[Title 4 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2001 Edition]
[From the U.S. Government Printing Office]



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                    4

                         Revised as of January 1, 2001

Accounts





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2001
          With Ancillaries
          Published by:
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register

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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2001



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                            Table of Contents



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

  Title 4:
          Chapter I--General Accounting Office                       3
  Finding Aids:
      Table of CFR Titles and Chapters........................      87
      Alphabetical List of Agencies Appearing in the CFR......     105
      List of CFR Sections Affected...........................     115



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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  4 CFR 2.1 refers to 
                       title 4, part 2, 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

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HOW TO USE THE CODE OF FEDERAL REGULATIONS

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EFFECTIVE AND EXPIRATION DATES

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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.

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Many agencies have begun publishing numerous OMB control numbers as 
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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 
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    The Federal Register Index is issued monthly in cumulative form. 
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the revision dates of the 50 CFR titles.

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in the Code of Federal Regulations.

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[[Page vii]]

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

January 1, 2001.



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                               THIS TITLE

    Title 4--Accounts is composed of one volume. This volume is 
comprised of chapter I--General Accounting Office (GAO). The contents of 
this volume represent all current regulations codified under this title 
of the CFR as of January 1, 2001.

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

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                            TITLE 4--ACCOUNTS




  --------------------------------------------------------------------
                                                                    Part

chapter i--General Accounting Office........................           2

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                  CHAPTER I--GENERAL ACCOUNTING OFFICE




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

                     SUBCHAPTER A--PERSONNEL SYSTEM
Part                                                                Page
2               Purpose and general provision...............           5
3               Employment..................................           7
4               Employee performance and utilization........           7
5               Compensation................................           9
6               Attendance and leave........................          11
7               Personnel relations and services............          11
8               Insurance and annuities.....................          16
9               Senior Executive Service....................          16
11              Recognition of attorneys and other 
                    representatives.........................          17
                    SUBCHAPTER B--GENERAL PROCEDURES
21              Bid protest regulations.....................          18
22              [Reserved]

25              Conduct in the General Accounting Office 
                    building and on its grounds.............          26
27              General Accounting Office Personnel Appeals 
                    Board; Organization.....................          28
28              General Accounting Office Personnel Appeals 
                    Board; Procedures applicable to claims 
                    concerning employment practices at the 
                    General Accounting Office...............          29
29              General Accounting Office Personnel Appeals 
                    Board; Procedures applicable to claims 
                    concerning employment practices at the 
                    Architect of the Capitol................          61
                       SUBCHAPTERS C-D  [RESERVED]
              SUBCHAPTER E--STANDARDIZED FISCAL PROCEDURES
75              Certificates and approvals of basic vouchers 
                    and invoices............................          67
                          SUBCHAPTER F--RECORDS
81              Public availability of General Accounting 
                    Office records..........................          68

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82              Furnishing records of the General Accounting 
                    Office in judicial proceedings..........          71
83              Privacy procedures for personnel records....          71
                        SUBCHAPTER G  [RESERVED]

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                     SUBCHAPTER A--PERSONNEL SYSTEM





PART 2--PURPOSE AND GENERAL PROVISION--Table of Contents




Sec.
2.1  Purpose, scope, and applicability.
2.2  References.
2.3  GAO Personnel Appeals Board.
2.4  Merit system principles.
2.5  Prohibited personnel practices.
2.6  Veterans' preference.

    Authority: 31 U.S.C. 732.

    Source: 45 FR 68375, Oct. 15, 1980, unless otherwise noted.



Sec. 2.1  Purpose, scope, and applicability.

    (a) This regulation establishes and sets forth the basic policy for 
the General Accounting Office (GAO) personnel system. Personnel 
management is a primary responsibility of all who plan, direct, or 
supervise the work of employees. The objective of personnel management 
is to contribute to the effective accomplishment of GAO's mission 
through proper acquisition, development, fair treatment, motivation, 
compensation and productive utilization f employees.
    (b) Nothing in this regulation prohibits or restricts any lawful 
effort to achieve equal employment opportunity through affirmative 
action.



Sec. 2.2  References.

    (a) Subchapters III and IV of Chapter 7 of Title 31 U.S.C.
    (b) Title 5, United States Code.

[45 FR 68375, Oct. 15, 1980, as amended at 47 FR 56979, Dec. 22, 1982]



Sec. 2.3  GAO Personnel Appeals Board.

    The General Accounting Office Personnel Appeals Board is established 
by 31 U.S.C. 751. This board will promulgate regulations providing for 
employee appeals and establishing its operating procedures.

[47 FR 56979, Dec. 22, 1982]



Sec. 2.4  Merit system principles.

    (a) Merit personnel systems are based on the principle that an 
organization is best served by motivated, competent, honest and 
productive workers. In a merit system, employees are hired, promoted, 
rewarded, and retained on the basis of individual ability and fitness 
for employment without regard to race, color, sex, religion, age, or 
national origin. Central to this principle is the protection of 
employees from discrimination, improper political influence and personal 
favoritism.
    (b) Equal employment opportunity is an integral part of every merit 
system. Affirmative action plans, designed to provide a work force 
reflective of the Nation's diversity, must assure that both in operation 
and results the merit system reflects equal opportunity at every step of 
the personnel process.
    (c) GAO personnel systems shall embody the following merit system 
principles:
    (1) Recruitment should be from qualified individuals from 
appropriate sources in an endeavor to achieve a work force from all 
segments of society, and selection and advancement should be determined 
solely on the basis of relative ability, knowledge, and skills, after 
fair and open competition which assures that all receive equal 
opportunity.
    (2) All employees and applicants for employment should receive fair 
and equitable treatment in all aspects of personnel management without 
regard to political affiliation, race, color, religion, national origin, 
sex, marital status, age, or handicapping condition, and with proper 
regard for their privacy and constitutional rights.
    (3) Equal pay should be provided for work of substantially equal 
value, with appropriate consideration of both national and local rates 
paid by employers in the private sector, and appropriate incentives and 
recognition should be provided for excellence in performance.
    (4) All employees should maintain high standards of integrity, 
conduct, and concern for the public interest.
    (5) The work force should be used efficiently and effectively.
    (6) Employees should be retained on the basis of the adequacy of 
their performance, inadequate performance should be corrected, and 
employees should be separated who cannot or will

[[Page 6]]

not improve their performance to meet required standards.
    (7) Employees should be provided effective education and training in 
cases in which such education and training would result in better 
organizational and individual performance.
    (8) Employees should be protected against arbitrary action, personal 
favoritism, or coercion from partisan political purposes and prohibited 
from using their official authority or influence for the purpose of 
interfering with or affecting the results of an election or a nomination 
for election.
    (9) Employees should be protected against reprisal for the lawful 
disclosure of information which the employee reasonably believes 
evidences: a violation of any law, rule or regulation; or mismanagement, 
a gross waste of funds, an abuse of authority, or a substantial and 
specific danger to public health or safety.



Sec. 2.5  Prohibited personnel practices.

    Any GAO employee who has authority to take, direct others to take, 
recommend, or approve any personnel action, shall not, with respect to 
such authority engage in the following prohibited personnel practices.
    (a) Discrimination. GAO employees shall not discriminate for or 
against any employee or applicant for employment--
    (1) On the basis of race, color, religion, sex, or national origin, 
as prohibited under section 717 of the Civil Rights Act of 1964 (42 
U.S.C. 2000 e-16);
    (2) On the basis of age, as prohibited under section 12 and 15 of 
the Age Discrimination in Employment Act of 1967 (29 U.S.C. 631, 633a);
    (3) On the basis of sex, as prohibited under section 6(d) of the 
Fair Labor Standards Act of 1938 (29 U.S.C. 206(d));
    (4) On the basis of handicapping condition, as prohibited under 
section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791); or
    (5) On the basis of marital status or political affiliation, as 
prohibited under any law, rule, or regulation.
    (b) Recommendations or statements. GAO employees shall not solicit 
or consider any recommendation or statement, oral or written, with 
respect to any individual who requests or is under consideration for any 
personnel action unless such recommendation or statement is based on the 
personal knowledge or records of the person furnishing it and consists 
of--
    (1) An evaluation of the work performance, ability, aptitude, or 
general qualifications of such individual, or
    (2) An evaluation of the character, loyalty, or suitability of such 
individual.
    (c) Political activity. GAO employees shall not coerce the political 
activity of any person (including the providing of any political 
contribution or service), or take any action against any employee or 
applicant for employment as a reprisal for the refusal of any person to 
engage in such political activity.
    (d) Compete for employment. GAO employees shall not deceive or 
willfully obstruct any person with respect to such person's right to 
compete for employment.
    (e) Influencing competition. GAO employees shall not influence any 
person to withdraw from competition for any position for the purpose of 
improving or injuring the prospects of any other person for employment.
    (f) Preference or advantage. GAO employees shall not grant any 
preference or advantage not authorized by law, rule, or regulation to 
any employee or applicant for employment (including defining the scope 
or manner of competition or the requirements for any position) for the 
purpose of improving or injuring the prospects of any particular person 
for employment.
    (g) Relatives. GAO employees who are serving as public officials (as 
defined in section 3110(a)(2) of title 5, United States Code) shall not 
appoint, employ, promote, advance, or advocate for appointment, 
employment, promotion, or advancement, in or to a GAO position any 
individual who is a relative (as defined in section 3110(a)(3) of title 
5, U.S. Code) of such employee.
    (h) Reprisals. GAO employees shall not take or fail to take a 
personnel action with respect to any employee or applicant for 
employment as a reprisal for--

[[Page 7]]

    (1) A disclosure of information by an employee or applicant which 
the employee or applicant reasonably believes evidences--
    (i) A violation of any law, rule, or regulation, or
    (ii) Mismanagement, a gross waste of funds, an abuse of authority, 
or a substantial and specific danger to public health or safety, if such 
disclosure is not specifically prohibited by law and if such information 
is not specifically required by Executive order to be kept secret in the 
interest of national defense or the conduct of foreign affairs; or
    (2) A disclosure to the General Counsel of the GAO Personnel Appeals 
Board of information which the employee or applicant reasonably believes 
evidences--
    (i) A violation of any law, rule, or regulation, or
    (ii) Mismanagement, a gross waste of funds, an abuse of authority, 
or a substantial and specific danger to public health or safety.
    (i) Reprisals for appeals. GAO employees shall not take or fail to 
take any personnel action against any employee or applicant for 
employment as a reprisal for the exercise of any appeal right granted by 
any law, rule, or regulation.
    (j) Discrimination for conduct. GAO employees shall not discriminate 
for or against any employee or applicant for employment on the basis of 
conduct which does not adversely affect the performance of the employee 
or applicant or the performance of others; except that nothing in this 
paragraph shall prohibit an agency from taking into account in 
determining suitability or fitness any conviction of the employee or 
applicant for any crime under the laws of any State, or the District of 
Columbia, or of the United States.
    (k) Other personnel actions. GAO employees shall not take or fail to 
take any other personnel action if the taking of or failure to take such 
action violates any law, rule or regulation implementing, or directly 
concerning, the merit system principles described in Sec. 2.4.
    (l) Information to the Congress. Nothing in this section shall be 
construed to authorize the withholding of information from the Congress 
or the taking of any personnel action against an employee who discloses 
information to the Congress.



Sec. 2.6  Veterans' preference.

    (a) GAO will provide preference, for any individual who would be a 
preference eligible in the executive branch, in a manner and to an 
extent consistent with preference eligibles in the executive branch.
    (b) Appeals from preference decisions will be heard by the GAO 
Personnel Appeals Board.



PART 3--EMPLOYMENT--Table of Contents




Sec.
3.1  Appointment, promotion, and assignment.
3.2  Oath of office.
3.3  Assignments to and from States.

    Authority: 31 U.S.C. 732.

    Source: 45 FR 68376, Oct. 15, 1980, unless otherwise noted.



Sec. 3.1  Appointment, promotion, and assignment.

    Employees of GAO shall be appointed, promoted and assigned solely on 
the basis of merit and fitness, but without regard to the provisions of 
title 5, United States Code, governing appointments and other personnel 
actions in the competitive service.



Sec. 3.2  Oath of office.

    The provisions of subchapter II of chapter 33 of title 5, U.S. Code, 
and Office of Personnel Management implementing regulations apply to 
General Accounting Office employees.



Sec. 3.3  Assignments to and from States.

    The provisions of subchapter VI of chapter 33 of title 5, U.S. Code, 
and Office of Personnel Management implementing regulations apply to 
General Accounting Office employees.



PART 4--EMPLOYEE PERFORMANCE AND UTILIZATION--Table of Contents




Sec.
4.1  Training.
4.2  Performance appraisal.
4.3  Removal for unacceptable performance.
4.4  Incentive awards.


[[Page 8]]


    Authority: 31 U.S.C. 732.

    Source: 45 FR 68376, Oct. 15, 1980, unless otherwise noted.



Sec. 4.1  Training.

    The provisions of chapter 41, of title 5, United States Code, and 
Office of Personnel Management implementing regulations apply to General 
Accounting Office employees.



Sec. 4.2  Performance appraisal.

    (a) The GAO shall develop one or more performance appraisal systems 
which provide for periodic appraisals of job performance of employees; 
encourages employee participation in establishing performance standards; 
and uses the results of performance appraisal as a basis for training, 
rewarding, reassigning, promoting, reducing in grade, retaining, and 
removing employees.
    (b) Each performance appraisal system shall provide for--
    (1) Establishing performance standards which will, to the maximum 
extent feasible, permit the accurate evaluation of job performance on 
the basis of job-related criteria (which may include the extent of 
courtesy demonstrated to the public) for each GAO employee.
    (2) As soon as practicable, but not later than October 1, 1981, with 
respect to initial appraisal periods, and thereafter at the beginning of 
each following appraisal period, communicating to reach GAO employee the 
performance standards and the critical elements of the employee's 
position.
    (3) Annually evaluating each employee during the appraisal period on 
such standards.
    (4) Recognizing and rewarding employees whose performance so 
warrants.
    (5) Assisting employees in improving unacceptable performance.
    (6) Reassigning, reducing in grade, or removing employees who 
continue to have unacceptable performance but only after an opportunity 
to demonstrate acceptable performance.



Sec. 4.3  Removal for unacceptable performance.

    GAO may reduce in grade/pay level or remove an employee for 
unacceptable performance in accordance with the provisions of this 
section.
    (a) Employee entitlement. A GAO employee whose reduction in grade/
pay level or removal is proposed under this section is entitled to--
    (1) An advance written notice of the proposed action which 
identifies--
    (i) Specific instances of unacceptable performance by the employee 
on which the proposed action is based; and
    (ii) The critical elements of the employee's position involved in 
each instance of unacceptable performance.
    (2) Be represented by an attorney or other representative.
    (3) A reasonable time to answer orally and in writing.
    (4) A written decision which--
    (i) Specifies the instances of unacceptable performance by the 
employee on which the reduction in grade/pay level or removal is based.
    (ii) Unless proposed by the Comptroller General or by a senior 
manager (e.g., the Deputy Comptroller General, an Assistant Comptroller 
General, or a Division or Office Director) has been concurred in by an 
employee who is in a higher position than the employee who proposed the 
action.
    (b) Decisions to retain, reduce in grade/pay level or remove. The 
decision to retain, reduce in grade or remove a GAO employee--
    (1) Shall be made within 30 days after the date of expiration of the 
notice period, and
    (2) In the case of reduction in grade/pay level or removal, may be 
based only on those instances of unacceptable performance by the 
employee--
    (i) Which occurred during the 1-year period ending on the date of 
the notice of the proposed action.
    (ii) For which the notice and other requirements of this section are 
complied with.
    (c) Performance improvement. If because of performance improvement 
by the employee during the notice period, the employee is not reduced in 
grade/pay level or removed, and the employee's performance continues to 
be acceptable for 1 year from the date of advance written notice, any 
records shall be retained only as prescribed by other recordkeeping 
requirements, such as grievances, adverse action appeals, or

[[Page 9]]

discrimination complaints. In these circumstances any entry or notation 
of unacceptable performance shall be removed from the employee's 
official personnel folder and maintained in separate files to be used 
only in connection with an employee initiated complaint.
    (d) Appeals. A GAO employee who has been reduced in grade/pay level 
or removed under this section is entitled to appeal the action to the 
GAO Personnel Appeals Board.
    (e) Nonapplicability. This section does not apply to--
    (1) The reduction to the grade/pay level previously held of a 
supervisor or manager who has not completed the trial period.
    (2) The reduction in grade/pay level or removal of a GAO employee 
who is serving a trial period under an initial appointment or who has 
not completed 1 year of current continuous employment under other than a 
temporary appointment limited to 1 year or less.
    (3) Employees in the GAO Senior Executive Service.



Sec. 4.4  Incentive awards.

    The provisions of chapter 45 of title 5, United States Code and 
Office of Personnel Management implementing regulations apply to General 
Accounting Office employees.



PART 5--COMPENSATION--Table of Contents




Sec.
5.1  Pay.
5.2  Grade and pay retention.
5.3  Merit pay.
5.4  Pay administration.
5.5  Travel, transportation, and subsistence.
5.6  Allowances.

    Authority: 31 U.S.C. 732.

    Source: 45 FR 68377, Oct. 15, 1980, unless otherwise noted.



Sec. 5.1  Pay.

    (a) Pay principles. Pay of the employees of GAO shall be fixed by 
the Comptroller General consistent with the principles that--
    (1) There be equal pay for work of substantially equal value.
    (2) Pay distinctions be maintained in keeping with work and 
performance distinctions.
    (3) Pay rates be comparable with private enterprise pay rates for 
the same levels of work.
    (4) Pay levels be interrelated to the General Schedule.
    (b) Pay rates. (1) The Comptroller General shall publish a schedule 
of pay rates which shall apply to GAO employees. Except as provided in 
paragraph (b) (2) of this section, and regulations for the GAO Senior 
Executive Service, the highest rate under such schedule shall not exceed 
the highest rate of basic pay payable for grade GS-15 under the General 
Schedule.
    (2) Such schedule may provide for rates which do not exceed the 
maximum rate payable for grade GS-18 of the General Schedule for up to 
one hundred employees, reduced by the number of employees who are in the 
GAO Senior Executive Service, other than those in such service pursuant 
to 31 U.S.C. 733(c).
    (c) Pay adjustments. Except as provided in regulations for the GAO 
Senior Executive Service and the Merit Pay System, the pay of GAO 
employees shall be adjusted at the same time and to the same extent as 
rates of basic pay are adjusted for the General Schedule.

[45 FR 68377, Oct. 15, 1980, as amended at 47 FR 56979, Dec. 22, 1982]



Sec. 5.2  Grade and pay retention.

    (a) Change of positions. Any GAO employee who is placed in a lower 
grade position as a result of a reduction-in-force may be entitled to 
the retained grade of the higher position he or she previously held. The 
employee receives this entitlement (which is for a period of 2 years) if 
he or she has served for at least 52 consecutive weeks in one or more 
positions at a grade or grades higher than the new position. The 2-year 
period begins on the date of placement to the lower grade position.
    (b) Reclassification. Any GAO employee who is in a position which is 
reduced in grade is entitled to have the grade of such position before 
reduction be treated as the retained grade of such employee for the 2-
year period beginning on the date of reduction in grade. However, this 
section shall not apply to any reduction in the grade of a position 
which had not been classified at

[[Page 10]]

the higher grade for a continuous period of at least 1 year immediately 
before such reduction.
    (c) Retained grade. For the 2-year period referred to in paragraphs 
(a) and (b) of this section, the retained grade of GAO employees shall 
be treated as the grade of the employee's position for all purposes 
(including pay and pay administration, retirement, life insurance and 
eligibility for training and promotion) except--
    (1) For purposes of Sec. 5.2(a).
    (2) For purposes of applying any reduction-in-force procedures.
    (3) For purposes of determining whether the employee is covered by a 
merit pay system.
    (4) For such other purposes as the Comptroller General may provide 
by regulation.
    (d) Termination of retained grade. The foregoing provisions of this 
section shall cease to apply to any GAO employee who--
    (1) Has a break in service of 1 workday or more;
    (2) Is demoted for personal cause or at the employee's request;
    (3) Is placed in, or declines, a reasonable offer of, a position the 
grade of which is equal or higher than the retained grade; or
    (4) Elects in writing to have the benefits of this chapter 
terminate.
    (e) Pay retention. (1) Any GAO employee: who ceases to be entitled 
to a retained grade by reason of the expiration of the 2-year period; or 
who (but for this paragraph) would be subject to a reduction in pay 
under circumstances prescribed by the Comptroller General by regulation 
to warrant the application of this paragraph is entitled to--
    (2) Basic pay at a rate equal to the employee's allowable former 
rate of basic pay, plus 50 percent of the amount of each increase in the 
maximum rate of basic pay payable for the employee's position 
immediately after such reduction in pay if such allowable former rate 
exceeds such maximum rate for such grade.
    (f) ``Allowable former rate of basic pay.'' This means the lower 
of--
    (1) The rate of basic pay payable to the employee immediately before 
the reduction in pay; or
    (2) 150 percent of the maximum rate of basic pay payable for the 
grade of the employee's position immediately after such reduction in 
pay.
    (g) Termination of retained pay. The pay retention provisions in 
Sec. 5.2(e) shall cease to apply to a GAO employee who--
    (1) Has a break in service of 1 workday or more.
    (2) Is entitled by operation of Secs. 5.1, 5.2, and 5.3 to a rate of 
basic pay which is equal to or higher than, or declines a reasonable 
offer of a position the rate of basic pay for which is equal to or 
higher than, the rate to which the employee is entitled under 
Sec. 5.2(e); or
    (3) Is demoted for personal cause or at the employee's request.
    (h) Remedial actions. Under regulations prescribed by the 
Comptroller General, Personnel shall--
    (1) Obtain and make available to employees receiving benefits under 
this section, information on vacancies in other Federal agencies.
    (2) Take such steps as may be appropriate to assure employees 
receiving benefits under this section have the opportunity to obtain 
necessary qualifications for the selection to positions which would 
minimize the need for the application of this section; and
    (3) Establish a program under which employees receiving benefits 
under this section are given priority in the consideration for or 
placement in positions which are equal to their retained grade or pay.
    (i) Appeals. In the case of the termination of any benefits to a GAO 
employee under this section on the grounds that such employee declined a 
reasonable offer of a position the grade or pay of which was equal to or 
greater than their retained grade or pay, after administrative remedies 
have been exhausted, such termination may be appealed to the GAO 
Personnel Appeals Board under procedures prescribed by the Board.



Sec. 5.3  Merit pay.

    The Comptroller General may promulgate regulations establishing a 
merit pay system for such employees of the General Accounting Office as 
the Comptroller General considers appropriate. The merit pay system 
shall be

[[Page 11]]

designed to carry out purposes consistent with those set forth in 
section 5401(a) of title 5, United States Code, which provides--

Sec. 5401. Purpose
    (a) It is the purpose of this chapter to provide for--
    (1) A merit pay system which shall--
    (A) Within available funds, recognize and reward quality performance 
by varying merit pay adjustments;
    (B) Use performance appraisals as the basis for determining merit 
pay adjustments;
    (C) Within available funds, provide for training to improve 
objectivity and fairness in the evaluation of performance; and
    (D) Regulate the costs of merit pay by establishing appropriate 
control techniques; and
    (2) A cash award program which shall provide cash awards for 
superior accomplishment and special service.



Sec. 5.4  Pay administration.

    The provisions of chapter 55 of title 5, U.S. Code and the Office of 
Personnel Management implementing regulations apply to General 
Accounting Office employees.



Sec. 5.5  Travel, transportation, and subsistence.

    The provisions of chapter 57 of title 5, U.S. Code and the 
implementing regulations for the Executive Branch apply to General 
Accounting Office employees.



Sec. 5.6  Allowances.

    The provisions of chapter 59 of title 5, U.S. Code and the 
implementing regulations for the Executive Branch apply to General 
Accounting Office employees.



PART 6--ATTENDANCE AND LEAVE--Table of Contents




    Authority: 31 U.S.C. 732.



Sec. 6.1  Applicable law and regulations.

    The provision of subpart E, title 5, United States Code and the 
Office of Personnel Management implementing regulations regarding 
``Attendance and Leave'' apply to General Accounting Office employees. 
This includes hours of work, annual leave, sick leave, and other paid 
leave.

[45 FR 68378, Oct. 15, 1980, as amended at 47 FR 56979, Dec. 22, 1982]



PART 7--PERSONNEL RELATIONS AND SERVICES--Table of Contents




Sec.
7.1  Labor management relations.
7.2  Equal employment opportunity.
7.3  Political activities.
7.4  Employment limitations, foreign gifts and decorations, and 
          misconduct.
7.5  Adverse actions: Suspensions for 14 days or less.
7.6  Adverse actions: Removal, suspension for more than 14 days, reduced 
          in grade, reduced in pay or furloughed for 30 days or less.
7.7  Other appeals and grievances.
7.8  Services to employees.

    Authority: 31 U.S.C. 732.

    Source: 45 FR 68378, Oct. 15, 1980, unless otherwise noted.



Sec. 7.1  Labor management relations.

    (a) Policy. Each employee of GAO has the right, freely and without 
fear of penalty or reprisal, to form, join, or assist an employee 
organization, or to refrain from such activity.
    (b) Labor relations program. A labor relations program consistent 
with chapter 71 of title 5, United States Code will be developed for the 
General Accounting Office.



Sec. 7.2  Equal employment opportunity.

    (a) Policy. All personnel actions affecting employees or applicants 
for employment in GAO shall be taken without regard to race, color, 
religion, age, sex, national origin, political affiliation, marital 
status or handicapping condition.
    (b) Equal opportunity recruiting program. GAO shall conduct 
continuing programs for the recruitment of members of minorities and 
women for positions in GAO in a manner designed to eliminate 
underrepresentation of minorities and women in the various categories of 
employment in GAO. Special efforts will be directed at recruiting in 
minority communities, in educational institutions, and from other 
sources from which minorities can be recruited. GAO will conduct a 
continuing

[[Page 12]]

program of evaluation and oversight of such recruiting programs to 
determine their effectiveness in eliminating minority and women 
underrepresentation.
    (c) Statutory rights and remedies. Nothing in this order shall be 
construed to abolish or diminish any right or remedy granted to 
employees of or applicants for employment in GAO--
    (1) By section 717 of the Civil Rights Act of 1964 (42 U.S.C. 2000e-
16);
    (2) By sections 12 and 15 of the Age Discrimination in Employment 
Act of 1967 (29 U.S.C. 631, 633a);
    (3) By section 6(d) of the Fair Labor Standards Act of 1938 (29 
U.S.C. 206(d));
    (4) By sections 501 and 505 of the Rehabilitation Act of 1973 (29 
U.S.C. 791, 794a); or
    (5) By any other law prohibiting discrimination in Federal 
employment on the basis of race, color, religion, age, sex, national 
origin, political affiliation, marital status or handicapping condition.
    (d) Authorities granted thereunder to the Equal Employment 
Opportunity Commission, Office of Personnel Management, the Merit 
Systems Protection Board, or any other agency in the executive branch 
concerning oversight and appeals shall be exercised by the GAO Personnel 
Appeals Board. Other responsibilities shall be exercised by the 
Comptroller General.



Sec. 7.3  Political activities.

    (a) In this section:
    (1) Contribution means any gift, subscription, loan, advance, 
deposit of money, allotment of money, or anything of value given or 
transferred by one person to another, including in cash, by check, by 
draft, through a payroll deduction or allotment plan, by pledge or 
promise, whether or not enforceable, or otherwise.
    (2) Election includes a primary, special, and general election.
    (3) Employee means an individual who occupies a position in the 
General Accounting Office.
    (4) Employer or employing authority means the Comptroller General, 
his principals, or an employee's supervisor.
    (5) Federal workplace means any place, site, installation, building, 
room, or facility in which any department or agency conducts official 
business, including, but not limited to, office buildings, forts, 
arsenals, navy yards, post offices, vehicles, ships, and aircraft.
    (6) Nonpartisan election means--
    (i) An election at which none of the candidates is to be nominated 
or elected as representing a political party any of whose candidates for 
presidential elector received votes in the last preceding election at 
which presidential electors were selected; and
    (ii) An election involving a question or issue which is not 
specifically identified with a political party, such as a constitutional 
amendment, referendum, approval of a municipal ordinance, or any 
question or issue of a similar character.
    (7) Partisan when used as an adjective refers to a political party.
    (8) Political fund means any fund, organization, political action 
committee, or other entity that, for purposes of influencing in any way 
the outcome of any partisan election, receives or expends money or 
anything of value or transfers money or anything of value to any other 
fund, political party, candidate, organization, political action 
committee, or other entity.
    (9) Political party means a national political party, a state 
political party, and an affiliated organization.
    (b) All employees are free to engage in political activity to the 
widest extent consistent with the restrictions imposed by law and this 
section. Each employee retains the right to--
    (1) Register and vote in any election;
    (2) Express his opinion as an individual privately and publicly on 
political subjects and candidates;
    (3) Display a political picture, sticker, badge, or button;
    (4) Participate in the nonpartisan activities of a civic, community, 
social, labor, or professional organization, or of a similar 
organization;
    (5) Be a member of a political party or other political organization 
and participate in its activities to the extent consistent with law;
    (6) Attend a political convention, rally, fund-raising function, or 
other political gathering;
    (7) Sign a political petition as an individual;

[[Page 13]]

    (8) Make a financial contribution to a political fund, political 
party, or organization;
    (9) Take an active part, as an independent candidate, or in support 
of an independent candidate in a partisan election covered by paragraphs 
(h), (i), and (j) of this section;
    (10) Take an active part, as a candidate or in support of a 
candidate, in a nonpartisan election;
    (11) Be politically active in connection with a question which is 
not specifically identified with a political party, such as a 
constitutional amendment, referendum, approval of a municipal ordinance 
or any other question or issue of a similar character;
    (12) Serve as an election judge or clerk, or in a similar position 
to perform nonpartisan duties as prescribed by state or local law; and
    (13) Otherwise participate fully in public affairs, except as 
prohibited by law, in a manner which does not materially compromise his/
her efficiency or integrity as an employee or the neutrality, 
efficiency, or integrity of the agency.
    (c) Paragraph (b) of this section does not authorize an employee to 
engage in political activity in violation of law, while on duty. The 
Comptroller General may prohibit or limit the participation of an 
employee or class of employees in an activity permitted by paragraph (b) 
of this section, if participation in the activity would interfere with 
the efficient performance of official duties, or create a conflict or 
apparent conflict of interests.
    (d) An employee may not use his/her official authority or influence 
for the purpose of interfering with or affecting the result of an 
election.
    (e) An employee may not take an active part in political management 
or in a political campaign, except as permitted by this section.
    (f) Activities prohibited by paragraph (e) of this section include 
but are not limited to--
    (1) Serving as an officer of a political party, a member of a 
national, state, or local committee of a political party, an officer or 
member of a committee of a partisan political club, or being a candidate 
for any of these positions;
    (2) Organizing or reorganizing a political party organization or 
political club;
    (3) Directly or indirectly soliciting, receiving, collecting, 
handling, disbursing, or accounting for assessments, contributions, or 
other funds for a partisan political purpose;
    (4) Organizing, selling tickets to, promoting, or actively 
participating in a fund-raising activity of a candidate in a partisan 
election or of a political party, or political club;
    (5) Taking an active part in managing the political campaign of a 
candidate for public office in a partisan election or a candidate for 
political party office;
    (6) Becoming a candidate for, or campaigning for, an elective public 
office in a partisan election;
    (7) Soliciting votes in support of or in opposition to a candidate 
for public office in a partisan election or a candidate for political 
party office;
    (8) Acting as recorder, watcher, challenger, or similar officer at 
the polls on behalf of a political party or a candidate in a partisan 
election;
    (9) Driving voters to the polls on behalf of a political party or a 
candidate in a partisan election;
    (10) Endorsing or opposing a candidate for public office in a 
partisan election or a candidate for political party office in a 
political advertisement, a broadcast, campaign, literature, or similar 
material;
    (11) Serving as a delegate, alternate, or proxy to a political party 
convention;
    (12) Addressing a convention, caucus, rally, or similar gathering of 
a political party in support of or in opposition to a partisan candidate 
for public office or political party office;
    (13) Initiating or circulating a partisan nominating petition;
    (14) Soliciting, collecting, or receiving a contribution at or in 
the federal workplace from any employee for any political party, 
political fund, or other partisan recipient;
    (15) Paying a contribution at or in the federal workplace to any 
employee

[[Page 14]]

who is the employer or employing authority of the person making the 
contribution for any political party, political fund, or other partisan 
recipient; and
    (16) Soliciting, paying, collecting, or receiving a contribution at 
or in the federal workplace from any employee for any political party, 
political fund, or other partisan recipient.
    (g) Paragraph (f) of this section does not apply to--
    (1) The Comptroller General or the Deputy Comptroller General;
    (2) An employee who resides in a municipality or other political 
subdivision designated under paragraph (i), subject to the conditions of 
paragraphs (i) and (j) of this section; or
    (3) An employee who works on an irregular or occasional basis, on 
the days that he/she performs no services.
    (h) Paragraph (f) of this section does not prohibit activity in 
political management or in a political campaign by an employee in 
connection with--
    (1) A nonpartisan election, or
    (2) Subject to the conditions and limitations established by the 
Comptroller General, an election held in a municipality or political 
subdivision designated under paragraph (i) of this section.
    (i) For the purpose of paragraph (h)(2) of this section, the 
Comptroller General may designate a municipality or political 
subdivision in Maryland or Virginia in the immediate vicinity of the 
District of Columbia or a municipality in which the majority of voters 
are employed by the Government of the United States, when the 
Comptroller General determines that, because of special or unusual 
circumstances, it is in the domestic interest of employees to 
participate in local elections. The following municipalities and 
political subdivisions have been designated:

                               In Maryland

Annapolis
Anne Arundel County
Berwyn Heights
Bethesda
Bladensburg
Bowie
Brentwood
Capitol Heights
Cheverly
Chevy Chase, sections 1, 2, 3, and 4 Martin's Additions 1, 2, 3, and 4 
to Chevy Chase
Chevy Chase View
College Park
Cottage City
District Heights
Edmonston
Fairmont Heights
Forest Heights
Garrett Park
Glendarden
Glen Echo
Greenbelt
Howard County
Hyattsville
Kensington
Landover Hills
Montgomery County
Morningside
Mount Rainier
New Carrollton
North Beach
North Brentwood
North Chevy Chase
Northwest Park
Prince Georges County
Riverdale
Rockville
Seat Pleasant
Somerset
Takoma Park
University Park
Washington Grove

                               In Virginia

Alexandria
Arlington County
Clifton
Fairfax County
Town of Fairfax
Falls Church
Herndon
Loudoun County
Manassas
Manassas Park
Portsmouth
Prince William County
Stafford County
Vienna

                          Other Municipalities

Anchorage, AK
Benicia, CA
Bremerton, WA
Centerville, GA
Crane, IN
District of Columbia
Elmer City, WA
Huachuca City, AZ
New Johnsonville, TN
Norris, TN
Port Orchard, WA
Sierra Vista, AZ
Warner Robins, GA

    (j) An employee who resides in a municipality or political 
subdivision listed in paragraph (i) of this section may

[[Page 15]]

take an active part in political management and political campaigns in 
connection with partisan elections for local offices of the municipality 
or political subdivision, subject to the following limitations:
    (1) Participation in politics shall be as an independent candidate 
or on behalf of, or in opposition to, an independent candidate.
    (2) Candidacy for, and service in, an elective office shall not 
result in neglect of or interference with the performance of the duties 
of the employee or create a conflict, or apparent conflict, of 
interests.

