rulings and interpretations.

    Rulings under or interpretations of the order or the regulations 
contained in this part shall be made by the Secretary or his designee.



Sec. 60-1.45  Existing contracts and subcontracts.

    All contracts and subcontracts in effect prior to October 24, 1965, 
which are not subsequently modified shall be administered in accordance 
with the nondiscrimination provisions of any prior applicable Executive 
orders. Any contract or subcontract modified on or after October 24, 
1965, shall be subject to Executive Order 11246. Complaints received by 
and violations coming to the attention of agencies regarding contracts 
and subcontracts which were subject to Executive Orders 10925 and 11114 
shall be processed as if they were complaints regarding violations of 
this order.

[[Page 107]]



Sec. 60-1.46  Delegation of authority by the Director.

    The Director is authorized to redelegate the authority given to him 
by the regulations in this part. The authority redelegated by the 
Director pursuant to the regulations in this part shall be exercised 
under his general direction and control.



Sec. 60-1.47  Effective date.

    The regulations contained in this part shall become effective July 
1, 1968, for all contracts, the solicitations, invitations for bids, or 
requests for proposals which were sent by the Government or an applicant 
on or after said effective date, and for all negotiated contracts which 
have not been executed as of said effective date. Notwithstanding the 
foregoing, the regulations in this part shall become effective as to all 
contracts executed on and after the 120th day following said effective 
date. Subject to any prior approval of the Secretary, any agency may 
defer the effective date of the regulations in this part, for such 
period of time as the Secretary finds to be reasonably necessary. 
Contracts executed prior to the effective date of the regulations in 
this part shall be governed by the regulations promulgated by the former 
President's Committee on Equal Employment Opportunity which appear at 28 
FR 9812, September 2, 1963, and at 28 FR 11305, October 23, 1963, the 
temporary regulations which appear at 30 FR 13441, October 22, 1965, and 
the orders at 31 FR 6881, May 10, 1966, and 32 FR 7439, May 19, 1967.



PART 60-2--AFFIRMATIVE ACTION PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
60-2.1  Title, purpose and scope.
60-2.2  Agency action.

       Subpart B--Required Contents of Affirmative Action Programs

60-2.10  Purpose of affirmative action program.
60-2.11  Required utilization analysis.
60-2.12  Establishment of goals and timetables.
60-2.13  Additional required ingredients of affirmative action programs.
60-2.14  Program summary.
60-2.15  Compliance status.

    Subpart C--Methods of Implementing the Requirements of Subpart B

60-2.20  Development or reaffirmation of the equal employment 
          opportunity policy.
60-2.21  Dissemination of the policy.
60-2.22  Responsibility for implementation.
60-2.23  Identification of problem areas by organizational units and job 
          groups.
60-2.24  Development and execution of programs.
60-2.25  Internal audit and reporting systems.
60-2.26  Support of action programs.

                        Subpart D--Miscellaneous

60-2.30  Use of goals.
60-2.31  Preemption.
60-2.32  Supersedure.

    Authority: 5 U.S.C. 553(a)(3)(B); 29 CFR 2.7; sec. 201, E.O. 11246, 
30 FR 12319, and E.O. 11375, 32 FR 14303, as amended by E.O. 12086.

    Source: 43 FR 49249, Oct. 20, 1978, unless otherwise noted.



                           Subpart A--General



Sec. 60-2.1  Title, purpose and scope.

    (a) This part shall also be known as ``Revised Order No. 4,'' and 
shall cover nonconstruction contractors. Section 60-1.40 of this 
chapter, affirmative action compliance programs, requires that within 
120 days from the commencement of a contract each prime contractor or 
subcontractor with 50 or more employees and (1) a contract of $50,000 or 
more; or (2) Government bills of lading which, in any 12-month period, 
total or can reasonably be expected to total $50,000 or more; or (3) who 
serves as a depository of Government funds in any amount; or (4) who is 
a financial institution which is an issuing and paying agent for U.S. 
savings bonds and savings notes in any amount, develop a written 
affirmative action compliance program for each of its establishments. A 
review of compliance surveys indicates that many contractors do not have 
affirmative action programs on file at the time an establishment is 
visited by a compliance investigator. This part details the review 
procedure and the results of a contractor's failure to develop and 
maintain

[[Page 108]]

an affirmative action program and then sets forth detailed guidelines to 
be used by contractors and the Government in developing and judging 
these programs as well as the good faith effort required to transform 
the programs from paper commitments to equal employment opportunity. 
Subparts B and C of this part are concerned with affirmative action 
plans only.
    (b) Relief, including back pay where appropriate, for members of an 
affected class who by virtue of past discrimination continue to suffer 
the present effects of that discrimination, shall be provided in the 
conciliation agreement entered into pursuant to Sec. 60-60.6 of this 
title. An ``affected class'' problem must be remedied in order for a 
contractor to be considered in compliance. Section 60-2.2 herein 
pertaining to an acceptable affirmative action program is also 
applicable to the failure to remedy discrimination against members of an 
``affected class.''



Sec. 60-2.2  Agency action.

    (a) Any contractor required by Sec. 60-1.40 of this chapter to 
develop an affirmative action program at each of its establishments who 
has not complied fully with that section is not in compliance with 
Executive Order 11246, as amended (30 FR 12319). Until such programs are 
developed and found to be acceptable in accordance with the standards 
and guidelines set forth in Secs. 60-2.10 through 60-2.32, the 
contractor is unable to comply with the equal employment opportunity 
clause. An affirmative action plan shall be deemed to have been accepted 
by the Government at the time the appropriate OFCCP field, area, 
regional, or national office has accepted such plan unless within 45 
days thereafter the Director has disapproved such plan.
    (b) If, in determining such contractor's responsibility for an award 
of a contract it comes to the contracting officer's attention, through 
sources within his agency or through the Office of Federal Contract 
Compliance Programs or other Government agencies, that the contractor 
has no affirmative action program at each of its establishments, or has 
substantially deviated from such an approved affirmative action program, 
or has failed to develop or implement an affirmative action program 
which complies with the regulations in this chapter, the contracting 
officer shall declare the contractor/bidder nonresponsible and so notify 
the contractor and the Director, unless he can otherwise affirmatively 
determine that the contractor is able to comply with his equal 
employment obligations. Any contractor/bidder which has been declared 
nonresponsible in accordance with the provisions of this section may 
request the Director to determine that the responsibility of the 
contractor/bidder raises substantial issues of law or fact to the extent 
that a hearing is required. Such request shall set forth the basis upon 
which the contractor/bidder seeks such a determination. If the Director, 
in his/her sole discretion, determines that substantial issues of law or 
fact exist, an administrative or judicial proceeding may be commenced in 
accordance with the regulations contained in Sec. 60-1.26; or the 
Director may require the investigation or compliance review be developed 
further or additional conciliation be conducted: Provided, That during 
any pre-award conferences, every effort shall be made through the 
processes of conciliation, mediation, and persuasion to develop an 
acceptable affirmative action program meeting the standards and 
guidelines set forth in Secs. 60-2.10 through 60-2.32 so that, in the 
performance of his contract, the contractor is able to meet its equal 
employment obligations in accordance with the equal opportunity clause 
and applicable rules, regulations, and orders: Provided further, That a 
contractor/bidder may not be declared nonresponsible more than twice due 
to past noncompliance with the equal opportunity clause at a particular 
establishment or facility without receiving prior notice and an 
opportunity for a hearing.
    (c)(1) Immediately upon finding that a contractor has no affirmative 
action program, or has deviated substantially from an approved 
affirmative action program, or has failed to develop or implement an 
affirmative action program which complies with the requirements of the 
regulations in this chapter, that

[[Page 109]]

fact shall be recorded in the investigation file. Whenever 
administrative enforcement is contemplated, the notice to the contractor 
shall be issued giving him 30 days to show cause why enforcement 
proceedings under section 209(a) of Executive Order 11246, as amended, 
should not be instituted. The notice to show cause should contain:
    (i) An itemization of the sections of the Executive order and of the 
regulations with which the contractor has been found in apparent 
violation, and a summary of the conditions, practices, facts, or 
circumstances which give rise to each apparent violation;
    (ii) The corrective actions necessary to achieve compliance or, as 
may be appropriate, the concepts and principles of an acceptable remedy 
and/or the corrective action results anticipated;
    (iii) A request for a written response to the findings, including 
commitments to corrective action or the presentation of opposing facts 
and evidence; and
    (iv) A suggested date for the conciliation conference.
    (2) If the contractor fails to show good cause for his failure or 
fails to remedy that failure by developing and implementing an 
acceptable affirmative action program within 30 days, the case file 
shall be processed for enforcement proceedings pursuant to Sec. 60-1.26 
of this chapter. If an administrative complaint is filed, the contractor 
shall have 20 days to request a hearing. If a request for hearing has 
not been received within 20 days from the filing of the administrative 
complaint, the matter shall proceed in accordance with Part 60-30 of 
this chapter.
    (3) During the ``show cause'' period of 30 days, every effort will 
be made through conciliation, mediation, and persuasion to resolve the 
deficiencies which led to the determination of nonresponsibility. If 
satisfactory adjustments designed to bring the contractor into 
compliance are not concluded, the case shall be processed for 
enforcement proceedings pursuant to Sec. 60-1.26 of this chapter.
    (d) During the ``show cause'' period and formal proceedings, each 
contracting agency must continue to determine the contractor's 
responsibility in considering whether or not to award a new or 
additional contract.

[43 FR 49249, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



       Subpart B--Required Contents of Affirmative Action Programs



Sec. 60-2.10  Purpose of affirmative action program.

    An affirmative action program is a set of specific and result-
oriented procedures to which a contractor commits itself to apply every 
good faith effort. The objective of those procedures plus such efforts 
is equal employment opportunity. Procedures without effort to make them 
work are meaningless; and effort, undirected by specific and meaningful 
procedures, is inadequate. An acceptable affirmative action program must 
include an analysis of areas within which the contractor is deficient in 
the utilization of minority groups and women, and further, goals and 
timetables to which the contractor's good faith efforts must be directed 
to correct the deficiencies and, thus to achieve prompt and full 
utilization of minorities and women, at all levels and in all segments 
of its work force where deficiencies exist.

[43 FR 49249, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-2.11  Required utilization analysis.

    Based upon the Government's experience with compliance reviews under 
the Executive order program and the contractor reporting system, 
minority groups are most likely to be underutilized in departments and 
jobs within departments that fall within the following Employer's 
Information Report (EEO-1) designations: Officials and managers, 
professionals, technicians, sales workers, office and clerical and 
craftsmen (skilled). As categorized by the EEO-1 designations, women are 
likely to be underutilized in departments and jobs within departments as 
follows: Officials and managers, professionals, technicians, sales 
workers (except over-the-counter sales in certain retail 
establishments), craftsmen (skilled and semi-skilled). Therefore, the 
contractor shall direct special attention to such jobs in its analysis 
and

[[Page 110]]

goal setting for minorities and women. Affirmative action programs must 
contain the following information:
    (a) Workforce analysis which is defined as a listing of each job 
title as appears in applicable collective bargaining agreements or 
payroll records (not job group) ranked from the lowest paid to the 
highest paid within each department or other similar organizational unit 
including departmental or unit supervision. If there are separate work 
units or lines of progression within a department a separate list must 
be provided for each such work unit, or line, including unit 
supervisors. For lines of progression there must be indicated the order 
of jobs in the line through which an employee could move to the top of 
the line. Where there are no formal progression lines or usual 
promotional sequences, job titles should be listed by department, job 
families, or disciplines, in order of wage rates or salary ranges. For 
each job title, the total number of incumbents, the total number of male 
and female incumbents, and the total number of male and female 
incumbents in each of the following groups must be given: Blacks, 
Spanish-surnamed Americans, American Indians, and Orientals. The wage 
rate or salary range for each job title must be given. All job titles, 
including all managerial job titles, must be listed.
    (b) An analysis of all major job groups at the facility, with 
explanation if minorities or women are currently being underutilized in 
any one or more job groups (``job groups'' herein meaning one or a group 
of jobs having similar content, wage rates and opportunities). 
``Underutilization'' is defined as having fewer minorities or women in a 
particular job group than would reasonably be expected by their 
availability. In making the utilization analysis, the contractor shall 
conduct such analysis separately for minorities and women.
    (1) In determining whether minorities are being underutilized in any 
job group, the contractor will consider at least all of the following 
factors:
    (i) The minority population of the labor area surrounding the 
facility;
    (ii) The size of the minority unemployment force in the labor area 
surrounding the facility;
    (iii) The percentage of the minority work force as compared with the 
total work force in the immediate labor area;
    (iv) The general availability of minorities having requisite skills 
in the immediate labor area;
    (v) The availability of minorities having requisite skills in an 
area in which the contractor can reasonably recruit;
    (vi) The availability of promotable and transferable minorities 
within the contractor's organization;
    (vii) The existence of training institutions capable of training 
persons in the requisite skills; and
    (viii) The degree of training which the contractor is reasonably 
able to undertake as a means of making all job classes available to 
minorities.
    (2) In determining whether women are being underutilized in any job 
group, the contractor will consider at least all of the following 
factors:
    (i) The size of the female unemployment force in the labor area 
surrounding the facility;
    (ii) The percentage of the female workforce as compared with the 
total workforce in the immediate labor area;
    (iii) The general availability of women having requisite skills in 
the immediate labor area;
    (iv) The availability of women having requisite skills in an area in 
which the contractor can reasonably recruit;
    (v) The availability of women seeking employment in the labor or 
recruitment area of the contractor;
    (vi) The availability of promotable and transferable female 
employees within the contractor's organization;
    (vii) The existence of training institutions capable of training 
persons in the requisite skills; and
    (viii) The degree of training which the contractor is reasonably 
able to undertake as a means of making all job classes available to 
women.

[43 FR 49249, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]

[[Page 111]]



Sec. 60-2.12  Establishment of goals and timetables.

    (a) The goals and timetables developed by the contractor should be 
attainable in terms of the contractor's analysis of its deficiencies and 
its entire affirmative action program. Thus, in establishing the size of 
its goals and the length of its timetables, the contractor should 
consider the results which could reasonably be expected from its putting 
forth every good faith effort to make its overall affirmative action 
program work. In determining levels of goals, the contractor should 
consider at least the factors listed in Sec. 60-2.11.
    (b) Involve personnel relations staff, department and division 
heads, and local and unit managers in the goal-setting process.
    (c) Goals should be significant, measurable, and attainable.
    (d) Goals should be specific for planned results, with timetables 
for completion.
    (e) Goals may not be rigid and inflexible quotas which must be met, 
but must be targets reasonably attainable by means of applying every 
good faith effort to make all aspects of the entire affirmative action 
program work.
    (f) In establishing timetables to meet goals and commitments, the 
contractor will consider the anticipated expansion, contraction, and 
turnover of and in the work force.
    (g) Goals, timetables, and affirmative action commitments must be 
designed to correct any identifiable deficiencies.
    (h) Where deficiencies exist and where numbers or percentages are 
relevant in developing corrective action, the contractor shall establish 
and set forth specific goals and timetables separately for minorities 
and women.
    (i) Such goals and timetables, with supporting data and the analysis 
thereof shall be a part of the contractor's written affirmative action 
program and shall be maintained at each establishment of the contractor.
    (j) A contractor or subcontractor extending a publicly announced 
preference for Indians as authorized in 41 CFR 60-1.5(a)(6) may reflect 
in its goals and timetables the permissive employment preference for 
Indians living on or near an Indian reservation.
    (k) Where the contractor has not established a goal, its written 
affirmative action program must specifically analyze each of the factors 
listed in Sec. 60-2.11 and must detail its reason for a lack of a goal.
    (l) In the event it comes to the attention of the Office of Federal 
Contract Compliance Programs that there is a substantial disparity in 
the utilization of a particular minority group or men or women of a 
particular minority group, OFCCP may require separate goals and 
timetables for such minority group and may further require, where 
appropriate, such goals and timetables by sex for such group for such 
job classifications and organizational units specified by the OFCCP.
    (m) Support data for the required analysis and program shall be 
compiled and maintained as part of the contractor's affirmative action 
program. This data will include but not be limited to progression line 
charts, seniority rosters, applicant flow data, and applicant rejection 
ratios indicating minority and sex status.
    (n) Copies of affirmative action programs and/or copies of support 
data shall be made available to the Office of Federal Contract 
Compliance Programs, upon request, for such purposes as may be 
appropriate to the fulfillment of its responsibilities under Executive 
Order 11246, as amended.

[43 FR 49249, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-2.13  Additional required ingredients of affirmative action programs.

    Effective affirmative action programs shall contain, but not 
necessarily be limited to, the following ingredients:
    (a) Development or reaffirmation of the contractor's equal 
employment opportunity policy in all personnel actions.
    (b) Formal internal and external dissemination of the contractor's 
policy.
    (c) Establishment of responsibilities for implementation of the 
contractor's affirmative action program.
    (d) Identification of problem areas (deficiencies) by organizational 
units and job group.
    (e) Establishment of goals and objectives by organizational units 
and job

[[Page 112]]

groups, including timetables for completion.
    (f) Development and execution of action-oriented programs designed 
to eliminate problems and further designed to attain established goals 
and objectives.
    (g) Design and implementation of internal audit and reporting 
systems to measure effectiveness of the total program.
    (h) Compliance of personnel policies and practices with the Sex 
Discrimination Guidelines (41 CFR Part 60-20).
    (i) Active support of local and national community action programs 
and community service programs, designed to improve the employment 
opportunities of minorities and women.
    (j) Consideration of minorities and women not currently in the work 
force having requisite skills who can be recruited through affirmative 
action measures.



Sec. 60-2.14  Program summary.

    The affirmative action program shall be summarized and updated 
annually. The program summary shall be prepared in a format which shall 
be prescribed by the Director and published in the Federal Register as a 
notice before becoming effective. Contractors and subcontractors shall 
submit the program summary to OFCCP each year on the anniversary date of 
the affirmative action program.

[44 FR 77003, Dec. 28, 1979]



Sec. 60-2.15  Compliance status.

    No contractor's compliance status shall be judged alone by whether 
or not it reaches its goals and meets its timetables. Rather, each 
contractor's compliance posture shall be reviewed and determined by 
reviewing the contents of its program, the extent of its adherence to 
this program, and its good faith efforts to make its program work toward 
the realization of the program's goals within the timetables set for 
completion. There follows an outline of examples of procedures that 
contractors and Federal agencies should use as a guideline for 
establishing, implementing, and judging an acceptable affirmative action 
program.

[43 FR 49249, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978. Redesignated at 
44 FR 77003, Dec. 28, 1979]



    Subpart C--Methods of Implementing the Requirements of Subpart B



Sec. 60-2.20  Development or reaffirmation of the equal employment opportunity policy.

    (a) The contractor's policy statement should indicate the chief 
executive officer's attitude on the subject matter, assign overall 
responsibility and provide for a reporting and monitoring procedure. 
Specific items to be mentioned should include, but not be limited to:
    (1) Recruit, hire, train, and promote persons in all job titles, 
without regard to race, color, religion, sex, or national origin, except 
where sex is a bona fide occupational qualification. (The term ``bona 
fide occupational qualification'' has been construed very narrowly under 
the Civil Rights Act of 1964. Under Executive Order 11246 as amended and 
this part, this term will be construed in the same manner.)
    (2) Base decisions on employment so as to further the principle of 
equal employment opportunity.
    (3) Insure that promotion decisions are in accord with principles of 
equal employment opportunity by imposing only valid requirements for 
promotional opportunities.
    (4) Insure that all personnel actions such as compensation, 
benefits, transfers, layoffs, return from layoff, company sponsored 
training, education, tuition assistance, social and recreation programs, 
will be administered without regard to race, color, religion, sex, or 
national origin.

[43 FR 49249, Oct. 30, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-2.21  Dissemination of the policy.

    (a) The contractor should disseminate its policy internally as 
follows:
    (1) Include it in contractor's policy manual.

[[Page 113]]

    (2) Publicize it in company newspaper, magazine, annual report, and 
other media.
    (3) Conduct special meetings with executive, management, and 
supervisory personnel to explain intent of policy and individual 
responsibility for effective implementation, making clear the chief 
executive officer's attitude.
    (4) Schedule special meetings with all other employees to discuss 
policy and explain individual employee responsibilities.
    (5) Discuss the policy thoroughly in both employee orientation and 
management training programs.
    (6) Meet with union officials to inform them of policy, and request 
their cooperation.
    (7) Include nondiscrimination clauses in all union agreements, and 
review all contractual provisions to insure they are nondiscriminatory.
    (8) Publish articles covering EEO programs, progress reports, 
promotions, etc., of minority and female employees, in company 
publications.
    (9) Post the policy on company bulletin boards.
    (10) When employees are featured in product or consumer advertising, 
employee handbooks or similar publications both minority and 
nonminority, men and women should be pictured.
    (11) Communicate to employees the existence of the contractor's 
affirmative action program and make available such elements of its 
program as will enable such employees to know of and avail themselves of 
its benefits.
    (b) The contractor should disseminate its policy externally as 
follows:
    (1) Inform all recruiting sources verbally and in writing of company 
policy, stipulating that these sources actively recruit and refer 
minorities and women for all positions listed.
    (2) Incorporate the equal opportunity clause in all purchase orders, 
leases, contracts, etc., covered by Executive Order 11246, as amended, 
and its implementing regulations.
    (3) Notify minority and women's organizations, community agencies, 
community leaders, secondary schools, and colleges, of company policy, 
preferably in writing.
    (4) Communicate to prospective employees the existence of the 
contractor's affirmative action program and make available such elements 
of its program as will enable such prospective employees to know of and 
avail themselves of its benefits.
    (5) When employees are pictured in consumer or help wanted 
advertising, both minorities and nonminority men and women should be 
shown.
    (6) Send written notification of company policy to all 
subcontractors, vendors, and suppliers requesting appropriate action on 
their part.

[43 FR 49249, Oct. 30, 1978; 43 FR 51400, Nov. 3, 1978]



Sec. 60-2.22  Responsibility for implementation.

    (a) An executive of the contractor should be appointed as director 
or manager of company equal opportunity programs. Depending upon the 
size and geographical alignment of the company, this may be his or her 
sole responsibility. He or she should be given the necessary top 
management support and staffing to execute the assignment. His or her 
identity should appear on all internal and external communications on 
the company's equal opportunity programs. His or her responsibilities 
should include, but not necessarily be limited to:
    (1) Developing policy statements, affirmative action programs, 
internal and external communication techniques.
    (2) Assisting in the identification of problem areas.
    (3) Assisting line management in arriving at solutions to problems.
    (4) Designing and implementing audit and reporting systems that 
will:
    (i) Measure effectiveness of the contractor's programs.
    (ii) Indicate need for remedial action.
    (iii) Determine the degree to which the contractor's goals and 
objectives have been attained.
    (5) Serve as liaison between the contractor and enforcement 
agencies.
    (6) Serve as liaison between the contractor and minority 
organizations, women's organizations and community action groups 
concerned with employment opportunities of minorities and women.

[[Page 114]]

    (7) Keep management informed of latest developments in the entire 
equal opportunity area.
    (b) Line responsibilities should include, but not be limited to the 
following:
    (1) Assistance in the identification of problem areas and 
establishment of local and unit goals and objectives.
    (2) Active involvement with local minority organizations, women's 
organizations, community action groups and community service programs.
    (3) Periodic audit of training programs, hiring and promotion 
patterns to remove impediments to the attainment of goals and 
objectives.
    (4) Regular discussions with local managers, supervisors, and 
employees to be certain the contractor's policies are being followed.
    (5) Review of the qualifications of all employees to insure that 
minorities and women are given full opportunities for transfers and 
promotions.
    (6) Career counseling for all employees.
    (7) Periodic audit to insure that each location is in compliance in 
areas such as:
    (i) Posters are properly displayed.
    (ii) All facilities, including company housing, which the contractor 
maintains for the use and benefit of its employees, are in fact 
desegregated, both in policy and use. If the contractor provides 
facilities such as dormitories, locker rooms and rest rooms, they must 
be comparable for both sexes.
    (iii) Minority and female employees are afforded a full opportunity 
and are encouraged to participate in all company sponsored educational, 
training, recreational, and social activities.
    (8) Supervisors should be made to understand that their work 
performance is being evaluated on the basis of their equal employment 
opportunity efforts and results, as well as other criteria.
    (9) It shall be a responsibility of supervisors to take actions to 
prevent harassment of employees placed through affirmative action 
efforts.

[43 FR 49249, Oct. 30, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-2.23  Identification of problem areas by organizational units and job groups.

    (a) An in-depth analysis of the following should be made, paying 
particular attention to trainees and those categories listed in Sec. 60-
2.11(b).
    (1) Composition of the work force by minority group status and sex.
    (2) Composition of applicant flow by minority group status and sex.
    (3) The total selection process including position descriptions, 
position titles, worker specifications, application forms, interview 
procedures, test administration, test validity, referral procedures, 
final selection process, and similar factors.
    (4) Transfer and promotion practices.
    (5) Facilities, company sponsored recreation and social events, and 
special programs such as educational assistance.
    (6) Seniority practices and seniority provisions of union contracts.
    (7) Apprenticeship programs.
    (8) All company training programs, formal and informal.
    (9) Work force attitude.
    (10) Technical phases of compliance, such as poster and notification 
to labor unions, retention of applications, notification to 
subcontractors, etc.
    (b) If any of the following items are found in the analysis, special 
corrective action should be appropriate.
    (1) An ``underutilization'' of minorities or women in specific job 
groups.
    (2) Lateral and/or vertical movement of minority or female employees 
occurring at a lesser rate (compared to work force mix) than that of 
nonminority or male employees.
    (3) The selection process eliminates a significantly higher 
percentage of minorities or women than nonminorities or men.
    (4) Application and related preemployment forms not in compliance 
with Federal legislation.
    (5) Position descriptions inaccurate in relation to actual functions 
and duties.
    (6) Formal or scored selection procedures not validated as required 
by the OFCCP Uniform Guidelines on Employee Selection Procedures.

[[Page 115]]

    (7) Test forms not validated by location, work performance and 
inclusion of minorities and women in sample.
    (8) Referral ratio of minorities or women to the hiring supervisor 
or manager indicates a significantly higher percentage are being 
rejected as compared to nonminority and male applicants.
    (9) Minorities or women are excluded from or are not participating 
in company sponsored activities or programs.
    (10) De facto segregation still exists at some facilities.
    (11) Seniority provisions contribute to overt or inadvertent 
discrimination, i.e., a disparity by minority group status or sex exists 
between length of service and types of job held.
    (12) Nonsupport of company policy by managers, supervisors or 
employees.
    (13) Minorities or women underutilized or significantly 
underrepresented in training or career improvement programs.
    (14) No formal techniques established for evaluating effectiveness 
of EEO programs.
    (15) Lack of access to suitable housing inhibits recruitment efforts 
and employment of qualified minorities.
    (16) Lack of suitable transportation (public or private) to the work 
place inhibits minority employment.
    (17) Labor unions and subcontractors not notified of their 
responsibilities.
    (18) Purchase orders do not contain EEO clause.
    (19) Posters not on display.



Sec. 60-2.24  Development and execution of programs.

    (a) The contractor should conduct detailed analyses of position 
descriptions to insure that they accurately reflect position functions, 
and are consistent for the same position from one location to another.
    (b) The contractor should validate worker specifications by 
division, department, location or other organizational unit and by job 
title using job performance criteria. Special attention should be given 
to academic, experience and skill requirements to insure that the 
requirements in themselves do not constitute inadvertent discrimination. 
Specifications should be consistent for the same job title in all 
locations and should be free from bias as regards to race, color, 
religion, sex or national origin, except were sex is a bona fide 
occupational qualification. Where requirements screen out a 
disproportionate number of minorities or women, such requirements should 
be professionally validated to job performance.
    (c) Approved position descriptions and worker specifications, when 
used by the contractor, should be made available to all members of 
management involved in the recruiting, screening, selection, and 
promotion process. Copies should also be distributed to all recruiting 
sources.
    (d) The contractor should evaluate the total selection process to 
insure freedom from bias and, thus, aid the attainment of goals and 
objectives.
    (1) All personnel involved in the recruiting, screening, selection, 
promotion, disciplinary, and related processes should be carefully 
selected and trained to insure elimination of bias in all personnel 
actions.
    (2) The contractor shall observe the requirements of the OFCCP 
Uniform Guidelines on Employee Selection Procedures.
    (3) Selection techniques other than tests may also be improperly 
used so as to have the effect of discriminating against minority groups 
and women. Such techniques include but are not restricted to, unscored 
interviews, unscored or casual application forms, arrest records, credit 
checks, considerations of marital status or dependency or minor 
children. Where there exist data suggesting that such unfair 
discrimination or exclusion of minorities or women exists, the 
contractor should analyze his unscored procedures and eliminate them if 
they are not objectively valid.
    (e) Suggested techniques to improve recruitment and increase the 
flow of minority or female applicants follow:
    (1) Certain organizations such as the Urban League, Job Corps, Equal 
Opportunity Programs, Inc., Concentrated Employment programs, 
Neighborhood Youth Corps, Secondary Schools, Colleges, and City Colleges 
with high minority enrollment, the State Employment Service, specialized 
employment agencies, Aspira, LULAC, SER, the G.I.

[[Page 116]]

Forum, the Commonwealth of Puerto Rico are normally prepared to refer 
minority applicants. Organizations prepared to refer women with specific 
skills are: National Organization for Women, Welfare Rights 
organizations, Women's Equity Action League, Talent Bank from Business 
and Professional Women (including 26 women's organizations), 
Professional Women's Caucus, Intercollegiate Association of University 
Women, Negro Women's sororities and service groups such as Delta Sigma 
Theta, Alpha Kappa Alpha, and Zeta Phi Beta; National Council of Negro 
Women, American Association of University Women, YWCA, and sectarian 
groups such as Jewish Women's Groups, Catholic Women's Groups and 
Protestant Women's Groups, and women's colleges. In addition, community 
leaders as individuals shall be added to recruiting sources.
    (2) Formal briefing sessions should be held, preferably on company 
premises, with representatives from these recruiting sources. Plant 
tours, presentations by minority and female employees, clear and concise 
explanations of current and future job openings, position descriptions, 
worker specifications, explanations of the company's selection process, 
and recruiting literature should be an integral part of the briefings. 
Formal arrangements should be made for referral of applicants, followup 
with sources, and feedback on disposition of applicants.
    (3) Minority and female employees, using procedures similar to 
subparagraph (2) of this paragraph, should be actively encouraged to 
refer applicants.
    (4) A special effort should be made to include minorities and women 
on the Personnel Relations staff.
    (5) Minority and female employees should be made available for 
participation in Career Days, Youth Motivation Programs, and related 
activities in their communities.
    (6) Active participation in ``Job Fairs'' is desirable. Company 
representative so participating should be given authority to make on-
the-spot commitments.
    (7) Active recruiting programs should be carried out at secondary 
schools, junior colleges, and colleges with predominant minority or 
female enrollments.
    (8) Recruiting efforts at all schools should incorporate special 
efforts to reach minorities and women.
    (9) Special employment programs should be undertaken whenever 
possible. Some possible programs are:
    (i) Technical and nontechnical co-op programs with predominately 
Negro and women's colleges.
    (ii) ``After school'' and/or work-study jobs for minority youths, 
male and female.
    (iii) Summer jobs for underprivileged youth, male and female.
    (iv) Summer work-study programs for male and female faculty members 
of the predominantly minority schools and colleges.
    (v) Motivation, training and employment programs for the hardcore 
unemployed, male and female.
    (10) When recruiting brochures pictorially present work situations, 
the minority and female members of the work force should be included, 
especially when such brochures are used in school and career programs.
    (11) Help wanted advertising should be expanded to include the 
minority news media and women's interest media on a regular basis.
    (f) The contractor should insure that minority and female employees 
are given equal opportunity for promotion. Suggestions for achieving 
this result include:
    (1) Post or otherwise announce promotional opportunities.
    (2) Make an inventory of current minority and female employees to 
determine academic, skill and experience level of individual employees.
    (3) Initiate necessary remedial, job training and workstudy 
programs.
    (4) Develop and implement formal employee evaluation programs.
    (5) Make certain ``worker specifications'' have been validated on 
job performance related criteria. (Neither minority nor female employees 
should be required to possess higher qualifications than those of the 
lowest qualified incumbent.)
    (6) When apparently qualified minority or female employees are 
passed over for upgrading, require supervisory

[[Page 117]]

personnel to submit written justification.
    (7) Establish formal career counseling programs to include attitude 
development, education aid, job rotation, buddy system and similar 
programs.
    (8) Review seniority practices and seniority clauses in union 
contracts to insure such practices or clauses are nondiscriminatory and 
do not have a discriminatory effect.
    (g) Make certain facilities and company-sponsored social and 
recreation activities are desegregated. Actively encourage all employees 
to participate.
    (h) Encourage child care, housing and transportation programs 
appropriately designed to improve the employment opportunities for 
minorities and women.

[43 FR 49249, Oct. 30, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-2.25  Internal audit and reporting systems.

    (a) The contractor should monitor records of referrals, placements, 
transfers, promotions and terminations at all levels to insure 
nondiscriminatory policy is carried out.
    (b) The contractor should require formal reports from unit managers 
on a schedule basis as to degree to which corporate or unit goals are 
attained and timetables met.
    (c) The contractor should review report results with all levels of 
management.
    (d) The contractor should advise top management of program 
effectiveness and submit recommendations to improve unsatisfactory 
performance.



Sec. 60-2.26  Support of action programs.

    (a) The contractor should appoint key members of management to serve 
on merit employment councils, community relations boards and similar 
organizations.
    (b) The contractor should encourage minority and female employees to 
participate actively in National Alliance of Businessmen programs for 
youth motivation.
    (c) The contractor should support vocational guidance institutes, 
vestibule training programs and similar activities.
    (d) The contractor should assist secondary schools and colleges in 
programs designed to enable minority and female graduates of these 
institutions to compete in the open employment market on a more 
equitable basis.
    (e) The contractor should publicize achievements of minority and 
female employees in local and minority news media.
    (f) The contractor should support programs developed by such 
organizations as National Alliance of Businessmen, the Urban Coalition 
and other organizations concerned with employment opportunities for 
minorities or women.

[43 FR 49249, Oct. 30, 1978; 43 FR 51401, Nov. 3, 1978]



                        Subpart D--Miscellaneous



Sec. 60-2.30  Use of goals.

    The purpose of a contractor's establishment and use of goals is to 
insure that it meet its affirmative action obligation. It is not 
intended and should not be used to discriminate against any applicant or 
employee because of race, color, religion, sex, or national origin.

[43 FR 49249, Oct. 30, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-2.31  Preemption.

    To the extent that any State or local laws, regulations or 
ordinances, including those which grant special benefits to persons on 
account of sex, are in conflict with Executive Order 11246, as amended, 
or with the requirements of this part, we will regard them as preempted 
under the Executive order.



Sec. 60-2.32  Supersedure.

    All orders, instructions, regulations, and memoranda of the 
Secretary of Labor, other officials of the Department of Labor and 
contracting agencies are hereby superseded to the extent that they are 
inconsistent herewith, including a previous ``Order No. 4'' from this 
office dated January 30, 1970. Nothing in this part is intended to amend 
41 CFR part 60-3 or 41 CFR 60-20.

[[Page 118]]



PART 60-3--UNIFORM GUIDELINES ON EMPLOYEE SELECTION PROCEDURES (1978)--Table of Contents




                     Comprehensive Table of Contents

                           General Principles

Sec. 60-3.1  Statement of purpose
A. Need for uniformity--Issuing agencies
B. Purpose of guidelines
C. Relation to prior guidelines
Sec. 60-3.2  Scope
A. Application of guidelines
B. Employment decisions
C. Selection procedures
D. Limitations
E. Indian preference not affected
Sec. 60-3.3  Discrimination defined: Relationship between use of 
          selection procedures and discrimination
A. Procedure having adverse impact constitutes discrimination unless 
justified
B. Consideration of suitable alternative selection procedures
Sec. 60-3.4  Information on impact
A. Records concerning impact
B. Applicable race, sex, and ethnic groups for recordkeeping
C. Evaluation of selection rates--The ``bottom line''
D. Adverse impact and the ``four-fifths rule''
E. Consideration of user's equal employment opportunity posture
Sec. 60-3.5  General standards for validity studies
A. Acceptable types of validity studies
B. Criterion-related, content, and construct validity
C. Guidelines are consistent with professional standards
D. Need for documentation of validity
E. Accuracy and standardization
F. Caution against selection on basis of knowledges, skills, or 
abilities learned in brief orientation period
G. Method of use of selection procedures
H. Cutoff scores
I. Use of selection procedures for higher level jobs
J. Interim use of selection procedures
K. Review of validity studies for currency
Sec. 60-3.6  Use of selection procedures which have not been validated
A. Use of alternate selection procedures to eliminate adverse impact
B. Where validity studies cannot or need not be performed
(1) Where informal or unscored procedures are used
(2) Where formal and scored procedures are used
Sec. 60-3.7  Use of other validity studies
A. Validity studies not conducted by the user
B. Use of criterion-related validity evidence from other sources
(1) Validity evidence
(2) Job similarity
(3) Fairness evidence
C. Validity evidence from multiunit study
D. Other significant variables
Sec. 60-3.8  Cooperative studies
A. Encouragement of cooperative studies
B. Standards for use of cooperative studies
Sec. 60-3.9  No assumption of validity
A. Unacceptable substitutes for evidence of validity
B. Encouragement of professional supervision
Sec. 60-3.10  Employment agencies and employment services
A. Where selection procedures are devised by agency
B. Where selection procedures are devised elsewhere
Sec. 60-3.11  Disparate treatment
Sec. 60-3.12  Retesting of applicants
Sec. 60-3.13  Affirmative action
A. Affirmative action obligations
B. Encouragement of voluntary affirmative action programs

                           Technical Standards

Sec. 60-3.14  Technical standards for validity studies
A. Validity studies should be based on review of information about the 
job
B. Technical standards for criterion-related validity studies
(1) Technical feasibility
(2) Analysis of the job
(3) Criterion measures
(4) Representativeness of the sample
(5) Statistical relationships
(6) Operational use of selection procedures
(7) Over-statement of validity findings
(8) Fairness
(a) Unfairness defined
(b) Investigation of fairness
(c) General considerations in fairness investigations
(d) When unfairness is shown
(e) Technical feasibility of fairness studies
(f) Continued use of selection procedures when fairness studies not 
feasible
C. Technical standards for content validity studies
(1) Appropriateness of content validity studies
(2) Job analysis for content validity
(3) Development of selection procedures
(4) Standards for demonstrating content validity
(5) Reliability
(6) Prior training or experience
(7) Content validity of training success
(8) Operational use
(9) Ranking based on content validity studies

[[Page 119]]

D. Technical standards for construct validity studies
(1) Appropriateness of construct validity studies
(2) Job analysis for construct validity studies
(3) Relationship to the job
(4) Use of construct validity study without new criterion-related 
evidence
(a) Standards for use
(b) Determination of common work behaviors

              Documentation of Impact and Validity Evidence

Sec. 60-3.15  Documentation of impact and validity evidence
A. Required information
(1) Simplified recordkeeping for users with less than 100 employees
(2) Information on impact
(a) Collection of information on impact
(b) When adverse impact has been eliminated in the total selection 
process
(c) When data insufficient to determine impact
(3) Documentation of validity evidence
(a) Type of evidence
(b) Form of report
(c) Completeness
B. Criterion-related validity studies
(1) User(s), location(s), and date(s) of study
(2) Problem and setting
(3) Job analysis or review of job information
(4) Job titles and codes
(5) Criterion measures
(6) Sample description
(7) Description of selection procedure
(8) Techniques and results
(9) Alternative procedures investigated
(10) Uses and applications
(11) Source data
(12) Contact person
(13) Accuracy and completeness
C. Content validity studies
(1) User(s), location(s), and date(s) of study
(2) Problem and setting
(3) Job analysis--Content of the job
(4) Selection procedure and its content
(5) Relationship between selection procedure and the job
(6) Alternative procedures investigated
(7) Uses and applications
(8) Contact person
(9) Accuracy and completeness
D. Construct validity studies
(1) User(s), location(s), and date(s) of study
(2) Problem and setting
(3) Construct definition
(4) Job analysis
(5) Job titles and codes
(6) Selection procedure
(7) Relationship to job performance
(8) Alternative procedures investigated
(9) Uses and applications
(10) Accuracy and completeness
(11) Source data
(12) Contact person
E. Evidence of validity from other studies
(1) Evidence from criterion-related validity studies
(a) Job information
(b) Relevance of criteria
(c) Other variables
(d) Use of the selection procedure
(e) Bibliography
(2) Evidence from content validity studies
(3) Evidence from construct validity studies
F. Evidence of validity from cooperative studies
G. Selection for higher level jobs
H. Interim use of selection procedures

                               Definitions

Sec. 60-3.16  Definitions

                          Appendix to Part 60-3

Sec. 60-3.17  Policy statement on affirmative action (see section 13B)
Sec. 60-3.18  Citations

    Authority: Secs. 201, 202, 203, 203(a), 205, 206(a), 301, 303(b), 
and 403(b) of E.O. 11246; as amended by sec. 715 of Civil Rights Act of 
1964, as amended (42 U.S.C. 2000(e)-14).

    Source: 43 FR 38295, 38314, August 25, 1978.

                           General Principles



Sec. 60-3.1  Statement of purpose.

    A. Need for uniformity--Issuing agencies. The Federal government's 
need for a uniform set of principles on the question of the use of tests 
and other selection procedures has long been recognized. The Equal 
Employment Opportunity Commission, the Civil Service Commission, the 
Department of Labor, and the Department of Justice jointly have adopted 
these uniform guidelines to meet that need, and to apply the same 
principles to the Federal Government as are applied to other employers.
    B. Purpose of guidelines. These guidelines incorporate a single set 
of principles which are designed to assist employers, labor 
organizations, employment agencies, and licensing and certification 
boards to comply with requirements of Federal law prohibiting employment 
practices which discriminate on grounds of race, color, religion,

[[Page 120]]

sex, and national origin. They are designed to provide a framework for 
determining the proper use of tests and other selection procedures. 
These guidelines do not require a user to conduct validity studies of 
selection procedures where no adverse impact results. However, all users 
are encouraged to use selection procedures which are valid, especially 
users operating under merit principles.
    C. Relation to prior guidelines. These guidelines are based upon and 
supersede previously issued guidelines on employee selection procedures. 
These guidelines have been built upon court decisions, the previously 
issued guidelines of the agencies, and the practical experience of the 
agencies, as well as the standards of the psychological profession. 
These guidelines are intended to be consistent with existing law.



Sec. 60-3.2  Scope.

    A. Application of guidelines. These guidelines will be applied by 
the Equal Employment Opportunity Commission in the enforcement of title 
VII of the Civil Rights Act of 1964, as amended by the Equal Employment 
Opportunity Act of 1972 (hereinafter ``Title VII''); by the Department 
of Labor, and the contract compliance agencies until the transfer of 
authority contemplated by the President's Reorganization Plan No. 1 of 
1978, in the administration and enforcement of Executive Order 11246, as 
amended by Executive Order 11375 (hereinafter ``Executive Order 
11246''); by the Civil Service Commission and other Federal agencies 
subject to section 717 of Title VII; by the Civil Service Commission in 
exercising its responsibilities toward State and local governments under 
section 208(b)(1) of the Intergovernmental-Personnel Act; by the 
Department of Justice in exercising its responsibilities under Federal 
law; by the Office of Revenue Sharing of the Department of the Treasury 
under the State and Local Fiscal Assistance Act of 1972, as amended; and 
by any other Federal agency which adopts them.
    B. Employment decisions. These guidelines apply to tests and other 
selection procedures which are used as a basis for any employment 
decision. Employment decisions include but are not limited to hiring, 
promotion, demotion, membership (for example, in a labor organization), 
referral, retention, and licensing and certification, to the extent that 
licensing and certification may be covered by Federal equal employment 
opportunity law. Other selection decisions, such as selection for 
training or transfer, may also be considered employment decisions if 
they lead to any of the decisions listed above.
    C. Selection procedures. These guidelines apply only to selection 
procedures which are used as a basis for making employment decisions. 
For example, the use of recruiting procedures designed to attract 
members of a particular race, sex, or ethnic group, which were 
previously denied employment opportunities or which are currently 
underutilized, may be necessary to bring an employer into compliance 
with Federal law, and is frequently an essential element of any 
effective affirmative action program; but recruitment practices are not 
considered by these guidelines to be selection procedures. Similarly, 
these guidelines do not pertain to the question of the lawfulness of a 
seniority system within the meaning of section 703(h), Executive Order 
11246 or other provisions of Federal law or regulation, except to the 
extent that such systems utilize selection procedures to determine 
qualifications or abilities to perform the job. Nothing in these 
guidelines is intended or should be interpreted as discouraging the use 
of a selection procedure for the purpose of determining qualifications 
or for the purpose of selection on the basis of relative qualifications, 
if the selection procedure had been validated in accord with these 
guidelines for each such purpose for which it is to be used.
    D. Limitations. These guidelines apply only to persons subject to 
Title VII, Executive Order 11246, or other equal employment opportunity 
requirements of Federal law. These guidelines do not apply to 
responsibilities under the Age Discrimination in Employment Act of 1967, 
as amended, not to discriminate on the basis of age, or under sections 
501, 503, and 504 of the Rehabilitation Act of 1973, not to discriminate 
on the basis of handicap.

[[Page 121]]

    E. Indian preference not affected. These guidelines do not restrict 
any obligation imposed or right granted by Federal law to users to 
extend a preference in employment to Indians living on or near an Indian 
reservation in connection with employment opportunities on or near an 
Indian reservation.



Sec. 60-3.3  Discrimination defined: Relationship between use of selection procedures and discrimination.

    A. Procedure having adverse impact constitutes discrimination unless 
justified. The use of any selection procedure which has an adverse 
impact on the hiring, promotion, or other employment or membership 
opportunities of members of any race, sex, or ethnic group will be 
considered to be discriminatory and inconsistent with these guidelines, 
unless the procedure has been validated in accordance with these 
guidelines, or the provisions of section 6 of this part are satisfied.
    B. Consideration of suitable alternative selection procedures. Where 
two or more selection procedures are available which serve the user's 
legitimate interest in efficient and trustworthy workmanship, and which 
are substantially equally valid for a given purpose, the user should use 
the procedure which has been demonstrated to have the lesser adverse 
impact. Accordingly, whenever a validity study is called for by these 
guidelines, the user should include, as a part of the validity study, an 
investigation of suitable alternative selection procedures and suitable 
alternative methods of using the selection procedure which have as 
little adverse impact as possible, to determine the appropriateness of 
using or validating them in accord with these guidelines. If a user has 
made a reasonable effort to become aware of such alternative procedures 
and validity has been demonstrated in accord with these guidelines, the 
use of the test or other selection procedure may continue until such 
time as it should reasonably be reviewed for currency. Whenever the user 
is shown an alternative selection procedure with evidence of less 
adverse impact and substantial evidence of validity for the same job in 
similar circumstances, the user should investigate it to determine the 
appropriateness of using or validating it in accord with these 
guidelines. This subsection is not intended to preclude the combination 
of procedures into a significantly more valid procedure, if the use of 
such a combination has been shown to be in compliance with the 
guidelines.



Sec. 60-3.4  Information on impact.

    A. Records concerning impact. Each user should maintain and have 
available for inspection records or other information which will 
disclose the impact which its tests and other selection procedures have 
upon employment opportunities of persons by identifiable race, sex, or 
ethnic group as set forth in subparagraph B of this section in order to 
determine compliance with these guidelines. Where there are large 
numbers of applicants and procedures are administered frequently, such 
information may be retained on a sample basis, provided that the sample 
is appropriate in terms of the applicant population and adequate in 
size.
    B. Applicable race, sex, and ethnic groups for recordkeeping. The 
records called for by this section are to be maintained by sex, and the 
following races and ethnic groups: Blacks (Negroes), American Indians 
(including Alaskan Natives), Asians (including Pacific Islanders), 
Hispanic (including persons of Mexican, Puerto Rican, Cuban, Central or 
South American, or other Spanish origin or culture regardless of race), 
whites (Caucasians) other than Hispanic, and totals. The race, sex, and 
ethnic classifications called for by this section are consistent with 
the Equal Employment Opportunity Standard Form 100, Employer Information 
Report EEO-1 series of reports. The user should adopt safeguards to 
insure that the records required by this paragraph are used for 
appropriate purposes such as determining adverse impact, or (where 
required) for developing and monitoring affirmative action programs, and 
that such records are not used improperly. See sections 4E and 17(4), of 
this part.
    C. Evaluation of selection rates. The ``bottom line.'' If the 
information called for by sections 4A and B of this section shows that 
the total selection process

[[Page 122]]

for a job has an adverse impact, the individual components of the 
selection process should be evaluated for adverse impact. If this 
information shows that the total selection process does not have an 
adverse impact, the Federal enforcement agencies, in the exercise of 
their administrative and prosecutorial discretion, in usual 
circumstances, will not expect a user to evaluate the individual 
components for adverse impact, or to validate such individual 
components, and will not take enforcement action based upon adverse 
impact of any component of that process, including the separate parts of 
a multipart selection procedure or any separate procedure that is used 
as an alternative method of selection. However, in the following 
circumstances the Federal enforcement agencies will expect a user to 
evaluate the individual components for adverse impact and may, where 
appropriate, take enforcement action with respect to the individual 
components: (1) where the selection procedure is a significant factor in 
the continuation of patterns of assignments of incumbent employees 
caused by prior discriminatory employment practices, (2) where the 
weight of court decisions or administrative interpretations hold that a 
specific procedure (such as height or weight requirements or no-arrest 
rec- ords) is not job related in the same or similar circumstances. In 
unusual circumstances, other than those listed in paragraphs (1) and (2) 
of this section, the Federal enforcement agencies may request a user to 
evaluate the individual components for adverse impact and may, where 
appropriate, take enforcement action with respect to the individual 
component.
    D. Adverse impact and the ``four-fifths rule.'' A selection rate for 
any race, sex, or ethnic group which is less than four-fifths (\4/5\) 
(or eighty percent) of the rate for the group with the highest rate will 
generally be regarded by the Federal enforcement agencies as evidence of 
adverse impact, while a greater than four-fifths rate will generally not 
be regarded by Federal enforcement agencies as evidence of adverse 
impact. Smaller differences in selection rate may nevertheless 
constitute adverse impact, where they are significant in both 
statistical and practical terms or where a user's actions have 
discouraged applicants disproportionately on grounds of race, sex, or 
ethnic group. Greater differences in selection rate may not constitute 
adverse impact where the differences are based on small numbers and are 
not statistically significant, or where special recruiting or other 
programs cause the pool of minority or female candidates to be atypical 
of the normal pool of applicants from that group. Where the user's 
evidence concerning the impact of a selection procedure indicates 
adverse impact but is based upon numbers which are too small to be 
reliable, evidence concerning the impact of the procedure over a longer 
period of time and/or evidence concerning the impact which the selection 
procedure had when used in the same manner in similar circumstances 
elsewhere may be considered in determining adverse impact. Where the 
user has not maintained data on adverse impact as required by the 
documentation section of applicable guidelines, the Federal enforcement 
agencies may draw an inference of adverse impact of the selection 
process from the failure of the user to maintain such data, if the user 
has an underutilization of a group in the job category, as compared to 
the group's representation in the relevant labor market or, in the case 
of jobs filled from within, the applicable work force.
    E. Consideration of user's equal employment opportunity posture. In 
carrying out their obligations, the Federal enforcement agencies will 
consider the general posture of the user with respect to equal 
employment opportunity for the job or group of jobs in question. Where a 
user has adopted an affirmative action program, the Federal enforcement 
agencies will consider the provisions of that program, including the 
goals and timetables which the user has adopted and the progress which 
the user has made in carrying out that program and in meeting the goals 
and timetables. While such affirmative action programs may in design and 
execution be race, color, sex, or ethnic conscious, selection procedures 
under such programs should be based upon the ability or relative ability 
to do the work.

