[Title 4 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2012 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          Title 4

Accounts

                         Revised as of January 1, 2012

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2012
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



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

  Title 4:
          Chapter I--Government Accountability Office                3
          Chapter II--Recovery Accountability and Transparency 
          Board                                                    101
  Finding Aids:
      Table of CFR Titles and Chapters........................     123
      Alphabetical List of Agencies Appearing in the CFR......     143
      List of CFR Sections Affected...........................     153

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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.

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

[[Page v]]



                               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 
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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 
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LEGAL STATUS

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HOW TO USE THE CODE OF FEDERAL REGULATIONS

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[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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[[Page vii]]

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    Office of the Federal Register.
    January 1, 2012.







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                               THIS TITLE

    Title 4--Accounts is composed of one volume. This volume contains 
chapter I--Government Accountability Office (GAO) and chapter II--
Recovery Accountability and Transparency Board. The contents of this 
volume represent all current regulations codified under this title of 
the CFR as of January 1, 2012.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                            TITLE 4--ACCOUNTS




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

chapter i--Government Accountability Office.................           2

chapter ii--Recovery Accountability and Transparency Board..         200

[[Page 3]]



               CHAPTER I--GOVERNMENT ACCOUNTABILITY OFFICE




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


  Editorial Note: Nomenclature changes to chapter I appear at 70 FR 
17583, Apr. 7, 2005.

                     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              Rules of procedure of the Government 
                    Accountability Office Contract Appeals 
                    Board...................................          26
25              Conduct in the Government Accountability 
                    Office building and on its grounds......          43
27              Government Accountability Office Personnel 
                    Appeals Board; Organization.............          46
28              Government Accountability Office Personnel 
                    Appeals Board; Procedures applicable to 
                    claims concerning employment practices 
                    at the Government Accountability Office.          47

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29

[Reserved]

                       SUBCHAPTERS C-D [RESERVED]
              SUBCHAPTER E--STANDARDIZED FISCAL PROCEDURES
75              Certificates and approvals of basic vouchers 
                    and invoices............................          82
                          SUBCHAPTER F--RECORDS
81              Public availability of Government 
                    Accountability Office records...........          83
82              Furnishing records of the Government 
                    Accountability Office in judicial 
                    proceedings.............................          86
83              Privacy procedures for personnel records....          87
                         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 Government Accountability 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 Government Accountability 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 
Government Accountability 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 
Government Accountability 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 
Government Accountability 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 
Government Accountability 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 Sec. Sec. 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 Government Accountability 
Office as the Comptroller General considers appropriate. The merit pay 
system

[[Page 11]]

shall be 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 Government 
Accountability 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 Government 
Accountability 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 Government 
Accountability 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 Government Accountability 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 
Government Accountability 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 
Government Accountability 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 
Government Accountability 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 Government Accountability 
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 Government Accountability 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 Government Accountability 
          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, unless otherwise noted. 
Redesignated at 45 FR 68374, Oct. 15, 1980.



Sec. 11.1  Right to representation before the Government Accountability
Office.

    Each person having a claim or other rights assertable in the 
Government Accountability 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 
Government Accountability 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 Government Accountability 
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 Government Accountability 
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 Government 
Accountability 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 Government Accountability 
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.

    Editorial Note: Nomenclature changes to part 21 appear at 73 FR 
32429, June 9, 2008.



Sec. 21.0  Definitions.

    (a)(1) 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.
    (2) In a public-private competition conducted under Office of 
Management and Budget Circular A-76 regarding performance of an activity 
or function of a Federal agency, or a decision to convert a function 
performed by Federal employees to private sector performance without a 
competition under OMB Circular A-76, interested party also means
    (A) The official responsible for submitting the Federal agency 
tender, and
    (B) Any one individual, designated as an agent by a majority of the 
employees performing that activity or function, who represents the 
affected employees.
    (b)(1) 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.
    (2) If an interested party files a protest in connection with a 
public-private competition conducted under OMB Circular A-76 regarding 
an activity or function of a Federal agency, the official responsible 
for submitting the Federal agency tender, or the agent representing the 
Federal employees as described in paragraph (a)(2)(B) of this section, 
or both, may also be intervenors.
    (c) Federal agency or 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) 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 
Government Accountability 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.
    (e) Adverse agency action is any action or inaction by an agency 
that 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 or proposal despite a pending protest; or contracting agency 
acquiescence in continued and substantial contract performance.
    (f) A document is filed on a particular day when it is received by 
GAO by 5:30 p.m., Eastern Time, on that day. Protests and other 
documents may be filed

[[Page 19]]

by hand delivery, mail, commercial carrier, facsimile transmission (202-
512-9749), or e-mail ([email protected]). Please check GAO's Web site 
(http://www.gao.gov/legal/bidprotest.html) for current filing 
information. Hand delivery and other means of delivery may not be 
practicable during certain periods due, for example, to security 
concerns or equipment failures. The filing party bears the risk that the 
delivery method chosen will not result in timely receipt at GAO.
    (g) Alternative dispute resolution encompasses various means of 
resolving cases expeditiously, without a written decision, including 
techniques such as outcome prediction and negotiation assistance.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79835, Dec. 31, 2002; 
70 FR 19681, Apr. 14, 2005; 73 FR 32429, June 9, 2008]



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, Government Accountability Office, 441 G Street, NW., 
Washington, DC 20548, Attention: Procurement Law Control Group.
    (c) A protest filed with GAO shall:
    (1) Include the name, street address, electronic mail address, and 
telephone and facsimile numbers of the protester,
    (2) Be signed by the protester or its representative,
    (3) Identify the 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 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 after 
issuing a decision on the protest, in accordance with GAO's rules at 4 
CFR part 81. 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.

[[Page 20]]

    (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.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79835, Dec. 31, 2002; 
73 FR 32430, June 9, 2008]



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 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 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 an 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 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 agency and an 
acknowledgment to the protester. The 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 
substantial prospect of receiving an award. The 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 agency and to other participating 
parties. All protest communications shall be sent by means reasonably 
calculated to effect expeditious delivery.
    (b) A 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 agency shall file a report on the protest with GAO within 30 
days

[[Page 21]]

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 respond to the request for documents in 
writing. The agency's response shall, at a minimum, identify whether the 
requested documents exist, which of the requested documents or portions 
thereof the agency intends to produce, which of the requested documents 
or portions thereof the agency intends to withhold, and the basis for 
not producing any of the requested documents or portions thereof. 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 
cases, a party may request that another party 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 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 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 agency not later than 2 days 
after their existence or relevance is known or should have been known, 
whichever is earlier. The 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 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 agency and 
other participating parties. The protest shall be dismissed unless the 
protester files comments within the 10-day period, except where GAO has 
granted an extension or has established a shorter period in accordance 
with Sec. 21.10(e). Extensions will be granted on a case-by-case basis. 
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.
    (j) GAO may request or permit the submission of additional 
statements by the parties and by other parties participating in the 
protest as may be necessary for the fair resolution of the protest. The 
agency and other parties must receive GAO's approval before submitting 
any additional statements.

[[Page 22]]

GAO reserves the right to disregard material submitted without prior 
approval.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79835, Dec. 31, 2002; 
73 FR 32430, June 9, 2008]



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 that would ordinarily be 
subject to a protective order. GAO will review in 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, 
restricting the individual's practice before GAO, prohibition from 
participation in the remainder of the protest, or dismissal of the 
protest.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79835, Dec. 31, 2002; 
73 FR 32430, June 9, 2008]



Sec. 21.5  Protest issues not for consideration.

    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 need be filed; where 
specific protest allegations are dismissed, an agency report shall be 
filed on the remaining allegations. Among the protest bases that shall 
be dismissed are the following:
    (a) Contract administration. The administration of an existing 
contract is within the discretion of the 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 North American Industry Classification System (NAICS) 
standards. Challenges of established size standards or the size status 
of particular firms, and challenges of the selected NAICS code may be 
reviewed solely by the Small Business Administration. 15 U.S.C. 
637(b)(6).
    (2) Small Business Certificate of Competency Program. Referrals made 
to the Small Business Administration (SBA) pursuant to sec. 8(b)(7) of 
the Small Business Act, or the issuance of, or refusal to issue, a 
certificate of competency under that section will generally not be 
reviewed by GAO. The exceptions, which GAO will interpret narrowly out 
of deference to the role of the SBA in this area, are protests that show 
possible bad faith on the part of government officials, or that present 
allegations that the SBA failed to follow its own published regulations 
or failed to consider vital information

[[Page 23]]

bearing on the firm's responsibility due to the manner in which the 
information was presented to or withheld from the SBA by the procuring 
agency. 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 largely committed to the contracting 
officer's discretion, GAO will generally not consider a protest 
challenging such a determination. The exceptions are protests that 
allege that definitive responsibility criteria in the solicitation were 
not met and those that identify evidence raising serious concerns that, 
in reaching a particular responsibility determination, the contracting 
officer unreasonably failed to consider available relevant information 
or otherwise violated statute or regulation.
    (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 
for the procurement within 14 days after the protester first discovered 
the possible violation.
    (e) Protests not filed either in GAO or the 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.
    (i) Suspensions and debarments. Challenges to the suspension or 
debarment of contractors will not be reviewed by GAO. Such matters are 
for review by the agency in accordance with the applicable provisions of 
the Federal Acquisition Regulation.
    (j) Competitive range. GAO will not consider protests asserting that 
the protester's proposal should not have been included or kept in the 
competitive range.
    (k) Decision whether or not to file a protest on behalf of Federal 
employees. GAO will not review the decision of an agency tender official 
to file a protest or not to file a protest in connection with a public-
private competition.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79835, Dec. 31, 2002; 
70 FR 19681, Apr. 14, 2005; 73 FR 32430, June 9, 2008]



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

    Where a protest is filed with GAO, the 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); GAO does not administer the 
requirements to stay award or suspend contract performance under CICA at 
31 U.S.C. 3553(c) and (d).

[73 FR 32430, June 9, 2008]

[[Page 24]]



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 or other electronic means.
    (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, each party shall file comments with GAO 
within 5 days after the hearing was held or as specified by GAO. If the 
protester has not filed comments by the due date, 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.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79836, Dec. 31, 2002]



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 
agency implement any combination of the following remedies:
    (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 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 
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 agency decides to take corrective action in response to a 
protest, GAO may recommend that the agency pay the protester the 
reasonable costs of filing and pursuing the protest, including 
attorneys' fees and consultant and expert witness fees. The protester

[[Page 25]]

shall file any request that GAO recommend that costs be paid within 15 
days of the date on which the protester learned (or should have learned, 
if that is earlier) that GAO had closed the protest based on the 
agency's decision to take corrective action. The protester shall furnish 
a copy of its request to the 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 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 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 agency shall issue a decision on the claim for costs as soon 
as practicable after the claim is filed. If the protester and the 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 agency pay the protester the costs of pursuing the claim for 
costs before GAO.
    (3) The 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.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79836, Dec. 31, 2002]



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.



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 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) 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, on its own initiative or upon request by the parties, may 
use flexible alternative procedures to promptly and fairly resolve a 
protest, including alternative dispute resolution, 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

[[Page 26]]

development and resolution of the protest.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79836, Dec. 31, 2002]



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 case where the matter involved is the 
subject of litigation before, or 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.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79836, Dec. 31, 2002]



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, and the agency 
involved; a copy also shall be made available to the public. A copy of a 
decision containing protected information shall be provided only to the 
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 may be distributed to the parties, and are available 
from GAO, by electronic means.

[61 FR 39042, July 26, 1996, as amended at 67 FR 79836, Dec. 31, 2002; 
73 FR 32430, June 9, 2008]



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.



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. To 
obtain reconsideration, the requesting party must show that our prior 
decision contains errors of either fact or law, or must present 
information not previously considered that warrants reversal or 
modification of our decision; GAO will not consider a request for 
reconsideration based on repetition of arguments previously raised.

[61 FR 39042, July 26, 1996, as amended at 73 FR 32430, June 9, 2008]



PART 22_RULES OF PROCEDURE OF THE GOVERNMENT ACCOUNTABILITY OFFICE 
CONTRACT APPEALS BOARD--Table of Contents



Sec.
22.1 Applicability of Rules [Rule 1].
22.2 Board Consideration [Rule 2].
22.3 Appeals--How Taken [Rule 3].
22.4 Appeal File [Rule 4].
22.5 Pleadings [Rule 5].