[53 FR 26421, July 13, 1988]



Sec. 7.4  Employment limitations, foreign gifts and decorations, and misconduct.

    The provisions of subchapters II, IV, and V of chapter 73 of title 
5, United States Code and implementing regulations thereunder continue 
to apply to this office.



Sec. 7.5  Adverse actions: Suspensions for 14 days or less.

    (a) Policy. A GAO employee may be suspended for 14 days or less for 
such cause as will promote the efficiency of GAO (including discourteous 
conduct to the public confirmed by an immediate supervisor's report of 
four such instances within any 1-year period or any other pattern of 
discourteous conduct). Suspension means placing an employee, for 
disciplinary reasons, temporarily in a status without duties and pay.
    (b) Employee entitlement. An employee against whom a suspension for 
14 days or less is proposed is entitled to--
    (1) An advance written notice stating the specific reasons for the 
proposed action;
    (2) A reasonable time to answer orally and in writing and to furnish 
affidavits and other documentary evidence in support of the answer;
    (3) Be represented by an attorney or other representative; and
    (4) A written decision and the specific reasons therefore at the 
earliest practicable date.
    (c) Documentation. Copies of the notice of proposed action, the 
answer of the employee if written, a summary thereof if made orally, the 
notice of decision and reasons therefor, and any order effecting the 
suspension, together with any supporting material, shall be maintained 
by Personnel and shall be furnished to the employee affected upon the 
employee's request.
    (d) Nonapplicability. This section is not applicable to--(1) An 
employee who is serving a trial period under an initial appointment in 
GAO or who has not completed 1 year of current continuous employment in 
the same or similar positions in GAO under other than a temporary 
appointment limited to 1 year or less.
    (2) A suspension in the interest of national security.



Sec. 7.6  Adverse actions: Removal, suspension for more than 14 days, reduced in grade, reduced in pay or furloughed for 30 days or less.

    (a) Policy. A GAO employee may be removed, suspended for more than 
14 days, reduction in grade or pay, or furlough for 30 days or less for 
such cause as will promote the efficiency of GAO. Furloughed means 
placing an employee in a temporary status without duties and pay because 
of lack of work or funds or other nondisciplinary reasons.
    (b) Employee entitlement. An employee against whom an action is 
proposed under this section is entitled to--
    (1) At least 30 days' advance written notice, unless there is 
reasonable cause to believe the employee has committed a crime for which 
a sentence of imprisonment may be imposed, stating the specific reasons 
for the proposed action,
    (2) A reasonable time to answer orally and in writing and to furnish 
affidavits and other documents in support of the answer.
    (3) Be represented by an attorney or other representative; and
    (4) A written decision and the specific reasons therefor at the 
earliest practicable date.
    (c) Appeals. After administrative remedies have been exhausted, an 
employee against whom an action is taken under this section is entitled 
to appeal to the GAO Personnel Appeals Board.
    (d) Documentation. Copies of the notice of proposed action, the 
answer of

[[Page 16]]

the employee if written, a summary thereof when made orally, the notice 
of decision and reasons therefor, and any order affecting an action 
covered by this section, together with any supporting material, shall be 
maintained by Personnel and shall be furnished to the GAO Personnel 
Appeals Board upon its request and to the employee affected upon the 
employee's request.
    (e) Nonapplicability. This section does not apply to--
    (1) Employees who are serving a trial period under an initial 
appointment or who has not completed 1 year of current continuous 
employment under other than a temporary appointment limited to 1 year or 
less.
    (2) A suspension or removal of an employee in the interests of 
national security.
    (3) A reduction in force.
    (4) The reduction in grade of a supervisor or manager who has not 
completed the probationary period.
    (5) A reduction in grade or removal for unacceptable performance 
under part 4.
    (6) An action ordered by the GAO Personnel Appeals Board.



Sec. 7.7  Other appeals and grievances.

    The personnel system shall provide procedures for the processing of 
complaints and grievances which are not otherwise provided for.



Sec. 7.8  Services to employees.

    The provisions of chapter 79 of title 5, United States Code, and the 
Office of Personnel Management implementing regulations apply to General 
Accounting Office employees.



PART 8--INSURANCE AND ANNUITIES--Table of Contents




    Authority: 31 U.S.C. 732.



Sec. 8.1  Applicable law and regulations.

    The provisions of subpart G, title 5, United States Code and 
implementing regulations for the Executive Branch covering compensation 
for work injuries, retirement, unemployment compensation, life 
insurance, and health insurance apply to General Accounting Office 
employees.

[45 FR 68380, Oct. 15, 1980, as amended at 47 FR 56979, Dec. 22, 1982]



PART 9--SENIOR EXECUTIVE SERVICE--Table of Contents




    Authority: 31 U.S.C. 733.



Sec. 9.1  GAO Senior Executive Service.

    (a) The Comptroller General may promulgate regulations establishing 
a General Accounting Office Senior Executive Service which meets the 
requirements set forth in section 3131 of title 5, United States Code, 
which provides--

               Sec. 3131 The GAO Senior Executive Service

    The Senior Executive Service shall be administered so as to--
    (1) Provide for a compensation system, including salaries, benefits, 
and incentives, and for other conditions of employment, designed to 
attract and retain highly competent senior executives;
    (2) Ensure that compensation, retention, and tenure are contingent 
on executive success which is measured on the basis of individual and 
organizational performance (including such factors as improvements in 
efficiency, productivity, quality of work or service, cost efficiency, 
and timeliness of performance and success in meeting equal employment 
opportunity goals);
    (3) Assure that senior executives are accountable and responsible 
for the effectiveness and productivity of employees under them;
    (4) Recognize exceptional accomplishment;
    (5) Enable the head of an agency to reassign senior executives to 
best accomplish the agency's mission;
    (6) Provide for severance pay, early retirement, and placement 
assistance for senior executives who are removed from the Senior 
Executive Service for nondisciplinary reasons;
    (7) Protect senior executives from arbitrary or capricious actions;
    (8) Provide for program continuity in the management of GAO 
programs;
    (9) Maintain a merit personnel system free of prohibited personnel 
practices;
    (10) Ensure accountability for honest, economical, and efficient 
Government;
    (11) Ensure compliance with all applicable personnel laws, rules, 
and regulations, including those related to equal employment 
opportunity, political activity, and conflicts of interest;

[[Page 17]]

    (12) Provide for the initial and continuing systematic development 
of highly competent senior executives;
    (13) Provide for an executive system which is guided by the public 
interest and free from improper political interference; and
    (14) Appoint career executives to fill Senior Executive Service 
positions to the extent practicable, consistent with the effective and 
efficient implementation of agency policies and responsibilities.

    (b) Requirements for positions included in the GAO Senior Executive 
System. The GAO Senior Executive Service may include--

    (1) The 100 positions authorized by 31 U.S.C. 732(c)(4);
    (2) The position of the General Counsel authorized by 31 U.S.C. 
731(c);
    (3) The 5 positions authorized by 31 U.S.C. 731(d); and
    (4) The 10 positions authorized by 31 U.S.C. 731(e)(2).

[45 FR 68380, Oct. 15, 1980, as amended at 47 FR 56979, Dec. 22, 1982]



PART 11--RECOGNITION OF ATTORNEYS AND OTHER REPRESENTATIVES--Table of Contents




Sec.
11.1  Right to representation before the General Accounting Office.
11.2  Practice by attorneys.
11.3  Authority to represent in payment cases.
11.4  Authority to represent in other cases.
11.5  Revocation of authority to represent.

    Authority: 31 U.S.C. 711.

    Source: 41 FR 35155, Aug. 20, 1976. Redesignated at 45 FR 68374, 
Oct. 15, 1980, unless otherwise noted.



Sec. 11.1  Right to representation before the General Accounting Office.

    Each person having a claim or other rights assertable in the General 
Accounting Office may pursue such claim or right individually or through 
an attorney or other representative.



Sec. 11.2  Practice by attorneys.

    Any person who is a member in good standing of the bar of the 
Supreme Court of the United States or of the highest court of any State, 
territory, or the District of Columbia, and is not under any order of 
any court suspending, enjoining, restraining, disbarring, or otherwise 
restricting him in the practice of law, may represent others before the 
General Accounting Office.



Sec. 11.3  Authority to represent in payment cases.

    In the prosecution of claims involving payments to be made by the 
United States, a proper power of attorney is required before an attorney 
or other representative may be recognized. A power of attorney from the 
principal may also be requested in other cases.



Sec. 11.4  Authority to represent in other cases.

    When an attorney acting in a representative capacity appears in 
person or signs a document submitted to the General Accounting Office in 
connection with a matter other than one involving a payment to be made 
by the United States, his personal appearance or signature shall 
constitute a representation that he is authorized and qualified to 
represent the particular party in whose behalf he acts. In the case of 
representatives other than attorneys, a simple written declaration from 
the principal will be accepted as evidence of the authority of the 
representative to act on behalf of the principal.



Sec. 11.5  Revocation of authority to represent.

    Prior to the conclusion of action by the General Accounting Office 
on a matter in which a principal is represented by another person whose 
authority to act is established under either Sec. 11.3 or Sec. 11.4, the 
principal may revoke the authority of his representative. Such 
revocation is not effective unless it is in writing and signed by the 
principal and until the written revocation is received by the General 
Accounting Office. Upon notification of the death of the principal 
during the pendency of any matter involving representation of the 
principal by an attorney or other party, the General Accounting Office 
will consider the representative's authority to have been automatically 
revoked.

[[Page 18]]





                    SUBCHAPTER B--GENERAL PROCEDURES





PART 21--BID PROTEST REGULATIONS--Table of Contents




Sec.
21.0  Definitions.
21.1  Filing a protest.
21.2  Time for filing.
21.3  Notice of protest, submission of agency report, and time for 
          filing of comments on report.
21.4  Protective orders.
21.5  Protest issues not for consideration.
21.6  Withholding of award and suspension of contract performance.
21.7  Hearings.
21.8  Remedies.
21.9  Time for decision by GAO.
21.10  Express options, flexible alternative procedures, accelerated 
          schedules, summary decisions, and status and other 
          conferences.
21.11  Effect of judicial proceedings.
21.12  Distribution of decisions.
21.13  Nonstatutory protests.
21.14  Request for reconsideration.

    Authority: 31 U.S.C. 3551-3556.

    Source: 61 FR 39042, July 26, 1996, unless otherwise noted.



Sec. 21.0  Definitions.

    (a) Interested party means an actual or prospective bidder or 
offeror whose direct economic interest would be affected by the award of 
a contract or by the failure to award a contract.
    (b) Intervenor means an awardee if the award has been made or, if no 
award has been made, all bidders or offerors who appear to have a 
substantial prospect of receiving an award if the protest is denied.
    (c) Federal agency means any executive department or independent 
establishment in the executive branch, including any wholly owned 
government corporation, and any establishment in the legislative or 
judicial branch, except the Senate, the House of Representatives, and 
the Architect of the Capitol and any activities under his direction.
    (d) Contracting agency means a Federal agency which has awarded or 
proposes to award a contract under a protested procurement.
    (e) Days are calendar days. In computing any period of time 
described in Subchapter V, Chapter 35 of Title 31, United States Code, 
including those described in this part, the day from which the period 
begins to run is not counted, and when the last day of the period is a 
Saturday, Sunday, or Federal holiday, the period extends to the next day 
that is not a Saturday, Sunday, or Federal holiday. Similarly, when the 
General Accounting Office (GAO), or another Federal agency where a 
submission is due, is closed for all or part of the last day, the period 
extends to the next day on which the agency is open.
    (f) Adverse agency action is any action or inaction by a contracting 
agency which is prejudicial to the position taken in a protest filed 
with the agency, including a decision on the merits of a protest; the 
opening of bids or receipt of proposals, the award of a contract, or the 
rejection of a bid despite a pending protest; or contracting agency 
acquiescence in continued and substantial contract performance.
    (g) A document is filed on a particular day when it is received by 
GAO by 5:30 p.m., eastern time, on that day. A document may be filed by 
hand delivery, mail, or commercial carrier; parties wishing to file a 
document by facsimile transmission or other electronic means must ensure 
that the necessary equipment is operational at GAO's Procurement Law 
Control Group.



Sec. 21.1  Filing a protest.

    (a) An interested party may protest a solicitation or other request 
by a Federal agency for offers for a contract for the procurement of 
property or services; the cancellation of such a solicitation or other 
request; an award or proposed award of such a contract; and a 
termination of such a contract, if the protest alleges that the 
termination was based on improprieties in the award of the contract.
    (b) Protests must be in writing and addressed as follows: General 
Counsel, General Accounting Office, 441 G Street, NW., Washington, DC 
20548, Attention: Procurement Law Control Group.
    (c) A protest filed with GAO shall:

[[Page 19]]

    (1) Include the name, address, and telephone and facsimile numbers 
of the protester,
    (2) Be signed by the protester or its representative,
    (3) Identify the contracting agency and the solicitation and/or 
contract number,
    (4) Set forth a detailed statement of the legal and factual grounds 
of protest including copies of relevant documents,
    (5) Set forth all information establishing that the protester is an 
interested party for the purpose of filing a protest,
    (6) Set forth all information establishing the timeliness of the 
protest,
    (7) Specifically request a ruling by the Comptroller General of the 
United States, and
    (8) State the form of relief requested.
    (d) In addition, a protest filed with GAO may:
    (1) Request a protective order,
    (2) Request specific documents, explaining the relevancy of the 
documents to the protest grounds, and
    (3) Request a hearing, explaining the reasons that a hearing is 
needed to resolve the protest.
    (e) The protester shall furnish a complete copy of the protest, 
including all attachments, to the individual or location designated by 
the contracting agency in the solicitation for receipt of protests, or 
if there is no designation, to the contracting officer. The designated 
individual or location (or, if applicable, the contracting officer) must 
receive a complete copy of the protest and all attachments not later 
than 1 day after the protest is filed with GAO. The protest document 
must indicate that a complete copy of the protest and all attachments 
are being furnished within 1 day to the appropriate individual or 
location.
    (f) No formal briefs or other technical forms of pleading or motion 
are required. Protest submissions should be concise and logically 
arranged, and should clearly state legally sufficient grounds of 
protest. Protests of different procurements should be separately filed.
    (g) Unless precluded by law, GAO will not withhold material 
submitted by a protester from any party outside the government. If the 
protester believes that the protest contains information which should be 
withheld, a statement advising of this fact must be on the front page of 
the submission. This information must be identified wherever it appears, 
and the protester must file a redacted copy of the protest which omits 
the information with GAO and the agency within 1 day after the filing of 
its protest with GAO.
    (h) Parties who intend to file documents containing classified 
information should notify GAO in advance to obtain advice regarding 
procedures for filing and handling the information.
    (i) A protest may be dismissed for failure to comply with any of the 
requirements of this section, except for the items in paragraph (d) of 
this section. In addition, a protest shall not be dismissed for failure 
to comply with paragraph (e) of this section where the contracting 
officer has actual knowledge of the basis of protest, or the agency, in 
the preparation of its report, was not prejudiced by the protester's 
noncompliance.



Sec. 21.2  Time for filing.

    (a)(1) Protests based upon alleged improprieties in a solicitation 
which are apparent prior to bid opening or the time set for receipt of 
initial proposals shall be filed prior to bid opening or the time set 
for receipt of initial proposals. In procurements where proposals are 
requested, alleged improprieties which do not exist in the initial 
solicitation but which are subsequently incorporated into the 
solicitation must be protested not later than the next closing time for 
receipt of proposals following the incorporation.
    (2) Protests other than those covered by paragraph (a)(1) of this 
section shall be filed not later than 10 days after the basis of protest 
is known or should have been known (whichever is earlier), with the 
exception of protests challenging a procurement conducted on the basis 
of competitive proposals under which a debriefing is requested and, when 
requested, is required. In such cases, with respect to any protest basis 
which is known or should have been known either before or as a result of 
the debriefing, the initial protest shall not be filed before the 
debriefing

[[Page 20]]

date offered to the protester, but shall be filed not later than 10 days 
after the date on which the debriefing is held.
    (3) If a timely agency-level protest was previously filed, any 
subsequent protest to GAO filed within 10 days of actual or constructive 
knowledge of initial adverse agency action will be considered, provided 
the agency-level protest was filed in accordance with paragraphs (a)(1) 
and (a)(2) of this section, unless the contracting agency imposes a more 
stringent time for filing, in which case the agency's time for filing 
will control. In cases where an alleged impropriety in a solicitation is 
timely protested to a contracting agency, any subsequent protest to GAO 
will be considered timely if filed within the 10-day period provided by 
this paragraph, even if filed after bid opening or the closing time for 
receipt of proposals.
    (b) Protests untimely on their face may be dismissed. A protester 
shall include in its protest all information establishing the timeliness 
of the protest; a protester will not be permitted to introduce for the 
first time in a request for reconsideration information necessary to 
establish that the protest was timely.
    (c) GAO, for good cause shown, or where it determines that a protest 
raises issues significant to the procurement system, may consider an 
untimely protest.



Sec. 21.3  Notice of protest, submission of agency report, and time for filing of comments on report.

    (a) GAO shall notify the contracting agency by telephone within 1 
day after the filing of a protest, and, unless the protest is dismissed 
under this part, shall promptly send a written confirmation to the 
contracting agency and an acknowledgment to the protester. The 
contracting agency shall immediately give notice of the protest to the 
contractor if award has been made or, if no award has been made, to all 
bidders or offerors who appear to have a reasonable prospect of 
receiving an award. The contracting agency shall furnish copies of the 
protest submissions to those parties, except where disclosure of the 
information is prohibited by law, with instructions to communicate 
further directly with GAO. All parties shall furnish copies of all 
protest communications to the contracting agency and to other 
participating parties. All protest communications shall be sent by means 
reasonably calculated to effect expeditious delivery.
    (b) A contracting agency or intervenor which believes that the 
protest or specific protest allegations should be dismissed before 
submission of an agency report should file a request for dismissal as 
soon as practicable.
    (c) The contracting agency shall file a report on the protest with 
GAO within 30 days after the telephone notice of the protest from GAO. 
The report provided to the parties need not contain documents which the 
agency has previously furnished or otherwise made available to the 
parties in response to the protest. At least 5 days prior to the filing 
of the report, in cases in which the protester has filed a request for 
specific documents, the agency shall provide to all parties and GAO a 
list of those documents, or portions of documents, which the agency has 
released to the protester or intends to produce in its report, and of 
the documents which the agency intends to withhold from the protester 
and the reasons for the proposed withholding. Any objection to the scope 
of the agency's proposed disclosure or nondisclosure of documents must 
be filed with GAO and the other parties within 2 days of receipt of this 
list.
    (d) The report shall include the contracting officer's statement of 
the relevant facts, including a best estimate of the contract value, a 
memorandum of law, and a list and a copy of all relevant documents, or 
portions of documents, not previously produced, including, as 
appropriate: the protest; the bid or proposal submitted by the 
protester; the bid or proposal of the firm which is being considered for 
award, or whose bid or proposal is being protested; all evaluation 
documents; the solicitation, including the specifications; the abstract 
of bids or offers; and any other relevant documents. In appropriate

[[Page 21]]

cases, the contracting agency may request that the protester produce 
relevant documents, or portions of documents, that are not in the 
agency's possession.
    (e) Subject to any protective order issued in the protest pursuant 
to Sec. 21.4, the contracting agency shall simultaneously furnish a copy 
of the report to the protester and any intervenors. The copy of the 
report filed with GAO shall list the parties who have been furnished 
copies of the report. Where a protester does not have counsel admitted 
to a protective order and documents are withheld from the protester in 
accordance with this part, the agency shall provide documents adequate 
to inform the protester of the basis of the agency's position.
    (f) The contracting agency may request an extension of time for the 
submission of the list of documents to be provided by the agency 
pursuant to Sec. 21.3(c) or for the submission of the agency report. 
Extensions will be granted on a case-by-case basis.
    (g) The protester may request additional documents after receipt of 
the agency report when their existence or relevance first becomes 
evident. Except when authorized by GAO, any request for additional 
documents must be filed with GAO and the contracting agency not later 
than 2 days after their existence or relevance is known or should have 
been known, whichever is earlier. The contracting agency shall provide 
the requested documents, or portions of documents, and a list to GAO and 
the other parties within 2 days or explain why it is not required to 
produce the documents.
    (h) Upon the request of a party, GAO will decide whether the 
contracting agency must provide any withheld documents, or portions of 
documents, and whether this should be done under a protective order. 
When withheld documents are provided, the protester's comments on the 
agency report shall be filed within the original comment filing period 
unless GAO determines that an extension is appropriate.
    (i) Comments on the agency report shall be filed with GAO within 10 
days after receipt of the report, with a copy provided to the 
contracting agency and other participating parties. The protest shall be 
dismissed unless the protester files comments or a written statement 
requesting that the case be decided on the existing record, or requests 
an extension of time within the 10-day period. Unless otherwise advised 
by the protester, GAO will assume the protester received the agency 
report by the due date specified in the acknowledgment of protest 
furnished by GAO. Upon a showing that the specific circumstances of a 
protest require a period longer than 10 days for the submission of 
comments, GAO will set a new date for the submission of comments. 
Extensions will be granted on a case-by-case basis.
    (j) GAO may request or permit the submission of additional 
statements by the parties and by other parties not participating in the 
protest as may be necessary for the fair resolution of the protest. The 
agency and other parties shall not submit any additional statements 
unless the statements are specifically requested by GAO or submitted 
after permission has been granted by GAO.



Sec. 21.4  Protective orders.

    (a) At the request of a party or on its own initiative, GAO may 
issue a protective order controlling the treatment of protected 
information. Such information may include proprietary, confidential, or 
source-selection-sensitive material, as well as other information the 
release of which could result in a competitive advantage to one or more 
firms. The protective order shall establish procedures for application 
for access to protected information, identification and safeguarding of 
that information, and submission of redacted copies of documents 
omitting protected information. Because a protective order serves to 
facilitate the pursuit of a protest by a protester through counsel, it 
is the responsibility of protester's counsel to request that a 
protective order be issued and to submit timely applications for 
admission under that order.
    (b) If no protective order has been issued, the agency may withhold 
from the parties those portions of its report which would ordinarily be 
subject to a protective order. GAO will review in

[[Page 22]]

camera all information not released to the parties.
    (c) After a protective order has been issued, counsel or consultants 
retained by counsel appearing on behalf of a party may apply for 
admission under the order by submitting an application to GAO, with 
copies furnished simultaneously to all parties. The application shall 
establish that the applicant is not involved in competitive decision-
making for any firm that could gain a competitive advantage from access 
to the protected information and that there will be no significant risk 
of inadvertent disclosure of protected information. Objections to an 
applicant's admission shall be raised within 2 days after receipt of the 
application, although GAO may consider objections raised after that 
time.
    (d) Any violation of the terms of a protective order may result in 
the imposition of such sanctions as GAO deems appropriate, including 
referral to appropriate bar associations or other disciplinary bodies 
and restricting the individual's practice before GAO.



Sec. 21.5  Protest issues not for consideration.

    GAO shall summarily dismiss a protest or specific protest 
allegations that do not state a valid basis for protest, are untimely 
(unless considered pursuant to Sec. 21.2(c)), or are not properly before 
GAO. A protest or specific protest allegations may be dismissed any time 
sufficient information is obtained by GAO warranting dismissal. Where an 
entire protest is dismissed, no agency report shall be filed; where 
specific protest allegations are dismissed, an agency report shall be 
filed on the remaining allegations. Among the protest bases which shall 
be dismissed are the following:
    (a) Contract administration. The administration of an existing 
contract is within the discretion of the contracting agency. Disputes 
between a contractor and the agency are resolved pursuant to the 
disputes clause of the contract and the Contract Disputes Act of 1978. 
41 U.S.C. 601-613.
    (b) Small Business Administration issues. (1) Small business size 
standards and standard industrial classification. Challenges of 
established size standards or the size status of particular firms, and 
challenges of the selected standard industrial classification may be 
reviewed solely by the Small Business Administration. 15 U.S.C. 
637(b)(6).
    (2) Small Business Certificate of Competency Program. Any referral 
made to the Small Business Administration pursuant to sec. 8(b)(7) of 
the Small Business Act, or any issuance of, or refusal to issue, a 
certificate of competency under that section will not be reviewed by GAO 
absent a showing of possible bad faith on the part of government 
officials or a failure to consider vital information bearing on the 
firm's responsibility. 15 U.S.C. 637(b)(7).
    (3) Procurements under sec. 8(a) of the Small Business Act. Under 
that section, since contracts are entered into with the Small Business 
Administration at the contracting officer's discretion and on such terms 
as are agreed upon by the procuring agency and the Small Business 
Administration, the decision to place or not to place a procurement 
under the 8(a) program is not subject to review absent a showing of 
possible bad faith on the part of government officials or that 
regulations may have been violated. 15 U.S.C. 637(a).
    (c) Affirmative determination of responsibility by the contracting 
officer. Because the determination that a bidder or offeror is capable 
of performing a contract is based in large measure on subjective 
judgments which generally are not readily susceptible of reasoned 
review, an affirmative determination of responsibility will not be 
reviewed absent a showing of possible bad faith on the part of 
government officials or that definitive responsibility criteria in the 
solicitation were not met.
    (d) Procurement integrity. For any Federal procurement, GAO will not 
review an alleged violation of subsections (a), (b), (c), or (d) of sec. 
27 of the Office of Federal Procurement Policy Act, 41 U.S.C. 423, as 
amended by sec. 4304 of the National Defense Authorization Act for 
Fiscal Year 1996, Public Law 104-106, 110 Stat. 186, February 10, 1996, 
where the protester failed to report the information it believed 
constituted evidence of the offense to the Federal agency responsible

[[Page 23]]

for the procurement within 14 days after the protester first discovered 
the possible violation. The provision in paragraph (d) of Sec. 21.5 will 
apply not later than January 1, 1997.
    (e) Protests not filed either in GAO or the contracting agency 
within the time limits set forth in Sec. 21.2.
    (f) Protests which lack a detailed statement of the legal and 
factual grounds of protest as required by Sec. 21.1(c)(4), or which fail 
to clearly state legally sufficient grounds of protest as required by 
Sec. 21.1(f).
    (g) Procurements by agencies other than Federal agencies as defined 
by sec. 3 of the Federal Property and Administrative Services Act of 
1949, 40 U.S.C. 472. Protests of procurements or proposed procurements 
by agencies such as the U.S. Postal Service, the Federal Deposit 
Insurance Corporation, and nonappropriated fund activities are beyond 
GAO's bid protest jurisdiction as established in 31 U.S.C. 3551-3556.
    (h) Subcontract protests. GAO will not consider a protest of the 
award or proposed award of a subcontract except where the agency 
awarding the prime contract has requested in writing that subcontract 
protests be decided pursuant to Sec. 21.13.



Sec. 21.6  Withholding of award and suspension of contract performance.

    Where a protest is filed with GAO, the contracting agency may be 
required to withhold award and to suspend contract performance. The 
requirements for the withholding of award and the suspension of contract 
performance are set forth in 31 U.S.C. 3553 (c) and (d).



Sec. 21.7  Hearings.

    (a) At the request of a party or on its own initiative, GAO may 
conduct a hearing in connection with a protest. The request shall set 
forth the reasons why a hearing is needed to resolve the protest.
    (b) Prior to the hearing, GAO may hold a pre-hearing conference to 
discuss and resolve matters such as the procedures to be followed, the 
issues to be considered, and the witnesses who will testify.
    (c) Hearings generally will be conducted as soon as practicable 
after receipt by the parties of the agency report and relevant 
documents. Although hearings ordinarily will be conducted at GAO in 
Washington, DC, hearings may, at the discretion of GAO, be conducted at 
other locations, or by telephone.
    (d) All parties participating in the protest shall be invited to 
attend the hearing. Others may be permitted to attend as observers and 
may participate as allowed by GAO's hearing official. In order to 
prevent the improper disclosure of protected information at the hearing, 
GAO's hearing official may restrict attendance during all or part of the 
proceeding.
    (e) Hearings shall normally be recorded and/or transcribed. If a 
recording and/or transcript is made, any party may obtain copies at its 
own expense.
    (f) If a witness whose attendance has been requested by GAO fails to 
attend the hearing or fails to answer a relevant question, GAO may draw 
an inference unfavorable to the party for whom the witness would have 
testified.
    (g) If a hearing is held, no separate comments on the agency report 
should be submitted unless specifically requested by GAO. Each party 
shall file with GAO, within 5 days after the hearing was held or as 
specified by GAO, a single document expressing any comments on both the 
hearing and agency report, with copies furnished to the other parties. 
By the due date, if the protester has not filed comments or a written 
statement requesting that the case be decided on the existing record, 
GAO shall dismiss the protest.
    (h) In post-hearing comments, the parties should reference all 
testimony and admissions in the hearing record that they consider 
relevant, providing specific citations to the testimony and admissions 
referenced.



Sec. 21.8  Remedies.

    (a) If GAO determines that a solicitation, cancellation of a 
solicitation, termination of a contract, proposed award, or award does 
not comply with statute or regulation, it shall recommend that the 
contracting agency implement any combination of the following remedies:

[[Page 24]]

    (1) Refrain from exercising options under the contract;
    (2) Terminate the contract;
    (3) Recompete the contract;
    (4) Issue a new solicitation;
    (5) Award a contract consistent with statute and regulation; or
    (6) Such other recommendation(s) as GAO determines necessary to 
promote compliance.
    (b) In determining the appropriate recommendation(s), GAO shall, 
except as specified in paragraph (c) of this section, consider all 
circumstances surrounding the procurement or proposed procurement 
including the seriousness of the procurement deficiency, the degree of 
prejudice to other parties or to the integrity of the competitive 
procurement system, the good faith of the parties, the extent of 
performance, the cost to the government, the urgency of the procurement, 
and the impact of the recommendation(s) on the contracting agency's 
mission.
    (c) If the head of the procuring activity determines that 
performance of the contract notwithstanding a pending protest is in the 
government's best interest, GAO shall make its recommendation(s) under 
paragraph (a) of this section without regard to any cost or disruption 
from terminating, recompeting, or reawarding the contract.
    (d) If GAO determines that a solicitation, proposed award, or award 
does not comply with statute or regulation, it may recommend that the 
contracting agency pay the protester the costs of:
    (1) Filing and pursuing the protest, including attorneys' fees and 
consultant and expert witness fees; and
    (2) Bid and proposal preparation.
    (e) If the contracting agency decides to take corrective action in 
response to a protest, GAO may recommend that the agency pay the 
protester the costs of filing and pursuing the protest, including 
attorneys' fees and consultant and expert witness fees. The protester 
shall file any request that GAO recommend that costs be paid within 15 
days after being advised that the contracting agency has decided to take 
corrective action. The protester shall furnish a copy of its request to 
the contracting agency, which may file a response within 15 days after 
receipt of the request, with a copy furnished to the protester.
    (f)(1) If GAO recommends that the contracting agency pay the 
protester the costs of filing and pursuing the protest and/or of bid or 
proposal preparation, the protester and the agency shall attempt to 
reach agreement on the amount of costs. The protester shall file its 
claim for costs, detailing and certifying the time expended and costs 
incurred, with the contracting agency within 60 days after receipt of 
GAO's recommendation that the agency pay the protester its costs. 
Failure to file the claim within that time may result in forfeiture of 
the protester's right to recover its costs.
    (2) The contracting agency shall issue a decision on the claim for 
costs as soon as practicable after the claim is filed. If the protester 
and the contracting agency cannot reach agreement within a reasonable 
time, GAO may, upon request of the protester, recommend the amount of 
costs the agency should pay in accordance with 31 U.S.C. 3554(c). In 
such cases, GAO may also recommend that the contracting agency pay the 
protester the costs of pursuing the claim for costs before GAO.
    (3) The contracting agency shall notify GAO within 60 days after GAO 
recommends the amount of costs the agency should pay the protester of 
the action taken by the agency in response to the recommendation.



Sec. 21.9  Time for decision by GAO.