[[Page 123]]



Sec. 60-3.5  General standards for validity studies.

    A. Acceptable types of validity studies. For the purposes of 
satisfying these guidelines, users may rely upon criterion-related 
validity studies, content validity studies or construct validity 
studies, in accordance with the standards set forth in the technical 
standards of these guidelines, section 14 of this part. New strategies 
for showing the validity of selection procedures will be evaluated as 
they become accepted by the psychological profession.
    B. Criterion-related, content, and construct validity. Evidence of 
the validity of a test or other selection procedure by a criterion-
related validity study should consist of empirical data demonstrating 
that the selection procedure is predictive of or significantly 
correlated with important elements of job performance. See 14B of this 
part. Evidence of the validity of a test or other selection procedure by 
a content validity study should consist of data showing that the content 
of the selection procedure is representative of important aspects of 
performance on the job for which the candidates are to be evaluated. See 
14C of this part. Evidence of the validity of a test or other selection 
procedure through a construct validity study should consist of data 
showing that the procedure measures the degree to which candidates have 
identifiable characteristics which have been determined to be important 
in successful performance in the job for which the candidates are to be 
evaluated. See section 14D of this part.
    C. Guidelines are consistent with professional standards. The 
provisions of these guidelines relating to validation of selection 
procedures are intended to be consistent with generally accepted 
professional standards for evaluating standardized tests and other 
selection procedures, such as those described in the Standards for 
Educational and Psychological Tests prepared by a joint committee of the 
American Psychological Association, the American Educational Research 
Association, and the National Council on Measurement in Education 
(American Psychological Association, Washington, D.C., 1974) 
(hereinafter ``A.P.A. Standards'') and standard textbooks and journals 
in the field of personnel selection.
    D. Need for documentation of validity. For any selection procedure 
which is part of a selection process which has an adverse impact and 
which selection procedure has an adverse impact, each user should 
maintain and have available such documentation as is described in 
section 15 of this part.
    E. Accuracy and standardization. Validity studies should be carried 
out under conditions which assure insofar as possible the adequacy and 
accuracy of the research and the report. Selection procedures should be 
administered and scored under standardized conditions.
    F. Caution against selection on basis of knowledges, skills, or 
ability learned in brief orientation period. In general, users should 
avoid making employment decisions on the basis of measures of 
knowledges, skills, or abilities which are normally learned in a brief 
orientation period, and which have an adverse impact.
    G. Method of use of selection procedures. The evidence of both the 
validity and utility of a selection procedure should support the method 
the user chooses for operational use of the procedure, if that method of 
use has a greater adverse impact than another method of use. Evidence 
which may be sufficient to support the use of a selection procedure on a 
pass/fail (screening) basis may be insufficient to support the use of 
the same procedure on a ranking basis under these guidelines. Thus, if a 
user decides to use a selection procedure on a ranking basis, and that 
method of use has a greater adverse impact than use on an appropriate 
pass/fail basis (see section 5H of this section), the user should have 
sufficient evidence of validity and utility to support the use on a 
ranking basis. See sections 3B, 14B (5) and (6), and 14C (8) and (9).
    H. Cutoff scores. Where cutoff scores are used, they should normally 
be set so as to be reasonable and consistent with normal expectations of 
acceptable proficiency within the work force. Where applicants are 
ranked on the basis of properly validated selection

[[Page 124]]

procedures and those applicants scoring below a higher cutoff score than 
appropriate in light of such expectations have little or no chance of 
being selected for employment, the higher cutoff score may be 
appropriate, but the degree of adverse impact should be considered.
    I. Use of selection procedures for higher level jobs. If job 
progression structures are so established that employees will probably, 
within a reasonable period of time and in a majority of cases, progress 
to a higher level, it may be considered that the applicants are being 
evaluated for a job or jobs at the higher level. However, where job 
progression is not so nearly automatic, or the time span is such that 
higher level jobs or employees' potential may be expected to change in 
significant ways, it should be considered that applicants are being 
evaluated for a job at or near the entry level. A ``reasonable period of 
time'' will vary for different jobs and employment situations but will 
seldom be more than 5 years. Use of selection procedures to evaluate 
applicants for a higher level job would not be appropriate:
    (1) If the majority of those remaining employed do not progress to 
the higher level job;
    (2) If there is a reason to doubt that the higher level job will 
continue to require essentially similar skills during the progression 
period; or
    (3) If the selection procedures measure knowledges, skills, or 
abilities required for advancement which would be expected to develop 
principally from the training or experience on the job.
    J. Interim use of selection procedures. Users may continue the use 
of a selection procedure which is not at the moment fully supported by 
the required evidence of validity, provided: (1) The user has available 
substantial evidence of validity, and (2) the user has in progress, when 
technically feasible, a study which is designed to produce the 
additional evidence required by these guidelines within a reasonable 
time. If such a study is not technically feasible, see section 6B. If 
the study does not demonstrate validity, this provision of these 
guidelines for interim use shall not constitute a defense in any action, 
nor shall it relieve the user of any obligations arising under Federal 
law.
    K. Review of validity studies for currency. Whenever validity has 
been shown in accord with these guidelines for the use of a particular 
selection procedure for a job or group of jobs, additional studies need 
not be performed until such time as the validity study is subject to 
review as provided in section 3B of this part. There are no absolutes in 
the area of determining the currency of a validity study. All 
circumstances concerning the study, including the validation strategy 
used, and changes in the relevant labor market and the job should be 
considered in the determination of when a validity study is outdated.



Sec. 60-3.6  Use of selection procedures which have not been validated.

    A. Use of alternate selection procedures to eliminate adverse 
impact. A user may choose to utilize alternative selection procedures in 
order to eliminate adverse impact or as part of an affirmative action 
program. See section 13 of this part. Such alternative procedures should 
eliminate the adverse impact in the total selection process, should be 
lawful and should be as job related as possible.
    B. Where validity studies cannot or need not be performed. There are 
circumstances in which a user cannot or need not utilize the validation 
techniques contemplated by these guidelines. In such circumstances, the 
user should utilize selection procedures which are as job related as 
possible and which will minimize or eliminate adverse impact, as set 
forth below.
    (1) Where informal or unscored procedures are used. When an informal 
or unscored selection procedure which has an adverse impact is utilized, 
the user should eliminate the adverse impact, or modify the procedure to 
one which is a formal, scored or quantified measure or combination of 
measures and then validate the procedure in accord with these 
guidelines, or otherwise justify continued use of the procedure in 
accord with Federal law.
    (2) Where formal and scored procedures are used. When a formal and 
scored selection procedure is used which has an

[[Page 125]]

adverse impact, the validation techniques contemplated by these 
guidelines usually should be followed if technically feasible. Where the 
user cannot or need not follow the validation techniques anticipated by 
these guidelines, the user should either modify the procedure to 
eliminate adverse impact or otherwise justify continued use of the 
procedure in accord with Federal law.



Sec. 60-3.7  Use of other validity studies.

    A. Validity studies not conducted by the user. Users may, under 
certain circumstances, support the use of selection procedures by 
validity studies conducted by other users or conducted by test 
publishers or distributors and described in test manuals. While 
publishers of selection procedures have a professional obligation to 
provide evidence of validity which meets generally accepted professional 
standards (see section 5C of this part), users are cautioned that they 
are responsible for compliance with these guidelines. Accordingly, users 
seeking to obtain selection procedures from publishers and distributors 
should be careful to determine that, in the event the user becomes 
subject to the validity requirements of these guidelines, the necessary 
information to support validity has been determined and will be made 
available to the user.
    B. Use of criterion-related validity evidence from other sources. 
Criterion-related validity studies conducted by one test user, or 
described in test manuals and the professional literature, will be 
considered acceptable for use by another user when the following 
requirements are met:
    (1) Validity evidence. Evidence from the available studies meeting 
the standards of section 14B of this part clearly demonstrates that the 
selection procedure is valid;
    (2) Job similarity. The incumbents in the user's job and the 
incumbents in the job or group of jobs on which the validity study was 
conducted perform substantially the same major work behaviors, as shown 
by appropriate job analyses both on the job or group of jobs on which 
the validity study was performed and on the job for which the selection 
procedure is to be used; and
    (3) Fairness evidence. The studies include a study of test fairness 
for each race, sex, and ethnic group which constitutes a significant 
factor in the borrowing user's relevant labor market for the job or jobs 
in question. If the studies under consideration satisfy paragraphs (1) 
and (2) of this section but do not contain an investigation of test 
fairness, and it is not technically feasible for the borrowing user to 
conduct an internal study of test fairness, the borrowing user may 
utilize the study until studies conducted elsewhere meeting the 
requirements of these guidelines show test unfairness, or until such 
time as it becomes technically feasible to conduct an internal study of 
test fairness and the results of that study can be acted upon. Users 
obtaining selection procedures from publishers should consider, as one 
factor in the decision to purchase a particular selection procedure, the 
availability of evidence concerning test fairness.
    C. Validity evidence from multiunit study. if validity evidence from 
a study covering more than one unit within an organization statisfies 
the requirements of section 14B of this part, evidence of validity 
specific to each unit will not be required unless there are variables 
which are likely to affect validity significantly.
    D. Other significant variables. If there are variables in the other 
studies which are likely to affect validity significantly, the user may 
not rely upon such studies, but will be expected either to conduct an 
internal validity study or to comply with section 6 of this part.



Sec. 60-3.8  Cooperative studies.

    A. Encouragement of cooperative studies. The agencies issuing these 
guidelines encourage employers, labor organizations, and employment 
agencies to cooperate in research, development, search for lawful 
alternatives, and validity studies in order to achieve procedures which 
are consistent with these guidelines.
    B. Standards for use of cooperative studies. If validity evidence 
from a cooperative study satisfies the requirements of section 14 of 
this part, evidence of validity specific to each user will not be 
required unless there are

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variables in the user's situation which are likely to affect validity 
significantly.



Sec. 60-3.9  No assumption of validity.

    A. Unacceptable substitutes for evidence of validity. Under no 
circumstances will the general reputation of a test or other selection 
procedures, its author or its publisher, or casual reports of it's 
validity be accepted in lieu of evidence of validity. Specifically ruled 
out are: assumptions of validity based on a procedure's name or 
descriptive labels; all forms of promotional literature; data bearing on 
the frequency of a procedure's usage; testimonial statements and 
credentials of sellers, users, or consultants; and other nonempirical or 
anecdotal accounts of selection practices or selection outcomes.
    B. Encouragement of professional supervision. Professional 
supervision of selection activities is encouraged but is not a 
substitute for documented evidence of validity. The enforcement agencies 
will take into account the fact that a thorough job analysis was 
conducted and that careful development and use of a selection procedure 
in accordance with professional standards enhance the probability that 
the selection procedure is valid for the job.



Sec. 60-3.10  Employment agencies and employment services.

    A. Where selection procedures are devised by agency. An employment 
agency, including private employment agencies and State employment 
agencies, which agrees to a request by an employer or labor organization 
to devise and utilize a selection procedure should follow the standards 
in these guidelines for determining adverse impact. If adverse impact 
exists the agency should comply with these guidelines. An employment 
agency is not relieved of its obligation herein because the user did not 
request such validation or has requested the use of some lesser standard 
of validation than is provided in these guidelines. The use of an 
employment agency does not relieve an employer or labor organization or 
other user of its responsibilities under Federal law to provide equal 
employment opportunity or its obligations as a user under these 
guidelines.
    B. Where selection procedures are devised elsewhere. Where an 
employment agency or service is requested to administer a selection 
procedure which has been devised elsewhere and to make referrals 
pursuant to the results, the employment agency or service should 
maintain and have available evidence of the impact of the selection and 
referral procedures which it administers. If adverse impact results the 
agency or service should comply with these guidelines. If the agency or 
service seeks to comply with these guidelines by reliance upon validity 
studies or other data in the possession of the employer, it should 
obtain and have available such information.



Sec. 60-3.11  Disparate treatment.

    The principles of disparate or unequal treatment must be 
distinguished from the concepts of validation. A selection procedure--
even though validated against job performance in accordance with these 
guidelines--cannot be imposed upon members of a race, sex, or ethnic 
group where other employees, applicants, or members have not been 
subjected to that standard. Disparate treatment occurs where members of 
a race, sex, or ethnic group have been denied the same employment, 
promotion, membership, or other employment opportunities as have been 
available to other employees or applicants. Those employees or 
applicants who have been denied equal treatment, because of prior 
discriminatory practices or policies, must at least be afforded the same 
opportunities as had existed for other employees or applicants during 
the period of discrimination. Thus, the persons who were in the class of 
persons discriminated against during the period the user followed the 
discriminatory practices should be allowed the opportunity to qualify 
under less stringent selection procedures previously followed, unless 
the user demonstrates that the increased standards are required by 
business necessity. This section does not prohibit a user who has not 
previously followed merit standards from adopting merit standards which 
are in compliance with these guidelines; nor does it preclude a user who 
has previously used invalid or unvalidated selection

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procedures from developing and using procedures which are in accord with 
these guidelines.



Sec. 60-3.12  Retesting of applicants.

    Users should provide a reasonable opportunity for retesting and 
reconsideration. Where examinations are administered periodically with 
public notice, such reasonable opportunity exists, unless persons who 
have previously been tested are precluded from retesting. The user may 
however take reasonable steps to preserve the security of its 
procedures.



Sec. 60-3.13  Affirmative action.

    A. Affirmative action obligations. The use of selection procedures 
which have been validated pursuant to these guidelines does not relieve 
users of any obligations they may have to undertake affirmative action 
to assure equal employment opportunity. Nothing in these guidelines is 
intended to preclude the use of lawful selection procedures which assist 
in remedying the effects of prior discriminatory practices, or the 
achievement of affirmative action objectives.
    B. Encouragement of voluntary affirmative action programs. These 
guidelines are also intended to encourage the adoption and 
implementation of voluntary affirmative action programs by users who 
have no obligation under Federal law to adopt them; but are not intended 
to impose any new obligations in that regard. The agencies issuing and 
endorsing these guidelines endorse for all private employers and 
reaffirm for all governmental employers the Equal Employment Opportunity 
Coordinating Council's ``Policy Statement on Affirmative Action Programs 
for State and Local Government Agencies'' (41 FR 38814, September 13, 
1976). That policy statement is attached hereto as appendix, section 17.

                           Technical Standards



Sec. 60-3.14  Technical standards for validity studies.

    The following minimum standards, as applicable, should be met in 
conducting a validity study. Nothing in these guidelines is intended to 
preclude the development and use of other professionally acceptable 
techniques with respect to validation of selection procedures. Where it 
is not technically feasible for a user to conduct a validity study, the 
user has the obligation otherwise to comply with these guidelines. See 
sections 6 and 7 of this part.
    A. Validity studies should be based on review of information about 
the job. Any validity study should be based upon a review of information 
about the job for which the selection procedure is to be used. The 
review should include a job analysis except as provided in section 
14B(3) of this section with respect to criterion-related validity. Any 
method of job analysis may be used if it provides the information 
required for the specific validation strategy used.
    B. Technical standards for criterion-related validity studies--(1) 
Technical feasibility. Users choosing to validate a selection procedure 
by a criterion-related validity strategy should determine whether it is 
technically feasible (as defined in section 16) to conduct such a study 
in the particular employment context. The determination of the number of 
persons necessary to permit the conduct of a meaningful criterion-
related study should be made by the user on the basis of all relevant 
information concerning the selection procedure, the potential sample and 
the employment situation. Where appropriate, jobs with substantially the 
same major work behaviors may be grouped together for validity studies, 
in order to obtain an adequate sample. These guidelines do not require a 
user to hire or promote persons for the purpose of making it possible to 
conduct a criterion-related study.
    (2) Analysis of the job. There should be a review of job information 
to determine measures of work behavior(s) or performance that are 
relevant to the job or group of jobs in question. These measures or 
criteria are relevant to the extent that they represent critical or 
important job duties, work behaviors or work outcomes as developed from 
the review of job information. The possibility of bias should be 
considered both in selection of the criterion measures and their 
application. In view of the possibility of bias in subjective 
evaluations, supervisory rating techniques and instructions to raters

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should be carefully developed. All criterion measures and the methods 
for gathering data need to be examined for freedom from factors which 
would unfairly alter scores of members of any group. The relevance of 
criteria and their freedom from bias are of particular concern when 
there are significant differences in measures of job performance for 
different groups.
    (3) Criterion measures. Proper safeguards should be taken to insure 
that scores on selection procedures do not enter into any judgments of 
employee adequacy that are to be used as criterion measures. Whatever 
criteria are used should represent important or critical work 
behavior(s) or work outcomes. Certain criteria may be used without a 
full job analysis if the user can show the importance of the criteria to 
the particular employment context. These criteria include but are not 
limited to production rate, error rate, tardiness, absenteeism, and 
length of service. A standardized rating of overall work performance may 
be used where a study of the job shows that it is an appropriate 
criterion. Where performance in training is used as a criterion, success 
in training should be properly measured and the relevance of the 
training should be shown either through a comparsion of the content of 
the training program with the critical or important work behavior(s) of 
the job(s), or through a demonstration of the relationship between 
measures of performance in training and measures of job performance. 
Measures of relative success in training include but are not limited to 
instructor evaluations, performance samples, or tests. Criterion 
measures consisting of paper and pencil tests will be closely reviewed 
for job relevance.
    (4) Representativeness of the sample. Whether the study is 
predictive or concurrent, the sample subjects should insofar as feasible 
be representative of the candidates normally available in the relevant 
labor market for the job or group of jobs in question, and should 
insofar as feasible include the races, sexes, and ethnic groups normally 
available in the relevant job market. In determining the 
representativeness of the sample in a concurrent validity study, the 
user should take into account the extent to which the specific 
knowledges or skills which are the primary focus of the test are those 
which employees learn on the job.

Where samples are combined or compared, attention should be given to see 
that such samples are comparable in terms of the actual job they 
perform, the length of time on the job where time on the job is likely 
to affect performance, and other relevant factors likely to affect 
validity differences; or that these factors are included in the design 
of the study and their effects identified.
    (5) Statistical relationships. The degree of relationship between 
selection procedure scores and criterion measures should be examined and 
computed, using professionally acceptable statistical procedures. 
Generally, a selection procedure is considered related to the criterion, 
for the purposes of these guidelines, when the relationship between 
performance on the procedure and performance on the criterion measure is 
statistically significant at the 0.05 level of significance, which means 
that it is sufficiently high as to have a probability of no more than 
one (1) in twenty (20) to have occurred by chance. Absence of a 
statistically significant relationship between a selection procedure and 
job performance should not necessarily discourage other investigations 
of the validity of that selection procedure.
    (6) Operational use of selection procedures. Users should evaluate 
each selection procedure to assure that it is appropriate for 
operational use, including establishment of cutoff scores or rank 
ordering. Generally, if other factors reman the same, the greater the 
magnitude of the relationship (e.g., correlation coefficent) between 
performance on a selection procedure and one or more criteria of 
performance on the job, and the greater the importance and number of 
aspects of job performance covered by the criteria, the more likely it 
is that the procedure will be appropriate for use. Reliance upon a 
selection procedure which is significantly related to a criterion 
measure, but which is based upon a study involving a large number of 
subjects and has a low correlation coefficient will be subject to close 
review if it has a large

[[Page 129]]

adverse impact. Sole reliance upon a single selection instrument which 
is related to only one of many job duties or aspects of job performance 
will also be subject to close review. The appropriateness of a selection 
procedure is best evaluated in each particular situation and there are 
no minimum correlation coefficients applicable to all employment 
situations. In determining whether a selection procedure is appropriate 
for operational use the following considerations should also be taken 
into account: The degree of adverse impact of the procedure, the 
availability of other selection procedures of greater or substantially 
equal validity.
    (7) Overstatement of validity findings. Users should avoid reliance 
upon techniques which tend to overestimate validity findings as a result 
of capitalization on chance unless an appropriate safeguard is taken. 
Reliance upon a few selection procedures or criteria of successful job 
performance when many selection procedures or criteria of performance 
have been studied, or the use of optimal statistical weights for 
selection procedures computed in one sample, are techniques which tend 
to inflate validity estimates as a result of chance. Use of a large 
sample is one safeguard: cross-validation is another.
    (8) Fairness. This section generally calls for studies of unfairness 
where technically feasible. The concept of fairness or unfairness of 
selection procedures is a developing concept. In addition, fairness 
studies generally require substantial numbers of employees in the job or 
group of jobs being studied. For these reasons, the Federal enforcement 
agencies recognize that the obligation to conduct studies of fairness 
imposed by the guidelines generally will be upon users or groups of 
users with a large number of persons in a job class, or test developers; 
and that small users utilizing their own selection procedures will 
generally not be obligated to conduct such studies because it will be 
technically infeasible for them to do so.
    (a) Unfairness defined. When members of one race, sex, or ethnic 
group characteristically obtain lower scores on a selection procedure 
than members of another group, and the differences in scores are not 
reflected in differences in a measure of job performance, use of the 
selection procedure may unfairly deny opportunities to members of the 
group that obtains the lower scores.
    (b) Investigation of fairness. Where a selection procedure results 
in an adverse impact on a race, sex, or ethnic group identified in 
accordance with the classifications set forth in section 4 of this part 
and that group is a significant factor in the relevant labor market, the 
user generally should investigate the possible existence of unfairness 
for that group if it is technically feasible to do so. The greater the 
severity of the adverse impact on a group, the greater the need to 
investigate the possible existence of unfairness. Where the weight of 
evidence from other studies shows that the selection procedure predicts 
fairly for the group in question and for the same or similar jobs, such 
evidence may be relied on in connection with the selection procedure at 
issue.
    (c) General considerations in fairness investigations. Users 
conducting a study of fairness should review the A.P.A. Standards 
regarding investigation of possible bias in testing. An investigation of 
fairness of a selection procedure depends on both evidence of validity 
and the manner in which the selection procedure is to be used in a 
particular employment context. Fairness of a selection procedure cannot 
necessarily be specified in advance without investigating these factors. 
Investigation of fairness of a selection procedure in samples where the 
range of scores on selection procedures or criterion measures is 
severely restricted for any subgroup sample (as compared to other 
subgroup samples) may produce misleading evidence of unfairness. That 
factor should accordingly be taken into account in conducting such 
studies and before reliance is placed on the results.
    (d) When unfairness is shown. If unfairness is demonstrated through 
a showing that members of a particular group perform better or poorer on 
the job than their scores on the selection procedure would indicate 
through comparison with how members of other

[[Page 130]]

groups perform, the user may either revise or replace the selection 
instrument in accordance with these guidelines, or may continue to use 
the selection instrument operationally with appropriate revisions in its 
use to assure compatibility between the probability of successful job 
performance and the probability of being selected.
    (e) Technical feasibility of fairness studies. In addition to the 
general conditions needed for technical feasibility for the conduct of a 
criterion-related study (see section 16, below) an investigation of 
fairness requires the following:
    (1) An adequate sample of persons in each group available for the 
study to achieve findings of statistical significance. Guidelines do not 
require a user to hire or promote persons on the basis of group 
classifications for the purpose of making it possible to conduct a study 
of fairness; but the user has the obligation otherwise to comply with 
these guidelines.
    (2) The samples for each group should be comparable in terms of the 
actual job they perform, length of time on the job where time on the job 
is likely to affect performance, and other relevant factors likely to 
affect validity differences; or such factors should be included in the 
design of the study and their effects identified.
    (f) Continued use of selection procedures when fairness studies not 
feasible. If a study of fairness should otherwise be performed, but is 
not technically feasible, a selection procedure may be used which has 
otherwise met the validity standards of these guidelines, unless the 
technical infeasibility resulted from discriminatory employment 
practices which are demonstrated by facts other than past failure to 
conform with requirements for validation of selection procedures. 
However, when it becomes technically feasible for the user to perform a 
study of fairness and such a study is otherwise called for, the user 
should conduct the study of fairness.
    C. Technical standards for content validity studies--(1) 
Appropriateness of content validity studies. Users choosing to validate 
a selection procedure by a content validity strategy should determine 
whether it is appropriate to conduct such a study in the particular 
employment context. A selection procedure can be supported by a content 
validity strategy to the extent that it is a representative sample of 
the content of the job. Selection procedures which purport to measure 
knowledges, skills, or abilities may in certain circumstances be 
justified by content validity, although they may not be representative 
samples, if the knowledge, skill, or ability measured by the selection 
procedure can be operationally defined as provided in paragraph 14C(4) 
of this section, and if that knowledge, skill, or ability is a necessary 
prerequisite to successful job performance.

A selection procedure based upon inferences about mental processes 
cannot be supported solely or primarily on the basis of content 
validity. Thus, a content strategy is not appropriate for demonstrating 
the validity of selection procedures which purport to measure traits or 
constructs, such as intelligence, aptitude, personality, commonsense, 
judgment, leadership, and spatial ability. Content validity is also not 
an appropriate strategy when the selection procedure involves 
knowledges, skills, or abilities which an employee will be expected to 
learn on the job.
    (2) Job analysis for content validity. There should be a job 
analysis which includes an analysis of the important work behavior(s) 
required for successful performance and their relative importance and, 
if the behavior results in work product(s), an analysis of the work 
product(s). Any job analysis should focus on the work behavior(s) and 
the tasks associated with them. If work behavior(s) are not observable, 
the job analysis should identify and analyze those aspects of the 
behavior(s) that can be observed and the observed work products. The 
work behavior(s) selected for measurement should be critical work 
behavior(s) and/or important work behavior(s) constituting most of the 
job.
    (3) Development of selection procedures. A selection procedure 
designed to measure the work behavior may be developed specifically from 
the job and job analysis in question, or may have been previously 
developed by the user, or by other users or by a test publisher.

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    (4) Standards for demonstrating content validity. To demonstrate the 
content validity of a selection procedure, a user should show that the 
behavior(s) demonstrated in the selection procedure are a representative 
sample of the behavior(s) of the job in question or that the selection 
procedure provides a representative sample of the work product of the 
job. In the case of a selection procedure measuring a knowledge, skill, 
or ability, the knowledge, skill, or ability being measured should be 
operationally defined. In the case of a selection procedure measuring a 
knowledge, the knowledge being measured should be operationally defined 
as that body of learned information which is used in and is a necessary 
prerequisite for observable aspects of work behavior of the job. In the 
case of skills or abilities, the skill or ability being measured should 
be operationally defined in terms of observable aspects of work behavior 
of the job. For any selection procedure measuring a knowledge, skill, or 
ability the user should show that (a) the selection procedure measures 
and is a representative sample of that knowledge, skill, or ability; and 
(b) that knowledge, skill, or ability is used in and is a necessary 
prerequisite to performance of critical or important work behavior(s). 
In addition, to be content valid, a selection procedure measuring a 
skill or ability should either closely approximate an observable work 
behavior, or its product should closely approximate an observable work 
product. If a test purports to sample a work behavior or to provide a 
sample of a work product, the manner and setting of the selection 
procedure and its level and complexity should closely approximate the 
work situation. The closer the content and the context of the selection 
procedure are to work samples or work behaviors, the stronger is the 
basis for showing content validity. As the content of the selection 
procedure less resembles a work behavior, or the setting and manner of 
the administration of the selection procedure less resemble the work 
situation, or the result less resembles a work product, the less likely 
the selection procedure is to be content valid, and the greater the need 
for other evidence of validity.
    (5) Reliability. The reliability of selection procedures justified 
on the basis of content validity should be a matter of concern to the 
user. Whenever it is feasible, appropriate statistical estimates should 
be made of the reliability of the selection procedure.
    (6) Prior training or experience. A requirement for or evaluation of 
specific prior training or experience based on content validity, 
including a specification of level or amount of training or experience, 
should be justified on the basis of the relationship between the content 
of the training or experience and the content of the job for which the 
training or experience is to be required or evaluated. The critical 
consideration is the resemblance between the specific behaviors, 
products, knowledges, skills, or abilities in the experience or training 
and the specific behaviors, products, knowledges, skills, or abilities 
required on the job, whether or not there is close resemblance between 
the experience or training as a whole and the job as a whole.
    (7) Content validity of training success. Where a measure of success 
in a training program is used as a selection procedure and the content 
of a training program is justified on the basis of content validity, the 
use should be justified on the relationship between the content of the 
training program and the content of the job.
    (8) Operational use. A selection procedure which is supported on the 
basis of content validity may be used for a job if it represents a 
critical work behavior (i.e., a behavior which is necessary for 
performance of the job) or work behaviors which constitute most of the 
important parts of the job.
    (9) Ranking based on content validity studies. If a user can show, 
by a job analysis or otherwise, that a higher score on a content valid 
selection procedure is likely to result in better job performance, the 
results may be used to rank persons who score above minimum levels. 
Where a selection procedure supported solely or primarily by content 
validity is used to rank job candidates, the selection procedure should 
measure those aspects of performance which differentiate among levels of 
job performance.

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    D. Technical standards for construct validity studies--(1) 
Appropriateness of construct validity studies. Construct validity is a 
more complex strategy than either criterion-related or content validity. 
Construct validation is a relatively new and developing procedure in the 
employment field, and there is at present a lack of substantial 
literature extending the concept to employment practices. The user 
should be aware that the effort to obtain sufficient empirical support 
for construct validity is both an extensive and arduous effort involving 
a series of research studies, which include criterion related validity 
studies and which may include content validity studies. Users choosing 
to justify use of a selection procedure by this strategy should 
therefore take particular care to assure that the validity study meets 
the standards set forth below.
    (2) Job analysis for construct validity studies. There should be a 
job analysis. This job analysis should show the work behavior(s) 
required for successful performance of the job, or the groups of jobs 
being studied, the critical or important work behavior(s) in the job or 
group of jobs being studied, and an identification of the construct(s) 
believed to underlie successful performance of these critical or 
important work behaviors in the job or jobs in question. Each construct 
should be named and defined, so as to distinguish it from other 
constructs. If a group of jobs is being studied the jobs should have in 
common one or more critical or important work behav- iors at a 
comparable level of complexity.
    (3) Relationship to the job. A selection procedure should then be 
identified or developed which measures the construct identified in 
accord with subparagraph (2) of this section. The user should show by 
empirical evidence that the selection procedure is validly related to 
the construct and that the construct is validly related to the 
performance of critical or important work behavior(s). The relationship 
between the construct as measured by the selection procedure and the 
related work behavior(s) should be supported by empirical evidence from 
one or more criterion-related studies involving the job or jobs in 
question which satisfy the provisions of paragraph 14B of this section.
    (4) Use of construct validity study without new criterion-related 
evidence--(a) Standards for use. Until such time as professional 
literature provides more guidance on the use of construct validity in 
employment situations, the Federal agencies will accept a claim of 
construct validity without a criterion-related study which satisfies 
paragraph 14B of this section only when the selection procedure has been 
used elsewhere in a situation in which a criterion-related study has 
been conducted and the use of a criterion-related validity study in this 
context meets the standards for transportability of criterion-related 
validity studies as set forth above in section 7. However, if a study 
pertains to a number of jobs having common critical or important work 
behaviors at a comparable level of complexity, and the evidence 
satisfies subparagraphs 14B (2) and (3) of this section for those jobs 
with criterion-related validity evidence for those jobs, the selection 
procedure may be used for all the jobs to which the study pertains. If 
construct validity is to be generalized to other jobs or groups of jobs 
not in the group studied, the Federal enforcement agencies will expect 
at a minimum additional empirical research evidence meeting the 
standards of subparagraphs section 14B (2) and (3) of this section for 
the additional jobs or groups of jobs.
    (b) Determination of common work behaviors. In determining whether 
two or more jobs have one or more work behavior(s) in common, the user 
should compare the observed work behavior(s) in each of the jobs and 
should compare the observed work product(s) in each of the jobs. If 
neither the observed work behavior(s) in each of the jobs nor the 
observed work product(s) in each of the jobs are the same, the Federal 
enforcement agencies will presume that the work behavior(s) in each job 
are different. If the work behaviors are not observable, then evidence 
of similarity of work products and any other relevant research evidence 
will be considered in determining whether the work behavior(s) in the 
two jobs are the same.

[[Page 133]]

              Documentation of Impact and Validity Evidence



Sec. 60-3.15  Documentation of impact and validity evidence.

    A. Required information. Users of selection procedures other than 
those users complying with section 15A(1) of this section should 
maintain and have available for each job information on adverse impact 
of the selection process for that job and, where it is determined a 
selection process has an adverse impact, evidence of validity as set 
forth below.
    (1) Simplified recordkeeping for users with less than 100 employees. 
In order to minimize recordkeeping burdens on employers who employ one 
hundred (100) or fewer employees, and other users not required to file 
EEO-1, et seq., reports, such users may satisfy the requirements of this 
section 15 if they maintain and have available rec- ords showing, for 
each year:
    (a) The number of persons hired, promoted, and terminated for each 
job, by sex, and where appropriate by race and national origin;
    (b) The number of applicants for hire and promotion by sex and where 
appropriate by race and national origin; and
    (c) The selection procedures utilized (either standardized or not 
standardized).

These records should be maintained for each race or national origin 
group (see section 4 of this part) constituting more than two percent 
(2%) of the labor force in the relevant labor area. However, it is not 
necessary to maintain records by race and/or national origin (see 
section 4 of this part) if one race or national origin group in the 
relevant labor area constitutes more than ninety-eight percent (98%) of 
the labor force in the area. If the user has reason to believe that a 
selection procedure has an adverse impact, the user should maintain any 
available evidence of validity for that procedure (see sections 7A and 
8).
    (2) Information on impact--(a) Collection of information on impact. 
Users of selection procedures other than those complying with section 
15A(1) of this part should maintain and have available for each job 
records or other information showing whether the total selection process 
for that job has an adverse impact on any of the groups for which 
records are called for by section 4B of this part. Adverse impact 
determinations should be made at least annually for each such group 
which constitutes at least 2 percent of the labor force in the relevant 
labor area or 2 percent of the applicable workforce. Where a total 
selection process for a job has an adverse impact, the user should 
maintain and have available records or other information showing which 
components have an adverse impact. Where the total selection process for 
a job does not have an adverse impact, information need not be 
maintained for individual components except in circumstances set forth 
in subsection 15A(2)(b) of this section. If the determination of adverse 
impact is made using a procedure other than the ``four-fifths rule,'' as 
defined in the first sentence of section 4D of this part, a 
justification, consistent with section 4D of this part, for the 
procedure used to determine adverse impact should be available.
    (b) When adverse impact has been eliminated in the total selection 
process. Whenever the total selection process for a particular job has 
had an adverse impact, as defined in section 4 of this part, in any 
year, but no longer has an adverse impact, the user should maintain and 
have available the information on individual components of the selection 
process required in the preceding paragraph for the period in which 
there was adverse impact. In addition, the user should continue to 
collect such information for at least two (2) years after the adverse 
impact has been eliminated.
    (c) When data insufficient to determine impact. Where there has been 
an insufficient number of selections to determine whether there is an 
adverse impact of the total selection process for a particular job, the 
user should continue to collect, maintain and have available the 
information on individual components of the selection process required 
in paragraph 15(A)(2)(a) of this part until the information is 
sufficient to determine that the overall selection process does not have 
an adverse impact as defined in section 4 of this part,

[[Page 134]]

or until the job has changed substantially.
    (3) Documentation of validity evidence--(a) Types of evidence. Where 
a total selection process has an adverse impact (see section 4 of this 
part) the user should maintain and have available for each component of 
that process which has an adverse impact, one or more of the following 
types of documentation evidence:
    (i) Documentation evidence showing criterion-related validity of the 
selection procedure (see section 15B, of this section).
    (ii) Documentation evidence showing content validity of the 
selection procedure (see section 15C, of this section).
    (iii) Documentation evidence showing construct validity of the 
selection procedure (see section 15D, of this section).
    (iv) Documentation evidence from other studies showing validity of 
the selection procedure in the user's facility (see section 15E, of this 
section).
    (v) Documentation evidence showing why a validity study cannot or 
need not be performed and why continued use of the procedure is 
consistent with Federal law.
    (b) Form of report. This evidence should be compiled in a reasonably 
complete and organized manner to permit direct evaluation of the 
validity of the selection procedure. Previously written employer or 
consultant reports of validity, or reports describing validity studies 
completed before the issuance of these guidelines are acceptable if they 
are complete in regard to the documentation requirements contained in 
this section, or if they satisfied requirements of guidelines which were 
in effect when the validity study was completed. If they are not 
complete, the required additional documentation should be appended. If 
necessary information is not available the report of the validity study 
may still be used as documentation, but its adequacy will be evaluated 
in terms of compliance with the requirements of these guidelines.
    (c) Completeness. In the event that evidence of validity is reviewed 
by an enforcement agency, the validation reports completed after the 
effective date of these guidelines are expected to contain the 
information set forth below. Evidence denoted by use of the word 
``(Essential)'' is considered critical. If information denoted essential 
is not included, the report will be considered incomplete unless the 
user affirmatively demonstrates either its unavailability due to 
circumstances beyond the user's control or special circumstances of the 
user's study which make the information irrelevant. Evidence not so 
denoted is desirable but its absence will not be a basis for considering 
a report incomplete. The user should maintain and have available the 
information called for under the heading ``Source Data'' in sections 
15B(11) and 15D(11). While it is a necessary part of the study, it need 
not be submitted with the report. All statistical results should be 
organized and presented in tabular or graphic form to the extent 
feasible.
    B. Criterion-related validity studies. Reports of criterion-related 
validity for a selection procedure should include the following 
information:
    (1) User(s), location(s), and date(s) of study. Dates and 
location(s) of the job analysis or review of job information, the 
date(s) and location(s) of the administration of the selection 
procedures and collection of criterion data, and the time between 
collection of data on selection procedures and criterion measures should 
be provided (Essential). If the study was conducted at several 
locations, the address of each location, including city and State, 
should be shown.
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Job analysis or review of job information. A description of the 
procedure used to analyze the job or group of jobs, or to review the job 
information should be provided (Essential). Where a review of job 
information results in criteria which may be used without a full job 
analysis (see section 14B(3)), the basis for the selection of these 
criteria should be reported (Essential).

[[Page 135]]

Where a job analysis is required a complete description of the work 
behavior(s) or work outcome(s), and measures of their criticality or 
importance should be provided (Essential). The report should describe 
the basis on which the behavior(s) or outcome(s) were determined to be 
critical or important, such as the proportion of time spent on the 
respective behaviors, their level of difficulty, their frequency of 
performance, the consequences of error, or other appropriate factors 
(Essential). Where two or more jobs are grouped for a validity study, 
the information called for in this subsection should be provided for 
each of the jobs, and the justification for the grouping (see section 
14B(1)) should be provided (essential).
    (4) Job titles and codes. It is desirable to provide the user's job 
title(s) for the job(s) in question and the corresponding job title(s) 
and code(s) from U.S. Employment Service's Dictionary of Occupational 
Titles.
    (5) Criterion measures. The bases for the selection of the criterion 
measures should be provided, together with references to the evidence 
considered in making the selection of criterion measures (essential). A 
full description of all criteria on which data were collected and means 
by which they were observed, recorded, evaluated, and quantified, should 
be provided (essential). If rating techniques are used as criterion 
measures, the appraisal form(s) and instructions to the rater(s) should 
be included as part of the validation evidence, or should be explicitly 
described and available (essential). All steps taken to insure that 
criterion measures are free from factors which would unfairly alter the 
scores of members of any group should be described (essential).
    (6) Sample description. A description of how the research sample was 
identified and selected should be included (essential). The race, sex, 
and ethnic composition of the sample, including those groups set forth 
in section 4A of this part, should be described (essential). This 
description should include the size of each subgroup (essential). A 
description of how the research sample compares with the relevant labor 
market or work force, the method by which the relevant labor market or 
work force was defined, and a discussion of the likely effects on 
validity of differences between the sample and the relevant labor market 
or work force, are also desirable. Descriptions of educational levels, 
length of service, and age are also desirable.
    (7) Description of selection procedures. Any measure, combination of 
measures, or procedure studied should be completely and explicitly 
described or attached (essential). If commercially available selection 
procedures are studied, they should be described by title, form, and 
publisher (essential). Reports of reliability estimates and how they 
were established are desirable.
    (8) Techniques and results. Methods used in analyzing data should be 
described (essential). Measures of central tendency (e.g., means) and 
measures of dispersion (e.g., standard deviations and ranges) for all 
selection procedures and all criteria should be reported for each race, 
sex, and ethnic group which constitutes a significant factor in the 
relevant labor market (essential). The magnitude and direction of all 
relationships between selection procedures and criterion measures 
investigated should be reported for each relevant race, sex, and ethnic 
group and for the total group (essential). Where groups are too small to 
obtain reliable evidence of the magnitude of the relationship, need not 
be reported separately. Statements regarding the statistical 
significance of results should be made (essential). Any statistical 
adjustments, such as for less then perfect reliability or for 
restriction of score range in the selection procedure or criterion 
should be described and explained; and uncorrected correlation 
coefficients should also be shown (essential). Where the statistical 
technique categorizes continuous data, such as biserial correlation and 
the phi coefficient, the categories and the bases on which they were 
determined should be described and explained (essential). Studies of 
test fairness should be included where called for by the requirements of 
section 14B(8) (essential). These studies should include the rationale 
by which a selection procedure was determined to be fair to the

[[Page 136]]

group(s) in question. Where test fairness or unfairness has been 
demonstrated on the basis of other studies, a bibliography of the 
relevant studies should be included (essential). If the bibliography 
includes unpublished studies, copies of these studies, or adequate 
abstracts or summaries, should be attached (essential). Where revisions 
have been made in a selection procedure to assure compatability between 
successful job performance and the probability of being selected, the 
studies underlying such revisions should be included (essential). All 
statistical results should be organized and presented by relevant race, 
sex, and ethnic group (essential).
    (9) Alternative procedures investigated. The selection procedures 
investigated and available evidence of their impact should be identified 
(essential). The scope, method, and findings of the investigation, and 
the conclusions reached in light of the findings, should be fully 
described (essential).
    (10) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential). 
This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If weights are assigned to different parts of the 
selection procedure, these weights and the validity of the weighted 
composite should be reported (essential). If the selection procedure is 
used with a cutoff score, the user should describe the way in which 
normal expectations of proficiency within the work force were determined 
and the way in which the cutoff score was determined (essential).
    (11) Source data. Each user should maintain records showing all 
pertinent information about individual sample members and raters where 
they are used, in studies involving the validation of selection 
procedures. These records should be made available upon request of a 
compliance agency. In the case of individual sample members these data 
should include scores on the selection procedure(s), scores on criterion 
measures, age, sex, race, or ethnic group status, and experience on the 
specific job on which the validation study was conducted, and may also 
include such things as education, training, and prior job experience, 
but should not include names and social security numbers. Records should 
be maintained which show the ratings given to each sample member by each 
rater.
    (12) Contact person. The name, mailing address, and telephone number 
of the person who may be contacted for further information about the 
validity study should be provided (essential).
    (13) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    C. Content validity studies. Reports of content validity for a 
selection procedure should include the following information:
    (1) User(s), location(s) and date(s) of study. Dates and location(s) 
of the job analysis should be shown (essential).
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Job analysis--Content of the job. A description of the method 
used to analyze the job should be provided (essential). The work 
behavior(s), the associated tasks, and, if the behavior results in a 
work product, the work products should be completely described 
(essential). Measures of criticality and/or importance of the work 
behavior(s) and the method of determining these measures should be 
provided (essential). Where the job analysis also identified the 
knowledges, skills, and abilities used in work behavior(s), an 
operational definition for each knowledge in terms of a body of learned 
information and for each skill and ability in terms of observable 
behaviors and outcomes, and the relationship between each knowledge, 
skill, or ability and

[[Page 137]]

each work behavior, as well as the method used to determine this 
relationship, should be provided (essential). The work situation should 
be described, including the setting in which work behavior(s) are 
performed, and where appropriate, the manner in which knowledges, 
skills, or abilities are used, and the complexity and difficulty of the 
knowledge, skill, or ability as used in the work behavior(s).
    (4) Selection procedure and its content. Selection procedures, 
including those constructed by or for the user, specific training 
requirements, composites of selection procedures, and any other 
procedure supported by content validity, should be completely and 
explicitly described or attached (essential). If commercially available 
selection procedures are used, they should be described by title, form, 
and publisher (essential). The behaviors measured or sampled by the 
selection procedure should be explicitly described (essential). Where 
the selection procedure purports to measure a knowledge, skill, or 
ability, evidence that the selection procedure measures and is a 
representative sample of the knowledge, skill, or ability should be 
provided (essential).
    (5) Relationship between the selection procedure and the job. The 
evidence demonstrating that the selection procedure is a representative 
work sample, a representative sample of the work behavior(s), or a 
representative sample of a knowledge, skill, or ability as used as a 
part of a work behavior and necessary for that behavior should be 
provided (essential). The user should identify the work behavior(s) 
which each item or part of the selection procedure is intended to sample 
or measure (essential). Where the selection procedure purports to sample 
a work behavior or to provide a sample of a work product, a comparison 
should be provided of the manner, setting, and the level of complexity 
of the selection procedure with those of the work situation (essential). 
If any steps were taken to reduce adverse impact on a race, sex, or 
ethnic group in the content of the procedure or in its administration, 
these steps should be described. Establishment of time limits, if any, 
and how these limits are related to the speed with which duties must be 
performed on the job, should be explained. Measures of central tendency 
(e.g., means) and measures of dispersion (e.g., standard deviations) and 
estimates of realibility should be reported for all selection procedures 
if available. Such reports should be made for relevant race, sex, and 
ethnic subgroups, at least on a statistically reliable sample basis.
    (6) Alternative procedures investigated. The alternative selection 
procedures investigated and available evidence of their impact should be 
identified (essential). The scope, method, and findings of the 
investigation, and the conclusions reached in light of the findings, 
should be fully described (essential).
    (7) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential). 
This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If the selection procedure is used with a cutoff 
score, the user should describe the way in which normal expectations of 
proficiency within the work force were determined and the way in which 
the cutoff score was determined (essential). In addition, if the 
selection procedure is to be used for ranking, the user should specify 
the evidence showing that a higher score on the selection procedure is 
likely to result in better job performance.
    (8) Contact person. The name, mailing address, and telephone number 
of the person who may be contacted for further information about the 
validity study should be provided (essential).
    (9) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    D. Construct validity studies. Reports of construct validity for a 
selection procedure should include the following information:

[[Page 138]]

    (1) User(s), location(s), and date(s) of study. Date(s) and 
location(s) of the job analysis and the gathering of other evidence 
called for by these guidelines should be provided (essential).
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Construct definition. A clear definition of the construct(s) 
which are believed to underlie successful performance of the critical or 
important work behavior(s) should be provided (essential). This 
definition should include the levels of construct performance relevant 
to the job(s) for which the selection procedure is to be used 
(essential). There should be a summary of the position of the construct 
in the psychological literature, or in the absence of such a position, a 
description of the way in which the definition and measurement of the 
construct was developed and the psychological theory underlying it 
(essential). Any quantitative data which identify or define the job 
constructs, such as factor analyses, should be provided (essential).
    (4) Job analysis. A description of the method used to analyze the 
job should be provided (essential). A complete description of the work 
behavior(s) and, to the extent appropriate, work outcomes and measures 
of their criticality and/or importance should be provided (essential). 
The report should also describe the basis on which the behavior(s) or 
outcomes were determined to be important, such as their level of 
difficulty, their frequency of performance, the consequences of error or 
other appropriate factors (essential). Where jobs are grouped or 
compared for the purposes of generalizing validity evidence, the work 
behavior(s) and work product(s) for each of the jobs should be 
described, and conclusions concerning the similarity of the jobs in 
terms of observable work behaviors or work products should be made 
(essential).
    (5) Job titles and codes. It is desirable to provide the selection 
procedure user's job title(s) for the job(s) in question and the 
corresponding job title(s) and code(s) from the United States Employment 
Service's dictionary of occupational titles.
    (6) Selection procedure. The selection procedure used as a measure 
of the construct should be completely and explicitly described or 
attached (essential). If commercially available selection procedures are 
used, they should be identified by title, form and publisher 
(essential). The research evidence of the relationship between the 
selection procedure and the construct, such as factor structure, should 
be included (essential). Measures of central tendency, variability and 
reliability of the selection procedure should be provided (essential). 
Whenever feasible, these measures should be provided separately for each 
relevant race, sex and ethnic group.
    (7) Relationship to job performance. The criterion-related 
study(ies) and other empirical evidence of the relationship between the 
construct measured by the selection procedure and the related work 
behavior(s) for the job or jobs in question should be provided 
(essential). Documentation of the criterion-related study(ies) should 
satisfy the provisions of paragraph 15B of this section or paragraph 
15E(1) of this section, except for studies conducted prior to the 
effective date of these guidelines (essential). Where a study pertains 
to a group of jobs, and, on the basis of the study, validity is asserted 
for a job in the group, the observed work behaviors and the observed 
work products for each of the jobs should be described (essential). Any 
other evidence used in determining whether the work behavior(s) in each 
of the jobs is the same should be fully described (essential).
    (8) Alternative procedures investigated. The alternative selection 
procedures investigated and available evidence of their impact should be 
identified (essential). The scope, method, and findings of the 
investigation, and the conclusions reached in light of the findings 
should be fully described (essential).
    (9) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential).

[[Page 139]]

This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If weights are assigned to different parts of the 
selection procedure, these weights and the validity of the weighted 
composite should be reported (essential). If the selection procedure is 
used with a cutoff score, the user should describe the way in which 
normal expectations of proficiency within the work force were determined 
and the way in which the cutoff score was determined (essential).
    (10) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    (11) Source data. Each user should maintain records showing all 
pertinent information relating to its study of construct validity.
    (12) Contact person. The name, mailing address, and telephone number 
of the individual who may be contacted for further information about the 
validity study should be provided (essential).
    E. Evidence of validity from other studies. When validity of a 
selection procedure is supported by studies not done by the user, the 
evidence from the original study or studies should be compiled in a 
manner similar to that required in the appropriate paragraph of this 
section 15 above. In addition, the following evidence should be 
supplied:
    (1) Evidence from criterion-related validity studies--a. Job 
information. A description of the important job behavior(s) of the 
user's job and the basis on which the behaviors were determined to be 
important should be provided (essential). A full description of the 
basis for determining that these important work behaviors are the same 
as those of the job in the original study (or studies) should be 
provided (essential).
    b. Relevance of criteria. A full description of the basis on which 
the criteria used in the original studies are determined to be relevant 
for the user should be provided (essential).
    c. Other variables. The similarity of important applicant pool or 
sample characteristics reported in the original studies to those of the 
user should be described (essential). A description of the comparison 
between the race, sex and ethnic composition of the user's relevant 
labor market and the sample in the original validity studies should be 
provided (essential).
    d. Use of the selection procedure. A full description should be 
provided showing that the use to be made of the selection procedure is 
consistent with the findings of the original validity studies 
(essential).
    e. Bibliography. A bibliography of reports of validity of the 
selection procedure for the job or jobs in question should be provided 
(essential). Where any of the studies included an investigation of test 
fairness, the results of this investigation should be provided 
(essential). Copies of reports published in journals that are not 
commonly available should be described in detail or attached 
(essential). Where a user is relying upon unpublished studies, a 
reasonable effort should be made to obtain these studies. If these 
unpublished studies are the sole source of validity evidence they should 
be described in detail or attached (essential). If these studies are not 
available, the name and address of the source, an adequate abstract or 
summary of the validity study and data, and a contact person in the 
source organization should be provided (essential).
    (2) Evidence from content validity studies. See sections 14C(3) and 
section 15C of this section.
    (3) Evidence from construct validity studies. See sections 14D(2) 
and 15D of this section.
    F. Evidence of validity from cooperative studies. Where a selection 
procedure has been validated through a cooperative study, evidence that 
the study satisfies the requirements of sections 7, 8 and 15E should be 
provided (essential).
    G. Selection for higher level job. If a selection procedure is used 
to evaluate candidates for jobs at a higher level than those for which 
they will initially be employed, the validity evidence

[[Page 140]]

should satisfy the documentation provisions of this section 15 for the 
higher level job or jobs, and in addition, the user should provide: (1) 
a description of the job progression structure, formal or informal; (2) 
the data showing how many employees progress to the higher level job and 
the length of time needed to make this progression; and (3) an 
identification of any anticipated changes in the higher level job. In 
addition, if the test measures a knowledge, skill or ability, the user 
should provide evidence that the knowledge, skill or ability is required 
for the higher level job and the basis for the conclusion that the 
knowledge, skill or ability is not expected to develop from the training 
or experience on the job.
    H. Interim use of selection procedures. If a selection procedure is 
being used on an interim basis because the procedure is not fully 
supported by the required evidence of validity, the user should maintain 
and have available (1) substantial evidence of validity for the 
procedure, and (2) a report showing the date on which the study to 
gather the additional evidence commenced, the estimated completion date 
of the study, and a description of the data to be collected (essential).