[[Page 27]]

22.6 Motions, Briefs, and Other Statements [Rule 6].
22.7 Copies and Service Thereof [Rule 7].
22.8 General Discovery Procedures [Rule 8].
22.9 Subpoenas [Rule 9].
22.10 Sanctions [Rule 10].
22.11 Depositions [Rule 11].
22.12 Interrogatories [Rule 12].
22.13 Requests for Admission [Rule 13].
22.14 Production of Documents, Electronically Stored Information, Other 
          Tangible Things, or Entry Onto Land [Rule 14].
22.15 Conferences and Orders [Rule 15].
22.16 Hearings [Rule 16].
22.17 Submission on the Record Without a Hearing [Rule 17].
22.18 Closing the Record [Rule 18].
22.19 Findings and Decisions of the Board [Rule 19].
22.20 Mistakes and Corrections [Rule 20].
22.21 Motion for Reconsideration [Rule 21].
22.22 Accelerated and Small Claims Procedures [Rule 22].
22.23 Suspension of Proceedings [Rule 23].
22.24 Alternative Dispute Resolution [Rule 24].
22.25 Protective Orders and In Camera Review [Rule 25].
22.26 Representation of the Parties [Rule 26].
22.27 Ex Parte Communications [Rule 27].
22.28 Time [Rule 28].
22.29 Inspection of the Record [Rule 29].

    Authority: Sec. 1501, Public Law 110-161, 121 Stat. 2249.

    Source: 73 FR 36258, June 26, 2008, unless otherwise noted.



Sec. 22.1  Applicability of Rules [Rule 1].

    The Government Accountability Office Contract Appeals Board is 
authorized to hear appeals from decisions of contracting officers with 
respect to any contract entered into by a legislative branch agency. 
These rules shall apply to all appeals filed with the Board on or after 
October 1, 2007.



Sec. 22.2  Board Consideration [Rule 2].

    (a) Offices. The office of the Board shall be at the Government 
Accountability Office, 441 G Street, NW., Washington, DC 20548, or in 
such other place as may from time to time hereafter be assigned for its 
use. All files and records of the Board shall be kept at such office. 
All communications, pleadings, and/or documents addressed to the Board 
shall be addressed or delivered to the Board at the Government 
Accountability Office, 441 G Street, NW., Room 7182, Washington, DC 
20548; Telephone: 202-512-3342; Facsimile: 202-512-9749; E-mail: 
[email protected].
    (b) Three member panel. Generally, all appeals will be assigned to a 
panel of three members of the Board appointed by the Chairman of the 
Board; said panel may or may not include the Chairman of the Board as a 
member. Each panel will include a presiding member who is responsible 
for case management, including scheduling, and who may, without 
participation of the other panel members, rule on non-dispositive 
motions and resolve procedural disputes. Hearings on appeals may be held 
by one or more of the panel members of the Board. Appeals resolved under 
the Board's small claims or accelerated procedures (see Sec. 22.22 of 
this part [Rule 22]) may be decided by a single member of the Board. 
Requests for consideration of a matter by all members of the Contract 
Appeals Board will not be granted in any appeal filed under these rules.
    (c) Absence or disability of Chairman. The activities of the Board 
shall be performed under the supervision of the Chairman of the Board. 
In the absence of, or during the disability of, the Chairman, the Vice 
Chairman of the Board shall act as the Chairman.



Sec. 22.3  Appeals--How Taken [Rule 3].

    (a) Form. An appeal by the contractor shall be filed with the Board 
in the form of a written notice of appeal. The notice shall identify the 
contract by number, the name of the government agency and/or department 
against which the claim is asserted, the contracting officer for the 
subject dispute, the decision from which the appeal is taken, an 
estimate of the amount of money in controversy, if any, and shall be 
signed personally by the appellant (the contractor making the appeal) or 
by his representative or attorney. The complaint referred to in Sec. 
22.5(a) of this part [Rule 5(a)] may be filed with the notice of appeal 
or the appellant may designate the notice of appeal as a complaint if it 
otherwise fulfills the requirements of a complaint. The appellant shall 
promptly provide a copy of the appeal and complaint to the contracting 
officer.
    (b) Timeliness. (1) For claims where a contracting officer has 
issued a final

[[Page 28]]

decision, the contractor may file an appeal no later than 90 days after 
it receives the contracting officer's final decision.
    (2) For certified claims submitted to the contracting officer in 
excess of $50,000 where the contracting officer has not issued a final 
decision within a reasonable time, taking into account such factors as 
the size and complexity of the claim, the contractor may file a notice 
of appeal citing the failure of the contracting officer to issue a 
decision.
    (3) For claims submitted to the contracting officer in the amount of 
$50,000 or less where the contracting officer has not issued a final 
decision within 60 days of the contractor's request that a final 
decision be issued within that time, the contractor may file a notice of 
appeal citing the failure of the contracting officer to issue a 
decision.
    (4) In lieu of a notice of appeal filed under paragraphs (b)(2) or 
(b)(3) of this section [Rules 3(b)(2) or 3(b)(3)], the contractor may 
request that the Board direct a contracting officer to issue a decision 
within a specified period of time, as determined by the Board, in the 
event of undue delay by the contracting officer in issuing a decision.
    (5) An appeal filed with the Board will be deemed ``filed'' on the 
date actually received by the Board if received by 5:30 p.m. local time 
in Washington, DC, or on the next business day if received after 5:30 
p.m.
    (c) Service of the appeal; copies. An original plus 3 copies of the 
appeal shall be filed with the Board by hand delivery, express or 
priority mail, approved commercial carrier (e.g., UPS or FedEx), 
facsimile, or e-mail, although e-mail is the preferred method of 
delivery in all Board matters. The use of first class or parcel post 
mail is strongly discouraged because the delivery delays and screening 
process for government mail could result in untimely filed appeals. If 
filed by e-mail or facsimile, the appellant shall provide the original 
plus 3 copies to the Board by hand delivery or commercial carrier within 
2 business days of the e-mailed or facsimile transmitted filing. The 
appellant shall furnish a copy of the appeal to the contracting officer 
from whose decision, or failure to issue the decision, the appeal is 
taken using the same method or service as for the Board, or an equal or 
more expeditious method of service. For service of documents once an 
appeal has commenced, see Sec. 22.7(b) of this part [Rule 7(b)].
    (d) Docketing. When the Board receives a notice of appeal from the 
appellant, the Board will promptly docket the appeal and provide written 
notice of docketing to all parties, or their counsel, with a copy of 
these rules.
    (e) Consolidation. The Board, in its discretion, may consolidate 
cases involving common issues of law or fact.

[73 FR 36258, June 26, 2008, as amended at 73 FR 60610, Oct. 14, 2008]



Sec. 22.4  Appeal File [Rule 4].

    (a) Duties of the Contracting Officer. (1) Within 30 days after 
receipt of the complaint, or within such other period of time as may be 
established by the Board, the contracting officer shall assemble and 
transmit to the Board an appeal file consisting of all documents 
pertinent to the appeal, including:
    (i) The decision from which the appeal is taken;
    (ii) The contract, including relevant specifications, amendments, 
plans, and drawings;
    (iii) All correspondence between the parties relevant to the appeal, 
including the letter or letters of claim in response to which the 
decision was issued;
    (iv) All documents and other tangible things on which the 
contracting officer relied in making the decision, and any 
correspondence relating thereto;
    (v) Transcripts of any testimony taken during the course of 
proceedings, and affidavits or statements of any witnesses on the matter 
in dispute made prior to the filing of the notice of appeal with the 
Board; and
    (vi) Any additional information or evidence considered relevant to 
the appeal.
    (2) Within the same time specified above, the contracting officer 
shall furnish the appellant a copy of each document he or she transmits 
to the Board, except those in paragraph (a)(1)(ii) of this section [Rule 
4(a)(1)(ii)]. As to the latter, a list furnished to the appellant

[[Page 29]]

indicating specific contractual documents transmitted will suffice. 
Documents filed under this rule, and any supplements, shall be organized 
and filed in accordance with paragraph (d) of this section [Rule 4(d)].
    (b) Duties of the appellant. Within 30 days after receipt of a copy 
of the appeal file provided pursuant to paragraph (a) of this section 
[Rule 4(a)], or within such other period of time as may be established 
by the Board, the appellant shall transmit to the Board for inclusion in 
the appeal file any documents not contained therein which the appellant 
considers to be relevant to the appeal. Within the same period of time, 
the appellant shall furnish a copy of such documents to the contracting 
officer or counsel for the government. Documents filed under this rule 
shall be organized and filed in accordance with paragraph (d) of this 
section [Rule 4(d)].
    (c) Continuing duty to supplement the record. All parties have a 
continuing duty to supplement the record with relevant documents and 
tangible things, and the appeal file may be supplemented by any party at 
any time before the closing of the record. In cases where a hearing is 
requested, these supplements shall be provided well in advance of the 
pre-hearing conference so that objections to admissibility may be heard 
and resolved, to the maximum extent possible, in advance of the hearing. 
All supplements to the appeal file shall be organized and filed in 
accordance with paragraph (d) of this section [Rule 4(d)].
    (d) Organization of appeal file. Only relevant documents and 
tangible things should be provided as part of the appeal file. Appeal 
file documents may be originals or true, legible, and complete copies or 
facsimiles. The appeal file shall be arranged in chronological order 
with the earliest documents first; bound in a 3-ring binder (or binders) 
or similar loose-leaf binder(s) no larger than 4 inches in width, except 
where size or shape makes such binding impracticable; numbered; tabbed; 
and indexed. Numbering of pages shall be consecutive and continuous from 
one page to the next (i.e., ``Bates'' numbered), so that the complete 
file, including any supplements, will consist of one set of 
consecutively numbered pages. Preceding each Bates number shall be a 
designation ``A'' for appellant or ``R'' for respondent, indicating 
which party provided the document. Multiple binders shall be 
consecutively numbered and include references on the outside cover and 
binding that state the range of tab numbers and Bates numbers contained 
therein. Within each binder, tabs shall separate each document; multiple 
documents shall not be placed behind a single tab, unless each document 
is separated by a divider. The appeal file shall include an index 
identifying each document included in the appeal file by date, brief 
description of the document, and the tab and Bates numbers where the 
document can be located in the appeal file. The Board may, in its 
discretion or upon request of a party, order an alternative organization 
of the appeal file. If an alternative organization of the appeal file is 
permitted, such as by document type or topic, documents within that 
grouping must be presented in chronological order to the extent 
possible. The Board may impose special requirements on the production of 
electronic documents and, if any portion of the Sec. 22.4 [Rule 4] file 
or supplement contains electronic documents, the party submitting such 
documents shall contact the Board before submission for guidance.
    (e) Submissions on order of the Board. The Board may, at any time 
during the pendency of the appeal, require any party to file documents 
or tangible things as additional exhibits. The Board may also require a 
party to file printed versions of electronic records or, conversely, may 
require electronic versions of printed documents.
    (f) Status of documents in the record. Documents contained in the 
appeal file are considered, without further action by the parties, as 
part of the record upon which the Board will render its decision. 
However, a party may object to consideration of a particular document or 
documents by filing a written objection. Such objections shall be raised 
by motion pursuant to Sec. 22.6 of this part [Rule 6] and shall be 
filed as early as necessary to allow the Board, to the maximum extent 
possible, to resolve the objection in advance of a

[[Page 30]]

scheduled hearing, or before the record is closed if no hearing is held.



Sec. 22.5  Pleadings [Rule 5].