    (a) GAO shall issue a decision on a protest within 100 days after it 
is filed.
    (b) In protests where GAO uses the express option procedures in 
Sec. 21.10, GAO shall issue a decision on a protest within 65 days after 
it is filed.
    (c) GAO, to the maximum extent practicable, shall resolve a timely 
supplemental protest adding one or more new grounds to an existing 
protest, or a timely amended protest, within the time limit established 
in paragraph (a) of this section for decision on the initial protest. If 
a supplemental or an amended protest cannot be resolved within that time 
limit, GAO may resolve the supplemental or amended protest using the 
express option procedures in Sec. 21.10.

[[Page 25]]



Sec. 21.10  Express options, flexible alternative procedures, accelerated schedules, summary decisions, and status and other conferences.

    (a) At the request of a party or on its own initiative, GAO may 
decide a protest using an express option.
    (b) The express option will be adopted at the discretion of GAO and 
only in those cases suitable for resolution within 65 days.
    (c) Requests for the express option shall be in writing and received 
in GAO not later than 5 days after the protest or supplemental/amended 
protest is filed. GAO will promptly notify the parties whether the case 
will be handled using the express option.
    (d) When the express option is used, the following schedule applies 
instead of those deadlines in Sec. 21.3 and Sec. 21.7:
    (1) The contracting agency shall file a complete report with GAO and 
the parties within 20 days after it receives notice from GAO that the 
express option will be used.
    (2) Comments on the agency report shall be filed with GAO and the 
other parties within 5 days after receipt of the report.
    (3) If a hearing is held, no separate comments on the agency report 
under paragraph (d)(2) of this section should be submitted unless 
specifically requested by GAO. Consolidated comments on the agency 
report and hearing shall be filed within 5 days after the hearing was 
held or as specified by GAO.
    (4) Where circumstances demonstrate that a case is no longer 
suitable for resolution using the express option, GAO shall establish a 
new schedule for submissions by the parties.
    (e) GAO may use flexible alternative procedures to promptly and 
fairly resolve a protest, including establishing an accelerated schedule 
and/or issuing a summary decision.
    (f) GAO may conduct status and other conferences by telephone or in 
person with all parties participating in a protest to promote the 
expeditious development and resolution of the protest.



Sec. 21.11  Effect of judicial proceedings.

    (a) A protester must immediately advise GAO of any court proceeding 
which involves the subject matter of a pending protest and must file 
with GAO copies of all relevant court documents.
    (b) GAO will dismiss any protest where the matter involved is the 
subject of litigation before a court of competent jurisdiction, or where 
the matter involved has been decided on the merits by a court of 
competent jurisdiction. GAO may, at the request of a court, issue an 
advisory opinion on a bid protest issue that is before the court. In 
these cases, unless a different schedule is established, the times 
provided in this part for filing the agency report (Sec. 21.3(c)), 
filing comments on the report (Sec. 21.3(i)), holding a hearing and 
filing comments (Sec. 21.7), and issuing a decision (Sec. 21.9) shall 
apply.



Sec. 21.12  Distribution of decisions.

    (a) Unless it contains protected information, a copy of a decision 
shall be provided to the protester, any intervenors, the head of the 
contracting activity responsible for the protested procurement, and the 
senior procurement executive of each Federal agency involved; a copy 
shall also be made available to the public. A copy of a decision 
containing protected information shall be provided only to the 
contracting agency and to individuals admitted to any protective order 
issued in the protest. A public version omitting the protected 
information shall be prepared wherever possible.
    (b) Decisions are available from GAO by electronic means.



Sec. 21.13  Nonstatutory protests.

    (a) GAO will consider protests concerning awards of subcontracts by 
or for a Federal agency, sales by a Federal agency, or procurements by 
agencies of the government other than Federal agencies as defined in 
Sec. 21.0(c) if the agency involved has agreed in writing to have 
protests decided by GAO.
    (b) The provisions of this part shall apply to nonstatutory protests 
except for the provision of Sec. 21.8(d) pertaining to recommendations 
for the payment of costs. The provision for the withholding of award and 
the suspension of contract performance, 31 U.S.C. 3553(c) and (d), also 
does not apply to nonstatutory protests.

[[Page 26]]



Sec. 21.14  Request for reconsideration.

    (a) The protester, any intervenor, and any Federal agency involved 
in the protest may request reconsideration of a bid protest decision. 
GAO will not consider a request for reconsideration that does not 
contain a detailed statement of the factual and legal grounds upon which 
reversal or modification is deemed warranted, specifying any errors of 
law made or information not previously considered.
    (b) A request for reconsideration of a bid protest decision shall be 
filed, with copies to the parties who participated in the protest, not 
later than 10 days after the basis for reconsideration is known or 
should have been known, whichever is earlier.
    (c) GAO will summarily dismiss any request for reconsideration that 
fails to state a valid basis for reconsideration or is untimely. The 
filing of a request for reconsideration does not require the withholding 
of award and the suspension of contract performance under 31 U.S.C. 3553 
(c) and (d).

                           PART 22 [Reserved]



PART 25--CONDUCT IN THE GENERAL ACCOUNTING OFFICE BUILDING AND ON ITS GROUNDS--Table of Contents




Sec.
25.1  Applicability and governing laws.
25.2  Inspection.
25.3  Admission to the GAO building.
25.4  Preservation of property.
25.5  Conformity with signs and directions.
25.6  Disturbances.
25.7  Gambling.
25.8  Alcoholic beverages and narcotics.
25.9  Soliciting, vending, and debt collection.
25.10  Posting and distributing materials.
25.11  Photographs for news, advertising, or commercial purposes.
25.12  Dogs and other animals.
25.13  Vehicular and pedestrian traffic.
25.14  Weapons and explosives.
25.15  Nondiscrimination.
25.16  Penalties.

    Authority: 31 U.S.C. 783.

    Source: 55 FR 2359, Jan. 24, 1990, unless otherwise noted.



Sec. 25.1  Applicability and governing laws.

    These rules and regulations, and the laws of the United States and 
the District of Columbia, apply to the General Accounting Office (GAO) 
Building and its grounds, 441 G Street NW., in the District of Columbia, 
and to all persons while in the building or while entering or leaving 
it.



Sec. 25.2  Inspection.

    Packages, briefcases, and other containers as well as vehicles and 
their contents are subject to inspection while in or when being brought 
into, or when being removed from the GAO Building. A full search of a 
person may accompany an arrest or apprehension.



Sec. 25.3  Admission to the GAO building.

    A person may be admitted to the GAO Building after presentation of 
personal identification to conduct lawful business with GAO, its 
employees, or other tenants of the GAO Building and for any other 
purposes authorized by the Comptroller General or his designee. During 
normal working hours, the GAO Building shall be open to the public 
unless specific circumstances require it to be closed to the public to 
ensure the orderly conduct of government business. Outside of normal 
working hours, the GAO Building shall be closed to the public unless the 
Comptroller General or his designee has approved the after-normal-
working-hours use of the Building or portions thereof. When the 
Building, or a portion thereof, is closed to the public, admission will 
be restricted to authorized persons who shall register upon entry and 
exit, and shall, when requested, display government or other identifying 
credentials to the guards, security staff, or other authorized 
individuals. Failure to comply with such a request is a violation of 
these regulations.



Sec. 25.4  Preservation of property.

    The improper disposal of rubbish in the GAO Building or on its 
grounds, the willful destruction of or damage to the GAO Building or to 
its grounds or fixtures, the theft of property, the creation of any 
hazard to persons or things in the GAO Building or on its grounds, the 
throwing of articles of

[[Page 27]]

any kind from or at the GAO Building, or the climbing on any part of the 
GAO Building, is prohibited.



Sec. 25.5  Conformity with signs and directions.

    Persons in the GAO Building or on its grounds shall at all times 
comply with official signs of a prohibitory, regulatory, or directory 
nature and with the direction of the guards, security staff, or other 
authorized individuals.



Sec. 25.6  Disturbances.

    Loitering, disorderly conduct, or other conduct in the GAO Building 
or on its grounds which creates loud or unusual noise or a nuisance; 
which unreasonably obstructs the usual use of entrances, foyers, 
lobbies, corridors, offices, elevators, escalators, stairways, or 
parking areas; which otherwise impedes or disrupts the performance of 
official duties by government employees; or which prevents the general 
public from obtaining the administrative services provided in the GAO 
Building in a timely manner, is prohibited.



Sec. 25.7  Gambling.

    Participating in games for money or other personal property or 
operating gambling devices, conducting a lottery or pool, or selling or 
purchasing numbers tickets in the GAO Building or on its grounds is 
prohibited. This prohibition shall not apply to the vending or exchange 
of chances by licensed blind operators of vending facilities for any 
lottery set forth in a law of the District of Columbia and conducted by 
the District of Columbia and authorized by section 2(a)(5) of the 
Randolph-Sheppard Act (20 U.S.C. 107, et seq.).



Sec. 25.8  Alcoholic beverages and narcotics.

    Operating a motor vehicle while in the GAO Building, its grounds or 
on its entry ramps by a person under the influence of alcoholic 
beverages, narcotic drugs, hallucinogens, marijuana, barbiturates, or 
amphetamines is prohibited. It is prohibited for anyone to enter or be 
in the GAO Building or to be on its grounds while under the influence 
of, or using, possessing, selling or distributing any narcotic drug, 
hallucinogen, marijuana, barbiturate, or amphetamine. This prohibition 
shall not apply in cases where the drug is being used as prescribed for 
a patient by a licensed physician. It is prohibited for anyone to enter 
the GAO Building or its grounds, or be on the premises while under the 
influence of alcoholic beverages. The use of alcoholic beverages in the 
GAO Building is prohibited except when specifically authorized by the 
Comptroller General or his designee for a particular event. The 
Comptroller General or his designee shall be advised of such events and 
shall inform the guards and other security staff of the time and precise 
locations of these events.



Sec. 25.9  Soliciting, vending, and debt collection.

    Soliciting alms, commercial or political soliciting, and vending of 
all kinds, displaying or distributing commercial advertising, or 
collecting private debts in the GAO Building is prohibited. This rule 
does not apply to:
    (a) National or local drives for funds for welfare, health, or other 
purposes as authorized by the ``Manual on Fund Raising Within the 
Federal Service,'' issued by the U.S. Office of Personnel Management;
    (b) Concessions or personal notices posted by employees on 
authorized bulletin boards;
    (c) Solicitation of labor organization membership or dues authorized 
by occupant agencies under the Civil Service Reform Act of 1978 (Pub. L. 
95-454) or the General Accounting Office Personnel Act of 1980, Public 
Law 96-191 (31 U.S.C. sec. 732(e));
    (d) Occupants of space leased for commercial purposes, or made 
available for cultural, educational, or recreational use under section 1 
of Public Law 100-545, October 28, 1988, 102 Stat. 2727, 2728 (31 U.S.C. 
782).



Sec. 25.10  Posting and distributing materials.

    Posting or affixing materials, such as pamphlets, handbills or 
flyers, on bulletin boards or elsewhere in the GAO Building or on its 
grounds is prohibited, except as authorized by these

[[Page 28]]

rules and regulations or when such displays are conducted as part of 
authorized government activities. Distribution of materials, such as 
pamphlets, handbills or flyers is prohibited, unless conducted as part 
of authorized government activities. Any person or organization 
proposing to post or distribute materials in any part of the GAO 
Building or on its grounds shall first obtain a permit from the 
Comptroller General or his designee and shall conduct the posting or 
distribution in accordance with the guidelines provided by the 
Comptroller General or his designee. Failure to comply with those 
guidelines is a violation of these regulations.



Sec. 25.11  Photographs for news, advertising, or commercial purposes.

    Photographs may be taken in the GAO Building only with the approval 
or authorization of the Comptroller General or his designee.



Sec. 25.12  Dogs and other animals.

    Dogs and other animals, except seeing eye dogs or other guide dogs, 
shall not be brought into the GAO Building or on its grounds for other 
than official purposes.



Sec. 25.13  Vehicular and pedestrian traffic.

    (a) Drivers of all vehicles entering, leaving or while on GAO 
property or in the GAO Building shall drive in a careful and safe manner 
at all times and shall comply with all posted traffic signs and with the 
signals and directions of the guards, security staff, or other 
authorized individuals;
    (b) The blocking of entrances, driveways, walks, loading platforms 
or fire hydrants on GAO property is prohibited; and
    (c) Except in emergencies, parking on GAO property or in the GAO 
Building is not allowed without a permit. Parking in unauthorized 
locations or in locations reserved for other persons, or parking 
contrary to the direction of posted signs or instructions of guards is 
prohibited. Vehicles parked in violation of posted restrictions or 
warning signs shall be subject to removal at the owners' risk and 
expense.
    (d) The Comptroller General or his designee may supplement this 
paragraph from time to time by issuing and posting such specific traffic 
directives as may be required. When issued and posted, such directives 
shall have the same force and effect as if made a part hereof. Proof 
that a motor vehicle was parked in violation of these regulations or 
directives may be taken as prima facie evidence that the registered 
owner was responsible for the violation.



Sec. 25.14  Weapons and explosives.

    No person while entering or in the GAO Building or on its grounds 
shall carry or possess firearms, other dangerous or deadly weapons, 
explosives or items intended to be used to fabricate an explosive or 
incendiary device, either openly or concealed, except for official 
purposes.



Sec. 25.15  Nondiscrimination.

    There shall be no discrimination by segregation or otherwise against 
any person or persons because of race, creed, sex, color, or national 
origin in furnishing or by refusing to furnish the use of any facility 
of a public nature, including all services, privileges, accommodations 
and activities provided in the GAO Building.



Sec. 25.16  Penalties.

    Whoever shall be found guilty of violating any rule or regulation 
governing the GAO Building is subject to a fine of not more than $500, 
or imprisonment for not more than 6 months, or both. Nothing in these 
rules and regulations shall be construed to abrogate any other Federal 
laws applicable to the GAO Building.



PART 27--GENERAL ACCOUNTING OFFICE PERSONNEL APPEALS BOARD; ORGANIZATION--Table of Contents




Sec.
27.1  The Board.
27.2  The Chair, Vice Chair.
27.3  The General Counsel.

    Authority: 31 U.S.C. 753.

    Source: 58 FR 61992, Nov. 23, 1993, unless otherwise noted.

[[Page 29]]



Sec. 27.1  The Board.

    The General Accounting Office Personnel Appeals Board, hereinafter 
the Board, is composed of five members appointed by the Comptroller 
General, in accordance with the provisions of 31 U.S.C. 751. For 
purposes of the regulations in this part and 4 CFR parts 28 and 29, a 
simple majority of the Board shall constitute a quorum and a majority of 
a quorum may act for the Board. The Board may designate a panel of its 
members or an individual Board member to take any action within the 
scope of the Board's authority, subject to later reconsideration by the 
Board.

[64 FR 15125, Mar. 30, 1999]



Sec. 27.2  The Chair, Vice Chair.

    The members of the Board shall select from among its membership a 
Chairperson, hereinafter the Chair, who shall serve as the chief 
executive and administrative officer of the Board. The Members of the 
Board may select from among its membership a Vice Chairperson, 
hereinafter the Vice Chair, who shall serve in the absence of the Chair 
and in other matters delegated by the Chair.



Sec. 27.3  The General Counsel.

    The Chair shall select an individual and the Comptroller General 
shall appoint the individual selected by the Chair to serve as the 
General Counsel of the Board. The General Counsel, at the request of the 
Board, shall investigate matters under the jurisdiction of the Board, 
and otherwise assist the Board in carrying out its functions, unless to 
do so would create a conflict of interest for the General Counsel.



PART 28--GENERAL ACCOUNTING OFFICE PERSONNEL APPEALS BOARD; PROCEDURES APPLICABLE TO CLAIMS CONCERNING EMPLOYMENT PRACTICES AT THE GENERAL ACCOUNTING OFFICE--Table of Contents




        Subpart A--Purpose, General Definitions, and Jurisdiction

Sec.
28.1  Purpose and scope.
28.2  Jurisdiction.
28.3  General definitions.
28.4  Computation of time.

                          Subpart B--Procedures

28.8  Informal procedural advice.
28.9  Procedures; general.
28.10  Notice of appeal rights.
28.11  Filing a charge with the General Counsel.
28.12  Special procedure for reduction in force.
28.13  Special procedure for Reduction in Force.

         Hearing Procedures for Cases Before the Board--General

28.15  Scope and policy.
28.16  Revocation, amendment or waiver of rules.
28.17  Internal appeals of Board employees.
28.18  Filing a petition for review with the Board.
28.19  Content of response by charged party.
28.20  Number of pleadings, service and response.
28.21  Prehearing procedures and motions practice.
28.22  Administrative judges.
28.23  Disqualification of administrative judges.
28.24  Sanctions.

                  Parties, Practitioners and Witnesses

28.25  Representation.
28.26  Witness fees.
28.27  Intervenors.
28.28  Substitution.
28.29  Consolidation or joinder.

                                Discovery

28.40  Statement of purpose.
28.41  Explanation, scope and methods.
28.42  Discovery procedures and protective orders.
28.43  Compelling discovery.
28.44  Taking of depositions.
28.45  Admissions of facts and genuineness of documents.

                                Subpoenas

28.46  Motion for subpoena.
28.47  Motion to quash.
28.48  Service.
28.49  Return of service.
28.50  Enforcement.

                                Hearings

28.55  Scheduling the hearing.
28.56  Hearing procedures, conduct and copies of exhibits.
28.57  Public hearings.
28.58  Transcript.
28.59  Official record.
28.60  Briefs.
28.61  Burden and degree of proof.
28.62  Closing the record.

[[Page 30]]

                                Evidence

28.65  Service of documents.
28.66  Admissibility.
28.67  Production of statements.
28.68  Stipulations.
28.69  Judicial notice.

                         Interlocultory Appeals

28.80  Explanation.
28.81  Procedures and criteria for certification.

          Board Decisions, Attorney's Fees and Judicial Review

28.86  Board procedures; recommended decisions.
28.87  Board procedures; initial decisions.
28.88  Board procedures; enforcement.
28.89  Attorney's fees and costs.
28.90  Board procedures; judicial review.

                     Subpart C--Oversight Procedures

28.91  General.
28.92  Oversight of GAO EEO program.

 Subpart D--Special Procedures; Equal Employment Opportunity (EEO) Cases

28.95  Purpose and scope.
28.96  Applicability of general procedures.
28.97  Class actions in EEO cases.
28.98  Individual charges in EEO cases.
28.99  Petitions for review to the Board in EEO cases.
28.100  [Reserved]
28.101  Termination of Board proceedings when suit is filed in Federal 
          District Court.

        Subpart E--Special Procedures; Representation Proceedings

28.110  Purpose.
28.111  Scope.
28.112  Who may file petitions.
28.113  Contents of representation petitions.
28.114  Pre-investigation proceedings.
28.115  Processing petitions.
28.116  Conduct of elections.

          Subpart F--Special Procedures; Unfair Labor Practices

28.120  Authority of the Board.
28.121  Unfair labor practices; Board procedures.
28.122  Negotiability issues; compelling need.
28.123  Standards of conduct for labor organizations.
28.124  Review of arbitration awards.

     Subpart G--Corrective Action, Disciplinary and Stay Proceedings

28.130  General authority.
28.131  Corrective action proceedings.
28.132  Disciplinary proceedings.
28.133  Stay proceedings.

      Subpart H--Appeals by Members of the Senior Executive Service

28.140  Personnel actions involving SES members.
28.141  Performance based actions.

                   Subpart I--Ex Parte Communications

28.145  Policy.
28.146  Explanation and definitions.
28.147  Prohibited communications.
28.148  Reporting of communications.
28.149  Sanctions.

               Subpart J--Statements of Policy or Guidance

28.155  Statement of policy or guidance.

    Authority: 31 U.S.C. 753.

    Source: 58 FR 61992, Nov. 23, 1993, unless otherwise noted.



        Subpart A--Purpose, General Definitions, and Jurisdiction



Sec. 28.1  Purpose and scope.

    (a) The regulations in this part implement the Board's authority 
with respect to employment practices within the General Accounting 
Office (GAO), pursuant to the General Accounting Office Personnel Act of 
1980, 31 U.S.C. 751-755. Regulations implementing the Board's authority 
with respect to employment practices within the Architect of the 
Capitol, pursuant to the Architect of the Capitol Human Resources Act, 
Public Law 103-283, sec. 312, 108 Stat. 1443 (July 22, 1994), appear in 
4 CFR part 29.
    (b) The purpose of the rules in this part is to establish the 
procedures to be followed:
    (1) By the GAO, in its dealings with the Board;
    (2) By employees of the GAO or applicants for employment with the 
GAO, or by groups or organizations claiming to be affected adversely by 
the operations of the GAO personnel system;
    (3) By employees or organizations petitioning for protection of 
rights or extension of benefits granted to them under Subchapters III 
and IV of Chapter 7 of Title 31, U.S.C.; and

[[Page 31]]

    (4) By the Board, in carrying out its responsibilities under 
Subchapters III and IV of Chapter 7 of Title 31, U.S.C.
    (c) The scope of the Board's operations encompasses the 
investigation and, where necessary, adjudication of cases arising under 
31 U.S.C. 753. In addition, the Board has authority for oversight of the 
equal employment opportunity program at GAO. This includes the review of 
policies and evaluation of operations as they relate to EEO objectives 
and, where necessary, the ordering of corrective action for violation of 
or inconsistencies with equal employment opportunity laws.
    (d) In considering any procedural matter not specifically addressed 
in these rules, the Board will be guided, but not bound, by the Federal 
Rules of Civil Procedure.

[59 FR 59105, Nov. 16, 1994]



Sec. 28.2  Jurisdiction.

    (a) The Board has jurisdiction to hear and decide the following 
actions brought by the General Counsel:
    (1) Proceedings in which the General Counsel seeks to stay a 
personnel action based upon an alleged prohibited personnel practice 
that has occurred or is about to occur;
    (2) Proceedings in which the General Counsel seeks corrective action 
for an alleged prohibited personnel practice; and
    (3) Proceedings in which the General Counsel seeks discipline for a 
GAO employee who has allegedly committed a prohibited personnel practice 
or who has engaged in prohibited political activity.
    (b) The Board has jurisdiction to hear any action brought by any 
person or group of persons in the following subject areas:
    (1) An officer or employee appeal involving a removal, suspension 
for more than 14 days, reduction in grade or pay, or furlough of not 
more than 30 days;
    (2) A prohibited personnel practice under 31 U.S.C. 732(b)(2);
    (3) A decision of an appropriate unit of employees for collective 
bargaining;
    (4) An election or certification of a collective bargaining 
representative;
    (5) A matter appealable to the Board under the labor-management 
relations program under 31 U.S.C. 732(e), including an unfair labor 
practice under 31 U.S.C. 732(e)(1);
    (6) An action involving discrimination prohibited under 31 U.S.C. 
732(f)(1); and
    (7) An issue about GAO personnel which the Comptroller General by 
regulation decides the Board shall resolve.
    (c) Special jurisdictional rules where matters are covered by a 
negotiated grievance procedure. If a GAO employee is covered by a 
collective bargaining agreement containing a negotiated grievance 
procedure that permits the employee to grieve matters that would 
otherwise be appealable to the Board, the following special rules apply:
    (1) Matters involving discrimination, performance-based reduction in 
grade or removal, or adverse action. If the negotiated grievance 
procedure permits the employee to grieve matters involving prohibited 
discrimination (as defined in Sec. 28.95), performance-based reduction 
in grade or removal (as described in 5 U.S.C. 4303) or an adverse action 
(as described in 5 U.S.C. 7512), then the employee may elect to raise 
the matter either under the negotiated grievance procedure or under the 
Board's procedures, but not both. The employee will be deemed to have 
elected the Board's procedures if the employee files a timely charge 
with the Board's General Counsel or files a timely written EEO complaint 
with GAO before filing a timely written grievance.
    (2) Other matters. If the negotiated grievance procedure permits the 
employee to grieve any matters which would otherwise be appealable to 
the Board, other than those listed in paragraph (c)(1) of this section, 
then those matters may only be raised under the negotiated grievance 
procedure and not before the Board.
    (3) Board review of final decisions from the negotiated grievance 
procedure involving discrimination. If an employee elects to pursue a 
matter involving prohibited discrimination (as defined in Sec. 28.95) 
through the negotiated grievance procedure, the employee may ask the 
Board to review the final decision of the negotiated grievance procedure 
as it relates to the issue of discrimination. A petition seeking such 
review shall be filed with

[[Page 32]]

the Clerk of the Board within 20 days of receipt of the final decision 
of the negotiated grievance procedure. The Board will not review any 
final decisions of the negotiated grievance procedure other than those 
where prohibited discrimination was raised as an issue in the grievance.



Sec. 28.3  General definitions.

    In this part--
    Administrative judge means any individual designated by the Board to 
preside over a hearing conducted on matters within its jurisdiction. An 
administrative judge may be a member of the Board, an employee of the 
Board, or any individual qualified by experience or training to conduct 
a hearing who is appointed to do so by the Board. When a panel of 
members or the full Board is hearing a case, the Chair shall designate 
one of the members to exercise the responsibilities of the 
administrative judge in the proceedings.
    Board means the General Accounting Office Personnel Appeals Board as 
established by 31 U.S.C. 751 and explained in 4 CFR 27.1.
    Charge means any request filed with the PAB General Counsel on any 
matters within the jurisdiction of the Board, under the provisions of 
Subchapter IV of Chapter 7 of Title 31, United States Code.
    Charging Party means any person filing a charge with the General 
Counsel for investigation.
    Comptroller General means the Comptroller General of the United 
States.
    Days means calendar days.
    Exceptions to the Recommended Decision means a request filed by a 
party with the Board that objects to the findings and/or conclusions of 
a recommended decision.
    GAO means the General Accounting Office.
    General Counsel means the General Counsel of the Board, as provided 
for under 31 U.S.C. 752.
    Initial Decision means the adjudicatory statement of a case that is 
issued by an administrative judge who is a member of the Board.
    Person means an employee, an applicant for employment, a former 
employee, a labor organization or the GAO.
    Petition for Review means any request filed with the Board for 
action to be taken on matters within the jurisdiction of the Board, 
under the provisions of Subchapter IV of Chapter 7 of Title 31, United 
States Code.
    Petitioner means any person filing a petition for review for Board 
consideration.
    Pleading means a document that initiates a cause of action before 
the Board, responds to a cause of action, amends a cause of action, 
responds to an amended cause of action, requests reconsideration of a 
decision, responds to a request for reconsideration of a recommended 
decision or responds to such a request.
    Recommended Decision means the adjudicatory statement of a case that 
is issued by an administrative judge who is not a member of the Board at 
the time of the decision.
    Request for Reconsideration means a request, filed with the 
administrative judge who rendered the initial decision, to reconsider 
that decision in whole or part.
    Request for Review means a request filed with the full Board for 
review of an initial decision.
    Solicitor means the attorney appointed by the Board to provide 
advice and assistance to the Board in carrying out its adjudicatory 
functions and to otherwise provide assistance as directed by the Board.

[58 FR 61992, Nov. 23, 1993, as amended at 64 FR 15125, Mar. 30, 1999]



Sec. 28.4  Computation of time.

    (a) To compute the number of days for filing under these rules, the 
first day shall be the day after the event from which the time period 
begins to run and the last day for filing shall be included in the 
computation. When the last day falls on a Saturday, Sunday or federal 
government holiday, then the filing deadline will be the next regular 
federal government workday.
    (b) Whenever a party has the right or is required to do some act 
within a prescribed period after the service of a notice or other paper 
upon him or her and the notice or paper is served by mail, five (5) days 
shall be added to the prescribed period. Only two (2) days shall be 
added when a document is served by

[[Page 33]]

express mail or other form of expedited delivery.
    (c) Except as otherwise provided by law, whenever an act is required 
or allowed to be done at or within a specified period of time, the time 
fixed or the period of time prescribed may for good cause be extended or 
shortened by the Board or administrative judge.



                          Subpart B--Procedures



Sec. 28.8  Informal procedural advice.

    (a) Persons may seek informal advice on all aspects of the Board's 
procedures by contacting the Board's Solicitor, the Board's General 
Counsel or the Clerk of the Board.
    (b) Informal procedural advice will be supplied within the limits of 
available time and staff.



Sec. 28.9  Procedures; general.

    (a) The procedures described in this subpart are generally 
applicable to the processing of all matters presented for consideration 
by the Board. Where special procedures are to be followed, they will be 
prescribed in those subsequent subparts to which they are particularly 
applicable.
    (b) No pleading, motion or supporting memorandum filed with the 
Board shall exceed 60 pages, exclusive of attachments. The Board or the 
administrative judge may waive this limitation for good cause shown. 
Pleadings, motions and supporting memoranda, and attachments thereto, 
shall be on standard letter-size paper (8\1/2\x11).



Sec. 28.10  Notice of appeal rights.

    (a) The GAO shall be responsible for ensuring that employees are 
routinely advised of their appeal rights to the Board and that employees 
who are the object of an adverse or performance-based action are, at the 
time of the action, adequately advised of their appeal rights to the 
Board. The notice in adverse or performance-based actions must be 
accompanied by proof of service.
    (b) The notice in adverse or performance-based actions shall 
include:
    (1) Time limits for appealing to the Board and the address of the 
Board;
    (2) A copy of the Board's regulations; and
    (3) Notice of the right to representation, and the availability of a 
hearing before the Board where factual issues are in dispute.



Sec. 28.11  Filing a charge with the General Counsel.

    (a) Who may file. (1) Any person claiming to be affected adversely 
by GAO action or inaction which is within the Board's jurisdiction under 
Subchapter IV of Chapter 7 of Title 31, United States Code, may file a 
charge with the General Counsel.
    (2) Non-EEO class actions. One or more persons may file a charge as 
representative of a class in any matter within the Board's jurisdiction. 
See Sec. 28.97 for EEO class actions.
    (3) Unfair labor practice proceedings. Any person may file a charge 
alleging that the GAO or a labor organization has engaged or is engaging 
in an unfair labor practice. (The types of allegations which may be 
included in an unfair labor practice charge are discussed at 
Sec. 28.121(a)).
    (b) When to file. (1) Charges relating to adverse and performance-
based actions must be filed within 30 days after the effective date of 
the action.
    (2) Charges relating to other personnel actions must be filed within 
30 days after the effective date of the action or 30 days after the 
charging party knew or should have known of the action.
    (3) Charges which include an allegation of prohibited discrimination 
shall be filed in accordance with the special rules set forth in 
Sec. 28.98.
    (4) Charges relating to continuing violations may be filed at any 
time.
    (c) How to file. Charges may be filed with the General Counsel in 
person or by mail. Please note that the address to be used differs for 
the two kinds of filing.
    (1) Filing in person: A charge may be filed in person at the Office 
of the General Counsel, Suite 580, Union Center Plaza II, 820 First 
Street, NE., Washington, DC.
    (2) Filing by mail: A charge may be filed by mail addressed to the 
General Counsel, Personnel Appeals Board, Suite 580, Union Center Plaza 
II, 441 G Street, NW., Washington, DC 20548. When filed by mail, the 
postmark shall

[[Page 34]]

be the date of filing for all submissions to the General Counsel.
    (d) What to file. The charging party should include in any charge 
the following information:
    (1) Name of the charging party or a clear description of the group 
or class of persons on whose behalf the charge is being filed;
    (2) The names and titles of persons, if any, responsible for actions 
the charging party wishes to have the General Counsel review;
    (3) The actions complained about, including dates, reasons given, 
and internal appeals taken;
    (4) The charging party's reasons for believing the actions to be 
improper;
    (5) Remedies sought by the charging party;
    (6) Name and address of the representative, if any, who will act for 
the charging party in any further stages of the matter; and
    (7) Signature of the charging party or the charging party's 
representative.
    (e) The General Counsel shall not represent a petitioner when the 
only issue is attorney fees. When attorney fees are the only issue 
raised in a charge to the General Counsel, the General Counsel shall 
transmit the charge to the Board for processing under Secs. 28.18 
through 28.88 as a petition for review.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994; 
61 FR 36810, July 15, 1996]



Sec. 28.12  General Counsel procedures.

    (a) The General Counsel shall serve on the GAO or other charged 
party a copy of the charge, investigate the matters raised in a charge, 
refine the issues where appropriate, and attempt to settle all matters 
at issue.
    (b) The General Counsel's investigation may include gathering 
information from the GAO or other charged party, and interviewing and 
taking statements from witnesses. Employees of GAO who are requested by 
the General Counsel to participate in any investigation under these 
Rules shall be on official time.
    (c) Following the investigation, the General Counsel shall provide 
the charging party with a Right to Appeal Letter. Accompanying this 
letter will be a statement of the General Counsel advising the charging 
party of the results of the investigation. This statement of the General 
Counsel is not subject to discovery and may not be introduced into 
evidence before the Board.
    (d) If, following the investigation, the General Counsel determines 
that there are not reasonable grounds to believe that the charging 
party's rights under Subchapters III and IV of Chapter 7 of Title 31, 
United States Code, have been violated, then the General Counsel shall 
not represent the charging party. If the General Counsel determines that 
there are reasonable grounds to believe that the charging party's rights 
under Subchapters III and IV of Chapter 7 of Title 31, United States 
Code, have been violated, then the General Counsel shall represent the 
charging party, unless the charging party elects not to be represented 
by the General Counsel. Any charging party may represent him or herself 
or obtain other representation.
    (e) When the charging party elects to be represented by the General 
Counsel, the General Counsel is to direct the representation in the 
charging party's case. The charging party may also retain a private 
representative in such cases. However, the role of a private 
representative is limited to assisting the General Counsel as the 
General Counsel determines to be appropriate.
    (f) When the General Counsel is not participating in a case, the 
General Counsel may request permission to intervene with regard to any 
issue in which the General Counsel finds a significant public interest 
with respect to the preservation of the merit system.
    (g) If 180 days have elapsed since the filing of the charge, and the 
General Counsel has not completed the investigation and issued a Right 
to Appeal Letter, the charging party may bring his or her case directly 
to the Board by filing a petition for review in accordance with 
Sec. 28.18. If a charging party exercises this option to file a petition 
for review with the Board without waiting for the completion of the 
investigation, the General Counsel shall not represent the charging 
party in proceedings before the Board. The charging party may represent 
him- or herself or obtain other representation. The General

[[Page 35]]

Counsel shall close the investigation of the charge upon being notified 
by the Clerk of the Board that the charging party has filed a petition 
for review with the Board under this paragraph (g).