                               Definitions



Sec. 60-3.16  Definitions.

    The following definitions shall apply throughout these guidelines:
    A. Ability. A present competence to perform an observable behavior 
or a behavior which results in an observable product.
    B. Adverse impact. A substantially different rate of selection in 
hiring, promotion, or other employment decision which works to the 
disadvantage of members of a race, sex, or ethnic group. See section 4 
of these guidelines.
    C. Compliance with these guidelines. Use of a selection procedure is 
in compliance with these guidelines if such use has been validated in 
accord with these guidelines (as defined below), or if such use does not 
result in adverse impact on any race, sex, or ethnic group (see section 
4, of this part), or, in unusual circumstances, if use of the procedure 
is otherwise justified in accord with Federal law. See section 6B, of 
this part.
    D. Content validity. Demonstrated by data showing that the content 
of a selection procedure is representative of important aspects of 
performance on the job. See section 5B and section 14C.
    E. Construct validity. Demonstrated by data showing that the 
selection procedure measures the degree to which candidates have 
identifiable characteristics which have been determined to be important 
for successful job performance. See section 5B and section 14D.
    F. Criterion-related validity. Demonstrated by empirical data 
showing that the selection procedure is predictive of or significantly 
correlated with important elements of work behavior. See sections 5B and 
14B.
    G. Employer. Any employer subject to the provisions of the Civil 
Rights Act of 1964, as amended, including State or local governments and 
any Federal agency subject to the provisions of section 717 of the Civil 
Rights Act of 1964, as amended, and any Federal contractor or 
subcontractor or federally assisted construction contractor or 
subcontactor covered by Executive Order 11246, as amended.
    H. Employment agency. Any employment agency subject to the 
provisions of the Civil Rights Act of 1964, as amended.
    I. Enforcement action. For the purposes of section 4 a proceeding by 
a Federal enforcement agency such as a lawsuit or an administrative 
proceeding leading to debarment from or withholding, suspension, or 
termination of Federal Government contracts or the suspension or 
withholding of Federal Government funds; but not a finding of reasonable 
cause or a concil- ation process or the issuance of right to sue letters 
under title VII or under Executive Order 11246 where such finding, 
conciliation, or issuance of notice of right to sue is based upon an 
individual complaint.
    J. Enforcement agency. Any agency of the executive branch of the 
Federal Government which adopts these guidelines for purposes of the 
enforcement of the equal employment opportunity laws or which has 
responsibility for securing compliance with them.

[[Page 141]]

    K. Job analysis. A detailed statement of work behaviors and other 
information relevant to the job.
    L. Job description. A general statement of job duties and 
responsibilities.
    M. Knowledge. A body of information applied directly to the 
performance of a function.
    N. Labor organization. Any labor organization subject to the 
provisions of the Civil Rights Act of 1964, as amended, and any 
committee subject thereto controlling apprenticeship or other training.
    O. Observable. Able to be seen, heard, or otherwise perceived by a 
person other than the person performing the action.
    P. Race, sex, or ethnic group. Any group of persons identifiable on 
the grounds of race, color, religion, sex, or national origin.
    Q. Selection procedure. Any measure, combination of measures, or 
procedure used as a basis for any employment decision. Selection 
procedures include the full range of assessment techniques from 
traditional paper and pencil tests, performance tests, training 
programs, or probationary periods and physical, educational, and work 
experience requirements through informal or casual interviews and 
unscored application forms.
    R. Selection rate. The proportion of applicants or candidates who 
are hired, promoted, or otherwise selected.
    S. Should. The term ``should'' as used in these guidelines is 
intended to connote action which is necessary to achieve compliance with 
the guidelines, while recognizing that there are circumstances where 
alternative courses of action are open to users.
    T. Skill. A present, observable competence to perform a learned 
psychomoter act.
    U. Technical feasibility. The exist- ence of conditions permitting 
the conduct of meaningful criterion-related validity studies. These 
conditions include: (1) An adequate sample of persons available for the 
study to achieve findings of statistical significance; (2) having or 
being able to obtain a sufficient range of scores on the selection 
procedure and job performance measures to produce validity results which 
can be expected to be representative of the results if the ranges 
normally expected were utilized; and (3) having or being able to devise 
unbiased, reliable and relevant measures of job performance or other 
criteria of employee adequacy. See section 14B(2). With respect to 
investigation of possible unfairness, the same considerations are 
applicable to each group for which the study is made. See section 
14B(8).
    V. Unfairness of selection procedure. A condition in which members 
of one race, sex, or ethnic group characteristically obtain lower scores 
on a selection procedure than members of another group, and the 
differences are not reflected in differences in measures of job 
performance. See section 14B(7).
    W. User. Any employer, labor organization, employment agency, or 
licensing or certification board, to the extent it may be covered by 
Federal equal employment opportunity law, which uses a selection 
procedure as a basis for any employment decision. Whenever an employer, 
labor organization, or employment agency is required by law to restrict 
recruitment for any occupation to those applicants who have met 
licensing or certification requirements, the licensing or certifying 
authority to the extent it may be covered by Federal equal employment 
opportunity law will be considered the user with respect to those 
licensing or certification requirements. Whenever a State employment 
agency or service does no more than administer or monitor a procedure as 
permitted by Department of Labor regulations, and does so without making 
referrals or taking any other action on the basis of the results, the 
State employment agency will not be deemed to be a user.
    X. Validated in accord with these guidelines or properly validated. 
A demonstration that one or more validity study or studies meeting the 
standards of these guidelines has been conducted, including 
investigation and, where appropriate, use of suitable alternative 
selection procedures as contemplated by section 3B, and has produced 
evidence of validity sufficient to warrant use of the procedure for the 
intended purpose under the standards of these guidelines.
    Y. Work behavior. An activity performed to achieve the objectives of 
the

[[Page 142]]

job. Work behaviors involve observable (physical) components and 
unobservable (mental) components. A work behavior consists of the 
performance of one or more tasks. Knowledges, skills, and abilities are 
not behaviors, although they may be applied in work behaviors.

                          Appendix to Part 60-3



Sec. 60-3.17  Policy statement on affirmative action (see section 13B).

    The Equal Employment Opportunity Coordinating Council was 
established by act of Congress in 1972, and charged with responsibility 
for developing and implementing agreements and policies designed, among 
other things, to eliminate conflict and inconsistency among the agencies 
of the Federal Government responsible for administering Federal law 
prohibiting discrimination on grounds of race, color, sex, religion, and 
national origin. This statement is issued as an initial response to the 
requests of a number of State and local officials for clarification of 
the Government's policies concerning the role of affirmative action in 
the overall equal employment opportunity program. While the Coordinating 
Council's adoption of this statement expresses only the views of the 
signatory agencies concerning this important subject, the principles set 
forth below should serve as policy guidance for other Federal agencies 
as well.
    (1) Equal employment opportunity is the law of the land. In the 
public sector of our society this means that all persons, regardless of 
race, color, religion, sex, or national origin shall have equal access 
to positions in the public service limited only by their ability to do 
the job. There is ample evidence in all sectors of our society that such 
equal access frequently has been denied to members of certain groups 
because of their sex, racial, or ethnic characteristics. The remedy for 
such past and present discrimination is twofold.
    On the one hand, vigorous enforcement of the laws against 
discrimination is essential. But equally, and perhaps even more 
important are affirmative, voluntary efforts on the part of public 
employers to assure that positions in the public service are genuinely 
and equally accessible to qualified persons, without regard to their 
sex, racial, or ethnic characteristics. Without such efforts equal 
employment opportunity is no more than a wish. The importance of 
voluntary affirmative action on the part of employers is underscored by 
title VII of the Civil Rights Act of 1964, Executive Order 11246, and 
related laws and regulations--all of which emphasize voluntary action to 
achieve equal employment opportunity.
    As with most management objectives, a systematic plan based on sound 
organizational analysis and problem identification is crucial to the 
accomplishment of affirmative action objectives. For this reason, the 
Council urges all State and local governments to develop and implement 
results oriented affirmative action plans which deal with the problems 
so identified.
    The following paragraphs are intended to assist State and local 
governments by illustrating the kinds of analyses and activities which 
may be appropriate for a public employer's voluntary affirmative action 
plan. This statement does not address remedies imposed after a finding 
of unlawful discrimination.
    (2) Voluntary affirmative action to assure equal employment 
opportunity is construction of any affirmative action plan should be an 
analysis of the employer's work force to determine whether precentages 
of sex, race, or ethnic groups in individual job classifications are 
substantially similar to the precentages of those groups available in 
the relevant job market who possess the basic job-related 
qualifications.
    When substantial disparities are found through such analyses, each 
element of the overall selection process should be examined to determine 
which elements operate to exclude persons on the basis of sex, race, or 
ethnic group. Such elements include, but are not limited to, 
recruitment, testing, ranking certification, interview, recommendations 
for selection, hiring, promotion, etc. The examination of each element 
of the selection process should at a minimum include a determination of 
its validity in predicting job performance.

[[Page 143]]

    (3) When an employer has reason to believe that its selection 
procedures have the exclusionary effect described in paragraph 2 of this 
section, it should initiate affirmative steps to remedy the situation. 
Such steps, which in design and execution may be race, color, sex, or 
ethnic ``conscious,'' include, but are not limited to, the following:
    (a) The establishment of a long-term goal, and short-range, interim 
goals and timetables for the specific job classifications, all of which 
should take into account the availability of basically qualified persons 
in the relevant job market;
    (b) A recruitment program designed to attract qualified members of 
the group in question;
    (c) A systematic effort to organize work and redesign jobs in ways 
that provide opportunities for persons lacking ``journeyman'' level 
knowledge or skills to enter and, with appropriate training, to progress 
in a career field;
    (d) Revamping selection instruments or procedures which have not yet 
been validated in order to reduce or eliminate exclusionary effects on 
particular groups in particular job classifications;
    (e) The initiation of measures designed to assure that members of 
the affected group who are qualified to perform the job are included 
within the pool of persons from which the selecting official makes the 
selection;
    (f) A systematic effort to provide career advancement training, both 
classroom and on-the-job, to employees locked into dead end jobs; and
    (g) The establishment of a system for regularly monitoring the 
effectiveness of the particular affirmative action program, and 
procedures for making timely adjustments in this program where 
effectiveness is not demonstrated.
    (4) The goal of any affirmative action plan should be achievement of 
genuine equal employment opportunity for all qualified persons. 
Selection under such plans should be based upon the ability of the 
applicant(s) to do the work. Such plans should not require the selection 
of the unqualified, or the unneeded, nor should they require the 
selection of persons on the basis of race, color, sex, religion, or 
national origin. Moreover, while the Council believes that this 
statement should serve to assist State and local employers, as well as 
Federal agencies, it recognizes that affirmative action cannot be viewed 
as a standardized program which must be accomplished in the same way at 
all times in all places.
    Accordingly, the Council has not attempted to set forth here either 
the minimum or maximum voluntary steps that employers may take to deal 
with their respective situations. Rather, the Council recognizes that 
under applicable authorities, State and local employers have flexibility 
to formulate affirmative action plans that are best suited to their 
particular situations. In this manner, the Council believes that 
affirmative action programs will best serve the goal of equal employment 
opportunity.
    Respectfully submitted,

                                                   Harold R. Tyler, Jr.,
Deputy Attorney General and Chairman of the Equal Employment 
Coordinating Council.
                                                      Michael H. Moskow,
Under Secretary of Labor.
                                                       Ethel Bent Walsh,
Acting Chairman, Equal Employment Opportunity Commission.
                                                      Robert E. Hampton,
Chairman, Civil Service Commission.
                                                     Arthur E. Flemming,
Chairman, Commission on Civil Rights.

    Because of its equal employment opportunity responsibilities under 
the State and Local Government Fiscal Assistance Act of 1972 (the 
revenue sharing act), the Department of Treasury was invited to 
participate in the formulation of this policy statement; and it concurs 
and joins in the adoption of this policy statement.

Done this 26th day of August 1976.

                                                   Richard Albrecht,    
                                                      General Counsel,  
                                             Department of the Treasury.



Sec. 60-3.18  Citations.

    The official title of these guidelines is ``Uniform Guidelines on 
Employee Selection Procedures (1978)''. The Uniform Guidelines on 
Employee Selection Procedures (1978) are intended to establish a uniform 
Federal position in the area of prohibiting discrimination in employment 
practices on grounds of race, color, religion, sex, or national origin. 
These guidelines have been

[[Page 144]]

adopted by the Equal Employment Opportunity Commission, the Department 
of Labor, the Department of Justice, and the Civil Service Commission.
    The official citation is:
    ``Section 60-3, Uniform Guidelines on Employee Selection Procedure 
(1978); 43 FR 38295 (August 25, 1978).''
    The short form citation is:
    ``Section 60-3, U.G.E.S.P. (1978); 43 FR 38295 (August 25, 1978).''
    When the guidelines are cited in connection with the activities of 
one of the issuing agencies, a specific citation to the regulations of 
that agency can be added at the end of the above citation. The specific 
additional citations are as follows:

Equal Employment Opportunity Commission
    29 CFR Part 1607
Department of Labor
Office of Federal Contract Compliance Programs
    41 CFR Part 60-3
Department of Justice
    28 CFR 50.14
Civil Service Commission
    5 CFR 300.103(c)

    Normally when citing these guidelines, the section number 
immediately preceding the title of the guidelines will be from these 
guidelines series 1-18. If a section number from the codification for an 
individual agency is needed it can also be added at the end of the 
agency citation. For example, section 6A of these guidelines could be 
cited for EEOC as follows: ``Section 6A, Uniform Guidelines on Employee 
Selection Procedures (1978); 43 FR 38295, (August 25, 1978); 29 CFR Part 
1607, section 6A.''



PART 60-4--CONSTRUCTION CONTRACTORS--AFFIRMATIVE ACTION REQUIREMENTS--Table of Contents




Sec.
60-4.1  Scope and application.
60-4.2  Solicitations.
60-4.3  Equal opportunity clauses.
60-4.4  Affirmative action requirements.
60-4.5  Hometown plans.
60-4.6  Goals and timetables.
60-4.7  Effect on other regulations.
60-4.8  Show cause notice.
60-4.9  Incorporation by operation of the Order.

    Authority: Secs. 201, 202, 205, 211, 301, 302, and 303 of E.O. 
11246, as amended, 30 FR 12319; 32 FR 14303, as amended by E.O. 12086.

    Source: 43 FR 49254, Oct. 20, 1978, unless otherwise noted.



Sec. 60-4.1  Scope and application.

    This part applies to all contractors and subcontractors which hold 
any Federal or federally assisted construction contract in excess of 
$10,000. The regulations in this part are applicable to all of a 
construction contractor's or subcontractor's construction employees who 
are engaged in on site contruction including those construction 
employees who work on a non-Federal or nonfederally assisted 
construction site. This part also establishes procedures which all 
Federal contracting officers and all applicants, as applicable, shall 
follow in soliciting for and awarding Federal or federally assisted 
construction contracts. Procedures also are established which 
administering agencies shall follow in making any grant, contract, loan, 
insurance, or guarantee involving federally assisted construction which 
is not exempt from the requirements of Executive Order 11246, as 
amended.

In addition, this part applies to construction work performed by 
construction contractors and subcontractors for Federal nonconstruction 
contractors and subcontractors if the construction work is necessary in 
whole or in part to the performance of a nonconstruction contract or 
subcontract.

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-4.2  Solicitations.

    (a) All Federal contracting officers and all applicants shall 
include the notice set forth in paragraph (d) of this section and the 
Standard Federal Equal Employment Opportunity Construction Contract 
Specifications set forth in Sec. 60-4.3 of this part in all 
solicitations for offers and bids on all Federal and federally assisted 
construction contracts or subcontracts to be performed in geographical 
areas designated by the Director pursuant to Sec. 60-4.6 of the part. 
Administering agencies shall require the inclusion of the notice set 
forth in paragraph (d) of this section and the specifications set forth

[[Page 145]]

in Sec. 60-4.3 of this part as a condition of any grant, contract, 
subcontract, loan, insurance or guarantee involving federally assisted 
construction covered by this Part 60-4.
    (b) All nonconstruction contractors covered by Executive Order 11246 
and the implementing regulations shall include the notice in paragraph 
(d) of this section in all construction agreements which are necessary 
in whole or in part to the performance of the covered nonconstruction 
contract.
    (c) Contracting officers, applicants and nonconstruction contractors 
shall given written notice to the Director within 10 working days of 
award of a contract subject to these provisions. The notification shall 
include the name, address and telephone number of the contractor; 
employer identification number; dollar amount of the contract, estimated 
starting and completion dates of the contract; the contract number; and 
geographical area in which the contract is to be performed.
    (d) The following notice shall be included in, and shall be a part 
of, all solicitations for offers and bids on all Federal and federally 
assisted construction contracts or subcontracts in excess of $10,000 to 
be performed in geographical areas designated by the Director pursuant 
to Sec. 60-4.6 of this part (see 41 CFR 60-4.2(a)):

Notice of Requirement for Affirmative Action To Ensure Equal Employment 
                   Opportunity (Executive Order 11246)

    1. The Offeror's or Bidder's attention is called to the ``Equal 
Opportunity Clause'' and the ``Standard Federal Equal Employment 
Specifications'' set forth herein.
    2. The goals and timetables for minority and female participation, 
expressed in percentage terms for the Contractor's aggregate workforce 
in each trade on all construction work in the covered area, are as 
follows:

------------------------------------------------------------------------
                                  Goals for minority   Goals for female 
          Time- tables             participation for   participation in 
                                      each trade          each trade    
------------------------------------------------------------------------
                                  Insert goals for    Insert goals for  
                                   each year.          each year.       
------------------------------------------------------------------------

    These goals are applicable to all the Contractor's construction work 
(whether or not it is Federal or federally assisted) performed in the 
covered area. If the contractor performs construction work in a 
geographical area located outside of the covered area, it shall apply 
the goals established for such geographical area where the work is 
actually performed. With regard to this second area, the contractor also 
is subject to the goals for both its federally involved and nonfederally 
involved construction.
    The Contractor's compliance with the Executive Order and the 
regulations in   41 CFR Part 60-4 shall be based on its implementation 
of the Equal Opportunity Clause, specific affirmative action obligations 
required by the specifications set forth in   41 CFR 60-4.3(a), and its 
efforts to meet the goals. The hours of minority and female employment 
and training must be substantially uniform throughout the length of the 
contract, and in each trade, and the contractor shall make a good faith 
effort to employ minorities and women evenly on each of its projects. 
The transfer of minority or female employees or trainees from Contractor 
to Contractor or from project to project for the sole purpose of meeting 
the Contractor's goals shall be a violation of the contract, the 
Executive Order and the regulations in 41 CFR Part 60-4. Compliance with 
the goals will be measured against the total work hours performed.
    3. The Contractor shall provide written notification to the Director 
of the Office of Federal Contract Compliance Programs within 10 working 
days of award of any construction subcontract in excess of $10,000 at 
any tier for construction work under the contract resulting from this 
solicitation. The notification shall list the name, address and 
telephone number of the subcontractor; employer identification number of 
the subcontractor; estimated dollar amount of the subcontract; estimated 
starting and completion dates of the subcontract; and the geographical 
area in which the subcontract is to be performed.
    4. As used in this Notice, and in the contract resulting from this 
solicitation, the ``covered area'' is (insert description of the 
geographical areas where the contract is to be performed giving the 
state, county and city, if any).

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978, as amended at 45 
FR 65977, Oct. 3, 1980]



Sec. 60-4.3  Equal opportunity clauses.

    (a) The equal opportunity clause published at 41 CFR 60-1.4(a) of 
this chapter is required to be included in, and is part of, all 
nonexempt Federal contracts and subcontracts, including construction 
contracts and subcontracts. The equal opportunity clause published at 41 
CFR 60-1.4(b) is required to be included in, and is a part of, all 
nonexempt federally assisted construction contracts and subcontracts. In 
addition to the clauses described above, all Federal contracting 
officers, all applicants and all nonconstruction contractors, as

[[Page 146]]

applicable, shall include the specifications set forth in this section 
in all Federal and federally assisted construction contracts in excess 
of $10,000 to be performed in geographical areas designated by the 
Director pursuant to Sec. 60-4.6 of this part and in construction 
subcontracts in excess of $10,000 necessary in whole or in part to the 
performance of nonconstruction Federal contracts and subcontracts 
covered under the Executive order.

  Standard Federal Equal Employment Opportunity Construction Contract 
                 Specifications (Executive Order 11246)

    1. As used in these specifications:
    a. ``Covered area'' means the geographical area described in the 
solicitation from which this contract resulted;
    b. ``Director'' means Director, Office of Federal Contract 
Compliance Programs, United States Department of Labor, or any person to 
whom the Director delegates authority;
    c. ``Employer identification number'' means the Federal Social 
Security number used on the Employer's Quarterly Federal Tax Return, 
U.S. Treasury Department Form 941.
    d. ``Minority'' includes:
    (i) Black (all persons having origins in any of the Black African 
racial groups not of Hispanic origin);
    (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central 
or South American or other Spanish Culture or origin, regardless of 
race);
    (iii) Asian and Pacific Islander (all persons having origins in any 
of the original peoples of the Far East, Southeast Asia, the Indian 
Subcontinent, or the Pacific Islands); and
    (iv) American Indian or Alaskan Native (all persons having origins 
in any of the original peoples of North America and maintaining 
identifiable tribal affiliations through membership and participation or 
community identification).
    2. Whenever the Contractor, or any Subcontractor at any tier, 
subcontracts a portion of the work involving any construction trade, it 
shall physically include in each subcontract in excess of $10,000 the 
provisions of these specifications and the Notice which contains the 
applicable goals for minority and female participation and which is set 
forth in the solicitations from which this contract resulted.
    3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in 
a Hometown Plan approved by the U.S. Department of Labor in the covered 
area either individually or through an association, its affirmative 
action obligations on all work in the Plan area (including goals and 
timetables) shall be in accordance with that Plan for those trades which 
have unions participating in the Plan. Contractors must be able to 
demonstrate their participation in and compliance with the provisions of 
any such Hometown Plan. Each Contractor or Subcontractor participating 
in an approved Plan is individually required to comply with its 
obligations under the EEO clause, and to make a good faith effort to 
achieve each goal under the Plan in each trade in which it has 
employees. The overall good faith performance by other Contractors or 
Subcontractors toward a goal in an approved Plan does not excuse any 
covered Contractor's or Subcontractor's failure to take good faith 
efforts to achieve the Plan goals and timetables.
    4. The Contractor shall implement the specific affirmative action 
standards provided in paragraphs 7 a through p of these specifications. 
The goals set forth in the solicitation from which this contract 
resulted are expressed as percentages of the total hours of employment 
and training of minority and female utilization the Contractor should 
reasonably be able to achieve in each construction trade in which it has 
employees in the covered area. Covered Construction contractors 
performing construction work in geographical areas where they do not 
have a Federal or federally assisted constuction contract shall apply 
the minority and female goals established for the geographical area 
where the work is being performed. Goals are published periodically in 
the Federal Register in notice form, and such notices may be obtained 
from any Office of Federal Contract Compliance Programs office or from 
Federal procurement contracting officers. The Contractor is expected to 
make substantially uniform progress in meeting its goals in each craft 
during the period specified.
    5. Neither the provisions of any collective bargaining agreement, 
nor the failure by a union with whom the Contractor has a collective 
bargaining agreement, to refer either minorities or women shall excuse 
the Contractor's obligations under these specifications, Executive Order 
11246, or the regulations promulgated pursuant thereto.
    6. In order for the nonworking training hours of apprentices and 
trainees to be counted in meeting the goals, such apprentices and 
trainees must be employed by the Contractor during the training period, 
and the Contractor must have made a commitment to employ the apprentices 
and trainees at the completion of their training, subject to the 
availability of employment opportunities. Trainees must be trained 
pursuant to training programs approved by the U.S. Department of Labor.
    7. The Contractor shall take specific affirmative actions to ensure 
equal employment opportunity. The evaluation of the Contractor's 
compliance with these specifications shall be based upon its effort to

[[Page 147]]

achieve maximum results from its actions. The Contractor shall document 
these efforts fully, and shall implement affirmative action steps at 
least as extensive as the following:
    a. Ensure and maintain a working environment free of harassment, 
intimidation, and coercion at all sites, and in all facilities at which 
the Contractor's employees are assigned to work. The Contractor, where 
possible, will assign two or more women to each construction project. 
The Contractor shall specifically ensure that all foremen, 
superintendents, and other on-site supervisory personnel are aware of 
and carry out the Contractor's obligation to maintain such a working 
environment, with specific attention to minority or female individuals 
working at such sites or in such facilities.
    b. Establish and maintain a current list of minority and female 
recruitment sources, provide written notification to minority and female 
recruitment sources and to community organizations when the Contractor 
or its unions have employment opportunities available, and maintain a 
record of the organizations' responses.
    c. Maintain a current file of the names, addresses and telephone 
numbers of each minority and female off-the-street applicant and 
minority or female referral from a union, a recruitment source or 
community organization and of what action was taken with respect to each 
such individual. If such individual was sent to the union hiring hall 
for referral and was not referred back to the Contractor by the union 
or, if referred, not employed by the Contractor, this shall be 
documented in the file with the reason therefor, along with whatever 
additional actions the Contractor may have taken.
    d. Provide immediate written notification to the Director when the 
union or unions with which the Contractor has a collective bargaining 
agreement has not referred to the Contractor a minority person or woman 
sent by the Contractor, or when the Contractor has other information 
that the union referral process has impeded the Contractor's efforts to 
meet its obligations.
    e. Develop on-the-job training opportunities and/or participate in 
training programs for the area which expressly include minorities and 
women, including upgrading programs and apprenticeship and trainee 
programs relevant to the Contractor's employment needs, especially those 
programs funded or approved by the Department of Labor. The Contractor 
shall provide notice of these programs to the sources compiled under 7b 
above.
    f. Disseminate the Contractor's EEO policy by providing notice of 
the policy to unions and training programs and requesting their 
cooperation in assisting the Contractor in meeting its EEO obligations; 
by including it in any policy manual and collective bargaining 
agreement; by publicizing it in the company newpaper, annual report, 
etc.; by specific review of the policy with all management personnel and 
with all minority and female employees at least once a year; and by 
posting the company EEO policy on bulletin boards accessible to all 
employees at each location where construction work is performed.
    g. Review, at least annually, the company's EEO policy and 
affirmative action obligations under these specifications with all 
employees having any responsibility for hiring, assignment, layoff, 
termination or other employment decisions including specific review of 
these items with onsite supervisory personnel such as Superintendents, 
General Foremen, etc., prior to the initiation of construction work at 
any job site. A written record shall be made and maintained identifying 
the time and place of these meetings, persons attending, subject matter 
discussed, and disposition of the subject matter.
    h. Disseminate the Contractor's EEO policy externally by including 
it in any advertising in the news media, specifically including minority 
and female news media, and providing written notification to and 
discussing the Contractor's EEO policy with other Contractors and 
Subcontractors with whom the Contractor does or anticipates doing 
business.
    i. Direct its recruitment efforts, both oral and written, to 
minority, female and community organizations, to schools with minority 
and female students and to minority and female recruitment and training 
organizations serving the Contractor's recruitment area and employment 
needs. Not later than one month prior to the date for the acceptance of 
applications for apprenticeship or other training by any recruitment 
source, the Contractor shall send written notification to organizations 
such as the above, describing the openings, screening procedures, and 
tests to be used in the selection process.
    j. Encourage present minority and female employees to recruit other 
minority persons and women and, where reasonable, provide after school, 
summer and vacation employment to minority and female youth both on the 
site and in other areas of a Contractor's work force.
    k. Validate all tests and other selection requirements where there 
is an obligation to do so under 41 CFR Part 60-3.
    l. Conduct, at least annually, an inventory and evaluation at least 
of all minority and female personnel for promotional opportunities and 
encourage these employees to seek or to prepare for, through appropriate 
training, etc., such opportunities.
    m. Ensure that seniority practices, job classifications, work 
assignments and other personnel practices, do not have a discriminatory 
effect by continually monitoring all personnel and employment related 
activities

[[Page 148]]

to ensure that the EEO policy and the Contractor's obligations under 
these specifications are being carried out.
    n. Ensure that all facilities and company activities are 
nonsegregated except that separate or single-user toilet and necessary 
changing facilities shall be provided to assure privacy between the 
sexes.
    o. Document and maintain a record of all solicitations of offers for 
subcontracts from minority and female construction contractors and 
suppliers, including circulation of solicitations to minority and female 
contractor associations and other business associations.
    p. Conduct a review, at least annually, of all supervisors' 
adherence to and performance under the Contractor's EEO policies and 
affirmative action obligations.
    8. Contractors are encouraged to participate in voluntary 
associations which assist in fulfilling one or more of their affirmative 
action obligations (7a through p). The efforts of a contractor 
association, joint contractor-union, contractor-community, or other 
similar group of which the contractor is a member and participant, may 
be asserted as fulfilling any one or more of its obligations under 7a 
through p of these Specifications provided that the contractor actively 
participates in the group, makes every effort to assure that the group 
has a positive impact on the employment of minorities and women in the 
industry, ensures that the concrete benefits of the program are 
reflected in the Contractor's minority and female workforce 
participation, makes a good faith effort to meet its individual goals 
and timetables, and can provide access to documentation which 
demonstrates the effectiveness of actions taken on behalf of the 
Contractor. The obligation to comply, however, is the Contractor's and 
failure of such a group to fulfill an obligation shall not be a defense 
for the Contractor's noncompliance.
    9. A single goal for minorities and a separate single goal for women 
have been established. The Contractor, however, is required to provide 
equal employment opportunity and to take affirmative action for all 
minority groups, both male and female, and all women, both minority and 
non-minority. Consequently, the Contractor may be in violation of the 
Executive Order if a particular group is employed in a substantially 
disparate manner (for example, even though the Contractor has achieved 
its goals for women generally, the Contractor may be in violation of the 
Executive Order if a specific minority group of women is underutilized).
    10. The Contractor shall not use the goals and timetables or 
affirmative action standards to discriminate against any person because 
of race, color, religion, sex, or national origin.
    11. The Contractor shall not enter into any Subcontract with any 
person or firm debarred from Government contracts pursuant to Executive 
Order 11246.
    12. The Contractor shall carry out such sanctions and penalties for 
violation of these specifications and of the Equal Opportunity Clause, 
including suspension, termination and cancellation of existing 
subcontracts as may be imposed or ordered pursuant to Executive Order 
11246, as amended, and its implementing regulations, by the Office of 
Federal Contract Compliance Programs. Any Contractor who fails to carry 
out such sanctions and penalties shall be in violation of these 
specifications and Executive Order 11246, as amended.
    13. The Contractor, in fulfilling its obligations under these 
specifications, shall implement specific affirmative action steps, at 
least as extensive as those standards prescribed in paragraph 7 of these 
specifications, so as to achieve maximum results from its efforts to 
ensure equal employment opportunity. If the Contractor fails to comply 
with the requirements of the Executive Order, the implementing 
regulations, or these specifications, the Director shall proceed in 
accordance with 41 CFR 60-4.8.
    14. The Contractor shall designate a responsible official to monitor 
all employment related activity to ensure that the company EEO policy is 
being carried out, to submit reports relating to the provisions hereof 
as may be required by the Government and to keep records. Records shall 
at least include for each employee the name, address, telephone numbers, 
construction trade, union affiliation if any, employee identification 
number when assigned, social security number, race, sex, status (e.g., 
mechanic, apprentice trainee, helper, or laborer), dates of changes in 
status, hours worked per week in the indicated trade, rate of pay, and 
locations at which the work was performed. Records shall be maintained 
in an easily understandable and retrievable form; however, to the degree 
that existing records satisfy this requirement, contractors shall not be 
required to maintain separate records.
    15. Nothing herein provided shall be construed as a limitation upon 
the application of other laws which establish different standards of 
compliance or upon the application of requirements for the hiring of 
local or other area residents (e.g., those under the Public Works 
Employment Act of 1977 and the Community Development Block Grant 
Program).

    (b) The notice set forth in 41 CFR 60-4.2 and the specifications set 
forth in 41 CFR 60-4.3 replace the New Form for Federal Equal Employment 
Opportunity Bid Conditions for Federal and Federally Assisted 
Construction published at 41 FR 32482 and commonly known as the Model 
Federal EEO Bid Conditions, and the New Form shall

[[Page 149]]

not be used after the regulations in 41 CFR Part 60-4 become effective.

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978, as amended at 45 
FR 65978, Oct. 3, 1980]



Sec. 60-4.4  Affirmative action requirements.

    (a) To implement the affirmative action requirements of Executive 
Order 11246 in the construction industry, the Office of Federal Contract 
Compliance Programs previously has approved affirmative action programs 
commonly referred to as ``Hometown Plans,'' has promulgated affirmative 
action plans referred to as ``Imposed Plans'' and has approved ``Special 
Bid Conditions'' for high impact projects constructed in areas not 
covered by a Hometown or an Imposed Plan. All solicitations for 
construction contracts made after the effective date of the regulations 
in this part shall include the notice specified in Sec. 60-4.2 of this 
part and the specifications in Sec. 60-4.3 of this part in lieu of the 
Hometown and Imposed Plans including the Philadelphia Plan and Special 
Bid Conditions. Until the Director has issued an order pursuant to 
Sec. 60-4.6 of this part establishing goals and timetables for 
minorities in the appropriate geographical areas or for a project 
covered by Special Bid Conditions, the goals and timetables for 
minorities to be inserted in the Notice required by 41 CFR 60-4.2 shall 
be the goals and timetables contained in the Hometown Plan, Imposed Plan 
or Special Bid Conditions presently covering the respective geographical 
area or project involved.
    (b) Signatories to a Hometown Plan (including heavy highway 
affirmative action plans) shall have 45 days from the effective date of 
the regulations in this part to submit under such a Plan (for the 
director's approval) goals and timetables for women and to include 
female representation on the Hometown Plan Administrative Committee. 
Such goals for female representation shall be at least as high as the 
goals established for female representation in the notice issued 
pursuant to 41 CFR 60-4.6. Failure of the signatories, within the 45-day 
period, to include female representation and to submit goals for women 
or a new plan, as appropriate, shall result in an automatic termination 
of the Office of Federal Contract Compliance Program's approval of the 
Hometown Plan. At any time the Office of Federal Contract Compliance 
Programs terminates or withdraws its approval of a Hometown Plan, or 
when the plan expires and another plan is not approved, the contractors 
signatory to the plan shall be covered automatically by the 
specifications set forth in Sec. 60-4.3 of this part and by the goals 
and timetables established for that geographical area pursuant to 
Sec. 60-4.6 of this part.



Sec. 60-4.5  Hometown plans.

    (a) A contractor participating, either individually or through an 
association, in an approved Hometown Plan (including heavy highway 
affirmative action plans) shall comply with its affirmative action 
obligations under Executive Order 11246 by complying with its 
obligations under the plan: Provided, That each contractor or 
subcontractor participating in an approved plan is individually required 
to comply with the equal opportunity clause set forth in 41 CFR 60-1.4; 
to make a good faith effort to achieve the goals for each trade 
participating in the plan in which it has employees; and that the 
overall good performance by other contractors or subcontractors toward a 
goal in an approved plan does not excuse any covered contractor's or 
subcontractor's failure to take good faith efforts to achieve the plan's 
goals and timetables. If a contractor is not participating in an 
approved Hometown Plan it shall comply with the specifications set forth 
in Sec. 60-4.3 of this part and with the goals and timetables for the 
appropriate area as listed in the notice required by 41 CFR 60-4.2 with 
regard to that trade. For the purposes of this part 60-4, a contractor 
is not participating in a Hometown Plan for a particular trade if it:
    (1) Ceases to be signatory to a Hometown Plan covering that trade;
    (2) Is signatory to a Hometown Plan for that trade but is not party 
to a collective bargaining agreement for that trade;
    (3) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with labor organizations which are not 
or cease to

[[Page 150]]

be signatories to the same Hometown Plan for that trade;
    (4) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with a labor organization for that trade 
but the two have not jointly executed a specific commitment to minority 
and female goals and timetables and incorporated the commitment in the 
Hometown Plan for that trade;
    (5) Is participating in a Hometown Plan for that trade which is no 
longer acceptable to the Office of Federal Contract Compliance Programs;
    (6) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with a labor organization for that trade 
and the labor organization and the contractor have failed to make a good 
faith effort to comply with their obligations under the Hometown Plan 
for that trade.
    (b) Contractors participating in Hometown Plans must be able to 
demonstrate their participation and document their compliance with the 
provision of the Hometown Plan.

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-4.6  Goals and timetables.

    The Director, from time to time, shall issue goals and timetables 
for minority and female utilization which shall be based on appropriate 
workforce, demographic or other relevant data and which shall cover 
construction projects or construction contracts performed in specific 
geographical areas. The goals, which shall be applicable to each 
construction trade in a covered contractor's or subcontractor's entire 
workforce which is working in the area covered by the goals and 
timetables, shall be published as notices in the Federal Register, and 
shall be inserted by the contracting officers and applicants, as 
applicable, in the Notice required by 41 CFR 60-4.2. Covered 
construction contractors performing construction work in geographical 
areas where they do not have a Federal or federally assisted 
construction contract shall apply the minority and female goals 
established for the geographical area where the work is being performed.

[45 FR 65978, Oct. 3, 1980]



Sec. 60-4.7  Effect on other regulations.

    The regulations in this part are in addition to the regulations 
contained in this chapter which apply to construction contractors and 
subcontractors generally. See particularly, 41 CFR 60-1.4 (a), (b), (c), 
(d), and (e); 60-1.5; 60-1.7; 60-1.8; 60-1.26; 60-1.29; 60-1.30; 60-
1.32; 60-1.41; 60-1.42; 60-1.43; and 41 CFR Part 60-3; Part 60-20; Part 
60-30; Part 60-40; and Part 60-50.



Sec. 60-4.8  Show cause notice.

    If an investigation or compliance review reveals that a construction 
contractor or subcontractor has violated the Executive order, any 
contract clause, specifications or the regulations in this chapter and 
if administrative enforcement is contemplated, the Director shall issue 
to the contractor or subcontractor a notice to show cause which shall 
contain the items specified in paragraphs (i) through (iv) of 41 CFR 60-
2.2(c)(1). If the contractor does not show good cause within 30 days, or 
in the alternative, fails to enter an acceptable conciliation agreement 
which includes where appropriate, make up goals and timetables, back 
pay, and seniority relief for affected class members, the OFCCP shall 
follow the procedure in 41 CFR 60-1.26(b): Provided, That where a 
conciliation agreement has been violated, no show cause notice is 
required prior to the initiation of enforcement proceedings.

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-4.9  Incorporation by operation of the order.

    By operation of the order, the equal opportunity clause contained in 
Sec. 60-1.4, the Notice of Requirement for Affirmative Action to Ensure 
Equal Employment Opportunity (Executive Order 11246) contained in 
Sec. 60-4.2, and the Standard Federal Equal Employment Opportunity 
Construction Contract Specifications (Executive Order 11246) contained 
in Sec. 60-4.3 shall be

[[Page 151]]

deemed to be a part of every solicitation or of every contract and 
subcontract, as appropriate, required by the order and the regulations 
in this chapter to include such clauses whether or not they are 
physically incorporated in such solicitation or contract and whether or 
not the contract is written.



PART 60-20--SEX DISCRIMINATION GUIDELINES--Table of Contents




Sec.
60-20.1  Title and purpose.
60-20.2  Recruitment and advertisement.
60-20.3  Job policies and practices.
60-20.4  Seniority system.
60-20.5  Discriminatory wages.
60-20.6  Affirmative actions.

    Authority. Sec. 201, E.O. 11246, 30 FR 12319, and E.O. 11375, 32 FR 
14303, as amended by E.O. 12086.

    Source: 43 FR 49258, Oct. 20, 1978, unless otherwise noted.



Sec. 60-20.1  Title and purpose.

    The purpose of the provisions in this part is to set forth the 
interpretations and guidelines of the Office of Federal Contract 
Compliance Programs regarding the implementation of Executive Order 
11246, as amended for the promotion and insuring of equal opportunities 
for all persons employed or seeking employment with Government 
contractors and subcontractors or with contractors and subcontractors 
performing under federally assisted construction contracts, without 
regard to sex. Experience has indicated that special problems related to 
the implementation of the Executive order require a definitive treatment 
beyond the terms of the order itself. These interpretations are to be 
read in connection with existing regulations, set forth in Part 60-1 of 
this chapter.



Sec. 60-20.2  Recruitment and advertisement.

    (a) Employers engaged in recruiting activity must recruit employees 
of both sexes for all jobs unless sex is a bona fide occupation 
qualification.
    (b) Advertisement in newspapers and other media for employment must 
not express a sex preference unless sex is a bona fide occupational 
qualification for the job. The placement of an advertisement in columns 
headed ``Male'' or ``Female'' will be considered an expression of a 
preference, limitation, specification, or discrimination based on sex.



Sec. 60-20.3  Job policies and practices.

    (a) Written personnel policies relating to this subject area must 
expressly indicate that there shall be no discrimination against 
employees on account of sex. If the employer deals with a bargaining 
representative for his employees and there is a written agreement on 
conditions of employment, such agreement shall not be inconsistent with 
these guidelines.
    (b) Employees of both sexes shall have an equal opportunity to any 
available job that he or she is qualified to perform, unless sex is a 
bona fide occupational qualification.

    Note: In most Government contract work there are only limited 
instances where valid reasons can be expected to exist which would 
justify the exclusion of all men or all women from any given job.

    (c) The employer must not make any distinction based upon sex in 
employment opportunities, wages, hours, or other conditions of 
employment. In the area of employer contributions for insurance, 
pensions, welfare programs and other similar ``fringe benefits'' the 
employer will not be considered to have violated these guidelines if his 
contributions are the same for men and women or if the resulting 
benefits are equal.
    (d) Any distinction between married and unmarried persons of one sex 
that is not made between married and unmarried persons of the opposite 
sex will be considered to be a distinction made on the basis of sex. 
Similarly, an employer must not deny employment to women with young 
children unless it has the same exclusionary policies for men; or 
terminate an employee of one sex in a particular job classification upon 
reaching a certain age unless the same rule is applicable to members of 
the opposite sex.
    (e) The employer's policies and practices must assure appropriate 
physical facilities to both sexes. The employer may not refuse to hire 
men or women, or deny men or women a particular job

[[Page 152]]

because there are no restroom or associated facilities, unless the 
employer is able to show that the construction of the facilities would 
be unreasonable for such reasons as excessive expense or lack of space.
    (f)(1) An employer must not deny a female employee the right to any 
job that she is qualified to perform in reliance upon a State 
``protective'' law. For example, such laws include those which prohibit 
women from performing in certain types of occupations (e.g., a bartender 
or a core-maker); from working at jobs requiring more than a certain 
number of hours; and from working at jobs that require lifting or 
carrying more than designated weights.
    (2) Such legislation was intended to be beneficial, but, instead, 
has been found to result in restricting employment opportunities for men 
and/or women. Accordingly, it cannot be used as a basis for denying 
employment or for establishing sex as a bona fide occupational 
qualification for the job.
    (g)(1) Women shall not be penalized in their conditions of 
employment because they require time away from work on account of 
childbearing. When, under the employer's leave policy the female 
employee would qualify for leave, then childbearing must be considered 
by the employer to be a justification for leave of absence for female 
employees for a reasonable period of time. For example, if the female 
employee meets the equally applied minimum length of service 
requirements for leave time, she must be granted a reasonable leave on 
account of childbearing. The conditions applicable to her leave (other 
than the length thereof) and to her return to employment, shall be in 
accordance with the employer's leave policy.
    (2) If the employer has no leave policy, childbearing must be 
considered by the employer to be a justification for a leave of absence 
for a female employee for a reasonable period of time. Following 
childbirth, and upon signifying her intent to return within a reasonable 
time, such female employee shall be reinstated to her original job or to 
a position of like status and pay, without loss of service credits.
    (h) The employer must not specify any differences for male and 
female employees on the basis of sex in either mandatory or optional 
retirement age.
    (i) Nothing in these guidelines shall be interpreted to mean that 
differences in capabilities for job assignments do not exist among 
individuals and that such distinctions may not be recognized by the 
employer in making specific assignments. The purpose of these guidelines 
is to insure that such distinctions are not based upon sex.



Sec. 60-20.4  Seniority system.

    Where they exist, seniority lines and lists must not be based solely 
upon sex. Where such a separation has existed, the employer must 
eliminate this distinction.



Sec. 60-20.5  Discriminatory wages.

    (a) The employer's wages schedules must not be related to or based 
on the sex of the employees.

    Note: The more obvious cases of discrimination exist where employees 
of different sexes are paid different wages on jobs which require 
substantially equal skill, effort and responsibility and are performed 
under similar working conditions.

    (b) The employer may not discriminatorily restrict one sex to 
certain job classifications. In such a situation, the employer must take 
steps to make jobs available to all qualified employees in all 
classifications without regard to sex. (Example: An electrical 
manufacturing company may have a production division with three 
functional units: One (assembly) all female; another (wiring), all male; 
and a third (circuit boards), also all male. The highest wage attainable 
in the assembly unit is considerably less than that in the circuit board 
and wiring units. In such a case the employer must take steps to provide 
qualified female employees opportunity for placement in job openings in 
the other two units.)
    (c) To avoid overlapping and conflicting administration the Director 
will consult with the Administrator of the Wage and Hour Administration 
before issuing an opinion on any matter covered by both the Equal Pay 
Act and Executive Order 11246, as amended.

[[Page 153]]



Sec. 60-20.6  Affirmative action.

    (a) The employer shall take affirmative action to recruit women to 
apply for those jobs where they have been previously excluded.

    Note: This can be done by various methods. Examples include: (1) 
Including in itineraries of recruiting trips women's colleges where 
graduates with skills desired by the employer can be found, and female 
students of coeducational institutions and (2) designing advertisements 
to indicate that women will be considered equally with men for jobs.

    (b) Women have not been typically found in significant numbers in 
management. In many companies management trainee programs are one of the 
ladders to management positions. Traditionally, few, if any, women have 
been admitted into these programs. An important element of affirmative 
action shall be a commitment to include women candidates in such 
programs.
    (c) Distinctions based on sex may not be made in other training 
programs. Both sexes should have equal access to all training programs 
and affirmative action programs should require a demonstration by the 
employer that such access has been provided.



PART 60-30--RULES OF PRACTICE FOR ADMINISTRATIVE PROCEEDINGS TO ENFORCE EQUAL OPPORTUNITY UNDER EXECUTIVE ORDER 11246--Table of Contents




                           General Provisions

Sec.
60-30.1  Applicability of rules.
60-30.2  Waiver, modification.
60-30.3  Computation of time.
60-30.4  Form, filing, service of pleadings and papers.

                          Prehearing Procedures

60-30.5  Administrative complaint.
60-30.6  Answer.
60-30.7  Notice of prehearing conference.
60-30.8  Motions; disposition of motions.
60-30.9  Interrogatories, and admissions as to facts and documents.
60-30.10  Production of documents and things and entry upon land for 
          inspection and other purposes.
60-30.11  Depositions upon oral examination.
60-30.12  Prehearing conferences.
60-30.13  Consent findings and order.

                      Hearings and Related Matters

60-30.14  Designation of Administrative Law Judges.
60-30.15  Authority and responsibilities of Administrative Law Judges.
60-30.16  Appearances.
60-30.17  Appearance of witnesses.
60-30.18  Rules of evidence.
60-30.19  Objections; exceptions; offer of proof.
60-30.20  Ex parte communications.
60-30.21  Oral argument.
60-30.22  Official transcript.
60-30.23  Summary judgment.
60-30.24  Participation by interested persons.

                         Post Hearing Procedures

60-30.25  Proposed findings of fact and conclusions of law.
60-30.26  Record for recommended decision.
60-30.27  Recommended decision.
60-30.28  Exceptions to recommended decisions.
60-30.29  Record.
60-30.30  Final Administrative order.

                      Expedited Hearing Procedures

60-30.31  Expedited hearings--when appropriate.
60-30.32  Administrative complaint and answer.
60-30.33  Discovery.
60-30.34  Conduct of hearing.
60-30.35  Recommended decision after hearing.
60-30.36  Exceptions to recommendations.
60-30.37  Final Administrative order.

    Authority: Executive Order 11246, as amended, 30 FR 12319, 32 FR 
14303, as amended by E.O. 12086; 29 U.S.C. 793, as amended, and 38 
U.S.C. 4212, as amended.

    Source: 43 FR 49259, Oct. 20, 1978, unless otherwise noted.

                           General Provisions



Sec. 60-30.1  Applicability of rules.

    This part provides the rules of practice for all administrative 
proceedings, instituted by the OFCCP including but not limited to 
proceedings instituted against construction contractors or 
subcontractors, which relate to the enforcement of equal opportunity 
under Executive Order 11246, as amended. In the absence of a specific 
provision, procedures shall be in accordance with the Federal Rules of 
Civil Procedure.

[[Page 154]]



Sec. 60-30.2  Waiver, modification.

    Upon notice to all parties, the Administrative Law Judge may, with 
respect to matters pending before him modify or waive any rule herein 
upon a determination that no party will be prejudiced and that the ends 
of justice will be served thereby.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.3  Computation of time.

    In computing any period of time under these rules or in an order 
issued hereunder, the time begins with the day following the act, event, 
or default, and includes the last day of the period, unless it is a 
Saturday, Sunday, or legal holiday observed by the Federal Government in 
which event it includes the next business day.



Sec. 60-30.4  Form, filing, service of pleadings and papers.