    (a) Complaint. Within 15 days after receipt of the docketing notice 
from the Board, or within such other period of time as may be 
established by the Board, the appellant will file with the Board, if not 
previously filed with the notice of appeal, a complaint setting forth 
simple, concise, and direct statements of each of its claims showing 
that it is entitled to relief; identifying the contract provision or 
provisions under which relief is claimed; and stating the amount in 
controversy or an estimate thereof, if known, and/or the relief 
requested. The complaint shall be limited to those requests for relief 
which have been presented to the contracting officer and were either 
denied or not ruled upon by the contracting officer in accordance with 
Sec. 22.3 of this part [Rule 3]. No technical form is required, but 
each claim should be separately identified. In the event that the 
complaint is not filed within the time stated above, the appeal may be 
dismissed by the Board for lack of prosecution.
    (b) Answer. Within 30 days after receipt of the complaint, or within 
such other period of time as may be established by the Board, the 
contracting officer or counsel for the government shall prepare and file 
with the Board an answer thereto. The answer shall set forth simple, 
concise, and direct statements of the government's defenses to each 
claim asserted by the appellant. Each defense shall be stated with as 
much particularity as is practicable. Defenses which go to the Board's 
jurisdiction may be included in the answer, or may be raised by motion 
pursuant to the provisions of Sec. 22.6 of this part [Rule 6]. Motions 
in lieu of an answer may be filed only with the advance permission of 
the Board.
    (c) Small claims and accelerated procedures. When an appellant 
elects to use the small claims or accelerated procedures described in 
Sec. 22.22 of this part [Rule 22], the Board may shorten the time for 
filing the complaint and answer.
    (d) Amendment of pleadings. At any time before a hearing on the 
merits, or before the closing of the record when a hearing is not held, 
the Board in its discretion may permit a party to amend its complaint or 
answer concerning matters that are within the proper scope of the 
appeal, upon conditions that are just to both parties. The Board, upon 
its own initiative or upon application by a party, may in its discretion 
order a party to make a more definite statement of its complaint or 
answer, or to reply to an answer. When issues within the proper scope of 
the appeal, but not raised by the complaint and answer, are determined 
by express or implied consent of the parties as having been raised, they 
shall be treated in all respects as if they had been raised in the 
pleadings. Such amendment of the complaint and answer as may be 
necessary to cause them to conform to the evidence may be made upon 
motion at any time, but failure to so amend does not affect the result 
of the hearing of these issues. If evidence is objected to at the 
hearing on the ground that it is not within the issues raised by the 
complaint and answer, the Board may allow the pleadings to be amended 
within the proper scope of the appeal and shall do so freely when the 
presentation of the merits of the action will be served thereby and the 
objecting party fails to satisfy the Board that the admission of such 
evidence would prejudice it in maintaining its appeal or defense on the 
merits. The Board may, however, grant a continuance to enable the 
objecting party to respond to such evidence.



Sec. 22.6  Motions, Briefs, and Other Statements [Rule 6].

    (a) Motions, generally. Motions shall be made in writing, indicate 
the relief sought and include the grounds therefor, and be filed with 
the Board as soon as practicable after the grounds therefor are known 
and as early as necessary to allow the Board to rule on the motion in 
advance of a scheduled hearing. Except for motions submitted under 
paragraph (d) of this section [Rule 6(d)], any party may respond to a 
motion by submitting a written response to the motion within 10 days of 
receipt of the motion, and the moving party may reply to the response 
within 5 days of receipt of the response, except

[[Page 31]]

that the Board, in its discretion, may shorten or lengthen the time for 
the response and reply based on the nature of the motion, the nature and 
timing of the case, and the scheduling needs of the Board. The Board may 
request additional submissions from the parties and may decide motions 
on the written submissions without oral argument. The Board shall decide 
all motions before the hearing on the merits unless the Board determines 
that a ruling be deferred pending a hearing on both the merits and the 
motion. Jurisdictional and procedural defenses may be raised at any time 
by motion, but should be raised as soon as the grounds therefor are 
known; and the Board, at any time and on its own initiative, may raise 
an issue of jurisdiction and may decline to proceed with an appeal in 
which it lacks authority to decide the issues. All motions, responses, 
replies, and additional submissions required by the Board shall be filed 
in accordance with paragraphs (b) and (c) of this section [Rules 6(b) 
and 6(c)].
    (b) Briefs and citations. In addition to submissions required by 
these rules, the Board may require the parties to file legal or factual 
briefs concerning any matter that may aid in the disposition of the 
appeal. When such briefs or submissions are required (by rule or by the 
Board), the brief or submission shall contain citations to the record 
and legal authority as appropriate, and follow such other format as may 
be directed by the Board. Citations to the record must be specific 
(i.e., to Bates number or other similar designation) so that the Board 
can locate the exact proposition or matter to which the party is 
referring. The parties should not expect the Board to search the record 
for evidence in support of either party's position. Briefs and 
submissions that are not submitted in the required format, or which do 
not contain adequate citations to the record or legal authority, may be 
rejected by the Board or returned to the party with an order that the 
party resubmit the brief or submission with appropriate revisions.
    (c) Declarations, affidavits, or other statements. Any declaration, 
affidavit, or other statement that is submitted to explain the record 
must, to the maximum extent possible, include citations to the record in 
support of the statement, argument, or analysis made. Citations to the 
record must be specific (i.e., to Bates number or similar designation). 
Declarations, affidavits, or other statements containing inadequate 
citations may be returned to the party with an order that the party 
resubmit the statement with appropriate revisions.
    (d) Motions for summary judgment--(1) Generally. Motions for summary 
judgment or partial summary judgment shall be filed only when a party 
believes, based on uncontested material facts, that it is entitled to 
relief, in whole or in part, as a matter of law. Such motions shall be 
filed as soon as practicable to allow the Board to rule on the motion in 
advance of a scheduled hearing. In considering a motion, or partial 
motion, for summary judgment, the Board will consider the pleadings, 
depositions, answers to interrogatories, admissions of record, and 
affidavits provided, and will grant such motion if there is no genuine 
issue of material fact and the moving party is entitled to judgment as a 
matter of law. In deciding motions for summary judgment, the Board will 
look to Rule 56 of the Federal Rules of Civil Procedure for guidance.
    (2) Requirements. Where both parties agree that disposition by 
summary judgment or partial summary judgment is appropriate, they shall 
file a stipulation of all material facts necessary for the Board to rule 
on the motion. Otherwise, the moving party shall file with its motion a 
``Statement of Undisputed Material Facts'' setting forth the claimed 
undisputed material facts in separately numbered paragraphs, each of 
which shall be supported by citations to the Sec. 22.4 [Rule 4] file or 
other evidence establishing the facts. The non-moving party shall file a 
``Statement of Genuine Issues of Material Facts,'' responding to each 
numbered paragraph, demonstrating the existence of genuine issues of 
material facts where appropriate, and including for each fact citations 
to the Sec. 22.4 [Rule 4] file or other evidence in support. A fact 
properly proposed by one party may be accepted by the Board as 
undisputed unless the opposing party

[[Page 32]]

properly responds and establishes that the fact is in dispute. An 
opposing party may not rely on mere allegations or denials in its 
pleadings to demonstrate the existence of a genuine issue of material 
fact. Either party may rely on affidavits, depositions, answers to 
interrogatories, or admissions of record to establish the existence of, 
or to dispute, a material fact. The moving party and non-moving party 
each shall submit a memorandum of law supporting or opposing summary 
judgment, and the moving party may file a reply to the non-moving 
party's opposition of the motion.
    (3) Time. Generally, the non-moving party shall file its opposition 
to a motion for summary judgment or partial summary judgment within 20 
days of receipt of the motion, and the moving party's reply is due 
within 10 days of receipt of the opposition, except that the Board, in 
its discretion, may shorten or lengthen the time for opposition and 
reply based on the nature of the motion, the nature and timing of the 
case, and the scheduling needs of the Board.
    (4) Citations. All motions for summary judgment, oppositions to such 
motions, briefs, and statements in support of the motions or opposition 
to the motions shall be filed in conformance with paragraphs (b) and (c) 
of this section [Rules 6(b) and 6(c)].



Sec. 22.7  Copies and Service Thereof [Rule 7].

    (a) Rule 4 file. For documents provided pursuant to Sec. 22.4 of 
this part [Rule 4], the original and one copy shall be provided to the 
Board, and one copy shall be provided to each party. Documents shall be 
provided by hand delivery, express or priority mail, or approved 
commercial carrier (e.g., UPS or FedEx); first class and parcel post 
mail are not permitted unless authorized by the Board.
    (b) Other submissions filed with the Board. Except as otherwise 
authorized by the Board, all correspondence and submissions, other than 
documents provided pursuant to Sec. 22.4 of this part [Rule 4] and 
appeals filed under Sec. 22.3(c) of this part [Rule 3(c)], shall be 
provided to the Board by e-mail at [email protected], with a courtesy copy of 
the submission provided by e-mail to each of the members of the Board. 
All e-mails to [email protected] must identify the case name and docket number 
in the subject line of the e-mail. In addition, unless the Board directs 
otherwise, the original plus 3 copies of the e-mailed submission also 
shall be provided to the Board by hand delivery, express or priority 
mail, or approved commercial carrier (e.g., UPS or FedEx) within 2 
business days of the e-mailed filing (except that the original and one 
copy are required for appeals involving small claims or using 
accelerated procedures). Delivery to the Board by first class or parcel 
post mail is not permitted. However, the Board may at any time modify 
the number of copies required or authorize alternative methods of 
delivery to the Board.
    (c) Service on parties. All correspondence and submissions to the 
Board must be provided to all other parties using the same method of 
service as used for the Board, or an equal or more expeditious method of 
service. Except for documents provided pursuant to Sec. 22.4 of this 
part [Rule 4], e-mail service is preferred. However, where the parties 
agree to other methods of service, such other methods of service to 
parties are permitted.
    (d) Proof of service. A party sending a document to the Board must 
represent to the Board that a copy has been sent to the other parties, 
identify the date on which service was made, and identify the method of 
delivery used. This may be done by certificate of service, by notation 
of a photostatic copy (cc:), or by any other means that can reasonably 
be expected to show the Board that the other party has been provided a 
copy, the date on which the copy was provided, and the method of 
delivery used to provide the copy. Proof of service must be provided to 
the Board at the time of filing. If proof of service is not provided, 
the Board may decline to consider the document in the appeal.



Sec. 22.8  General Discovery Procedures [Rule 8].

    (a) General policy and methods of discovery. The parties are 
encouraged to engage in voluntary discovery procedures and may obtain 
discovery by one

[[Page 33]]

or more of the following methods: Depositions; written interrogatories; 
requests for admissions; and requests for production of documents, 
electronically stored information, other tangible things, or entry onto 
land.
    (b) Scope of discovery. Except as otherwise limited by order of the 
Board, the parties may obtain discovery regarding any matter, not 
privileged, which is relevant to the subject matter involving the 
pending appeal, whether it relates to a claim or defense of a party, 
including the existence, description, nature, custody, condition, and 
location of any books, documents, electronically stored information, or 
other tangible things, and the identity and location of persons having 
knowledge of any discoverable matter. It is not a ground for objection 
that the information sought will be inadmissible if the information 
sought appears reasonably calculated to lead to the discovery of 
admissible evidence.
    (c) Discovery plan, conferences, and orders. Within 30 days of the 
initial filing of documents in accordance with Sec. 22.4(a) of this 
part [Rule 4(a)], the parties shall confer and file with the Board a 
proposed discovery plan, which shall include estimated time frames and 
proposed dates for completing discovery and when the parties anticipate 
that a hearing can be scheduled. Upon request of a party or on its own 
initiative, the Board may at any time hold an informal meeting or 
telephone conference with the parties to identify outstanding issues 
relating to discovery; establish a plan and schedule for discovery; set 
limitations on discovery; compel compliance with discovery; and issue 
such orders or determine such other matters as are necessary for the 
proper management of discovery, including imposing sanctions on the 
parties as may be appropriate.
    (d) Discovery limits. On motion or on its own initiative, the Board 
may make any order necessary to protect a party or person from 
annoyance, embarrassment, oppression, or undue burden or expense. Such 
order may impose limitations on the scope, method, time and place for 
discovery, and include provisions for protecting the secrecy of 
confidential information or documents.
    (e) Discovery objections. Unless otherwise ordered by the Board, any 
objection to a discovery request must be filed with the Board within 15 
days of receipt of the request. Objections must be filed in writing and 
state with specificity the grounds therefor. Upon receipt, the Board 
will establish a schedule for resolving the objections, which may 
include additional briefing by the parties or oral argument, and will 
determine the extent to which discovery will be permitted. A party shall 
fully respond to any discovery request to which it does not file a 
timely objection, in accordance with paragraph (f) of this section [Rule 
8(f)]. The parties are required to make a good faith effort to resolve 
objections to discovery requests informally prior to seeking relief from 
the Board.
    (f) Discovery responses. Unless otherwise ordered by the Board, a 
party is required to respond to written interrogatories, requests for 
admission, and requests for production of documents, electronically 
stored information, other tangible things, or entry onto land within 30 
days of receipt.
    (g) Duty to supplement discovery responses. A party that has 
responded to written interrogatories, requests for admission, or 
requests for production of documents, electronically stored information, 
or other tangible things, upon becoming aware of deficiencies or 
inaccuracies in its original responses, or upon acquiring additional 
information or documents relevant thereto, shall, as quickly as 
practicable, and as often as necessary, supplement its responses to the 
requesting party with correct and sufficient additional information and 
such additional documents as are necessary to give a complete and 
accurate response to the request.
    (h) Voluntary cooperation. Each party is expected to cooperate by 
making available witnesses and evidence under its control when requested 
by another party, and to secure the voluntary attendance of third-party 
witnesses and production of evidence by third parties, when practicable.
    (i) Motions to compel discovery. If a party refuses to comply with a 
discovery request, or a party's response to a discovery request is 
incomplete or entirely absent, any other party may

[[Page 34]]

file a motion to compel a response. However, such motion must include a 
representation that the moving party has tried in good faith, prior to 
filing the motion, to resolve the matter informally. The motion to 
compel shall include a copy of each discovery request at issue and the 
response, if any.
    (j) Sanctions. If, after being properly served with such discovery 
request, a party fails to appear for deposition, respond to 
interrogatories or requests for admissions, or respond to a request for 
production of documents, electronically stored information, other 
tangible things, or entry onto land, the party seeking discovery may 
move the Board to impose sanctions under Sec. 22.10 of this part [Rule 
10].
    (k) Discovery motions, timing. All motions concerning discovery, 
including motions to compel discovery, shall be filed on or before the 
scheduled end date of discovery to the maximum extent practicable. 
Motions that are filed after the end date of discovery will not be 
considered except for good cause shown.