[58 FR 61992, Nov. 23, 1993, as amended at 65 FR 80280, Dec. 21, 2000]



Sec. 28.13  Special procedure for Reduction in Force.

    In the event of a Reduction in Force resulting in an individual's 
separation from employment, an aggrieved employee may choose to file an 
appeal directly with the Personnel Appeals Board, without first filing 
the charge with the PAB's Office of General Counsel pursuant to 
Sec. 28.11. This option is available to individuals raising 
discrimination issues in connection with a RIF action. Pursuant to 
Sec. 28.98, such individuals need not file a complaint with GAO's Civil 
Rights Office before pursuing a RIF challenge alleging discrimination, 
either by filing directly with the PAB or by filing a charge with the 
PAB's Office of General Counsel.

[61 FR 36810, July 15, 1996]

         Hearing Procedures for Cases Before the Board--General



Sec. 28.15  Scope and policy.

    The rules in this subpart apply to actions brought by any person, 
except as otherwise provided in Sec. 28.17 (concerning internal appeals 
of Board employees). These rules also apply to actions brought by the 
General Counsel, except as otherwise provided in subpart G (concerning 
corrective action, disciplinary and stay proceedings). It is the policy 
of the Board that these rules shall be applied in a manner which 
expedites the processing of each case, but with due regard to the rights 
of all parties.



Sec. 28.16  Revocation, amendment or waiver of rules.

    (a) The Board may revoke or amend these regulations by publishing 
proposed changes within GAO and providing for a comment period of not 
less than 30 days. Following the comment period, any changes to the 
rules are final once they are published in the Federal Register. Notice 
of publication in the Federal Register must be published throughout GAO.
    (b) An administrative judge or the Board may waive a Board 
regulation in an individual case for good cause shown if application of 
the regulation is not required by statute.



Sec. 28.17  Internal appeals of Board employees.

    (a) The provisions of the GAO Personnel Act, its implementing 
regulations, and the Board's procedural rules apply in the same manner 
to employees of the Board as they do to other GAO employees, with the 
following exceptions.
    (1) The General Counsel serves at the pleasure of the Chair. The 
General Counsel may not bring any complaint or charge concerning his or 
her own employment except to allege that he or she has been the victim 
of prohibited discrimination or a prohibited personnel practice as 
defined in 31 U.S.C. 732 (b)(2) or (f)(1).
    (2) When an employee of the Board believes that he or she has been 
denied his or her right to equal employment opportunity, the employee 
shall consult either with the Solicitor or with the General Counsel and 
seek advice on filing an EEO complaint. If the matter cannot be resolved 
within 10 days, the Solicitor or General Counsel shall notify the 
employee of his or her right to file an EEO complaint. The employee 
shall have 20 days from service of this notice to file an EEO complaint 
with the General Counsel. Upon receipt of an EEO complaint, the General 
Counsel shall arrange for processing in accordance with paragraph (b) of 
this section. If the EEO allegations involve challenge to a RIF-based 
separation, the employee may choose to expedite the procedures by filing 
a charge directly with the Board.
    (3) When an employee of the Board wishes to raise any other issue 
that would be subject to the Board's jurisdiction, the employee shall 
file a charge with the General Counsel and the General Counsel shall 
arrange for processing in accordance with paragraph (b) of this section. 
If the challenged action is a RIF-based separation from employment, the 
employee may

[[Page 36]]

choose to expedite the procedures by filing a charge directly with the 
Board.
    (b) The responsibilities and functions of the Board's General 
Counsel will be assumed by an attorney who is not a current or former 
employee of the Board or the GAO. The services of that attorney, who 
shall be knowledgeable in federal personnel matters, will be paid for by 
the Board. The attorney will be selected by an impartial body as 
described below.
    (1) If agreed to by the Special Counsel of the Merit Systems 
Protection Board (MSPB) (or the EEOC, as appropriate), that body will 
appoint and detail a person from among its attorneys to perform the 
functions of the General Counsel.
    (2) If the MSPB Special Counsel (or the EEOC) does not agree to such 
a procedure, an appointment of an attorney will be sought from the 
Federal Mediation and Conciliation Service (FMCS).
    (3) In any event, whoever is so appointed shall possess all of the 
powers and authority possessed by the General Counsel in employee appeal 
cases.
    (c) The adjudication responsibilities and functions of the Board 
will be assumed by a person who is not a current or former employee of 
the Board or the GAO. The services of that person, who shall be 
knowledgeable in federal personnel matters, will be paid for by the 
Board. The person will be selected by an impartial body as described 
below.
    (1) If agreed to by the MSPB (or the EEOC, as appropriate), that 
body will appoint and detail one of its administrative law judges (ALJ) 
or administrative judges (AJ) to perform the Board's adjudicative 
functions.
    (2) If the MSPB (or the EEOC) does not agree to such a procedure, an 
appointment of an arbitrator will be sought from the FMCS.
    (3) In any event, whoever is so appointed shall possess all of the 
powers and authority possessed by the Board in employee appeals cases. 
The decision of the administrative law judge, administrative judge or 
arbitrator shall be a final decision of the Board, in the same manner as 
if rendered by the Board under Sec. 28.86(e). The procedure for judicial 
review of the decision shall be the same as that described in 
Sec. 28.90.
    (d) Any employee of the Board (other than the General Counsel) who 
believes that he or she is aggrieved by any personnel matter that is not 
reviewable by the Board under 31 U.S.C. 753(a) may file a grievance as 
follows:
    (1) Informal Step. The employee must discuss the complained of 
incident with his or her supervisor as soon as possible after the 
complained of incident.
    (2) Step 1. If the supervisor is unable to resolve the matter 
informally to the satisfaction of the employee, then the employee may 
file a formal grievance with the supervisor. The formal grievance must 
be filed by the employee with the supervisor within 20 days after the 
complained of incident. The supervisor must respond to the employee in 
writing within 10 days.
    (3) Step 2. (i) If the employee is not satisfied with the 
supervisor's response, the employee has 10 days in which to appeal to 
the Chair. In this appeal, the employee must forward to the Chair the 
formal grievance, the supervisor's response and a brief statement from 
the employee explaining why the supervisor's response is not 
satisfactory.
    (ii) The Chair or another member designated by the Chair, shall meet 
with the employee and discuss the matter of concern within 10 days after 
service of the step 2 appeal. The Chair or designee shall issue a 
written resolution of the grievance.
    (4) Step 3. Within 10 days after service of the Chair's resolution 
or within 60 days after initiating step 2, whichever occurs first, the 
employee may request that the full Board review the grievance. The 
decision of the full Board is the final decision in the matter.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994; 
61 FR 36810, July 15, 1996]



Sec. 28.18  Filing a petition for review with the Board.

    (a) Who may file. Any person who is claiming to be affected 
adversely by GAO action or inaction that is within the Board's 
jurisdiction under subchapter IV of chapter 7 of title 31, United States 
Code, or who is alleging

[[Page 37]]

that GAO or a labor organization engaged or is engaging in an unfair 
labor practice, may file a petition for review if one of the following 
is met:
    (1) The person has received a Right to Appeal Letter from the 
Board's General Counsel; or
    (2) At least 180 days have elapsed from the filing of the charge 
with the Board's General Counsel and the General Counsel has not issued 
a Right to Appeal Letter; or
    (3) The person was separated due to a Reduction in Force and chooses 
to file an appeal directly with the Board, without first filing with the 
Board's General Counsel, as provided in Sec. 28.13.
    (b) When to file. (1) Petitions for review filed pursuant to 
paragraph (a)(1) of this section must be filed within 30 days after 
service upon the charging party of the Right to Appeal Letter from the 
Board's General Counsel.
    (2) Petitions for review filed pursuant to paragraph (a)(2) of this 
section may be filed at any time after 180 days have elapsed from the 
filing of the charge with the Board's General Counsel, provided that the 
General Counsel has not issued a Right to Appeal Letter concerning the 
charge.
    (3) Petitions for review filed pursuant to paragraph (a)(3) of this 
section must be filed within 30 days after the effective date of the 
separation due to a Reduction in Force.
    (c) How to file. Petitions may be filed in person or by mail. Please 
note that the address to be used differs for the two kinds of filing.
    (1) Filing in person: A petition may be filed in person at the 
office of the Board, Suite 560, Union Center Plaza II, 820 First Street 
NE., Washington, DC.
    (2) Filing by mail: A petition may be filed by mail addressed to the 
Personnel Appeals Board, Suite 560, Union Center Plaza II, 441 G Street 
NW., Washington, DC 20548. When filed by mail, the postmark shall be the 
date of filing for all submissions to the Board.
    (d) What to file. The petition for review shall include the 
following information:
    (1) Name of the petitioner or a clear description of the group or 
class of persons on whose behalf the petition is being filed;
    (2) The names and titles of persons, if any, responsible for actions 
the petitioner wishes to have the Board review;
    (3) The actions being complained about, including dates, reasons 
given and internal appeals taken;
    (4) Petitioner's reasons for believing the actions to be improper;
    (5) Remedies sought by the petitioner;
    (6) Name and address of the representative, if any, who will act for 
the petitioner in any further stages of the matter; and
    (7) Signature of the petitioner or petitioner's representative.
    (e) Failure to raise a claim or defense in the petition for review 
shall not bar its submission later unless to do so would prejudice the 
rights of the other parties or unduly delay the proceedings.
    (f) Non-EEO class actions. One or more persons may file a petition 
for review as representatives of a class in any matter within the 
Board's jurisdiction. For the purpose of determining whether it is 
appropriate to treat an appeal as a class action, the administrative 
judge will be guided, but not controlled, by the applicable provisions 
of the Federal Rules of Civil Procedure. See Sec. 28.97 for EEO class 
actions.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994; 
61 FR 9090, Mar. 7, 1996; 61 FR 36810, July 15, 1996; 65 FR 80280, Dec. 
21, 2000]



Sec. 28.19  Content of response by charged party.

    (a) Within 20 days after service of a copy of a petition for review, 
the GAO or other charged party shall file a response containing at least 
the following:
    (1) A statement of the position of the charged party on each of the 
issues raised by the petitioner, including admissions, denials or 
explanations of each allegation made in the petition and any other 
defenses to the petition.
    (2) Designation of, and signature by, the representative authorized 
to act for the charged party in the matter.
    (b) Failure to raise a claim or defense in the response shall not 
bar its submission later unless to do so would prejudice the rights of 
the other parties or unduly delay the proceedings.

[[Page 38]]



Sec. 28.20  Number of Pleadings, service and response.

    (a) Number. One original and seven copies of all pleadings (see 
definition in Sec. 28.3) must be filed with the Board. However, when 
before a single administrative judge, one original and three copies will 
be adequate unless informed otherwise.
    (b) Service. (1) Service by the Board. The Board will serve copies 
of a petition for review upon the parties to the proceeding by mail. The 
Board will attach a service list indicating the names and addresses of 
the parties to the proceeding or their designated representatives. The 
Board will not serve copies of any pleadings, motions, or other 
submissions by the parties after the initial petition for review.
    (2) Service by the parties. The parties shall serve on each other 
one copy of all pleadings other than the initial petition for review. 
Service shall be made by mailing or by delivering personally a copy of 
the pleading to each party on the service list previously provided by 
the Board. Each pleading must be accompanied by a certificate of service 
specifying how and when service was made. It shall be the duty of all 
parties to notify the Board and one another in writing of any changes in 
the names or addresses on the service list.
    (c) Time limitations for response to pleadings. Unless otherwise 
specified by the administrative judge or this subpart, a party shall 
file a response to a pleading within 20 days of the service of that 
pleading upon the party.
    (d) Size limitations are set forth at Sec. 28.9(b).



Sec. 28.21  Prehearing procedures and motions practice.

    (a) Amendments to petitions. The Board, at its discretion, may allow 
amendments to a petition for review as long as all persons who are 
parties to the proceeding have adequate notice to prepare for the new 
allegations and if to do so would not prejudice the rights of the other 
parties or unduly delay the proceedings.
    (b) Motions practice. When an action is before an administrative 
judge, motions of the parties shall be filed with the administrative 
judge and shall be in writing except for oral motions made during the 
hearing. An original and 3 copies of written motions shall be filed with 
the administrative judge. When an action is before the full Board, an 
original and 7 copies of any motion shall be filed with the Board. 
Copies shall be served simultaneously upon the other parties to the 
proceeding. An original and 3 copies of responses in opposition to 
written motions must be filed with the administrative judge, or if the 
action is before the full Board an original and 7 copies must be filed 
with the Board, and served simultaneously upon the other parties to the 
proceeding. Responses shall be filed within 20 days of service of the 
motion, unless the administrative judge requires a shorter response 
time. All written motions and responses thereto shall include a proposed 
order, where applicable. A certificate of service will be filed with all 
motions and responses thereto showing service by mail or personal 
delivery of the motion to the other parties. Additional responses to the 
motion or to the response to the motion by either party may be filed 
only with the approval of the administrative judge. Motions for 
extension of time will be granted only for good cause shown.
    (c) Oral argument. The administrative judge may allow oral argument 
on the motion at his or her discretion.
    (d) General Counsel Settlement. Where the General Counsel under 
Sec. 28.12(a) transmits a settlement which has been agreed to by the 
parties, the settlement agreement shall be the final disposition of the 
case.



Sec. 28.22  Administrative judges.

    (a) Exercise of authority. Administrative judges may exercise 
authority as provided in paragraph (b) of this section upon their own 
initiative or upon the motion of a party, as appropriate.
    (b) Authority. Administrative judges shall conduct fair and 
impartial hearings and take all necessary action to avoid delay in the 
disposition of all proceedings. They shall have all powers necessary to 
that end unless otherwise limited by law, including, but not limited to, 
the authority to:
    (1) Administer oaths and affirmations;

[[Page 39]]

    (2) Issue subpoenas in accordance with Sec. 28.46;
    (3) Rule upon offers of proof and receive relevant evidence;
    (4) Rule upon discovery issues as appropriate under Secs. 28.42 
through 28.45;
    (5) Convene a hearing as appropriate, regulate the course of the 
hearing, maintain decorum and exclude from the hearing any disruptive 
persons;
    (6) Exclude from the hearing any witness, except the petitioner(s), 
whose later testimony might be colored by testimony of other witnesses, 
or any persons whose presence might have a chilling effect on a 
testifying witness;
    (7) Rule on all motions, witness and exhibit lists and proposed 
findings;
    (8) Require the filing of memoranda of law and the presentation of 
oral argument with respect to any question of law;
    (9) Order the production of evidence and the appearance of witnesses 
whose testimony would be relevant, material and not repetitious;
    (10) Impose sanctions as provided under Sec. 28.24 of this part;
    (11) Hold prehearing conferences for the settlement and 
simplification of issues; and
    (12) File recommended or initial decisions, as appropriate.



Sec. 28.23  Disqualification of administrative judges.

    (a) In the event that an administrative judge considers himself or 
herself disqualified, he or she shall withdraw from the case, stating on 
the record the reasons therefor, and shall immediately notify the Board 
of the withdrawal.
    (b) Any party may file a motion requesting the administrative judge 
to withdraw on the basis of personal bias or other disqualification and 
specifically setting forth the reasons for the request. This motion 
shall be filed as soon as the party has reason to believe there is a 
basis for disqualification.
    (c) The administrative judge shall rule on the withdrawal motion. If 
the motion is denied, the party requesting withdrawal may take an appeal 
to the full Board. The notice of appeal, together with a supporting 
brief, shall be filed within 15 days of service of the denial of the 
motion. Upon receipt of the appeal, the Board will determine whether a 
response from the other party or parties is required, and if so, will 
fix by order the time for the filing of the response.



Sec. 28.24  Sanctions.

    The administrative judge may impose sanctions upon the parties as 
necessary to serve the ends of justice, including but not limited to the 
instances set forth in this section.
    (a) Failure to comply with an order. When a party fails to comply 
with an order (including an order for the taking of a deposition, for 
the production of evidence within the party's control, for an admission, 
or for production of witnesses), the administrative judge may:
    (1) Draw an inference in favor of the requesting party on the issue 
related to the information sought.
    (2) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon, testimony 
relating to the information sought.
    (3) Permit the requesting party to introduce secondary evidence 
concerning the information sought.
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request.
    (b) Failure to prosecute or defend. If a party fails to prosecute or 
defend an appeal, the administrative judge may dismiss the action with 
prejudice or rule for the petitioner.
    (c) Failure to make timely filing. The administrative judge may 
refuse to consider any motion or other action which is not filed in a 
timely fashion in compliance with this subpart.

                  Parties, Practitioners and Witnesses



Sec. 28.25  Representation.

    (a) All parties to an appeal may be represented in any matter 
relating to the appeal. The parties shall designate their 
representatives, if any, in the petition for review or responsive 
pleading. Any subsequent changes in representation shall also be in 
writing, and submitted to the administrative judge and served upon the 
other parties. Once a party has designated a representative, all 
documents required by

[[Page 40]]

the Board's regulations to be served upon the party shall instead be 
served upon the representative.
    (b) A party may choose any representative so long as the person is 
willing and available to serve. However, the other party or parties may 
challenge the representative on the grounds of conflict of interest or 
conflict of position. This challenge must be made by motion to the 
administrative judge within 10 days of service of the notice of 
designation, and shall be ruled upon by the administrative judge prior 
to any further proceeding in the case. These procedures apply equally to 
original and subsequent designations of representatives. In the event 
the selected representative is disqualified, the party affected shall be 
given a reasonable time to obtain another representative.
    (c) The administrative judge, on his or her own motion, may 
disqualify a party's representative on the grounds described in 
paragraph (b) of this section.



Sec. 28.26  Witness fees.

    The costs involved in the appearance of witnesses in any Board 
proceeding shall be allocated as follows:
    (a) Persons employed by the GAO shall, upon request by the 
administrative judge to GAO, be made available to participate in the 
hearing and shall be in official duty status for this purpose and shall 
not receive witness fees. Payment of travel and per diem expenses shall 
be governed by applicable laws and regulations.
    (b) Employees of other federal agencies called to testify at a Board 
hearing shall, at the request of the administrative judge and with the 
approval of the employing agency, be in official duty status during any 
period of absence from their normal duties caused by their testimony, 
and shall not receive witness fees. Payment of travel and per diem 
expenses shall be governed by applicable laws and regulations. A party 
planning to call an employee of another federal agency as a witness 
shall promptly notify the administrative judge of the need to submit to 
the federal agency a request that the employee be granted official duty 
status. In the event that the employing agency refuses the request to 
release the employee-witness in an official duty status, the employee-
witness may be paid a witness fee in accordance with paragraph (c) of 
this section.
    (c) Witnesses who are not covered by paragraphs (a) or (b) of this 
section are entitled to the same witness fees as those paid to 
subpoenaed witnesses under 28 U.S.C. 1821. The fees shall be paid, in 
the first instance, by the party requesting the appearance of the 
witness, subject to a subsequent decision otherwise in accordance with 
Sec. 28.89, concerning the award of attorneys fees and costs. Such fees 
shall be tendered to the witness at the time the subpoena is served, or, 
when the witness appears voluntarily, at the time of appearance. A 
federal agency or corporation is not required to tender witness fees in 
advance. Payment of travel and per diem expenses shall be governed by 
applicable law and regulation.
    (d) When the General Counsel is the petitioner or is representing 
the petitioner, the General Counsel shall pay the witness fees and 
arrange for the travel and per diem expenses that are required by 
paragraph (c) of this section.



Sec. 28.27  Intervenors.

    (a) Intervenors are persons who are allowed to participate in a 
proceeding because the proceeding, or its outcome, may affect their 
rights or duties.
    (b) Any person may, by motion to the administrative judge, request 
permission to intervene. The motion shall state the reasons why the 
person should be permitted to intervene. A person alleged to have 
committed a prohibited personnel practice under 5 U.S.C. 2302(b) may 
request permission to intervene under this section.
    (c) A motion for permission to intervene will be granted where a 
determination is made by the administrative judge or the Board that the 
requestor will be affected directly by the outcome of the proceeding. 
Denial of a motion for intervention may be appealed to the Board. Such 
an appeal shall be filed within 10 days of service of the denial of the 
motion to intervene.
    (d) Intervenors who are granted permission to intervene will be 
considered

[[Page 41]]

full parties to the hearing and will have the same rights and duties as 
a party with two exceptions:
    (1) Intervenors will not have an independent right to a hearing.
    (2) Intervenors may participate in Board proceedings only on the 
issues affecting them, as determined by the administrative judge or 
Board.



Sec. 28.28  Substitution.

    (a) If a petitioner dies or is otherwise unable to pursue the 
appeal, the action may be completed upon substitution of a proper party.
    (b) A motion for substitution shall be filed by the proper party 
within 90 days after the death of the petitioner or other disabling 
event.



Sec. 28.29  Consolidation or joinder.

    (a) Explanation. (1) Consolidation may occur where two or more 
parties have cases which should be united because they contain identical 
or similar issues or in such other circumstances as justice requires.
    (2) Joinder may occur where one person has two or more appeals 
pending and they are united for consideration. For example, a single 
appellant who has one appeal pending challenging a 30-day suspension and 
another appeal pending challenging a subsequent dismissal might have the 
cases joined.
    (b) Action by administrative judge. An administrative judge may 
consolidate or join cases on his or her own initiative or on the motion 
of a party if to do so would expedite processing of the cases and not 
adversely affect the interests of the parties.

                                Discovery



Sec. 28.40  Statement of purpose.

    Proceedings before the Board shall be conducted as expeditiously as 
possible with due regard to the rights of the parties. Discovery is 
designed to enable a party to obtain relevant information needed for 
presentation of the party's case. These regulations are intended to 
provide a simple method of discovery. They will be interpreted and 
applied so as to avoid delay and to facilitate adjudication of the case. 
The parties are expected to initiate and complete needed discovery with 
a minimum of Board intervention.



Sec. 28.41  Explanation, scope and methods.

    (a) Explanation. Discovery is the process apart from the hearing 
whereby a party may obtain relevant information from another person, 
including a party, which has not otherwise been provided. Relevant 
information includes information which appears reasonably calculated to 
lead to the discovery of admissible evidence. This information is 
obtained for the purpose of assisting the parties in developing, 
preparing, and presenting their cases. The Federal Rules of Civil 
Procedure may be used as a general guide for discovery practices in 
proceedings before the Board, except as to matters specifically covered 
by these regulations. The Federal Rules of Civil Procedure shall be 
interpreted as instructive rather than controlling.
    (b) Scope. Any person may be examined pursuant to paragraph (c) of 
this section regarding any nonprivileged matter which is relevant to the 
issue under appeal, including the existence, description, nature, 
custody, condition and location of documents or other tangible things, 
and the identity and location of persons having knowledge of relevant 
facts. The information sought must appear reasonably calculated to lead 
to the discovery of admissible evidence.
    (c) Methods. Discovery may be obtained by one or more of the methods 
provided under the Federal Rules of Civil Procedure, including written 
interrogatories, depositions, production of documents or things for 
inspection or copying, and requests for admission addressed to parties.



Sec. 28.42  Discovery procedures and protective orders.

    (a) Discovery from a party. A party seeking discovery from another 
party shall initiate the process by serving a request for discovery on 
the other party. For purposes of discovery under these regulations, a 
party includes an intervenor.
    (1) Each request for discovery shall state the time limit for 
responding, as

[[Page 42]]

prescribed in paragraph (d) of this section.
    (2) In the case of a request for deposition of a party, reasonable 
notice in writing shall be given to every party to the action. The 
notice shall:
    (i) Specify the time and place of the taking of the deposition; and
    (ii) Be served on the person to be deposed.
    (3) When a request for discovery is directed to an officer or 
employee of GAO, the agency shall make the officer or employee available 
on official time for the purpose of responding to the request and shall 
assist the officer or employee as necessary in providing relevant 
information that is available to the agency.
    (b) Discovery from a nonparty. Parties are encouraged to attempt to 
obtain voluntary discovery from nonparties whenever possible. A party 
seeking discovery from a nonparty may initiate the process by serving a 
request for discovery on that nonparty and on all other parties to the 
proceeding. When a party is unable to obtain voluntary cooperation, the 
party may request that the administrative judge issue a subpoena by 
following the procedures set forth in Sec. 28.46.
    (c) Responses to discovery requests. (1) A party shall answer a 
discovery request within the time provided by paragraph (d)(2) of this 
section either by furnishing to the requesting party the information or 
testimony requested or agreeing to make deponents available to testify 
within a reasonable time, or by stating an objection to the particular 
request and the reasons for objection, or by requesting a protective 
order.
    (2) Upon failure or refusal of a party to respond in full to a 
discovery request, the requesting party may file with the administrative 
judge a motion to compel discovery. The time limits applicable to a 
motion to compel are set forth in paragraph (d)(4) of this section. A 
copy of the motion shall be served on the other parties. The motion 
shall be accompanied by:
    (i) A copy of the original request served on the party from whom 
discovery was sought and a statement showing the relevancy and 
materiality of the information sought; and
    (ii) A copy of the objections to discovery or, where appropriate, a 
verified statement that no response has been received.
    (3) The party from whom discovery was sought shall respond to the 
motion to compel within the time limits set forth in paragraph (d)(4) of 
this section.
    (d) Time limits. (1) Requests for discovery shall be served within 
30 days after the service list is served by the Board on all parties.
    (2) A party or nonparty shall respond to a discovery request within 
20 days after service of the request on the party or nonparty. Any 
discovery requests following the initial request shall be served within 
10 days of the date of service of the prior response, unless otherwise 
directed. Deposition witnesses shall give their testimony at the time 
and place stated in the notice of deposition-taking or in the subpoena, 
unless the parties agree otherwise.
    (3) In responding to a discovery request, a party or nonparty shall 
respond as fully as possible, except to the extent that the party or 
nonparty objects to the discovery or requests a protective order. Any 
objection or request for a protective order shall be filed within the 
time limits set forth in paragraph (d)(2) of this section. Any objection 
shall be addressed to the party requesting discovery and shall state the 
particular grounds for the objection. Any request for a protective order 
shall state the grounds for the protective order and shall be served on 
the administrative judge and any other parties to the action. The 
administrative judge shall rule on the request for a protective order.
    (4) Motions for an order compelling discovery shall be filed with 
the administrative judge within 10 days of the service of objections or 
within 10 days of the expiration of the time limits for response when no 
response or an alleged inadequate response is received. Opposition to a 
motion to compel must be filed with the administrative judge within 10 
days of the date of service of the motion.
    (5) Discovery shall be completed by the time designated by the 
administrative judge, but no later than 65 days after the filing of the 
appeal. A later

[[Page 43]]

date may be set by the administrative judge after due consideration of 
the particular situation including the dates set for hearing and closing 
of the case record.



Sec. 28.43  Compelling discovery.

    (a) Motion for an order compelling discovery. Motions for orders 
compelling discovery shall be submitted to the administrative judge as 
set forth at Sec. 28.42(c)(2) and (d)(4) above.
    (b) Content of order. Any order issued may include, where 
appropriate:
    (1) Provision for notice to the person to be deposed as to the time 
and place of such deposition.
    (2) Such conditions or limitations concerning the conduct or scope 
of the proceedings or the subject matter as may be necessary to prevent 
undue delay or to protect any party or deponent from undue expense, 
embarrassment or oppression.
    (3) Limitations upon the time for conducting depositions, answering 
written interrogatories, or producing documentary evidence.
    (4) Other restrictions upon the discovery process as determined by 
the administrative judge.
    (c) Failure to comply with an order compelling discovery may subject 
the noncomplying party to sanctions under Sec. 28.24.



Sec. 28.44  Taking of depositions.

    Depositions may be taken before any person not interested in the 
outcome of the proceedings who is authorized by law to administer oaths.



Sec. 28.45  Admission of facts and genuineness of documents.

    (a) Any party may be served with requests for the admission of the 
genuineness of any relevant documents identified within the request or 
the truth of any relevant matters of fact or application of law to the 
facts as set forth in the request.
    (b) Within the time period prescribed by Sec. 28.42(d)(2), the party 
on whom the request is served must submit to the requesting party:
    (1) A sworn statement specifically denying, admitting, or expressing 
a lack of knowledge after making reasonable inquiry regarding the 
specific matters on which an admission is requested; and/or
    (2) An objection to the request for an admission, in whole or in 
part, on the grounds that the matters contained therein are privileged, 
irrelevant, or otherwise improper.
    (c) Upon a failure or refusal of a party to respond to a request for 
admissions within the prescribed time period, the request shall be 
deemed admitted.

                                Subpoenas



Sec. 28.46  Motion for subpoena.

    (a) Authority to issue subpoenas. Any member of the Board may issue 
subpoenas requiring the attendance and testimony of witnesses and the 
production of documentary or other evidence from any place in the United 
States or any territory or possession thereof, the Commonwealth of 
Puerto Rico, or the District of Columbia. Any member of the Board may 
order the taking of depositions or order responses to written 
interrogatories.
    (b) Motion. A motion for the issuance of a subpoena requiring the 
attendance and testimony of witnesses or the production of documents or 
other evidence under Sec. 28.46(a) shall be submitted to the 
administrative judge at least 15 days in advance of the date scheduled 
for the commencement of the hearing. If the subpoena is sought as part 
of the discovery process, the motion shall be submitted to the 
administrative judge at least 15 days in advance of the date set for the 
attendance of the witness at a deposition or the production of 
documents.
    (c) Forms and showing. Motions for subpoenas shall be submitted in 
writing to the administrative judge and shall specify with particularity 
the books, papers, or testimony desired and shall be supported by a 
showing of general relevance and reasonable scope and a statement of the 
facts expected to be proven thereby.
    (d) Rulings. Where the administrative judge is not a Board member, 
the motion shall be referred with a recommendation for decision to a 
Board member. The Board member shall promptly rule on the request. Where 
the administrative judge is a Board

[[Page 44]]

member, he or she shall rule directly on the request.



Sec. 28.47  Motion to quash.

    Any person against whom a subpoena is directed may file a motion to 
quash or limit the subpoena setting forth the reasons why the subpoena 
should not be complied with or why it should be limited in scope. This 
motion shall be filed with the administrative judge within 20 days after 
service of the subpoena.



Sec. 28.48  Service.

    Service of a subpoena may be made by a United States Marshal or 
Deputy Marshal or by any person who is over 18 years of age and not a 
party to the proceeding.



Sec. 28.49  Return of service.

    When service of a subpoena is effected by a person other than a 
United States Marshal or Deputy Marshal, that person shall certify on 
the return of service that service was made either:
    (a) In person,
    (b) By registered or certified mail, or
    (c) By delivery to a responsible person (named) at the residence or 
place of business (as appropriate) of the person to be served.



Sec. 28.50  Enforcement.

    If a person has been served with a Board subpoena but fails or 
refuses to comply with its terms, the party seeking compliance may file 
a written motion for enforcement with the administrative judge or make 
an oral motion for enforcement while on record at a hearing. The party 
shall present the return of service and, except where the witness was 
required to appear before the administrative judge, shall submit 
affidavit evidence of the failure or refusal to obey the subpoena. The 
Board may then request the appropriate United States district court to 
enforce the subpoena.

                                Hearings



Sec. 28.55  Scheduling the hearing.

    The notice of initial hearing shall fix the date, time and place of 
hearing. GAO, upon request of the administrative judge, shall provide 
appropriate hearing space. Motions for postponement by either party 
shall be made in writing, shall set forth the reasons for the request 
and shall be granted only upon a showing of good cause. When the parties 
agree on postponement, motions may be made orally and shall be granted 
only upon a showing of good cause.



Sec. 28.56  Hearing procedures, conduct and copies of exhibits.

    (a) The Board may designate one or more administrative judges to 
conduct hearings on appropriate matters.
    (b) The hearing will be conducted as an administrative proceeding 
and, ordinarily, the rules of evidence will not be strictly followed.
    (c) Parties will be expected to present their cases in a concise 
manner limiting the testimony of witnesses and submission of documents 
to relevant matters.
    (d) Any party to a hearing offering exhibits into the record shall 
submit the original of each such exhibit to the court reporter, two 
copies to the administrative judge, plus one copy for each opposing 
party that is separately represented.
    (e) Each party to a proceeding shall be responsible for bringing the 
proper number of copies of an exhibit to the hearing.
    (f) Multipage exhibits shall be paginated in the lower right hand 
corner and the first page shall indicate the total number of pages in 
the exhibit.
    (g) No later than the commencement of the hearing, each party shall 
submit to the administrative judge, to the court reporter, and to the 
opposing party: (1) A typed list of the witnesses expected to be called 
to testify; and (2) a typed list of the acronyms (with definitions) 
expected to be used by the witnesses.



Sec. 28.57  Public hearings.

    (a) Hearings shall be open to the public. However, the 
administrative judge at his or her discretion, may order a hearing or 
any part thereof closed, where to do so would be in the best interests 
of the petitioner, a witness, the public, or other affected persons. Any 
order closing the hearing shall set

[[Page 45]]

forth the reasons for the administrative judge's decision. Any 
objections thereto shall be made a part of the record.
    (b) Regardless of whether a hearing is open or closed, the GAO 
technical representative, who is not expected to testify, the GAO 
representative, the petitioner and the petitioner's representative each 
has a right to be present at the hearing.