    (a) Form. The original of all pleadings and papers in a proceeding 
conducted under the regulations in this part shall be filed with the 
Administrative Law Judge assigned to the case or with the Chief 
Administrative Law Judge if the case has not been assigned. Every 
pleading and paper filed in the proceeding shall contain a caption 
setting forth the name of the agency instituting the proceeding, the 
title of the action, the case file number assigned by the Administrative 
Law Judge, and a designation of the pleading or paper (e.g., complaint, 
motion to dismiss, etc.). The pleading or papers shall be signed and 
shall contain the address and telephone number of the person 
representing the party or the person on whose behalf the pleading or 
paper was filed. Unless otherwise ordered for good cause by the 
Administrative Law Judge regarding specific papers and pleadings in a 
specific case, all such papers and pleadings are public documents.
    (b) Service. Service upon any party shall be made by the party 
filing the pleading or document by delivering a copy or mailing a copy 
to the party's last known address. When a party is represented by an 
attorney, the service shall by upon the attorney.
    (c) Proof of service. A certificate of the person serving the 
pleading or other document by personal delivery or by mailing, setting 
forth the manner of services shall be proof of the service.

                          Prehearing Procedures



Sec. 60-30.5  Administrative complaint.

    (a) Filing. The Solicitor of Labor, Associate Solicitor for Labor 
Relations and Civil Rights Regional Solicitors and Regional Attorney 
upon referral from the Office of Federal Contract Compliance Programs, 
are authorized to institute enforcement proceedings by filing a 
complaint and serving the complaint upon the contractor which shall be 
designated as the defendant. The Department of Labor, OFCCP, as shall be 
designated on plaintiff.
    (b) Contents. The complaint shall contain a concise jurisdictional 
statement, and a clear and concise statement sufficient to put the 
defendant on notice of the acts or practices it is alleged to have 
committed in violation of the order, the regulations, or its contractual 
obligations. The complaint shall also contain a prayer regarding the 
relief being sought, a statement of whatever sanctions the Government 
will seek to impose and the name and address of the attorney who will 
represent the Government.
    (c) Amendment. The complaint may be amended once as a matter of 
course before an answer is filed, and the defendant may amend its answer 
once as a matter of course not later than 10 days after the filing of 
the original answer. Other amendments of the complaint or of the answer 
to the complaint shall be made only by leave of the Administrative Law 
Judge or by written consent of the adverse party; and leave shall be 
freely given where justice so requires. An amended complaint shall be 
answered within 14 days of its service, or within the time for filing an 
answer to the original complaint, whichever period is longer. An amended 
answer

[[Page 155]]

shall be responded to within 14 days of its service.

(E.O. 11246 as amended; sec. 503 of Rehabilitation Act of 1973 as 
amended; sec. 402 of Vietnam Era Veterans Readjustment Assistance Act of 
1974)

[43 FR 49259, Oct. 20, 1978, as amended at 44 FR 49691, Aug. 24, 1979]



Sec. 60-30.6  Answer.

    (a) Filing and service. Within 20 days after the service of the 
complaint, the defendant shall file an answer with the Chief 
Administrative Law Judge if the case has not been assigned to an 
Administrative Law Judge. The answer shall be signed by the defendant or 
its attorney, and served on the Government in accordance with Sec. 60-
30.4(b).
    (b) Contents; failure to file. The answer shall (1) contain a 
statement of the facts which constitute the grounds of defense, and 
shall specifically admit, explain, or deny, each of the allegations of 
the complaint unless the defendant is without knowledge, in which case 
the answer shall so state; or (2) state that the defendant admits all 
the allegations of the complaint. The answer may contain a waiver of 
hearing; and if not, a separate paragraph in the answer shall request a 
hearing. The answer shall contain the name and address of the defendant, 
or of the attorney representing the defendant. Failure to file an answer 
or to plead specifically to any allegation of the complaint shall 
constitute an admission of such allegation.
    (c) Procedure, upon admission of facts. The admission, in the answer 
or by failure to file an answer, of all the material allegations of fact 
contained in the complaint shall constitute a waiver of hearing. Upon 
such admission, the Administrative Law Judge, without further hearing, 
may prepare his decision in which he shall adopt as his proposed 
findings of fact the material facts alleged in the complaint. The 
parties shall be given an opportunity to file exceptions to his decision 
and to file briefs in support of the exceptions.



Sec. 60-30.7  Notice of prehearing conference.

    The Administrative Law Judge shall respond to defendant's request 
for a hearing within 15 days and shall serve a notice of prehearing 
conference on the parties. The notice shall contain the time and place 
of the conference.



Sec. 60-30.8  Motions; disposition of motions.

    (a) Motions. Motions shall state the relief sought, the authority 
relied upon and the facts alleged, and shall be filed with the 
Administrative Law Judge. If made before or after the hearing itself, 
the motions shall be in writing. If made at the hearing, motions may be 
stated orally; but the Administrative Law Judge may require that they be 
reduced to writing and filed and served on all parties in the same 
manner as a formal motion. Unless otherwise ordered by the 
Administrative Law Judge, written motions shall be accompanied by a 
supporting memorandum. Within 10 days after a written motion is served, 
or such other time period as may be fixed, any party may file a response 
to a motion.
    (b) Disposition of motions. The Administrative Law Judge may not 
grant a written motion prior to expiration of the time for filing 
responses thereto, except upon consent of the parties or following a 
hearing, but may overrule or deny such motion without awaiting response: 
Provided, That prehearing conferences, hearings, and decisions need not 
be delayed pending disposition of motions.



Sec. 60-30.9  Interrogatories, and admissions as to facts and documents.

    (a) Interrogatories. Not later than 25 days prior to the date of the 
hearing, except for good cause shown, or not later than 14 days prior to 
such earlier date as the Administrative Law Judge may order, any party 
may serve upon an opposing party written interrogatories. Each 
interrogatory shall be answered separately and fully in writing under 
oath, unless objected to. Answers are to be signed by the person making 
them and objections by the attorney or by whoever is representing the 
party. Answers and objections shall be filed and served within 25 days 
of service of the interrogatory.
    (b) Admissions. Not later than 14 days prior to the date of the 
hearing, except for good cause shown, or not later than 14 days prior to 
such earlier date as the

[[Page 156]]

Administrative Law Judge may order, any party may serve upon an opposing 
party a written request for the admission of the genuineness and 
authenticity of any relevant documents described in and exhibited with 
the request, or for the admission of the truth of any relevant matters 
of fact stated in the request. Each of the matters as to which an 
admission is requested shall be deemed admitted, unless within 25 days 
after service, the party to whom the request is directed serves upon the 
requesting party a sworn statement either (1) denying specifically the 
matter as to which an admission is requested, or (2) setting forth in 
detail the reasons why he cannot truthfully either admit or deny such 
matters.
    (c) Objections or failures to respond. The party submitting the 
interrogatory or request may move for an order with respect to any 
objection or other failure to respond.



Sec. 60-30.10  Production of documents and things and entry upon land for inspection and other purposes.

    (a) After commencement of the action, any party may serve on any 
other party a request to produce and/or permit the party, or someone 
acting on his behalf, to inspect and copy any unprivileged documents, 
phonorecords, and other compilations, including computer tapes and 
printouts which contain or may lead to relevant information and which 
are in the possession, custody, or control of the party upon whom the 
request is served. If necessary, translation of data compilations shall 
be done by the party furnishing the information.
    (b) After commencement of the action, any party may serve on any 
other party a request to permit entry upon designated property which may 
be relevant to the issues in the proceeding and, which is in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection, measuring, surveying or photographing, 
testing, or sampling the property or any designated object or area.
    (c) Each request shall set forth with reasonable particularity the 
items to be inspected and shall specify a reasonable time and place for 
making the inspection and performing the related acts.
    (d) The party upon whom the request is served shall respond within 
25 days after the service of the request. The response shall state, with 
respect to each item, that inspection and related activities will be 
permitted as requested, unless there are objections, in which case the 
reasons for each objection shall be stated. The party submitting the 
request may move for an order with respect to any objection or to other 
failure to respond.



Sec. 60-30.11  Depositions upon oral examination.

    (a) Depositions; notice of examination. After commencement of the 
action, any party may take the testimony of any person, including a 
party, having personal or expert knowledge of the matters in issue, by 
deposition upon oral examination. A party desiring to take a deposition 
shall give reasonable notice in writing to every other party to the 
proceeding, and may use an administrative subpoena. The notice shall 
state the time and place for taking the deposition and the name and 
address of each person to be examined, if known, and, if the name is not 
known, a general description sufficient to identify him or the 
particular class or group to which he belongs. The notice shall also set 
forth the categories of documents the witness is to bring with him to 
the deposition, if any. A copy of the notice shall be furnished to the 
person to be examined unless his name is unknown.
    (b) Production of witnesses; obligation of parties; objections. It 
shall be the obligation of each party to produce for examination any 
person, along with such documents as may be requested, at the time and 
place, and on the date, set forth in the notice, if that party has 
control over such person. Each party shall be deemed to have control 
over its officers, agents, employees, and members. Unless the parties 
agree otherwise, depositions shall be held within the county in which 
the witness resides or works. The party or prospective witness may file 
with the Administrative Law Judge an objection within 5 days

[[Page 157]]

after notice of production of such witness is served, stating with 
particularity the reasons why the party cannot or ought not to produce a 
requested witness. The party serving the notice may move for an order 
with respect to such objection or failure to produce a witness. All 
errors or irregularities in compliance with the provisions of this 
section shall be deemed waived unless a motion to suppress the 
deposition or some part thereof is made with reasonable promptness after 
such defect is or, with due diligence, might have been ascertained.
    (c) Before whom taken; scope of examination; failure to answer. 
Depositions may be taken before any officer authorized to administer 
oaths by the laws of the United States or of the place where the 
deposition is held. At the time and place specified in the notice, each 
party shall be permitted to examine and cross-examine the witness under 
oath upon any matter which is relevant to the subject matter of the 
proceeding, or which is reasonably calculated to lead to the production 
of relevant and otherwise admissible evidence. All objections to 
questions, except as to the form thereof, and all objections to evidence 
are reserved until the hearing. A refusal or failure on the part of any 
person under the control of a party to answer a question shall operate 
to create a presumption that the answer, if given, would be unfavorable 
to the controlling party, unless the question is subsequently ruled 
improper by the Administrative Law Judge or the Administrative Law Judge 
rules that there was valid justification for the witness' failure or 
refusal to answer the question: Provided, That the examining party shall 
note on the record during the deposition the question which the deponent 
has failed, or refused to answer, and state his intention to invoke the 
presumption if no answer is forthcoming.
    (d) Subscription; certification; filing. The testimony shall be 
reduced to typewriting, either by the officer taking the deposition or 
under his direction, and shall be submitted to the witness for 
examination and signing. If the deposition is not signed by the witness 
because he is ill, dead, cannot be found, or refuses to sign it, such 
fact shall be noted in the certificate of the officer and the deposition 
may then be used as fully as though signed. The officer shall 
immediately deliver the original copy of the transcript, together with 
his certificate, in person or by mail to the Administrative Law Judge. 
Copies of the transcript and certificate shall be furnished to all 
persons desiring them, upon payment of reasonable charges, unless 
distribution is restricted by order of the Administrative Law Judge for 
good cause shown.
    (e) Rulings on admissibility; use of deposition. Subject to the 
provisions of this section, objection may be made at the hearing to 
receiving in evidence any deposition or part thereof for any reason 
which would require the exclusion of the evidence if the witness were 
then present and testifying. Any part or all of a deposition, so far as 
admissible in the discretion of the Administrative Law Judge, may be 
used against any party who was present or represented at the taking of 
the deposition or who had reasonable notice, in accordance with the 
following provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of a party or of any one who at the time of 
taking the deposition was an officer, director, or managing agent, or 
was designated to testify on behalf of a public or private corporation, 
partnership, association, or governmental agency which is a party may be 
used by the adverse party for any purpose.
    (3) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the administrative law judge finds: (i) 
That the witness is dead; or (ii) that the witness is unable to attend 
or testify because of age, illness, infirmity, or imprisonment; or (iii) 
that the party offering the deposition has been unable to procure the 
attendance of the witness by subpoena; or (iv) upon application and 
notice, that such exceptional circumstances exist as to make it 
desirable to allow the deposition to be used.
    (4) If only part of a deposition is introduced in evidence by a 
party, any

[[Page 158]]

party may introduce any other parts by way of rebuttal and otherwise.
    (f) Stipulations. If the parties so stipulate in writing, 
depositions may be taken before any person at any time or place, upon 
any notice and in any manner, and when so taken may be used like other 
depositions.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.12  Prehearing conferences.

    (a) Upon his own motion or the motion of the parties, the 
Administrative Law Judge may direct the parties or their counsel to meet 
with him for a conference to consider:
    (1) Simplification of the issues;
    (2) Necessity or desirability of amendments to pleadings for 
purposes of clarification, simplification, or limitation;
    (3) Stipulations, admissions of fact and of contents and 
authenticity of documents;
    (4) Limitation of number of witnesses;
    (5) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (6) Such other matters as may tend to expedite the disposition of 
the proceedings.
    (b) The record shall show the matters disposed of by order and by 
agreement in such pretrial conferences. The subsequent course of the 
proceeding shall be controlled by such action.



Sec. 60-30.13  Consent findings and order.

    (a) General. At any time after the issuance of a complaint and prior 
to or during the reception of evidence in any proceeding, the parties 
may jointly move to defer the receipt of any evidence for a reasonable 
time to permit negotiation of an agreement containing consent findings 
and an order disposing of the whole or any part of the proceeding. The 
allowance of such deferment and the duration thereof shall be in the 
discretion of the Administrative Law Judge after consideration of the 
nature of the proceeding, the requirments of the public interest, the 
representations of the parties, and the probability of an agreement 
being reached which will result in a just disposition of the issues 
involved.
    (b) Content. Any agreement containing consent findings and an order 
disposing of a proceeding shall also provide:
    (1) That the order shall have the same force and effect as an order 
made after full hearing;
    (2) That the entire record on which any order may be based shall 
consist solely of the complaint and the agreement;
    (3) That any further procedural steps are waived; and
    (4) That any right to challenge or contest the validity of the 
findings and order entered into in accordance with the agreement is 
waived.
    (c) Submission. On or before the expiration of the time granted for 
negotiations, the parties or their counsel may:
    (1) Submit the proposed agreement to the Administrative Law Judge 
for his consideration;
    (2) Inform the Administrative Law Judge that agreement cannot be 
reached.
    (d) Disposition. In the event an agreement containing consent 
findings and an order is submitted within the time allowed, the 
Administrative Law Judge, within 30 days, shall accept such agreement by 
issuing his decision based upon the agreed findings, and his decision 
shall consititute the final Administrative order.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]

                      Hearings and Related Matters



Sec. 60-30.14  Designation of Administrative Law Judges.

    Hearings shall be held before an Administrative Law Judge of the 
Department of Labor who shall be designated by the Chief Administrative 
Law Judge of the Department of Labor. After commencement of the 
proceeding but prior to the designation of an Administrative Law Judge, 
pleadings and papers shall be filed with the Chief Administrative Law 
Judge.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.15  Authority and responsibilities of Administrative Law Judges.

    The Administrative Law Judge shall propose findings and conclusions 
to the

[[Page 159]]

Secretary on the basis of the record. In order to do so, he shall have 
the duty to conduct a fair hearing, to take all necesssary action to 
avoid delay, and to maintain order. He shall have all powers necessary 
to those ends, including, but not limited to, the power to:
    (a) Hold conferences to settle, simplify, or fix the issues in a 
proceeding, or to consider other matters that may aid in the expeditious 
disposition of the proceeding by consent of the parties or upon his own 
motion;
    (b) Require parties to state their position with respect to the 
various issues in the proceeding;
    (c) Require parties to produce for examination those relevant 
witnesses and documents under their control; and require parties to 
answer interrogatories and requests for admissions in full;
    (d) Administer oaths;
    (e) Rule on motions, and other procedural items or matters pending 
before him;
    (f) Regulate the course of the hearing and conduct of participants 
therein;
    (g) Examine and cross-examine witnesses, and introduce into the 
record documentary or other evidence;
    (h) Receive, rule on, exclude, or limit evidence and limit lines of 
questioning or testimony which are irrelevant, immaterial, or unduly 
repetitious;
    (i) Fix time limits for submission of written documents in matters 
before him and extend any time limits established by this part upon a 
determination that no party will be prejudiced and that the ends of 
justice will be served thereby;
    (j) Impose appropriate sanctions against any party or person failing 
to obey an order under these rules which may include:
    (1) Refusing to allow the disobedient party to support or oppose 
designated claims or defenses, or prohibiting it from introducing 
designated matters in evidence;
    (2) Excluding all testimony of an unresponsive or evasive witness, 
or determining that the answer of such witness, if given, would be 
unfavorable to the party having control over him; and
    (3) Expelling any party or person from further participation in the 
hearing;
    (k) Take official notice of any material fact not appearing in 
evidence in the record, which is among the traditional matters of 
judicial notice;
    (l) Recommend whether the respondent is in current violation of the 
order, regulations, or its contractual obligations, as well as the 
nature of the relief necessary to insure the full enjoyment of the 
rights secured by the order;
    (m) Issue subpoenas; and
    (n) Take any action authorized by these rules.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.16  Appearances.

    (a) Representation. The parties or other persons or organizations 
participating pursuant to this part 60-30 have the right to be 
represented by counsel.
    (b) Failure to appear. In the event that a party appears at the 
hearing and no party appears for the opposing side, the party who is 
present shall have an election to present his evidence in whole or such 
portion thereof sufficient to make a prima facie case before the 
Administrative Law Judge. Failure to appear at the hearing shall not be 
deemed to be a waiver of the right to be served with a copy of the 
Administrative Law Judge's recommended decision and to file exceptions 
to it.



Sec. 60-30.17  Appearance of witnesses.

    (a) A party wishing to procure the appearance at the hearing of any 
person having personal or expert knowledge of the matters in issue shall 
serve on the prospective witness a notice, which may be accomplished by 
an administrative subpoena, setting forth the time, date, and place at 
which he is to appear for the purpose of giving testimony. The notice 
shall also set forth the categories of documents the witness is to bring 
with him to the hearing, if any. A copy of the notice shall be filed 
with the Administrative Law Judge and additional copies shall be served 
upon the opposing parties.
    (b) It shall be the obligation of each party to produce for 
examination any person, along with such documents as may be requested, 
at the time and place, and on the date, set forth in the notice, if that 
party has control over such person. Each party shall be

[[Page 160]]

deemed to have control over its officers, agents, employees, and 
members. Due regard shall be given to the convenience of witnesses in 
scheduling their testimony so that they will be detained no longer than 
reasonably necessary.
    (c) The party or prospective witness may file an objection within 5 
days after notice of production of such witness is served stating with 
particularity the reasons why the party cannot produce a requested 
witness. The party serving the notice may move for an order with respect 
to such objection or failure to produce a witness.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.18  Rules of evidence.

    In any hearing, decision, or administrative review conducted 
pursuant to this part, all evidentiary matters shall be governed by 
Office of Administrative Law Judges' Rules of evidence at 29 CFR part 
18, subpart B, Provided however, That the provision at 29 CFR 18.1104 
which delays the effective date of the rule with respect to certain 
investigations does not apply.

[55 FR 19069, May 8, 1990]



Sec. 60-30.19  Objections; exceptions; offer of proof.

    (a) Objections. If a party objects to the admission or rejection of 
any evidence or to the limitation of the scope of any examination or 
cross-examination or the failure to limit such scope, he shall state 
briefly the grounds for such objection. Rulings on all objections shall 
appear in the record. Only objections made on the record may be relied 
upon subsequently in the proceedings.
    (b) Exceptions. Formal exception to an adverse ruling is not 
required. Rulings by the Administrative Law Judge shall not be appealed 
prior to the transfer of the case to the Secretary, but shall be 
considered by the Secretary upon filing exceptions to the Administrative 
Law Judge's recommendations and conclusions.
    (c) Offer of proof. An offer of proof made in connection with an 
objection taken to any ruling excluding proffered oral testimony shall 
consist of a statement of the substance of the evidence which counsel 
contends would be adduced by such testimony; and, if the excluded 
evidence consists of evidence in written form or consists of reference 
to documents, a copy of such evidence shall be marked for identification 
and shall accompany the record as the offer of proof.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.20  Ex parte communications.

    The Administrative Law Judge shall not consult any person, or party, 
on any fact in issue unless upon notice and opportunity for all parties 
to participate. No employee or agent of the Federal Government engaged 
in the investigation and prosecution of this case shall participate or 
advise in the rendering of the recommended or final decision in the 
case, except as witness or counsel in the proceeding.



Sec. 60-30.21  Oral argument.

    Any party shall be entitled upon request to a reasonable period 
between the close of evidence and termination of the hearing for oral 
argument. Oral arguments shall be included in the official transcript of 
the hearing.



Sec. 60-30.22  Official transcript.

    The official transcripts of testimony taken, together with any 
exhibits, briefs, or memorandums of law, shall be filed with the 
Administrative Law Judge. Transcripts of testimony may be obtained from 
the official reporter by the parties and the public as provided in 
section 11(a) of the Federal Advisory Committee Act (86 Stat. 770). Upon 
notice to all parties, the Administrative Law Judge may authorize such 
corrections to the transcript as are necessary to reflect accurately the 
testimony.



Sec. 60-30.23  Summary judgment.

    (a) For the Government. At any time after the expiration of 20 days 
from the commencement of the action, or after service of a motion for 
summary judgment by the respondent, the Government may move with or 
without supporting affidavits for a summary judgment upon all claims or 
any part.

[[Page 161]]

    (b) For defendant. The defendant may, at any time after commencement 
of the action, move with or without supporting affidavits for summary 
judgment in its favor as to all claims or any part.
    (c) Other parties. Any other party to a formal proceeding under this 
part may support or oppose motions for summary judgment made by the 
Government or respondent, in accordance with this section, but may not 
move for a summary judgment in his own behalf.
    (d) Statement of uncontested facts. All motions for summary judgment 
shall be accompanied by a ``Statement of Uncontested Facts'' in which 
the moving party sets forth all alleged uncontested material facts which 
shall provide the basis for its motion. At least 5 days prior to the 
time fixed for hearing on the motion, any party contending that any 
material fact regarding the matter covered by the motion is in dispute, 
shall file a ``Statement of Disputed Facts.'' Failure to file a 
``Statement of Disputed Facts'' shall be deemed as an admission to the 
``Statement of Uncontested Facts.''
    (e) Motion and proceedings. The motion shall be served upon all 
parties at least 15 days before the time fixed for the hearing on the 
motion. The adverse party or parties may serve opposing affidavits prior 
to the day of hearing. The judgment sought shall be rendered forthwith 
if the complaint and answer, depositions, and admissions on file, 
together with the affidavits, if any, show that there is no genuine 
issue as to any material fact and that the moving party is entitled to a 
judgment as a matter of law. Summary judgment rendered for or against 
the Government or the respondent shall constitute the findings and 
recommendations on the issues involved. Hearings on motions made under 
this section shall be scheduled by the Administrative Law Judge.
    (f) Case not fully adjudicated on motion. If on motion under this 
section judgment is not rendered upon the whole case or for all the 
relief asked and a final hearing is necessary, the Administrative Law 
Judge at the hearing of the motion, by examining the notice and answer 
and the evidence before him and by interrogating counsel, shall, if 
practicable, ascertain what material facts exist without substantial 
controversy and what material facts are actually and in good faith 
controverted. He shall thereupon make an order specifying the facts that 
appear without substantial controversy, including the extent to which 
relief is not in controversy, and directing such further proceedings as 
are just. At the hearing on the merits, the facts so specified shall be 
deemed established, and the final hearing shall be conducted 
accordingly.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-30.24  Participation by interested persons.

    (a)(1) To the extent that proceedings hereunder involve employment 
of persons covered by a collective bargaining agreement, and compliance 
may necessitate a revision of such agreement, any labor organization 
which is a signatory to the agreement shall have the right to 
participate as a party.
    (2) Other persons or organizations shall have the right to 
participate as parties if the final Administrative order could adversely 
affect them or the class they represent, and such participation may 
contribute materially to the proper disposition of the proceedings.
    (3) Any person or organization wishing to participate as a party 
under this section shall file with the Administrative Law Judge and 
serve on all parties a petition within 25 days after the commencement of 
the action or at such other time as ordered by the Administrative Law 
Judge, so long as it does not disrupt the proceeding. Such petition 
shall concisely state: (i) Petitioner's interest in the proceedings; 
(ii) who will appear for petitioner; (iii) the issues on which 
petitioner wishes to participate; and (iv) whether petitioner intends to 
present witnesses.
    (4) The Administrative Law Judge shall determine whether each 
petitioner has the requisite interest in the proceedings and shall 
permit or deny participation accordingly. Where petitions to participate 
as parties are made by individuals or groups with common interest, the 
Administrative Law Judge may request all such petitioners to designate a 
single representative to

[[Page 162]]

represent all such petitioners: Provided, That the representative of a 
labor organization qualifying to participate under paragraph (a)(1) of 
the section must be permitted to participate in the proceedings. The 
Administrative Law Judge shall give each petitioner written notice of 
the decision on his petition; and if the petition is denied, he shall 
briefly state the grounds for denial and shall then treat the petition 
as a request for participation as amicus curiae. The Administrative Law 
Judge shall give written notice to each party of each petition granted.
    (b)(1) Any other interested person or organization wishing to 
participate as amicus curiae shall file a petition before the 
commencement of the final hearing with the Administrative Law Judge. 
Such petition shall concisely state: (i) The petitioner's interest in 
the hearing; (ii) who will represent the petitioner; and (iii) the 
issues on which petitioner intends to present argument. The 
Administrative Law Judge may grant the petition if he finds that the 
petitioner has a legitimate interest in the proceedings, and that such 
participation may contribute materially to the proper disposition of the 
issues. An amicus curiae is not a party but may participate as provided 
in this section.
    (2) An amicus curiae may present a brief oral statement at the 
hearing at the point in the proceeding specified by the Administrative 
Law Judge. He may submit a written statement of position to the 
Administrative Law Judge prior to the beginning of a hearing and shall 
serve a copy on each party. He may also submit a brief or written 
statement at such time as the parties submit briefs and exceptions, and 
he shall serve a copy on each party.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]

                         Post-Hearing Procedures



Sec. 60-30.25  Proposed findings of fact and conclusions of law.

    Within 20 days after receipt of the transcript of the testimony, 
each party and amicus may file a brief. Such briefs shall be served 
simultaneously on all parties and amici, and a certificate of service 
shall be furnished to the Administrative Law Judge. Requests for 
additional time in which to file a brief shall be made in writing, and 
copies shall be served simultaneously on the other parties. Requests for 
extensions shall be received not later than 3 days before the date such 
briefs are due. No reply brief may be filed except by special permission 
of the Administrative Law Judge.



Sec. 60-30.26  Record for recommended decision.

    The transcript of testimony, exhibits, and all papers, documents, 
and requests filed in the proceedings, including briefs, but excepting 
the correspondence section of the docket, shall constitute the record 
for decision.



Sec. 60-30.27  Recommended decision.

    Within a reasonable time after the filing of briefs, the 
Administrative Law Judge shall recommend findings, conclusions, and a 
decision. These recommendations shall be certified, together with the 
record for recommended decision, to the Administrative Review Board, 
United States Department of Labor, for a final Administrative order. The 
recommended findings, conclusions, and decision shall be served on all 
parties and amici to the proceeding.

[61 FR 19988, May 3, 1996]



Sec. 60-30.28  Exceptions to recommended decisions.

    Within 14 days after receipt of the recommended findings, 
conclusions, and decision, any party may submit exceptions to said 
recommendation. These exceptions may be responded to by other parties 
within 14 days of their receipt by said parties. All exceptions and 
responses shall be filed with the Administrative Review Board, United 
States Department of Labor. Service of such briefs or exceptions and 
responses shall be made simultaneously on all parties to the proceeding. 
Requests to the Administrative Review Board, United States Department of 
Labor, for additional time in which to file exceptions and responses 
shall be in writing and copies shall be served simultaneously on other 
parties. Requests for extensions must be received no later

[[Page 163]]

than 3 days before the exceptions are due.

[61 FR 19988, May 3, 1996]



Sec. 60-30.29  Record.

    After expiration of the time for filing briefs and exceptions, the 
Administrative Review Board, United States Department of Labor, shall 
make a final decision, which shall be the final Administrative order, on 
the basis of the record. The record shall consist of the record for 
recommended decision, the rulings and recommended decision of the 
Administrative Law Judge and the exceptions and briefs filed subsequent 
to the Administrative Law Judge's decision.

[61 FR 19988, May 3, 1996]



Sec. 60-30.30  Final Administrative Order.

    After expiration of the time for filing, the Administrative Review 
Board, United States Department of Labor, shall make a final 
Administrative order which shall be served on all parties. If the 
Administrative Review Board, United States Department of Labor, 
concludes that the defendant has violated the Executive Order, the equal 
opportunity clause, or the regulations, an Administrative order shall be 
issued enjoining the violations, and requiring the contractor to provide 
whatever remedies are appropriate, and imposing whatever sanctions are 
appropriate, or any of the above. In any event, failure to comply with 
the Administrative order shall result in the immediate cancellation, 
termination and suspension of the respondent's contracts and/or 
debarment of the respondent from further contracts.

[61 FR 19988, May 3, 1996]

                      Expedited Hearing Procedures

    Authority: Sections 60-30.31 to 60-30.37 issued under E.O. 11246 (30 
FR 12319) as amended by E.O. 11375 and 12086.

    Source: Sections 60-30.31 to 60-30.37 appeared at 44 FR 77003, Dec. 
28, 1979, unless otherwise noted.



Sec. 60-30.31  Expedited hearings--when appropriate.

    Expedited Hearings may be used, inter alia, when a contractor or 
subcontractor has violated a conciliation agreement; has not adopted and 
implemented an acceptable affirmative action program; has refused to 
give access to or to supply records or other information as required by 
the equal opportunity clause; or has refused to allow an on-site 
compliance review to be conducted.



Sec. 60-30.32  Administrative complaint and answer.

    (a) Expedited hearings shall be commenced by filing an 
administrative complaint in accordance with 41 CFR 60-30.5. The 
complaint shall state that the hearing is subject to these expedited 
hearing procedures.
    (b) The answer shall be filed in accordance with 41 CFR 60-30.6 (a) 
and (b).
    (c) Failure to request a hearing within the 20 days provided by 41 
CFR 60-30.6(a) shall constitute a waiver of hearing, and all the 
material allegations of fact contained in the complaint shall be deemed 
to be admitted. If a hearing is not requested or is waived, within 25 
days of the complaint's filing, the Administrative Law Judge shall adopt 
as findings of fact the material facts alleged in the complaint, and 
shall order the appropriate sanctions and/or penalties sought in the 
complaint. The Administrative Law Judge's findings and order shall 
constitute a final Administrative order, unless the Office of the 
Solicitor, U.S. Department of Labor, files exceptions to the findings 
and order within 10 days of receipt thereof. If the Office of the 
Solicitor, U.S. Department of Labor, files exceptions, the matter shall 
proceed in accordance with Sec. 60-30.36 of this part.
    (d) If a request for a hearing is received within 20 days as 
provided by 41 CFR 60-30.6(a), the hearing shall be convened within 45 
days of receipt of the request and shall be completed within 15 days 
thereafter, unless more hearing time is required.



Sec. 60-30.33  Discovery.

    (a) Any party may serve requests for admissions in accordance with 
Sec. 60-30.9 (b) and (c).

[[Page 164]]

    (b) Witness lists and hearing exhibits will be exchanged at least 10 
days in advance of the hearing.
    (c) For good cause shown, and upon motion made in accordance with 
Sec. 60-30.8, the Administrative Law Judge may allow the taking of 
depositions. Other discovery will not be permitted.



Sec. 60-30.34  Conduct of hearing.

    (a) At the hearing, the Government shall be given an opportunity to 
demonstrate the basis for the request for sanctions and/or remedies, and 
the contractor shall be given an opportunity to show that the violation 
complained of did not occur and/or that good cause or good faith efforts 
excuse the alleged violations. Both parties shall be allowed to present 
evidence and argument and to cross-examine witnesses.
    (b) The hearing shall be informal in nature, and the Administrative 
Law Judge shall not be bound by formal rules of evidence.



Sec. 60-30.35   Recommended decision after hearing.

    Within 15 days after the hearing is concluded, the Administrative 
Law Judge shall recommend findings, conclusions, and a decision. The 
Administrative Law Judge may permit the parties to file written post-
hearing briefs within this time period, but the Administrative Law 
Judge's recommendations shall not be delayed pending receipt of such 
briefs. These recommendations shall be certified, together with the 
record, to the Administrative Review Board, United States Department of 
Labor, for a final Administrative order. The recommended decision shall 
be served on all parties and amici to the proceeding.

[61 FR 19989, May 3, 1996]



Sec. 60-30.36   Exceptions to recommendations.

    Within 10 days after receipt of the recommended findings, 
conclusions and decision, any party may submit exceptions to said 
recommendations. Exceptions may be responded to by other parties within 
7 days after receipt by said parties of the exceptions. All exceptions 
and responses shall be filed with the Administrative Review Board, 
United States Department of Labor. Briefs or exceptions and responses 
shall be served simultaneously on all parties to the proceeding.

[61 FR 19989, May 3, 1996]



Sec. 60-30.37   Final Administrative order.

    After expiration of the time for filing exceptions, the 
Administrative Review Board, United States Department of Labor, shall 
issue a final Administrative order which shall be served on all parties. 
Unless the Administrative Review Board, United States Department of 
Labor, issues a final Administrative order within 30 days after the 
expiration of the time for filing exceptions, the Administrative Law 
Judge's recommended decision shall become a final Administrative order 
which shall become effective on the 31st day after expiration of the 
time for filing exceptions. Except as to specific time periods required 
in this subsection, 41 CFR 60-30.30 shall be applicable to this 
subsection.

[61 FR 19989, May 3, 1996]



PART 60-40--EXAMINATION AND COPYING OF OFCCP DOCUMENTS--Table of Contents




                           Subpart A--General

Sec.
60-40.1  Purpose and scope.
60-40.2  Information available on request.
60-40.3  Information exempt from compulsory disclosure and which may be 
          withheld.
60-40.4  Information disclosure of which is prohibited by law.

                  Subpart B--Procedures for Disclosure

60-40.5  Applicability of procedures.
60-40.6  To whom to direct requests.
60-40.7  Partial disclosure.
60-40.8  Facilities and procedures for disclosure.

    Authority: E.O. 11246, as amended by E.O. 11375, and as amended by 
E.O. 12086; 5 U.S.C. 552.

    Source: 43 FR 49264, Oct. 20, 1978, unless otherwise noted.



                           Subpart A--General



Sec. 60-40.1  Purpose and scope.

    This part contains the general rules of the OFCCP providing for 
public access to information from records of the

[[Page 165]]

OFCCP or its various compliance agencies. These regulations implement 5 
U.S.C. 552, the Freedom of Information Act and supplement the policy and 
regulations of the Department of Labor, 29 CFR Part 70. It is the policy 
of the OFCCP to disclose information to the public and to cooperate with 
other public agencies as well as private parties seeking to eliminate 
discrimination in employment. This part sets forth generally the 
categories of records accessible to the public, the types of records 
subject to prohibitions or restrictions on disclosure, and the places at 
which and the procedures whereby members of the public may obtain access 
to and inspect and copy information from records in the custody of the 
OFCCP.

[43 FR 49264, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-40.2  Information available on request.

    (a) Upon the request of any person for identifiable records obtained 
or generated pursuant to Executive Order 11246 (as amended) such records 
shall be made available for inspection and copying, notwithstanding the 
applicability of the exemption from mandatory disclosure set forth in 5 
U.S.C. 552 subsection (b), if it is determined that the requested 
inspection or copying furthers the public interest and does not impede 
any of the functions of the OFCCP, except in the case of records 
disclosure of which is prohibited by law.
    (b) Consistent with the above, all contract compliance documents 
within the custody of the OFCCP shall be disclosed upon request unless 
specifically prohibited by law or as limited elsewhere herein. The types 
of documents which if in the custody of the OFCCP must be disclosed 
include, but are not limited to, the following:
    (1) Affirmative action plans, whether or not reviewed and finally 
accepted by the OFCCP except as limited in 41 CFR 60-40.3(a)(1).
    (2) Imposed plans and hometown plans, pending or approved.
    (3) Text of final conciliation agreements.
    (4) Validation studies of tests or other preemployment selection 
methods.
    (5) Dates and times of scheduled compliance reviews.



Sec. 60-40.3  Information exempt from compulsory disclosure and which may be withheld.

    (a) The following documents or parts thereof are exempt from 
mandatory disclosure by the OFCCP, and should be withheld if it is 
determined that the requested inspection or copying does not further the 
public interest and might impede the discharge of any of the functions 
of the OFCCP.
    (1) Those portions of affirmative action plans such as goals and 
timetables which would be confidential commercial or financial 
information because they indicate, and only to the extent that they 
indicate, that a contractor plans major shifts or changes in his 
personnel requirements and he has not made this information available to 
the public. A determination to withhold this type of information should 
be made only after receiving verification and a satisfactory explanation 
from the contractor that the information should be withheld.
    (2) Those portions of affirmative action plans which constitute 
information on staffing patterns and pay scales but only to the extent 
that their release would injure the business or financial position of 
the contractor, would constitute a release of confidential financial 
information of an employee or would constitute an unwarranted invasion 
of the privacy of an employee.
    (3) The names of individual complainants.
    (4) The assignments to particular contractors of named compliance 
officers if such disclosure would subject the named compliance officers 
to undue harassment or would affect the efficient enforcement of the 
Executive order.
    (5) Compliance investigation files including the standard compliance 
review report and related documents, during the course of the review to 
which they pertain or while enforcement action against the contractor is 
in progress or contemplated within a

[[Page 166]]

reasonable time. Therefore, these reports and related files shall not be 
disclosed only to the extent that information contained therein 
constitutes trade secrets and confidential commercial or financial 
information, inter-agency or intra-agency memoranda or letters which 
would not be available by law to a private party in litigation with the 
agency, personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy, data which would be exempt from mandatory disclosure pursuant 
to the ``informants privilege'' or such information the disclosure of 
which is prohibited by statute.
    (6) Copies of preemployment selection tests used by contractors.
    (b) Other records may be withheld consistent with the Freedom of 
Information Act on a case-by-case basis, with the prior approval of the 
Director, OFCCP.



Sec. 60-40.4  Information disclosure of which is prohibited by law.

    The Standard Form 100 (EEO-1) which is submitted by contractors to 
the OFCCP or a Joint Reporting Committee servicing both the OFCCP and 
the EEOC shall be disclosed pending further instructions from the 
Director. The statutory prohibition on disclosure set forth in section 
709(e) of the Civil Rights Act of 1964 is limited by the terms of that 
section to information obtained pursuant to the authority of title VII 
of that Act and its disclosure by employees of the EEOC.



                  Subpart B--Procedures for Disclosure



Sec. 60-40.5  Applicability of procedures.

    Requests for the inspection and copying of information from records 
in the custody of the OFCCP which are identifiable and available under 
the provisions of Subpart A of this part shall be made and acted upon as 
provided in the following sections of this subpart. Officers and 
employees of the OFCCP are authorized by the Director to continue to 
furnish to the public, informally and without compliance with these 
procedures, information and copies from its records which prior to the 
enactment of the Freedom of Information Act (5 U.S.C. 552) were 
customarily furnished in the regular performance of their duties.

[43 FR 49264, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-40.6  To whom to direct requests.

    A request for contract compliance records or information shall be 
directed to the National OFCCP or appropriate OFCCP Regional or Area 
Office. If the person making the request does not know in which office 
the record is located, he may direct his request to the Director, Office 
of Federal Contract Compliance Programs, Department of Labor, 200 
Constitution Avenue NW., Washington, DC 20210, for appropriate handling.



Sec. 60-40.7  Partial disclosure.

    If a requested record contains some materials which are protected 
from disclosure and other materials which are not so protected, 
identifying details or protected matters shall be deleted wherever 
analysis indicates that such deletions are feasible. Whenever such 
deletions are made, the remainder of the records may be disclosed.



Sec. 60-40.8  Facilities and procedures for disclosure.

    (a) [Reserved]
    (b) Procedures relating to the avaliability of records shall be 
governed by the Department of Labor regulations, 29 CFR 70.35 to 70.64.



PART 60-50--GUIDELINES ON DISCRIMINATION BECAUSE OF RELIGION OR NATIONAL ORIGIN--Table of Contents




Sec.
60-50.1  Purpose and scope.
60-50.2  Equal employment policy.
60-50.3  Accommodations to religious observance and practice.
60-50.4  Enforcement.
60-50.5  Nondiscrimination.

    Authority: Sec. 201, E.O. 11246, 30 FR 12319, and E.O. 11375, 32 FR 
14303, as amended by E.O. 12086.

    Source: 43 FR 49265, Oct. 20, 1978, unless otherwise amended.

[[Page 167]]



Sec. 60-50.1  Purpose and scope.

    (a) The purpose of the provisions in this part is to set forth the 
interpretations and guidelines of the Office of Federal Contract 
Compliance Programs regarding the implementation of Executive Order 
11246, as amended, for promoting and insuring equal employment 
opportunities for all persons employed or seeking employment with 
Government contractors and subcontractors or with contractors and 
subcontractors performing under federally assisted construction 
contracts, without regard to religion or national origin.
    (b) Members of various religious and ethnic groups, primarily but 
not exclusively of Eastern, Middle, and Southern European ancestry, such 
as Jews, Catholics, Italians, Greeks, and Slavic groups, continue to be 
excluded from executive, middle-management, and other job levels because 
of discrimination based upon their religion and/or national origin. 
These guidelines are intended to remedy such unfair treatment.
    (c) These guidelines are also intended to clarify the obligations of 
employers with respect to accommodating to the religious observances and 
practices of employees and prospective employees.
    (d) The employment problems of blacks, Spanish-surnamed Americans, 
orientals, and American Indians are treated under Part 60-2 of this 
chapter and under other regulations and procedures implementing the 
requirements of Executive Order 11246, as amended. Accordingly, the 
remedial provisions of Sec. 60-50.2(b) shall not be applicable to the 
employment problems of these groups.
    (e) Nothing contained in this Part 60-50 is intended to supersede or 
otherwise limit the exemption set forth in Sec. 60-1.5(a)(5) of this 
chapter for contracts with certain educational institutions.



Sec. 60-50.2  Equal employment policy.

    (a) General requirements. Under the equal opportunity clause 
contained in section 202 of Executive Order 11246, as amended, employers 
are prohibited from discriminating against employees or applicants for 
employment because of religion or national origin, and must take 
affirmative action to insure that applicants are employed, and that 
employees are treated during employment, without regard to their 
religion or national origin. Such action includes, but is not limited to 
the following: Employment, upgrading, demotion, or transfer: Recruitment 
or recruitment advertising; layoff or termination; rates of pay or other 
forms of compensation; and selection for training, including 
apprenticeship.
    (b) Outreach and positive recruitment. Employers shall review their 
employment practices to determine whether members of the various 
religious and/or ethnic groups are receiving fair consideration for job 
opportunities. Special attention shall be directed toward executive and 
middle-management levels, where employment problems relating to religion 
and national origin are most likely to occur. Based upon the findings of 
such reviews, employers shall undertake appropriate outreach and 
positive recruitment activities, such as those listed below, in order to 
remedy existing deficiencies. It is not contemplated that employers 
necessarily will undertake all of the listed activities. The scope of 
the employer's efforts shall depend upon all the circumstances, 
including the nature and extent of the employer's deficiencies and the 
employer's size and resources.
    (1) Internal communication of the employer's obligation to provide 
equal employment opportunity without regard to religion or national 
origin in such a manner as to foster understanding, acceptance, and 
support among the employer's executive, management, supervisory, and all 
other employees and to encourage such persons to take the necessary 
action to aid the employer in meeting this obligation.
    (2) Development of reasonable internal procedures to insure that the 
employer's obligation to provide equal employment opportunity without 
regard to religion or national origin is being fully implemented.
    (3) Periodically informing all employees of the employer's 
commitment to equal employment opportunity for all persons, without 
regard to religion or national origin.
    (4) Enlisting the assistance and support of all recruitment sources 
(including employment agencies, college

[[Page 168]]

placement directors, and business associates) for the employer's 
commitment to provide equal employment opportunity without regard to 
religion or national origin.
    (5) Reviewing employment records to determine the availability of 
promotable and transferable members of various religious and ethnic 
groups.
    (6) Establishment of meaningful contacts with religious and ethnic 
organizations and leaders for such purposes as advice, education, 
technical assistance, and referral of potential employees.
    (7) Engaging in significant recruitment activities at educational 
institutions with substantial enrollments of students from various 
religious and ethnic groups.
    (8) Use of the religious and ethnic media for institutional and 
employment advertising.



Sec. 60-50.3  Accommodations to religious observance and practice.

    An employer must accommodate to the religious observances and 
practices of an employee or prospective employee unless the employer 
demonstrates that it is unable to reasonably accommodate to an 
employee's or prospective employee's religious observance or practice 
without undue hardship on the conduct of the employer's business. As 
part of this obligation, an employer must make reasonable accommodations 
to the religious observances and practices of an employee or prospective 
employee who regularly observes Friday evening and Saturday, or some 
other day of the week, as his Sabbath and/or who observes certain 
religious holidays during the year and who is conscientiously opposed to 
performing work or engaging in similar activity on such days, when such 
accommodations can be made without undue hardship on the conduct of the 
employer's business. In determining the extent of an employer's 
obligations under this section, at least the following factors shall be 
considered: (a) Business necessity, (b) financial costs and expenses, 
and (c) resulting personnel problems.



Sec. 60-50.4  Enforcement.

    The provisions of this part are subject to the general enforcement, 
compliance review, and complaint procedures set forth in Subpart B of 
Part 60-1 of this chapter.



Sec. 60-50.5  Nondiscrimination.

    The provisions of this part are not intended and shall not be used 
to discriminate against any qualified employee or applicant for 
employment because of race, color, religion, sex, or national origin.



PART 60-60--CONTRACTOR EVALUATION PROCEDURES FOR CONTRACTORS FOR SUPPLIES AND SERVICES--Table of Contents




                           Subpart A--General

Sec.
60-60.1  Purpose and scope.
60-60.2  Background.

             Subpart B--Procedures for Contractor Evaluation

60-60.3  Agency actions.

           Subpart C--Disclosure and Review of Contractor Data

60-60.4  Confidentiality and relevancy of information.
60-60.5  Employee interviews.
60-60.6  Exit conference.
60-60.7  Time schedule for completion.
60-60.8  Supersedure.

    Authority: 5 U.S.C. 553(a)(3)(B), 29 CFR 2.7; sec. 201, E.O. 11246, 
30 FR 12319, and E.O. 11375, 32 FR 14303, as amended by E.O. 12086.

    Source: 43 FR 49266, Oct. 20, 1978, unless otherwise noted.



                           Subpart A--General



Sec. 60-60.1  Purpose and scope.

    This part shall be known as ``Revised Order No. 14'' and is intended 
to establish standardized contractor evaluation procedures for 
conducting compliance reviews of contractors for supplies and services 
subject to the Equal Employment Opportunity Requirements of 41 CFR 60-
1.40 and 41 CFR part 60-2 (Revised Order No. 4) for the development of 
written affirmative action programs.

[[Page 169]]



Sec. 60-60.2  Background.

    (a) Each prime contractor or subcontractor with 50 or more employees 
and a contract of $50,000 or more is required to develop a written 
affirmative action program for each of its establishments (Sec. 60-1.40 
of this chapter). If a contractor fails to submit an affirmative action 
program and supporting documents, including the workforce analysis 
within 30 days of a request therefor, the enforcement procedures 
specified in OFCCP Order No. 4 (Sec. 60-2.2(c) of this chapter) shall be 
applicable.
    (b) Required affirmative action programs must contain a utilization 
analysis and goals and timetables as required in Secs. 60-2.11 and 60-
2.12 of this chapter.

[43 FR 49266, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



             Subpart B--Procedures for Contractor Evaluation



Sec. 60-60.3  Agency actions.

    (a) Basic steps. A contractor evaluation should proceed as follows:
    (1) A desk audit of the contractor's affirmative action program with 
special attention directed to the included workforce analysis, using the 
format set forth in the Standard Compliance Review Report,
    (2) An on-site review of those matters which still are not fully or 
satisfactorily addressed in the affirmative action program and workforce 
analysis, using the format set forth in the Standard Compliance Review 
Report and
    (3) Where necessary, an off-site analysis of information supplied by 
the contractor during or pursuant to the on-site review. Contractors may 
reach agreement with OFCCP on nationwide AAP formats or on frequency of 
updating statistics.
    (b) Desk Audit. Using its approved methods of priority selection, 
OFCCP shall routinely request from among the Federal contractors within 
their jurisdiction affirmative action programs and supporting 
documentation, including the workforce analysis and support data for 
audit. As used throughout this part, the term ``Affirmative Action 
Program (AAP) and supporting documentation'' means the Required Contents 
of Affirmative Action Programs, as set forth in subpart B of 41 CFR part 
60-2 and Methods of Implementing the Requirements of subpart B, set 
forth in subpart C of 41 CFR part 60-2. ``Workforce analysis'' is 
defined as a listing of each job title as appears in applicable 
collective bargaining agreements or payroll records (not job groups) 
ranked from the lowest paid to the highest paid within each department 
or other similar organizational unit including departmental or unit 
supervision. If there are separate work units or lines of progression 
within a department a separate list must be provided for each such work 
unit, or line, including unit supervisors. For lines of progression 
there must be indicated the order of jobs in the line through which an 
employee could move to the top of the line. Where there are no formal 
progression lines or usual promotional sequences, job titles should be 
listed by department, job families, or disciplines, in order of wage 
rates or salary ranges. For each job title, the total number of 
incumbents, the total number of male and female incumbents, and the 
total number of male and female incumbents in each of the following 
groups must be given: Blacks, Spanish-surnamed Americans, American 
Indians, and Orientals. The wage rate or salary range for each job title 
must be given. All job titles, including all managerial job titles, must 
be listed.
    (1) Exceptions to the desk audit requirements. For preaward reviews 
and for complaint investigations, the desk audit need not be carried out 
or an abbreviated desk audit may be performed and an immediate on-site 
review performed. Special reports that meet the criteria in paragraph 
(b)(1) of this section may be requested from contractors, as required, 
for submission to the OFCCP for complaint investigations and follow-up 
reviews performed within 1 year of a full compliance review. The 
Director may approve other special compliance reviews when the 
circumstances require an immediate on-site review.

[[Page 170]]

    (c) On-site review. If upon selection of an AAP and included 
workforce analysis for desk audit, the OFCCP finds that the material 
submitted does not demonstrate a reasonable effort by the contractor to 
meet all the requirements of subparts B and C of Order No. 4 (part 60-2 
of this chapter) the on-site review need not be carried out and the 
enforcement procedures specified in Order 4 shall be applicable. 
Otherwise following a desk audit of the affirmative action program and 
supporting documentation the OFCCP will schedule an on-site review of 
the establishment, provided, that an on-site review need not be carried 
out when OFCCP can determine that the contractor's affirmative action 
program is acceptable. This determination must be based on the current 
desk audit and an on-site review conducted within the preceding 24 
months and also must include an affirmative determination that the 
circumstances of the previous on-site review have not substantially 
changed.
    (1) OFCCP is to request from those contractors scheduled for on-site 
reviews that information necessary to perform the review be made 
available on-site. Specifically, this includes (i) information necessary 
to conduct an indepth analysis of apparent deficiencies in the 
contractors utilization of women or minorities, (ii) information 
required for a complete and thorough understanding of data contained in 
or offered as support for the affirmative action program, and (iii) 
information concerning matters relevant to a determination of compliance 
with the requirements of Executive Order 11246 (as amended), but not 
adequately addressed in the affirmative action program. However, the 
contractor should be requested to furnish only the specific items of 
information which the compliance officer determines are:
    (a) Necessary for conducting the review and completing the standard 
compliance review report, and
    (b) Not contained in or able to be derived from the material 
submitted by the contractor.
    (2) In order to pursue certain issues uncovered in the compliance 
review, it may be necessary for the compliance officer to request 
certain additional information on-site even though such data have not 
been previously identified. Such additonal information must also meet 
the above criteria.
    (d) Off-site analysis. Where necessary, the compliance officer may 
take information made available during the on-site review off-site for 
further analysis. An off-site analysis should be conducted where issues 
have arisen concerning deficiencies or an apparent violation which, in 
the judgment of the compliance officer, should be more thoroughly 
analyzed off-site before a determination of compliance is made.