[73 FR 36258, June 26, 2008, as amended at 73 FR 60610, Oct. 14, 2008]



Sec. 22.9  Subpoenas [Rule 9].

    (a) Issuance. Upon the written request of any party, or on the 
initiative of the Board, a subpoena may be issued that commands the 
person to whom it is directed to attend and give testimony at a 
deposition or hearing, and/or produce documents or electronically stored 
information (including writings, papers, books, accounts, photographs, 
drawings, graphs, charts, recordings, and other data or data 
compilations) or other tangible things designated in the subpoena, or to 
permit entry onto designated premises for inspection or other purposes. 
Requests for subpoenas shall identify the Board and state the name and 
docket number of the appeal; identify the name of the person to whom the 
subpoena is directed; command the person to whom the subpoena is 
directed to, at a specific place and time, appear and testify, or 
produce designated documents, electronically stored information, or 
other tangible things, or permit the inspection of designated premises; 
and state the scope and relevance of the requested testimony or evidence 
to the appeal. All requests for subpoenas shall be filed at least 15 
days before the testimony or evidence is to be provided, except that the 
Board may, in its discretion, honor requests for subpoenas not made 
within this time limitation.
    (b) Service. The party requesting the subpoena shall cause the 
subpoena to be served upon the person named in the subpoena as soon as 
practicable after the subpoena has been issued and shall provide proof 
of service to the Board. Service shall be made by any person who is not 
a party and not less than 18 years of age by personal delivery to the 
person named in the subpoena, and shall include tender of the fees for 
one day attendance and the mileage allowed by 28 U.S.C. 1821 or other 
applicable law; however, where the subpoena is issued on behalf of the 
government, money payments need not be tendered in advance of 
attendance.
    (c) Motions to quash. Upon written motion of the person named in the 
subpoena or a party, the Board may quash or modify the subpoena if it is 
unreasonable and oppressive or for other good cause shown, or the Board 
may require the party in whose behalf the subpoena was issued to advance 
the reasonable costs of producing subpoenaed evidence. Motions to quash 
or modify a subpoena must be filed within 10 days of service of the 
subpoena or by the date and time specified in the subpoena for 
compliance, whichever is earlier.
    (d) Contumacy. In the case of contumacy or refusal to obey a 
subpoena by a person who resides, is found, or transacts business within 
the jurisdiction of a United States district court, the Board may apply 
to the court through the Attorney General of the United States for an 
order requiring the person to appear before the Board to give testimony, 
produce evidence, or both.



Sec. 22.10  Sanctions [Rule 10].

    (a) Standards. All parties and their representatives, attorneys, and 
any experts/consultants retained by them or their attorneys, must obey 
directions and orders prescribed by the Board and adhere to standards of 
conduct applicable to such parties and persons. As to an attorney, the 
standards include the

[[Page 35]]

rules of professional conduct and ethics of the jurisdictions in which 
an attorney is licensed to practice, to the extent that those rules are 
relevant to conduct affecting the integrity of the Board, its process, 
and its proceedings. The Board will also look to professional guidelines 
in evaluating an individual's conduct.
    (b) Imposition of sanctions. (1) When a party or its representative 
or attorney or any expert/consultant fails to comply with any direction 
or order issued by the Board (including an order to provide or permit 
discovery), or engages in misconduct affecting the Board, its process, 
or its proceedings, the Board may make such orders as are just, 
including the imposition of appropriate sanctions. The sanctions may 
include:
    (i) Taking the facts pertaining to the matter in dispute to be 
established for the purpose of the appeal in accordance with the 
contention of the party submitting the discovery request;
    (ii) Forbidding challenge of the accuracy of any evidence;
    (iii) Refusing to allow the noncompliant party to support or pose 
designated claims or defenses;
    (iv) Prohibiting the noncompliant party from introducing in evidence 
designated documents or items of testimony;
    (v) Striking pleadings or parts thereof, or staying further 
proceedings until the order is obeyed;
    (vi) Dismissing the appeal or any part thereof; and/or
    (vii) Imposing such other sanctions as the Board deems appropriate.
    (2) Prior to imposing sanctions, the Board will provide the 
noncompliant party with notice and an opportunity to be heard on the 
issue of whether sanctions should be imposed. The opportunity to be 
heard does not mean that the party is entitled to a hearing; the 
opportunity to provide written argument shall satisfy this requirement.
    (c) Disciplinary proceedings. In addition to the above procedures, 
the Board may discipline individual party representatives, attorneys, 
and experts/consultants for a violation of any Board order or direction 
or standard of conduct applicable to such individual where the violation 
affects the integrity of the Board's process or proceedings. Sanctions 
may be public or private and may include admonishment, disqualification 
from a particular matter, referral to an appropriate licensing 
authority, or such other action as circumstances may warrant. The Board, 
in its discretion, may suspend an individual from appearing before the 
Board as a party representative, attorney, or expert/consultant if, 
after affording such individual notice and an opportunity to be heard, a 
majority of all members of the Contact Appeals Board determines that 
such sanction is warranted.



Sec. 22.11  Depositions [Rule 11].

    (a) When depositions may be taken. After an appeal has been docketed 
by the Board and a complaint has been filed, either party may take the 
testimony of any person by deposition upon oral examination or written 
questions, for the purpose of discovery or for use as evidence in the 
appeal proceedings, or for both purposes.
    (b) Time, place, and manner of taking. The time, place, and manner 
of taking depositions shall be as mutually agreed to by the parties or, 
failing such agreement, be governed by order of the Board.
    (c) Limits. The number of depositions taken shall not be limited 
except as the Board may require to protect a party from annoyance, 
burden, or harassment.
    (d) Use as evidence. No testimony taken by deposition shall be 
considered as part of the evidence in the hearing of an appeal unless 
and until such testimony is offered and received in evidence at the 
hearing. Depositions ordinarily will not be received in evidence if the 
deponent is present and can testify personally at the hearing; however, 
depositions may be used to contradict or impeach the testimony of a 
deponent as a witness. If only a part of a deposition is offered in 
evidence by a party, an adverse party may require the offering party to 
introduce any other part which in fairness ought to be considered with 
the part introduced. In any case, the Board, upon the agreement of the 
parties, may permit the introduction of relevant portions of depositions 
as designated by the parties. If

[[Page 36]]

no hearing has been conducted and the appeal has been submitted on the 
record pursuant to Sec. 22.17 of this part [Rule 17], the Board, in its 
discretion, may receive depositions in evidence to supplement the 
record.



Sec. 22.12  Interrogatories [Rule 12].

    (a) When interrogatories may be served. After an appeal has been 
docketed by the Board and a complaint has been filed, a party may serve 
on an adverse party written interrogatories to be answered by the party 
served or, if the party served is a public or private corporation or a 
partnership or association, by any officer or agent who shall furnish 
such information as is available to the party.
    (b) Answers. The interrogatories shall be answered separately and 
fully in writing, signed under oath by the person answering them, and 
served on the party submitting the interrogatories. Objections to the 
interrogatories shall be signed by counsel for the party responding to 
the interrogatories. An interrogatory is not necessarily objectionable 
merely because an answer to the interrogatory may involve an opinion or 
contention that relates to fact or the application of law to fact; 
however, the Board may order that such interrogatory need not be 
answered until after discovery has been completed or some other event 
has occurred.
    (c) Scope and use as evidence. Interrogatories may relate to any 
matters which can be inquired into under Sec. 22.11 of this part [Rule 
11] (Depositions), and the answers may be used to the same extent as 
provided for the use of the deposition of a party.
    (d) Limits. The number of interrogatories or sets of interrogatories 
to be served shall not be limited except as the Board may require to 
protect a party from annoyance, burden, or harassment.
    (e) Option to produce business records. Where the answer to an 
interrogatory may be derived or ascertained from the business records of 
the party upon which the interrogatory has been served, and the burden 
of deriving or ascertaining the answer is substantially the same for the 
party serving the interrogatory as for the party served, it is a 
sufficient answer to such interrogatory to specify the record(s) from 
which the answer may be derived or ascertained and to afford the party 
serving the interrogatory a reasonable opportunity to examine, audit, or 
inspect such records and to make copies thereof. Such specification 
shall be in sufficient detail to permit the interrogating party to 
locate and to identify, as readily as can the party served, the 
record(s) from which the answer may be ascertained.



Sec. 22.13  Requests for Admission [Rule 13].

    (a) When requests for admission may be served. (1) After an appeal 
has been docketed by the Board and a complaint has been filed, a party 
may serve on the opposing party a written request for the admission by 
the latter of the genuineness of any relevant documents described in and 
exhibited with the request, or of the truth of any relevant matters of 
fact set forth in the request. Each of the matters for which an 
admission is requested shall be deemed admitted unless, within the 
period designated in Sec. 22.8(c) and Sec. 22.8(f) of this part [Rules 
8(e) and 8(f)] for responding to discovery requests, the party to whom 
the request is directed serves upon the party requesting the admission 
either:
    (i) A sworn statement denying specifically the matters for which an 
admission is requested or setting forth in detail the reasons why he or 
she cannot truthfully admit or deny those matters, or
    (ii) Written objections on the ground that some or all of the 
requested admissions are privileged or irrelevant or that the request is 
otherwise improper in whole or in part.
    (2) If written objections to a part of the request are made, the 
remainder of the request shall be answered within the period designated 
in Rule 8(f). A denial shall fairly meet the substance of the requested 
admission and, when good faith requires that a party deny only a part of 
a matter for which an admission is requested, he or she shall specify so 
much of it as is true and deny only the remainder.
    (b) Limits. The number of requests for admissions served shall not 
be limited except as the Board may require to

[[Page 37]]

protect a party from annoyance, burden, or harassment.
    (c) Use as evidence. Any matter admitted is conclusively established 
for the purpose of the pending action, unless the Board, on motion, 
permits withdrawal or amendment of the admission.

[73 FR 36258, June 26, 2008, as amended at 73 FR 60610, Oct. 14, 2008]



Sec. 22.14  Production of Documents, Electronically Stored Information,
Other Tangible Things, or Entry Onto Land [Rule 14].