Sec. 28.58  Transcript.

    (a) Preparation. A verbatim record made under supervision of the 
administrative judge shall be kept of every hearing and shall be the 
sole official record of the proceeding. Upon request, a copy of a 
transcript of the hearing shall be made available to each party. 
Additional copies of the transcript shall be made available to a party 
upon payment of costs. Exceptions to the payment requirement may be 
granted for good cause shown. A motion for an exception shall be made in 
writing and accompanied by an affidavit setting forth the reasons for 
the request and shall be granted upon a showing of good cause. Requests 
for copies of transcripts shall be directed to the Clerk of the Board. 
The Clerk of the Board may, by agreement with the person making the 
request, make arrangements with the official hearing reporter for 
required services to be charged to the requester.
    (b) Corrections. Corrections to the official transcript will be 
permitted. Motions for correction must be submitted within 30 days of 
service of the transcript upon the party. Corrections of the official 
transcript will be permitted only when errors of substance are involved 
and only upon approval of the administrative judge. The administrative 
judge may make changes at any time with notice to the parties.



Sec. 28.59  Official record.

    The transcript of testimony and the exhibits, together with all 
papers and motions filed in the proceedings, shall constitute the 
exclusive and official record.



Sec. 28.60  Briefs.

    (a) Length. Principal briefs shall not exceed 60 pages and reply 
briefs 30 pages, exclusive of tables and pages limited only to 
quotations of statutes, rules, and the like. Motions to file extended 
briefs shall be granted only for good cause shown. Briefs in excess of 
10 pages shall include an index and a table of authorities.
    (b) Format. Every brief must be easily readable. Pages must be 8\1/
2\ x 11 inches with margins at least one inch on all sides. Typewritten 
briefs must have double spacing between each line of text, except for 
quoted texts which may be single spaced.
    (c) Number of copies. An original and 3 copies of each brief shall 
be filed with the administrative judge and one copy served on each party 
separately represented. When an action is before the full Board, an 
original and seven copies of each brief must be filed with the Board and 
one copy served on each party separately represented.



Sec. 28.61  Burden and degree of proof.

    (a) In appealable actions, as defined by 5 U.S.C. 7701(a), agency 
action must be sustained by the Board if:
    (1) It is a performance-based action and is supported by substantial 
evidence; or
    (2) It is brought under any other provision of law, rule, or 
regulation as defined by 5 U.S.C. 7701(a) and is supported by a 
preponderance of evidence.
    (b) Notwithstanding paragraph (a) of this section, the agency's 
decision may not be sustained if the petitioner:
    (1) Shows harmful error in the application of the agency's 
procedures in arriving at such decision;
    (2) Shows that the decision was based on any prohibited personnel 
practice described in 4 CFR 2.5; or
    (3) Shows that the decision was not in accordance with law.
    (c) In any other action within the Board's jurisdiction, the 
petitioner shall have the responsibility of presenting the evidence in 
support of the action and shall have the burden of proving the 
allegations of the appeal by a preponderance of the evidence.
    (d) Definitions. For purposes of this section, the following 
definitions shall apply:
    Harmful error means error by the agency in the application of its 
procedures which, in the absence or cure of

[[Page 46]]

the error, might have caused the agency to reach a conclusion different 
than the one reached. The burden is upon the petitioner to show that, 
based upon the record as a whole, the error was harmful, i.e., caused 
substantial harm or prejudice to his or her rights.
    Preponderance of the evidence means that degree of relevant evidence 
which a reasonable person, considering the record as a whole, would 
accept as sufficient to support a conclusion that the matter asserted is 
more likely to be true than not true.
    Substantial evidence means that degree of relevant evidence which a 
reasonable person, considering the record as a whole, might accept as 
adequate to support a conclusion, even though other reasonable persons 
might disagree. This is a lower standard of proof than preponderance of 
the evidence.



Sec. 28.62  Closing the record.

    (a) When there is a hearing, the record shall be closed at the 
conclusion of the hearing. However, when the administrative judge allows 
the parties to submit argument, briefs or documents previously 
identified for introduction into evidence, the record shall be left open 
for such time as the administrative judge grants for that purpose.
    (b) Once the record is closed, no additional evidence or argument 
shall be accepted into the record except upon a showing that new and 
material evidence has become available which was not available despite 
due diligence prior to the closing of the record. However, the 
administrative judge shall make part of the record any motions for 
attorney fees, any supporting documentation, and determinations thereon, 
and any approved correction to the transcript.

                                Evidence



Sec. 28.65  Service of documents.

    Any document submitted with regard to any pleading, motion, or brief 
shall be served upon all parties to the proceeding.



Sec. 28.66  Admissibility.

    Evidence or testimony may be excluded from consideration by the 
administrative judge if it is irrelevant, immaterial, or unduly 
repetitious.



Sec. 28.67  Production of statements.

    After an individual has given evidence in a proceeding, any party 
may request a copy of any prior signed statement made by that individual 
which is relevant to the evidence given. If the party refuses to furnish 
the statement, the administrative judge may draw an adverse inference 
from the failure to produce or may exclude the relevant evidence given 
by the individual from consideration.



Sec. 28.68  Stipulations.

    The parties may stipulate as to any matter of fact. Such a 
stipulation will satisfy a party's burden of proving the fact alleged.



Sec. 28.69  Judicial notice.

    The administrative judge on his or her own motion or on motion of a 
party, may take judicial notice of a fact which is not subject to 
reasonable dispute because it is either: (a) A matter of common 
knowledge; or (b) capable of accurate and ready determination by resort 
to sources whose accuracy cannot reasonably be questioned. Judicial 
notice taken of any fact satisfies a party's burden of proving the fact 
noticed.

                          Interlocutory Appeals



Sec. 28.80  Explanation.

    An interlocutory appeal is an appeal to the Board of a ruling made 
by an administrative judge during the course of a proceeding. This 
appeal may be permitted by the administrative judge if he or she 
determines that the issue presented is of such importance to the 
proceeding that it requires the Board's immediate attention. The Board 
makes a decision on the issue and the administrative judge acts in 
accordance with that decision.



Sec. 28.81  Procedures and criteria for certification.

    (a) Interlocutory review by the Board of a ruling by the 
administrative judge during the course of the proceeding is disfavored 
and will be permitted only in circumstances where:

[[Page 47]]

    (1) The ruling involves an important question of law or policy about 
which there is substantial ground for difference of opinion; and
    (2) An immediate review of the ruling by the Board will materially 
advance the completion of the proceeding, or denial will cause undue 
harm to a party or the public.
    (b) The administrative judge may, on motion of a party or on his or 
her own motion, certify an interlocutory ruling to the Board for its 
immediate consideration. Any such certification shall explain the basis 
on which the administrative judge concluded that the standards for 
interlocutory review have been met. If the Board nevertheless determines 
that the certification does not meet those standards it may decline to 
accept the certification.
    (c) A motion for certification to the Board of an interlocutory 
ruling by the administrative judge shall be filed within 10 days after 
service of the ruling upon the parties. The motion shall include 
arguments in support of both the certification and the determination to 
be made by the Board. Responses, if any, shall be filed within 10 days 
after service of the motion.
    (d) The grant or denial of a motion for certification of an 
interlocutory ruling shall not be appealable. The administrative judge 
shall promptly bring a denial of such a motion, and the reasons 
therefor, to the attention of the Board. If, upon its consideration of 
the motion and the underlying record, the Board believes that 
interlocutory review is warranted, it may grant the motion sua sponte.
    (e) Upon its acceptance of a ruling of the administrative judge for 
interlocutory review, the Board shall issue an order setting forth the 
procedures that will be followed in the conduct of that review.
    (f) Unless otherwise directed by the Board, the stay of any 
proceedings during the pendency of either a motion for certification or 
an interlocutory review itself shall be within the discretion of the 
administrative judge.
    (g) The denial of a motion for certification does not affect the 
right of the parties to challenge interlocutory rulings in the course of 
the review by the Board of initial or recommended decisions.

          Board Decisions, Attorney's Fees and Judicial Review



Sec. 28.86  Board procedures; recommended decisions.

    (a) Non-member recommended decisions. Where an administrative judge 
who is not a Board member issues a decision, the administrative judge 
shall transmit to the parties and to the Board a recommended decision.
    (b) Exceptions to the recommended decision shall be filed within 30 
days from service of the decision. Exceptions may be filed by hand 
delivery or by mail. Please note that the address to be used differs for 
the two kinds of filing.
    (1) Filing by hand delivery: Exceptions may be filed by hand 
delivery at the office of the Board, Suite 560, Union Center Plaza II, 
820 First Street NE., Washington, DC.
    (2) Filing by mail: Exceptions may be filed by mail addressed to the 
Personnel Appeals Board, Suite 560, Union Center Plaza II, 441 G Street, 
NW., Washington DC 20548. When filed by mail, the postmark shall be the 
exclusive date of filing.

The party filing the exceptions shall serve the Board with an original 
and 7 copies and shall serve one copy of the exceptions on each of the 
other parties. The exceptions shall include all supporting material and 
shall set forth objections to the recommended decision, with references 
to applicable laws or regulations, and with specific reference to the 
record. The responding party shall have 30 days from service of the 
exceptions to file any reply. Additional responsive pleadings may be 
filed only with the approval of the Board.
    (c) Regardless of whether exceptions to a recommended decision are 
filed with the Board, the Board shall review the recommended decision. 
In reviewing the recommended decision, the Board shall review the record 
as though it were making the initial decision. The Board may adopt, 
reverse, remand, modify or vacate the recommended decision, in whole or 
in part. Where no party files exceptions to a recommended decision and 
the Board

[[Page 48]]

is considering any action other than adopting the recommended decision 
in whole as the final decision, the Board shall provide the parties an 
opportunity to address the issues it is considering. Where appropriate, 
the Board shall issue a final decision and order a date for compliance. 
In reviewing any recommended decision, the Board may:
    (1) Issue a single decision which decides the case;
    (2) Hear oral arguments;
    (3) Require the filing of briefs;
    (4) Remand the proceedings to the administrative judge to take 
further testimony or evidence or make further findings or conclusions; 
or
    (5) Take any other action necessary for final disposition of the 
case.
    (d) The Board shall reject a recommended decision, in whole or in 
part, on the basis of its own motion or on the basis of exceptions filed 
by the parties, when the Board finds that:
    (1) New and material evidence is available that, despite due 
diligence, was not available when the record was closed;
    (2) The recommended decision is based on an erroneous interpretation 
of statute or regulation;
    (3) The recommended decision is arbitrary, capricious or an abuse of 
discretion, or otherwise not consistent with law;
    (4) The recommended decision is not made consistent with required 
procedures and results in harmful error; or
    (5) The recommended decision is unsupported by evidence required by 
the requisite burden of proof as set forth at Sec. 28.61.
    (e) The decision of the Board shall be final and subject to judicial 
review pursuant to Sec. 28.90.

[58 FR 61992, Nov. 23, 1993, as amended at 61 FR 36810, July 15, 1996]



Sec. 28.87  Board procedures; initial decisions.

    (a) When a case is heard in the first instance by a single Board 
member, or a panel of members, an initial decision shall be issued by 
that member or panel and served upon the parties.
    (b) An aggrieved party may seek review or reconsideration of the 
initial decision in the following manner:
    (1) Within 15 days of the service of the initial decision, such a 
party may seek review by the full Board by filing and serving a notice 
of appeal to the Board.
    (2) Within 10 days of the service of the initial decision, such a 
party may file and serve a request for reconsideration with the 
administrative judge or panel rendering that decision. Filing of the 
request for reconsideration shall toll the commencement of the 15 day 
period for filing a notice of appeal with the full Board, pending 
disposition of the request for reconsideration by the administrative 
judge or panel. The administrative judge or panel shall determine if a 
response is required, and if so, will fix by order the time for the 
filing of the response. A motion for reconsideration will not be granted 
without providing an opportunity for response.
    (c) Within 25 days following the filing of a notice of appeal to the 
full Board, the appellant shall file and serve a supporting brief. That 
brief shall identify with particularity those findings or conclusions in 
the initial decision that are challenged and shall refer specifically to 
the portions of the record and the provisions of statutes or regulations 
that assertedly support each assignment of error. Within 25 days 
following the service of the appellant's brief, the appellee may file 
and serve a responsive brief. Within 10 days following the service of 
the appellee's responsive brief, the appellant may file and serve a 
reply brief.
    (d) In the absence of a timely appeal, the initial decision shall 
become the final decision of the Board 30 days following its issuance or 
the date of the administrative judge's or panel's disposition of a 
request for reconsideration (whichever comes later) unless, prior to the 
expiration of the 30 day period, the parties are notified in writing 
that the full Board intends to review the initial decision in whole or 
in part on its own motion. Such review sua sponte will normally be 
conducted only if a majority of the Board concludes that one or more 
issues of law addressed in the initial decision are of such importance 
as to warrant consideration by the full Board notwithstanding the 
absence of appeal. Issues so qualifying shall be identified in the

[[Page 49]]

Board's notice and the parties shall be provided an opportunity to brief 
them prior to the Board's decision.
    (e) Oral argument on an appeal or in connection with a sua sponte 
review shall be held in the discretion of the Board. Any party may 
request that the Board exercise its discretion in that regard.
    (f) Upon appeal or following its review sua sponte, the Board may 
affirm, reverse, modify or vacate the initial decision in whole or in 
part. If deemed warranted, the Board may remand the proceeding to the 
single member or panel for further action, including the reopening of 
the record for the taking of additional evidence. Unless the full Board 
expressly retains jurisdiction, the single member or panel shall render, 
on completion of the remand, a supplemental initial decision which shall 
be subject to appellate review in the same manner and to the same extent 
as provided for initial decisions in paragraphs (b), (d) and (g) of this 
section. If the Board does expressly retain jurisdiction at the time of 
remand, the single member or panel shall instead render a report to the 
Board on the remanded matters. Upon receipt of the report, the Board 
shall determine whether the views of the parties on the content of the 
report should be obtained in writing and, where necessary, shall fix by 
order the time for the submission of those views. A decision of the full 
Board disposing of the proceeding without a remand or, where the Board 
has expressly retained jurisdiction, following completion of the remand 
shall be the final decision of the Board and subject to judicial review.
    (g) In conducting its examination of the initial decision, the Board 
may review the record as though it were making the initial decision 
itself. As a general matter, however, the Board will not overturn a 
finding of fact contained in the initial decision unless that finding is 
unsupported by substantial evidence in the record viewed as a whole. In 
determining whether some action other than affirmance of the initial 
decision is required, the Board will also consider whether:
    (1) New and material evidence is available that, despite due 
diligence, was not available when the record was closed;
    (2) The initial decision is based on an erroneous interpretation of 
statute or regulation;
    (3) The initial decision is arbitrary, capricious or an abuse of 
discretion, or otherwise not consistent with law;
    (4) The initial decision is not made consistent with required 
procedures and results in harmful error.
    (h) Initial decisions that become final without review by the full 
Board shall not be binding precedent in any other case.



Sec. 28.88  Board procedures; enforcement.

    (a) A person required to take any action under the terms of a Board 
decision or order shall carry out its terms promptly, and shall, within 
30 days after the decision or order becomes final, provide the Board and 
all parties to the proceeding with a compliance report specifying:
    (1) The manner in which compliance with the provisions of the 
decision or order has been accomplished;
    (2) The reasons why compliance with any provisions of the Board's 
order has not been fully accomplished; and
    (3) The steps being taken to ensure full compliance.
    (b) When the Board does not receive a notice of compliance in 
accordance with paragraph (a) of this section, the Solicitor shall make 
inquiries to determine the status of the compliance report. When the 
Solicitor establishes that a complete compliance report is not 
forthcoming, the Solicitor shall report the failure to file a complete 
compliance report to the Board.
    (c) Any person and/or the General Counsel may petition the Board for 
enforcement of a final decision of the Board. The petition shall 
specifically set forth the reasons why the petitioner believes there is 
non-compliance.
    (d) Upon receipt of a non-compliance report from its Solicitor or of 
a petition for enforcement of a final decision, the Board may issue a 
notice to any person to show cause why there was non-compliance. 
Following a show cause proceeding, the Board may seek

[[Page 50]]

judicial enforcement of its decision or order.



Sec. 28.89  Attorney's fees and costs.

    Within 20 days after service of a final decision by the Board, or 
within 20 days after the date on which an initial decision becomes final 
pursuant to Sec. 28.87(d), the petitioner, if he or she is the 
prevailing party, may submit to the administrative judge who heard the 
case initially a request for the award of reasonable attorney fees and 
costs. GAO may file a response within 20 days after service of the 
request. Motions for attorney fees shall be filed in accordance with 
Sec. 28.21 of these regulations. Rulings on attorney's fees and costs 
shall be consistent with the standards set forth at 5 U.S.C. 7701(g). 
The decision of the administrative judge concerning attorney's fees and 
costs shall be subject to review and shall become final according to the 
provisions of Secs. 28.86-28.87.



Sec. 28.90  Board procedures; judicial review.

    (a) A final decision by the Board under 31 U.S.C. 753(a) (1), (2), 
(3), (6), (7) or (9) may be appealed to the United States Court of 
Appeals for the Federal Circuit within 30 days after the petitioner 
receives notice of the Board's decision.
    (b) The Board may designate the Solicitor, the General Counsel or 
any other qualified individual to represent it in any judicial 
proceeding involving a Board decision or the interpretation of a Board 
rule or of the GAO Personnel Act.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994]



                     Subpart C--Oversight Procedures



Sec. 28.91  General.

    Pursuant to section 732(f) of Title 31, U.S.C., the Board is 
authorized to conduct oversight of GAO employment regulations, 
procedures and practices as they relate to laws prohibiting 
discrimination in employment on the basis of race, color, religion, 
national origin, political affiliation, age, sex, marital status, or 
disability.



Sec. 28.92  Oversight of GAO EEO program.

    (a) When requested by the Board in the exercise of its oversight 
responsibility, GAO shall provide:
    (1) Such plans, procedures and regulations as GAO may develop in 
order to eliminate and prevent employment discrimination on the bases 
enumerated in Sec. 28.95;
    (2) Reports regarding its efforts to publicize to its employees the 
procedures to be followed for receiving advice and for filing complaints 
regarding the enforcement of laws prohibiting discrimination in 
employment;
    (3) Quarterly statistical reports of pre-complaint counseling and of 
pending complaints, in a manner prescribed by the Board;
    (4) An annual report on its equal employment opportunity affirmative 
action program and its Federal Equal Employment Opportunity Recruitment 
Program; and
    (5) Any other information regarding equal employment opportunity 
within the GAO that may be required by the Board, in the time frame and 
format established by the Board after consultation with the Comptroller 
General or his or her designee.
    (b) The Board shall review and evaluate the regulations, procedures 
and practices of the GAO, including the information filed with it in 
accordance with paragraph (a) above, and shall:
    (1) Require the GAO to make any changes the Board determines are 
needed due to violations of or inconsistencies with Subchapters III and 
IV of Chapter 7 of Title 31, U.S.C. or equal employment opportunity 
laws, and
    (2) Report to the Congress on the overall progress being made in 
effectuating the purposes of Subchapters III and IV of Chapter 7 of 
Title 31, U.S.C.

[[Page 51]]



 Subpart D--Special Procedures; Equal Employment Opportunity (EEO) Cases



Sec. 28.95  Purpose and scope.

    The procedures in this subpart relate to charges filed against any 
GAO policies or specific actions which are alleged to involve prohibited 
discrimination. Prohibited discrimination is defined as any action in 
violation of:
    (a) Section 717 of the Civil Rights Act of 1964 (42 U.S.C. 2000e-
16), prohibiting discrimination based on race, color, religion, sex or 
national origin;
    (b) Sections 12 and 15 of the Age Discrimination in Employment Act 
of 1967 (29 U.S.C. 631, 633a) prohibiting discrimination on account of 
age;
    (c) Section 6(d) of the Fair Labor Standards Act of 1938 (29 U.S.C. 
206(d), prohibiting discrimination in wages on the basis of sex;
    (d) Sections 501 and 505 of the Rehabilitation Act of 1973 (29 
U.S.C. 791, 794a) prohibiting discrimination on the basis of disability; 
or
    (e) Any other law prohibiting discrimination in Federal employment 
on the basis of race, color, religion, age, sex, national origin or 
disability. 31 U.S.C. 732(f)(2).



Sec. 28.96  Applicability of general procedures.

    Except where a different procedure is provided for in this subpart, 
the procedures to be followed by all parties in cases arising under this 
subpart shall be the general procedures as prescribed in subpart B of 
this part.



Sec. 28.97  Class actions in EEO cases.

    (a) Prior to invoking the Board's procedures in a case alleging 
prohibited discrimination on behalf of a class of GAO employees or 
applicants for employment, a complaint must first be filed with GAO in 
accordance with GAO Order 2713.2.
    (b) A petition for review of GAO's disposition of any EEO class 
complaint may be submitted to the Board at the following times:
    (1) Within 20 days of receipt of a GAO determination rejecting or 
canceling the class complaint;
    (2) Within 20 days of receipt of a GAO determination accepting the 
class action, but with modifications that are not satisfactory to the 
agent of the class;
    (3) When a period of more than 180 days has elapsed since the formal 
class complaint was filed and the GAO has not issued a final decision; 
or
    (4) Within 20 days of receipt of a final GAO decision resolving the 
complaint if that decision, in whole or in part, has not satisfied the 
agent for the class.
    (c) In class actions in EEO cases, no charge shall be filed or 
investigated by the General Counsel prior to filing a petition for 
review with the Board. However, the General Counsel may request 
permission to intervene with regard to any issue in which the General 
Counsel finds a significant public interest with respect to the 
preservation of the merit system.
    (d) The parties shall not have a right to a hearing on a petition 
for review in class actions under this section. Upon a showing of good 
cause as to why an evidentiary hearing is necessary, the Board may order 
such a hearing. Alternatively, the Board may, after a review of the 
administrative record and on its own motion, order a hearing for the 
purpose of gathering additional evidence. If no hearing is ordered, the 
Board's decision shall be based upon a review of the administrative 
record developed in the GAO class complaint process.
    (e) Standards. For the purpose of determining whether it is 
appropriate to treat an appeal as a class action, the administrative 
judge will be guided, but not controlled, by the applicable provisions 
of the Federal Rules of Civil Procedure.



Sec. 28.98  Individual charges in EEO cases.

    (a) Except as provided in paragraph (c) of this section, a charge 
alleging prohibited discrimination (as defined in Sec. 28.95) shall not 
be filed with the Board's General Counsel unless the charging party has 
first filed a complaint of discrimination with GAO in accordance with 
GAO Order 2713.2.
    (b) A charge relating to GAO's disposition of any individual EEO 
complaint may be filed with the Board's General Counsel at the following 
times:

[[Page 52]]

    (1) Within 30 days from the receipt by the charging party of a GAO 
decision rejecting the complaint in whole or part;
    (2) Whenever a period of more than 120 days has elapsed since the 
complaint was filed, and the GAO has not issued a final decision; or
    (3) Within 30 days from the receipt by the charging party of a final 
GAO decision concerning the complaint of discrimination.
    (c) Special rules for adverse and performance based actions. Where 
an employee is affected by a removal, suspension for more than 14 days, 
reduction in grade or pay, or furlough of not more than 30 days (whether 
due to disciplinary, performance-based or other reasons), and the 
employee wishes to allege that such action was due in whole or part to 
prohibited discrimination (as defined in Sec. 28.95), the employee may 
elect to do either (but not both) of the following:
    (1) File a charge directly with the Board's General Counsel within 
30 days of the effective date of the personnel action and raise the 
issue of discrimination in the course of the proceedings before the 
Board; or
    (2) File a complaint of discrimination with the GAO pursuant to GAO 
Order 2713.2. If the employee elects to file a complaint of 
discrimination with GAO, he or she may still seek Board review of the 
matter by filing a charge with the Board's General Counsel at the times 
authorized in paragraph (b) of this section. Where a complaint of 
discrimination filed with GAO relates to non-EEO issues that are within 
the Board's jurisdiction in addition to EEO-related allegations, the 
subsequent charge filed with the Board's General Counsel under paragraph 
(b) of this section shall be considered a timely appeal of the non-EEO 
issues. An employee will be deemed to have elected the EEO complaint 
process if the employee files a timely written complaint of 
discrimination with GAO before filing a charge with the Board's General 
Counsel. Consultation with an EEO counselor, without filing a written 
complaint of discrimination, does not constitute an election of the EEO 
complaint process.
    (d) Special rules for RIF based actions. An individual alleging 
discrimination issues in connection with a RIF-based separation may 
follow the procedures outlined above in paragraph (c) of this section 
for adverse and performance based actions, or may choose instead a third 
option. In accordance with the provisions of Sec. 28.13, such an 
individual may appeal that action by filing directly with the PAB, thus 
bypassing both the Civil Rights Office and the PAB's Office of General 
Counsel.
    (e)(1) The charging party shall file the charge with the General 
Counsel in accordance with Sec. 28.11. The General Counsel shall 
investigate the charge in accordance with Sec. 28.12.
    (2) A charging party challenging a RIF action by filing directly 
with the PAB shall follow the procedures prescribed in Sec. 28.13 and 
Sec. 28.18.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994; 
61 FR 36811, July 15, 1996]



Sec. 28.99  Petitions for review to the Board in EEO cases.

    (a) The provisions of Secs. 28.18 through 28.90, inclusive, shall 
govern the Board's procedures in processing petitions filed under this 
subpart.
    (b) Remedial action provided in Board orders in these cases may 
include:
    (1) Provision for offers of employment, re-employment or promotion, 
with or without back pay, when the Board decides such action is required 
to make whole the individual found to have been discriminated against.
    (2) Notification to all GAO employees of the action ordered to be 
taken to expunge the effect of the discrimination;
    (3) Correction of GAO personnel records, as necessary, to reflect 
the purpose of the Board order; and,
    (4) Any other action the Board believes proper to correct the effect 
of the discrimination found to have occurred.



Sec. 28.100  [Reserved]



Sec. 28.101  Termination of Board proceedings when suit is filed in Federal District Court.

    Any proceeding before the Board shall be terminated when an employee

[[Page 53]]

or applicant who is alleging violation of Title VII of the Civil Rights 
Act of 1964, as amended, 42 U.S.C. 2000e-16, the Rehabilitation Act, 29 
U.S.C. 791, or the Age Discrimination in Employment Act, 29 U.S.C. 633a, 
files suit in Federal District Court.

[59 FR 59106, Nov. 16, 1994]



        Subpart E--Special Procedures; Representation Proceedings



Sec. 28.110  Purpose.

    The procedures in this subpart relate to the Board's duty under 31 
U.S.C. 753(a) (4) and (5) to determine appropriate units of GAO 
employees for collective bargaining, to conduct elections in order to 
determine whether the employees in any such units wish to select a labor 
organization to represent them in collective bargaining, and, 
thereafter, to certify labor organizations so selected as the designated 
exclusive bargaining representative. They are referred to in these 
regulations as ``representation proceedings''.



Sec. 28.111  Scope.

    The Board shall consider, decide and order corrective action (as 
appropriate) in cases arising from the determination of appropriate 
units of employment for collective bargaining and cases arising from 
elections and certifications of collective bargaining representatives. 
Board decisions in these matters will be made with due regard for 
relevant provisions of GAO Orders and with the objective of insuring 
that the GAO labor relations program is consistent with Chapter 71 of 
Title 5, United States Code, which prescribes the standards for the 
labor relations program in the executive branch.



Sec. 28.112  Who may file petitions.

    (a) Representation petitions may be filed by:
    (1) A labor organization which wishes to be designated as the 
exclusive representative for collective bargaining by the GAO employees 
in an appropriate unit, or by a labor organization which desires to 
replace another currently having that status;
    (2) An employee or a group of employees (or an individual on his, 
her or their behalf) desiring a new election to determine whether a 
labor organization has ceased to represent a majority of employees in a 
unit;
    (3) The GAO if it has a good faith reason to doubt the continued 
desire of a group of its employees to be represented by a labor 
organization which is currently the exclusive representative of the 
employees in an appropriate unit;
    (4) The GAO or a labor organization currently recognized as an 
exclusive representative desiring the Board to clarify an earlier unit 
determination or certification;
    (5) Any person seeking clarification of, or an amendment to, a 
certification then in effect or any other matter relating to 
representation.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
no petition may be filed which seeks representation rights for employees 
in a unit--
    (1) Where an election has been held within the previous 12 calendar 
months and in such election a majority of the employees voting chose a 
labor organization for certification as the unit's exclusive 
representative, or
    (2) Where an existing collective bargaining agreement having a term 
of three years or less is in effect, unless the petition for exclusive 
recognition is filed not more than 105 days and not less than 60 days 
before the expiration of the collective bargaining agreement, or
    (3) Where an existing collective bargaining agreement having a term 
of more than three years is in effect, unless the petition for 
recognition is filed not more than 105 days and not less than 60 days 
before the third anniversary or any subsequent anniversary of the 
collective bargaining agreement.



Sec. 28.113  Contents of representation petitions.

    (a) The contents of representation petitions filed under 
Sec. 28.112(a)(1) (by a labor organization seeking to be designated as 
or replace an exclusive bargaining representative) shall consist of:
    (1) A detailed identification of the unit of employees to which the 
petition applies, and their geographical location within the GAO, the 
classifications of employees to be included and

[[Page 54]]

excluded, and the number of employees involved;
    (2) Names, addresses and officers of any other labor organizations 
known by the petitioner to be interested in representing employees 
covered by the petition, including a labor organization which is party 
to a current collective bargaining agreement covering any employees in 
the unit;
    (3) Name, address, affiliation, if any, and telephone number of the 
petitioning organization;
    (4) A copy of the constitution and bylaws of the organization, a 
roster of the organization's officers and representatives, and a 
statement of the organization's objectives, together with a statement 
that these documents have also been supplied to the GAO;
    (5) A declaration by the signer of the petition, under penalties of 
the Criminal Code (18 U.S.C. 1101), that the petition's contents are 
true and correct, to the best of his or her knowledge and belief;
    (6) The signature of the representative of the petitioner, including 
title and telephone number; and
    (7) Membership cards, dues records, or signed statements by 
employees indicating their desire to be represented by the labor 
organization, or similar evidence acceptable to the Board, showing that 
at least 30 percent of the employees in the proposed unit wish to be 
represented by the petitioner.
    (b) The contents of petitions filed under Sec. 28.112(a)(2) (by an 
employee or group of employees seeking an election to determine if a 
labor organization still represents a majority of employees in a unit) 
shall conform to those provided for in paragraph (a) of this section, 
except that the information required by paragraphs (a)(4) and (a)(7) of 
this section need not be supplied. Additionally, a petition under 
Sec. 28.112(a)(2) shall include evidence satisfactory to the Board that 
at least 30 percent of the employees in the unit no longer wish to be 
represented by the labor organization currently having bargaining 
rights.
    (c) The contents of petitions filed under Sec. 28.112(a)(3) (by GAO 
raising good faith doubts about the continued desire of a group of its 
employees to be represented by a labor organization) shall conform to 
those provided in petitions under paragraph (a) of this section except 
that the information required by paragraphs (a)(4) and (a)(7) of this 
section need not be supplied. Additionally, such a petition shall 
include a detailed statement giving the objective considerations which 
support the GAO's good faith reason for doubting the labor 
organization's continued status as the exclusive representative.
    (d) The contents of petitions filed under Sec. 28.112(a)(4) (by GAO 
or a labor organization seeking clarification of a certification) shall 
include the information required under paragraph (a) of this section, 
with the exception of the information required by paragraphs (a)(4) and 
(a)(7) of this section. Also, instead of the information required in 
paragraph (a)(1) of this section, the petition shall identify the 
existing unit and the date the organization was recognized by the GAO or 
certified as the exclusive representative, and shall explain the changes 
desired in the unit and the reasons therefor.
    (e) Petitions under Sec. 28.112(a)(5) (by any person seeking 
clarification or amendment of a certification, or raising any other 
representation matter) shall be filed on forms to be supplied by the 
Board upon request.



Sec. 28.114  Pre-investigation proceedings.

    (a) Upon the filing of a valid petition, the General Counsel may 
request GAO to notify employees as to the existence of the petition by 
posting a notice for at least 10 days in locations appropriately 
selected to reach all employees in the unit covered by the petition. The 
notice shall include a request that the Board's General Counsel be 
notified of the existence of any other interested parties.
    (b) GAO shall supply the General Counsel with any information in its 
possession concerning other potentially interested labor organizations, 
copies of relevant correspondence, and copies of existing or recently 
expired agreements covering any employees in the unit. The GAO shall 
also provide a list of employees it believes should be included in the 
unit together with their classifications and the names and 
classifications of those employees it proposes to exclude from the unit.

[[Page 55]]

    (c) All interested parties shall meet as soon as possible after the 
expiration of the 10-day posting period and shall attempt to resolve any 
issues in controversy.
    (d) A labor organization may become an intervenor in any 
representation proceeding by submitting to the General Counsel, within 
the 10-day period, evidence that it represents at least 10 percent of 
the employees in the proposed unit or that it is the exclusive 
representative of the employees involved. Denial of a request to 
intervene may be appealed to the Board. Such an appeal must be filed 
within 10 days of service of the General Counsel's determination.



Sec. 28.115  Processing petitions.