[43 FR 49266, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



           Subpart C--Disclosure and Review of Contractor Data



Sec. 60-60.4  Confidentiality and relevancy of information.

    (a) Desk audit data. If the contractor is concerned with the 
confidentiality of such information as lists of employees, employee 
names, reasons for termination and pay data then alphabetic or numeric 
coding or the use of an index of pay and pay ranges are acceptable for 
desk audit purposes.
    (b) On-site data. The contractor must provide full access to all 
relevant data on-site as required by Sec. 60-1.43 of this chapter.
    (c) Data required for off-site analysis. The contractor must provide 
all data determined by the compliance officer to be necessary for off-
site analysis pursuant to Sec. 60-60.3(c) of this part. Such data may 
only be coded if the contractor makes the code available to the 
compliance officer. If the contractor believes that particular 
information which is to be taken off-site is not relevant to compliance 
with the Executive order, the contractor may request a ruling by the 
OFCCP Area Director. The OFCCP Area Director shall issue a ruling within 
10 days. The contractor may appeal that ruling to the OFCCP Assistant 
Regional Administrator within 10 days. The Assistant Regional 
Administrator shall issue a final ruling within 10 days. Pending a final 
ruling, the information in question must be made available to the 
compliance officer off-site, but shall be considered a part of the 
investigatory file and subject to the provisions of paragraph (d)

[[Page 171]]

of this section. The agency shall take all necessary precautions to 
safeguard all confidentiality of such information until a final 
determination is made. Such information may not be copied and access to 
the information shall be limited to the compliance officer and personnel 
involved in the determination of relevancy. Data determined to be not 
relevant to the investigation will be returned to the contractor 
immediately.
    (d) Public access to information. Information obtained from a 
contractor under subpart B will be subject to the public inspection and 
copying provisions of the Freedom of Information Act, 5 U.S.C. 552. 
Contractors should identify any information which they believe is not 
subject to disclosure under 5 U.S.C. 552, and should specify the reasons 
why such information is not disclosable. The OFCCP Assistant Regional 
Administrator will consider the contractor's claim and make a 
determination, within 10 days, as to whether the material in question is 
exempt from disclosure. The OFCCP Assistant Regional Administrator will 
inform the contractor of such a determination. The contractor may appeal 
that ruling to the Director of OFCCP within 10 days. The Director of 
OFCCP shall make a final determination within 10 days of the filing of 
the appeal. However, during the conduct of a compliance review or while 
enforcement action against the contractor is in progress or contemplated 
within a reasonable time, all information obtained from a contractor 
under subpart B except information disclosable under Secs. 60-40.2 and 
60-40.3 of this chapter is to be considered part of an investigatory 
file compiled for law enforcement purposes within the meaning of 5 
U.S.C. 552(b)(7), and such information obtained from a contractor under 
subpart B shall be treated as exempt from mandatory disclosure under the 
Freedom of Information Act during the compliance review.
    (e) Examination and copying of documents. Nothing contained herein 
is intended to supersede or otherwise limit the provisions contained in 
Part 60-40 of this chapter for public access to information from records 
of the OFCC or its various compliance agencies.

[43 FR 49266, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-60.5  Employee interviews.

    The compliance officer should contact, where appropriate, a 
reasonable number of employees for interviews as part of the on-site 
review of the contractors' employment practices. The number, scope and 
manner of conducting such interviews should be discussed in advance with 
the contractor.



Sec. 60-60.6  Exit conference.

    (a) Upon completion of the on-site review (and off-site analysis, if 
one is undertaken) the compliance officer should schedule an exit 
conference with contractor officials to review the findings of the 
review. This exit conference should itemize the apparent violations that 
lend themselves to immediate correction, and solicit the contractor's 
agreement to take adequate corrective action by specified dates. The 
contractor's commitments should be contained in a written conciliation 
agreement signed at the exit conference. However, in cases where the 
apparent deficiencies require further analysis subsequent to the on-site 
review, the compliance officer will advise the contractor of the areas 
of concern, secure the data necessary to his ultimate compliance 
determination, complete the review later by notifying the contractor in 
writing of all apparent violations found, and obtain the contractor's 
commitments in a written conciliation agreement to correct such 
deficiencies.
    (b) The contractor may at any time avail himself of the provisions 
of Sec. 60-1.24(c)(4) of this chapter which provides as follows:
    (1) When a prime contractor or subcontractor, without a hearing, 
shall have complied with the recommendations or orders of the Director 
and believes such recommendations or orders to be erroneous, he shall, 
upon filing a request therefor within 10 days of such compliance, be 
afforded an opportunity for a hearing and review of the alleged 
erroneous action.

[[Page 172]]



Sec. 60-60.7  Time schedule for completion.

    (a) With the exception of extensions of time granted by the Director 
of OFCCP for good cause shown, within 60 days from the date the 
affirmative action program including the workforce analysis is received, 
the contractor must have been found in compliance and notified of that 
fact, or must have been issued a 30-day show cause notice as required 
under the rules and regulations pursuant to the Executive order.
    (b) During this period the compliance officer shall:
    (1) Complete the desk audit.
    (2) Schedule the on-site review.
    (3) Complete the on-site review.
    (4) Complete the off-site analysis, if conducted.
    (5) Give notice of compliance or issue show cause notice.
    (c) Failure to give the contractor a notice of compliance or issue a 
show cause notice within the time period set forth in paragraph (a) 
shall not be deemed a finding of compliance or acceptance of the 
contractor's affirmative action program.

[43 FR 49266, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec. 60-60.8  Supersedure.

    The requirements of this part 60-60 supersede the prior version of 
Revised Order No. 14 published at 38 FR 13376, May 21, 1973.



PART 60-250--AFFIRMATIVE ACTION OBLIGATIONS OF CONTRACTORS AND SUBCONTRACTORS FOR DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA--Table of Contents




  Subpart A--Preliminary Matters, Affirmative Action Clause, Compliance

Sec.
60-250.1  Purpose and application.
60-250.2  Definitions.
60-250.3  Coverage and waivers.
60-250.4  Affirmative action clause.
60-250.5  Applicability of the affirmative action program requirement.
60-250.6  Affirmative action policy, practices and procedures.
60-250.7  Determination of disability.
60-250.8  [Reserved]
60-250.9  Labor unions and recruiting and training agencies.

         Subpart B--General Enforcement and Complaint Procedure

60-250.20  Subcontracts.
60-250.21  Adaptation of language.
60-250.22  Incorporation by reference.
60-250.23  Incorporation by operation of the Act and agency regulations.
60-250.24  Duties of agencies.
60-250.25  Evaluations by the Director.
60-250.26  Complaint procedures.
60-250.27  Noncompliance with the affirmative action clause.
60-250.28  Actions for noncompliance.
60-250.29  Formal hearings.
60-250.30  Notification of agencies.
60-250.31  Contractor ineligibility list.
60-250.32  Disputed matters related to the affirmative action program.
60-250.33  Responsibilities of State employment services.

                      Subpart C--Ancillary Matters

60-250.50  Reinstatement of ineligible contractors and subcontractors.
60-250.51  Intimidation and interference.
60-250.52  Recordkeeping.
60-250.53  Access to records of employment.
60-250.54  Rulings and interpretations.

Appendix A to Part 60-250--Sample Invitation to Self-Identify
Appendix B to Part 60-250

    Authority: 29 U.S.C. 793; 38 U.S.C. 4211 and 4212; Executive Order 
11758 (3 CFR, 1971-1975 Comp., p. 841).

    Source: 43 FR 49268, Oct. 20, 1978, unless otherwise noted.



  Subpart A--Preliminary Matters, Affirmative Action Clause, Compliance



Sec. 60-250.1  Purpose and application.

    The purpose of the regulations in this part is to assure compliance 
with section 402 of the Vietnam Era Veterans Readjustment Assistance Act 
of 1974, which requires government contractors and subcontractors to 
take affirmative action to employ and advance in employment qualified 
disabled veterans and veterans of the Vietnam era. The regulations in 
this part apply to all government contracts and subcontracts for the 
furnishing of supplies or services or for the use of real or personal 
property (including construction) for $10,000 or more.

[[Page 173]]



Sec. 60-250.2  Definitions.

    Act means the Vietnam Era Veterans Readjustment Assistance Act of 
1974, Pub. L. 93-508, as it amends 38 U.S.C. 2012, the Vietnam Era 
Veterans Readjustment Assistance Act of 1972.
    Affirmative action clause means the contract provisions set forth in 
Sec. 60-250.4.
    Agency means any contracting agency of the government.
    Assistant Secretary means the Assistant Secretary of Labor for 
Employment Standards or his or her designee.
    Construction means the construction, rehabilitation, alteration, 
conversion, extension, demolition, or repair of buildings, highways, or 
other changes or improvements to real property, including facilities 
providing utility services. The term also includes the supervision, 
inspection, and other onsite functions incidental to the actual 
construction.
    Contract means any government contract.
    Contracting agency means any department, agency, establishment or 
instrumentality of the United States, including any wholly owned 
Government corporation, which enters into contracts.
    Contractor means, unless otherwise indicated, a prime contractor or 
subcontractor.
    Director means the Director of the Office of Federal Contract 
Compliance Programs of the United States Department of Labor or his/her 
designee.
    Disabled veteran means a person entitled to disability compensation 
under laws administered by the Veterans Administration for disability 
rated at 30 per centum or more, or a person whose discharge or release 
from active duty was for a disability incurred or aggravated in the line 
of duty.
    Government means the Government of the United States of America.
    Government contract means any agreement or modification thereof 
between any contracting agency and any person for the furnishing of 
supplies or services or for the use of real or personal property 
including lease arrangements. The term ``services'', as used in this 
section includes, but is not limited to the following services: Utility, 
construction, transportation, research, insurance, and fund depository, 
irrespective of whether the government is the purchaser or seller. The 
term ``government contract'' does not include (1) agreements in which 
the parties stand in the relationship of employer and employee, and (2) 
federally assisted contracts.
    Modification means any alteration in the terms and conditions of a 
contract, including supplemental agreements, amendments, and extensions.
    Person means any natural person, corporation, partnership or joint 
venture, unincorporated association, State or local government, and any 
agency, instrumentality, or subdivision of such a government.
    Prime contractor means any person holding a contract, and, for the 
purposes of Subpart B of this part, includes any person who has held a 
contract subject to the Act.
    Qualified disabled veteran means a disabled veteran as defined in 
Sec. 60-250.2 who is capable of performing a particular job, with 
reasonable accommodation to his or her disability.
    Recruiting and training agency means any person who refers workers 
to any contractor or subcontractor, or who provides or supervises 
apprenticeship or training for employment by any contractor or 
subcontractor.
    Rules, regulations, and relevant orders of the Secretary of Labor as 
used in paragraph (i) of the affirmative action clause means rules, 
regulations, and relevant orders of the Secretary of Labor or his or her 
designee issued pursuant to the Act.
    Secretary means the Secretary of Labor, U.S. Department of Labor.
    Subcontract means any agreement or arrangement between a contractor 
and any person (in which the parties do not stand in the relationship of 
an employer and an employee):
    (1) For the furnishing of supplies or services or for the use of 
real or personal property, including lease arrangements which, in whole 
or in part, is necessary to the performance of any one or more 
contracts; or
    (2) Under which any portion of the contractor's obligation under any 
one or more contracts is performed, undertaken, or assumed.
    Subcontractor means any person holding a subcontract and, for the 
purpose

[[Page 174]]

of Subpart B of this part, any person who has held a subcontract subject 
to the Act.
    United States as used herein shall include the several States, the 
District of Columbia, the Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, the Panama Canal Zone, American Samoa and the Trust 
Territory of the Pacific Islands.
    Veteran of the Vietnam era means a person who:
    (1) Served on active duty for a period of more than 180 days, any 
part of which occurred between August 5, 1964, and May 7, 1975, and was 
discharged or released therefrom with other than a dishonorable 
discharge, or
    (2) Was discharged or released from active duty for a service-
connected disability if any part of such active duty was performed 
between August 5, 1964, and May 7, 1975.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978; as amended at 45 
FR 9272, Feb. 12, 1980; 60 FR 1987, Jan. 5, 1995]



Sec. 60-250.3  Coverage and waivers.

    (a) General. (1) Transactions for less than $10,000. Contracts and 
subcontracts for less than $10,000 are not covered by the act. No 
agency, contractor or subcontractor shall procure supplies or services 
in less than usual quantities to avoid the applicability of the 
affirmative action clause.
    (2) Contracts and subcontracts for indefinite quantities. With 
respect to indefinite delivery-type contracts and subcontracts 
(including, but not limited to, open end contracts, requirement-type 
contracts, Federal Supply Schedule contracts, ``call-type'' contracts, 
and purchase notice agreements), the affirmative action clause shall be 
included unless the contracting agency has reason to believe that the 
amount to be ordered in any year under such contract will be less than 
$10,000. The applicability of the affirmative action clause shall be 
determined at the time of award for the first year, and annually 
thereafter for succeeding years, if any. Notwithstanding the above, the 
affirmative action clause shall be applied to such contract whenever the 
amount of a single order is $10,000 or more. Once the affirmative action 
clause is determined to be applicable, the contract shall continue to be 
subject to such clause for its duration, regardless of the amounts 
ordered, or reasonably expected to be ordered in any year.
    (3) Work outside the United States. The requirements of the 
affirmative action clause are waived with respect to contracts and 
subcontracts with regard to work performed outside the United States by 
employees who were not recruited within the United States.
    (4) Contracts with State or local governments. The requirements of 
the affirmative action clause in any contract or subcontract with a 
State or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract.
    (5) Facilities not connected with contracts. The Director may waive 
the requirements of the affirmative action clause with respect to any of 
a prime contractor's or subcontractor's facilities which he or she finds 
to be in all respects separate and distinct from activities of the prime 
contractor or subcontractor related to the performance of the contract 
or subcontract, provided that he or she also finds that such a waiver 
will not interfere with or impede the effectuation of the Act. Such 
waivers shall be considered only upon the request of the contractor or 
subcontractor.
    (b) Waivers--(1) Specific contracts and classes of contracts. The 
head of an agency, with the concurrence of the Director, may waive the 
application to any contract or subcontract of any part of or all the 
affirmative action clause when he or she deems that special 
circumstances in the national interest so require. The agency head, with 
the concurrence of the Director, may also grant such waivers to groups 
or categories of contracts or subcontracts of the same type where it is 
(i) in the national interest, (ii) found impracticable to act upon each 
request individually, and (iii) where such waiver will substantially 
contribute to convenience in administration of the Act.
    (2) National security. Any requirement set forth in the regulations 
in this Part

[[Page 175]]

shall not apply to any contract or subcontract whenever the head of the 
contracting agency determines that such contract or subcontract is 
essential to the national security and that its award without complying 
with such requirements is necessary to the national security. Upon 
making such a determination, the head of the agency will notify the 
Director in writing within 30 days.
    (c) Withdrawal of waiver. When a waiver has been granted for any 
class of contracts or subcontracts under this section other than 
contracts granted waivers under paragraph (b)(2) of this section, the 
Director may withdraw the waiver for a specific contract or subcontract 
or group of contracts or subcontracts to be awarded, when in his or her 
judgment such action is necessary or appropriate to achieve the purposes 
of the Act. The withdrawal shall not apply to contracts or subcontracts 
awarded prior to the withdrawal, except that in procurements entered 
into by formal advertising, or the various forms of restricted formal 
advertising, such withdrawal shall not apply unless the withdrawal is 
made more than 10 calendar days before the date set for the opening of 
the bids.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978]



Sec. 60-250.4  Affirmative action clause.

    Each agency and each contractor and subcontractor shall include the 
following affirmative action clause in each of its covered government 
contracts or subcontracts (and modifications, renewals, or extensions 
thereof if not included in the original contract):

Affirmative Action for Disabled Veterans and Veterans of the Vietnam Era

    (a) The contractor will not discriminate against any employee or 
applicant for employment because he or she is a disabled veteran or 
veteran of the Vietnam era in regard to any position for which the 
employee or applicant for employment is qualified. The contractor agrees 
to take affirmative action to employ, advance in employment and 
otherwise treat qualified disabled veterans and veterans of the Vietnam 
era without discrimination based upon their disability or veterans 
status in all employment practices such as the following: Employment 
upgrading, demotion or transfer, recruitment, advertising, layoff or 
termination, rates of pay or other forms of compensation, and selection 
for training, including apprenticeship.
    (b) The contractor agrees to list all employment openings which 
exist at the time of the execution of this contract and those which 
occur during the performance of this contract, including those not 
generated by this contract and including those occurring at an 
establishment of the contractor other than the one wherein the contract 
is being performed, but excluding those of independently operated 
corporate affiliates, at an appropriate local office of the State 
employment service system wherein the opening occurs. The contractor 
further agrees to provide such reports to such local office regarding 
employment openings and hires as may be required. State and local 
government agencies holding Federal contracts of $10,000 or more shall 
also list all their employment openings with the appropriate office of 
the State employment service, but are not required to provide those 
reports set forth in paragraphs (d) and (e).
    (c) Listing of employment openings with the employment service 
system pursuant to this clause shall be made at least concurrently with 
the use of any other recruitment source or effort and shall involve the 
normal obligations which attach to the placing of a bona fide job order, 
including the acceptance of referrals of veterans and nonveterans. The 
listing of employment openings does not require the hiring of any 
particular job applicant or from any particular group of job applicants, 
and nothing herein is intended to relieve the contractor from any 
requirements in Executive orders or regulations regarding 
nondiscrimination in employment.
    (d) The reports required by paragraph (b) of this clause shall 
include, but not be limited to, periodic reports which shall be filed at 
least quarterly with the appropriate local office or, where the 
contractor has more than one hiring location in a State, with the 
central office of that State employment service. Such reports shall 
indicate for each hiring location (1) the number of individuals hired 
during the reporting period, (2) the number of nondisabled veterans of 
the Vietnam era hired, (3) the number of disabled veterans of the 
Vietnam era hired, and (4) the total number of disabled veterans hired. 
The reports should include covered veterans hired for on-the-job 
training under 38 U.S.C. 1787. The contractor shall submit a report 
within 30 days after the end of each reporting period wherein any 
performance is made on this contract identifying data for each hiring 
location. The contractor shall maintain at each hiring location copies 
of the reports submitted until the expiration of one year after final 
payment under the contract, during which time these reports and related 
documentation shall be made available, upon request, for examination by 
any authorized representatives of the contracting officer or

[[Page 176]]

of the Secretary of Labor. Documentation would include personnel records 
respecting job openings, recruitment and placement.
    (e) Whenever the contractor becomes contractually bound to the 
listing provisions of this clause, it shall advise the employment 
service system in each State where it has establishments of the name and 
location of each hiring location in the State. As long as the contractor 
is contractually bound to these provisions and has so advised the State 
system, there is no need to advise the State system of subsequent 
contracts. The contractor may advise the State system when it is no 
longer bound by this contract clause.
    (f) This clause does not apply to the listing of employment openings 
which occur and are filled outside of the 50 States, the District of 
Columbia, Puerto Rico, Guam, and the Virgin Islands.
    (g) The provisions of paragraphs (b), (c), (d), and (e) of this 
clause do not apply to openings which the contractor proposes to fill 
from within his own organization. This exclusion does not apply to a 
particular opening once an employer decides to consider applicants 
outside his own organization for that opening.
    (h) As used in this clause: (1) ``All employment openings'' includes 
all positions except executive and top management, those positions that 
will be filled from within the contractor's organization, and positions 
lasting three days or less. This term includes full-time employment, 
temporary employment of more than three days' duration, and part-time 
employment.
    (2) ``Appropriate office of the state employment service system'' 
means the local office of the Federal-state national system of public 
employment offices with assigned responsibility for serving the area 
where the employment opening is to be filled, including the District of 
Columbia, Guam, the Commonwealth of Puerto Rico, and the Virgin Islands.
    (3) ``Positions that will be filled from within the contractor's 
organization'' means employment openings for which no consideration will 
be given to persons outside the contractor's organization (including any 
affiliates, subsidiaries, and parent companies) and includes any 
openings which the contractor proposes to fill from regularly 
established ``recall'' lists. The exception does not apply to a 
particular opening once an employer decides to consider applicants 
outside of his or her own organization.
    (i) The contractor agrees to comply with the rules, regulations, and 
relevant orders of the Secretary of Labor issued pursuant to the Act.
    (j) In the event of a contractor's noncompliance with the 
requirements of this clause, actions for noncompliance may be taken in 
accordance with the rules, regulations, and relevant orders of the 
Secretary of Labor issued pursuant to the Act.
    (k) The contractor agrees to post in conspicuous places, available 
to employees and applicants for employment, notices in a form to be 
prescribed by the Director, provided by or through the contracting 
officer. Such notice shall state the contractor's obligation under the 
law to take affirmative action to employ and advance in employment 
qualified disabled veterans and veterans of the Vietnam era for 
employment, and the rights of applicants and employees.
    (l) The contractor will notify each labor union or representative of 
workers with which it has a collective bargaining agreement or other 
contract understanding, that the contractor is bound by the terms of the 
Vietnam Era Veterans Readjustment Assistance Act, and is committed to 
take affirmative action to employ and advance in employment qualified 
disabled veterans and veterans of the Vietnam era.
    (m) The contractor will include the provisions of this clause in 
every subcontract or purchase order of $10,000 or more unless exempted 
by rules, regulations, or orders of the Secretary issued pursuant to the 
Act, so that such provisions will be binding upon each subcontractor or 
vendor. The contractor will take such action with respect to any 
subcontract or purchase order as the Director of the Office of Federal 
Contract Compliance Programs may direct to enforce such provisions, 
including action for noncompliance.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978; 60 FR 1987, Jan. 
5, 1995; 61 FR 6117, Feb. 16, 1996]

    Editorial Note: At 47 FR 4258, Jan. 29, 1982, the effectiveness of 
paragraph (d) of Sec. 60-250.4 was suspended. This suspension will 
remain in effect until the Department of Labor takes final action on the 
proposal to amend 41 CFR 60-250, published at 45 FR 86260, Dec. 30, 
1980.



Sec. 60-250.5   Applicability of the affirmative action program requirement.

    (a) Within 120 days of the commencement of a contract every 
Government contractor or subcontractor holding a contract of $50,000 or 
more and having 50 or more employees shall prepare and maintain an 
affirmative action program at each establishment which shall set forth 
the contractor's policies, practices and procedures in accordance with 
Sec. 60-250.6 of this part. This program may be integrated into or kept 
separate from other affirmative action programs of the contractor.

[[Page 177]]

Contractors presently holding Government contracts shall update their 
affirmative action programs within 120 days of the effective date of 
this part.
    (b) The affirmative action program shall be reviewed and updated 
annually. If there are any significant changes in procedures, rights or 
benefits as a result of the annual updating, those changes shall be 
communicated to employees and applicants for employment.
    (c) The full affirmative action program shall be available for 
inspection to any employee or applicant for employment upon request. The 
location and hours during which the program may be obtained shall be 
posted at each facility.
    (d) Invitation to self-identify. (1) Except as provided in 
paragraphs (d) (2) and (3) of this section, the contractor shall, after 
making an offer of employment to a job applicant and before the 
applicant begins his or her employment duties, invite the applicant to 
inform the contractor whether the applicant believes that he or she may 
be covered by the Act and wishes to benefit under the affirmative action 
program.
    (2) The contractor may invite disabled veterans to self-identify 
prior to making a job offer only when:
    (i) The invitation is made when the contractor actually is 
undertaking affirmative action for disabled veterans at the pre-offer 
stage; or
    (ii) The invitation is made pursuant to a Federal, state or local 
law requiring affirmative action for disabled veterans.
    (3) The contractor may invite veterans of the Vietnam era to self-
identify prior to making a job offer only when:
    (i) The invitation is made when the contractor actually is 
undertaking affirmative action for veterans of the Vietnam era at the 
pre-offer stage; or
    (ii) The invitation is made pursuant to a Federal, state or local 
law requiring affirmative action for veterans of the Vietnam era.
    (4) The invitation referenced in paragraphs (d)(1) through (3) of 
this section shall state that a request to benefit under the affirmative 
action program may be made immediately and/or at any time in the future. 
The invitation also shall summarize the relevant portions of the Act and 
the contractor's affirmative action program. Furthermore, the invitation 
shall state that the information is being requested on a voluntary 
basis, that it will be kept confidential, that refusal to provide it 
will not subject the applicant to any adverse treatment, and that it 
will not be used in a manner inconsistent with the Act. If an applicant 
so identifies himself or herself, the contractor should also seek the 
advice of the applicant regarding proper placement and appropriate 
accommodation, after a job offer has been extended. The contractor also 
may make such inquiries to the extent they are consistent with the 
Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101, (e.g., 
in the context of asking applicants to describe or demonstrate how they 
would perform the job). The contractor shall maintain a separate file on 
persons who have self-identified and provide that file to OFCCP upon 
request. This information may be used only in accordance with this part. 
(An acceptable form for such an invitation is set forth in Appendix A of 
this part. Because a contractor usually may not seek advice from an 
applicant regarding placement and accommodation until after a job offer 
has been extended, the invitation set forth in Appendix A of this part 
contains instructions regarding modifications to be made if it is used 
at the pre-offer stage.)
    (5) Nothing in this section shall relieve the contractor of its 
obligation to take affirmative action with respect to those applicants 
or employees who are known to the contractor be disabled veterans or 
veterans of the Vietnam era.
    (6) Nothing in this section shall relieve the contractor from 
liability for discrimination under the Act.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978, as amended at 61 
FR 19369, May 1, 1996]



Sec. 60-250.6   Affirmative action policy, practices and procedures.

    (a) General requirements. Under the affirmative action obligation 
imposed by the Vietnam Era Veterans Readjustment Assistance Act of 1974, 
contractors are required to take affirmative action to employ and 
advance in employment qualified disabled veterans

[[Page 178]]

and veterans of the Vietnam era at all levels of employment, including 
the executive level. Such action shall apply to all employment 
practices, including, but not limited to, the following: hiring, 
upgrading, demotion or transfer, recruitment or recruitment advertising, 
layoff or termination, rates of pay or other forms of compensation, and 
selection for training, including apprenticeship and on-the-job training 
programs under 38 U.S.C. 1787.
    (b) Proper consideration of qualifications. Contractors shall reveiw 
their personnel processes to determine whether their present procedures 
assure careful, thorough and systematic consideration of the job 
qualifications of known disabled veteran applicants and Vietnam era 
veteran applicants for job vacancies filled either by hiring or 
promotion, and for all training opportunities offered or available. In 
determining the qualifications of a covered veteran, the contractor 
shall consider only that portion of the military record, including 
discharge papers, relevant to the specific job qualifications for which 
the veteran is being considered. To the extent that it is necessary to 
modify their personnel procedures, contractors shall include the 
development of new procedures for this purpose in their affirmative 
action program required under this part. These procedures must be 
designed so as to facilitate a review of the implementation of this 
requirement by the contractor or the Government. (The appendix attached 
is an example of an appropriate set of procedures. The procedures in 
appendix B are not required and contractors may develop other procedures 
which are appropriate to their circumstances.)
    (c) Physical and mental qualifications. (1) The contractor shall 
provide in its affirmative action program, and shall adhere to, a 
schedule for the review of all physical or mental job qualification 
requirements to insure that, to the extent qualification requirements 
tend to screen out qualified disabled veterans, they are job related and 
are consistent with business necessity and the safe performance of the 
job.
    (2) Whenever a contractor applies physical or mental job 
qualification requirements in the selection of applicants or employees 
for employment or other change in employment status such as promotion, 
demotion, or training, to the extent that qualification requirements 
tend to screen out qualified disabled veterans, the requirements shall 
be related to the specific job or jobs for which the individual is being 
considered and shall be consistent with business necessity and the safe 
performance of the job. The contractor shall have the burden to 
demonstrate that it has complied with the requirements of this 
paragraph.
    (3) Nothing in this section shall prohibit a contractor from 
conducting a comprehensive medical examination prior to employment 
provided that the results of such an examination shall be used only in 
accordance with the requirements of this section. Whenever a contractor 
inquires into an applicant's or employee's physical or mental condition 
or conducts a medical examination prior to employment or change in 
employment status information obtained in response to such inquiries or 
examination shall be kept confidential except that:
    (i) Supervisors and managers may be informed regarding restrictions 
on the work or duties of disabled veterans and regarding accommodations; 
and
    (ii) First aid and safety personnel may be informed, where and to 
the extent appropriate, if the condition might require emergency 
treatment; and
    (iii) Government officials investigating compliance with the Act 
shall be informed.
    (d) Accommodation to physical and mental limitations of employees. A 
contractor must make a reasonable accommodation to the physical and 
mental limitations of a disabled veteran unless the contractor can 
demonstrate that such an accommodation would impose an undue hardship on 
the conduct of the contractor's business. In determining the extent of a 
contractor's accommodation obligations, the following factors among 
others may be considered: (1) Business necessity and (2) financial costs 
and expenses.
    (e) Compensation. In offering employment or promotions to disabled 
veterans, and veterans of the Vietnam era, the contractor may not reduce 
the

[[Page 179]]

amount of compensation offered because of any disability income, pension 
or other benefit the applicant or employee receives from another source.
    (f) Outreach, positive recruitment, and external dissemination of 
policy. Contractors shall review their employment practices to determine 
whether their personnel programs provide the required affirmative action 
for employment and advancement of qualified disabled veterans and 
veterans of the Vietnam era. Based upon the findings of such reviews, 
contractors shall undertake appropriate outreach and positive 
recruitment activities, such as those listed below. It is not 
contemplated that contractors will necessarily undertake all the listed 
activities or that their activities will be limited to those listed. The 
scope of a contractor's efforts shall depend upon all the circumstances, 
including the contractor's size and resources and the extent to which 
existing employment practices are adequate.
    (1) The contractor should develop internal communication of its 
obligation to engage in affirmative action efforts to employ qualified 
disabled veterans and veterans of the Vietnam era in such a manner as to 
foster understanding, acceptance and support among the contractor's 
executive, management, supervisory and all other employeess and to 
encourage such persons to take the necessary action to aid the 
contractor in meeting this obligation.
    (2) The contractor should develop reasonable internal procedures to 
ensure that its obligation to engage in affirmative action to employ and 
promote qualified disabled veterans and veterans of the Vietnam era is 
being fully implemented.
    (3) The contractor should periodically inform all employees and 
prospective employees of its commitment to engage in affirmative action 
to increase employment opportunities for qualified disabled veterans and 
veterans of the Vietnam era.
    (4) The contractor should enlist the assistance and support of all 
recruiting sources including as follows:
    (i) The local Veterans Employment Representative or his or her 
designee in the State Employment Service Office nearest each 
establishment where hiring takes place to recruit job ready veterans and 
to develop on-the-job training opportunities for covered veterans 
wherever feasible;
    (ii) The Veterans Administration Regional Office nearest each 
establishment to develop on-the-job training opportunities for covered 
veterans, and to recruit job ready veterans;
    (iii) The office of the National Alliance of Businessmen nearest 
each establishment where hiring takes place in order to cooperate in the 
Jobs for Veterans' Program;
    (iv) The veterans' counselors and coordinators (``Vet-Reps'' and 
``VCIPS'') on college campuses for the recruitment of covered veterans;
    (v) The service officers of the national veterans groups active in 
the area of each establishment where hiring takes place for the 
recruitment of covered veterans; and
    (vi) Local veterans' groups and veterans' service centers in the 
area of each establishment where employment services are performed near 
major cities, for the recruitment of covered veterans.
    (5) The contractor should establish meaningful contacts with 
appropriate veterans' service organizations which service disabled 
veterans or veterans of the Vietnam era, for such purposes as advice, 
technical assistance and referral of potential employees. Technical 
assistance from the resources listed in this paragraph may consist of 
advice on proper placement, recruitment, training and accommodations 
contractors may undertake, but no such resource providing technical 
assistance shall have the authority to approve or disapprove the 
acceptability of affirmative action programs.
    (6) The contractor should review employment records to determine the 
availability of promotable and transferrable qualified known disabled 
veterans and veterans of the Vietnam era presently employed, and to the 
determine whether their present and potential skills are being fully 
utilized or developed.
    (7) The contractor should send written notification of company 
policy to all subcontractors, vendors and suppliers, requesting 
appropriate action on their part.

[[Page 180]]

    (8) The contractor should consider all qualified disabled veterans 
and veterans of the Vietnam era not currently in the workforce having 
requisite skills who can be recruited through affirmative action 
measures.
    (g) Internal dissemination of policy. A strong outreach program will 
be ineffective without adequate internal support from supervisory and 
management personnel and other employees. In order to assure greater 
employee cooperation and participation in the contractor's efforts, the 
contractor should adopt, implement and disseminate this policy 
internally as follows:
    (1) Include it in the contractor's policy manual.
    (2) Publicize it in the company newspaper, magazine, annual report 
and other media.
    (3) Conduct special meetings with executive, management, and 
supervisory personnel to explain the intent of the policy and individual 
responsibility for effective implementation, making clear the chief 
executive officer's attitude.
    (4) Schedule special meetings with all employees to discuss policy 
and explain individual employee responsibilities.
    (5) Discuss the policy thoroughly in both employee orientation and 
management training programs.
    (6) Meet with union officials to inform them of the contractor's 
policy, and request their cooperation.
    (7) Include nondiscrimination clauses in all union agreements, and 
review all contractual provisions to insure they are nondiscriminatory.
    (8) Include articles on accomplishments of disabled veterans and 
veterans of the Vietnam era in company publications.
    (9) Post the policy on company bulletin boards, including a 
statement that employees and applicants are protected from coercion, 
intimidation, interference or discrimination for filing a complaint or 
assisting in an investigation under the Act.
    (h) Responsibility for implementation. An executive of the 
contractor should be designated as director or manager of company 
affirmative action activities under these regulations. His or her 
identity should appear on all internal and external communications 
regarding the company's affirmative action programs. This executive 
should be given necessary top management support and staff to manage the 
implementation of this program, including the following activities:
    (1) Develop policy statements, affirmative action programs, and 
internal and external communication techniques. The latter techniques 
should include regular discussions with local managers, supervisors and 
employees to be certain the contractor's policies are being followed. In 
addition, supervisors should be advised that:
    (i) Their work performance is being evaluated on the basis of their 
affirmative action efforts and results, as well as other criteria.
    (ii) The contractor is obligated to prevent harassment of employees 
placed through affirmative action efforts, as set forth in Sec. 60-
250.51.
    (2) Identify problem areas in conjunction with line management and 
known disabled veterans, in the implementation of the affirmative action 
programs, and develop solutions. This is particularly important for the 
accommodations requirements.
    (3) Design and implement audit and reporting systems that will:
    (i) Measure effectiveness of the contractor's programs.
    (ii) Indicate need for remedial action.
    (iii) Determine the degree to which the contractor's objectives have 
been attained.
    (iv) Determine whether known disabled veterans and veterans of the 
Vietnam era have had the opportunity to participate in all company 
sponsored educational, training, recreational and social activities.
    (v) Ensure that each location is in compliance with the Act and the 
regulations in this part.
    (4) Serve as liaison between the contractor and enforcement 
agencies.
    (5) Serve as liaison between the contractor and organizations of and 
for disabled veterans and veterans of the Vietnam era, and arrange for 
the active involvement by company representatives in the community 
service programs of local organizations of and for disabled veterans and 
veterans of the Vietnam era.

[[Page 181]]

    (6) Keep management informed of the latest developments in the 
entire affirmative action area.
    (7) Arrange for career counseling for known disabled veterans and 
veterans of the Vietnam era.
    (i) Development and execution of affirmative action programs. (1) 
Job qualification requirements reviewed pursuant to paragraph (c) of 
this section should be made available to all members of management 
involved in the recruitment, screening, selection, and promotion 
process.
    (2) The contractor should evaluate the total selection process 
including training and promotion to insure freedom from stereotyping 
disabled veterans and veterans of the Vietnam era in a manner which 
limits their access to all jobs for which they are qualified.
    (3) All personnel involved in the recruitment, screening, selection, 
promotion, disciplinary, and related processes should be carefully 
selected and trained to insure that the commitments in its affirmative 
action program are implemented.
    (4) Formal briefing sessions should be held, preferably on company 
premises, with representatives from recruiting sources. Plant tours, 
clear and concise explanations of current and future job openings, 
position descriptions, worker specifications, explanations of the 
company's selection process, and recruiting literature should be an 
integral part of the briefings. Formal arrangements should be made for 
referral of applicants, follow up with sources, and feedback on 
disposition of applicants.
    (5) A special effort should be made to include qualified disabled 
veterans or veterans of the Vietnam era on the personnel relations 
staff.
    (6) Active participation in veterans ``job fairs'' is desirable.
    (7) Recruiting efforts at all educational institutions should 
incorporate special efforts to reach disabled veterans and veterans of 
the Vietnam era.
    (8) An effort should be made to participate in workstudy programs 
with Veterans' Administration rehabilitation facilities which specialize 
in training or educating disabled veterans.
    (9) The contractor should use all available resources to continue or 
establish federally-assisted apprenticeship and on-the-job training 
programs under 38 U.S.C. 1787.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978]



Sec. 60-250.7  Determination of disability.

    Any disabled veteran filing an administrative complaint with the 
Veterans Employment Service under this part shall submit documentation 
from the Veterans Administration or military service from which the 
person was discharged or released which indicates his or her disability. 
Such documentation shall be updated within 1 year prior to filing the 
complaint.
Sec. 60-250.8  [Reserved]



Sec. 60-250.9  Labor unions and recruiting and training agencies.

    (a) Whenever performance in accordance with the affirmative action 
clause or any matter contained in the regulations in this part may 
necessitate a revision of a collective bargaining agreement, the labor 
union or unions which are parties to such agreements shall be given an 
adequate opportunity to present their views to the Director.
    (b) The Director shall use his or her best efforts, directly or 
through contractors, subcontractors, local officials, the Veterans 
Administration, veterans' organizations and all other available 
instrumentalities, to cause any labor union, recruiting and training 
agency or other representative of workers who are or may be engaged in 
work under contracts and subcontracts to cooperate with, and to assist 
in, the implementation of the purposes of the Act.



         Subpart B--General Enforcement and Complaint Procedure



Sec. 60-250.20  Subcontracts.

    Each nonexempt prime contractor and subcontractor shall include the 
affirmative action clause prescribed in Sec. 60-250.4 in each of their 
nonexempt subcontracts. The clause may be incorporated by reference in 
accordance with Sec. 60-250.22.

[[Page 182]]



Sec. 60-250.21  Adaptation of language.

    Such necessary changes in language may be made to the affirmative 
action clause (see Sec. 60-250.4) as shall be appropriate to identify 
properly the parties and their undertakings.



Sec. 60-250.22  Incorporation by reference.

    The affirmative action clause and the regulations contained in this 
part may be incorporated by reference in all contracts and subcontracts.



Sec. 60-250.23  Incorporation by operation of the Act and agency regulations.

    By operation of the Act, the affirmative action clause shall be 
considered to be a part of every contract and subcontract required by 
the Act and the regulations in this part to include such a clause, 
whether or not it is physically incorporated in such contracts and 
whether or not there is a written contract between the agency and the 
contractor.



Sec. 60-250.24  Duties of agencies.

    (a) General responsibility. Each agency shall cooperate with the 
Director in the performance of his or her responsibilities under the 
Act. Such cooperation shall include the responsibility to insure that 
contractors are fully cognizant of their obligations under the Act and 
this part, to provide the Director with any information which comes to 
its attention that the contractor is not in compliance with the Act or 
this part, and to take such actions for noncompliance as set forth in 
Sec. 60-250.28 as may be ordered by the Director.



Sec. 60-250.25  Evaluations by the Director.

    The Director shall be primarily responsible for undertaking such 
investigations of complaints and other matters as well as evaluations of 
contractor and agency performance as may be necessary to assure that the 
purposes of the Vietnam Era Veteran's Readjustment Assistance Act, as 
amended are being effectively carried out.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978]



Sec. 60-250.26   Complaint procedures.

    (a) Place and time for filing. Any applicant for employment with a 
contractor or any employee of a contractor may, personally or by an 
authorized representative, file a written complaint with the Veteran's 
Employment Service of the Department of Labor through the Local 
Veteran's Employment Representative (LVER) or his designee at the local 
State employment office, alleging a violation of the Act or the 
regulations in this part. Local Veteran's Employment Representatives 
(LVERs) will assist veterans in preparing complaints and will promptly 
refer such complaints to the Director. The LVERs will keep a record of 
all complaints received and forwarded. LVERs will be informed of the 
progress and results of the veterans' complaint investigations. The 
State employment services shall cooperate with the Director in the 
investigation of any complaint. Such complaint is to be filed not later 
than 180 days from the date of the alleged violation unless the time for 
filing is extended by the Director for good cause shown.
    (b) Referral to contractor. When a complaint is filed by an employee 
of a contractor and the contractor has an applicable internal review 
procedure, the complaint shall be referred to the contractor for 
processing under that procedure. The complaint and all actions taken 
thereunder shall be kept confidential by the contractor. If there has 
not been a resolution of the complaint under that procedure satisfactory 
to the complainant within 60 days of the referral, the LVER will refer 
the complaint to the Department of Labor which will proceed as provided 
in this section.
    (c) Contents of complaints. Complaints must be signed by the 
complainants or their authorized representatives and must contain the 
following information: (1) Name and address (including telephone number) 
of the complainant, (2) name and address of the contractor or 
subcontractor who committed the alleged violation, (3) a description of 
the act or acts considered to be a violation, (4) a copy of the 
veteran's form DD-214, and, where applicable, VAL-5 or similar VA 
certification indicating

[[Page 183]]

the percent of disability, updated within 1 year prior to the date the 
complaint is filed, and (5) other pertinent information available which 
will assist in the investigation and resolution of the complaint, 
including the name of any known Federal agency with which the employer 
has contracted.
    (d) Incomplete information. Where a complaint contains incomplete 
information, the Director shall seek the needed information from the 
complainant. If the information is not furnished to the agency or the 
Director within 60 days of the date of such request, the case may be 
closed.
    (e) Investigations. The Department of Labor shall institute a prompt 
investigation of each complaint, and shall be responsible for developing 
a complete case record. A complete case record consists of the 
following: (1) Name and address of each person interviewed, (2) a 
summary of his or her statement, (3) copies or summaries of pertinent 
documents, (4) a narrative summary of the evidence disclosed in the 
investigation as it related to each charge, and (5) recommended findings 
and resolution.
    (f) [Reserved]
    (g) Resolution of matters. (1) If the complaint investigation shows 
no violation of the Act or regulations in this part, or if the Director 
decides not to initiate administrative or legal proceedings against the 
contractor, the complainant shall be so notified. Within 30 days, the 
complainant may request review by the Director of such a finding or 
decision.
    (2) Where an investigation indicates that the contractor has not 
complied with the requirements of the Act or this part, efforts shall be 
made to secure compliance through conciliation and persuasion within a 
reasonable time. Before the contractor or subcontractor can be found to 
be in compliance, it must make a specific commitment, in writing, to 
take corrective action to meet the requirements of the Act and this 
part. The commitment must indicate the precise action to be taken and 
dates for completion. The time period allowed should be no longer than 
the minimum period necessary to effect such changes. Upon approval of 
such commitment by the Director, the contractor may be considered in 
compliance on condition that the commitments are kept.
    (3) Where the complaint investigation indicates a violation of the 
Act or regulations in this part (and the complaint has not been resolved 
by informal means), the Director shall afford the contractor an 
opportunity for a hearing in accordance with Sec. 60-250.29.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978]



Sec. 60-250.27  Noncompliance with the affirmative action clause.

    Noncompliance with the prime contractor's or subcontractor's 
obligations under the affirmative action clause is a ground for taking 
appropriate action for noncompliance as set forth in Sec. 60-250.28 by 
the Director, prime contractor, or subcontractor.



Sec. 60-250.28  Actions for noncompliance.

    (a) General. In every case where any complaint investigation 
indicates the existence of a violation of the affirmative action clause 
or these regulations, the matter should be resolved by informal means, 
including conciliation, and persuasion, whenever possible. This will 
also include establishing a corrective action program in accordance with 
Sec. 60-250.26(g)(2). Where the apparent violation is not resolved by 
informal means, the Director shall proceed in accordance with the 
enforcement procedures contained in this part.
    (b) Judicial enforcement. In addition to the administrative remedies 
set forth herein, the Director may, within the limitations of applicable 
law, seek appropriate judicial action to enforce the contractual 
provisions set forth in Sec. 60-250.4 including appropriate injunctive 
relief.
    (c) Withholding progress payments. With the prior approval of the 
Director so much of the accrued payment due on the contract or any other 
contract between the Government prime contractor and the Federal 
Government may be withheld as necessary to correct any violations of the 
provisions of the affirmative action clause.
    (d) Termination. A contract or subcontract may be canceled or 
terminated, in whole or in part, for failure to

[[Page 184]]

comply with the provisions of the affirmative action clause.
    (e) Debarment. A prime contractor or subcontractor or a prospective 
contractor or subcontractor may be debarred from receiving future 
contracts for failure to comply with the provisions of the affirmative 
action clause.



Sec. 60-250.29  Formal hearings.

    (a) Hearing opportunity. An opportunity for a formal hearing shall 
be afforded to a prime contractor or a subcontractor or a prospective 
prime contractor or subcontractor by the Director in any of the 
following circumstances:
    (1) An apparent violation of the affirmative action clause by a 
contractor or subcontractor, as shown by any investigation, is not 
resolved by informal means and a hearing is requested; or
    (2) The Director proposes to cancel or terminate the contract or 
withhold progress payments, or cause the contract to be canceled or 
terminated or progress payments to be withheld, in whole or in part, on 
a contract or contracts, or to require cancellation or termination of a 
contract or subcontract or withholding of progress payments; or
    (3) The Director proposes to declare a prime contractor or 
subcontractor ineligible for further contracts or subcontracts under the 
Act.
    (b) Hearing practice and procedure. (1) All hearings conducted under 
section 402 of the Vietnam Era Veterans Readjustment Assistance Act of 
1974 and the regulations in this part shall be governed by the Rules of 
Practice for Administrative Proceedings to Enforce Equal Opportunity 
Under Executive Order 11246 contained in 41 CFR part 60-30. Complaints 
may be issued by the Solicitor, Associate Solicitor for Labor Relations 
and Civil Rights, Regional Solicitors and the Regional Attorney.
    (2) For the purposes of hearings pursuant to this part 60-250, 
references in 41 CFR part 60-30 to ``Executive Order 11246'' shall mean 
section 402 of the Vietnam Era Veterans' Readjustment Assistance Act of 
1974; to ``equal opportunity clause'' shall mean the affirmative action 
clause published at 41 CFR 60-250.4; and to ``regulations'' shall mean 
the regulations contained in this part.

[43 FR 49268, Oct. 20, 1978; 43 FR 51402, Nov. 3, 1978, as amended at 44 
FR 49691, Aug. 24, 1979; 61 FR 19989, May 3, 1996]



Sec. 60-250.30  Notification of agencies.

    The Director shall notify the heads of all agencies of any action 
for noncompliance taken against any contractor after such actions have 
been taken. No agency may issue a waiver under Sec. 60-250.3(b)(1) to 
any contractor subject to such action without prior approval of the 
Director.



Sec. 60-250.31  Contractor ineligibility list.

    The Director shall distribute periodically a list to all executive 
departments and agencies giving the names of prime contractors and 
subcontractors who have been declared ineligible under the regulations 
in this part and the Act.



Sec. 60-250.32  Disputed matters related to the affirmative action program.

    The procedures set forth in the regulations in this part govern all 
disputes relative to a contractor's compliance with the affirmative 
action clause and the requirements of this part. Any disputes relating 
to issues other than compliance, including contract costs arising out of 
the contractor's efforts to comply, shall be determined by the disputes 
clause of the contract.



Sec. 60-250.33  Responsibilities of State employment services.

    (a) Any job openings listed pursuant to Sec. 60-250.3 which requires 
contractors to list their job openings with State employment services 
offices, shall be utilized by State employment security agencies to 
refer qualified disabled veterans and veterans of the Vietnam era.
    (b) The local offices of the Federal-State employment service shall 
give priority in referral to disabled veterans and veterans of the 
Vietnam era to such employment openings listed by contractors and 
subcontractors pursuant to this part.
    (c) The local employment office staff will contract employers to 
solicit job orders. The State employment service will make available 
information pertinent to a determination of whether the

[[Page 185]]

contractor is in compliance with the mandatory listing and reporting 
requirements of the affirmative action clause.



                      Subpart C--Ancillary Matters



Sec. 60-250.50  Reinstatement of ineligible contractors and subcontractors.

    Any prime contractor or subcontractor debarred from further 
contracts or subcontracts under the Act may request reinstatement in a 
letter directed to the Director. In connection with the reinstatement 
proceedings, the prime contractor or subcontractor shall be required to 
show that it has established and will carry out employment policies and 
practices in compliance with the affirmative action clause.



Sec. 60-250.51  Intimidation and interference.

    The sanctions and penalties contained in this regulation may be 
exercised by the Director against any prime contractor or subcontractor, 
who fails to take all necessary steps to ensure that no person 
intimidates, threatens, coerces, or discriminates against any individual 
for the purpose of interfering with the filing of a complaint, 
furnishing information, or assisting or participating in any manner in 
an investigation, compliance review, hearing, or any other activity 
related to the administration of the Act.



Sec. 60-250.52  Recordkeeping.

    (a) Each contractor and subcontractor shall maintain for a period 
not less than 1 year records regarding complaints and actions taken 
thereunder, and such employment or other records as required by the 
Director or by this part and shall furnish such information in the form 
required by the Director or as the Director deems necessary for the 
administration of the Act and regulations issued under this part.
    (b) Failure to maintain complete and accurate records as required 
under this section or failure to update annually the affirmative action 
program as required by Sec. 60-250.5(b) constitutes noncompliance with 
the contractor's or subcontractor's obligations under the affirmative 
action clause and is a ground for the imposition of appropriate 
sanctions.



Sec. 60-250.53  Access to records of employment.

    Each prime contractor and subcontractor shall permit access during 
normal business hours to its places of business, books, records and 
accounts pertinent to compliance with the Act, and all rules and 
regulations promulgated pursuant thereto for the purposes of complaint 
investigations, and investigations of performance under the affirmative 
action clause of the contract or subcontract. Information obtained in 
this manner shall be used only in connection with the administration of 
the Act.



Sec. 60-250.54  Rulings and interpretations.

    Rulings under or interpretations of the Act and the regulations 
contained in this Part 60-250 shall be made by the Secretary or his or 
her designee.