    (a) When documents, electronically stored information, other 
tangible things, or entry onto land may be requested. After an appeal 
has been docketed by the Board and a complaint has been filed, any party 
may serve on any other party a request--
    (1) To produce and permit the inspection, copying, or photographing 
of any designated documents or electronically stored information 
(including writings, papers, books, accounts, photographs, drawings, 
graphs, charts, recordings, and other data or data compilations), or 
other tangible things, not privileged, which are in his, her, or its 
possession, custody, or control and which are within the scope of 
discovery as described in Sec. 22.8(b) of this part [Rule 8(b)]; or
    (2) To permit entry onto designated land or other property in his or 
its possession or control for the purpose of inspecting, measuring, 
surveying, filming, or photographing the property or any designated 
object or operation thereon which is within the scope of discovery as 
described in Sec. 22.8(b) of this part [Rule 8(b)].
    (b) Time, place, and manner. The request shall specify the time, 
place, and manner of making the inspection and taking the copies and 
photographs. The Board may make an order that the inspection, copying, 
measuring, surveying, filming, or photographing shall be limited to 
certain matters; or the Board may make any other order which, in its 
discretion, it deems appropriate to protect the party from annoyance, 
burden, or harassment.



Sec. 22.15  Conferences and Orders [Rule 15].

    (a) Initial status conference. As soon as practicable after the 
filing of the complaint and answer, the Board shall schedule an initial 
status conference to discuss the issues of the case, the procedures 
available under the Board's rules of resolution of the case, and a 
tentative schedule for such resolution, including the plan for possible 
discovery required by Rule 8(c), the possibility of alternative dispute 
resolution (see Rule 24), and the possibility of dispositive motions.
    (b) Status conferences and reports. At any time during the appeal, 
the Board, upon its own initiative or upon the request of one of the 
parties, may call upon the parties or their attorneys or representatives 
to appear before the Board (or one or more members thereof) for a status 
conference to consider or report on whatever matters are necessary to 
aid in the disposition of the appeal. Such matters may include, for 
example, the simplification or clarification of issues, the necessity or 
desirability of amendments to the pleadings, agreements and rulings to 
facilitate discovery, progress reports during discovery, and pre-hearing 
procedures and scheduling. Status conferences may be conducted in person 
or by telephone, and the Board generally will make an order which 
recites the action taken at the conference(s). From time to time, the 
Board also may require one or more of the parties, either jointly or 
individually, to provide status reports concerning any matter that aids 
in the disposition of the appeal.
    (c) Rulings, orders, and directions. The Board may make such rulings 
and issue such orders and directions as are necessary to secure the 
informal, expeditious, and inexpensive resolution of every case before 
the Board. Any ruling, order, or direction that the Board may make or 
issue pursuant to the rules of this Board may be made on the motion of 
any party or on the initiative of the Board. The Board may also amend, 
alter, or vacate a ruling, order, or direction upon such terms as it 
deems appropriate. In making rulings and issuing orders and directions, 
the Board will take into consideration those Federal Rules of Civil 
Procedure

[[Page 38]]

and Federal Rules of Evidence which address matters not specifically 
covered herein.

[73 FR 60610, Oct. 14, 2008]



Sec. 22.16  Hearings [Rule 16].

    (a) Election of hearing or record submission. Each party shall 
inform the Board, in writing, whether it elects a hearing or submission 
of the case on the record pursuant to Sec. 22.17 of this part [Rule 
17]. Such election shall occur no later than 15 days after the 
conclusion of discovery, unless the Board directs otherwise. In the 
event that only one party waives a hearing and submits its case on the 
record, the Board shall proceed with a hearing attended by the remaining 
parties.
    (b) Pre-hearing schedule. (1) Within 30 days of the conclusion of 
discovery, the parties shall meet and confer and provide the Board with 
a joint proposed schedule for pre-hearing and hearing disclosures, 
submissions, and key events. In the absence of agreement, each party 
shall submit its own proposed schedule. The schedule shall address, at a 
minimum, deadlines for submitting the following:
    (i) Dispositive motions, motions for summary judgment, and motions 
in limine, which allow sufficient time for the Board to resolve the 
motions before the hearing;
    (ii) Pre-hearing briefs or statements of the case;
    (iii) The identification of lay and expert witnesses for hearing, 
the general substance of testimony to be offered by each witness, and 
any depositions that will be used in lieu of witness testimony;
    (iv) The exchange of expert reports and statements (if not done 
during discovery);
    (v) Proposed stipulations of fact;
    (vi) The exchange of hearing exhibit books;
    (vii) The production of any additional documents to be used at the 
hearing that are not already part of the Sec. 22.4 [Rule 4] file;
    (viii) Objections to proposed evidence or Sec. 22.4 [Rule 4] file 
submissions;
    (ix) Date for conducting a pre-hearing conference;
    (x) Dates and duration of the hearing; and
    (xi) Any other matter necessary for resolution before the hearing.
    (2) As soon as practicable after receipt of the parties' proposed 
schedule(s), the Board will issue an order establishing a schedule for 
pre-hearing submissions and events, taking into account the parties' 
proposed schedule, the nature of the case, and the scheduling needs of 
the Board.
    (c) Pre-hearing conference. Prior to the hearing, the Board will 
conduct a pre-hearing conference to discuss such matters as may be 
necessary to conduct an orderly and efficient hearing. Objections to 
evidence may be resolved during the pre-hearing conference or at such 
other time as established by the Board.
    (d) Pre-hearing briefs. At least 20 days before a scheduled hearing, 
each party shall file, in accordance with Sec. 22.6(b) of this part 
[Rule 6(b)], a pre-hearing statement of the case, which shall include 
the party's legal and factual analysis of the relevant issues, and how 
the party intends to prove its case.
    (e) Location of hearing. Hearings will be held at 441 G Street, NW., 
Washington, DC 20548, unless otherwise ordered by the Board. The Board 
will consider a request for a hearing at another location if compelling 
reasons are timely presented.
    (f) Notice of hearing. The parties, or their counsel, will be given 
at least 15 days notice of the time and place of a hearing on the 
merits, provided that the parties may, with the approval of the Board, 
waive notice and fix a mutually satisfactory time for the hearing. 
Continuances will not be granted except upon written request and for 
good cause.
    (g) Nature of hearing. Hearings may be held by one or more of the 
panel members of the Board and shall be as informal as may be reasonable 
and appropriate under the circumstances. Each party may offer the 
testimony of witnesses, who shall be subject to cross-examination by the 
opposing party, and such relevant and material evidence as they deem 
appropriate and as would be admissible under paragraph (h) of this 
section [Rule 16(h)], subject, however, to the sound discretion of the 
presiding Board member in supervising the extent and manner of

[[Page 39]]

presentation of such evidence. Stipulations of fact agreed upon by the 
parties must be in writing, must be filed with the Board, and may be 
used as evidence at the hearing. The parties may also stipulate to the 
testimony that would be given by a witness if the witness were present. 
The Board may at any time during the hearing require evidence or 
argument in addition to that put forth by the parties.
    (h) Admissibility and weight of evidence. In general, any relevant 
and material evidence that would be admissible under the Federal Rules 
of Evidence will be admitted to the record. However, evidence which may 
not be admissible under the Federal Rules of Evidence, including 
hearsay, may be admitted at the discretion of the presiding Board 
member. The Board may also exclude evidence to avoid unfair prejudice, 
confusion of the issues, undue delay, waste of time, or needless 
presentation of cumulative evidence. The weight to be attached to 
evidence and credibility to be accorded witnesses will be determined by 
the Board, in its discretion.
    (i) Examination of witnesses. Witnesses before the Board will be 
examined orally under oath or affirmation, unless the facts are 
stipulated or the Board shall otherwise order. If the testimony of a 
witness is not given under oath, the Board may warn the witness that his 
or her statements may be subject to the provisions of title 18, United 
States Code, secs. 287 and 1001, and any other provisions of law 
imposing penalties for knowingly making false representations in 
connection with claims against the United States or in any matter within 
the jurisdiction of any department or agency thereof.
    (j) Availability of witnesses, documents, and other tangible things. 
It is the responsibility of a party desiring to call any witness, or to 
use any document or other tangible thing as an exhibit in the course of 
a hearing, to ensure that whoever it wishes to call and whatever it 
wishes to use is available at the hearing. In the event that a witness 
does not appear or refuses to answer a question, or evidence requested 
by the Board is not produced, the Board may draw an adverse inference of 
the fact in question against the party responsible for providing the 
witness or evidence.
    (k) Issues not raised by the pleadings. If evidence is objected to 
at a hearing on the ground that it is not within the issues raised by 
the pleadings, it may nevertheless be admitted by the Board, in its 
discretion, if it is within the proper scope of the appeal. If such 
evidence is admitted, the pleadings may be amended to conform to the 
evidence. The Board may also grant the objecting party a continuance to 
enable it to respond to the evidence.
    (l) Delay by the parties. If the Board determines that the hearing 
is being unreasonably delayed by the failure of a party to produce 
evidence, or by the undue prolongation of the presentation of evidence, 
it may, by written order or by ruling from the bench, prescribe a time 
or times within which the presentation of evidence must be concluded, 
establish time limits on the direct or cross-examination of witnesses, 
and enforce such order or ruling by appropriate sanctions.
    (m) Exhibits. Unless otherwise directed by the Board, each party 
shall prepare (jointly or individually) hearing exhibit books for use 
during the hearing, and shall provide such books to the Board and 
opposing counsel at least 3 days before the hearing commences. The books 
shall consist of documents (or relevant excerpts from documents) placed 
in a 3-ring binder or similar loose-leaf binder bound on the left 
margin, separated by numbered tabs, with an index of the documents in 
the front of each binder. The index shall identify the document by name 
and, where applicable, the Sec. 22.4 [Rule 4] file citation (tab and 
Bates numbers). Each document page included in the exhibit books must be 
marked with the corresponding Bates number or applicable numerical 
markings used in the Sec. 22.4 [Rule 4] file. Documents not contained 
within the hearing books shall be marked by the Board during the 
hearing. Documents contained in the hearing book that are not admitted 
into evidence during the hearing will not become part of the record 
unless already part of the Sec. 22.4 [Rule 4] file, or unless their 
inclusion in the record is requested by the presenting party and 
permitted by the Board.

[[Page 40]]

    (n) Copies. Copies of documents may be offered and received into 
evidence as exhibits, provided that they are of equal legibility and 
quality as the originals, and such copies shall have the same force and 
effect as if they were the originals. If the Board so directs, the party 
offering a copy of a document as an exhibit shall have the original 
available at the hearing for examination by the Board and any other 
party. When the original of a document has been received in evidence, an 
accurate copy thereof may be substituted in evidence for the original by 
leave of the Board at any time.
    (o) Absence of parties or counsel. The unexcused absence of a party 
or his authorized representative at the time and place set for the 
hearing will not be occasion for delay. In such event, the hearing will 
proceed and the case will be regarded as submitted by the absent party 
unless he or she appears before the conclusion of the hearing and offers 
additional evidence.
    (p) Transcripts. Unless the Board orders otherwise, all hearings 
will be stenographically or electronically recorded and transcribed. 
Other conferences and proceedings may be recorded or transcribed by 
order of the Board. Generally, the Board will arrange for the 
stenographer to record and transcribe the proceeding. Each party is 
responsible for purchasing its own copy of the transcript(s) or 
recording(s). Waiver of recordation and transcription may be especially 
suitable for appeals resolved under the small claims procedure 
prescribed in Sec. 22.22(c) of this part [Rule 22(c)].
    (q) Post-hearing briefs. The Board may require the submission of 
post-hearing briefs. In such case, briefs shall be filed within 30 days 
after receipt of the transcript of the hearing, and reply briefs shall 
be filed within 15 days after receipt of the initial post-hearing 
briefs, unless such other time period has been established by the Board. 
Post-hearing briefs shall be filed in accordance with the requirements 
of Sec. 22.6(b) of this part [Rule 6(b)].
    (r) Post-hearing evidence. No evidence shall be submitted by any 
party after the hearing has concluded, including but not limited to 
post-hearing declarations, unless authorized by the Board in its 
discretion.

[73 FR 36258, June 26, 2008, as amended at 73 FR 60610, Oct. 14, 2008]



Sec. 22.17  Submission on the Record Without a Hearing [Rule 17].