    (a) Upon the expiration of the 10-day posting period, and after the 
General Counsel considers an appropriate period has elapsed for 
consultation among the parties to resolve or identify issues, the 
General Counsel shall prepare a report to the Board which may recommend:
    (1) Approval of any agreement entered into by the parties during 
their consultations including an agreement on the appropriate units, on 
the withdrawal of the petition, or on a joint request to conduct an 
election to determine which labor organization, if any, the employees 
select to be their exclusive bargaining representative;
    (2) Dismissal of the petition as being without merit; or
    (3) Issuance of a notice of hearing for the purpose of disposing of 
the remaining issues raised in the petition.
    (b) The General Counsel's report shall be supplied to all interested 
parties, and, unless all parties agree to a shorter period, they shall 
have 15 days during which to file any response with the Board.
    (c) The Board, as expeditiously as feasible after the expiration of 
the period specified in paragraph (b) of this section, but no later than 
30 days thereafter, shall either approve the report and order 
appropriate steps to carry out its recommendations, or remand it to the 
General Counsel with further instructions.
    (d) Where a hearing is ordered, an administrative judge shall be 
designated by the Board. The report of the administrative judge shall 
include Findings of Fact and Recommendations.
    (e) After receiving the report from the administrative judge, and 
after providing the parties with an opportunity for comment, the Board 
shall issue a Decision and Order determining the appropriate unit, 
directing an election, dismissing the petition or making some other 
appropriate disposition of the matter.
    (f) Final Decisions and Orders issued by the Board based on hearings 
held in accordance with paragraphs (d) and (e) of this section shall not 
be considered final decisions subject to appeal before the Circuit 
Courts of Appeal.



Sec. 28.116  Conduct of elections.

    (a) The Board shall supervise any election it orders to be 
conducted, but may delegate ministerial functions relating to an 
election to any qualified independent organization; to members of the 
Board's full-time staff; or to temporary employees hired for this 
purpose.
    (b) Appropriate notices setting forth details of the election shall 
be posted by GAO as directed by the Board.
    (c) The Board shall, through its agents chosen to conduct the 
election:
    (1) Provide the opportunity for all qualified voters to indicate 
their choices in secrecy;
    (2) Offer qualified voters the opportunity to vote for any labor 
organization on the ballot, or to reject all labor organizations;
    (3) Permit all parties to observe all aspects of the election 
procedure other than any which would interfere with the secrecy of the 
ballot;
    (4) Provide for all parties to challenge the eligibility of any 
voters, and to impound the ballots of such voters, subject to later 
determination of eligibility should the number of challenges potentially 
affect the results;
    (5) Certify to all parties the results of the election.
    (d) Upon receiving a report of the results of the election, the 
Board shall:
    (1) If necessary rule on the challenges and adjust the results 
accordingly;
    (2) Formally announce the results and, where appropriate, designate 
a

[[Page 56]]

labor organization as the exclusive collective bargaining agent, or 
withdraw such a designation;
    (3) Order a runoff or an additional election, if the Board deems it 
appropriate, where the results of the original election are inconclusive 
because no choice on the ballot has secured a majority of the valid 
votes cast. Not more than one additional and one runoff election may be 
held.
    (i) Runoff election. The Board may order a runoff election where one 
or more of the labor organizations on the ballot has received the vote 
of at least 30 percent of the employees eligible to vote, but none has 
gained a majority of the votes cast. The runoff election will be between 
the two choices receiving the largest and the second largest number of 
votes in the original election.
    (ii) Additional election. The Board may order an additional election 
where there is a tie vote between all of the choices on the ballot or 
where a runoff election is not feasible because there is a tie between 
the choices receiving the second most votes in the original election. 
The additional election will include all the choices that appeared on 
the original ballot.



          Subpart F--Special Procedures; Unfair Labor Practices



Sec. 28.120  Authority of the Board.

    (a) The procedures in this subpart relate in part to the Board's 
function, under 31 U.S.C. 753(a)(6), to ``consider and order corrective 
or disciplinary action in a case arising from * * * a matter appealable 
to the Board under the labor-management relations program under (31 
U.S.C. 732(e)(2)) including a labor practice prohibited under (31 U.S.C. 
732(e)(1)).''
    (b) The system so established by the Comptroller General is required 
to provide that each employee of the GAO has the right to form, join or 
assist, or not form, join or assist an employee organization, freely and 
without penalty or reprisal, and for a labor-management relations 
program consistent with Chapter 71 of Title 5, U.S.C. (31 U.S.C. 
732(e)).



Sec. 28.121  Unfair labor practices; Board procedures.

    (a) Unfair labor practices are defined at GAO Order 2711.1. An 
allegation that a provision of GAO Order 2711.1 is inconsistent with 
Chapter 71 of Title 5, United States Code, and thereby denies to an 
employee or labor organization rights comparable to those granted by 
Chapter 71 of Title 5, United States Code, may also be raised under the 
unfair labor practice procedure.
    (b) An allegation that unfair labor practices have been committed 
shall be subject to the procedures appearing in subpart B of this part 
for the filing of charges, investigation by the General Counsel, and the 
Board's disposition, except as set forth in paragraphs (c) and (d) of 
this section.
    (c) Except as provided in paragraph (d) of this section, no petition 
for review may be filed based on any alleged unfair labor practice which 
occurred more than 6 months before the filing of an unfair labor 
practice charge with the charged party, as provided in paragraph 14b of 
GAO Order 2711.1, or more than 9 months before the filing of a charge 
with the General Counsel.
    (d) If the Board determines that the charging party was prevented 
from filing the charge during the 6-month period referred to in 
paragraph (c) of this section by reason of:
    (1) Any failure of the charged party to perform a duty owed to the 
charging party; or
    (2) Any concealment which prevented discovery of the alleged unfair 
labor practice during the 6-month period; the charge will be considered 
timely filed, provided it was filed with the charged party during the 6-
month period beginning on the day of the discovery of the alleged unfair 
labor practice by the charging party.



Sec. 28.122  Negotiability issues; compelling need.

    Where the GAO and an exclusive bargaining representative disagree on 
whether a matter is subject to negotiation as part of the requirement to 
bargain in good faith, the matter shall be appealable to the Board under 
the following procedures:

[[Page 57]]

    (a) When, in connection with negotiations, a proposal is declared 
nonnegotiable, the party submitting the proposal shall, prior to the 
close of negotiations, submit to the other party a Request for Formal 
Negotiability Determination reciting the proposal in question. The party 
declaring the proposal nonnegotiable shall, within ten (10) days, 
deliver to the other party a Formal Negotiability Determination stating 
the basis for the Determination.
    (b) A Formal Negotiability Determination may be appealed to the 
Board within 20 days of its service by filing a Petition for Review with 
the Board. A complete statement of argument from the petitioner should 
accompany the Petition for Review.
    (c) The Board shall serve the Respondent with a copy of the Petition 
for Review and accompanying argument. Respondent shall reply to the 
Petition for Review within 20 days of its service upon respondent.
    (d) One or more members of the Board shall review the arguments, 
hold a hearing if the administrative judge deems it necessary, and issue 
a decision.
    (e) The decision shall become final in accordance with Secs. 28.86-
28.87.



Sec. 28.123  Standards of conduct for labor organizations.

    (a) The GAO shall only accord recognition to labor organizations 
that are free from corrupt influences and from influences opposed to 
basic democratic principles. An organization is not required to prove it 
is free from such influence if it is subject to governing requirements 
calling for the maintenance of:
    (1) Democratic procedures;
    (2) Freedom from totalitarian influence;
    (3) Independence on the part of its agents and officers from any 
business or financial interests which represent conflicts of interest or 
potential conflicts of interest; and
    (4) Fiscal integrity, including provision for the dissemination of 
regular financial reports to its members.
    (b) A labor organization which has or seeks recognition as a 
representative of employees under this chapter shall file financial and 
other reports with the Board and comply with trusteeship and election 
standards.
    (c) A labor organization which has or seeks recognition under these 
Rules shall adhere to principles enunciated in the Regulations issued by 
the Assistant Secretary of Labor for Labor/Management Relations 
regarding standards of conduct for labor organizations in the public 
sector. Complaints of violations of this section shall be filed with the 
Board. In any matter arising under this section, the Board may require a 
labor organization to cease and desist from violations of this section 
and require it to take such actions as it considers appropriate to carry 
out the policies of this section.
    (d) This chapter does not authorize participation in the management 
of a labor organization or acting as a representative of a labor 
organization by a management official, a supervisor, or a confidential 
employee, or by any employee if the participation or activity would 
result in a conflict or apparent conflict of interest or would otherwise 
be incompatible with law or with the official duties of the employee.
    (e) In the case of any labor organization which by omission or 
commission has willfully and intentionally called or participated in a 
strike, work stoppage or slowdown, or picketed in a manner which 
interfered with the operations of a government agency, or has condoned 
such activity, the Board shall, upon an appropriate finding it has made 
of such a violation--
    (1) Revoke the recognition status of the labor organization; or
    (2) Take any other appropriate disciplinary action.
    (f) The General Counsel may charge a labor organization with 
violations of this section. The Board shall conduct proceedings with 
regard to such charge and may require a labor organization to take such 
actions as it deems necessary to carry out the policies of this section.



Sec. 28.124  Review of arbitration awards.

    (a) Filing an exception. (1) Either party to arbitration, conducted 
pursuant to a grievance procedure under a collective bargaining 
agreement, may file with the Board an exception to the

[[Page 58]]

arbitrator's award rendered pursuant to the arbitration.
    (2) The time limit for filing an exception to an arbitration award 
is 30 days from the service of the award on the filing party.
    (3) An opposition to the exception may be filed by a party within 30 
days after the service of the exception.
    (4) A copy of the exception and any opposition shall be served on 
the other party.
    (b) Content of exception. An exception must be a dated, self-
contained document which sets forth in full:
    (1) A statement of the grounds on which review is requested;
    (2) Evidence or rulings bearing on the issues before the Board;
    (3) Arguments in support of the stated grounds, together with 
specific reference to the pertinent documents and citations of 
authorities;
    (4) A legible copy of the award of the arbitrator and legible copies 
of other pertinent documents; and
    (5) The name and address of the arbitrator.
    (c) Grounds for review. (1) The Board will review an arbitrator's 
award to which an exception has been filed to determine if the award is 
deficient--
    (i) Because it is contrary to any law, rule or regulation; or
    (ii) On other grounds similar to those applied by Federal courts in 
private sector labor-management relations.
    (2) The Board will not consider an exception where:
    (i) The award relates to an action based on unacceptable performance 
covered under 5 U.S.C. 4303;
    (ii) The award relates to a removal, suspension for more than 14 
days, reduction in grade, reduction in pay, or furlough of 30 days or 
less covered under 5 U.S.C. 7512; or
    (iii) the exception is based on a GAO rule which was not introduced 
into the record submitted to the arbitrator.
    (d) Board decision. The Board shall issue its decision and order 
taking such action and making such recommendations concerning the award 
as it considers necessary, consistent with applicable laws, rules, or 
regulations.



     Subpart G--Corrective Action, Disciplinary and Stay Proceedings



Sec. 28.130  General authority.

    The procedures in this subpart relate to the Board's functions ``to 
consider, decide and order corrective or disciplinary action (as 
appropriate) in cases arising'' from any area within the Board's 
jurisdiction.



Sec. 28.131  Corrective action proceedings.

    (a) When information comes to the attention of the General Counsel 
suggesting that a prohibited personnel practice may have occurred, 
exists or is to be taken, the General Counsel shall investigate the 
matter to the extent necessary to determine whether there are reasonable 
grounds to believe that a prohibited personnel practice has occurred, 
exists or is to be taken.
    (b) If the General Counsel terminates any investigation under this 
section which is not also the subject of a charge, the General Counsel 
shall prepare and transmit to any person on whose allegation the 
investigation was initiated, a written statement notifying the person of 
the termination of the investigation and the reasons therefore.
    (c) If the General Counsel determines that there are reasonable 
grounds to believe that a prohibited personnel practice has occurred, 
exists or is to be taken which requires corrective action and which is 
not also the subject of a charge, the General Counsel shall report the 
determination together with any findings or recommendations to the GAO.
    (d) If, after a reasonable period, GAO has not taken the corrective 
action recommended, the General Counsel may file a petition for review 
with the Board. Such petition for review shall be processed in 
accordance with Secs. 28.19 through 28.25.



Sec. 28.132  Disciplinary proceedings.

    (a) If the General Counsel determines after any investigation under 
31 U.S.C. 752(b) that disciplinary action should be initiated against an 
employee, the General Counsel shall prepare a written complaint against 
the employee containing his or her determination,

[[Page 59]]

together with a statement of the supporting facts, and present the 
complaint and the statement to the employee and the Board in accordance 
with paragraphs (b) and (c) of this section.
    (b) In the case of an employee in a confidential, policy making, 
policy-determining, or policy-advocating position appointed by the 
President, by and with the advice and consent of the Senate, the 
complaint and statement referred to in paragraph (a) of this section, 
with any response by the employee, shall be presented to the Congress 
for appropriate action in lieu of being presented under paragraph (d) of 
this section.
    (c) Any employee against whom a complaint has been presented to the 
Board under paragraph (a) of this section is entitled to:
    (1) A reasonable time to answer orally and in writing and to furnish 
affidavits and other documentary evidence in support of the answer;
    (2) Be represented by an attorney or other representative;
    (3) A hearing before the Board or a member designated by the Board;
    (4) Have a transcript kept of any hearing under paragraph (c)(3) of 
this section; and
    (5) A written decision and reasons therefor at the earliest 
practicable date, including a copy of a final decision ordering 
disciplinary action.
    (d) A final order of the Board may order disciplinary action 
consisting of removal, reduction in grade, debarment from GAO employment 
for a period not to exceed 5 years, suspension, reprimand, or an 
assessment of civil penalty not to exceed $1,000.
    (e) There may be no administrative appeal from an order of the Board 
under paragraph (d) of this section. An employee subject to a final 
decision ordering disciplinary action under this section may obtain 
judicial review of the order in the U.S. Court of Appeals for the 
Federal Circuit in accordance with 31 U.S.C. 755.



Sec. 28.133  Stay proceedings.

    (a) The General counsel may request the issuance of an ex parte 
stay, not to exceed 30 days in duration, of any proposed personnel 
action that, in the General Counsel's judgment, may constitute a 
prohibited personnel practice. Any such request shall be in writing and 
shall specify, among other things, the nature of the action to be stayed 
and the basis for the General Counsel's belief that a prohibited 
personnel practice may be involved. The General Counsel shall serve a 
copy of the request on the GAO. Within three business days of its 
filing, the request shall be granted by the Board member designated by 
the Board Chair to entertain it unless, in the opinion of that member, 
the request either fails to satisfy the requirements of this paragraph 
or, on its face, conclusively establishes the absence of a prohibited 
personnel practice.
    (b) The General Counsel may request either a further temporary stay 
or a permanent stay of the proposed personnel action. Such a request 
shall be filed and served so as to be received by the Board and the 
agency no less than 10 days before the expiration of any ex parte stay 
issued under paragraph (a) of this section. The agency's response to the 
request shall be filed and served so as to be received by the Board and 
the General Counsel no less than three days before the expiration of the 
ex parte stay issued under paragraph (a) of this section.
    (c) A stay request under paragraph (b) of this section will be 
considered and decided by the Board member who issued the ex parte stay 
under paragraph (a) of this section, unless the Board Chair determines 
that it should be considered and decided by the Board en banc.
    (d) Upon initial consideration of a stay request under paragraph (b) 
of this section, the Board or the designated member thereof may:
    (1) grant or deny the requested stay, in whole or in part, on the 
basis of the written submissions of the respective parties without 
additional briefing, oral argument, or the receipt of any documentary 
evidence or testimony;
    (2) require further briefing of the issues presented by the request 
and/or call for oral argument; or
    (3) conduct a hearing at which documentary evidence and testimony is 
received. If necessary, the ex parte stay

[[Page 60]]

issued under paragraph (a) of this section may be extended sua sponte 
for a period not to exceed 30 days to enable the Board or the designated 
member thereof a reasonable opportunity to decide the matter.
    (e) In acting upon a stay request under paragraph (b) of this 
section, the Board or the designated member thereof shall consider and 
balance such established equitable factors as:
    (1) The likelihood that the personnel action sought to be stayed 
involves a prohibited personnel practice; and
    (2) The nature and extent of the injury that the employee and the 
agency likely will suffer if the requested stay is or is not issued. If 
a further temporary stay is granted based on a claim that the General 
Counsel requires additional time to conclude an investigation of the 
employee's complaint, the duration of that further stay shall not exceed 
the amount of time necessary to complete the investigation in the 
exercise of a high degree of diligence.
    (f) Any order issued by a member of the Board granting or denying, 
in whole or in part, a stay request under paragraph (b) shall be subject 
to review by the Board en banc on the filing and service of a notice of 
appeal, accompanied by a supporting brief, within 10 days of the service 
of that order. Responsive briefs shall be filed and served within 10 
days of service of the appeal.
    (g) A motion to vacate a stay order may be filed at any time. A stay 
order issued by the Board en banc may not be vacated by a single Board 
member.



      Subpart H--Appeals by Members of the Senior Executive Service



Sec. 28.140  Personnel actions involving SES members.

    Members of the GAO Senior Executive Service (SES) may appeal adverse 
actions relating to misconduct, malfeasance or similar action to the 
Board in accordance with Subpart B of this part. Members of the GAO SES 
who allege that they have been subjected to a personnel action that 
constitutes a prohibited personnel practice or prohibited discrimination 
may appeal to the Board in accordance with subpart B or subpart D of 
this part respectively.



Sec. 28.141  Performance based actions.

    A career appointee removed from SES to a GAO position outside the 
SES for less than fully successful executive performance shall, upon 
notice of such removal, be entitled, upon request, to an informal 
hearing before a member of the Board designated by the Chair of the 
Board.
    (a) At the informal hearing, the career appointee and/or a 
representative and the agency may appear and present documentary 
evidence and argument.
    (b) The Board member will determine which, if any, witnesses will be 
allowed to testify. As a general rule, no cross-examination of witnesses 
will be allowed. The Board member will have discretion to allow cross-
examination of witnesses in exceptional circumstances.
    (c) The informal hearing shall not give the career appointee the 
right to initiate an action with the Board under another provision of 
these rules, nor need the removal action be delayed as a result of the 
granting of such hearing.



                   Subpart I--Ex Parte Communications



Sec. 28.145  Policy.

    It is the policy of the Board to regulate strictly ex parte 
communications between members of the Board and their decision-making 
personnel and any interested party to a proceeding before the Board.



Sec. 28.146  Explanation and definitions.

    (a) Ex parte communications are oral or written communications 
between decision-making personnel of the Board and an interested party 
to a proceeding without providing the other parties to the proceeding a 
chance to participate. Not all ex parte communications are prohibited, 
however, only those which involve the merits of the case or those which 
violate other rules requiring submissions to be in writing. Accordingly, 
interested parties may make inquiries about such matters as the status 
of a case, when it will be heard, and the method for transmitting 
evidence to the Board. Such communications should be directed to the

[[Page 61]]

Clerk of the Board. Parties may not inquire about such matters as what 
defense they should use or whether their evidence is adequate, make a 
submission orally which is required to be in writing, or otherwise 
inquire as to the merits of a pending case.
    (b) In this subpart--
    (1) ``Interested party'' includes:
    (i) Any party, including the General Counsel of the Board, or 
representative of a party involved in a proceeding before the Board;
    (ii) Any person desiring to intervene in any proceeding before the 
Board; or
    (iii) Any other person who might be affected by the outcome of a 
proceeding before the Board.
    (2) ``Decision-making personnel'' means the Board, a panel of Board 
members, a Board member, an administrative judge, and/or an employee of 
the Board, who reasonably can be expected to participate in the 
decision-making process of the Board.



Sec. 28.147  Prohibited communications.

    Ex parte communications concerning the merits of any matter before 
the Board for adjudication, or which would otherwise violate rules 
requiring written submissions, are prohibited from the time the 
interested party involved has knowledge that the matter may be 
considered by the Board until the Board has rendered a final decision on 
the case.



Sec. 28.148  Reporting of communications.

    Any communication made in violation of this section shall be made 
part of the record in the proceeding and an opportunity for rebuttal 
allowed. If the communication was oral, a memorandum stating the 
substance of the discussion shall be placed in the record.



Sec. 28.149  Sanctions.

    The following sanctions shall be available for violations of this 
Subpart:
    (a) The Board, a panel of Board members, a Board member or an 
administrative judge, as necessary, may, in the interest of justice, 
require the offending party to show cause why his or her claim, 
interest, motion or petition should not be dismissed, denied or 
otherwise adversely affected.
    (b) The Board, a panel of Board members, a Board member or an 
administrative judge, as necessary, may invoke such sanctions against 
any offending party as may be appropriate under the circumstances.



               Subpart J--Statement of Policy or Guidance



Sec. 28.155  Statement of policy or guidance.

    Upon petition by any person, or on its own motion, the Board may 
issue statements of policy or guidance. In determining whether to issue 
such a statement, the criteria to be considered by the Board will 
include, but not be limited to, the following:
    (a) Whether the question presented can more appropriately be 
resolved by other means;
    (b) Where other means are available, whether a Board statement would 
prevent the proliferation of cases;
    (c) Whether the resolution of the question presented would have 
general applicability;
    (d) Whether the question currently confronts the parties as part of 
their employee-management relationship;
    (e) Whether the question is presented jointly by the parties 
involved; and
    (f) Whether the issuance by the Board of a statement of policy or 
guidance would promote the purposes of the General Accounting Office 
Personnel Act.



PART 29--GENERAL ACCOUNTING OFFICE PERSONNEL APPEALS BOARD; PROCEDURES APPLICABLE TO CLAIMS CONCERNING EMPLOYMENT PRACTICES AT THE ARCHITECT OF THE CAPITOL--Table of Contents




Sec.
29.1  Purpose and scope.
29.2  Definitions.
29.3  Jurisdiction of the Board.
29.4  Computation of time.
29.5  Informal procedural advice.
29.6  Requirement for exhaustion of internal administrative remedies 
          provided by the Architect of the Capitol.
29.7  Notice of appeal rights.
29.8  Filing a charge with the General Counsel.
29.9  General Counsel procedures.

[[Page 62]]

29.10  Filing a petition for review with the Board.
29.11  Board procedures on petitions for review.
29.12  [Reserved]
29.13  Applicability of this part.

    Authority: 31 U.S.C. 753.

    Source: 59 FR 59106, Nov. 16, 1994, unless otherwise noted.



Sec. 29.1  Purpose and scope.

    (a) The purpose of this part is to implement the Board's authority 
under the Architect of the Capitol Human Resources Act, Public Law 103-
283, sec. 312, 108 Stat. 1443 (July 22, 1994). That act authorizes the 
Board to adjudicate certain claims of discrimination and retaliation 
brought by employees of the Architect of the Capitol. The rules 
contained in this part establish the procedures to be followed by:
    (1) Employees of the Architect of the Capitol in pursuing 
discrimination and retaliation claims before the Board;
    (2) The Architect of the Capitol in its dealings with the Board; and
    (3) The Board in carrying out its responsibilities under the 
Architect of the Capitol Human Resources Act.
    (b) In considering any procedural matter not specifically addressed 
by these rules, the Board will be guided, but not bound, by the Federal 
Rules of Civil Procedure.



Sec. 29.2  Definitions.

    In this part--
    Board means the General Accounting Office Personnel Appeals Board as 
established by 31 U.S.C. 751.
    Charge means an allegation, filed with the Board's General Counsel, 
of an unlawful discriminatory practice that is within the Board's 
jurisdiction under the Architect of the Capitol Human Resources Act, 
Public Law 103-283, sec. 312, 108 Stat. 1443 (July 22, 1994).
    Charging party means an individual filing a charge with the Board's 
General Counsel.
    Clerk of the Board means the individual appointed by the Board to 
receive papers filed with the Board, to maintain the Board's official 
files, and to advise parties and members of the public on the Board's 
procedures.
    Days mean calendar days.
    Employee of the Architect of the Capitol means any employee of or 
applicant for employment with the Architect of the Capitol, the Botanic 
Garden, or the Senate restaurants. It also includes, within 180 days 
after the termination of such employment, any individual who was 
formerly an employee of the Architect of the Capitol, the Botanic 
Garden, or the Senate restaurants, and whose claim of violation arises 
out of such employment. The term ``employee of the Architect of the 
Capitol'' does not include any individual who is a House of 
Representatives garage or parking lot attendant, including the 
superintendent.
    General Counsel means the General Counsel of the Board, as provided 
for under 31 U.S.C. 752.
    Petition for Review means any request filed with the Board for 
action to be taken on matters within the Board's jurisdiction pursuant 
to the Architect of the Capitol Human Resources Act, Public Law 103-283, 
sec. 312, 108 Stat. 1443 (July 22, 1994).
    Petitioner means any individual filing a petition for review with 
the Board.
    Solicitor means the attorney appointed by the Board to provide 
advice and assistance to the Board in carrying out its adjudicatory 
functions and to advise parties and members of the public on the Board's 
procedures.



Sec. 29.3  Jurisdiction of the Board.

    (a) The Board has jurisdiction to hear and adjudicate claims brought 
by employees of the Architect of the Capitol alleging discrimination in 
employment based on:
    (1) Race, color, religion, sex, or national origin, within the 
meaning of section 717 of the Civil Rights Act of 1964, as amended, 42 
U.S.C. 2000e-16;
    (2) Age, within the meaning of section 15 of the Age Discrimination 
in Employment Act of 1967, as amended, 29 U.S.C. 633a; or
    (3) Handicap or disability, within the meaning of section 501 of the 
Rehabilitation Act of 1973, as amended, 29 U.S.C. 791, and sections 102 
through 104 of the Americans with Disabilities Act of 1990, 42 U.S.C. 
12112-12114.
    (b) The Board has jurisdiction to hear and adjudicate claims brought 
by any individual alleging that he or she was

[[Page 63]]

subjected, by any employee of the Architect of the Capitol, to 
intimidation or reprisal because of the exercise of any right under the 
Architect of the Capitol Human Resources Act. This includes claims of 
retaliation against an individual because he or she:
    (1) Opposed practices made unlawful by the Architect of the Capitol 
Human Resources Act;
    (2) Filed a charge or petition for review with the Board;
    (3) Utilized the internal procedures provided by the Architect of 
the Capitol for the resolution of claims of discrimination or reprisal 
including, but not limited to, the filing of a request for formal or 
informal advice or the filing of a formal complaint; or
    (4) Participated in any proceedings before the Board or the 
Architect of the Capitol for the resolution of complaints of 
discrimination or reprisal.

[59 FR 59106, Nov. 16, 1994, as amended at 60 FR 35119, July 6, 1995]



Sec. 29.4  Computation of time.

    For the purposes of this part, time will be computed in the manner 
described in 4 CFR 28.4.



Sec. 29.5  Informal procedural advice.

    Any party or member of the public may seek advice on all aspects of 
the Board's procedures by contacting the Board's Solicitor, the Board's 
General Counsel or the Clerk of the Board. Informal advice will be 
supplied within the limits of available time and staff.



Sec. 29.6  Requirement for exhaustion of internal administrative remedies provided by the Architect of the Capitol.

    (a) General. Under the provisions of the Architect of the Capitol 
Human Resources Act, any employee of the Architect of the Capitol who 
wishes to pursue a claim of discrimination or retaliation before the 
Board must first file an internal complaint with the Architect of the 
Capitol and exhaust the procedures for resolving such complaints. The 
procedures for filing such complaints are at present set forth in the 
Equal Employment Opportunity Procedures Manual issued by the Architect 
of the Capitol. The internal procedures for resolving complaints of 
discrimination or retaliation will be considered exhausted when either 
of the following occurs:
    (1) The employee receives a final decision by the Architect of the 
Capitol on his or her complaint of discrimination or retaliation; or
    (2) 150 days have passed after the filing of an internal complaint 
of discrimination or retaliation and the Architect of the Capitol has 
not issued a final decision on the complaint.
    (b) Class claims. An employee of the Architect of the Capitol who 
wishes to seek relief before the Board for a class of employees shall 
first file an internal complaint of discrimination or retaliation with 
the Architect of the Capitol and exhaust the internal remedies for 
resolution of such complaints as described in paragraph (a) of this 
section. It is not necessary that the employee raise class allegations 
in his or her internal complaint in order to be able to pursue the 
matter as a class action before the Board.
    (c) Filing a charge with the Board's General Counsel following 
exhaustion of administrative remedies. If, following the exhaustion of 
internal administrative remedies as described in paragraphs (a) or (b) 
of this section, an employee of the Architect of the Capitol wishes to 
pursue the matter before the Board, the employee may file a charge with 
the Board's General Counsel. The procedures for filing such a charge are 
set forth in Sec. 29.8.

[59 FR 59106, Nov. 16, 1994, as amended at 60 FR 35119, July 6, 1995]



Sec. 29.7  Notice of appeal rights.

    (a) The Architect of the Capitol shall be responsible for ensuring 
that employees are routinely advised of their appeal rights to the 
Board. Any final decision on an internal complaint of discrimination 
shall include a notice of the complainant's right to pursue the matter 
before the Board including:
    (1) The time limits for appealing to the Board;
    (2) The address of the Board;
    (3) The employee's right to representation before the Board;
    (4) The availability of a hearing before the Board where factual 
issues are in dispute; and

[[Page 64]]

    (5) The employee's right to a reasonable amount of official time for 
the preparation and presentation of his or her appeal.
    (b) A copy of the Board's regulations shall be attached to the 
notice required by paragraph (a) of this section. The notice shall also 
be accompanied by proof of service.



Sec. 29.8  Filing a charge with the General Counsel.

    (a) Who may file. Any employee of the Architect of the Capitol who 
claims that he or she has been subjected to unlawful discrimination or 
retaliation (as defined in Sec. 29.3) may file a charge with the Board's 
General Counsel. One or more employees may file a charge as 
representative of a class of employees of the Architect of the Capitol.
    (b) When to file. A charge by an employee of the Architect of the 
Capitol must be filed at either of the following times:
    (1) Within 30 days after the receipt of a final decision by the 
Architect of the Capitol on the employee's internal complaint of 
discrimination or retaliation; or
    (2) At any time after the passage of 150 days following the filing 
of an internal complaint of discrimination or retaliation, if the 
Architect of the Capitol has not yet issued a final decision on the 
internal complaint.
    (c) How to file. Charges may be filed with the General Counsel in 
person or by mail. Please note that the address to be used differs for 
the two kinds of filing.
    (1) Filing in person: A charge may be filed in person at the Office 
of the General Counsel, Suite 580, Union Center Plaza II, 820 First St. 
NE., Washington, DC.
    (2) Filing by mail: A charge may be filed by mail addressed to the 
General Counsel, Personnel Appeals Board, Suite 580, Union Center Plaza 
II, 441 G Street, NW., Washington, DC 20548. When filed by mail, the 
postmark shall be date of filing for all submissions to the General 
Counsel.
    (d) What to file. The charge should include the following 
information:
    (1) Name, address, and telephone number of the charging party. In 
the case of a class action, a clear description of the class of 
employees on whose behalf a charge is filed;
    (2) The names and titles of persons, if any, responsible for actions 
the charging party wishes to have the General Counsel review;
    (3) The actions complained about, including dates and reason given;
    (4) The charging party's reasons for believing that the actions 
taken constitute unlawful discrimination;
    (5) Remedies sought by the charging party;
    (6) Information concerning the charging party's exhaustion of 
administrative remedies before the Architect of the Capitol, including 
the date the internal complaint of discrimination was filed and, if 
applicable, the date on which the employee received a final decision 
from the Architect of the Capitol on his or her complaint of 
discrimination;
    (7) Name and address of the representative, if any, who will act for 
the charging party;
    (8) Signature of the charging party or the charging party's 
representative.
    (e) Attorney fees only issue raised. The General Counsel shall not 
represent the petitioner when the only issue raised is attorney fees. 
When attorney fees are the only issue raised in a charge to the General 
Counsel, the General Counsel shall transmit the charge to the Board for 
processing as a petition for review.

[59 FR 59106, Nov. 16, 1994, as amended at 60 FR 35119, July 6, 1995; 61 
FR 36811, July 15, 1996]



Sec. 29.9  General Counsel procedures.

    (a) The General Counsel shall serve on the Architect of the Capitol 
a copy of the charge, investigate the matters raised in the charge, 
refine the issues where appropriate, and attempt to settle all matters 
at issue.
    (b) The General Counsel's investigation may include gathering 
information from the Architect of the Capitol, and interviewing and 
taking statements from witnesses. Employees of the Architect of the 
Capitol shall be on official time during the time that they are 
responding to any requests from the General Counsel.
    (c) Following the investigation, the General Counsel shall provide 
the charging party with a Right to Appeal

[[Page 65]]

Letter. Accompanying this letter will be a statement of the General 
Counsel advising the charging party of the results of the investigation. 
This statement of the General Counsel is not subject to discovery and 
may not be introduced into evidence before the Board.
    (d) If, following the investigation, the General Counsel determines 
that there are not reasonable grounds to believe that the charging party 
has been subjected to unlawful discrimination or retaliation as 
described in Sec. 29.3, then the General Counsel shall not represent the 
charging party. If the General Counsel determines that there are 
reasonable grounds to believe that the charging party has been subjected 
to such discrimination or retaliation, then the General Counsel shall 
represent the charging party, unless the charging party elects not to be 
represented by the General Counsel. Any charging party may represent 
him- or herself or obtain other representation.
    (e) When the charging party elects to be represented by the General 
Counsel, the General Counsel is to direct the representation in the 
charging party's case. The charging party may also retain a private 
representative in such cases. However, the role of the private 
representative is limited to assisting the General Counsel as the 
General Counsel determines to be appropriate.
    (f) When the General Counsel is not participating in a case, the 
General Counsel may request permission to intervene with respect to any 
issue in which the General Counsel finds a significant public interest 
in the enforcement of the right to be free of unlawful discrimination 
and retaliation in employment.



Sec. 29.10  Filing a petition for review with the Board.