      Appendix A to Part 60-250--Sample Invitation to Self-Identify

    Note: When the invitation to self-identify is being extended prior 
to an offer of employment, as is permitted in limited circumstances 
under Sec. 60-250.5(d)(2) and (3), paragraph 2(ii) of this appendix, 
relating to identification of reasonable accommodations, should be 
omitted. This will avoid a conflict with the EEOC's Americans with 
Disabilities Act (ADA) Guidance, which in most cases precludes asking a 
job applicant (prior to a job offer being made) about potential 
reasonable accommodations.

                  [Sample Invitation to Self-Identify]

    1. This employer is a Government contractor subject to the Vietnam 
Era Veterans' Readjustment Assistance Act of 1974, as amended, which 
requires Government contractors to take affirmative action to employ and 
advance in employment qualified disabled veterans and veterans of the 
Vietnam era covered by the Act. If you are a disabled veteran or veteran 
of the Vietnam era covered by the Act and would like to be considered 
under the affirmative action program, please tell us. You may inform us 
of your desire to benefit under the program at this time and/or at any 
time in the future. This information will assist us in placing you in an 
appropriate position and in making accommodations for your disability if 
you are a disabled veteran. [The contractor should here insert a brief 
provision summarizing the relevant portion

[[Page 186]]

of its affirmative action program.] Submission of this information is 
voluntary and refusal to provide it will not subject you to any adverse 
treatment. Information you submit will be kept confidential, except that 
(i) supervisors and managers may be informed regarding restrictions on 
the work or duties of disabled veterans, and regarding necessary 
accommodations; (ii) first aid and safety personnel may be informed, 
when and to the extent appropriate, if the condition might require 
emergency treatment; and (iii) Government officials engaged in enforcing 
laws administered by OFCCP or the Americans with Disabilities Act, may 
be informed. The information provided will be used only in ways that are 
not inconsistent with the Vietnam Era Veterans' Readjustment Assistance 
Act of 1974, as amended.
    2. If you are a disabled veteran or a veteran of the Vietnam era 
covered by the Act, we would like to include you under the affirmative 
action program. If you are a disabled veteran it would assist us if you 
tell us about (i) any special methods, skills, and procedures which 
qualify you for positions that you might not otherwise be able to do 
because of your disability so that you will be considered for any 
positions of that kind, and (ii) the accommodations which we could make 
which would enable you to perform the job properly and safely, including 
special equipment, changes in the physical layout of the job, 
elimination of certain duties relating to the job, provision of personal 
assistance services or other accommodations.

[61 FR 19369, May 3, 1996]

                        Appendix B to Part 60-250

    The following is a set of procedures which contractors may use to 
meet the requirements of Sec. 60-250.6(b).
    (1) The application or personnel form of each known covered veteran 
should be annotated to identify each vacancy for which he or she was 
considered, and the form should be quickly retrievable for review by the 
agency, the Department of Labor and the contractor's personnel officials 
for use in investigations and internal compliance activities.
    (2) The personnel or application records of each known covered 
veteran should include (i) the identification of each promotion for 
which he or she was considered, and (ii) the identification of each 
training program for which he or she was considered.
    (3) In each case where a covered veteran is rejected for employment, 
promotion or training, a statement of the reasons should be appended to 
the personnel file or application form. This statement should include a 
comparison of the qualifications of the covered veteran and the 
person(s) selected, as well as a description of the accommodations 
considered. This statement should be available to the applicant or 
employee concerned upon request.
    (4) Where applicants or employees are selected for hire, promotion 
or training and the contractor undertakes any accommodation which makes 
it possible for him or her to place a covered veteran on the job, the 
application form or personnel record should contain a description of 
that accommodation.



PART 60-741--AFFIRMATIVE ACTION AND NONDISCRIMINATION OBLIGATIONS OF CONTRACTORS AND SUBCONTRACTORS REGARDING INDIVIDUALS WITH DISABILITIES--Table of Contents




        Subpart A--Preliminary Matters, Equal Opportunity Clause

Sec.
60-741.1  Purpose, applicability and construction.
60-741.2  Definitions.
60-741.3  Exceptions to the definitions of ``individual with a 
          disability'' and ``qualified individual with a disability.''
60-741.4  Coverage and waivers.
60-741.5  Equal opportunity clause.

                  Subpart B--Discrimination Prohibited

60-741.20  Covered employment activities.
60-741.21  Prohibitions.
60-741.22  Direct threat defense.
60-741.23  Medical examinations and inquiries.
60-741.24  Drugs and alcohol.
60-741.25  Health insurance, life insurance and other benefit plans.

                  Subpart C--Affirmative Action Program

60-741.40  Applicability of the affirmative action program requirement.
60-741.41  Availability of affirmative action program.
60-741.42  Invitation to self-identify.
60-741.43  Affirmative action policy.
60-741.44  Required contents of affirmative action programs.
60-741.45  Sheltered workshops.

         Subpart D--General Enforcement and Complaint Procedures

60-741.60  Compliance reviews.
60-741.61  Complaint procedures.
60-741.62  Conciliation agreements and letters of commitment.
60-741.63  Violation of conciliation agreements and letters of 
          commitment.
60-741.64  Show cause notices.
60-741.65  Enforcement proceedings.
60-741.66  Sanctions and penalties.

[[Page 187]]

60-741.67  Notification of agencies.
60-741.68  Reinstatement of ineligible contractors.
60-741.69  Intimidation and interference.
60-741.70  Disputed matters related to compliance with the act.

                      Subpart E--Ancillary Matters

60-741.80  Recordkeeping.
60-741.81  Access to records.
60-741.82  Labor organizations and recruiting and training agencies.
60-741.83  Rulings and interpretations.
60-741.84  Effective date.
Appendix A To Part 60-741--Guidelines on a Contractor's Duty To Provide 
          Reasonable Accommodation
Appendix B To Part 60-741--Sample Invitation to Self-Identify
Appendix C To Part 60-741--Review of Personnel Processes
Appendix D To Part 60-741--Guidelines Regarding Positions Engaged in 
          Carrying Out a Contract

    Authority: 29 U.S.C. 706 and 793; and E.O. 11758 (3 CFR, 1971-1975 
Comp., p. 841).

    Source:  61 FR 19350, May 1, 1996, unless otherwise noted.



        Subpart A--Preliminary Matters, Equal Opportunity Clause



Sec. 60-741.1  Purpose, applicability, and construction.

    (a) Purpose. The purpose of this part is to set forth the standards 
for compliance with section 503 of the Rehabilitation Act of 1973, as 
amended (29 U.S.C. 793), which requires Government contractors and 
subcontractors to take affirmative action to employ and advance in 
employment qualified individuals with disabilities.
    (b) Applicability. This part applies to all Government contracts and 
subcontracts in excess of $10,000 for the purchase, sale or use of 
personal property or nonpersonal services (including construction): 
Provided, That subpart C of this part applies only as described in 
Sec. 60-741.40(a). Compliance by the contractor with the provisions of 
this part will not necessarily determine its compliance with other 
statutes, and compliance with other statutes will not necessarily 
determine its compliance with this part: Provided, That compliance shall 
also satisfy the employment provisions of the Department of Labor's 
regulations implementing section 504 of the Rehabilitation Act of 1973 
(see 29 CFR 32.2(b)) when the contractor is also subject to those 
requirements.
    (c) Construction--(1) In general. Except as otherwise provided in 
this part, this part does not apply a lesser standard than the standards 
applied under title I of the Americans with Disabilities Act of 1990 (42 
U.S.C. 12101 et seq.), or the regulations issued by the Equal Employment 
Opportunity Commission pursuant to that title (29 CFR part 1630). The 
Interpretive Guidance on Title I of the Americans with Disabilities Act 
set out as an appendix to 29 CFR part 1630 issued pursuant to that title 
may be relied upon for guidance in interpreting the parallel provisions 
of this part.
    (2) Relationship to other laws. This part does not invalidate or 
limit the remedies, rights, and procedures under any Federal law or the 
law of any State or political subdivision that provides greater or equal 
protection for the rights of individuals with disabilities as compared 
to the protection afforded by this part. It may be a defense to a charge 
of violation of this part that a challenged action is required or 
necessitated by another Federal law or regulation, or that another 
Federal law or regulation prohibits an action (including the provision 
of a particular reasonable accommodation) that would otherwise be 
required by this part.



Sec. 60-741.2  Definitions.

    (a) Act means the Rehabilitation Act of 1973, Pub. L. 93-112 (29 
U.S.C 706 and 793), as amended by sec. 111, Pub. L. 93-516; sec. 
103(d)(2)(B), Pub. L. 99-506; sec. 9, Pub. L. 100-259; sec. 512, Pub. L. 
101-336 ; and secs. 102 and 505, Pub. L. 102-569.
    (b) Equal opportunity clause means the contract provisions set forth 
in Sec. 60-741.5, ``Equal opportunity clause.''
    (c) Secretary means the Secretary of Labor, United States Department 
of Labor, or his or her designee.
    (d) Deputy Assistant Secretary means the Deputy Assistant Secretary 
for Federal Contract Compliance of the United States Department of 
Labor, or his or her designee.
    (e) Government means the Government of the United States of America.

[[Page 188]]

    (f) United States, as used herein, shall include the several States, 
the District of Columbia, the Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana 
Islands, and Wake Island.
    (g) Recruiting and training agency means any person who refers 
workers to any contractor, or who provides or supervises apprenticeship 
or training for employment by any contractor.
    (h) Contract means any Government contract or subcontract.
    (i) Government contract means any agreement or modification thereof 
between any contracting agency and any person for the purchase, sale or 
use of personal property or nonpersonal services (including 
construction). The term Government contract does not include agreements 
in which the parties stand in the relationship of employer and employee, 
and federally assisted contracts.
    (1) Modification means any alteration in the terms and conditions of 
a contract, including supplemental agreements, amendments and 
extensions.
    (2) Contracting agency means any department, agency, establishment 
or instrumentality of the United States, including any wholly owned 
Government corporation, which enters into contracts.
    (3) Person, as used in paragraphs (i) and (l) of this section, means 
any natural person, corporation, partnership or joint venture, 
unincorporated association, State or local government, and any agency, 
instrumentality, or subdivision of such a government.
    (4) Nonpersonal services, as used in paragraphs (i) and (l) of this 
section, includes, but is not limited to, the following: Utility, 
construction, transportation, research, insurance, and fund depository.
    (5) Construction, as used in paragraphs (i) and (l) of this section, 
means the construction, rehabilitation, alteration, conversion, 
extension, demolition, or repair of buildings, highways, or other 
changes or improvements to real property, including facilities providing 
utility services. The term also includes the supervision, inspection, 
and other on-site functions incidental to the actual construction.
    (6) Personal property, as used in paragraphs (i) and (l) of this 
section, includes supplies and contracts for the use of real property 
(such as lease arrangements), unless the contract for the use of real 
property itself constitutes real property (such as easements).
    (j) Contractor means, unless otherwise indicated, a prime contractor 
or subcontractor holding a contract in excess of $10,000.
    (k) Prime contractor means any person holding a contract in excess 
of $10,000, and, for the purposes of subpart D of this part, ``General 
Enforcement and Complaint Procedures,'' includes any person who has held 
a contract subject to the act.
    (l) Subcontract means any agreement or arrangement between a 
contractor and any person (in which the parties do not stand in the 
relationship of an employer and an employee):
    (1) For the purchase, sale or use of personal property or 
nonpersonal services (including construction) which, in whole or in 
part, is necessary to the performance of any one or more contracts; or
    (2) Under which any portion of the contractor's obligation under any 
one or more contracts is performed, undertaken, or assumed.
    (m) Subcontractor means any person holding a subcontract in excess 
of $10,000 and, for the purposes of subpart D of this part, ``General 
Enforcement and Complaint Procedures,'' any person who has held a 
subcontract subject to the act.
    (n)(1) Individual with a disability means any person who:
    (i) Has a physical or mental impairment which substantially limits 
one or more of such person's major life activities;
    (ii) Has a record of such an impairment; or
    (iii) Is regarded as having such an impairment.
    (2) See Sec. 60-741.3 for exceptions to the definition in paragraph 
(n)(1) of this section.
    (o) Physical or mental impairment means:
    (1) Any physiological disorder, or condition, cosmetic 
disfigurement, or anatomical loss affecting one or more

[[Page 189]]

of the following body systems: neurological, musculoskeletal, special 
sense organs, respiratory (including speech organs), cardiovascular, 
reproductive, digestive, genito-urinary, hemic and lymphatic, skin, and 
endocrine; or
    (2) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities.
    (p) Major life activities means functions such as caring for 
oneself, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (q) Substantially limits--(1) The term substantially limits means:
    (i) Unable to perform a major life activity that the average person 
in the general population can perform; \1\ or
---------------------------------------------------------------------------

    \1\ People have a range of abilities with regard to many major life 
activities such as walking, lifting, and bending, and a range of such 
abilities may be considered average. Thus, the term ``average'' person 
in the general population does not indicate a need to determine a 
precise average ability, but rather reflects that a range of abilities 
may be considered average.
---------------------------------------------------------------------------

    (ii) Significantly restricted as to the condition, manner or 
duration under which an individual can perform a particular major life 
activity as compared to the condition, manner, or duration under which 
the average person in the general population can perform that same major 
life activity.
    (2) The following factors should be considered in determining 
whether an individual is substantially limited in a major life activity:
    (i) The nature and severity of the impairment;
    (ii) The duration or expected duration of the impairment; and
    (iii) The permanent or long term impact, or the expected permanent 
or long term impact of or resulting from the impairment.
    (3) With respect to the major life activity of working--
    (i) The term substantially limits means significantly restricted in 
the ability to perform either a class of jobs or a broad range of jobs 
in various classes as compared to the average person having comparable 
training, skills, and abilities. The inability to perform a single, 
particular job does not constitute a substantial limitation in the major 
life activity of working.
    (ii) In addition to the factors listed in paragraph (q)(2) of this 
section, the following factors may be considered in determining whether 
an individual is substantially limited in the major life activity of 
working:
    (A) The geographic area to which the individual has reasonable 
access;
    (B) The job from which the individual has been disqualified because 
of an impairment, and the number and types of jobs utilizing similar 
training, knowledge, skills or abilities, within that geographic area, 
from which the individual is also disqualified because of the impairment 
(class of jobs); and/or
    (C) The job from which the individual has been disqualified because 
of an impairment, and the number and types of other jobs not utilizing 
similar training, knowledge, skills or abilities, within that geographic 
area, from which the individual is also disqualified because of the 
impairment (broad range of jobs in various classes).
    (r) Has a record of such impairment means has a history of, or has 
been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (s) Is regarded as having such an impairment means:
    (1) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the contractor as 
constituting such limitation;
    (2) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (3) Has none of the impairments defined in paragraph (o)(1) or (2) 
of this section, but is treated by the contractor as having a 
substantially limiting impairment.
    (t) Qualified individual with a disability means an individual with 
a disability who satisfies the requisite skill, experience, education 
and other job-related requirements of the employment position such 
individual holds or desires, and who, with or without reasonable 
accommodation, can perform the

[[Page 190]]

essential functions of such position. (See Sec. 60-741.3 for exceptions 
to this definition.)
    (u) Essential functions--(1) In general. The term essential 
functions means fundamental job duties of the employment position the 
individual with a disability holds or desires. The term essential 
functions does not include the marginal functions of the position.
    (2) A job function may be considered essential for any of several 
reasons, including but not limited to the following:
    (i) The function may be essential because the reason the position 
exists is to perform that function;
    (ii) The function may be essential because of the limited number of 
employees available among whom the performance of that job function can 
be distributed; and/or
    (iii) The function may be highly specialized so that the incumbent 
in the position is hired for his or her expertise or ability to perform 
the particular function.
    (3) Evidence of whether a particular function is essential includes, 
but is not limited to:
    (i) The contractor's judgment as to which functions are essential;
    (ii) Written job descriptions prepared before advertising or 
interviewing applicants for the job;
    (iii) The amount of time spent on the job performing the function;
    (iv) The consequences of not requiring the incumbent to perform the 
function;
    (v) The terms of a collective bargaining agreement;
    (vi) The work experience of past incumbents in the job; and/or
    (vii) The current work experience of incumbents in similar jobs.
    (v) Reasonable accommodation--(1) The term reasonable accommodation 
means:
    (i) Modifications or adjustments to a job application process that 
enable a qualified applicant with a disability to be considered for the 
position such applicant desires; \2\ or
---------------------------------------------------------------------------

    \2\ A contractor's duty to provide a reasonable accommodation with 
respect to applicants with disabilities is not limited to those who 
ultimately demonstrate that they are qualified to perform the job in 
issue. Applicants with disabilities must be provided a reasonable 
accommodation with respect to the application process if they are 
qualified with respect to that process (e.g., if they present themselves 
at the correct location and time to fill out an application).
---------------------------------------------------------------------------

    (ii) Modifications or adjustments to the work environment, or to the 
manner or circumstances under which the position held or desired is 
customarily performed, that enable a qualified individual with a 
disability to perform the essential functions of that position; or
    (iii) Modifications or adjustments that enable the contractor's 
employee with a disability to enjoy equal benefits and privileges of 
employment as are enjoyed by the contractor's other similarly situated 
employees without disabilities.
    (2) Reasonable accommodation may include but is not limited to:
    (i) Making existing facilities used by employees readily accessible 
to and usable by individuals with disabilities; and
    (ii) Job restructuring; part-time or modified work schedules; 
reassignment to a vacant position; acquisition or modifications of 
equipment or devices; appropriate adjustment or modifications of 
examinations, training materials, or policies; the provision of 
qualified readers or interpreters; and other similar accommodations for 
individuals with disabilities.
    (3) To determine the appropriate reasonable accommodation it may be 
necessary for the contractor to initiate an informal, interactive 
process with the qualified individual with a disability in need of the 
accommodation.\3\ This process should identify the precise limitations 
resulting from the disability and potential reasonable accommodations 
that could overcome those limitations. (Appendix A of this part provides 
guidance on a contractor's duty to provide reasonable accommodation.)
---------------------------------------------------------------------------

    \3\ Contractors must engage in such an interactive process with an 
individual with disabilities whether or not a reasonable accommodation 
ultimately is identified. Contractors must engage in the interactive 
process because, until they have done so, they may be unable to 
determine whether a reasonable accommodation exists that will result in 
the person being qualified.
---------------------------------------------------------------------------

    (w) Undue hardship--(1) In general. Undue hardship means, with 
respect to the provision of an accommodation,

[[Page 191]]

significant difficulty or expense incurred by the contractor, when 
considered in light of the factors set forth in paragraph (w)(2) of this 
section.
    (2) Factors to be considered. In determining whether an 
accommodation would impose an undue hardship on the contractor, factors 
to be considered include:
    (i) The nature and net cost of the accommodation needed, taking into 
consideration the availability of tax credits and deductions, and/or 
outside funding;
    (ii) The overall financial resources of the facility or facilities 
involved in the provision of the reasonable accommodation, the number of 
persons employed at such facility, and the effect on expenses and 
resources;
    (iii) The overall financial resources of the contractor, the overall 
size of the business of the contractor with respect to the number of its 
employees, and the number, type and location of its facilities;
    (iv) The type of operation or operations of the contractor, 
including the composition, structure and functions of the work force of 
such contractor, and the geographic separateness and administrative or 
fiscal relationship of the facility or facilities in question to the 
contractor; and
    (v) The impact of the accommodation upon the operation of the 
facility, including the impact on the ability of other employees to 
perform their duties and the impact on the facility's ability to conduct 
business.
    (x) Qualification standards means the personal and professional 
attributes including the skill, experience, education, physical, 
medical, safety and other requirements established by the contractor as 
requirements which an individual must meet in order to be eligible for 
the position held or desired.
    (y) Direct threat means a significant risk of substantial harm to 
the health or safety of the individual or others that cannot be 
eliminated or reduced by reasonable accommodation. The determination 
that an individual with a disability poses a ``direct threat'' shall be 
based on an individualized assessment of the individual's present 
ability to perform safely the essential functions of the job. This 
assessment shall be based on a reasonable medical judgment that relies 
on the most current medical knowledge and/or on the best available 
objective evidence. In determining whether an individual would pose a 
direct threat, the factors to be considered include:
    (1) The duration of the risk;
    (2) The nature and severity of the potential harm;
    (3) The likelihood that the potential harm will occur; and
    (4) The imminence of the potential harm.



Sec. 60-741.3  Exceptions to the definitions of ``individual with a disability'' and ``qualified individual with a disability.''

    (a) Current illegal use of drugs--(1) In general. The terms 
individual with a disability and qualified individual with a disability 
do not include individuals currently engaging in the illegal use of 
drugs, when the contractor acts on the basis of such use.
    (2) ``Drug'' defined. The term drug means a controlled substance, as 
defined in schedules I through V of section 202 of the Controlled 
Substances Act (21 U.S.C. 812).
    (3) ``Illegal use of drugs'' defined. The term illegal use of drugs 
means the use of drugs, the possession or distribution of which is 
unlawful under the Controlled Substances Act, as updated pursuant to 
that act. Such term does not include the use of a drug taken under 
supervision by a licensed health care professional, or other uses 
authorized by the Controlled Substances Act or other provisions of 
Federal law.
    (4) Construction. (i) Nothing in paragraph (a)(1) of this section 
shall be construed to exclude as an ``individual with a disability'' or 
as a ``qualified individual with a disability'' an individual who:
    (A) Has successfully completed a supervised drug rehabilitation 
program and is no longer engaging in the illegal use of drugs, or has 
otherwise been rehabilitated successfully and is no longer engaging in 
the illegal use of drugs;
    (B) Is participating in a supervised rehabilitation program and is 
no longer engaging in such use; or

[[Page 192]]

    (C) Is erroneously regarded as engaging in such use, but is not 
engaging in such use.
    (ii) In order to be protected by section 503 and this part, an 
individual described in paragraph (a)(4)(i) of this section must satisfy 
the requirements of the definition of qualified individual with a 
disability.
    (5) Drug testing. It shall not be a violation of this part for the 
contractor to adopt or administer reasonable policies or procedures, 
including but not limited to drug testing, designed to ensure that an 
individual described in paragraphs (a)(4)(i)(A) and (B) of this section 
is no longer engaging in the illegal use of drugs. (See Sec. 60-
741.24(b)(1).)
    (b) Alcoholics--(1) In general. The terms individual with a 
disability and qualified individual with a disability do not include an 
individual who is an alcoholic whose current use of alcohol prevents 
such individual from performing the essential functions of the 
employment position such individual holds or desires or whose 
employment, by reason of such current alcohol abuse, would constitute a 
direct threat to property or to the health or safety of the individual 
or others.
    (2) Duty to provide reasonable accommodation. Nothing in paragraph 
(b)(1) of this section shall relieve the contractor of its obligation to 
provide a reasonable accommodation for an individual described in 
paragraph (b)(1) of this section when such an accommodation will enable 
the individual to perform the essential functions of the employment 
position such individual holds or desires, or when the accommodation 
will eliminate or reduce the direct threat to property or the health or 
safety of the individual or others posed by such individual, provided 
that such individual satisfies the requisite skill, experience, 
education and other job-related requirements of such position.
    (c) Contagious disease or infection--(1) In general. The terms 
individual with a disability and qualified individual with a disability 
do not include an individual who has a currently contagious disease or 
infection and who, by reason of such disease or infection, would 
constitute a direct threat to the health or safety of the individual or 
others or who, by reason of the currently contagious disease or 
infection, is unable to perform the essential functions of the 
employment position such individual holds or desires.
    (2) Duty to provide reasonable accommodation. Nothing in paragraph 
(c)(1) of this section shall relieve the contractor of its obligation to 
provide a reasonable accommodation for an individual described in 
paragraph (c)(1) of this section when such an accommodation will enable 
the individual to perform the essential functions of the employment 
position such individual holds or desires, or when the accommodation 
will eliminate or reduce the direct threat to the health or safety of 
the individual or others posed by such individual, provided that such 
individual satisfies the requisite skill, experience, education and 
other job-related requirements of such position.
    (d) Homosexuality or bisexuality. The term impairment as defined in 
this part does not include homosexuality or bisexuality, and therefore 
the term individual with a disability as defined in this part does not 
include an individual on the basis of homosexuality or bisexuality.
    (e) Other conditions. The term individual with a disability does not 
include an individual on the basis of:
    (1) Transvestism, transsexualism, pedophilia, exhibitionism, 
voyeurism, gender identity disorders not resulting from physical 
impairments, or other sexual behavior disorders;
    (2) Compulsive gambling, kleptomania, or pyromania; or
    (3) Psychoactive substance use disorders resulting from current 
illegal use of drugs.



Sec. 60-741.4  Coverage and waivers.

    (a) Coverage--(1) Contracts and subcontracts in excess of $10,000. 
Contracts and subcontracts in excess of $10,000 are covered by this 
part. No contracting agency or contractor shall procure supplies or 
services in less than usual quantities to avoid the applicability of the 
equal opportunity clause.
    (2) Positions engaged in carrying out a contract. (i) With respect 
to the contractor's employment decisions and practices occurring before 
October 29,

[[Page 193]]

1992, this part applies only to employees who were employed in, and 
applicants for, positions that were engaged in carrying out a Government 
contract; with respect to employment decisions and practices occurring 
on or after October 29, 1992, this part applies to all of the 
contractor's positions irrespective of whether the positions are or were 
engaged in carrying out a Government contract. A position shall be 
considered to have been engaged in carrying out a contract if:
    (A) The duties of the position included work that fulfilled a 
contractual obligation, or work that was necessary to, or that 
facilitated, performance of the contract or a provision of the contract; 
or
    (B) The cost or a portion of the cost of the position was allowable 
as a cost of the contract under the principles set forth in the Federal 
Acquisition Regulation at 48 CFR Ch. 1, part 31: Provided, That a 
position shall not be considered to have been covered by this part by 
virtue of this provision if the cost of the position was not allocable 
in whole or in part as a direct cost to any Government contract, and 
only a de minimis (less than 2%) portion of the cost of the position was 
allocable as an indirect cost to Government contracts, considered as a 
group.
    (ii) Application. Where a contractor or a division or establishment 
of a contractor was devoted exclusively to Government contract work, all 
positions within the contractor, division, or establishment shall be 
considered to have been covered by this part. (Appendix D of this part 
provides guidance on positions engaged in carrying out a contract.)
    (3) Contracts and subcontracts for indefinite quantities. With 
respect to indefinite delivery-type contracts and subcontracts 
(including, but not limited to, open end contracts, requirement-type 
contracts, Federal Supply Schedule contracts, ``call-type'' contracts, 
and purchase notice agreements), the equal opportunity clause shall be 
included unless the contracting agency has reason to believe that the 
amount to be ordered in any year under such contract will not be in 
excess of $10,000. The applicability of the equal opportunity clause 
shall be determined at the time of award for the first year, and 
annually thereafter for succeeding years, if any. Notwithstanding the 
above, the equal opportunity clause shall be applied to such contract 
whenever the amount of a single order exceeds $10,000. Once the equal 
opportunity clause is determined to be applicable, the contract shall 
continue to be subject to such clause for its duration, regardless of 
the amounts ordered, or reasonably expected to be ordered in any year.
    (4) Employment activities within the United States. This part 
applies only to employment activities within the United States and not 
to employment activities abroad. The term employment activities within 
the United States includes actual employment within the United States, 
and decisions of the contractor made within the United States, 
pertaining to the contractor's applicants and employees who are within 
the United States, regarding employment opportunities abroad (such as 
recruiting and hiring within the United States for employment abroad, or 
transfer of persons employed in the United States to contractor 
establishments abroad).
    (5) Contracts with State or local governments. The requirements of 
the equal opportunity clause in any contract or subcontract with a State 
or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract.
    (b) Waivers--(1) Specific contracts and classes of contracts. The 
Deputy Assistant Secretary may waive the application to any contract of 
the equal opportunity clause in whole or part when he or she deems that 
special circumstances in the national interest so require. The Deputy 
Assistant Secretary may also grant such waivers to groups or categories 
of contracts: where it is in the national interest; where it is found 
impracticable to act upon each request individually; and where such 
waiver will substantially contribute to convenience in administration of 
the act. When a waiver has been granted for any class of contracts,

[[Page 194]]

the Deputy Assistant Secretary may withdraw the waiver for a specific 
contract or group of contracts to be awarded, when in his or her 
judgment such action is necessary or appropriate to achieve the purposes 
of the act. The withdrawal shall not apply to contracts awarded prior to 
the withdrawal, except that in procurements entered into by formal 
advertising, or the various forms of restricted formal advertising, such 
withdrawal shall not apply unless the withdrawal is made more than 10 
calendar days before the date set for the opening of the bids.
    (2) National security. Any requirement set forth in the regulations 
of this part shall not apply to any contract whenever the head of the 
contracting agency determines that such contract is essential to the 
national security and that its award without complying with such 
requirements is necessary to the national security. Upon making such a 
determination, the head of the contracting agency will notify the Deputy 
Assistant Secretary in writing within 30 days.
    (3) Facilities not connected with contracts. The Deputy Assistant 
Secretary may waive the requirements of the equal opportunity clause 
with respect to any of a contractor's facilities which he or she finds 
to be in all respects separate and distinct from activities of the 
contractor related to the performance of the contract, provided that he 
or she also finds that such a waiver will not interfere with or impede 
the effectuation of the act. Such waivers shall be considered only upon 
the request of the contractor.



Sec. 60-741.5  Equal opportunity clause.

    (a) Government contracts. Each contracting agency and each 
contractor shall include the following equal opportunity clause in each 
of its covered Government contracts or subcontracts (and modifications, 
renewals, or extensions thereof if not included in the original 
contract):

             Equal Opportunity for Workers With Disabilities

    1. The contractor will not discriminate against any employee or 
applicant for employment because of physical or mental disability in 
regard to any position for which the employee or applicant for 
employment is qualified. The contractor agrees to take affirmative 
action to employ, advance in employment and otherwise treat qualified 
individuals with disabilities without discrimination based on their 
physical or mental disability in all employment practices, including the 
following:
    i. Recruitment, advertising, and job application procedures;
    ii. Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff and rehiring;
    iii. Rates of pay or any other form of compensation and changes in 
compensation;
    iv. Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    v. Leaves of absence, sick leave, or any other leave;
    vi. Fringe benefits available by virtue of employment, whether or 
not administered by the contractor;
    vii. Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, and selection for leaves of absence to pursue training;
    viii. Activities sponsored by the contractor including social or 
recreational programs; and
    ix. Any other term, condition, or privilege of employment.
    2. The contractor agrees to comply with the rules, regulations, and 
relevant orders of the Secretary of Labor issued pursuant to the act.
    3. In the event of the contractor's noncompliance with the 
requirements of this clause, actions for noncompliance may be taken in 
accordance with the rules, regulations, and relevant orders of the 
Secretary of Labor issued pursuant to the act.
    4. The contractor agrees to post in conspicuous places, available to 
employees and applicants for employment, notices in a form to be 
prescribed by the Deputy Assistant Secretary for Federal Contract 
Compliance Programs, provided by or through the contracting officer. 
Such notices shall state the rights of applicants and employees as well 
as the contractor's obligation under the law to take affirmative action 
to employ and advance in employment qualified employees and applicants 
with disabilities. The contractor must ensure that applicants and 
employees with disabilities are informed of the contents of the notice 
(e.g., the contractor may have the notice read to a visually disabled 
individual, or may lower the posted notice so that it might be read by a 
person in a wheelchair).
    5. The contractor will notify each labor organization or 
representative of workers with which it has a collective bargaining 
agreement or other contract understanding, that

[[Page 195]]

the contractor is bound by the terms of section 503 of the 
Rehabilitation Act of 1973, as amended, and is committed to take 
affirmative action to employ and advance in employment individuals with 
physical or mental disabilities.
    6. The contractor will include the provisions of this clause in 
every subcontract or purchase order in excess of $10,000, unless 
exempted by the rules, regulations, or orders of the Secretary issued 
pursuant to section 503 of the act, as amended, so that such provisions 
will be binding upon each subcontractor or vendor. The contractor will 
take such action with respect to any subcontract or purchase order as 
the Deputy Assistant Secretary for Federal Contract Compliance Programs 
may direct to enforce such provisions, including action for 
noncompliance.

[End of Clause]

    (b) Subcontracts. Each contractor shall include the equal 
opportunity clause in each of its subcontracts subject to this part.
    (c) Adaption of language. Such necessary changes in language may be 
made to the equal opportunity clause as shall be appropriate to identify 
properly the parties and their undertakings.
    (d) Inclusion of the equal opportunity clause in the contract. It is 
not necessary that the equal opportunity clause be quoted verbatim in 
the contract. The clause may be made a part of the contract by citation 
to 41 CFR 60-741.5(a).
    (e) Incorporation by operation of the act. By operation of the act, 
the equal opportunity clause shall be considered to be a part of every 
contract and subcontract required by the act and the regulations in this 
part to include such a clause, whether or not it is physically 
incorporated in such contract and whether or not there is a written 
contract between the agency and the contractor.
    (f) Duties of contracting agencies. Each contracting agency shall 
cooperate with the Deputy Assistant Secretary and the Secretary in the 
performance of their responsibilities under the act. Such cooperation 
shall include insuring that the equal opportunity clause is included in 
all covered Government contracts and that contractors are fully informed 
of their obligations under the act and this part, providing the Deputy 
Assistant Secretary with any information which comes to the agency's 
attention that a contractor is not in compliance with the act or this 
part, responding to requests for information from the Deputy Assistant 
Secretary, and taking such actions for noncompliance as are set forth in 
Sec. 60-741.66 as may be ordered by the Secretary or the Deputy 
Assistant Secretary.



                  Subpart B--Discrimination Prohibited



Sec. 60-741.20  Covered employment activities.

    The prohibition against discrimination in this part applies to the 
following employment activities:
    (a) Recruitment, advertising, and job application procedures;
    (b) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring;
    (c) Rates of pay or any other form of compensation and changes in 
compensation;
    (d) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (e) Leaves of absence, sick leave, or any other leave;
    (f) Fringe benefits available by virtue of employment, whether or 
not administered by the contractor;
    (g) Selection and financial support for training, including 
apprenticeships, professional meetings, conferences and other related 
activities, and selection for leaves of absence to pursue training;
    (h) Activities sponsored by the contractor including social and 
recreational programs; and
    (i) Any other term, condition, or privilege of employment.



Sec. 60-741.21  Prohibitions.

    The term discrimination includes, but is not limited to, the acts 
described in this section and Sec. 60-741.23.
    (a) Disparate treatment. It is unlawful for the contractor to deny 
an employment opportunity or benefit or otherwise to discriminate 
against a qualified individual with a disability because of that 
individual's disability.

[[Page 196]]

    (b) Limiting, segregating and classifying. Unless otherwise 
permitted by this part, it is unlawful for the contractor to limit, 
segregate, or classify a job applicant or employee in a way that 
adversely affects his or her employment opportunities or status on the 
basis of disability. For example, the contractor may not segregate 
qualified employees with disabilities into separate work areas or into 
separate lines of advancement.
    (c) Contractual or other arrangements--(1) In general. It is 
unlawful for the contractor to participate in a contractual or other 
arrangement or relationship that has the effect of subjecting the 
contractor's own qualified applicant or employee with a disability to 
the discrimination prohibited by this part.
    (2) Contractual or other arrangement defined. The phrase contractual 
or other arrangement or relationship includes, but is not limited to, a 
relationship with: an employment or referral agency; a labor 
organization, including a collective bargaining agreement; an 
organization providing fringe benefits to an employee of the contractor; 
or an organization providing training and apprenticeship programs.
    (3) Application. This paragraph (c) applies to the contractor, with 
respect to its own applicants or employees, whether the contractor 
offered the contract or initiated the relationship, or whether the 
contractor accepted the contract or acceded to the relationship. The 
contractor is not liable for the actions of the other party or parties 
to the contract which only affect that other party's employees or 
applicants.
    (d) Standards, criteria or methods of administration. It is unlawful 
for the contractor to use standards, criteria, or methods of 
administration, that are not job-related and consistent with business 
necessity, and that:
    (1) Have the effect of discriminating on the basis of disability; or
    (2) Perpetuate the discrimination of others who are subject to 
common administrative control.
    (e) Relationship or association with an individual with a 
disability. It is unlawful for the contractor to exclude or deny equal 
jobs or benefits to, or otherwise discriminate against, a qualified 
individual because of the known disability of an individual with whom 
the qualified individual is known to have a family, business, social or 
other relationship or association.
    (f) Not making reasonable accommodation. (1) It is unlawful for the 
contractor to fail to make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified applicant or 
employee with a disability, unless such contractor can demonstrate that 
the accommodation would impose an undue hardship on the operation of its 
business.
    (2) It is unlawful for the contractor to deny employment 
opportunities to an otherwise qualified job applicant or employee with a 
disability based on the need of such contractor to make reasonable 
accommodation to such an individual's physical or mental impairments.
    (3) A qualified individual with a disability is not required to 
accept an accommodation, aid, service, opportunity or benefit which such 
qualified individual chooses not to accept. However, if such individual 
rejects a reasonable accommodation, aid, service, opportunity or benefit 
that is necessary to enable the individual to perform the essential 
functions of the position held or desired, and cannot, as a result of 
that rejection, perform the essential functions of the position, the 
individual will not be considered a qualified individual with a 
disability.
    (g) Qualification standards, tests and other selection criteria--(1) 
In general. It is unlawful for the contractor to use qualification 
standards, employment tests or other selection criteria that screen out 
or tend to screen out an individual with a disability or a class of 
individuals with disabilities, on the basis of disability, unless the 
standard, test or other selection criterion, as used by the contractor, 
is shown to be job-related for the position in question and is 
consistent with business necessity. Selection criteria that concern an 
essential function may not be used to exclude an individual with a 
disability if that individual could satisfy the criteria with provision 
of a reasonable accommodation. Selection criteria that

[[Page 197]]

exclude or tend to exclude an individual with a disability or a class of 
individuals with disabilities because of disability but concern only 
marginal functions of the job would not be consistent with business 
necessity. The contractor may not refuse to hire an applicant with a 
disability because the applicant's disability prevents him or her from 
performing marginal functions.
    (2) The Uniform Guidelines on Employee Selection Procedures, 41 CFR 
part 60-3, do not apply to the Rehabilitation Act and are similarly 
inapplicable to this part.
    (h) Administration of tests. It is unlawful for the contractor to 
fail to select and administer tests concerning employment in the most 
effective manner to ensure that, when a test is administered to a job 
applicant or employee who has a disability that impairs sensory, manual, 
or speaking skills, the test results accurately reflect the skills, 
aptitude, or whatever other factor of the applicant or employee that the 
test purports to measure, rather than reflecting the impaired sensory, 
manual, or speaking skills of such employee or applicant, except where 
such skills are the factors that the test purports to measure.
    (i) Compensation. In offering employment or promotions to 
individuals with disabilities, it is unlawful for the contractor to 
reduce the amount of compensation offered because of any income based 
upon a disability-related pension or other disability-related benefit 
the applicant or employee receives from another source.



Sec. 60-741.22  Direct threat defense.

    The contractor may use as a qualification standard the requirement 
that an individual be able to perform the essential functions of the 
position held or desired without posing a direct threat to the health or 
safety of the individual or others in the workplace. (See Sec. 60-
741.2(y) defining direct threat.)



Sec. 60-741.23  Medical examinations and inquiries.

    (a) Prohibited medical examinations or inquiries. Except as stated 
in paragraphs (b) and (c) of this section, it is unlawful for the 
contractor to require a medical examination of an applicant or employee 
or to make inquiries as to whether an applicant or employee is an 
individual with a disability or as to the nature or severity of such 
disability.
    (b) Permitted medical examinations and inquiries--(1) Acceptable 
pre-employment inquiry. The contractor may make pre-employment inquiries 
into the ability of an applicant to perform job-related functions, and/
or may ask an applicant to describe or to demonstrate how, with or 
without reasonable accommodation, the applicant will be able to perform 
job-related functions.
    (2) Employment entrance examination. The contractor may require a 
medical examination (and/or inquiry) after making an offer of employment 
to a job applicant and before the applicant begins his or her employment 
duties, and may condition an offer of employment on the results of such 
examination (and/or inquiry), if all entering employees in the same job 
category are subjected to such an examination (and/or inquiry) 
regardless of disability.
    (3) Examination of employees. The contractor may require a medical 
examination (and/or inquiry) of an employee that is job-related and 
consistent with business necessity. The contractor may make inquiries 
into the ability of an employee to perform job-related functions.
    (4) Other acceptable examinations and inquiries. The contractor may 
conduct voluntary medical examinations and activities, including 
voluntary medical histories, which are part of an employee health 
program available to employees at the work site.
    (5) Medical examinations conducted in accordance with paragraphs 
(b)(2) and (b)(4) of this section do not have to be job-related and 
consistent with business necessity. However, if certain criteria are 
used to screen out an applicant or applicants or an employee or 
employees with disabilities as a result of such examinations or 
inquiries, the contractor must demonstrate that the exclusionary 
criteria are job-related and consistent with business necessity, and 
that performance of the essential job functions cannot be accomplished 
with reasonable accommodations as required in this part.
    (c) Invitation to self-identify. The contractor shall invite the 
applicant to

[[Page 198]]

self-identify as an individual with a disability as specified in 
Sec. 60-741.42.
    (d) Confidentiality and use of medical information. (1) Information 
obtained under this section regarding the medical condition or history 
of any applicant or employee shall be collected and maintained on 
separate forms and in separate medical files and treated as a 
confidential medical record, except that:
    (i) Supervisors and managers may be informed regarding necessary 
restrictions on the work or duties of the applicant or employee and 
necessary accommodations;
    (ii) First aid and safety personnel may be informed, when 
appropriate, if the disability might require emergency treatment; and
    (iii) Government officials engaged in enforcing the laws 
administered by OFCCP, including this part, or enforcing the Americans 
with Disabilities Act, shall be provided relevant information on 
request.
    (2) Information obtained under this section regarding the medical 
condition or history of any applicant or employee shall not be used for 
any purpose inconsistent with this part.



Sec. 60-741.24  Drugs and alcohol.

    (a) Specific activities permitted. The contractor:
    (1) May prohibit the illegal use of drugs and the use of alcohol at 
the workplace by all employees;
    (2) May require that employees not be under the influence of alcohol 
or be engaging in the illegal use of drugs at the workplace;
    (3) May require that all employees behave in conformance with the 
requirements established under the Drug-Free Workplace Act of 1988 (41 
U.S.C. 701 et seq.);
    (4) May hold an employee who engages in the illegal use of drugs or 
who is an alcoholic to the same qualification standards for employment 
or job performance and behavior to which the contractor holds its other 
employees, even if any unsatisfactory performance or behavior is related 
to the employee's drug use or alcoholism;
    (5) May require that its employees employed in an industry subject 
to such regulations comply with the standards established in the 
regulations (if any) of the Departments of Defense and Transportation, 
and of the Nuclear Regulatory Commission, and other Federal agencies 
regarding alcohol and the illegal use of drugs; and
    (6) May require that employees employed in sensitive positions 
comply with the regulations (if any) of the Departments of Defense and 
Transportation, and of the Nuclear Regulatory Commission, and other 
Federal agencies that apply to employment in sensitive positions subject 
to such regulations.
    (b) Drug testing--(1) General policy. For purposes of this part, a 
test to determine the illegal use of drugs is not considered a medical 
examination. Thus, the administration of such drug tests by the 
contractor to its job applicants or employees is not a violation of 
Sec. 60-741.23. Nothing in this part shall be construed to encourage, 
prohibit, or authorize the contractor to conduct drug tests of job 
applicants or employees to determine the illegal use of drugs or to make 
employment decisions based on such test results.
    (2) Transportation employees. Nothing in this part shall be 
construed to encourage, prohibit, or authorize the otherwise lawful 
exercise by contractors subject to the jurisdiction of the Department of 
Transportation of authority to test employees in, and applicants for, 
positions involving safety-sensitive duties for the illegal use of drugs 
or for on-duty impairment by alcohol; and remove from safety-sensitive 
positions persons who test positive for illegal use of drugs or on-duty 
impairment by alcohol pursuant to paragraph (b)(1) of this section.
    (3) Any information regarding the medical condition or history of 
any employee or applicant obtained from a test to determine the illegal 
use of drugs, except information regarding the illegal use of drugs, is 
subject to the requirements of Secs. 60-741.23(b)(5) and (c).



Sec. 60-741.25   Health insurance, life insurance and other benefit plans.

    (a) An insurer, hospital, or medical service company, health 
maintenance organization, or any agent or entity

[[Page 199]]

that administers benefit plans, or similar organizations may underwrite 
risks, classify risks, or administer such risks that are based on or not 
inconsistent with State law.
    (b) The contractor may establish, sponsor, observe or administer the 
terms of a bona fide benefit plan that are based on underwriting risks, 
classifying risks, or administering such risks that are based on or not 
inconsistent with State law.
    (c) The contractor may establish, sponsor, observe, or administer 
the terms of a bona fide benefit plan that is not subject to State laws 
that regulate insurance.
    (d) The contractor may not deny a qualified individual with a 
disability equal access to insurance or subject a qualified individual 
with a disability to different terms or conditions of insurance based on 
disability alone, if the disability does not pose increased risks.
    (e) The activities described in paragraphs (a), (b) and (c) of this 
section are permitted unless these activities are used as a subterfuge 
to evade the purposes of this part.



                  Subpart C--Affirmative Action Program



Sec. 60-741.40  Applicability of the affirmative action program requirement.

    (a) The requirements of this subpart apply to every Government 
contractor that has 50 or more employees and a contract of $50,000 or 
more.
    (b) Contractors described in paragraph (a) of this section shall, 
within 120 days of the commencement of a contract, prepare and maintain 
an affirmative action program at each establishment. The affirmative 
action program shall set forth the contractor's policies and procedures 
in accordance with this part. This program may be integrated into or 
kept separate from other affirmative action programs.
    (c) The affirmative action program shall be reviewed and updated 
annually.
    (d) The contractor shall submit the affirmative action program 
within 30 days of a request from OFCCP, unless the request provides for 
a different time. The contractor also shall make the affirmative action 
program promptly available on-site upon OFCCP's request.



Sec. 60-741.41  Availability of affirmative action program.

    The full affirmative action program shall be available to any 
employee or applicant for employment for inspection upon request. The 
location and hours during which the program may be obtained shall be 
posted at each establishment.



Sec. 60-741.42  Invitation to self-identify.

    (a) The contractor shall, after making an offer of employment to a 
job applicant and before the applicant begins his or her employment 
duties, invite the applicant to inform the contractor whether the 
applicant believes that he or she may be covered by the act and wishes 
to benefit under the affirmative action program. The contractor may 
invite self-identification prior to making a job offer only when:
    (1) The invitation is made when the contractor actually is 
undertaking affirmative action for individuals with disabilities at the 
pre-offer stage; or
    (2) The invitation is made pursuant to a Federal, state or local law 
requiring affirmative action for individuals with disabilities.
    (b) The invitation referenced in paragraph (a) of this section shall 
state that a request to benefit under the affirmative action program may 
be made immediately and/or at any time in the future. The invitation 
also shall summarize the relevant portions of the act and the 
contractor's affirmative action program. Furthermore, the invitation 
shall state that the information is being requested on a voluntary 
basis, that it will be kept confidential, that refusal to provide it 
will not subject the applicant to any adverse treatment, and that it 
will not be used in a manner inconsistent with the act. If an applicant 
so identifies himself or herself, the contractor should also seek the 
advice of the applicant regarding proper placement and appropriate 
accommodation, after a job offer has been extended. The contractor also 
may make such inquiries to the extent they are consistent with the ADA 
(e.g.,

[[Page 200]]

in the context of asking applicants to describe or demonstrate how they 
would perform the job). The contractor shall maintain a separate file on 
persons who have self-identified and provide that file to OFCCP upon 
request. This information may be used only in accordance with this part. 
(An acceptable form for such an invitation is set forth in Appendix B of 
this part. Because a contractor usually may not seek advice from an 
applicant regarding placement and accommodation until after a job offer 
has been extended, the invitation set forth in Appendix B of this part 
contains instructions regarding modifications to be made if it is used 
at the pre-offer stage.)
    (c) Nothing in this section shall relieve the contractor of its 
obligation to take affirmative action with respect to those applicants 
or employees of whose disability the contractor has knowledge.
    (d) Nothing in this section shall relieve the contractor from 
liability for discrimination under the act.



Sec. 60-741.43  Affirmative action policy.

    Under the affirmative action obligations imposed by the act 
contractors shall not discriminate because of physical or mental 
disability and shall take affirmative action to employ and advance in 
employment qualified individuals with disabilities at all levels of 
employment, including the executive level. Such action shall apply to 
all employment activities set forth in Sec. 60-741.20.



Sec. 60-741.44  Required contents of affirmative action programs.