    (a) General requirements. Pursuant to Sec. 22.16(a) of this part 
[Rule 16(a)], either party may elect to submit its case on the record 
without a hearing. Submission of a case without a hearing does not 
relieve the parties from the necessity of proving the facts supporting 
their claims or defenses.
    (b) Conference in lieu of hearing. If neither side desires a 
hearing, either party may request that a conference be held in lieu of a 
hearing with one or more members of the panel designated to decide the 
appeal, and such request may be granted at the discretion of the Board. 
The purpose of the conference is not to introduce new matters or 
evidence, but to permit explanations and argument of matters of record. 
If any new matter is introduced at the conference by either party, 
consideration of the appeal will be deferred until the opposing party 
has been apprised thereof and has had an opportunity to reply. Both 
parties will be afforded the right to be present at any such conference. 
At the request of a party, or on the Board's initiative, the conference 
may be stenographically or electronically recorded and transcribed 
pursuant to Sec. 22.16(p) of this part [Rule 16(p)].
    (c) Statement of the case. The Board, at its discretion, may order a 
party that submits its case on the record without a hearing to submit a 
written statement of the case, including a legal and factual analysis of 
the relevant issues, within such period of time as the Board allows. The 
Board may also order parties to submit reply briefs. Briefs will be 
filed in accordance with the requirements of Sec. 22.6(b) of this part 
[Rule 6(b)].



Sec. 22.18  Closing the Record [Rule 18].

    (a) Closing the record. The record will be closed on a date 
announced by the Board by written notice.
    (b) Supplementing the record after the record is closed. Except as 
the Board may otherwise order in its discretion, no evidence shall be 
received after the

[[Page 41]]

record is closed. However, at any time after the closing of the record 
and prior to a decision of the appeal by the Board, at the request of a 
party or upon its own initiative, the Board may reopen the record for 
the purpose of receiving newly discovered evidence or for such other 
reason as may appear to the Board to be appropriate.



Sec. 22.19  Findings and Decisions of the Board [Rule 19].

    (a) Generally. All proceedings shall be concluded and appeals 
disposed of as expeditiously as possible, commensurate with sound 
adjudicatory procedure. The findings and decision in each appeal shall 
be made by the members of the panel which considered that appeal, and 
the findings and decision of the majority thereof shall constitute the 
findings and decision of the Board. The absence or withdrawal of one 
member of the panel which considered that appeal shall not invalidate 
the proceedings, and the decision of the remaining panel members shall 
constitute the decision of the Board. All decisions and findings of the 
Board shall be made in writing and copies thereof shall be forwarded to 
the parties or their counsel.
    (b) Record upon which findings and decisions are based. (1) The 
record upon which any decision of the Board will be rendered consists of 
the following:
    (i) Notice of appeal;
    (ii) Pleadings, motions, written briefs and statements, and 
responses thereto;
    (iii) Rule 4 file and any supplements other than those to which an 
objection has been sustained;
    (iv) Hearing exhibits other than those to which an objection has 
been sustained;
    (v) Orders, rulings, and directions to the parties issued by the 
Board;
    (vi) Written transcripts and electronic recordings of proceedings;
    (vii) Stipulations, party admissions, depositions or parts thereof 
received in evidence, and written interrogatories and responses received 
in evidence;
    (viii) Anything else that the Board may designate.
    (2) All other documents and electronically stored information are 
part of the administrative record of the proceedings and are not 
included in the record upon which the Board's decision will be rendered.



Sec. 22.20  Mistakes and Corrections [Rule 20].

    (a) To decisions and orders. Clerical mistakes in decisions or 
orders of the Board may be corrected at any time on the Board's own 
initiative or upon motion of a party, except that if an appeal has been 
filed with another tribunal, such mistakes may be corrected only with 
leave of that tribunal.
    (b) To the official transcript. Corrections to an official 
transcript of a hearing will be made only when they involve errors 
affecting its substance. The Board may order such corrections on motion 
or on its own initiative and only after notice to the parties giving 
them an opportunity to object. Such corrections will ordinarily be made 
either by hand with pen and ink or by the appending of an errata sheet, 
or the Board may require that the reporter provide substitute or 
additional pages.



Sec. 22.21  Motion for Reconsideration [Rule 21].

    A motion for reconsideration, if filed by either party, shall set 
forth specifically the ground or grounds relied upon to sustain the 
motion, and shall be filed within 15 days of receipt of a copy of the 
Board's decision. Mere disagreement with a decision, re-argument of 
points already made, or the presentation of new evidence that could have 
been presented during the appeal but was not, are not sufficient grounds 
for reconsideration. A motion pending under Sec. 22.21 [Rule 21] does 
not affect the finality of a decision or suspend its operation.



Sec. 22.22  Accelerated and Small Claims Procedures [Rule 22].

    (a) Variation from standard proceedings. The ultimate purpose of any 
Board proceeding is to resolve fairly and expeditiously any dispute 
properly before the Board. The Board may at any time during an appeal 
modify the procedures contained in these rules if it is deemed feasible 
and furthers the resolution of the issue(s) in controversy.
    (b) Accelerated procedure. The accelerated procedure is available 
solely at

[[Page 42]]

the appellant's election, and only when the monetary amount in dispute 
is $100,000 or less. Such election shall be made no later than 15 days 
after receipt of the government's answer to the complaint, unless the 
Board enlarges the time for good cause shown. Promptly after receiving a 
timely filed election, the Board shall establish a schedule of 
proceedings that will allow for the timely resolution of the appeal. 
Pleadings may be simplified, discovery and other pre-hearing activities 
may be restricted or eliminated, and the appeal may be decided by a 
single member of the Board. Either party's failure to adhere to the 
Board's schedule may result in the Board drawing evidentiary inferences 
adverse to the party at fault. Whenever possible, the Board shall 
resolve an appeal under this procedure within 180 days from the Board's 
receipt of the election.
    (c) Small claims procedure. The small claims procedure is available 
solely at the appellant's election, and only when the monetary amount in 
dispute is $50,000 or less (or in the case of a small business concern 
is $150,000 or less). Such election shall be made no later than 15 days 
after receipt of the government's answer to the complaint, unless the 
Board enlarges the time for good cause shown. Promptly after receiving a 
timely filed election, the Board shall establish a schedule of 
proceedings that will allow for the timely resolution of the appeal. 
Pleadings may be simplified, discovery and other pre-hearing activities 
may be restricted or eliminated, and the appeal may be decided by a 
single member of the Board. Either party's failure to adhere to the 
Board's schedule may result in the Board drawing evidentiary inferences 
adverse to the party at fault. Whenever possible, the Board shall 
resolve an appeal under this procedure within 120 days from the Board's 
receipt of the election.



Sec. 22.23  Suspension of Proceedings [Rule 23].

    At any time, the Board may suspend the proceedings by agreement of 
the parties for settlement discussions, or for good cause shown.



Sec. 22.24  Alternative Dispute Resolution [Rule 24].

    (a) Docketed appeals. The Board considers Alternative Dispute 
Resolution (ADR) to be an efficient way to timely resolve many contract 
disputes, and therefore encourages the parties to use ADR as an 
effective means to resolve their contract dispute. ADR with Board 
participation is available at the initiative of the Board or upon the 
joint motion of both parties. Guidelines, procedures, and requirements 
for implementing ADR will be prescribed by agreement of the parties and 
the Board. Ordinarily, ADR will be performed by a Board member, 
designated by the Chairman of the Board, that is not one of the three 
panel members deciding the dispute.
    (b) Other matters. Upon request and in the Board's discretion, the 
Board can make an ADR neutral available for an ADR proceeding, even if 
the contracting officer's decision has not been issued or is not 
contemplated. Such a request should be directed to the Chairman of the 
Board.



Sec. 22.25  Protective Orders and In Camera Review [Rule 25].

    (a) Protective orders. Upon motion of any party, or on the Board's 
initiative, the Board may issue a protective order to hold materials 
under conditions that would limit access to them on the ground that such 
documents are privileged or confidential, or sensitive in some other 
way. Any motion filed under this rule must state with specificity the 
grounds for such limited access. The manner in which such materials will 
be held, the persons that shall have access to them, and the conditions 
under which such access will be allowed will be specified in an order of 
the Board.
    (b) In camera review. Generally, all documents and evidence provided 
to the Board must also be provided to all other parties to the appeal or 
their legal counsel or representative. However, in limited 
circumstances, such as in deciding matters of privilege, it may be 
appropriate for the Board to review documents or evidence in camera. In 
camera review may be requested upon motion to the Board, or on the 
Board's initiative. Any motion filed under this

[[Page 43]]

rule must state with specificity the grounds for seeking in camera 
review.



Sec. 22.26  Representation of Parties [Rule 26].

    (a) The appellant. Any appellant may appear before the Board 
represented by an attorney duly licensed in any State, Commonwealth, 
Territory, or in the District of Columbia. An individual appellant may 
appear before the Board in person; a corporation may be represented by 
an officer thereof; a partnership or joint venture may be represented by 
a member thereof. Under special circumstances, the Board may authorize a 
contractor to appear before the Board represented by a duly authorized 
representative other than those mentioned herein for the purposes of 
that appeal only.
    (b) The respondent. The respondent may appear before the Board 
represented by an attorney duly licensed in any State, Commonwealth, 
Territory, or in the District of Columbia. Such attorney shall be 
designated with authority to represent the government's interests before 
the Board. Alternatively, if not otherwise prohibited, the respondent 
may appear before the Board represented by the contracting officer or 
the contracting officer's authorized representative.
    (c) Others. The Board may, on motion, in its discretion, permit a 
special or limited appearance, such as by amicus curiae. Permission to 
appear, if granted, will be for such purposes and in such manner as 
established by the Board.
    (d) Notice of appearance. An attorney or other duly authorized 
representative representing a party before the Board shall file a notice 
of appearance. Such notice shall provide the person's name, address, 
direct dial telephone number, fax number, and e-mail address. If 
multiple attorneys or law firms represent a party, the contact 
information for each attorney shall be provided to the Board. In such 
instances, the party shall designate a single attorney or individual as 
the primary point of contact for the party. Notices of appearance shall 
be filed at the commencement of the appeal and shall be updated as 
necessary during the appeal.



Sec. 22.27  Ex Parte Communications [Rule 27].

    No member of the Board shall entertain, nor shall any person 
directly or indirectly involved in an appeal submit to the Board, any 
evidence, explanation, analysis, or advice, whether written or oral, 
regarding any matter at issue in an appeal without the knowledge and 
consent of the adverse party. This provision does not apply to 
consultation among Board members or to ex parte communications 
concerning the Board's administrative functions or procedures.



Sec. 22.28  Time [Rule 28].

    In computing any period of time described in these rules, ``days'' 
refer to calendar days, unless otherwise specified in these rules. The 
first day from which the period begins to run is not counted, and when 
the last day of the period is Saturday, Sunday, or a Federal holiday, 
the period extends to the next day that is not a Saturday, Sunday, or a 
Federal holiday. Documents shall be deemed ``filed'' on the date and 
time received by the Board if received before 5:30 p.m. local time in 
Washington, DC, or the next business day if received after 5:30 p.m.

[73 FR 60610, Oct. 14, 2008]



Sec. 22.29  Inspection of the Record [Rule 29].

    The notice of appeal, the complaint, the answer, the documents 
required to be filed therewith pursuant to Sec. 22.4 of this part [Rule 
4], all papers filed by the parties with the Board pursuant to these 
rules, and all correspondence exchanged between the Board and the 
parties or their attorneys shall be available for inspection at the 
offices of the Board. Prior arrangements for inspection of the file 
should be made with a member of the Board.



PART 25_CONDUCT IN THE GOVERNMENT ACCOUNTABILITY 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.

[[Page 44]]

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 Government Accountability 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 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

[[Page 45]]

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 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;

[[Page 46]]

    (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_GOVERNMENT ACCOUNTABILITY 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.



Sec. 27.1  The Board.

    The Government Accountability 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 part 28, 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 review by the Board.

[64 FR 15125, Mar. 30, 1999, as amended at 68 FR 69297, Dec. 12, 2003]



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

[[Page 47]]

the Board, and otherwise assist the Board in carrying out its functions.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69297, Dec. 12, 2003]



      PART 28_GOVERNMENT ACCOUNTABILITY OFFICE PERSONNEL APPEALS BOARD;
      PROCEDURES APPLICABLE TO CLAIMS CONCERNING EMPLOYMENT PRACTICES AT 
      
      THE GOVERNMENT ACCOUNTABILITY 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 petition rights.
28.11 Filing a charge with the Office of General Counsel.
28.12 General Counsel Procedures.
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 petitions of Board employees.
28.18 Filing a petition with the Board.
28.19 Content of response by charged party.
28.20 Number of pleadings, service and response.
28.21 Amendments to petitions 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 Decision on the record.
28.63 Closing the record.