    (a) Who may file. A petition for review may be filed with the Board 
by any employee of the Architect of the Capitol who has received a Right 
to Appeal Letter from the General Counsel and who is claiming to have 
been subjected to unlawful discrimination or retaliation as described in 
Sec. 29.3.
    (b) When to file. Petitions for review must be filed within 30 days 
after service upon the charging party of the Right to Appeal Letter from 
the General Counsel.
    (c) How to file. Petitions for review may be filed in person or by 
mail. Please note that the address to be used differs for the two kinds 
of filing.
    (1) Filing in person: A petition may be filed in person at the 
office of the Board, Suite 560, Union Center Plaza II, 820 First Street 
NE., Washington, DC.
    (2) Filing by mail: A petition may be filed by mail addressed to the 
Personnel Appeals Board, Suite 560, Union Center Plaza II, 441 G Street, 
NW., Washington DC 20548. When filed by mail, the postmark shall be the 
date of filing for all submissions to the Board.
    (d) What to file. The petition for review shall include the 
following information:
    (1) The name, address, and telephone number of the petitioner. In 
the case of a class action, a clear description of the class of 
employees on whose behalf the petition is being filed;
    (2) The names and titles of persons, if any, responsible for the 
actions the petitioner wishes to have the Board review;
    (3) The actions being complained about including dates and reasons 
given;
    (4) Petitioner's reasons for believing that the actions constituted 
unlawful discrimination or retaliation;
    (5) Remedies sought by petitioner;
    (6) Information concerning petitioner's exhaustion of administrative 
remedies before the Architect of the Capitol, including the date that an 
internal complaint of discrimination or retaliation was filed and the 
date, if applicable, that the petitioner received a final decision from 
the Architect of the Capitol;
    (7) Name, address, and telephone number of the representative, if 
any, who will act for the petitioner;
    (8) Signature of the petitioner or the petitioner's representative.
    (e) Amendments to a petition for review. Failure to raise a claim in 
the petition for review shall not bar its submission later unless to do 
so would prejudice the rights of the other parties or unduly delay the 
proceedings.
    (f) Class Actions. One or more employees of the Architect of the 
Capitol may

[[Page 66]]

file a petition for review as representatives of a class of employees in 
any matter within the Board's jurisdiction as set forth in Sec. 29.3. In 
determining whether it is appropriate to treat an appeal as a class 
action, the Board will be guided, but not controlled, by the applicable 
provisions of the Federal Rules of Civil Procedure.

[59 FR 59106, Nov. 16, 1994, as amended at 61 FR 36811, July 15, 1996]



Sec. 29.11  Board procedures on petitions for review.

    In adjudicating petitions for review filed by employees of the 
Architect of the Capitol, the Board will generally follow the same 
procedures as it does for adjudicating petitions for review filed by 
General Accounting Office (GAO) employees under 4 CFR part 28, subpart 
B. The Board specifically adopts the regulations contained in 4 CFR 
28.19 through 28.90 as the procedures it will follow for petitions for 
review filed by Architect of the Capitol employees. The Architect of the 
Capitol will have the same obligations and responsibilities as are 
assigned to the GAO under those regulations. The regulations concerning 
ex parte communications, contained in 4 CFR part 28, subpart I, will 
also be applicable to all proceedings brought by or on behalf of 
employees of the Architect of the Capitol.



Sec. 29.12  [Reserved]



Sec. 29.13  Applicability of this part.

    (a) The regulations in this part do not apply to any claim of 
discrimination or retaliation by an employee of the Architect of the 
Capitol which was pending before, or an appeal from, the Office of 
Senate Fair Employment Practices on the July 22, 1994, effective date of 
the Architect of the Capitol Human Resources Act. Any such claims shall 
continue to be processed pursuant to the procedures established in the 
Government Employee Rights Act of 1991, 2 U.S.C. 1201, et seq.
    (b) The regulations in this part apply to all charges filed with the 
Board prior to January 23, 1996, the effective date of Sec. 201 of the 
Congressional Accountability Act of 1995 (CAA), Pub. L. 104-1, 109 Stat. 
3 (January 23, 1995). They also apply to any charge filed after that 
date pursuant to the terms of Sec. 506(b) of the CAA.

[59 FR 59106, Nov. 16, 1994, as amended at 60 FR 35119, July 6, 1995]



                       SUBCHAPTERS C-D  [RESERVED]



[[Page 67]]







              SUBCHAPTER E--STANDARDIZED FISCAL PROCEDURES





PART 75--CERTIFICATES AND APPROVALS OF BASIC VOUCHERS AND INVOICES--Table of Contents




    Authority: 31 U.S.C. 711 and 3511.



Sec. 75.1  Contractors' and vendors' certificates.

    (a) The General Accounting Office no longer requires that a 
certificate as to correctness and nonpayment be executed on the bills 
and invoices of contractors and vendors, with the exception that 
carriers, or other corporations, agencies, or persons furnishing 
transportation and accessorial services to the Government must continue 
to execute the certificates as provided in chapter 101 of 41 CFR part 
41. Pending the eventual elimination of the contractors' and vendors' 
certificates from all other standard voucher forms, the certificates on 
such other forms need no longer be executed. However, the elimination of 
this requirement does not dispense with the necessity for the specific 
certification of facts required by certain contracts.
    (b) The omission of the certificate from bills or invoices submitted 
for payment to Government agencies does not in any manner lessen the 
responsibility of contractors and vendors in complying with all 
statutory requirements applicable to transactions with the Government, 
nor will it be construed as mitigating their liability for asserting 
false, fictitious, or fraudulent claims against the United States, 
penalties for which are set forth in 18 U.S.C. 287.

[22 FR 10906, Dec. 28, 1957, as amended at 47 FR 50843, Nov. 10, 1982; 
47 FR 56980, Dec. 22, 1982]

[[Page 68]]





                          SUBCHAPTER F--RECORDS





PART 81--PUBLIC AVAILABILITY OF GENERAL ACCOUNTING OFFICE RECORDS--Table of Contents




Sec.
81.1  Purpose and scope of part.
81.2  Administration.
81.3  Definitions.
81.4  Requests for identifiable records.
81.5  Records originating outside GAO, or records involving work in 
          progress.
81.6  Records which may be exempt from disclosure.
81.7  Fees and charges.
81.8  Public reading facility.

    Authority:  31 U.S.C. 711.

    Source: 49 FR 38527, Oct. 1, 1984, unless otherwise noted.



Sec. 81.1  Purpose and scope of part.

    This part implements the policy of the U.S. General Accounting 
Office (GAO) with respect to the public availability of GAO records. 
While GAO is not subject to the Freedom of Information Act (5 U.S.C. 
552), GAO's disclosure policy follows the spirit of the act consistent 
with its duties and functions and responsibility to the Congress. 
Application of this act to GAO is not to be inferred from the provisions 
of these regulations.



Sec. 81.2  Administration.

    The administration of this part is the duty and responsibility of 
the Director, Office of Policy (OP), U.S. General Accounting Office, 441 
G Street, NW., Washington, D.C. 20548, and to that end the Director 
shall promulgate such supplemental rules or regulations as may be 
necessary.



Sec. 81.3  Definitions.

    As used in this part:
    (a) Identifiable means a reasonably specific description of a 
particular record sought, such as the date of the record, subject 
matter, agency or person involved, etc., which will permit location or 
retrieval of the record.
    (b) Records includes all books, papers, manuals, maps, photographs, 
reports, and other documentary materials, regardless of physical form or 
characteristics under the control of GAO in pursuance of law or in 
connection with the transaction of public business. In the context of a 
request for a record or records, the term ``records'' refers only to a 
record in being and under the control of GAO. It does not include the 
compiling or procuring of a record. Nor does it include library or 
museum material made or acquired and preserved solely for reference or 
exhibition purposes, or extra copies of documents preserved only for 
convenience of reference. It is intended that GAO publications are not 
within the purview of this order. GAO published reports and decisions or 
listing of reports should be obtained from the U.S. General Accounting 
Office, Information Handling and Support Facility (IHSF), P.O. Box 6015, 
Gaithersburg, Md. 20877, phone (202) 275-6241.
    (c) Records available to the public means records which may be 
examined or copied or of which copies may be obtained, in accordance 
with this part, by the public or representatives of the press regardless 
of interest and without specific justification.
    (d) Disclose or disclosure means making available for examination or 
copying, or furnishing a copy.
    (e) Person includes an individual, partnership, corporation, 
association, or public or private organization other than a Federal 
agency.



Sec. 81.4  Requests for identifiable records.

    (a) A request to inspect or obtain a copy of an identifiable record 
of GAO must be submitted in writing to the Director, OP (see Sec. 81.2), 
who will promptly acknowledge and record the request.
    (b) The Director, OP, or other GAO organizational unit will promptly 
honor the request if no valid objection exists to the propriety of such 
action and the requester is willing and able to pay the prescribed fees 
for making the record available for inspection or copying or being 
provided with a copy.
    (c) In the event of an objection or doubt as to the propriety of 
providing the requester with a copy of the record

[[Page 69]]

sought, every effort will be made to resolve such problems as quickly as 
possible, including consultation with appropriate GAO elements. If it is 
determined that the record should be withheld, the Director, OP, shall 
inform the requester in writing that the request has been denied; shall 
identify the material withheld; and shall explain the basis for the 
denial.
    (d) A person whose request is denied shall be informed that further 
consideration of his/her request may be obtained by a letter to the 
Comptroller General of the United States setting forth the basis for the 
belief that the denial of the request was unwarranted.



Sec. 81.5  Records originating outside GAO, or records involving work in progress.

    (a) It is the policy of GAO not to provide records from its files 
that originate in another agency or nonfederal organization to persons 
who may not be entitled to obtain the records from the originator. In 
such instances, requesters will be referred to the person or 
organization that originated the records.
    (b) In order to avoid disruption of work in progress, and in the 
interests of fairness to those who might be adversely affected by the 
release of information which has not been fully reviewed to assure its 
accuracy and completeness, it is the policy of GAO not to provide 
records which are part of ongoing reviews or other current projects. In 
response to such requests, GAO will inform the requester of the 
estimated completion date of the review or project so that the requester 
may then ask for the records. At that time, the records may be released 
unless exempt from disclosure under Sec. 81.6.



Sec. 81.6  Records which may be exempt from disclosure.

    The public disclosure of GAO records contemplated by this part does 
not apply to records, or parts thereof, within any of the categories 
listed below. Unless precluded by law, the Director, OP, may 
nevertheless release records within these categories.
    (a) Congressional correspondence and other papers relating to work 
performed in response to a congressional request (unless authorized by 
the congressional requester), and congressional contact memoranda.
    (b) Records specifically required by an Executive Order to be kept 
secret in the interest of national defense or foreign policy. An example 
of this category is a record classified under Executive Order 12356, 
National Security Information.
    (c) Records related solely to the internal personnel rules and 
practices of an agency. This category includes, in addition to internal 
matters of personnel administration, internal rules and practices which 
cannot be disclosed without prejudice to the effective performance of an 
agency function. Examples within the purview of this exemption are 
guidelines, and procedures for auditors, investigators, or examiners.
    (d) Records specifically exempted from disclosure by statute 
provided that such statute (1) requires that the matters be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (2) establishes particular criteria for withholding or refers to 
particular types of matters to be withheld.
    (e) Records containing trade secrets and commercial or financial 
information obtained from a person and privileged or confidential. This 
exemption may include, but is not limited to, business sales statistics, 
inventories, customer lists, scientific or manufacturing processes or 
development information.
    (f) Personnel and medical files and similar files the disclosure of 
which could constitute a clearly unwarranted invasion of personal 
privacy. This exemption excludes from disclosure all personnel and 
medical files, and all private or personal information contained in 
other files, which, if disclosed to the public, would amount to a 
clearly unwarranted invasion of the privacy of any person. An example of 
such other files within the exemption would be files compiled to 
evaluate candidates for security clearance.
    (g) Records and information compiled for law enforcement purposes.
    (h) Records having information contained in or related to 
examination, operation, or condition reports prepared

[[Page 70]]

by, on behalf of, or for the use of an agency responsible for the 
regulation or supervision of financial institutions.
    (i) Records containing geological and geophysical information and 
data (including maps) concerning wells.
    (j) Inter-agency or intra-agency memoranda, letters or other 
materials that are part of the deliberative process. For example, this 
exemption includes internal communications such as GAO or other agency 
draft reports, and those portions of internal drafts, memoranda and 
workpapers containing opinions, recommendations, advice or evaluative 
remarks of GAO employees. This exemption seeks to avoid the inhibiting 
of internal communications, and the premature disclosure of documents 
which would be detrimental to an agency function.
    (k) Records in addition to those described in paragraph (j) of this 
section containing information customarily subject to protection as 
privileged in a court or other proceedings, such as information 
protected by the doctor-patient, attorney-work product, or lawyer-client 
privilege.
    (l) Unsolicited records containing information submitted by any 
person to GAO in confidence and records which GAO has obligated itself 
not to disclose. An example of records covered by this exemption would 
be information obtained by the GAO Fraud Referral and Investigations 
Group (GAO Hotline).

[49 FR 38527, Oct. 1, 1984, as amended at 53 FR 50913, Dec. 19, 1988]



Sec. 81.7  Fees and charges.

    (a) No fee or charge will be made for:
    (1) Records provided under provisions of this part when the direct 
search and reproduction costs are less than $25.
    (2) Records requested which are not found or which are determined to 
be exempt under provisions of this part.
    (3) Staff-hours spent in resolving any legal or policy questions 
pertaining to the request.
    (4) Copies of records including those certified as true copies, that 
are furnished for official use to any officer or employee of the federal 
government.
    (5) When necessary or desirable to the performance of a function of 
GAO, copies of pertinent records furnished to a party having a direct 
and immediate interest in a matter pending before the Office.
    (b) When costs are $25 or more, the fees and charges described 
below, will be assessed for the direct costs of search and reproduction 
of records available to the public under this part.
    (1) The reproduction charge per page shall be 20 cents.
    (2) Certification of authenticity shall be $10 for each certificate.
    (3) Search for records by office personnel.
    (i) Clerical personnel--$10 an hour.
    (ii) Professional personnel--$20 an hour.
    (4) Other direct costs related to the request may be charged for 
such items as computer searches.
    (c) GAO shall notify the requester and may require an advance 
deposit where the anticipated fees will exceed $50.
    (d) Fees and charges shall be paid by check or money order payable 
to the U.S. General Accounting Office.
    (e) Fees established by this section may be waived or reduced upon a 
determination by the Director, OP, that disclosure of the information is 
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 commerical interest of the 
requester. Persons seeking such waiver or reduction of fees may be 
required to submit a statement setting forth the intended purpose for 
which the records are requested or otherwise indicate how disclosure 
will primarily benefit the public and, in appropriate cases, explain why 
the volume of records requested is necessary. Determinations pursuant to 
this paragraph are solely within the discretion of GAO.

[49 FR 38527, Oct. 1, 1984, as amended at 53 FR 50913, Dec. 19, 1988]



Sec. 81.8  Public reading facility.

    A public reading facility shall be maintained by the General 
Accounting Office at 441 G Street NW., Washington, DC. The facility, 
under the control of the Office of the General Counsel, shall be open to 
the public from 8:30 a.m. to

[[Page 71]]

5:00 p.m. except Saturdays, Sundays, and holidays.

[53 FR 50913, Dec. 19, 1988]



PART 82--FURNISHING RECORDS OF THE GENERAL ACCOUNTING OFFICE IN JUDICIAL PROCEEDINGS--Table of Contents




Sec.
82.1  Court subpoenas or requests.
82.2  Fees and charges.

    Authority: 31 U.S.C. 711, 713, 714, 718, 3523, 2524, 2526, and 3529.



Sec. 82.1  Court subpoenas or requests.

    (a) A subpoena or request from a court for records of the General 
Accounting Office should be directed to the Comptroller General of the 
United States and served upon the Records Management and Services 
Officer, Office of Information Systems and Services.
    (b) In honoring a court subpoena or request original records may be 
presented for examination but must not be presented as evidence or 
otherwise used in any manner by reason of which they may lose their 
identity as official records of the General Accounting Office. They must 
not be marked or altered, or their value as evidence impaired, 
destroyed, or otherwise affected. In lieu of the original records, 
certified copies will be presented for evidentiary purposes since they 
are admitted in evidence equally with the originals (31 U.S.C. 704).

[33 FR 358, Jan. 10, 1968, as amended at 45 FR 84955, Dec. 24, 1980; 47 
FR 56980, Dec. 22, 1982]



Sec. 82.2  Fees and charges.

    The provisions of Sec. 81.7 of this chapter are applicable to this 
part; however, where the charging of fees is appropriate, they need not 
be collected in advance.

[33 FR 358, Jan. 10, 1968, as amended at 47 FR 56980, Dec. 22, 1982]



PART 83--PRIVACY PROCEDURES FOR PERSONNEL RECORDS--Table of Contents




Sec.
83.1  Purpose and scope of part.
83.2  Administration.
83.3  Definitions.
83.4  Conditions of disclosure.
83.5  Specific disclosure of information.
83.6  Accounting of certain disclosures.
83.7  GAO policy and requirements.
83.8  Standards of conduct.
83.9  Social Security number.
83.10  First Amendment rights.
83.11  Official Personnel Folder.
83.12  Procedures for individual access to records.
83.13  Inquiries.
83.14  Denial of access requests.
83.15  Request for amendment of record.
83.16  Administrative review of request for amendment of record.
83.17  Fees.
83.18  Rights of legal guardians.
83.19  Government contractors.
83.20  Mailing lists.
83.21  Exemptions.

Appendix I to part 83--Memorandum of Understanding

    Authority: 31 U.S.C. 711(1); Memorandum of Understanding between the 
U.S. Office of Personnel Management, the National Archives and Records 
Service of the General Services Administration and the U.S. General 
Accounting Office; 4 CFR part 81; 5 CFR parts 294-297; and 31 U.S.C. 
731, et seq.

    Source: 50 FR 13162, Apr. 3, 1985, unless otherwise noted.



Sec. 83.1  Purpose and scope of part.

    This part describes the policy and prescribes the procedures of the 
U.S. General Accounting Office (GAO) with respect to maintaining and 
protecting the privacy of GAO personnel records. While GAO is not 
subject to the Privacy Act (Act) (5 U.S.C. 552a), GAO's policy is to 
conduct its activities in a manner that is consistent with the spirit of 
the Act and its duties, functions, and responsibilities to the Congress. 
Application of the Privacy Act to GAO is not to be inferred from the 
provisions of these regulations. These regulations are designed to 
safeguard individuals against invasions of personal privacy by requiring 
GAO, except as otherwise provided by law, to--
    (a) Protect privacy interests of individuals by imposing 
requirements of accuracy, relevance, and confidentiality for the 
maintenance and disclosure of personnel records;
    (b) Inform individuals of the existence of systems of personnel 
records maintained by GAO containing personal information; and

[[Page 72]]

    (c) Inform individuals of the right to see and challenge the 
contents of personnel records containing information about them.

This part applies to all systems of personnel records (as defined in 
Sec. 83.3(g)) for which GAO is responsible.



Sec. 83.2  Administration.

    The administration of this part is the duty and responsibility of 
the Director, Personnel, U.S. General Accounting Office, 441 G Street 
NW., Washington, D.C. 20548. To this end, the Director, Personnel, in 
consultation with the Office of the General Counsel, is authorized to 
issue such supplemental regulations or procedural directives as may be 
necessary and appropriate.
    (a) The Director, Personnel, shall have general responsibility and 
authority for implementing this part, including--
    (1) Approving all systems of personnel records to be maintained by 
GAO (whether physically located in GAO's Office of Personnel or 
elsewhere), including the contents and uses of such systems, accounting 
methods, and security methods; and
    (2) Responding to an individual's request to gain access to or amend 
his or her own personnel records.
    (b) The Director, Personnel, may delegate within GAO any of his 
functions under this part.



Sec. 83.3  Definitions.

    As used in this part:
    (a) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (b) Information means papers, records, photographs, magnetic storage 
media, micro storage media, and other documentary materials, regardless 
of physical form or characteristics, containing data about an individual 
and required by GAO in pursuance of law or in connection with the 
discharge of official business, as defined by statute, regulation, or 
administrative procedure;
    (c) Maintain includes to collect, to use, or to disseminate;
    (d) Personnel record means any record concerning an individual which 
is maintained pursuant to GAO's personnel management process or 
personnel policy setting process;
    (e) Record means any item, collection, or grouping of information 
about an individual that is maintained by GAO, including, but not 
limited to, education, financial transactions, medical history, criminal 
history, or employment history, that contains the name or other 
identifying particular assigned to the individual, such as a 
fingerprint, voice print, or a photograph;
    (f) Routine use means the disclosure of a record for a purpose which 
is compatible with the purpose for which it was collected;
    (g) System of personnel records means a group of personnel records 
under the control of GAO from which information is retrieved by the name 
of the individual or by some identifying number, symbol, or other 
indentifying particular assigned to the individual; and,
    (h) System manager means the Director of Personnel, his designee, or 
other GAO official designated by the Comptroller General, who has the 
authority to decide matters relative to systems of personnel records 
maintained by GAO.



Sec. 83.4  Conditions of disclosure.

    GAO shall not disclose any record that is contained in a system of 
personnel records by an means of communication to any person or 
organization, including another agency, without the prior written 
consent of the individual to whom the record pertains, unless disclosure 
of the record would be:
    (a) To those officers and employees of GAO who have a need for the 
record in the performance of their duties; or
    (b) Required under regulations implementing the public availability 
of GAO records published at part 81 of this chapter, or authorized under 
Sec. 83.5; or
    (c) For a routine use as defined in Sec. 83.3(f); or
    (d) To a recipient who has provided GAO 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; or
    (e) To another agency or an instrumentality of any governmental 
jurisdiction within or under the control of

[[Page 73]]

the United States for a civil or criminal law enforcement activity if 
the activity is authorized by law, if the head of the agency or 
instrumentality has made a written request to GAO specifying the 
particular record desired and the law enforcement activity for which the 
record is sought; or
    (f) To any person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual (not necessarily the 
data subject) if upon such disclosure notification is transmitted to the 
last known address of the subject of the personnel record; or
    (g) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee of Congress; or
    (h) Pursuant to the order of a court of competent jurisdiction or in 
connection with any judicial or quasi-judicial proceedings; or
    (i) 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, United States Code; or
    (j) 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 U.S. Government, or for evaluation by the 
Administrator of General Services or his designee to determine whether 
the record has such value; or
    (k) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).



Sec. 83.5  Specific disclosure of information.

    (a) This section governs responses to a member of the public, 
prospective employers, and law enforcement officials, for access to 
information covered by this part. It does not limit in any way other 
disclosures of information pursuant to other provisions of this part.
    (b) The following information about most present and former GAO 
employees is available to the public:
    (1) Name;
    (2) Present and past position titles;
    (3) Present and past grades;
    (4) Present and past salaries; and
    (5) Present and past duty stations (which include room numbers, shop 
designations, or other identifying information regarding buildings or 
places of employment.
    (c) Disclosure of the above information will not be made where the 
information requested is a list of present or past position titles, 
grades, salaries, and/or duty stations of Government employees which, as 
determined by the Director, Personnel, is:
    (1) Selected in such a way as to constitute a clearly unwarranted 
invasion of personal privacy because the nature of the request calls for 
a response that would reveal more about the employees on whom 
information is sought than the five enumerated items; or
    (2) Would otherwise be protected from mandatory disclosure under an 
exemption of part 81 of this title concerning the public availability of 
GAO records.
    (d) In addition to the information that may be made available under 
paragraph (a) of this section, GAO may make available the following 
information to a prospective employer of a GAO employee or former GAO 
employee:
    (1) Tenure of employment;
    (2) Civil service status;
    (3) Length of service in GAO and the Government; and
    (4) When separated, the date and reason for separation shown on the 
required standard form.
    (e) In addition to the information to be made available under 
paragraph (a) of this section, the home address of an employee shall be 
made available to a police or court official on receipt of a proper 
request stating that an indictment has been returned against the 
employee or that complaint, information, accusation, or other writ 
involving nonsupport or a criminal offense has been filed against the 
employee and the employee's address is needed for service of a summons, 
warrant, subpoena, or other legal process.
    (f) Except as provided in paragraphs (a) through (e) of this 
section, and except as provided in this part, information required to be 
included in an Official Personnel Folder is not available to the public 
and is protected from disclosure by Sec. 81.6(f) of this chapter.

[[Page 74]]

    (g) Personnel Appeal Files. (Those records maintained by the General 
Accounting Office Personnel Appeals Board of petitions or appeals filed 
with the Board by GAO employees, former employees, or applicants for 
employment. Such records do not include any of the investigative files 
or reports of the Personnel Appeals Board General Counsel. See 4 CFR 
28.18(c)). GAO, upon receipt of a request which identifies the 
individual from whose file the information is sought, shall disclose the 
following information from a Personnel Appeal File to a member of the 
public, except when the disclosure would constitute a clearly 
unwarranted invasion of personal privacy:
    (1) Confirmation of the name of the individual from whose file the 
information is sought and the names of the other parties concerned;
    (2) The status of the case;
    (3) The decision on the case;
    (4) The nature of the action appealed; and
    (5) With the consent of the parties concerned, other reasonably 
identified information from the file.
    (h) Leave records. The annual and sick leave record of an employee, 
or information from these records, is not to be made available to the 
public by GAO or other Government agency.
    (i) Examinations and related subjects. Information concerning the 
results of examinations will be released only to the individual 
concerned, and to those parties explicitly designated in writing by the 
individual. The names of applicants for GAO positions or eligibles on 
GAO or civil service registers, certificates, employment lists, or other 
lists of eligibles, or their ratings or relative standings are not 
information available to the public.
    (j) Investigations. (1) Upon written request, GAO will disclose to 
the parties concerned any report of personnel investigation under its 
control, or an extract of the report, to the extent the report is 
involved in a processed before GAO. For the purpose of this paragraph, 
the ``parties concerned'' means the Government employee involved in the 
proceeding, his or her representative designated in writing, and the 
representative of GAO involved in the proceeding. Where GAO obtains 
reports of personnel investigations or information from such reports 
from other government agencies on condition that it not release such 
data, GAO will refer parties requesting such information to the 
originating agency where their request will be processed.
    (2) GAO will not make a report of investigation or information from 
a report under its control available to the public or to witnesses, 
except as otherwise required under GAO regulations implementing the 
public availability of records published at part 81 of this chapter.



Sec. 83.6  Accounting of certain disclosures.

    (a) With respect to each system of personnel records, GAO shall, 
except for disclosures made under Secs. 83.4(a) and 83.4(b), keep an 
accurate accounting of--
    (1) The date, nature, and purpose of disclosure of a record to any 
person; and
    (2) The name and address of the person, agency, or organization to 
whom the disclosure is made.
    (b) Such accounting shall be retained for at least 3 years or the 
life of the record, whichever is longer, after the disclosure for which 
the accounting is made.
    (c) Except for disclosures made under Sec. 83.4(e), the accounting 
shall be available upon written request to the individual named in the 
record.



Sec. 83.7  GAO policy and requirements.

    (a) GAO shall maintain in its personnel records only such 
information about an individual as is relevant and necessary to 
accomplish an authorized official purpose. Authority to maintain 
personnel records does not constitute authority to maintain information 
in the record merely because a need for it may develop in the future. 
Both Government-wide and internal agency personnel records shall contain 
only information concerning an individual that is relevant and necessary 
to accomplish GAO's personnel management objectives as required by 
statute, GAO internal directive, or formal agreements between GAO and 
other Federal agencies.

[[Page 75]]

    (b) GAO shall make every reasonable effort to collect information 
about an individual directly from that individual when the information 
may result in adverse determinations about the individual's rights, 
benefits, and privileges under Federal programs. Factors to be 
considered in determining whether to collect the data from the 
individual concerned or a third party are:
    (1) The nature of the information is such that it can only be 
obtained from another party;
    (2) The cost of collecting the information directly from the 
individual is unreasonable when compared with the cost of collecting it 
from another party;
    (3) There is virtually no risk that information collected from other 
parties, if inaccurate, could result in a determination adverse to the 
individual concerned;
    (4) The information supplied by an individual must be verified by 
another party; or
    (5) Provisions are made, to the greatest extent practical, to verify 
information collected from another party with the individual concerned.
    (c) GAO shall inform each individual whom it asks to supply 
information for a personnel record, on the form which it uses to collect 
the information or on a separate form that can be retained by the 
individual, of--
    (1) The authority for the solicitation of the information and 
whether disclosure of such information is mandatory or voluntary;
    (2) The principal purpose or purposes for which the information is 
intended to be used;
    (3) The routine uses which may be made of the information, as 
published pursuant to paragraph (d)(4) of this section; and
    (4) The effects, if any, of not providing all or any part of the 
requested information;
    (d) Subject to the provisions of paragraph (i) of this section, GAO 
shall publish in the Federal Register, upon establishment or revision, a 
notice of the existence and character of its systems of personnel 
records. Such notice shall include--
    (1) The name and location(s) of each system of personnel records;
    (2) The categories of individuals about whom records are maintained 
in each such system;
    (3) The categories of records maintained in each system of personnel 
records;
    (4) Each routine use of the records contained in each system of 
personnel records, including the categories of users and the purpose(s) 
of such use;
    (5) The policies and practices of GAO regarding storage, 
retrievability, access controls, retention, and disposal of the records;
    (6) The title and business address of the GAO official who is 
responsible for maintaining each system of personnel records;
    (7) GAO procedures whereby an individual can ascertain whether a 
system of personnel records contains a record pertaining to the 
individual;
    (8) Procedures whereby an individual can request access to any 
record pertaining to him contained in any system of personnel records, 
and how the individual may contest its content; and
    (9) The categories of sources of records in each system of personnel 
records.
    (e) GAO shall maintain all records which it uses in making any 
determination about any individual with such accuracy, relevancy, 
timeliness, and completeness as is reasonably necessary to assure 
fairness to the individual in the determination;
    (f) GAO shall, prior to disseminating any record about an individual 
to any person other than a Federal agency, make all reasonable efforts 
to reassure that such records are accurate, complete, timely, and 
relevant for GAO's purposes;
    (g) GAO shall make reasonable efforts to serve notice on an 
individual or his authorized representative when any personnel record on 
such individual is being made available to any person under compulsory 
legal process as soon as practicable after service of the subpoena or 
other legal process;
    (h) GAO shall establish rules of conduct for persons involved in the 
design, development, operation, or maintenance of any system of 
personnel records or files or in maintaining any

[[Page 76]]

record, and to instruct each person with respect to such rules and 
requirements of this part, including any other rules and procedures 
adopted pursuant to this part;
    (i)(1) GAO shall establish and maintain appropriate administrative, 
technical and physical safeguards to ensure the security and 
confidentiality of personnel records. At a minimum, these controls shall 
require that all persons whose official duties require access to and use 
of personnel records be responsible and accountable for safeguarding 
those records and for ensuring that the records are secured whenever 
they are not in use or under the direct control of authorized persons. 
Generally, personnel records should be held, processed, or stored only 
where facilities and conditions are adequate to prevent unauthorized 
access;
    (2) Except for access by the data subject, only employees whose 
official duties require and authorize access shall be allowed to handle 
and use personnel records, in whatever form or media the records might 
appear. To the extent feasible, entry into personnel record storage 
areas shall be similarly limited. Documentation of the removal of 
records from storage areas must be kept so that adequate control 
procedures can be established to assure that removed records are 
returned intact on a timely basis and properly controlled during such 
period of removal.
    (3) In addition to following the above security requirements, 
managers of automated personnel records shall establish and maintain 
administrative, technical, physical, and security safeguards for data 
about individuals in automated records, including input and output 
documents, reports, punched cards, magnetic tapes, disks, and on-line 
computer storage. As a minimum, the safeguards must be sufficient to:
    (i) Prevent careless, accidental, or unintentional disclosure, 
modification, or destruction of identifiable personal data;
    (ii) Minimize the risk of improper access, modification, or 
destruction of identifiable personnel data;
    (iii) Prevent casual entry by persons who have no official reason 
for access to such data;
    (iv) Minimize the risk of unauthorized disclosure where use is made 
of identifiable personal data in testing of computer programs;
    (v) Control the flow of data into, through, and from computer 
operations;
    (vi) Adequately protect identifiable data from environmental hazards 
and unnecessary exposure; and
    (vii) Assure adequate internal audit procedures to comply with these 
procedures.
    (4) The disposal of identifiable personal data in automated files is 
to be accomplished in such a manner as to make the data unobtainable to 
unauthorized personnel. Unneeded personal data stored on reusable media, 
such as magnetic tapes and disks, must be erased prior to release of the 
media for reuse.
    (j) At least 30 days prior to publication of information under 
paragraph (d)(4) of this section, GAO shall publish in the Federal 
Register notice of any new use or intended use of the information in the 
system, and provide an opportunity for interested persons to submit 
written data, views, or arguments to GAO.



Sec. 83.8  Standards of conduct.

    (a) GAO employees whose official duties involve the maintenance and 
handling of personnel records shall not disclose information from any 
personnel record unless disclosure is part of their official duties or 
required by statute, regulation, or internal procedure.
    (b) Any GAO employee who makes an unauthorized disclosure of 
personnel records or a disclosure of information derived from such 
records, knowing that such disclosure is unauthorized, or otherwise 
knowingly violates these regulations, shall be subject to appropriate 
disciplinary action. GAO employees are prohibited from using personnel 
information not available to the public, obtained through official 
duties, for commercial solicitation or sale, or for personal gain. Any 
employee who knowingly violates this prohibition shall be subject to 
appropriate disciplinary action.

[[Page 77]]



Sec. 83.9  Social Security number.