    Acceptable affirmative action programs shall contain, but not 
necessarily be limited to, the following ingredients:
    (a) Policy statement. The contractor shall include an equal 
opportunity policy statement in its affirmative action program, and 
shall post the policy statement on company bulletin boards. The 
contractor must ensure that applicants and employees with disabilities 
are informed of the contents of the policy statement (for example, the 
contractor may have the statement read to a visually disabled 
individual, or may lower the posted notice so that it may be read by a 
person in a wheelchair). The policy statement should indicate the chief 
executive officer's attitude on the subject matter, provide for an audit 
and reporting system (see paragraph (h) of this section) and assign 
overall responsibility for the implementation of affirmative action 
activities required under this part (see paragraph (i) of this section). 
Additionally, the policy should state, among other things, that the 
contractor will: recruit, hire, train and promote persons in all job 
titles, and ensure that all other personnel actions are administered, 
without regard to disability; and ensure that all employment decisions 
are based only on valid job requirements. The policy shall state that 
employees and applicants shall not be subjected to harassment, 
intimidation, threats, coercion or discrimination because they have 
engaged in or may engage in any of the following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in an investigation, compliance 
review, hearing, or any other activity related to the administration of 
section 503 of the Rehabilitation Act of 1973, as amended (section 503) 
or any other Federal, State or local law requiring equal opportunity for 
disabled persons;
    (3) Opposing any act or practice made unlawful by section 503 or its 
implementing regulations in this part or any other Federal, State or 
local law requiring equal opportunity for disabled persons; or
    (4) Exercising any other right protected by section 503 or its 
implementing regulations in this part.
    (b) Review of personnel processes. The contractor shall ensure that 
its personnel processes provide for careful, thorough, and systematic 
consideration of the job qualifications of applicants and employees with 
known disabilities for job vacancies filled either by hiring or 
promotion, and for all training opportunities offered or available. The 
contractor shall ensure that its personnel processes do not stereotype 
disabled persons in a manner which limits their access to all jobs for 
which they are qualified. The contractor shall periodically review such 
processes and make any necessary modifications to ensure

[[Page 201]]

that these obligations are carried out. A description of the review and 
any necessary modifications to personnel processes or development of new 
processes shall be included in any affirmative action programs required 
under this part. The contractor must design procedures that facilitate a 
review of the implementation of this requirement by the contractor and 
the Government. (Appendix C of this part is an example of an appropriate 
set of procedures. The procedures in Appendix C of this part are not 
required and contractors may develop other procedures appropriate to 
their circumstances.)
    (c) Physical and mental qualifications. (1) The contractor shall 
provide in its affirmative action program, and shall adhere to, a 
schedule for the periodic review of all physical and mental job 
qualification standards to ensure that, to the extent qualification 
standards tend to screen out qualified individuals with disabilities, 
they are job-related for the position in question and are consistent 
with business necessity.
    (2) Whenever the contractor applies physical or mental qualification 
standards in the selection of applicants or employees for employment or 
other change in employment status such as promotion, demotion or 
training, to the extent that qualification standards tend to screen out 
qualified individuals with disabilities, the standards shall be related 
to the specific job or jobs for which the individual is being considered 
and consistent with business necessity. The contractor shall have the 
burden to demonstrate that it has complied with the requirements of 
paragraph (c)(2) of this section.
    (3) The contractor may use as a defense to an allegation of a 
violation of paragraph (c)(2) of this section that an individual poses a 
direct threat to the health or safety of the individual or others in the 
workplace. (See Sec. 60-741.2(y) defining direct threat.)
    (d) Reasonable accommodation to physical and mental limitations. The 
contractor shall make reasonable accommodation to the known physical or 
mental limitations of an otherwise qualified individual with a 
disability unless it can demonstrate that the accommodation would impose 
an undue hardship on the operation of its business. If an employee with 
a known disability is having significant difficulty performing his or 
her job and it is reasonable to conclude that the performance problem 
may be related to the known disability, the contractor shall 
confidentially notify the employee of the performance problem and 
inquire whether the problem is related to the employee's disability; if 
the employee responds affirmatively, the contractor shall confidentially 
inquire whether the employee is in need of a reasonable accommodation.
    (e) Harassment. The contractor must develop and implement procedures 
to ensure that its employees with disabilities are not harassed because 
of disability.
    (f) External dissemination of policy, outreach and positive 
recruitment. The contractor shall undertake appropriate outreach and 
positive recruitment activities such as those listed in paragraphs 
(f)(1) through (7) of this section that are reasonably designed to 
effectively recruit qualified individuals with disabilities. It is not 
contemplated that the contractor will necessarily undertake all the 
activities listed in paragraphs (f)(1) through (7) of this section or 
that its activities will be limited to those listed. The scope of the 
contractor's efforts shall depend upon all the circumstances, including 
the contractor's size and resources and the extent to which existing 
employment practices are adequate.
    (1) The contractor should enlist the assistance and support of 
recruiting sources (including State employment security agencies, State 
vocational rehabilitation agencies or facilities, sheltered workshops, 
college placement officers, State education agencies, labor 
organizations and organizations of or for individuals with disabilities) 
for the contractor's commitment to provide meaningful employment 
opportunities to qualified individuals with disabilities. Formal 
briefing sessions should be held, preferably on company premises, with 
representatives from recruiting sources. Plant tours, clear and concise 
explanations of current and future job openings, position descriptions, 
worker specifications, explanations of the company's selection process, 
and

[[Page 202]]

recruiting literature should be an integral part of the briefing. Formal 
arrangements should be made for referral of applicants, follow up with 
sources, and feedback on disposition of applicants.
    (2) The contractor's recruitment efforts at all schools should 
incorporate special efforts to reach students with disabilities. The 
contractor should engage in recruitment activities at educational 
institutions which participate in training of individuals with 
disabilities, such as schools for the blind, deaf, or learning disabled. 
An effort should be made to participate in work-study programs with 
rehabilitation facilities and schools which specialize in training or 
educating individuals with disabilities.
    (3) The contractor should establish meaningful contacts with 
appropriate social service agencies, organizations of and for 
individuals with disabilities, and vocational rehabilitation agencies or 
facilities, for such purposes as advice, technical assistance and 
referral of potential employees. Technical assistance from the resources 
described in this paragraph may consist of advice on proper placement, 
recruitment, training and accommodations contractors may undertake, but 
no such resource providing technical assistance shall have authority to 
approve or disapprove the acceptability of affirmative action programs.
    (4) The contractor should include individuals with disabilities when 
employees are pictured in consumer, promotional or help wanted 
advertising. Individuals with disabilities should be made available for 
participation in career days, youth motivation programs, and related 
activities in their communities.
    (5) The contractor should send written notification of company 
policy to all subcontractors, vendors and suppliers, requesting 
appropriate action on their part.
    (6) The contractor should take positive steps to attract qualified 
individuals with disabilities not currently in the work force who have 
requisite skills and can be recruited through affirmative action 
measures. These persons may be located through the local chapters of 
organizations of and for individuals with disabilities.
    (7) The contractor, in making hiring decisions, should consider 
applicants with known disabilities for all available positions for which 
they may be qualified when the position(s) applied for is unavailable.
    (g) Internal dissemination of policy. (1) A strong outreach program 
will be ineffective without adequate internal support from supervisory 
and management personnel and other employees, who may have had limited 
contact with individuals with disabilities in the past. In order to 
assure greater employee cooperation and participation in the 
contractor's efforts, the contractor shall develop internal procedures 
such as those listed in paragraph (g)(2) of this section for 
communication of its obligation to engage in affirmative action efforts 
to employ and advance in employment qualified individuals with 
disabilities. It is not contemplated that the contractor will 
necessarily undertake all the activities listed in paragraph (g)(2) of 
this section or that its activities will be limited to those listed. 
These procedures shall be designed to foster understanding, acceptance 
and support among the contractor's executive, management, supervisory 
and other employees and to encourage such persons to take the necessary 
actions to aid the contractor in meeting this obligation. The scope of 
the contractor's efforts shall depend upon all the circumstances, 
including the contractor's size and resources and the extent to which 
existing practices are adequate.
    (2) The contractor should implement and disseminate this policy 
internally as follows:
    (i) Include it in the contractor's policy manual.
    (ii) Periodically inform all employees and prospective employees of 
its commitment to engage in affirmative action to increase employment 
opportunities for qualified individuals with disabilities. The 
contractor should schedule special meetings with all employees to 
discuss policy and explain individual employee responsibilities.
    (iii) Publicize it in the company newspaper, magazine, annual report 
and other media.

[[Page 203]]

    (iv) Conduct special meetings with executive, management, and 
supervisory personnel to explain the intent of the policy and individual 
responsibility for effective implementation, making clear the chief 
executive officer's attitude.
    (v) Discuss the policy thoroughly in both employee orientation and 
management training programs.
    (vi) Meet with union officials and/or employee representatives to 
inform them of the contractor's policy, and request their cooperation.
    (vii) Include articles on accomplishments of disabled workers in 
company publications.
    (viii) When employees are featured in employee handbooks or similar 
publications for employees, include individuals with disabilities.
    (h) Audit and reporting system. (1) The contractor shall design and 
implement an audit and reporting system that will:
    (i) Measure the effectiveness of the contractor's affirmative action 
program.
    (ii) Indicate any need for remedial action.
    (iii) Determine the degree to which the contractor's objectives have 
been attained.
    (iv) Determine whether individuals with known disabilities have had 
the opportunity to participate in all company sponsored educational, 
training, recreational and social activities.
    (v) Measure the contractor's compliance with the affirmative action 
program's specific obligations.
    (2) Where the affirmative action program is found to be deficient, 
the contractor shall undertake necessary action to bring the program 
into compliance.
    (i) Responsibility for implementation. An official of the contractor 
shall be assigned responsibility for implementation of the contractor's 
affirmative action activities under this part. His or her identity 
should appear on all internal and external communications regarding the 
company's affirmative action program. This official shall be given 
necessary top management support and staff to manage the implementation 
of this program.
    (j) Training. All personnel involved in the recruitment, screening, 
selection, promotion, disciplinary, and related processes shall be 
trained to ensure that the commitments in the contractor's affirmative 
action program are implemented.



Sec. 60-741.45  Sheltered workshops.

    Contracts with sheltered workshops do not constitute affirmative 
action in lieu of employment and advancement of qualified disabled 
individuals in the contractor's own work force. Contracts with sheltered 
workshops may be included within an affirmative action program if the 
sheltered workshop trains employees for the contractor and the 
contractor is obligated to hire trainees at full compensation when such 
trainees become ``qualified individuals with disabilities.''



         Subpart D--General Enforcement and Complaint Procedures



Sec. 60-741.60  Compliance reviews.

    (a) OFCCP may conduct compliance reviews to determine if the 
contractor maintains nondiscriminatory hiring and employment practices 
and is taking affirmative action to ensure that applicants are employed 
and that employees are placed, trained, upgraded, promoted, and 
otherwise treated in accordance with this part during employment. The 
compliance review shall consist of a comprehensive analysis and 
evaluation of each aspect of the aforementioned practices, policies, and 
conditions resulting therefrom. Where necessary, recommendations for 
appropriate sanctions shall be made.
    (b) Where deficiencies are found to exist, reasonable efforts shall 
be made to secure compliance through conciliation and persuasion 
pursuant to Sec. 60-741.62.



Sec. 60-741.61  Complaint procedures.

    (a) Coordination with other agencies. Pursuant to section 107(b) of 
the Americans with Disabilities Act of 1990 (ADA), OFCCP and the Equal 
Employment Opportunity Commission have promulgated regulations setting 
forth procedures governing the processing of complaints falling within 
the overlapping jurisdiction of both the act and

[[Page 204]]

title I of the ADA to ensure that such complaints are dealt with in a 
manner that avoids duplication of effort and prevents the imposition of 
inconsistent or conflicting standards. Complaints filed under this part 
will be processed in accordance with those regulations, which are found 
at 41 CFR part 60-742, and with this part.
    (b) Place and time of filing. Any applicant for employment with a 
contractor or any employee of a contractor may, personally or by an 
authorized representative, file a written complaint with the Deputy 
Assistant Secretary alleging a violation of the act or the regulations 
in this part. The complaint may allege individual or class-wide 
violation(s). Complaints may be submitted to the OFCCP, 200 Constitution 
Avenue, N.W., Washington, D.C. 20210, or to any OFCCP regional, 
district, or area office. Such complaint must be filed within 300 days 
of the date of the alleged violation, unless the time for filing is 
extended by OFCCP for good cause shown.
    (c) Contents of complaints--(1) In general. A complaint must be 
signed by the complainant or his or her authorized representative and 
must contain the following information:
    (i) Name and address (including telephone number) of the 
complainant;
    (ii) Name and address of the contractor who committed the alleged 
violation;
    (iii) The facts showing that the individual is disabled or has a 
history of a disability or was regarded by the contractor as having a 
disability;
    (iv) A description of the act or acts considered to be a violation, 
including the pertinent dates (in the case of an alleged continuing 
violation, the earliest and most recent date that the alleged violation 
occurred should be stated); and
    (v) Other pertinent information available which will assist in the 
investigation and resolution of the complaint, including the name of any 
known Federal agency with which the employer has contracted.
    (2) Third party complaints. A complaint filed by an authorized 
representative need not identify by name the person on whose behalf it 
is filed. The person filing the complaint, however, shall provide OFCCP 
with the name, address and telephone number of the person on whose 
behalf it is made, and the other information specified in paragraph 
(c)(1) of this section. OFCCP shall verify the authorization of such a 
complaint by the person on whose behalf the complaint is made. Any such 
person may request that OFCCP keep his or her identity confidential, and 
OFCCP will protect the individual's confidentiality wherever that is 
possible given the facts and circumstances in the complaint.
    (d) Incomplete information. Where a complaint contains incomplete 
information, OFCCP shall seek the needed information from the 
complainant. If the information is not furnished to OFCCP within 60 days 
of the date of such request, the case may be closed.
    (e) Investigations. The Department of Labor shall institute a prompt 
investigation of each complaint.
    (f) Resolution of matters. (1) If the complaint investigation finds 
no violation of the act or this part, or if the Deputy Assistant 
Secretary decides not to refer the matter to the Solicitor of Labor for 
enforcement proceedings against the contractor pursuant to Sec. 60-
741.65(a)(l), the complainant and contractor shall be so notified. The 
Deputy Assistant Secretary, on his or her own initiative, may reconsider 
his or her determination or the determination of any of his or her 
designated officers who have authority to issue Notifications of Results 
of Investigation.
    (2) The Deputy Assistant Secretary will review all determinations of 
no violation that involve complaints that are not also cognizable under 
title I of the Americans with Disabilities Act.
    (3) In cases where the Deputy Assistant Secretary decides to 
reconsider the determination of a Notification of Results of 
Investigation, the Deputy Assistant Secretary shall provide prompt 
notification of his or her intent to reconsider, which is effective upon 
issuance, and his or her final determination after reconsideration, to 
the person claiming to be aggrieved, the person making the complaint on 
behalf of such person, if any, and the contractor.
    (4) If the investigation finds a violation of the act or this part, 
OFCCP

[[Page 205]]

shall invite the contractor to participate in conciliation discussions 
pursuant to Sec. 60-741.62.



Sec. 60-741.62  Conciliation agreements and letters of commitment.

    (a) If a compliance review, complaint investigation or other review 
by OFCCP finds a material violation of the act or this part, and if the 
contractor is willing to correct the violations and/or deficiencies, and 
if OFCCP determines that settlement on that basis (rather than referral 
for consideration of formal enforcement) is appropriate, a written 
conciliation agreement shall be required. The agreement shall provide 
for such remedial action as may be necessary to correct the violations 
and/or deficiencies noted, including, where appropriate (but not 
necessarily limited to) such make whole remedies as back pay and 
retroactive seniority. The agreement shall also specify the time period 
for completion of the remedial action; the period shall be no longer 
than the minimum period necessary to complete the action.
    (b) The term ``conciliation agreement'' does not include ``letters 
of commitment,'' which are appropriate for resolving minor technical 
deficiencies.



Sec. 60-741.63  Violation of conciliation agreements and letters of commitment.

    (a) When OFCCP believes that a conciliation agreement has been 
violated, the following procedures are applicable:
    (1) A written notice shall be sent to the contractor setting forth 
the violation alleged and summarizing the supporting evidence. The 
contractor shall have 15 days from receipt of the notice to respond, 
except in those cases in which OFCCP asserts that such a delay would 
result in irreparable injury to the employment rights of affected 
employees or applicants.
    (2) During the 15-day period the contractor may demonstrate in 
writing that it has not violated its commitments.
    (b) In those cases in which OFCCP asserts that a delay would result 
in irreparable injury to the employment rights of affected employees or 
applicants, enforcement proceedings may be initiated immediately without 
proceeding through any other requirement contained in this chapter.
    (c) In any proceedings involving an alleged violation of a 
conciliation agreement OFCCP may seek enforcement of the agreement 
itself and shall not be required to present proof of the underlying 
violations resolved by the agreement.
    (d) When OFCCP believes that a letter of commitment has been 
violated, the matter shall be handled, where appropriate, pursuant to 
Sec. 60-741.64. The violation may be corrected through a conciliation 
agreement, or an enforcement proceeding may be initiated.



Sec. 60-741.64  Show cause notices.

    When the Deputy Assistant Secretary has reasonable cause to believe 
that the contractor has violated the act or this part, he or she may 
issue a notice requiring the contractor to show cause, within 30 days, 
why monitoring, enforcement proceedings or other appropriate action to 
ensure compliance should not be instituted. The issuance of such a 
notice is not a prerequisite to instituting enforcement proceedings (see 
Sec. 60-741.65).



Sec. 60-741.65  Enforcement proceedings.

    (a) General. (1) If a compliance review, complaint investigation or 
other review by OFCCP finds a violation of the act or this part, and the 
violation has not been corrected in accordance with the conciliation 
procedures in this part, or OFCCP determines that referral for 
consideration of formal enforcement (rather than settlement) is 
appropriate, OFCCP may refer the matter to the Solicitor of Labor with a 
recommendation for the institution of enforcement proceedings to enjoin 
the violations, to seek appropriate relief, and to impose appropriate 
sanctions, or any of the above in this sentence. OFCCP may seek back pay 
and other make whole relief for aggrieved individuals identified during 
a complaint investigation or compliance review. Such individuals need 
not have filed a complaint as a prerequisite to OFCCP seeking such 
relief on their behalf. Interest on back pay shall be calculated from 
the date of the loss and

[[Page 206]]

compounded quarterly at the percentage rate established by the Internal 
Revenue Service for the underpayment of taxes.
    (2) In addition to the administrative proceedings set forth in this 
section, the Deputy Assistant Secretary may, within the limitations of 
applicable law, seek appropriate judicial action to enforce the 
contractual provisions set forth in Sec. 60-741.5, including appropriate 
injunctive relief.
    (b) Hearing practice and procedure. (1) In administrative 
enforcement proceedings the contractor shall be provided an opportunity 
for a formal hearing. All hearings conducted under the act and this part 
shall be governed by the Rules of Practice for Administrative 
Proceedings to Enforce Equal Opportunity Under Executive Order 11246 
contained in 41 CFR part 60-30 and the Rules of Evidence set out in the 
Rules of Practice and Procedure for Administrative Hearings Before the 
Office of Administrative Law Judges contained in 29 CFR part 18, subpart 
B: Provided, That a final administrative order shall be issued within 
one year from the date of the issuance of the recommended findings, 
conclusions and decision of the Administrative Law Judge, or the 
submission of any exceptions and responses to exceptions to such 
decision (if any), whichever is later.
    (2) Complaints may be filed by the Solicitor, the Associate 
Solicitor for Civil Rights, Regional Solicitors and Associate Regional 
Solicitors.
    (3) For the purposes of hearings pursuant to this part, references 
in 41 CFR part 60-30 to ``Executive Order 11246'' shall mean section 503 
of the Rehabilitation Act of 1973, as amended; to ``equal opportunity 
clause'' shall mean the equal opportunity clause published at 41 CFR 60-
741.5; and to ``regulations'' shall mean the regulations contained in 
this part.



Sec. 60-741.66 Sanctions and penalties.

    (a) Withholding progress payments. With the prior approval of the 
Deputy Assistant Secretary so much of the accrued payment due on the 
contract or any other contract between the Government contractor and the 
Federal Government may be withheld as necessary to correct any 
violations of the provisions of the act or this part.
    (b) Termination. A contract may be canceled or terminated, in whole 
or in part, for failure to comply with the provisions of the act or this 
part.
    (c) Debarment. A contractor may be debarred from receiving future 
contracts for failure to comply with the provisions of the act or this 
part subject to reinstatement pursuant to Sec. 60-741.68. Debarment may 
be imposed for an indefinite period, or may be imposed for a fixed 
period of not less than six months but no more than three years.
    (d) Hearing opportunity. An opportunity for a formal hearing shall 
be afforded to a contractor before the imposition of any sanction or 
penalty.



Sec. 60-741.67  Notification of agencies.

    The Deputy Assistant Secretary shall ensure that the heads of all 
agencies are notified of any debarments taken against any contractor.



Sec. 60-741.68  Reinstatement of ineligible contractors.

    (a) Application for reinstatement. A contractor debarred from 
further contracts for an indefinite period under the act may request 
reinstatement in a letter filed with the Deputy Assistant Secretary at 
any time after the effective date of the debarment; a contractor 
debarred for a fixed period may make such a request following the 
expiration of six months from the effective date of the debarment. In 
connection with the reinstatement proceedings, all debarred contractors 
shall be required to show that they have established and will carry out 
employment policies and practices in compliance with the act and this 
part. Additionally, in determining whether reinstatement is appropriate 
for a contractor debarred for a fixed period, the Deputy Assistant 
Secretary also shall consider, among other factors, the severity of the 
violation which resulted in the debarment, the contractor's attitude 
towards compliance, the contractor's past compliance history, and 
whether the contractor's reinstatement would impede the effective 
enforcement of the act or this part. Before reaching a

[[Page 207]]

decision, the Deputy Assistant Secretary may conduct a compliance review 
of the contractor and may require the contractor to supply additional 
information regarding the request for reinstatement. The Deputy 
Assistant Secretary shall issue a written decision on the request.
    (b) Petition for review. Within 30 days of its receipt of a decision 
denying a request for reinstatement, the contractor may file a petition 
for review of the decision with the Secretary. The petition shall set 
forth the grounds for the contractor's objections to the Deputy 
Assistant Secretary's decision. The petition shall be served on the 
Deputy Assistant Secretary and the Associate Solicitor for Civil Rights 
and shall include the decision as an appendix. The Deputy Assistant 
Secretary may file a response within 14 days to the petition. The 
Secretary shall issue the final agency decision denying or granting the 
request for reinstatement. Before reaching a final decision, the 
Secretary may issue such additional orders respecting procedure as he or 
she finds appropriate in the circumstances, including an order referring 
the matter to the Office of Administrative Law Judges for an evidentiary 
hearing where there is a material factual dispute that cannot be 
resolved on the record before the Secretary.



Sec. 60-741.69  Intimidation and interference.

    (a) The contractor shall not harass, intimidate, threaten, coerce, 
or discriminate against, any individual because the individual has 
engaged in or may engage in any of the following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in any manner in an investigation, 
compliance review, hearing, or any other activity related to the 
administration of the act or any other Federal, State or local law 
requiring equal opportunity for disabled persons;
    (3) Opposing any act or practice made unlawful by the act or this 
part or any other Federal, State or local law requiring equal 
opportunity for disabled persons; or
    (4) Exercising any other right protected by the act or this part.
    (b) The contractor shall ensure that all persons under its control 
do not engage in such harassment, intimidation, threats, coercion or 
discrimination. The sanctions and penalties contained in this part may 
be exercised by the Deputy Assistant Secretary against any contractor 
who violates this obligation.



Sec. 60-741.70  Disputed matters related to compliance with the act.

    The procedures set forth in the regulations in this part govern all 
disputes relative to the contractor's compliance with the act and this 
part. Any disputes relating to issues other than compliance, including 
contract costs arising out of the contractor's efforts to comply, shall 
be determined by the disputes clause of the contract.



                      Subpart E--Ancillary Matters



Sec. 60-741.80  Recordkeeping.

    (a) General requirements. Any personnel or employment record made or 
kept by the contractor shall be preserved by the contractor for a period 
of two years from the date of the making of the record or the personnel 
action involved, whichever occurs later. However, if the contractor has 
fewer than 150 employees or does not have a Government contract of at 
least $150,000, the minimum record retention period shall be one year 
from the date of the making of the record or the personnel action 
involved, whichever occurs later. Such records include, but are not 
necessarily limited to, records relating to requests for reasonable 
accommodation; the results of any physical examination; job 
advertisements and postings; applications and resumes; tests and test 
results; interview notes; and other records having to do with hiring, 
assignment, promotion, demotion, transfer, lay-off or termination, rates 
of pay or other terms of compensation, and selection for training or 
apprenticeship. In the case of involuntary termination of an employee, 
the personnel records of the individual terminated shall be kept for a 
period of two years from the date of the termination, except that 
contractors that have fewer than 150 employees or that do not have a 
Government contract of at least

[[Page 208]]

$150,000 shall keep such records for a period of one year from the date 
of the termination. Where the contractor has received notice that a 
complaint of discrimination has been filed, that a compliance review has 
been initiated, or that an enforcement action has been commenced, the 
contractor shall preserve all personnel records relevant to the 
complaint, compliance review or action until final disposition of the 
complaint, compliance review or action. The term ``personnel records 
relevant to the complaint, compliance review or action'' would include, 
for example, personnel or employment records relating to the aggrieved 
person and to all other employees holding positions similar to that held 
or sought by the aggrieved person and application forms or test papers 
completed by an unsuccessful applicant and by all other candidates for 
the same position as that for which the aggrieved person applied and was 
rejected.

    (b) Failure to preserve records. Failure to preserve complete and 
accurate records as required by paragraph (a) of this section 
constitutes noncompliance with the contractor's obligations under the 
act and this part. Where the contractor has destroyed or failed to 
preserve records as required by this section, there may be a presumption 
that the information destroyed or not preserved would have been 
unfavorable to the contractor: Provided, That this presumption shall not 
apply where the contractor shows that the destruction or failure to 
preserve records results from circumstances that are outside of the 
contractor's control.

    (c) The requirements of this section shall apply only to records 
made or kept on or after August 29, 1996.



Sec. 60-741.81  Access to records.

    Each contractor shall permit access during normal business hours to 
its places of business for the purpose of conducting on-site compliance 
reviews and complaint investigations and inspecting and copying such 
books and accounts and records, including computerized records, and 
other material as may be relevant to the matter under investigation and 
pertinent to compliance with the act or this part. Information obtained 
in this manner shall be used only in connection with the administration 
of the act, the administration of the Americans with Disabilities Act of 
1990 (ADA) and in furtherance of the purposes of the act and the ADA.



Sec. 60-741.82  Labor organizations and recruiting and training agencies.

    (a) Whenever performance in accordance with the equal opportunity 
clause or any matter contained in the regulations in this part may 
necessitate a revision of a collective bargaining agreement, the labor 
organizations which are parties to such agreement shall be given an 
adequate opportunity to present their views to OFCCP.

    (b) OFCCP shall use its best efforts, directly or through 
contractors, subcontractors, local officials, vocational rehabilitation 
facilities, and all other available instrumentalities, to cause any 
labor organization, recruiting and training agency or other 
representative of workers who are employed by a contractor to cooperate 
with, and to assist in, the implementation of the purposes of the act.



Sec. 60-741.83  Rulings and interpretations.

    Rulings under or interpretations of the act and this part shall be 
made by the Deputy Assistant Secretary.



Sec. 60-741.84  Effective date.

    This part shall become effective August 29, 1996, and shall not 
apply retroactively. Contractors presently holding Government contracts 
shall update their affirmative action programs as required to comply 
with this part by December 27, 1996.

Appendix A to Part 60-741--Guidelines on a Contractor's Duty To Provide 
                        Reasonable Accommodation

    The guidelines in this appendix are in large part derived from, and 
are consistent with, the discussion regarding the duty to provide 
reasonable accommodation contained in the Interpretive Guidance on Title 
I of the Americans with Disabilities Act (ADA) set out as an appendix to 
the regulations issued by the Equal Employment Opportunity Commission 
(EEOC) implementing the ADA (29

[[Page 209]]

CFR part 1630). Although the following discussion is intended to provide 
an independent ``free-standing'' source of guidance with respect to the 
duty to provide reasonable accommodation under this part, to the extent 
that the EEOC appendix provides additional guidance which is consistent 
with the following discussion, it may be relied upon for purposes of 
this part as well. See Sec. 60-741.1(c). Contractors are obligated to 
provide reasonable accommodation and to take affirmative action. 
Reasonable accommodation under section 503, like reasonable 
accommodation required under the ADA, is a part of the nondiscrimination 
obligation. See EEOC appendix cited in this paragraph. Affirmative 
action is unique to section 503, and includes actions above and beyond 
those required as a matter of nondiscrimination. An example of this is 
the requirement discussed in paragraph 2 of this appendix that a 
contractor shall make an inquiry of an employee with a known disability 
who is having significant difficulty performing his or her job.

    1. A contractor is required to make reasonable accommodations to the 
known physical or mental limitations of an ``otherwise qualified'' 
individual with a disability, unless the contractor can demonstrate that 
the accommodation would impose an undue hardship on the operation of its 
business. As stated in Sec. 60-741.2(t), an individual with a disability 
is qualified if he or she satisfies all the skill, experience, education 
and other job-related selection criteria, and can perform the essential 
functions of the position with or without reasonable accommodation. A 
contractor is required to make a reasonable accommodation with respect 
to its application process if the individual with a disability is 
qualified with respect to that process. One is ``otherwise qualified'' 
if he or she is qualified for a job, except that, because of a 
disability, he or she needs a reasonable accommodation to be able to 
perform the job's essential functions.
    2. Although the contractor would not be expected to accommodate 
disabilities of which it is unaware, the contractor has an affirmative 
obligation to provide a reasonable accommodation for applicants and 
employees of whose disability the contractor has actual knowledge. As 
stated in Sec. 60-741.42 (see also Appendix B of this part), the 
contractor is required to invite applicants who have been provided an 
offer of employment, before they begin their employment duties, to 
indicate whether they may have a disability and wish to benefit under 
the contractor's affirmative action program. That section further 
provides that the contractor should seek the advice of individuals who 
``self-identify'' in this way as to proper placement and appropriate 
accommodation. Moreover, Sec. 60-741.44(d) provides that if an employee 
with a known disability is having significant difficulty performing his 
or her job and it is reasonable to conclude that the performance problem 
may be related to the disability, the contractor is required to 
confidentially inquire whether the problem is disability related and if 
the employee is in need of a reasonable accommodation.
    3. An accommodation is any change in the work environment or in the 
way things are customarily done that enables an individual with a 
disability to enjoy equal employment opportunities. Equal employment 
opportunity means an opportunity to attain the same level of 
performance, or to enjoy the same level of benefits and privileges of 
employment as are available to the average similarly situated employee 
without a disability. Thus, for example, an accommodation made to assist 
an employee with a disability in the performance of his or her job must 
be adequate to enable the individual to perform the essential functions 
of the position. The accommodation, however, does not have to be the 
``best'' accommodation possible, so long as it is sufficient to meet the 
job-related needs of the individual being accommodated. There are three 
areas in which reasonable accommodations may be necessary: (1) 
Accommodations in the application process; (2) accommodations that 
enable employees with disabilities to perform the essential functions of 
the position held or desired; and (3) accommodations that enable 
employees with disabilities to enjoy equal benefits and privileges of 
employment as are enjoyed by employees without disabilities.
    4. The term ``undue hardship'' refers to any accommodation that 
would be unduly costly, extensive, substantial, or disruptive, or that 
would fundamentally alter the nature or operation of the contractor's 
business. The contractor's claim that the cost of a particular 
accommodation will impose an undue hardship requires a determination of 
which financial resources should be considered--those of the contractor 
in its entirety or only those of the facility that will be required to 
provide the accommodation. This inquiry requires an analysis of the 
financial relationship between the contractor and the facility in order 
to determine what resources will be available to the facility in 
providing the accommodation. If the contractor can show that the cost of 
the accommodation would impose an undue hardship, it would still be 
required to provide the accommodation if the funding is available from 
another source, e.g., a State vocational rehabilitation agency, or if 
Federal, State or local tax deductions or tax credits are available to 
offset the cost of the accommodation. In the absence of such funding, 
the individual with a disability should be given the option of providing 
the accommodation or of paying that portion of the cost which 
constitutes the undue hardship on the operation of the business.

[[Page 210]]

    5. Section 60-741.2(v) lists a number of examples of the most common 
types of accommodations that the contractor may be required to provide. 
There are any number of specific accommodations that may be appropriate 
for particular situations. The discussion in this appendix is not 
intended to provide an exhaustive list of required accommodations (as no 
such list would be feasible); rather, it is intended to provide general 
guidance regarding the nature of the obligation. The decision as to 
whether a reasonable accommodation is appropriate must be made on a 
case-by-case basis. The contractor generally should consult with the 
individual with a disability in deciding on the appropriate 
accommodation; frequently, the individual will know exactly what 
accommodation he or she will need to perform successfully in a 
particular job, and may suggest an accommodation which is simpler and 
less expensive than the accommodation the contractor might have devised. 
Other resources to consult include the appropriate State vocational 
rehabilitation services agency, the Equal Employment Opportunity 
Commission (1-800-669-EEOC (voice), 1-800-800-3302 (TDD)), the Job 
Accommodation Network (JAN) operated by the President's Committee on 
Employment of People with Disabilities (1-800-JAN-7234), private 
disability organizations, and other employers.
    6. With respect to accommodations that can permit an employee with a 
disability to perform essential functions successfully, a reasonable 
accommodation may require the contractor to, for instance, modify or 
acquire equipment. For the visually-impaired such accommodations may 
include providing adaptive hardware and software for computers, 
electronic visual aids, braille devices, talking calculators, 
magnifiers, audio recordings and brailled or large print materials. For 
persons with hearing impairments, reasonable accommodations may include 
providing telephone handset amplifiers, telephones compatible with 
hearing aids and telecommunications devices for the deaf (TDDs). For 
persons with limited physical dexterity, the obligation may require the 
provision of goose neck telephone headsets, mechanical page turners and 
raised or lowered furniture.
    7. Other reasonable accommodations of this type may include 
providing personal assistants such as a reader, interpreter or travel 
attendant, permitting the use of accrued paid leave or providing 
additional unpaid leave for necessary treatment. The contractor may also 
be required to make existing facilities readily accessible to and usable 
by individuals with a disability--including areas used by employees for 
purposes other than the performance of essential job functions such as 
restrooms, break rooms, cafeterias, lounges, auditoriums, libraries, 
parking lots and credit unions. This type of accommodation will enable 
employees to enjoy equal benefits and privileges of employment as are 
enjoyed by employees who do not have disabilities.
    8. Another of the potential accommodations listed in Sec. 60-
741.2(v) is job restructuring. This may involve reallocating or 
redistributing those nonessential, marginal job functions which a 
qualified individual with a disability cannot perform to another 
position. Accordingly, if a clerical employee is occasionally required 
to lift heavy boxes containing files, but cannot do so because of a 
disability, this task may be reassigned to another employee. The 
contractor, however, is not required to reallocate essential functions, 
i.e., those functions that the individual who holds the job would have 
to perform, with or without reasonable accommodation, in order to be 
considered qualified for the position. For instance, the contractor 
which has a security guard position which requires the incumbent to 
inspect identity cards would not have to provide a blind individual with 
an assistant to perform that duty; in such a case, the assistant would 
be performing an essential function of the job for the individual with a 
disability. Job restructuring may also involve allowing part-time or 
modified work schedules. For instance, flexible or adjusted work 
schedules could benefit persons who cannot work a standard schedule 
because of the need to obtain medical treatment, or persons with 
mobility impairments who depend on a public transportation system that 
is not accessible during the hours of a standard schedule.
    9. Reasonable accommodation may also include reassignment to a 
vacant position. In general, reassignment should be considered only when 
accommodation within the individual's current position would pose an 
undue hardship. Reassignment is not required for applicants. However, in 
making hiring decisions, contractors are encouraged to consider known 
applicants with disabilities for all available positions for which they 
may be qualified when the position(s) applied for is unavailable. 
Reassignment may not be used to limit, segregate, or otherwise 
discriminate against employees with disabilities by forcing 
reassignments to undesirable positions or to designated offices or 
facilities. Employers should reassign the individual to an equivalent 
position in terms of pay, status, etc., if the individual is qualified, 
and if the position is vacant within a reasonable amount of time. A 
``reasonable amount of time'' should be determined in light of the 
totality of the circumstances.
    10. The contractor may reassign an individual to a lower graded 
position if there are no accommodations that would enable the employee 
to remain in the current position and there are no vacant equivalent 
positions for which the individual is qualified with or without 
reasonable accommodation. The

[[Page 211]]

contractor may maintain the reassigned individual with a disability at 
the salary of the higher graded position, and must do so if it maintains 
the salary of reassigned employees who are not disabled. It should also 
be noted that the contractor is not required to promote an individual 
with a disability as an accommodation.
    11. With respect to the application process, appropriate 
accommodations may include the following: (1) providing information 
regarding job vacancies in a form accessible to the vision or hearing 
impaired, e.g., by making an announcement available in braille, in large 
print, or on audio tape, or by responding to job inquiries via TDDs; (2) 
providing readers, interpreters and other similar assistance during the 
application, testing and interview process; (3) appropriately adjusting 
or modifying employment-related examinations, e.g., extending regular 
time deadlines, allowing a blind person or one with a learning disorder 
such as dyslexia to provide oral answers for a written test, and 
permitting an applicant, regardless of the nature of his or her 
disability, to demonstrate skills through alternative techniques and 
utilization of adapted tools, aids and devices; and (4) ensuring an 
applicant with a mobility impairment full access to testing locations 
such that the applicant's test scores accurately reflect the applicant's 
skills or aptitude rather than the applicant's mobility impairment.

      Appendix B to Part 60-741--Sample Invitation to Self-Identify

    Note: When the invitation to self-identify is being extended prior 
to an offer of employment, as is permitted in limited circumstances 
under Sec. 60-741.42(a), paragraph 2(ii) of this appendix, relating to 
identification of reasonable accommodations, should be omitted. This 
will avoid a conflict with the EEOC's ADA Guidance, which in most cases 
precludes asking a job applicant (prior to a job offer being made) about 
potential reasonable accommodations.

[Sample Invitation to Self-Identify]

    1. This employer is a Government contractor subject to section 503 
of the Rehabilitation Act of 1973, as amended, which requires Government 
contractors to take affirmative action to employ and advance in 
employment qualified individuals with disabilities. If you have a 
disability and would like to be considered under the affirmative action 
program, please tell us. You may inform us of your desire to benefit 
under the program at this time and/or at any time in the future. This 
information will assist us in placing you in an appropriate position and 
in making accommodations for your disability. [The contractor should 
here insert a brief provision summarizing the relevant portion of its 
affirmative action program.] Submission of this information is voluntary 
and refusal to provide it will not subject you to any adverse treatment. 
Information you submit about your disability will be kept confidential, 
except that (i) supervisors and managers may be informed regarding 
restrictions on the work or duties of individuals with disabilities, and 
regarding necessary accommodations; (ii) first aid and safety personnel 
may be informed, when and to the extent appropriate, if the condition 
might require emergency treatment; and (iii) Government officials 
engaged in enforcing laws administered by OFCCP or the Americans with 
Disabilities Act, may be informed. The information provided will be used 
only in ways that are not inconsistent with section 503 of the 
Rehabilitation Act.
    2. If you are an individual with a disability, we would like to 
include you under the affirmative action program. It would assist us if 
you tell us about (i) any special methods, skills, and procedures which 
qualify you for positions that you might not otherwise be able to do 
because of your disability so that you will be considered for any 
positions of that kind, and (ii) the accommodations which we could make 
which would enable you to perform the job properly and safely, including 
special equipment, changes in the physical layout of the job, 
elimination of certain duties relating to the job, provision of personal 
assistance services or other accommodations.

        Appendix C to Part 60-741--Review of Personnel Processes

    The following is a set of procedures which contractors may use to 
meet the requirements of Sec. 60-741.44(b):
    1. The application or personnel form of each known applicant with a 
disability should be annotated to identify each vacancy for which the 
applicant was considered, and the form should be quickly retrievable for 
review by the Department of Labor and the contractor's personnel 
officials for use in investigations and internal compliance activities.
    2. The personnel or application records of each known individual 
with a disability should include (i) the identification of each 
promotion for which the employee with a disability was considered, and 
(ii) the identification of each training program for which the 
individual with a disability was considered.
    3. In each case where an employee or applicant with a disability is 
rejected for employment, promotion, or training, a statement of the 
reason should be appended to the personnel file or application form as 
well as a description of the accommodations considered. This statement 
should be available to the applicant or employee concerned upon request.

[[Page 212]]

    4. Where applicants or employees are selected for hire, promotion, 
or training and the contractor undertakes any accommodation which makes 
it possible for him or her to place an individual with a disability on 
the job, the application form or personnel record should contain a 
description of that accommodation.

  Appendix D to Part 60-741--Guidelines Regarding Positions Engaged in 
                         Carrying Out a Contract

    As stated in Sec. 60-741.4(a)(2), with respect to the contractor's 
employment decisions and practices occurring before October 29, 1992, 
this part 60-741 applies only to employees who were employed in, and 
applicants for, positions that were engaged in carrying out a Government 
contract.1 The regulatory definition has two prongs. Under 
Sec. 60-741.4(a)(2)(i)(A) (``prong A''), positions are deemed to have 
been engaged in carrying out a Government contract if their duties 
included work that fulfilled a contractual obligation, or work that was 
necessary to, or that facilitated, performance of the contract or a 
provision of the contract. Alternatively, under Sec. 60-
741.4(a)(2)(i)(B) (``prong B''), positions are deemed to have been 
engaged in carrying out a Government contract if, pursuant to principles 
set forth in the Federal Acquisition Regulation (FAR) at 48 CFR Ch. 1, 
part 31, the cost of the positions or a portion of their cost was 
allocable to a contract as a direct cost, or 2 percent or more of the 
cost was allocable as an indirect cost to Government contracts 
considered as a group. This appendix provides guidance as to the 
application of prong A of the definition.
---------------------------------------------------------------------------

    \1\ Prior to October 29, 1992, section 503 applied only insofar as 
the contractor was ``employing persons to carry out'' a Government 
contract. On that date, the act was amended to apply to all of a covered 
contractor's work force, irrespective of whether particular positions 
are engaged in carrying out a Government contract. Accordingly, the 
guidance contained in this appendix will be relied on by OFCCP in 
monitoring and enforcing compliance with section 503 only with respect 
to the contractor's employment decisions and practices occurring before 
October 29, 1992. (Moreover, prior to that date, section 503 covered 
only contractors holding a contract ``in excess of $2500''; this figure 
was amended on October 29, 1992 to ``in excess of $10,000.'' 
Consequently, this appendix makes reference to the $2500 threshold 
level.)
---------------------------------------------------------------------------

    1. The regulatory definition includes positions whose duties 
involved work that fulfilled a contractual obligation. Such work 
includes work producing the goods or providing the services that were 
the object of the contract and also work that fulfilled ancillary 
contract obligations. For example, if a contract required the contractor 
to keep certain cost records or to meet certain quality control 
standards, employees who were engaged in such functions were fulfilling 
a contractual obligation.
    2. Positions are also included if their duties included work that 
was necessary to or that facilitated performance of the contract. The 
inclusion of work of this character is intended to reflect the practical 
reality that performance of a contract generally requires the 
cooperation of a variety of individuals engaged in auxiliary and related 
functions beyond direct production of the goods or provision of the 
services that are the object of the contract.
    3. To give one example, a contract for production and sale of goods 
to the Government commonly requires the work not only of the production 
employees assembling the goods, but also of those engaged in functions 
such as repairing the machinery used in producing the goods; maintaining 
the plant and facilities; assuring quality control and security; storing 
the goods after production; delivering them to the Government; hiring, 
paying, and providing personnel services for the employees engaged in 
contract-related work; keeping financial and accounting records; 
performing related office and clerical tasks; and supervising or 
managing the employees engaged in such tasks. This list is not intended 
to be exhaustive, but only to illustrate that a variety of functions may 
commonly be involved in carrying out a contract.
    4. Whether a particular position was engaged in carrying out a 
contract depends on the facts as to the nature of the duties that were 
actually performed and their relationship to contract performance. A 
position is included if its duties included work that furthered or 
contributed to the performance of the contract. The work need not have 
been essential or indispensable to performance of the contract. It is 
sufficient that it was useful or that it benefitted or contributed to 
carrying out the contract.
    5. Nor is it material that the work was not required by an express 
contract term. For example, a contract to provide transportation 
services may not have explicitly incorporated terms requiring 
maintenance and repair of the means of transportation to keep them in 
safe operating condition. Such work, however, was implicitly necessary 
to carry out the contract.
    6. It is irrelevant that the contractor could have performed the 
contract some other way, without making use of a particular function or 
particular employees, if the way the contractor chose to carry out the 
contract does in fact make use of them. For example, if a contractor 
employed three quality control inspectors, or used three quality

[[Page 213]]

control processes, to monitor the manufacture of goods for sale to the 
Government, all three were involved in carrying out the contract, 
notwithstanding any claim that two would have been sufficient. If a 
contractor manufactured goods at its plant in St. Louis for delivery in 
Chicago, employees who transported the goods were carrying out the 
contract, regardless whether the contractor could have made the goods 
locally at its plant in Chicago. If a contractor employed security 
guards or watchmen to protect its plant producing goods for the 
Government from vandalism or theft of equipment, because in its business 
judgment it was prudent to do so, employees who were engaged in those 
tasks were contributing to performance of the contract and were covered.
    7. If a position's regular duties included work that contributed to 
the performance of the contract, and the contract met the act's dollar 
threshold for coverage, it is irrelevant that such work was only a 
portion of the position's total duties or that it took only a small 
amount of time. For example, a Government agency may have contracted to 
lease a photocopying machine under terms that obligated the leasing 
company to provide repair and maintenance service. The technician 
assigned to provide such service was ``carrying out the contract'' 
regardless whether he or she provided similar service for numerous 
private customers and spent only a small fraction of his or her time 
working on the agency's machine. Similarly, individuals who worked on an 
assembly line manufacturing automobiles, a portion of which were sold 
under contract to the Government, while the bulk were sold commercially, 
were covered. That 95% of the vehicles they produced were sold elsewhere 
does not negate the fact that the individuals were carrying out the 
contract to make vehicles for the Government.
    8. A group of employees may also have performed duties that 
simultaneously contributed to performance of both Government and non-
Government contracts. In this situation, if the contract exceeded $2500 
and the duties of the position in fact contributed to carrying out the 
contract, the position was covered. For example, the Government may have 
contracted with airline carriers to provide transportation to Federal 
employees performing official duties. The contract was performed through 
the work of employees including the flight crew, the ground maintenance 
crew, the baggage handlers, the ticketing agents, the airport and gate 
staff, and other corporate personnel. Federal employees probably 
typically formed only a small percentage of an airline's passengers. 
Nonetheless, the pilots who flew the planes and the other staff were 
carrying out the terms of the contract.
    9. These principles are illustrated by the final decision of the 
Department in OFCCP v. Monongahela Railroad Co., 85-OFC-2 
(Administrative Law Judge Recommended Decision, April 2, 1986), aff'd, 
(Deputy Under Secretary for Employment Standards, March 11, 1987). 
Monongahela involved the interpretation of the term ``necessary'' in the 
context of the definition of the term ``subcontract'' under this part 
60-741. ``Subcontract'' is defined in relevant part as any agreement for 
the furnishing of supplies or services ``which in whole or in part is 
necessary to the performance of any one or more [Government] 
contracts.'' The decision held that a railroad company's transport of 
coal that was used by a power company to generate electricity was 
``necessary'' to the performance of the power company's obligation to 
supply the Government with power and that the railroad company was 
therefore a covered ``subcontractor''. The decision reached this result 
even though numerous other carriers also transported coal to the power 
company, the coal that the carrier delivered was used to generate 
electricity for the Government and for nongovernmental customers alike, 
and the power company sold only a small fraction (less than 1%) of its 
output to the Government. That is, the decision found that the crucial 
factor is whether the activity contributes to the performance of a 
Government contract, regardless of whether the contractor could have 
performed the contract some other way, and regardless of whether the 
activity contributes as well, and predominantly, to carrying out non-
Government contracts.
    10. Although the act broadly reached all positions that contributed 
to or facilitated the performance of the Government contract, its 
coverage was not limitless. First, positions were covered only if they 
bore an appropriate relationship to a covered contract. The contract 
must have been for the purchase, sale, or use of personal property or 
nonpersonal services, must have been for an amount in excess of $2500, 
and must not have been otherwise exempt.
    11. Second, the breadth of coverage depended to a large extent on 
how the contractor chose to organize its work force to perform its 
contract obligations. A contractor who segregated contract from 
noncontract work necessarily employed fewer persons to carry out its 
contracts than one who did not. To continue the example given above, if 
a plant with several assembly lines produced automobiles, some of which 
were shipped to the Government and others sold commercially, the 
application of section 503 would have been limited if the Government 
contract automobiles were made on only one of the assembly lines. In 
that case, employees who were on the other lines, which never produced 
automobiles for the Government, were outside the act. If, however, the 
contractor did not segregate the contract from

[[Page 214]]

noncontract production, the employees on each of the lines were covered.
    12. Third, while the relationship between the work of a position and 
the performance of the contract need not have been direct, the 
relationship must have been real and not hypothetical. For example, a 
firm may have done substantial business with both the Government and 
private customers. Individuals who were employed to plan and design new 
facilities that were intended for use with non-Government work would not 
be deemed to have been covered merely because of the possibility that at 
some point in the future the facilities would be used to carry out 
Government contracts. Again, a firm may have been partly unionized and 
partly non-unionized. Assume the Government contract was performed 
exclusively in the non-union part of the work force. An individual who 
was assigned to represent management in dealing with the union would not 
have been covered simply because the arrangements he or she made with 
the union might subsequently influence the personnel practices followed 
for the nonunion employees as well.
    13. Coverage depended on the regular or assigned duties and 
responsibilities of the position. A person that held a position did not 
go in and out of coverage as she performed first contract and then 
noncontract work if, throughout the period, one of the duties of the 
position was to perform contract-related work as the need or occasion 
arose. For example, the photocopy machine technician who was assigned 
responsibility to repair machines leased to the Government and to 
private firms was covered throughout the contract term, including the 
period before he or she first repaired the Government's machine. 
Discrimination against the employee was not permissible simply because 
the discrimination was effected on a day when the technician was 
servicing a private firm. Likewise, workers who were on an assembly line 
whose products were shipped at times to the Government and at times to 
private customers were covered, as were employees of the airline carrier 
whose duties included at times helping to transport Federal employees 
pursuant to a contract.
    14. On the other hand, a person whose duties were permanently 
changed may have gained or lost coverage as a result. For example, an 
engineer who had been working on developing weapons under a contract 
with the military, and who accordingly was covered, may have been 
transferred to work on development of civilian aircraft for private 
customers. If the new position did not include any contract-related 
duties, the individual lost protection under the act at the time of the 
transfer.
    15. It is the position's regular or assigned duties that were 
controlling. If a portion, however small, of a position's regular duties 
was necessary to or facilitated carrying out a Government contract, the 
position was covered. On the other hand, the isolated and unanticipated 
performance, outside the position's regular duties, of a contract-
related task will not result in a finding of coverage. For example, 
suppose another employee of the photocopy machine company, whose regular 
duties were in no way contract-related, was unexpectedly needed to 
substitute for the technician who repaired the machine leased to the 
Government. Assuming substitution in such situations was not one of the 
employee's regular or foreseeable duties, his or her isolated 
performance of the task on a particular occasion would not result in a 
finding of coverage. In some cases, there will be a formal written 
position description that will serve as evidence of the position's 
actual duties and responsibilities. In other cases, there may not be a 
written position description, or the position description may be 
inaccurate or incomplete. In all cases, however, it should be possible 
to identify the position's actual duties, and to make a determination of 
coverage on that basis.
    16. The fact that a position is deemed not to have been engaged in 
carrying out a Government contract does not affect the individual's 
rights under the Americans with Disabilities Act of 1990.



    PART 60-742--PROCEDURES FOR COMPLAINTS/CHARGES OF EMPLOYMENT DISCRIMINATION BASED ON DISABILITY FILED AGAINST EMPLOYERS HOLDING GOVERNMENT CONTRACTS OR SUBCONTRACTS--Table of Contents





Sec.
60-742.1  Purpose and application.
60-742.2  Exchange of information.
60-742.3  Confidentiality.
60-742.4  Standards for investigations, hearings, determinations and 
          other proceedings.
60-742.5  Processing of complaints filed with OFCCP.
60-742.6  Processing of charges filed with EEOC.
60-742.7  Review of this part.
60-742.8  Definitions.

    Authority: 42 U.S.C. 12117(b).

    Source: 57 FR 2962, 2965, Jan. 24, 1992, unless otherwise noted.



Sec. 60-742.1  Purpose and application.

    The purpose of this part is to implement procedures for processing 
and resolving complaints/charges of employment discrimination filed 
against employers holding government contracts

[[Page 215]]

or subcontracts, where the complaints/charges fall within the 
jurisdiction of both section 503 of the Rehabilitation Act of 1973 
(hereinafter ``Section 503'') and the Americans with Disabilities Act of 
1990 (hereinafter ``ADA''). The promulgation of this part is required 
pursuant to section 107(b) of the ADA. Nothing in this part should be 
deemed to affect the Department of Labor's (hereinafter ``DOL'') Office 
of Federal Contract Compliance Programs' (hereinafter ``OFCCP'') conduct 
of compliance reviews of government contractors and subcontractors under 
section 503. Nothing in this part is intended to create rights in any 
person.



Sec. 60-742.2  Exchange of information.

    (a) EEOC and OFCCP shall share any information relating to the 
employment policies and practices of employers holding government 
contracts or subcontracts that may assist each office in carrying out 
its responsibilities. Such information shall include, but not 
necessarily be limited to, affirmative action programs, annual 
employment reports, complaints, charges, investigative files, and 
compliance review reports and files.
    (b) All requests by third parties for disclosure of the information 
described in paragraph (a) of this section shall be coordinated with the 
agency which initially compiled or collected the information.
    (c) Paragraph (b) of this section is not applicable to requests for 
data in EEOC files made by any state or local agency designated as a 
``FEP agency'' with which EEOC has a charge resolution contract and a 
work-sharing agreement containing the confidentiality requirements of 
sections 706(b) and 709(e) of title VII of the Civil Rights Act of 1964 
(42 U.S.C. 2000e et seq.). However, such an agency shall not disclose 
any of the information, initially compiled by OFCCP, to the public 
without express written approval by the Director of OFCCP.