                                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 [Reserved]
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 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.

[[Page 48]]

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.
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.

                       Subpart K_Access to Records

28.160 Request for records.
28.161 Denial of access to information--Appeals.

    Authority: 31 U.S.C. 753.

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

    Editorial Note: Nomenclature changes to part 28 appear at 76 FR 
76873, Dec. 9, 2011.



        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 Government 
Accountability Office (GAO), pursuant to the General Accounting Office 
Personnel Act of 1980 (GAOPA), 31 U.S.C. 751-755.
    (b) The purpose of the rules in this part is to establish the 
procedures to be followed by:
    (1) The GAO, in its dealings with the Board;
    (2) Employees of the GAO or applicants for employment with the GAO, 
or groups or organizations claiming to be affected adversely by the 
operations of the GAO personnel system;
    (3) 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, United States Code; and
    (4) The Board, in carrying out its responsibilities under 
Subchapters III and IV of chapter 7 of title 31, United States Code.
    (c) The scope of the Board's operations encompasses the 
investigation and 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, as amended at 68 FR 69297, Dec. 12, 2003]



Sec. 28.2  Jurisdiction.

    (a) The Board has jurisdiction to hear and decide the following:
    (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

[[Page 49]]

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 petition 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) The appropriateness of a 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) Matters involving prohibited personnel practices. If the 
negotiated grievance procedure permits the employee to grieve an 
appealable action involving a prohibited personnel practice other than 
prohibited discrimination (as defined in Sec. 28.95), such an action 
may be raised under either, but not both, of the following procedures:
    (A) The Board's procedures; or
    (B) The negotiated grievance procedure.
    The employee will be deemed to have elected the Board's procedures 
if the employee files a timely charge with the Board's Office of General 
Counsel before filing a timely grievance.
    (3) 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 paragraphs (c)(1) or (c)(2) of 
this section, then those matters may only be raised under the negotiated 
grievance procedure and not before the Board.
    (4) 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 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.
    (d) Except for actions involving prohibited discrimination (under 
Sec. 28.95) or any other prohibited personnel practice, any appealable 
action that is excluded from the application of the negotiated grievance 
procedure may be raised only under the Board's procedures.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69298, Dec. 12, 2003; 
76 FR 76873, Dec. 9, 2011]



Sec. 28.3  General definitions.

    In this part--

[[Page 50]]

    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.
    Appeal means a request filed with the full Board for review of an 
initial decision.
    Board means the Government Accountability 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 Office of General 
Counsel to investigate any matter 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 PAB Office 
of General Counsel for investigation.
    Clerk of the Board means the Clerk of the Personnel Appeals Board.
    Comptroller General means the Comptroller General of the United 
States.
    Days means calendar days.
    Director of EEO Oversight means the Personnel Appeals Board Director 
of EEO Oversight.
    Executive Director means the Executive Director of the Personnel 
Appeals Board.
    GAO means the Government Accountability 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 or appointed by the 
Board.
    Notice of Appeal means a pleading requesting that the full Board 
review an initial decision.
    Person means an employee, an applicant for employment, a former 
employee, a labor organization or the GAO.
    Petition 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 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 such a request, requests appellate review by the 
full Board or responds to such a request.
    Request for Reconsideration means a request, filed with the 
administrative judge who rendered the initial decision, to reconsider 
that decision in whole or part.
    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.
    Reduction in Force (RIF) means the release of an employee from a job 
group by separation, demotion, reassignment requiring displacement, or 
furlough for more than 30 days when the cause of action is lack of work, 
shortage of funds, insufficient personnel ceiling, reorganization or 
realignment, an individual's exercise of reemployment or reinstatement 
rights, correction of skills imbalances, or reduction of high-grade 
supervisory, or managerial positions.

[68 FR 69298, Dec. 12, 2003]



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

[[Page 51]]

be added when a document is served by 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.
    (d) No written submission shall be accepted by the Clerk of the 
Board after 4 p.m., Monday through Friday.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69298, Dec. 12, 2003]



                          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 Executive Director, Director of EEO 
Oversight, Solicitor, General Counsel or the Clerk of the Board.
    (b) Informal procedural advice will be supplied within the limits of 
available time and staff.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69298, Dec. 12, 2003]



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 petition rights.

    (a) The GAO shall be responsible for ensuring that employees are 
routinely advised of their rights to petition 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 rights to 
petition 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 filing a petition with 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69298, Dec. 12, 2003]



Sec. 28.11  Filing a charge with the Office of 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 Office of General 
Counsel by

[[Page 52]]

personal delivery (including commercial carrier) or by mail. The address 
to be used differs for the two kinds of filing.
    (1) A charge may be filed by personal delivery at the Office of 
General Counsel, Personnel Appeals Board, GAO, Suite 580, Union Center 
Plaza II, 820 First Street, NE., Washington, DC 20002.
    (2) A charge may be filed by mail addressed to the Office of General 
Counsel, Personnel Appeals Board, Suite 580, Union Center Plaza II, 441 
G Street, NW., Washington, DC 20548 or Office of General Counsel, 
Personnel Appeals Board, GAO, Suite 580, Union Center Plaza II, 820 
First Street, NE., Washington, DC 20002. When filed by mail, the 
postmark shall be the date of filing for all submissions to the Office 
of 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 Office of General Counsel 
investigate;
    (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 Office of General Counsel, the General Counsel 
shall transmit the charge to the Board for processing under Sec. Sec. 
28.18 through 28.88 as a petition.

[58 FR 61992, Nov. 23, 1993, as amended at 59 FR 59106, Nov. 16, 1994; 
61 FR 36810, July 15, 1996; 68 FR 69298, Dec. 12, 2003]



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 Office of General Counsel shall 
provide the charging party with a Right to Petition 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)(1) 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 Office of 
General Counsel.
    (2) 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. The charging party may nonetheless 
file a petition with the Board in accordance with Sec. 28.18.
    (3) 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

[[Page 53]]

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 
Office of General Counsel has not completed the investigation and issued 
a Right to Petition Letter, the charging party may bring his or her case 
directly to the Board by filing a petition in accordance with Sec. 
28.18. If a charging party exercises this option to file a petition with 
the Board without waiting for the completion of the investigation, the 
Office of 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 Office of General 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 with the 
Board under this paragraph (g).
    (h) Office of General Counsel settlement: Where the General Counsel 
under paragraph (a) of this section transmits a settlement which has 
been agreed to by the parties, the settlement agreement shall be the 
final disposition of the case.
    (i) Confidentiality: (1) It is the Office of General Counsel's 
policy to protect against the disclosure of documents obtained during 
the investigation, as a means of ensuring that Office's continuing 
ability to obtain all relevant information. However, if the Office of 
General Counsel files a petition with the Personnel Appeals Board on 
behalf of a charging party pursuant to this section, that Office may 
disclose the identity of witnesses and a synopsis of their expected 
testimony. Documents to be offered into evidence at the hearing may be 
disclosed as required by the prehearing disclosure requirements of Sec. 
28.56.
    (2) Unless so ordered by a court of competent jurisdiction, no 
employee of the Personnel Appeals Board Office of General Counsel shall 
produce or disclose any information or records acquired as part of the 
performance of his/her official duties or because of his/her official 
status. Before producing or disclosing such information or records 
pursuant to court order, an employee shall notify the General Counsel.

[58 FR 61992, Nov. 23, 1993, as amended at 65 FR 80280, Dec. 21, 2000; 
68 FR 69299, Dec. 12, 2003]



Sec. 28.13  Special procedure for Reduction in Force.

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

[68 FR 69299, Dec. 12, 2003]

         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 
petitions 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69299, Dec. 12, 2003]

[[Page 54]]



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 petitions 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 bring this matter to the attention of the Board's Executive 
Director or General Counsel. If the matter cannot be resolved within 10 
days, the Executive Director shall notify the employee of his or her 
right to file an EEO complaint. The employee may consult with either the 
Board's Solicitor or General Counsel and seek advice with regard to 
procedural matters concerning the filing of an EEO charge. The employee 
shall have 20 days from service of this notice to file an EEO charge 
with the PAB Office of General Counsel. Upon receipt of an EEO charge, 
the General Counsel shall arrange with the Executive Director 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 petition 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 with the Executive Director for processing in accordance with 
paragraph (b) of this section. If the challenged action is a RIF-based 
separation from employment, the employee may choose to expedite the 
procedures by filing a petition 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 Office of Special Counsel 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 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.

[[Page 55]]

    (2) If neither the MSPB nor the EEOC agrees 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 cases. The 
decision of the administrative law judge, administrative judge or 
arbitrator shall be a final decision of the Board. 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; 68 FR 69299, Dec. 12, 2003]



Sec. 28.18  Filing a petition 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 that GAO or a labor organization engaged or is 
engaging in an unfair labor practice, may file a petition if one of the 
following is met:
    (1) The person has received a Right to Petition Letter from the 
Board's Office of General Counsel; or
    (2) At least 180 days have elapsed from the filing of the charge 
with the Board's Office of General Counsel and that Office has not 
issued a Right to Petition Letter; or
    (3) The person was separated due to a Reduction in Force and chooses 
to file a petition directly with the Board, without first filing with 
the Board's Office of General Counsel, as provided in Sec. 28.13.
    (b) When to file. (1) Petitions filed pursuant to paragraph (a)(1) 
of this section must be filed within 30 days after receipt by the 
charging party of the Right to Petition Letter from the Board's Office 
of General Counsel.
    (2) Petitions 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 Office of General Counsel, provided that that 
Office has not issued a Right to Petition Letter concerning the charge.
    (3) Petitions 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. (1) A petition may be filed by hand delivery at the 
office of the Board, Suite 560, Union Center Plaza II, 820 First Street 
NE., Washington, DC 20002. It must be received by 4 p.m., Monday through 
Friday, on the date that it is filed.

[[Page 56]]

    (2) A petition may be filed by mail addressed to the Personnel 
Appeals Board, GAO, Suite 560, Union Center Plaza II, 441 G Street NW., 
Washington, DC 20548 or Personnel Appeals Board, GAO, Suite 560, Union 
Center Plaza II, 820 First Street NE., Washington, DC 20002. When filed 
by mail, the postmark shall be the date of filing for all submissions to 
the Board.
    (d) What to file. The petition 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. Failure to raise a claim or 
defense in the petition 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 
as representatives of a class in any matter within the Board's 
jurisdiction. For the purpose of determining whether it is appropriate 
to treat a petition 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; 68 FR 69300, Dec. 12, 2003]



Sec. 28.19  Content of response by charged party.

    (a) Within 20 days after service of a copy of a petition, 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 
allegation set forth therein, including admissions, denials or 
explanations. If the petition contains numbered paragraphs, the 
responses should reference the paragraph numbers. If the petition does 
not contain numbered paragraphs, the responses should quote or otherwise 
clearly identify the specific allegations of the petition.
    (2) Any other defenses to the petition.
    (3) 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69300, Dec. 12, 2003]



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) The Board will serve copies of a petition upon the 
parties to the proceeding by mail and/or by facsimile. 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.
    (2) The parties shall serve on each other one copy of all pleadings 
other than the initial petition. Service shall be made by mailing, by 
facsimile 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

[[Page 57]]

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).

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69300, Dec. 12, 2003]



Sec. 28.21  Amendments to petitions and motions practice.