    (a) GAO may not require individuals to disclose their Social 
Security Number (SSN) unless disclosure would be required--
    (1) Under Federal statute; or
    (2) Under any statute, executive order, or regulation that 
authorizes any Federal, State, or local agency maintaining a system of 
records that was in existence and operating prior to January 1, 1975, to 
request the SSN as a necessary means of verifying the identity of an 
individual.
    (b) Individuals asked to voluntarily provide their SSN shall suffer 
no penalty or denial of benefits for refusing to provide it.
    (c) When GAO requests an individual to disclose his or her SSN, it 
shall inform that individual whether that disclosure is mandatory or 
voluntary, by what statutory or other authority such number is 
solicited, and what uses will be made of it.



Sec. 83.10  First Amendment rights.

    Personnel records or entries thereon describing how individuals 
exercise rights guaranteed by the First Amendment to the United States 
Constitution are prohibited, unless expressly authorized by statute or 
by the individual concerned, or unless pertinent to and within the scope 
of an authorized law enforcement activity. These rights include, but are 
not limited to, free exercise of religious and political beliefs, 
freedom of speech and the press, and freedom to assemble and to petition 
the Government.



Sec. 83.11  Official Personnel Folder.

    (a) GAO shall establish and maintain an Official Personnel Folder 
for each of its employees, except as provided in the GAO/U.S. OPM/GSA 
Memorandum of Understanding (see subsection (b)). Except as provided for 
in Federal Personnel Manual (FPM) Supplement 293-31 there will be only 
one Official Personnel Folder maintained for each employee.
    (b) GAO/U.S. OPM/GSA Memorandum of Understanding. The Memorandum of 
Understanding agreed to by the U.S. General Accounting Office, the U.S. 
Office of Personnel Management (U.S. OPM), and the National Archives and 
Records Service of the General Services Administration (GSA), Appendix 
I, constitutes the official and sole agreement concerning the continuity 
and coordination of the Official Personnel Folder.
    (c) GAO policy is to assure continuity and coordination of the 
Official Personnel Folder when a person, for whom an Official Personnel 
Folder has been established, separates from GAO, or transfers to or from 
GAO from or to a Federal agency subject to regulations of the U.S. OPM 
relating to Official Personnel Folders. GAO will maximize the pooling of 
information between itself and those Federal agencies subject to U.S. 
OPM rules and regulations concerning the Official Personnel Folder so 
that a GAO employee may transfer to and from other Federal agencies with 
one complete and informative Official Personnel Folder.
    (d) Ownership of Official Personnel Folder. (1) The Official 
Personnel Folders of individuals whose employment with GAO terminated 
prior to October 1, 1980, are the records of U.S. OPM and are under the 
jurisdiction and control of U.S. OPM.
    (2) The Official Personnel Folders of current GAO employees whose 
GAO employment began on or after October 1, 1980, and who have had no 
previous employment by an executive branch agency of the Federal 
government shall be under the jurisdiction and control of, and are the 
records of GAO. GAO shall retain jurisdiction over such records even 
when they are transferred to an executive branch agency.
    (3) The Official Personnel Folders of current GAO employees who were 
employed prior to October 1, 1980, by either GAO or an executive branch 
agency shall be under the control of GAO, but those records established 
prior to October 1, 1980, by GAO, and all records established as a 
result of employment by an executive branch agency shall remain under 
the jurisdiction of, and be part of the records of, U.S. OPM.
    (4) GAO will maintain those Official Personnel Folders containing 
records of employment by an executive branch Federal agency, or by GAO 
prior to October 1, 1980, in compliance with regulations of the U.S. OPM 
in accordance with the procedures contained in the

[[Page 78]]

Memorandum of Understanding and the provisions of regulations of U.S. 
OPM contained in 5 CFR parts 293, 294, and 297, as well as the 
provisions of FPM Chapters 293, 294, and 297.
    (e) Maintenance and content of Folder. GAO shall maintain in the 
Official Personnel Folder the reports of selection and other personnel 
actions named in section 2951 of title 5, United States Code. The Folder 
shall also contain permanent records affecting the employee's status and 
service as required by U.S. OPM instructions and as designated in FPM 
Supplement 293-31.
    (f) Use of existing Folders upon transfer or reemployment. In 
accordance with paragraph (a) of this section, GAO shall request the 
transfer of the Official Personnel Folder for a person who was 
previously employed with a Federal agency that maintains such a Folder. 
The Folder so obtained shall be used in lieu of establishing a new 
Official Personnel Folder.
    (1) When a person for whom an Official Personnel Folder has been 
established transfers from GAO to another Federal agency that maintains 
the Folder, GAO shall, on request, transfer the Folder to the new 
employing agency.
    (2) Before transferring the Official Personnel Folder, GAO shall--
    (i) Remove those records of a temporary nature filed on the left 
side of the Folder; and
    (ii) Ensure that all permanent documents of the Folder are complete, 
correct, and present in the Folder in accordance with FPM Supplement 
293-31.
    (g) Disposition of Folders of former Federal employees. (1) Folders 
containing the personnel records of individuals separated from 
employment with GAO will be retained by GAO for 30 days after 
separation, and may be retained for an additional 60 days. Thereafter, 
the Folder shall be transferred to the same location and in the same 
manner as Official Personnel Folders of persons separated from Federal 
agencies which are subject to U.S. OPM regulations in accordance with 
the Memorandum of Understanding.
    (2) GAO shall remove temporary records from the Folder before it is 
transferred in accordance with guidelines applicable to Federal agencies 
which are subject to U.S. OMP regulations.
    (3) If a former GAO employee is reappointed in the Federal service, 
the employee's Folder shall, upon request, be transferred to the new 
employing agency.
    (h) Access requests and amendments to the Official Personnel Folder. 
Requests for access to, disclosure from, correction of, or amendments to 
documents contained in the Official Personnel Folder will be made in 
accordance with the Memorandum of Understanding.



Sec. 83.12  Procedures for individual access to records.

    (a) Upon written request by any individual outside of GAO or upon 
written or oral request by any officer or employee of GAO to gain access 
to his or her record or to any information pertaining to the individual 
which is contained in a system of personnel records, and not otherwise 
exempted, GAO shall permit the individual and upon the individual's 
request a person of his or her own choosing to accompany him or her, to 
review the record and have a copy made of all or any portion thereof in 
a form comprehensible to him or her, except that GAO may require the 
individual to furnish a written statement authorizing discussion of that 
individual's record in the accompanying person's presence. When access 
to the records has been granted by a system manager or designee:
    (1) Inspection in person may be made in the office designated in the 
system notice during the hours specified by GAO.
    (2) Upon the determination of the designated GAO official, records 
may be transferred to a GAO office more convenient to the data subject 
to review.
    (3) Generally, GAO will not furnish certified copies of records. 
Where certified copies of records are to be furnished, they may be 
mailed at the request of the data subject or, as determined by GAO, only 
after payment of any fee levied in accordance with Sec. 83.17 is 
received.
    (4) In no event shall original records be made available for review 
by the individual except in the presence of a system manager or 
designee.

[[Page 79]]

    (b) The general identifying information items that the designated 
GAO official may ask to be furnished before a specific inquiry is 
granted include:
    (1) Full name, signature, and home address;
    (2) Picture identification card;
    (3) The current or last place and dates of Federal employment, if 
appropriate; and
    (4) Social security number (for those systems of records retrieved 
by this identifier).
    (c) A request or inquiry from someone other than the individual to 
whom the information pertains shall contain such documents or copies of 
documents that establish the relationship or authorize access as 
follows:
    (1) When the requester is the parent or legal guardian of a data 
subject who is a minor, the requester shall identify the relationship 
with the data subject and furnish a certified or authenticated (e.g. 
notarized) copy of any document establishing parentage or appointment as 
legal guardian.
    (2) Where the requester is the legal guardian of a data subject who 
has been declared incompetent by the courts, the requester shall 
identify the relationship with the data subject and furnish a certified 
or authenticated copy of the court's appointment of guardianship.
    (3) Where the requester is a representative of the data subject, the 
requester shall identify the relationship with the data subject or the 
data subject's parent or legal guardian, and furnish documentation 
designating the representative as having the authority to act on behalf 
of the data subject.
    (d) When the requester appears in person and cannot be identified by 
sight and signature, proof of identity is required as follows:
    (1) When a request is from the data subject, the means of proof, in 
order of preference, are:
    (i) A document bearing the individual's photograph and signature 
(for example, driver's license, passport, or military or civilian 
identification card); or
    (ii) Two documents bearing the individual's signature (for example, 
Medicare card, unemployment insurance book, employer identification 
card, major credit card, professional, draft, or union membership card).
    (2) When a request is made by the parent, legal guardian, or 
authorized representative of the data subject, the means of identifying 
the requester and his or her authority for acting on behalf of the data 
subject shall be as prescribed in paragraph (c) of this section. In 
addition, the requester shall establish the identity of the data subject 
by requiring the identifying information in paragraph (b) of this 
section.
    (e) When a written inquiry or request is received from the data 
subject, or from the data subject's parent, legal guardian, or 
authorized representative, it should be signed and--
    (1) For an inquiry, contain sufficient identifying information about 
the data subject to permit searching of the record system(s) and to 
permit response; and
    (2) For an access request--
    (i) From the data subject, contain sufficient information to locate 
the record and establish that the requester and the data subject are the 
same (e.g. matching signatures); or
    (ii) From the data subject's parent, legal guardian, or authorized 
representative, contain sufficient information to locate the record, 
match identity with the data subject, and such documentation of 
association or authorization as is prescribed in paragraphs (c) and (d) 
of this section.
    (f) The signed request from the data subject, or from the data 
subject's parent, legal guardian, or authorized representative specified 
in paragraph (c) of this section shall be sufficient proof of identity 
of the requester, unless for good cause, the system manager or designee 
determines that there is a need to require some notarized or certified 
evidence of the identity of the requester.



Sec. 83.13  Inquiries.

    (a) General inquiries to request assistance in identifying which 
system of records may contain a record about an individual may be made 
in person or by mail to the Director, Personnel.
    (b) An inquiry that requests GAO to determine if it has, in a given 
system of personnel records, a record about the

[[Page 80]]

inquirer, should be addressed to the official identified in the Federal 
Register notice for that system. Inquirers should specify the name of 
the system of personnel records, if known, as published in the Federal 
Register. Such inquiries should contain the identifying data prescribed 
in Sec. 83.12 before a search can be made of that particular system of 
records.



Sec. 83.14  Denial of access requests.

    (a) If an access request is denied, the official denying the request 
shall give the requester the following information:
    (1) The official's name, position title, and business mailing 
address;
    (2) The date of the denial;
    (3) The reasons for the denial, including citation of appropriate 
sections of this or any other applicable part; and
    (4) The individual's opportunities for further administrative 
consideration, including the name, position title, and address of the 
GAO official (see paragraph (c) of this section) responsible for such 
further review.
    (b) Denial of a request for access to records will be made only by 
the official GAO designee and only upon a determination that:
    (1) The record is subject to an exemption under Sec. 83.21 when the 
system manager has elected to invoke the exemption; or
    (2) The record is information compiled in reasonable anticipation of 
a civil action or proceeding; or
    (3) The data subject or authorized representative of the data 
subject refuses to abide by procedures for gaining access to records.
    (c) A request for administrative review of a denial shall be made to 
the Assistant Comptroller General for Human Resources, U.S. General 
Accounting Office, 441 G Street, NW, Washington, D.C. 20548. The 
Assistant Comptroller General shall acknowledge receipt of a request for 
administrative review of a denial of access within 10 working days after 
receipt of the request. If it is not possible to reach a decision within 
an additional 10 working days, the requester shall be informed of the 
approximate date (within 30 working days) when such a decision may be 
expected.
    (d) In reaching a decision, the Assistant Comptroller General will 
review the criteria prescribed in this section which were cited as the 
basis for denying access, and may seek additional information as deemed 
necessary.



Sec. 83.15  Request for amendment of record.

    (a) Individuals may request the amendment of their records in 
writing or in person by contacting the system manager or designee 
indicated in the notice of systems of records published by GAO in the 
Federal Register. Time limits will be measured from receipt at the 
proper office.
    (b) A request for amendment should include the following:
    (1) The precise identification of the records sought to be amended, 
deleted, or added.
    (2) A statement of the reasons for the request, with all available 
documents and material that substantiate the request.
    (c) GAO shall permit an individual to request amendment of a record 
pertaining to the individual. Not later than 10 working days after the 
date of receipt of such request, the designated GAO official shall 
acknowledge in writing such request and, promptly, either--
    (1) Make any correction of any portion thereof which the individual 
believes is not accurate, relevant, timely, or complete; or
    (2) Inform the individual of the refusal to amend the record in 
accordance with his or her request, the reason for the refusal, and the 
name and business address of the GAO official responsible for the 
refusal.
    (3) The GAO offical shall permit an individual who disagrees with 
the refusal by the designated GAO official to amend his or her record to 
request review of such refusal. A request for administrative review of a 
denial shall be made in accordance with Sec. 83.16.
    (4) In any disclosure containing information about which the 
individual has filed a statement of disagreement, occurring after the 
filing of the statement under Sec. 83.16(d), GAO shall clearly note any 
portion of the record which is disputed and provide copies of a concise 
statement of the reasons for not

[[Page 81]]

making the amendments requested, to persons or other agencies to whom 
the disputed record has been disclosed.
    (5) Nothing in this section shall allow an individual access to any 
information compiled in reasonable anticipation of a civil action or 
proceeding.
    (d) If necessary, the official authorized to rule on a request for 
amendment may seek additional information pertinent to the request to 
assure that a fair, equitable, and accurate decision is reached.
    (e) The following criteria will be considered by the system manager 
or designee in reviewing initial requests for amendment of records:
    (1) The sufficiency of the evidence submitted by the data subject;
    (2) The factual accuracy of the information submitted and the 
information in the record;
    (3) The relevancy, necessity, timeliness, and completeness of the 
information in light of the purpose for which it was collected;
    (4) The degree of possibility that denial of the request could 
result in unfair determinations adverse to the data subject;
    (5) The character of record sought to be amended;
    (6) The propriety and feasibility of complying with specific means 
of amendment requested by the data subject; and
    (7) The possible involvement of the record in a judicial or quasi-
judicial process.



Sec. 83.16  Administrative review of request for amendment of record.

    (a) A request for administrative review of GAO's denial to amend a 
record in GAO's system of personnel records shall be addressed to the 
Assistant Comptroller General for Human Resources, U.S. General 
Accounting Office, 441 G Street, NW, Washington, D.C. 20548. The 
Assistant Comptroller General shall acknowledge receipt of a request for 
administrative review of a denial of amendment within 10 working days.
    (b) If a decision cannot be made within an additional 10-day period, 
a letter will be sent within that time explaining the delay and 
furnishing an expected date for the decision. A decision on the request 
must be made within 30 working days after receipt of the request. Only 
for good cause shown, and at the discretion of the Assistant Comptroller 
General for Human Resources can this time limit be extended. Any 
extension requires written notification to the requester explaining the 
reason for the extension and furnishing a new expected date for the 
decision. Generally, such extension shall be for no more than an 
additional 30 working days.
    (c) When a request for administrative review of an amendment denial 
is submitted, the individual must provide a copy of the original request 
for amendment, a copy of the initial denial, and a statement of the 
specific reasons why the initial denial is believed to be in error.
    (d) An individual requesting an amendment of a record has the burden 
of supplying information in support of the propriety and necessity of 
the amendment request. The decision on the request will then be rendered 
based on a review of the data submitted. The GAO official is not 
required to gather supporting evidence for the individual and will have 
the right to verify the evidence which the individual submits.
    (e) Amendment of a record will be denied upon a determination by the 
system manager or designee that:
    (1) The record is subject to an exemption from the provisions of 
this part, allowing amendment of records;
    (2) The information submitted by the data subject is not accurate, 
relevant, or of sufficient probative value;
    (3) The amendment would violate a statute or regulation;
    (4) The individual refuses to provide information which is necessary 
to process the request to amend the record; or
    (5) The record for which amendment is requested is a record 
presented in a judicial or quasi-judicial proceeding, or maintained in 
anticipation of being used in a judicial or quasi-judicial proceeding, 
when such record is or will become available to the individual under 
that proceeding.
    (f) If, after review, the Assistant Comptroller General for Human 
Resources also refuses to amend the record in accordance with the 
request, the individual will be permitted to file

[[Page 82]]

with the system manager or designee of the system of records concerned a 
concise statement setting forth the reasons for his or her disagreement. 
Any such statement of disagreement will be treated in accordance with 
paragraph (c)(4) of Sec. 83.15.



Sec. 83.17  Fees.

    (a) Generally, GAO's policy is to provide the first copy of any 
record or portion thereof, furnished as a result of this part, at no 
cost to the data subject or authorized representative. However, in cases 
where GAO deems it appropriate (for example, where the record is 
voluminous), the system manager or designee in his or her discretion may 
charge a fee when the cost for copying the record (at a rate of 20 cents 
per page) would be in excess of ten dollars ($10).
    (b) There shall be no fees charged or collected from a data subject 
for the following:
    (1) Search for or retrieval of the data subject's records;
    (2) Review of the records;
    (3) Making a copy of a record when it is a necessary part of the 
process of making the record available for review;
    (4) Copying at the initiative of GAO without a request from the 
individual;
    (5) Transportation of the record; and
    (6) Making a copy of an amended record to provide the individual 
with evidence of the amendment.
    (c) Certification of authenticity shall be $10 for each certificate, 
which fee may be waived in the discretion of the system manager or 
designee.



Sec. 83.18  Rights of legal guardians.

    For the purposes of this part, the parent of any minor, or the legal 
guardian of any individual who has been declared to be incompetent due 
to physical or mental incapacity or age by a court of competent 
jurisdiction, may act on behalf of the individual.



Sec. 83.19  Government contractors.

    When GAO provides by a contract for the operation by or on behalf of 
GAO of a system of personnel records to accomplish a function of GAO, 
GAO shall, consistent with its authority, cause the requirements of this 
part to be applied to such system. Any such contractor and any employee 
of such contractor, if such contract is agreed to on or after the 
effective date of this section, shall be considered, for the purposes of 
this part, to be an employee of GAO. Contractor employees will be 
required to observe the confidentiality requirements of this part. 
Violations of this part by contractor employees may be a sufficient 
ground for contract termination.



Sec. 83.20  Mailing lists.

    An individual's name and address may not be sold or rented by GAO 
unless such action is specifically authorized by law. This provision 
shall not be construed to require the withholding of names and addresses 
otherwise permitted to be made public.



Sec. 83.21  Exemptions.

    (a) All personnel records are exempted from Secs. 83.6(c), 83.12, 
83.13, 83.14, and 83.15, relating to making an accounting of disclosures 
available to the data subject or his authorized representative and 
access to and amendment of the records and other sections relating to 
procedural requirements of the above-cited sections if the record is:
    (1) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interest of national defense or 
foreign policy and is in fact classified pursuant to such Executive 
order. See 31 U.S.C. 716(e)(1) and 718(b)(3) concerning the 
applicability of these requirements to GAO.
    (2) Investigatory material compiled for law enforcement purposes: 
Provided, however, That if any individual is denied any right, 
privilege, or benefit that he would otherwise be entitled to by Federal 
law, or for which he would otherwise be eligible, as a result of the 
maintenance of such material, such material shall be provided to such 
individual, except to the extent that the disclosure of such material 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, or, prior to the effective date of this 
section, under an express or implied promise that the identity of the 
source would be held in confidence;

[[Page 83]]

    (3) Maintained in connection with providing protection services to 
the President of the United States or other individuals pursuant to 
section 3056 of Title 18, United States Code;
    (4) Required by statute to be maintained and used solely as 
statistical records;
    (5) Investigatory material compiled solely for the purposes of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, military service, Federal contracts, or access to 
classified information, but only to the extent that the disclosure of 
such material would reveal the identity of the source who furnished 
information to the Government under an express promise that the identity 
of the source would be held in confidence, or, prior to the effective 
date of this section, under an express or implied promise that the 
identity of the source would be held in confidence (see Sec. 83.5(j)(1) 
for the procedure to be used to obtain investigative data originated by 
other Government agencies);
    (6) Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service the disclosure of which would compromise the objectivity or 
fairness of the testing or examination process; or
    (7) Evaluation material used to determine potential for promotion in 
the armed services, but only to the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the Government under an express promise that the identity of the 
source would be held in confidence, or, prior to the effective date of 
this section, under an express or implied promise that the identity of 
the source would be held in confidence.

           Appendix I to part 83--Memorandum of Understanding

    This memorandum of understanding constitutes an agreement between 
the U.S. Office of Personnel Management (OPM), the National Archives and 
Records Service of the General Services Administration (NARS), and the 
U.S. General Accounting Office (GAO) concerning:
    (1) The maintenance of the Official Personnel Folder (OPF) of an 
individual who has been employed in a position subject to the provisions 
of Title 5, U.S.C. and to the regulations and procedures issued by OPM 
to govern the Federal civil service, and also in a position subject to 
the GAO Personnel Act of 1980 (Pub. L. 96-191) and its implementing 
regulations and procedures;
    (2) The exchange of personnel documents and data between the Federal 
civil service administered by OPM and the personnel system administered 
by GAO;
    (3) The establishment of procedures for processing requests for 
access to, disclosure from, and amendment of documents in the OPF of an 
individual who has service under both personnel systems;
    (4) The establishment of procedures to be followed by the National 
Personnel Records Center (NPRC) when responding to requests pertaining 
to separated employees in any of the following circumstances:
    (a) When the OPF contains documentation resulting from employment in 
both systems;
    (b) When a request is received for transfer of an OPF between 
systems;
    (c) When processing a request for an OPF, and that OPF contains only 
records of GAO employment since October 1, 1980;
    (5) The agreement of the parties to consult and cooperate in matters 
relating to the establishment and revision of personnel procedures which 
may have mutual effect so as to insure the sharing of essential 
information while minimizing the recordkeeping burden of all three 
parties.



                        SUBCHAPTER G  [RESERVED]



[[Page 85]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected



[[Page 87]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2001)

                      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)

                   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)
         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)
      XXIV  Federal Energy Regulatory Commission (Part 3401)

[[Page 88]]

       XXV  Department of the Interior (Part 3501)
      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)
    LXXIII  Department of Agriculture (Part 8301)
     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

[[Page 89]]

         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       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 the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)

[[Page 90]]

    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      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--599)

                 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, 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)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      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)

[[Page 91]]

        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)
         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  Department of the Treasury (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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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)

[[Page 92]]

        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)
        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)

[[Page 93]]

                     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)
        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 (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (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)

[[Page 94]]

                          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)
       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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities 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)

[[Page 95]]

                           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)
         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 (Parts 1000--1199)
       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)

[[Page 96]]

       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)
     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)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)

[[Page 97]]

         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)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       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)
      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)

               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)

[[Page 98]]

                        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)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States 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)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

[[Page 99]]

          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)
       102  Federal Management Regulation (Parts 102-1--102-299)
       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)
            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
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) 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 (Part 303-70)
       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

[[Page 100]]

         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)
        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  Corporation for National and Community Service (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)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)

[[Page 101]]

       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)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        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)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States 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  Broadcasting Board of Governors (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)

[[Page 102]]

        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

            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 Motor Carrier Safety 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)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)

[[Page 103]]

                   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
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 105]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2001)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  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
  Food and Nutrition 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
  Procurement and Property Management, Office of  7, XXXII
  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
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
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 106]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
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, VI
  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, United States      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
Corporation for National and Community Service    45, XII, XXV
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; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51

[[Page 107]]

  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  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 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
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
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
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  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

[[Page 108]]

Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
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 Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
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 Nutrition 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
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
     of Certain Employees
[[Page 109]]

  Relocation Allowances                           41, 302
  Temporary Duty (TDY) 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
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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
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 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

[[Page 110]]

  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  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, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
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; 40, IV
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  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

[[Page 111]]

Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
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 and Community Service, Corporation for   45, XII, XXV
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 Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
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 Imagery and Mapping Agency               32, I
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, VI
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
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
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
Oklahoma City National Memorial Trust             36, XV
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, United States        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

[[Page 112]]

  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
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
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 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
  Coast Guard (Great Lakes Pilotage)              46, III
  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
  Federal Motor Carrier Safety Administration     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

[[Page 113]]

  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 Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Statistics Brureau                 49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  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
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 115]]



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

4 CFR
                                                                   51 FR
                                                                    Page
Chapter I
28.1  (d) added.....................................................7736
28.3  Revised.......................................................7736
28.4  Added.........................................................7736
28.5--28.27 (Subpart B)  Revised....................................7736
28.41--28.51 (Subpart D)  Heading revised...........................7739
28.45  Revised......................................................7739
28.47  Revised......................................................7740
28.49  Revised......................................................7740
28.51  Revised......................................................7740
28.83  Revised......................................................7740
28.101--28.107 (Subpart G)  Heading revised.........................7740
28.103  Revised.....................................................7740
28.107  (d) added...................................................7741

                                  1987

4 CFR
                                                                   52 FR
                                                                    Page
Chapter I
21.0 (a) amended; (b), (c), (d) and (e) redesignated as (c), (d), 
        (e) and (f); (b) and (g) added.............................46448
21.1 (b) amended; (e) and (f) revised..............................46448
21.2 (b) removed; (c) redesignated as (b)..........................46448
21.3 (a) amended; (c), (d), (e), (f) and (g) redesignated as (i), 
        (j), (k), (m) and (n); new (i), (k) and (m) introductory 
        text, (6) and (8) amended; (c) through (h) and (l) added 
                                                                   46448
21.4 Introductory text amended.....................................46449
21.5 Heading revised; (b), (c), (d) and (e) redesignated as (a) 
        (1), (2), (3) and (4); new (a) (1), (2) and (4) amended; 
        new (b) added..............................................46449
21.6 (e) removed; (f) redesignated as (e)..........................46449
21.8 (e) added.....................................................46449
21.9 (b) amended...................................................46450
21.11 (a) and (b) amended..........................................46450
21.12 (c) amended..................................................46450

                                  1988

4 CFR
                                                                   53 FR
                                                                    Page
Chapter I
7.3  Revised.......................................................26421
81.6  (c), (g), and (j) revised....................................50913
81.7  (b)(3) and (e) revised.......................................50913
81.8  Revised......................................................50913

                                  1989

4 CFR
                                                                   54 FR
                                                                    Page
Chapter I
27  Revised........................................................24137
28.1--28.4 (Subpart A)  Revised....................................24139
28.8--28.90 (Subpart B)  Revised...................................24140
28.31--28.33 (Subpart C)  Redesignated as 28.91--28.92 (Subpart C)
                                                                   24138
28.41  Redesignated as 28.95.......................................24138
28.43  Redesignated as 28.96.......................................24138
28.45  Redesignated as 28.97; (e) added............................24138

[[Page 116]]

28.47  Redesignated as 28.98; (b)(2) amended; (d) removed; (e) 
        redesignated as (d) and amended............................24138
28.49  Redesignated as 28.99; (a) amended..........................24138
28.51  Redesignated as 28.100 and revised..........................24138
28.61--28.73 (Subpart E)  Redesignated as 28.110--28.116 (Subpart 
        E).........................................................24138
28.81--28.89 (Subpart F)  Redesignated as 28.120--28.124 (Subpart 
        F).........................................................24138
28.91--28.92 (Subpart C)  Redesignated from 28.31--28.33 (Subpart 
        C).........................................................24138
28.92  (a)(1) and (b) amended; (c) and (d) removed.................24138
28.95  Redesignated from 28.41.....................................24138
28.96  Redesignated from 28.43.....................................24138
28.97  Redesignated from 28.45; (e) added..........................24138
28.98  Redesignated from 28.47; (b)(2) amended; (d) removed; (e) 
        redesignated as (d) and amended............................24138
28.99  Redesignated from 28.49; (a) amended........................24138
28.100  Redesignated from 28.51 and revised........................24138
28.101--28.107 (Subpart G)  Redesignated as 28.130--28.133 
        (Subpart G)................................................24139
28.101  Added......................................................24138
28.110--28.116 (Subpart E)  Redesignated from 28.61--28.73 
        (Subpart E)................................................24138
28.111--28.113 (Subpart H)  Redesignated as 28.140--28.141 
        (Subpart H)................................................24139
28.117--28.125 (Subpart I)  Redesignated as 28.145--28.149 
        (Subpart I)................................................24139
28.120--28.124 (Subpart F)  Redesignated from 28.81--28.89 
        (Subpart F)................................................24138
28.130--28.133 (Subpart G)  Redesignated from 28.101--28.107 
        (Subpart G)................................................24139
28.133  Revised....................................................24139
28.140--28.141 (Subpart H)  Redesignated from 28.111--28.113 
        (Subpart H)................................................24139
28.145--28.149 (Subpart I)  Redesignated from 28.117--28.125 
        (Subpart I)................................................24139
28.155 (Subpart J)  Added..........................................24149
31  Technical amendment............................................53799
31.1  Amended; interim.............................................25437
31.3  Amended......................................................51867
31.4  Revised; interim.............................................25437
    Revised........................................................51867
31.5  (a) revised; interim.........................................25437
    (a) revised....................................................51867
31.6  Amended; interim.............................................25437
31.8  (a) amended; interim.........................................25438

                                  1990

4 CFR
                                                                   55 FR
                                                                    Page
Chapter I
25  Added...........................................................2359

                                  1991

4 CFR
                                                                   56 FR
                                                                    Page
Chapter I
21.0  (e) amended...................................................3762
21.2  (a)(1) amended; (b) redesignated as (c); new (b) added........3762
21.3  (h) removed; (c), (e), (f), (g), (i), (j) and (k) 
        redesignated as (e), (f), (g), (h), (c), (k) and (j); new 
        (c), (m)(1), (2), (4), (6), (8) and (9) amended; (d) 
        revised; new (i) added......................................3763
21.5  Revised.......................................................3764
21.6  (e) redesignated as (f) and revised; new (e) added............3764
21.8  (d)(4) amended................................................3764
91--93 (Subchapter G)  Heading revised.............................49582
91  Revised........................................................49583
    Authority citation revised.....................................67467
91.4  (c)(1) revised...............................................67467
92  Revised........................................................49584
    Authority citation revised.....................................67467
92.2  (c) revised; concluding text designated as (d)...............67467
93  Removed........................................................49585

                                  1992

4 CFR
                                                                   57 FR
                                                                    Page
Chapter 1
22  Removed........................................................31272

[[Page 117]]

30.1  (b) redesignated as (c); new (b) added.......................31272
    (b) corrected..................................................33392
Chapter III
  Chapter III  Removed.............................................14152
    Technical correction...........................................34167

                                  1993

4 CFR
                                                                   58 FR
                                                                    Page
Chapter I
27  Revised........................................................61992
28  Revised........................................................61992

                                  1994

4 CFR
                                                                   59 FR
                                                                    Page
Chapter I
28  Heading revised; interim.......................................59105
28.1  Revised; interim.............................................59105
28.11  (b) revised; interim........................................59106
28.17  (c)(3) revised; interim.....................................59106
28.18  (b) revised; interim........................................59106
28.90  (a) revised; (b) removed; (c) redesignated as (b); interim 
                                                                   59106
28.98  (b)(1), (3) and (c)(1) revised; interim.....................59106
28.100  Removed; interim...........................................59106
28.101  Revised; interim...........................................59106
29  Added; interim.................................................59106

                                  1995

4 CFR
                                                                   60 FR
                                                                    Page
Chapter I
21  Revised........................................................40739
28  Comment date extension..........................................9773
    Regulation at 59 FR 59105 confirmed............................35119
28.1  Regulation at 59 FR 59105 confirmed..........................35119
28.11  Regulation at 59 FR 59106 confirmed.........................35119
28.17  Regulation at 59 FR 59106 confirmed.........................35119
28.18  Regulation at 59 FR 59106 confirmed.........................35119
28.90  Regulation at 59 FR 59106 confirmed.........................35119
28.98  Regulation at 59 FR 59106 confirmed.........................35119
28.100  Regulation at 59 FR 59106 confirmed........................35119
28.101  Regulation at 59 FR 59106 confirmed........................35119
29  Comment date extension..........................................9773
    Regulation at 59 FR 59106 confirmed............................35119
29.3  (c) removed..................................................35119
29.6  (a)(2) revised; (d) removed..................................35119
29.8  (b)(2) revised...............................................35119
29.12  Removed.....................................................35119
29.13  Heading revised; (a) removed; (b) redesignated as (a); new 
        (b) added..................................................35119

                                  1996

4 CFR
                                                                   61 FR
                                                                    Page
Chapter I
21  Revised........................................................39042
28.11  (c)(1) revised; (c)(2) amended..............................36810
28.13  Added; interim...............................................9089
    Regulation at 61 FR 9089 confirmed; revised....................36810
28.17  (a)(2) and (3) revised......................................36810
28.18  (a) and (b) revised; interim.................................9090
    Regulation at 61 FR 9090 confirmed; (c)(1) revised; (c)(2) 
amended............................................................36810
28.86  (b)(1) revised; (b)(2) amended..............................36810
28.98  (d) redesignated as (e)(1); new (d) and (e)(2) added; (c) 
        heading and new (e)(1) revised.............................36811
29.8  (c)(1) revised; (c)(2) amended...............................36811
29.10  (c)(1) revised; (c)(2) amended..............................36811

                                1997-1998

                        No regulations published

                                  1999

4 CFR
                                                                   64 FR
                                                                    Page
Chapter I
27.1  Revised; interim.............................................15125
28.3  Amended; interim.............................................15125

[[Page 118]]

                                  2000

4 CFR
                                                                   65 FR
                                                                    Page
Chapter I
27.1  Regulation at 64 FR 15125 confirmed..........................15203
28.3  Regulation at 64 FR 15125 confirmed..........................15203
28.12  (g) added...................................................80280
28.18  (a) and (b) revised.........................................80280
30--36 (Subchapter C)  Removed.....................................33738
51--56 (Subchapter D)  Removed.....................................33738
91--93 (Subchapter G)  Removed.....................................33738
Chapter II
Chapter II  Removed................................................70406