Sec. 60-742.3  Confidentiality.

    When the Department of Labor receives information obtained by EEOC, 
the Department of Labor shall observe the confidentiality requirements 
of sections 706(b) and 709(e) of title VII of the Civil Rights Act of 
1964, as incorporated by section 107(a) of the ADA, as would EEOC, 
except in cases where DOL receives the same information from a source 
independent of EEOC. Questions concerning confidentiality shall be 
directed to the Associate Legal Counsel for Legal Services, Office of 
Legal Counsel of EEOC.



Sec. 60-742.4  Standards for investigations, hearings, determinations and other proceedings.

    In any OFCCP investigation, hearing, determination or other 
proceeding involving a complaint/charge that is dual filed under both 
section 503 and the ADA, OFCCP will utilize legal standards consistent 
with those applied under the ADA in determining whether an employer has 
engaged in an unlawful employment practice. EEOC and OFCCP will 
coordinate the arrangement of any necessary training regarding the 
substantive or procedural provisions of the ADA, and of EEOC's 
implementing regulations (29 CFR part 1630 and 29 CFR part 1601).



Sec. 60-742.5  Processing of complaints filed with OFCCP.

    (a) Complaints of employment discrimination filed with OFCCP will be 
considered charges, simultaneously dual filed, under the ADA whenever 
the complaints also fall within the jurisdiction of the ADA. OFCCP will 
act as EEOC's agent for the sole purposes of receiving, investigating 
and processing the ADA charge component of a section 503 complaint dual 
filed under the ADA, except as otherwise set forth in paragraph (e) of 
this section.
    (b) Within ten days of receipt of a complaint of employment 
discrimination under section 503 (charge under the ADA), OFCCP shall 
notify the contractor/respondent that it has received a complaint of 
employment discrimination under section 503 (charge under the ADA). This 
notification shall state the date, place and circumstances of the 
alleged unlawful employment practice.
    (c) Pursuant to work-sharing agreements between EEOC and state and 
local agencies designated as FEP agencies, the deferral period for 
section 503

[[Page 216]]

complaints/ADA charges dual filed with OFCCP will be waived.
    (d) OFCCP shall transfer promptly to EEOC a complaint of employment 
discrimination over which it does not have jurisdiction but over which 
EEOC may have jurisdiction. At the same time, OFCCP shall notify the 
complainant and the contractor/respondent of the transfer, the reason 
for the transfer, the location of the EEOC office to which the complaint 
was transferred and that the date OFCCP received the complaint will be 
deemed the date it was received by EEOC.
    (e) OFCCP shall investigate and process as set forth in this section 
all section 503 complaints/ADA charges dual filed with OFCCP, except as 
specifically provided in this paragraph. Section 503 complaints/ADA 
charges raising Priority List issues, those which also include 
allegations of discrimination of an individual nature on the basis of 
race, color, religion, sex, or national origin, and those which also 
include an allegation of discrimination on the basis of age will be 
referred in their entirety by OFCCP to EEOC for investigation, 
processing and final resolution, provided that such complaints/charges 
do not include allegations of violation of affirmative action 
requirements under section 503. In such a situation, OFCCP will 
bifurcate the complaints/charges and refer to EEOC the Priority List 
issues or allegations of discrimination on the basis of race, color, 
religion, sex, national origin, or age. OFCCP shall normally retain, 
investigate, process and resolve all allegations of discrimination, over 
which it has jurisdiction, of a systemic or class nature on the basis of 
race, color, religion, sex, or national origin that it receives. 
However, in appropriate cases the EEOC may request that it be referred 
such allegations so as to avoid duplication of effort and assure 
effective law enforcement.
    (1) No cause section 503 complaints/ADA charges. If the OFCCP 
investigation of the section 503 complaint/ADA charge results in a 
finding of no violation under section 503 (no cause under the ADA), 
OFCCP will issue a determination of no violation/no cause under both 
section 503 and the ADA, and issue a right-to-sue letter under the ADA, 
closing the complaint/charge.
    (2) Cause section 503 complaints/ADA charges--(i) Successful 
conciliation. If the OFCCP investigation of the section 503 complaint/
ADA charge results in a finding of violation under section 503 (cause 
under the ADA), OFCCP will issue a finding of violation/cause under both 
section 503 and ADA. OFCCP shall attempt conciliation to obtain 
appropriate full relief for the complainant (charging party), consistent 
with EEOC's standards for remedies. If conciliation is successful and 
the contractor/respondent agrees to provide full relief, the section 503 
complaint/ADA charge will be closed and the conciliation agreement will 
state that the complainant (charging party) agrees to waive the right to 
pursue the subject issues further under section 503 and/or the ADA.
    (ii) Unsuccessful conciliation. All section 503 complaints/ADA 
charges not successfully conciliated will be considered for OFCCP 
administrative litigation under section 503, consistent with OFCCP's 
usual procedures. (See 41 CFR part 60-741, subpart B.) If OFCCP pursues 
administrative litigation under section 503, OFCCP will close the 
complaint/charge at the conclusion of the litigation process (including 
the imposition of appropriate sanctions), unless the complaint/charge is 
dismissed on procedural grounds or because of a lack of jurisdiction, or 
the contractor/respondent fails to comply with an order to provide make 
whole relief. In these three cases, OFCCP will refer the matter to EEOC 
for any action it deems appropriate. If EEOC declines to pursue further 
action, it will issue a notice of right-to-sue. If OFCCP does not pursue 
administrative enforcement, it will close the section 503 component of 
the complaint/charge and refer the ADA charge component to EEOC for 
litigation review under the ADA. If EEOC declines to litigate, EEOC will 
close the ADA charge and issue a notice of right-to-sue.
    (f) Consistent with the ADA procedures set forth at 29 CFR 1601.28, 
OFCCP shall promptly issue upon request a notice of right-to-sue after 
180 days from the date the complaint/charge was filed. Issuance of a 
notice of

[[Page 217]]

right-to-sue shall terminate further OFCCP processing of any complaint/
charge unless it is determined at that time or at a later time that it 
would effectuate the purposes of section 503 and/or the ADA to further 
process the complaint/charge.
    (g) If an individual who has already filed a section 503 complaint 
with OFCCP subsequently attempts to file or files an ADA charge with 
EEOC covering the same facts and issues, EEOC will decline to accept the 
charge (or, alternatively, dismiss a charge that has been filed) on the 
grounds that such charge has already been filed under the ADA, 
simultaneous with the filing of the earlier section 503 complaint, and 
will be processed by OFCCP in accordance with the provisions of this 
section.



Sec. 60-742.6  Processing of charges filed with EEOC.

    (a) ADA cause charges falling within the jurisdiction of section 503 
that the Commission has declined to litigate. ADA cause charges that 
also fall within the jurisdiction of section 503 and that the Commission 
has declined to litigate will be referred to OFCCP for review of the 
file and any administrative action deemed appropriate under section 503. 
Such charges will be considered to be complaints, simultaneously dual 
filed under section 503, solely for the purposes of OFCCP review and 
administrative action described in this paragraph.
    (b) ADA charges which also include allegations of failure to comply 
with section 503 affirmative action requirements. ADA charges filed with 
EEOC, in which both allegations of discrimination under the ADA and 
violation of affirmative action requirements under section 503 are made, 
will be referred in their entirety to OFCCP for processing and 
resolution under section 503 and the ADA, unless the charges also 
include allegations of discrimination on the basis of race, color, 
religion, sex, national origin or age, or include allegations involving 
Priority List issues, or the charges are otherwise deemed of particular 
importance to EEOC's enforcement of the ADA. In such situations, EEOC 
will bifurcate the charges and retain the ADA component of the charges 
(and when applicable, the allegations pertaining to discrimination on 
the basis of race, color, religion, sex, national origin or age), 
referring the section 503 affirmative action component of the charges to 
OFCCP for processing and resolution under section 503. ADA charges which 
raise both discrimination issues under the ADA and section 503 
affirmative action issues will be considered complaints, simultaneously 
dual filed under section 503, solely for the purposes of referral to 
OFCCP for processing, as described in this paragraph.
    (c) EEOC shall transfer promptly to OFCCP a charge of disability-
related employment discrimination over which it does not have 
jurisdiction, but over which OFCCP may have jurisdiction. At the same 
time, EEOC shall notify the charging party and the contractor/respondent 
of the transfer, the reason for the transfer, the location of the OFCCP 
office to which the charge was transferred and that the date EEOC 
received the charge will be deemed the date it was received by OFCCP.
    (d) Except as otherwise stated in paragraphs (a) and (b) of this 
section, individuals alleging violations of laws enforced by DOL and 
over which EEOC has no jurisdiction will be referred to DOL to file a 
complaint.
    (e) If an individual who has already filed an ADA charge with EEOC 
subsequently attempts to file or files a section 503 complaint with 
OFCCP covering the same facts and issues, OFCCP will accept the 
complaint, but will adopt as a disposition of the complaint EEOC's 
resolution of the ADA charge (including EEOC's termination of 
proceedings upon its issuance of a notice of right-to-sue).



Sec. 60-742.7  Review of this part.

    This part shall be reviewed by the Chairman of the EEOC and the 
Director of OFCCP periodically, and as appropriate, to determine whether 
changes to the part are necessary or desirable, and whether the part 
should remain in effect.



Sec. 60-742.8  Definitions.

    As used in this part, the term:
    ADA refers to title I of the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101 et seq.).

[[Page 218]]

    Affirmative action requirements refers to affirmative action 
requirements required by DOL pursuant to section 503 of the 
Rehabilitation Act of 1973, that go beyond the nondiscrimination 
requirements imposed by the ADA.
    Chairman of the EEOC refers to the Chairman of the U.S. Equal 
Employment Opportunity Commission, or his or her designee.
    Complaint/Charge means a section 503 complaint/ADA charge. The terms 
are used interchangeably.
    Director of the Office of Federal Contract Compliance Programs 
refers to that individual or his or her designee.
    DOL means the U.S. Department of Labor, and where appropriate, any 
of its headquarters or regional offices.
    EEOC means the U.S. Equal Employment Opportunity Commission, and 
where appropriate, any of its headquarters, district, area, local, or 
field offices.
    Government means the government of the United States of America.
    Priority List refers to a document listing a limited number of 
controversial topics under the ADA on which there is not yet definitive 
guidance setting forth EEOC's position. The Priority List will be 
jointly developed and periodically reviewed by EEOC and DOL. Any policy 
documents involving Priority List issues will be coordinated between DOL 
and EEOC pursuant to Executive Order 12067 (3 CFR, 1978 Comp., p. 206) 
prior to final approval by EEOC.
    OFCCP means the Office of Federal Contract Compliance Programs, and 
where appropriate, any of its regional or district offices.
    Section 503 refers to section 503 of the Rehabilitation Act of 1973 
(29 U.S.C. 793).
    Section 503 complaint/ADA charge refers to a complaint that has been 
filed with OFCCP under section 503 of the Rehabilitation Act, and has 
been deemed to be simultaneously dual filed with EEOC under the ADA.



PART 60-999--OMB CONTROL NUMBERS FOR OFCCP INFORMATION COLLECTION REQUIREMENTS--Table of Contents




Sec.
60-999.1  Purpose.
60-999.2  Display.

    Authority: 44 U.S.C. Ch. 35.

    Source: 61 FR 43467, Aug. 23, 1996, unless otherwise noted.



Sec. 60-999.1  Purpose.

    This part displays control numbers assigned to information 
collection requirements of the Office of Federal Contract Compliance 
Programs by the Office of Management and Budget (OMB) under the 
Paperwork Reduction Act (PRA), 44 U.S.C. Ch. 35. This part fulfills the 
PRA requirement that agencies display a current control number for each 
agency information collection requirement approved by OMB (44 U.S.C. 
3507).



Sec. 60-999.2  Display.

------------------------------------------------------------------------
  41 CFR Part where the information                                     
  collection requirement is located       Current OMB control number    
------------------------------------------------------------------------
Part 60-1...........................  1215-0072, 1215-0131, 1215-0163.  
Part 60-2...........................  1215-0072.                        
Part 60-3...........................  3046-0017.                        
Part 60-4...........................  1215-0163.                        
Part 60-20..........................  1215-0072, 1215-0163.             
Part 60-30..........................  1215-0072, 1215-0163.             
Part 60-40..........................  1215-0072, 1215-0163.             
Part 60-50..........................  1215-0072, 1215-0163.             
Part 60-60..........................  1215-0072.                        
Part 60-250.........................  1215-0072, 1215-0131, 1215-0163.  
Part 60-741.........................  1215-0072, 1215-0131, 1215-0163.  
------------------------------------------------------------------------


[[Page 219]]



CHAPTER 61--OFFICE OF THE ASSISTANT SECRETARY FOR VETERANS' EMPLOYMENT AND TRAINING, DEPARTMENT OF LABOR




  --------------------------------------------------------------------
Part                                                                Page
61-250          Annual Report from Federal Contractors......         220

[[Page 220]]



PART 61-250--ANNUAL REPORT FROM FEDERAL CONTRACTORS--Table of Contents




Sec.
61-250.1  Purpose and scope.
61-250.2  Definitions.
61-250.10  Reporting requirements contract clause.
61-250.11  Reporting format.
61-250.12  Voluntary disclosure.
61-250.20  Monitoring of compliance.
61-250.99  OMB control numbers.

    Authority: 38 U.S.C. 2012(d).

    Source: 52 FR 6677, Mar. 4, 1987, unless otherwise noted.



Sec. 61-250.1  Purpose and scope.

    (a) This Part 61-250 implements 38 U.S.C. 2012(d). Each contractor 
or subcontractor who enters into a contract in the amount of $10,000 or 
more with any department or agency of the United States for the 
procurement of personal property and non-personal services (including 
construction) to whom 38 U.S.C. 2012(a) and 41 CFR Part 60-250 apply, 
shall submit a report according to requirements of Sec. 61-250.10 of 
this part.
    (b) Except as noted in Sec. 61-250.10 of this part, this part does 
not revise or replace the regulations in force at 41 CFR 60-250 which 
apply to veterans' affirmative action obligations of contractors and 
subcontractors administered by the Office of Federal Contract Compliance 
Programs (OFCCP), Employment Standards Administration, Department of 
Labor.
    (c) Veterans' reporting requirements of this part will be deemed 
waived in those instances where the Director, OFCCP has granted a waiver 
under 41 CFR 60-250.3(a)(5), or concurred in granting a waiver under 41 
CFR 60-250.3(b), from compliance with all of the terms of the 
affirmative action clause for those establishments not involved in 
government contract work. Where OFCCP grants only a partial waiver, 
compliance with veterans' reporting will be required.



Sec. 61-250.2  Definitions.

    (a) For purposes of this part, and unless otherwise indicated in 
paragraph (b) of this section, the terms set forth in this part shall 
have the same meaning as set forth in 41 CFR Part 60-250.
    (b) For purposes of this part:
    (1) Hiring location (identical to establishment as defined by the 
instructions for completing Standard Form 100, Equal Employment 
Opportunity Employer Information Report EEO-1) means an economic unit 
which produces goods or services, such as a factory, office, store, or 
mine. In most instances the establishment is at a single physical 
location and is engaged in one, or predominantly one, type of economic 
activity (definition adapted from the 1972 Standard Industrial 
Classification Manual). Units at different physical locations, even 
though engaged in the same kind of business operation should be reported 
as separate establishments. For locations involving construction, 
transportation, communications, electric, gas, and sanitary services, 
oil and gas fields, and similar types of physically dispersed industrial 
activities, however, it is not necessary to list separately each 
individual site, project, field, line, etc., unless it is treated by the 
contractor as a separate legal entity with a separate Employer 
Identification Number. For these types of activities, list as 
establishments only those relatively permanent main or branch offices, 
terminals, stations, etc., which are either (a) directly responsible for 
supervising such dispersed actvities, or (b) the base from which 
personnel and equipment operate to carry out these activities. (Where 
these dispersed activities cross State lines, at least one such 
establishment should be listed for each State involved.)
    (2) Employee means any individual on the payroll of an employer who 
is an employee for purposes of the employer's withholding of Social 
Security taxes except insurance salesmen who are considered to be 
employees for such purposes solely because of the provisions of section 
3121(d)(3)(B) of the Internal Revenue Code. The term employee shall not 
include persons who are hired on a casual basis for a specified time, or 
for the duration of a specified job, and work on remote or scattered 
sites or locations where it is not practical or feasible for the 
employer to make a visual survey of the work force within the report 
period; for example, persons at a construction site

[[Page 221]]

whose employment relationship is expected to terminate with the end of 
the employee's work at the site; persons temporarily employed in any 
industry other than construction, such as mariners, stevedores, waiters/
waitresses, movie extras, agricultural laborers, lumber yard workers, 
etc., who are obtained through a hiring hall or other referral 
arrangement, through an employee contractor or agent, or by some 
individual hiring arrangement; or persons on the payroll of a temporary 
service agency who are referred by such agency for work to be performed 
on the premises of another employer under that employer's direction and 
control.
    (3) Job category means any of the following: Officials and managers, 
professionals, technicians, sales workers, office and clerical, craft 
workers (skilled), operatives (semi-skilled), laborers (unskilled), 
service workers, as required by Standard Form 100, Equal Employment 
Opportunity Employer Information Report EEO-1, as defined below:
    (i) Officials and managers means occupations requiring 
administrative and managerial personnel who set broad policies, exercise 
overall responsibility for execution of these policies, and direct 
individual departments or special phases of a firm's operation. 
Includes: Officials, executives, middle management, plant managers, 
department managers, and superintendents, salaried supervisors who are 
members of management, purchasing agents and buyers, railroad conductors 
and yard masters, ship captains and mates (except fishing boats), farm 
operators and managers, and kindred workers.
    (ii) Professional means occupations requiring either college 
graduation or experience of such kind and amount as to provide a 
comparable background. Includes: Accountants and auditors, airplane 
pilots and navigators, architects, artists, chemists, designers, 
dietitians, editors, engineers, lawyers, librarians, mathematicians, 
natural scientists, registered professional nurses, personnel and labor 
relations specialists, physical scientists, physicians, social 
scientists, surveyors, teachers, and kindred workers.
    (iii) Technicians means occupations requiring a combination of basic 
scientific knowledge and manual skill which can be obtained through 
about 2 years of post-high school education, such as is offered in many 
technical institutes and junior colleges, or through equivalent on-the-
job training. Includes: Computer programmers and operators, drafters, 
engineering aides, junior engineers, mathematical aides, licensed, 
practical or vocational nurses, photographers, radio operators, 
scientific assistants, technical illustrators, technicians (medical, 
dental, electronic, physical science), and kindred workers.
    (iv) Sales means occupations engaging wholly or primarily in direct 
selling. Includes: Advertising agents and salesworkers, insurance agents 
and brokers, real estate agents and brokers, stock and bond 
salesworkers, demonstrators, salesworkers and sales clerks, grocery 
clerks and cashier-checkers and kindred workers.
    (v) Office and clerical includes all clerical-type work regardless 
of level of difficulty, where the activities are predominantly nonmanual 
though some manual work not directly involved with altering or 
transporting the products is included. Includes bookkeepers, cashiers, 
collectors (bills and accounts), messengers and office helpers, office 
machine operators, shipping and receiving clerks, stenographers, typists 
and secretaries, telegraph and telephone operators, legal assistants, 
and kindred workers.
    (vi) Craft Workers (skilled) means manual workers of relatively high 
skill level having a thorough and comprehensive knowledge of the 
processes involved in their work. Exercise considerable independent 
judgment and usually receive an extensive period of training. Included 
are: The building trades, hourly paid supervisors and lead operators who 
are not members of management, mechanics and repairers, skilled 
machining occupations, compositors and typesetters, electricians, 
engravers, job setters (metal), motion picture projectionists, pattern 
and model makers, stationary engineers, tailors, arts occupations, 
handpainters, coaters, decorative and kindred workers.

[[Page 222]]

    (vii) Operatives (semiskilled) means workers who operate machine or 
processing equipment or perform other factory-type duties of 
intermediate skill level which can be mastered in a few weeks and 
require only limited training. Includes: Apprentices (auto mechanics, 
plumbers, bricklayers, carpenters, electricians, machinists, mechanics, 
building trades, metalworking trades, printing trades, etc.), 
operatives, attendants (auto service and parking), blasters, chauffeurs, 
delivery workers, dressmakers and sewers (except factory), dryers, 
furnace workers, heaters (metal), laundry and dry cleaning operatives, 
milliners, mine operatives and laborers, motor operators, oilers and 
greasers (except auto), painter (except construction and maintenance), 
photographic process workers, stationary firefighters, truck and tractor 
drivers, weavers (textile), welders and flamecutters, electrical and 
electronic equipment assemblers, butchers and meatcutters, inspectors, 
testers and graders, handpackers and packagers, and kindred workers.
    (viii) Laborers (unskilled) means workers in manual occupations 
which generally require no special training to perform elementary duties 
that may be learned in a few days and require the application of little 
or no independent judgment. Includes: garage laborers, car washers and 
greasers, gardeners (except farm) and groundskeepers, stevedores, wood 
choppers, laborers performing lifting, digging, mixing, loading and 
pulling operations, and kindred workers.
    (ix) Service Workers means workers in both protective and non-
protective service occupations. Includes: Attendants (hospital and other 
institutions, professional and personal service, including nurses aides 
and orderlies), barbers, charworkers and cleaners, cooks (except 
household), counter and fountain workers, elevator operators, 
firefighters and fire protection, guards, doorkeepers, stewards, 
janitors, police officers and detectives, porters, servers, amusement 
and recreation facilities attendants, guides, ushers, public 
transportation attendants and kindred workers.
    (4) Special disabled veteran means--
    (i) A veteran who is entitled to compensation (or who but for the 
receipt of military retired pay would be entitled to compensation) under 
laws administered by the Veterans Administration for a disability
    (A) Rated at 30 percent or more, or
    (B) Rated at 10 or 20 percent in the case of a veteran who has been 
determined under section 1506 of Title 38, U.S.C., to have a serious 
employment handicap; or
    (ii) A person who was discharged or released from active duty 
because of service-connected disability.
    (5) Veteran of the Vietnam era means a veteran, any part of whose 
active military, naval or air service was during the period August 5, 
1964, through May 7, 1975, who--
    (i) Served on active duty for a period of more than 180 days and was 
discharged or released therefrom with other than a dishonorable 
discharge, or
    (ii) Was discharged or released from active duty because of a 
service connected disability. No veteran may be considered to be a 
veteran of the Vietnam era under this paragraph after December 31, 1991.
    (6) OFCCP means the Office of Federal Contract Compliance Programs 
in the Employment Standards Administration of the U.S. Department of 
Labor.
    (7) OASVET means the Office of the Assistant Secretary for Veterans' 
Employment and Training, U.S. Department of Labor.

[52 FR 6677, Mar. 4, 1987; 52 FR 13674, Apr. 24, 1987]



Sec. 61-250.10  Reporting requirements contract clause.

    Each contractor or subcontractor described in Sec. 61-250.1 of this 
part shall submit reports in accordance with the following reporting 
clause which shall be included in each of its covered government 
contracts or subcontracts (and modifications, renewals, or extensions 
thereof if not included in the original contract). Such clause is 
considered as an addition to the affirmative action clause required by 
41 CFR 60-250.4, the provisions of which continue in force until 
otherwise revised or amended by the OFCCP. The reporting requirements 
clause is as follows:

[[Page 223]]

  Employment Reports on Special Disabled Veterans and Veterans of the 
                               Vietnam Era

    (a) The contractor agrees to report at least annually, as required 
by the Secretary of Labor, on:
    (1) The number of special disabled veterans and the number of 
veterans of the Vietnam era in the workforce of the contractor by job 
category and hiring location; and
    (2) The total number of new employees hired during the period 
covered by the report, and of that total, the number of special disabled 
veterans, and the number of veterans of the Vietnam era.
    (b) The above items shall be reported by completing the form 
entitled ``Federal Contractor Veterans' Employment Report VETS-100.''
    (c) Reports shall be submitted no later than March 31 of each year 
beginning March 31, 1988.
    (d) The employment activity report required by paragraph (a)(2) of 
this section shall reflect total hires during the most recent 12-month 
period as of the ending date selected for the employment profile report 
required by paragraph (a)(1) of this section. Contractors may select an 
ending date: (1) As of the end of any pay period during the period 
January through March 1st of the year the report is due, or (2) as of 
December 31, if the contractor has previous written approval from the 
Equal Employment Opportunity Commission to do so for purposes of 
submitting the Employer Information Report EEO-1 (Standard Form 100).
    (e) The count of veterans reported according to paragraph (a) above 
shall be based on voluntary disclosure. Each contractor subject to the 
reporting requirements at 38 U.S.C. 2012(d) shall invite all special 
disabled veterans and veterans of the Vietnam era who wish to benefit 
under the affirmative action program at 38 U.S.C. 2012 to identify 
themselves to the contractor. The invitation shall state that the 
information is voluntarily provided, that the information will be kept 
confidential, that disclosure or refusal to provide the information will 
not subject the applicant or employee to any adverse treatment, and that 
the information will be used only in accordance with the regulations 
promulgated under 38 U.S.C. 2012. Nothing in this paragraph (e) shall 
preclude an employee from informing a contractor at a future time of his 
or her desire to benefit from this program. Nothing in this paragraph 
(e) shall relieve a contractor from liability for discrimination under 
38 U.S.C. 2012.



Sec. 61-250.11  Reporting format.

    (a) Data items required in paragraph (a) of the contract clause set 
forth in Sec. 61-250.10 are to be reported for each hiring location in 
the format (VETS-100) as set forth below:

[[Page 224]]

[GRAPHIC] [TIFF OMITTED] TC21OC91.017



[[Page 225]]

[GRAPHIC] [TIFF OMITTED] TC21OC91.018



[[Page 226]]

         Federal Contractor Veterans' Employment Report VETS-100

    This supplemental report is to be completed by all nonexempt 
contractors and subcontractors with contracts (or subcontracts) for the 
furnishing of supplies and services or the use of real or personal 
property (including construction) for $10,000 or more. The report is to 
be completed for each ``hiring location''. Reports must be completed for 
establishments located in Hawaii.
    All multi-establishment employers, i.e., those doing business at 
more than one hiring location, must file (1) a report covering the 
principal or headquarters office (2) a separate report for each hiring 
location employing 50 or more persons; and (3) either, (i) a separate 
report for each hiring location employing fewer than 50 persons, or (ii) 
consolidated reports, by State, covering the hiring locations within the 
State having fewer than 50 employees. Each consolidated report must also 
list the name and address of the hiring locations covered by the report.

                           How To Prepare Form

                         Company Identification

Parent Company. Please provide company name, receiving office, address 
and employer identification number of the headquarters office of multi-
hiring location company which owns the hiring location for which this 
report is filed.
Hiring Location For which This Report Is Filed. Please provide the name, 
address and employer identification number of each company's hiring 
location for which this report is filed.

                         Information on Veterans

    Employment data must include all permanent full-time and part-time 
employees who were employed during the selected payroll period; except 
those employees specifically excluded as indicated at 41 CFR 61-
250.2(b)(2). Employees must be counted by veteran status for each of the 
nine occupational categories (columns L and M). Entries in column L and 
M on line 23 are optional.
    New Hires Data: Report on line 23, columns N through P, the total 
number of permanent full-time and part-time employees by veteran status 
(columns N and O) and total employees (column P) who were included in 
the payroll for the first time during the 12-month period ending either 
as of the end of the selected payroll period between January and March 
1, or December 31, if approved. Entries in columns N through P, lines 14 
through 22, are optional.

                               Definitions

    Hiring location means an establishment as defined at 41 CFR 61-
250.2(b).
    Special Disabled Veteran means (A) a veteran who is entitled to 
compensation (or who but for the receipt of military retired pay would 
be entitled to compensation) under laws administered by the Veterans 
Administration for a disability (i) rated at 30 percent or more, or (ii) 
rated at 10 or 20 percent in the case of a veteran who has been 
determined under Section 1506 of Title 38, U.S.C., to have a serious 
employment handicap or (B) a person who was discharged or released from 
active duty because of a service-connected disability.
    Veteran of the Vietnam era means a veteran, any part of whose active 
military, naval or air service was during the period August 5, 1964, 
through May 7, 1975, who-- (i) served on active duty for a period of 
more than 180 days and was discharged or released therefrom with other 
than a dishonorable discharge, or (ii) was discharged or released from 
active duty because of a service connected disability. No veteran may be 
considered to be a veteran of the Vietnam era under this paragraph after 
December 31, 1991.

                 Legal Basis for Reporting Requirements

    Title 38, United States Code, Section 2012(d), requires that Federal 
contractors report at least annually the numbers of special disabled and 
Vietnam-era veterans in their workforce by job category and hiring 
location and the total number of employees and the number of special 
disabled and Vietnam-era veterans hired during the reporting period. 
Implementing regulations are found at 41 CFR 61-250.

                      Description of Job Categories

    Officials and managers.--Occupations requiring administrative and 
managerial personnel who set broad policies, exercise overall 
responsibility for execution of these policies, and direct individual 
departments or special phases of a firm's operation. Includes: 
officials, executives, middle management, plant managers, department 
managers, and superintendents, salaried supervisors who are members of 
management, purchasing agents and buyers, railroad conductors and yard 
masters, ship captains and mates (except fishing boats), farm operators 
and managers, and kindred workers.
    Professional.--Occupations requiring either college graduation or 
experience of such kind and amount as to provide a comparable 
background. Includes: accountants and auditors, airplane pilots and 
navigators, architects, artists, chemists, designers, dieticians, 
editors, engineers, lawyers, librarians, mathematicians, natural 
scientists, registered professional nurses, personnel and labor 
ralations specialists, physicians, social scientists, surveyors, 
teachers, and kindred workers.

[[Page 227]]

    Technicians.--Occupations requiring a combination of basic 
scientific knowledge and manual skill which can be obtained through 
about 2 years of post high school education, such as is offered in many 
technical institutes and junior colleges, or through equivalent on-the-
job training. Includes: computer programmers and operators, drafters, 
engineering aides, junior engineers, mathematical aides, licensed 
practical or vocational nurses, photographers, radio operators, 
scientific assistants, technical illustrators, technicians (medical, 
dental, electronic, physical science) and kindred workers.
    Sales.--Occupations engaged wholly or primarily in direct selling. 
Includes: advertising agents and salesworkers, insurance agents and 
brokers, real estate agents and brokers, stock and bond salesworkers, 
demonstrators, salesworkers and sales clerks, grocery clerks and 
cashier-checkers, and kindred workers.
    Office and clerical.--Includes all clerical-type work regardless of 
level of difficulty, where the activities are predominantly nonmanual 
though some manual work not directly involved with altering or 
transporting the products is included. Includes: bookkeepers, cashiers, 
collectors (bills and accounts), messengers and office helpers, office 
machine operators, shipping and receiving clerks, stenographers, typists 
and secretaries, telegraph and telephone operators, legal assistants, 
and kindred workers.
    Craft Workers (skilled).--Manual workers of relatively high skill 
level having a thorough and comprehensive knowledge of the processes 
involved in their work. Exercise considerable independent judgment and 
usually receive an extensive period of training. Includes: the building 
trades, hourly paid supervisors and lead operators who are not members 
of management, mechanics, and repairers, skilled machining occupations, 
compositors and typesetters, electricians, engravers, job setters 
(metal), motion picture projectionists, pattern and model makers, 
stationary engineers, tailors and tailoresses, art occupations, 
handpainters, coaters, decorative and kindred workers.
    Operatives (semiskilled).--Workers who operate machine or processing 
equipment or perform other factory-type duties of intermediate skill 
level which can be mastered in a few weeks and require only limited 
training. Includes apprentices (auto mechanics, plumbers, bricklayers, 
carpenters, electricians, mechinists, mechanics, building trades, metal 
working trades, printing trades, etc.), operatives, attendants (auto 
service and parking), blasters, chauffeurs, delivery workers, 
dressmakers and sewers (except factory), dryers, furnace workers, 
heaters (metal), laundry and dry cleaning operatives, milliners, mine 
operators and laborers, motor operators, oilers and greasers (except 
auto), painters (except construction and maintenance), photographic 
process workers, stationary firefighters, truck and tractor drivers, 
weavers (textile), welders and flamecutters, electrical and electronic 
equipment assemblers, butchers and meatcutters, inspectors, testers and 
graders, handpackers and packagers, and kindred workers.
    Laborers (unskilled).--Workers in manual occupations which generally 
require no special training perform elementary duties that may be 
learned in a few days and require the application of little or no 
independent judgment. Includes: garage laborers, car washers and 
greasers, gardeners (except farm) and groundskeepers, stevedores, wood 
choppers, laborers performing lifting, digging, mixing, loading and 
pulling operations, and kindred workers.
    Service workers.--Workers in both protective and non-protective 
service occupations. Includes: attendants (hospital and other 
institutions, professional and personal service, including nurses aides 
and orderlies), barbers, charworkers and cleaners, cooks (except 
household), counter and fountain workers, elevator operators, 
firefighters and fire protection, guards, doorkeepers, stewards, 
janitors, police officers and detectives, porters, waiters and 
waitresses, guides, ushers, public transportation attendants and kindred 
workers.
    (b) Computer-generated forms are acceptable, provided that all 
required information and data is presented in the same format as the 
VETS-100 Form set forth above.
    (c) OASVET or its designee will use all available information to 
distribute the required forms to contractors identified as subject to 
the requirements of this part.
    (d) It is the responsibility of each contractor to obtain necessary 
supplies of the VETS-100 reporting form prior to the filing date. 
Contractors who do not receive forms should request them in time to meet 
the annual March 31 deadline. Requests should be addressed to:

    OASVET (VETS-100)
    U.S. Department of Labor
    200 Constitution Avenue, NW.
    Washington, DC 20210

[52 FR 6677, Mar. 4, 1987; 52 FR 13674, Apr. 24, 1987]



Sec. 61-250.12  Voluntary disclosure.

    Each contractor subject to this part shall invite all special 
disabled veterans and veterans of the Vietnam era

[[Page 228]]

who wish to benefit under the affirmative action program at 38 U.S.C. 
2012 to identify themselves to the contractor. The invitation shall 
state that the information is voluntarily provided, that the information 
will be kept confidential, that disclosure or refusal to provide the 
information will not subject the applicant or employee to any adverse 
treatment, and that the information will be used only in accordance with 
the regulations implementing 38 U.S.C. 2012. Nothing in this section 
shall preclude an employee from informing a contractor at a future time 
of his or her desire to benefit from this program. Nothing in this 
section shall relieve a contractor from liability for discrimination 
under 38 U.S.C. 2012.



Sec. 61-250.20  Monitoring of compliance.

    During the course of its compliance reviews, OFCCP will determine if 
the contractor is submitting reports as required by this part.



Sec. 61-250.99  OMB control numbers.

    Pursuant to the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and 
implementing regulations at 5 CFR Part 1320, (1985) the Office of 
Management and Budget has assigned Control No. 1293-0005 to the 
information collection requirements of this part.

[[Page 229]]





                       CHAPTERS 62-100 [RESERVED]



[[Page 231]]



                              FINDING AIDS




  --------------------------------------------------------------------
  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 233]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 1997)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


41 CFR CHAPTERS 1 TO 100

PUBLIC CONTRACTS, DEPARTMENT OF LABOR
                                                                  41 CFR


Agricultural Research Service, Department of Agriculture

  Science and Education Administration, National 
  Agricultural Library, Photo Duplication 
  Division, Beltsville, MD 20705
Respiratory Devices for Protection Against Certain Pesticides, ARS-33-
  76-2 204.2(a)(4)
  (Copies of this standard are also available for inspection and copying 
  at the addresses provided for in the Department of Labor's other 
  submissions for 41 CFR Chapter 50)
The following standards are available for inspection and copying at the 
  following locations:

Technical Data Center: Frances Perkins Department of Labor Bldg., Room 
  N2439, 200 Constitution Ave. N.W., Washington, DC 20210.
Boston Regional Office--Region I: Regional Administrator, U.S. 
  Department of Labor--OSHA, 16-18 North St., 1 Dock Square Bldg., 4th 
  Fl., Boston, MA 02109.
New York Regional Office--Region II: Regional Administrator, U.S. 
  Department of Labor --OSHA, 1515 Broadway (1 Astor Plaza), Room 3445, 
  New York, NY 10036.
Philadelphia Regional Office--Region III: Regional Administrator, U.S. 
  Department of Labor--OSHA, Gateway Bldg., Suite 2100, 3535 Market St., 
  Philadelphia, PA 19104.
Atlanta Regional Office--Region IV: Regional Administrator, U.S. 
  Department of Labor--OSHA, 1375 Peachtree St., NE., Suite 587, 
  Atlanta, GA 30309.
Chicago Regional Office--Region V: Regional Administrator, U.S. 
  Department of Labor--OSHA, 32nd Fl., Room 3263, 230 S. Dearborn St., 
  Chicago, IL 60604.
Dallas Regional Office--Region VI: Regional Administrator, U.S. 
  Department of Labor--OSHA, 555 Griffin Square Bldg., Room 602, Dallas, 
  TX 75202.
Kansas City Regional Office--Region VII: Regional Administrator, U.S. 
  Department of Labor--OSHA, 911 Walnut St. Room 3000, Kansas City, MO 
  64106.
Denver Regional Office--Region VIII: Regional Administrator, U.S. 
  Department of Labor--OSHA, Federal Bldg., Room 1554, 1961 Stout St., 
  Denver, CO 80294.
San Francisco Regional Office--Region IX: Regional Administrator, U.S. 
  Department of Labor--OSHA, 11349 Federal Bldg., 450 Golden Gate Ave., 
  P.O. Box 36017, San Francisco, CA 94102.
Seattle Regional Office--Region X: Regional Administrator, U.S. 
  Department of Labor--OSHA, Federal Office Bldg., Room 6003, Seattle, 
  WA 98174.


American Conference of Governmental Industrial Hygenists

Threshold Limit Values for Air-borne Contaminents        50-204.50(a)(1)
  for 1968.


American Welding Society, Inc.

Pamphlet A-6.0-1965, Safe Practices for Welding                50-204.72
and Cutting Containers that Have Held 
[[Page 234]]s.

Compressed Gas Association, Inc.

Pamphlet C-6-1978, Standards for Visual Inspection             50-204.65
  of Compressed Gas Cylinders.
Pamphlet C-8-1962, Standard for Requalification of             50-204.65
  ICC-3HT Cylinders.
Pamphlet G-1-1966, Acetylene......................          50-204.66(a)
Pamphlet G-1.3-1959, Acetylene Transmission for             50-204.66(b)
  Chemical Synthesis.
Pamphlet G-1.4-1966, Standard for Acetylene                 50-204.66(c)
  Cylinder Charging Plants.
Pamphlet G-4-1966, Oxygen.........................             50-204.67
Pamphlet G-5.1-1961, Standard for Gaseous Hydrogen             50-204.68
  Systems at Consumer Sites.
Pamphlet G-5.2-1966, Standard for Liquefied                    50-204.68
  Hydrogen Systems at Consumer Sites.
Pamphlet G-8.1-1964, Standard for the Installation             50-204.69
  of Nitrous Oxide Systems at Consumer Sites.
Pamphlet P-1-1965, Safe Handling of Compressed                 50-204.70
  Gases.
Pamphlet S-1.1-1963 and 1965 Addenda, Safety                   50-204.71
  Release Device Standards--Cylinders for 
  Compressed Gases.
Pamphlet S-1.2-1963, Safety Release Device                     50-204.71
  Standards--Cargo and Portable Tanks for 
  Compressed Gases.


National Committee on Uniform Traffic Laws and Ordinances

Uniform Vehicle Code-1962 Edition--Chapters 10,                50-204.75
  11, 12, and 14.

OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS, DEPARTMENT OF LABOR


American Medical Association

  535 N. Dearborn St., Chicago, IL 60610
Guides to the Evaluation of Permanent Impairment--           60-741.6(d)
  1971.



[[Page 235]]



                    Table of CFR Titles and Chapters




                      (Revised as of June 20, 1997)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)

[[Page 236]]

      XXIV  Federal Energy Regulatory Commission (Part 3401)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)

[[Page 237]]

       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of Finance and Management, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)

[[Page 238]]


      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)

[[Page 239]]

         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)

[[Page 240]]

        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)

[[Page 241]]

        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)

[[Page 242]]

       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)

[[Page 243]]

         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)

[[Page 244]]

     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)

[[Page 245]]

      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)

[[Page 246]]

      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)

[[Page 247]]

            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)

[[Page 248]]

        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  ACTION (Parts 1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)

[[Page 249]]

         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

[[Page 250]]

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 251]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of June 20, 1997)

                                                  CFR Title, Subtitle or
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Finance and Management, Office of               7, XXX
  Food and Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 252]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51

[[Page 253]]

  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I

[[Page 254]]

  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Finance and Management, Office of                 7, XXX
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302

[[Page 255]]

  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III

[[Page 256]]

  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, Agency for             22, II
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, Agency for           22, II; 48, 7
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV

[[Page 257]]


Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
   Fellowships
[[Page 258]]

Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I

[[Page 259]]

  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 261]]



List of CFR Sections Affected




All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

41 CFR
                                                                   51 FR
                                                                    Page
Chapter 50
50-201  Authority citation revised.................................12266
50-201.1  (c) revised..............................................12266
50-201.103  (a) and (c) revised....................................12266
Chapter 51
51-1.3  (b) revised................................................34601
51-2.4  Revised....................................................17189
51-3.3  Revised....................................................34601
    (c) corrected..................................................36560
51-5.1-3  Added....................................................17189
51-9  Added; eff. 8-22-86...................................22894, 22896
51-9.170  (c) revised; eff. 8-22-86................................22894
Chapter 60
60-250  Authority citation revised.................................30467
60-250.2  Amended; authority citation removed......................30467
60-250.29  Authority citation removed..............................30467

                                  1987

41 CFR
                                                                   52 FR
                                                                    Page
Chapter 12
12-60  Transferred to 48 Parts 6301 and 6302.......................48630
Chapter 50
50-201.105  Revised.................................................6147
50-201.601  (b) revised.............................................6147
50-201.602  Revised.................................................6147
50-201.1101  Revised................................................6147
50-201.1102  (a) revised............................................6147
50-201.1201  Removed................................................6147
Chapter 61
Chapter 61  Chapter established.....................................6677
61-250  Added.......................................................6677
61-250.2  (b)(5) correctly revised.................................13674
61-250.11  (a) corrected...........................................13674

                                  1988

41 CFR
                                                                   53 FR
                                                                    Page
Chapter 50
50-201.101  (b) revised.............................................7743

                                  1989

41 CFR
                                                                   54 FR
                                                                    Page
Chapter 51
51-7  Revised......................................................15189

                                  1990

41 CFR
                                                                   55 FR
                                                                    Page
Chapter 60
60-30  Authority citation revised..................................19069
60-30.18  Removed..................................................13137
    Added..........................................................19069

[[Page 262]]

                                  1991

41 CFR
                                                                   56 FR
                                                                    Page
Chapter 50
50-202  Authority citation revised.................................32258
50-202.2  Revised..................................................32258
50-202.16 (Subpart C)  Removed.....................................32258
Chapter 51
51-1  Revised......................................................48976
51-2  Revised......................................................48977
51-3  Revised......................................................48979
51-3.3  (c) corrected..............................................64002
51-4  Revised......................................................48980
51-4.3  Heading corrected..........................................64002
51-5  Revised......................................................48981
51-5.2  (d) corrected..............................................64002
51-5.3  (b) corrected..............................................64002
51-5.4  (b) corrected..............................................64002
51-5.5  (d) corrected..............................................64002
51-5.6  Corrected..................................................64002
51-6  Redesignated as 51-7; new 51-6 added.........................48983
51-6.8  (a) corrected..............................................64002
51-7  Redesignated as 51-8; new 51-7 redesignated from 51-6........48983
    Revised........................................................48986
51-8  Redesingated as 51-9; new 51-8 redesignated from 51-7; 
        nomenclature change........................................48983
51-8.14  (c) revised...............................................48987
51-9  Redesingated as 51-10; new 51-9 redesignated from 51-8; 
        nomenclature change........................................48983
51-10  Redesignated from 51-9; nomenclature change.................48983

                                  1992

41 CFR
                                                                   57 FR
                                                                    Page
Chapter 50
50-201.101  (a)(2)(xii) added......................................31571
Chapter 60
60-2  Policy statement.............................................52592
60-250  Authority citation revised...................................498
60-250.2  Amended....................................................498
    Technical correction............................................3089
60-742  Added; eff. 7-26-92...................................2962, 2965

                                  1993

                       (No regulations published.)

                                  1994

41 CFR
                                                                   59 FR
                                                                    Page
Chapter 51
Chapter  51 Nomenclature change....................................16777
51-2.2  (b) amended................................................59341
51-2.3  Revised....................................................59341
51-2.4  Introductory text, (a), (b), (c) and (e) redesignated as 
        (a) introductory text, (1), (2), (3) and (4); new (a) 
        introductory text and new(4) revised; (d) removed..........59341
51-2.5  Revised....................................................59342
51-2.6  Existing text redesignated as (a); (b) added...............59342
51-2.7  Revised....................................................59342
51-3.2  (d) revised; (e) through (m) redesignated as (f) through 
        (n); new (e) added.........................................59342
51-3.3  Revised....................................................59342
51-4.2  (a)(1) introductory text and (2) introductory text amended
                                                                   59342
51-4.3  (b)(6) and (c)(1) amended..................................59343
51-4.5  Heading revised............................................59343
51-5.2  Heading and (a) revised; (e) amended.......................59343
51-5.3  (a) amended; (c) added.....................................59343
51-5.4  (d) revised; (f)(1) amended................................59343
51-5.5  (b) revised................................................59343
51-5.6  Revised....................................................59343
51-5.8  Heading revised............................................59343
51-6.2  (f) amended................................................59343
51-6.4  (a), (b), (c)(3) and (4), (d) revised; (e) amended.........59343
51-6.8  (e) added..................................................59344
51-6.12  (a), (c) and (d) revised; (e) added.......................59344
51-6.13  Revised...................................................59344
51-8.1  Revised....................................................59344
51-8.3  (b) removed; (c) through (i) redesignated as (b) through 
        (h); introductory text and new (b) revised.................59344
51-8.4  Revised....................................................59344
51-8.5  (a) amended................................................59345
51-8.7  (e) amended................................................59345

[[Page 263]]

51-8.10  (a) through (d) amended...................................59345
51-8.11  (a) amended...............................................59345
51-8.14  (c) revised...............................................59345
51-9  Authority citation revised...................................59345
51-9.405  Amended..................................................59345

                                  1995

41 CFR
                                                                   60 FR
                                                                    Page
Chapter 51
51-5.2  (b) and (c) revised; (d) and (e) removed; (f) redesignated 
        as (d).....................................................54200
Chapter 60
60-250  Authority citation revised..................................1987
60-250.2  Amended...................................................1987
60-250.4  (b) and (h) revised.......................................1987

                                  1996

41 CFR
                                                                   61 FR
                                                                    Page
Chapter 50
50-201  Authority citation revised.................................40716
50-201.1  Redesignated as 50.201-3; new 50-201.1 redesignated from 
        50-206.1...................................................40716
50-201.2  Redesignated as 50.202-4; new 50-201.2 redesignated from 
        50-206.2...................................................40716
50-201.3  Redesignated from 50.201-1 and amended...................40716
50-201.4  Redesignated from 50.201-2...............................40716
50-201.64  Removed.................................................40716
50-201.101  Removed; new 50-201.101 redesignated from 50-201.102 
                                                                   40716
50-201.102  Redesignated as 50-201.101; new 50-201.102 
        redesignated from 50-201.103...............................40716
50-201.103  Redesignated as 50-201.102; new 50-201.103 
        redesignated from 50-201.104...............................40716
50-201.104  Redesignated as 50-201.103; new 50-201.104 
        redesignated from 50-201.105...............................40716
50-201.105  Redesignated as 50-201.104; new 50-201.105 
        redesignated from 50-201.106...............................40716
50-201.106  Redesignated as 50-201.105.............................40716
50-203.1  (b) revised; (d) amended.................................19987
50-203.2  Amended..................................................19987
50-203.3  (a), (d) and (e) amended.................................19987
50-203.4  (a) and (b) amended......................................19987
50-203.5  Amended..................................................19987
50-203.6  (a), (b) and (c) amended.................................19987
50-203.7  (a) and (b) amended......................................19987
50-203.8  (a) through (e), (h), (j), (k) and (l) amended; (m) 
        removed....................................................19987
50-203.9  (a) amended..............................................19987
50-203.10  Heading, (a) and (b) amended............................19987
50-203.11  (a), (b), (d) and (e) amended; (f) revised; (g) and (h) 
        removed....................................................19987
50-203.12  Revised.................................................19988
50-203.17  (a) revised; (d) amended................................19988
50-203.18  (a), (c) and (d) amended................................19988
50-203.19  Amended.................................................19988
50-203.20  Amended.................................................19988
50-203.21  (a) revised; (b) introductory text and (d) amended......19988
50-203.23  Removed.................................................19988
50-206  Removed....................................................40716
50-206.1  Redesignated as 50-201.1.................................40716
50-206.2  Redesignated as 50-201.2.................................40716
50-206.3  Removed..................................................40716
50-206.50  Removed.................................................40716
50-206.51  Removed.................................................40716
50-206.52  Removed.................................................40716
50-206.53  Removed.................................................40716
50-206.54  Removed.................................................40716
50-206.55  Removed.................................................40716
50-206.56  Removed.................................................40716
50-230.8  (a) corrected............................................32910
Chapter 60
60-1  Regulation at 45 FR 86228 withdrawn in part; eff. 8-29-96....19350
60-1.3  Amended....................................................19988
60-1.26  (d) revised...............................................19988
60-30  Regulation at 45 FR 86251 withdrawn in part; eff. 8-29-96 
                                                                   19350

[[Page 264]]

    Authority citation revised.....................................19988
60-30.27  Revised..................................................19988
60-30.28  Revised..................................................19988
60-30.29  Revised..................................................19988
60-30.30  Revised..................................................19988
60-30.35  Revised..................................................19989
60-30.36  Revised..................................................19989
60-30.37  Revised..................................................19989
60-250  Authority citation revised...........................6117, 19369
60-250.4  (b) amended; (g) revised..................................6117
60-250.5  (d) revised; interim; eff. 8-29-96.......................19369
60-250.29  (b)(3) removed..........................................19989
60-741  Regulation at 45 FR 86265 withdrawn; revised; eff. 8-29-96
                                                                   19350
60-741.29  (b)(3) removed..........................................19989
60-999  Revised....................................................43467

                                  1997

   (Regulations published from January 1, 1997, through July 1, 1997)

41 CFR
                                                                   62 FR
                                                                    Page
Chapter 51
51-3.2  (c) revised; eff. 7-14-97..................................32237
51-4.3  (b)(2) revised; (b)(9) removed; (b)(10) redesignated as 
        (b)(9); eff. 7-14-97.......................................32237
51-6.3  Heading revised; existing text designated as (a); (b) 
        added; eff. 7-14-97........................................32237
51-6.4  (b) amended; (c)(2), (4) and (d) revised; eff. 7-14-97.....32237