    (a) Amendments to petitions. The Board, at its discretion, may allow 
amendments to a petition 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. (1) When an action is before an administrative 
judge, motions of the parties shall be filed with the Clerk of the Board 
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 
Clerk of the Board. An original and 3 copies of responses in opposition 
to written motions must be filed with the Clerk of the Board within 20 
days of service of the motion unless the administrative judge requires a 
shorter time.
    (2) When an action is before the full Board, an original and 7 
copies of any motion shall be filed with the Clerk of the Board. An 
original and 7 copies of any responses in opposition to motions must be 
filed with the Clerk of the Board within 20 days of service of the 
motion unless the Board requires a shorter time.
    (3) A party filing a motion for extension of time, a motion for 
postponement of a hearing, or any other procedural motion must first 
contact the other party to determine whether there is any objection to 
the motion and must state in the motion whether the other party has any 
objection.
    (4) No motions, responses or other submissions will be accepted for 
filing by the Clerk of the Board after 4 p.m., Monday through Friday. 
All written submissions shall be served simultaneously upon the other 
parties to the proceeding. A certificate of service must be attached 
showing service by mail, facsimile or personal delivery of the 
submission to the other parties. Further submissions by either party may 
be filed only with the approval of the administrative judge or full 
Board.
    (5) All written motions and responses thereto shall include a 
proposed order, where applicable.
    (6) Motions for extension of time will be granted only upon a 
showing of good cause.
    (7) Oral argument. The administrative judge may allow oral argument 
on the motion at his or her discretion.
    (c) Motions for summary judgment. (1) Either party may move for 
summary judgment by filing a written motion no later than 14 days prior 
to the commencement of the hearing or as otherwise ordered by the 
administrative judge.
    (2) Motions for summary judgment must be accompanied by a statement 
of material facts for which there is no genuine dispute and a statement 
of reasons in support of the motion. The motion may be supported by 
documents, affidavits, or other evidence.
    (3) Summary judgment will be granted if the pleadings, depositions, 
answers to interrogatories, admissions, affidavits, if any, and other 
documents show that there is no genuine issue as to any material fact 
and that the moving party is entitled to judgment as a matter of law.
    (4) A party moving for summary judgment must make a showing 
sufficient to establish the existence of each element essential to that 
party's cause of action and for which that party bears the burden of 
proof.
    (5) When a party moves for summary judgment, the Board will evaluate 
the motion on its own merits, resolving all reasonable inferences 
against the moving party.

[68 FR 69300, Dec. 12, 2003]



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.

[[Page 58]]

    (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;
    (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 Sec. Sec. 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) Issue initial decisions, as appropriate.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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 or subpoena. When a party fails 
to comply with an order or subpoena (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 or subpoena 
from introducing, or otherwise relying upon, evidence 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 a petition, 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]

[[Page 59]]

                  Parties, Practitioners and Witnesses



Sec. 28.25  Representation.

    (a) All parties to a petition may be represented in any matter 
relating to the petition. The parties shall designate their 
representatives, if any, in the petition 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 
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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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

[[Page 60]]

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, where 
the case is being heard en banc, that the requestor will be affected 
directly by the outcome of the proceeding. Denial of a motion for 
intervention may be appealed to the full 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 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



Sec. 28.28  Substitution.

    (a) If a petitioner dies or is otherwise unable to pursue the 
petition, 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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 petitions 
pending and they are united for consideration. For example, a single 
petitioner who has one petition pending challenging a 30-day suspension 
and another petition 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]

                                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 review, including the existence, description, nature, 
custody, condition and location of documents or other tangible things, 
and the identity and location of persons having knowledge

[[Page 61]]

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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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 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

[[Page 62]]

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 service of the 
notice of filing of a petition. A later 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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.

[[Page 63]]

    (b) Motion. (1) 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.
    (2) 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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

[[Page 64]]

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. Multiple exhibits shall be indexed and tabbed.
    (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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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 forth the reasons for the 
administrative judge's decision. Any objections thereto shall be made a 
part of the record.
    (b) At the hearing, the petitioner, the petitioner's representative, 
GAO's legal representative, and a GAO management representative, who is 
not expected to testify, each have a right to be present. The Agency 
management representative shall be designated prior to the hearing.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69301, Dec. 12, 2003]



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\x11 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.

[[Page 65]]



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 shall 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 the error, might have caused 
the agency to reach a conclusion different from the one reached.
    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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69302, Dec. 12, 2003]



Sec. 28.62  Decision on the record.

    (a) The parties may agree to forego a hearing and request that the 
matter be decided by the presiding administrative judge based upon the 
record submitted.
    (b) If the parties agree to forego a hearing under this subpart, the 
record will close on the date that the administrative judge sets as the 
final date for the receipt or filing of submissions of the parties. Once 
the record closes, no additional evidence or argument will be accepted 
unless the party seeking to submit it demonstrates that the evidence was 
not available before the record closed.
    (c) In matters submitted for decision on the record under this 
section, the parties bear the same burdens of proof set forth in Sec. 
28.61.
    (d) A decision obtained under this section is a decision on the 
merits of the case and is appealable as if the matter had been 
adjudicated in an evidentiary hearing.

[68 FR 69302, Dec. 12, 2003]



Sec. 28.63  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.

[58 FR 61992, Nov. 23, 1993. Redesignated at 68 FR 69302, Dec. 12, 2003]

[[Page 66]]

                                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, unduly repetitious 
or protected by privilege. The administrative judge is not bound by 
formal evidentiary rules but may rely on the Federal Rules of Evidence 
for guidance.

[68 FR 69302, Dec. 12, 2003]



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 matter of common knowledge; 
or a matter 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.

[68 FR 69302, Dec. 12, 2003]

                          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:
    (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

[[Page 67]]

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  [Reserved]



Sec. 28.87  Board procedures; initial decisions.

    (a) When a case is heard in the first instance by a single Board 
member, a panel of members, or a non-member appointed by the Board, an 
initial decision shall be issued by that member, panel or individual and 
served upon the parties.
    (b) An aggrieved party may seek reconsideration of or may appeal the 
initial decision in the following manner:
    (1) 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.
    (2) Within 15 days of the service of the initial decision, such a 
party may appeal to the full Board by filing and serving a notice of 
appeal to the Board.
    (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 
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

[[Page 68]]

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 substitute its own findings of fact and conclusions of law, but the 
Board generally will defer to demeanor-based credibility determinations 
made in the initial decision. 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69302, Dec. 12, 2003]



Sec. 28.88  Board procedures; enforcement.

    (a) All decisions and orders of the Board shall be complied with 
promptly. Whenever a Board decision or order requires a person or party 
to take any action, the Board may require such person or party to 
provide the Board and all parties with a compliance report.
    (b) When the Board does not receive a report of compliance in 
accordance with paragraph (a) of this section, the Solicitor shall make 
inquiries to determine the status of the compliance report and shall 
report upon the results of the inquiry 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. Apart 
from remedies available to the parties, the Board may seek judicial 
enforcement of a decision or order issued pursuant to a show cause 
proceeding.
    (e) If the parties enter into a settlement agreement that has been 
reviewed and approved by the administrative judge, the Board retains 
jurisdiction to enforce the terms of such settlement agreement.
    (f) Any party to a settlement agreement over which the Board retains 
jurisdiction may petition the Board for enforcement of the terms of such 
settlement agreement.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69302, Dec. 12, 2003]



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 a request for the award of reasonable 
attorney's fees and costs. GAO may file a response within 20 days after 
service of the request. Motions for attorney's 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

[[Page 69]]

shall become final according to the provisions of Sec. 28.87.

[68 FR 69302, Dec. 12, 2003]



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.



 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, as amended (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) Title I of the Americans with Disabilities Act of 1990 (42 
U.S.C. 12101 et seq.) and 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,

[[Page 70]]

sex, national origin or disability. 31 U.S.C. 732(f)(2).

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69302, Dec. 12, 2003]



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) An appeal from 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 EEO class actions, employees shall not file charges with the 
Board's Office of General Counsel and that Office shall not undertake an 
independent investigation of a class complaint that has been filed with 
GAO. 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) An appeal of a GAO disposition of an EEO class complaint shall 
be decided by the Board based upon a review of the administrative 
record, including any recommended findings and conclusions, developed in 
the GAO class complaint process. In such cases, the Board will employ 
the same standards of review set forth in Sec. 28.87.
    (e) The parties to an EEO class complaint do not have a right to a 
de novo evidentiary hearing before the Board. However, either the class 
representative or GAO may file a motion requesting an evidentiary 
hearing, rather than having the Board decide the case upon review of the 
administrative record already developed by GAO. The Board, in its 
discretion, may grant such motion or, upon its own review of the 
administrative record, may direct that a new hearing be conducted. If 
the Board orders a new evidentiary hearing, the class representative 
shall file a petition on behalf of the class and the case shall be 
adjudicated before an administrative judge of this Board pursuant to the 
procedures applicable to an individual EEO complaint processed under 
Sec. 28.98 of these regulations. For the purpose of determining whether 
it is appropriate to treat a petition as a class action, the 
administrative judge will be guided, but not controlled, by the 
applicable provisions of the Federal Rules of Civil Procedure.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



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:
    (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

[[Page 71]]

    (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 challenge that action by filing directly with the PAB, 
thus bypassing both the Office of Opportunity and Inclusiveness and the 
Board's Office of General Counsel.
    (e)(1) The charging party shall file the charge with the Board's 
Office of General Counsel in accordance with Sec. 28.11. That Office 
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; 68 FR 69303, Dec. 12, 2003]



Sec. 28.99  Petitions to the Board in EEO cases.

    (a) The provisions of Sec. Sec. 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 Agency 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



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 
or applicant who is alleging violation of Title VII of the Civil Rights 
Act of 1964, as amended, 42 U.S.C. 2000e-16, Title I of the Americans 
with Disabilities Act of 1990, 42 U.S.C. 12101 et seq.,

[[Page 72]]

the Age Discrimination in Employment Act, 29 U.S.C. 633a, or the 
Rehabilitation Act, 29 U.S.C. 791, files suit in Federal District Court 
on the same cause of action pending before the Personnel Appeals Board.

[68 FR 69303, Dec. 12, 2003]



        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 that a majority 
of employees in the bargaining unit wish to be represented by the labor 
organization which is currently the exclusive representative of those 
employees;
    (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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



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 73]]

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. 1001), 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 support the petition of the labor 
organization, or similar evidence acceptable to the Board, showing that 
at least 30 percent of the employees in the proposed unit support the 
representation petition.
    (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 support the petition to 
determine whether the employees wish to continue to be represented by 
the labor organization currently having bargaining rights.
    (c) The contents of petitions filed under Sec. 28.112(a)(3) 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003; 
76 FR 76874, Dec. 9, 2011]



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

[[Page 74]]

classifications of those employees it proposes to exclude from the unit.
    (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;

[[Page 75]]

    (2) Formally announce the results and, where appropriate, designate 
a 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 
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 15e of GAO Order 
2711.1, or more than 9 months before the filing of a charge with the 
Office of 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



Sec. 28.122  Negotiability issues.

    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 76]]

    (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 Sec. 28.87.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



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.
    (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 Employment Standards 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



Sec. 28.124  Review of arbitration awards.

    (a) Filing an exception. (1) Either party to arbitration, conducted 
pursuant to a grievance procedure under a

[[Page 77]]

collective bargaining agreement, may file with the Board an exception to 
the 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 Board's Office of General Counsel may file a 
petition with the Board. Such petition shall be processed in accordance 
with Sec. Sec. 28.19 through 28.25.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69303, Dec. 12, 2003]



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

[[Page 78]]

General Counsel shall prepare a written complaint against the employee 
containing his or her determination, 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) 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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69304, Dec. 12, 2003]



Sec. 28.133  Stay proceedings.

    (a) Prior to the effective date of any proposed personnel action, 
the Board's General Counsel may request, ex parte, the issuance of an 
initial stay of the proposed personnel action for a period not to exceed 
30 days if the General Counsel believes that the proposed personnel 
action arises out of a prohibited personnel practice. The request shall 
be in writing and shall specify the nature of the action to be stayed 
and the basis for the General Counsel's belief. The Board's Office of 
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 the request 
unless that Board member determines that the request either:
    (1) Fails to satisfy the requirements of this paragraph or
    (2) On its face, conclusively establishes that the proposed 
personnel action did not arise out of an alleged prohibited personnel 
practice as specified by the General Counsel.
    (b) The Board's General Counsel may request the issuance of either:
    (1) Further temporary stays for the purpose of allowing additional 
time to pursue its investigation or
    (2) A permanent stay for the purpose of staying the proposed 
personnel action until a final decision is rendered.
    (c) Requests for stays under paragraph (b) of this section shall be 
received by both the Board and the GAO no less than 10 days before the 
expiration of any stay then in effect. Any response from GAO to the 
request shall be received by both the Board and the Board's Office of 
General Counsel no less than three days before the expiration of any 
stay then in effect. Any request for stay under this paragraph shall be 
decided by the Board member who issued the prior stay under paragraph 
(a) of this section, unless the Board Chair determines that it should be 
decided by the Board en banc. The Board member, or Board en banc, may 
require further briefing, oral argument, submission of affidavits or 
other documentary evidence, or may conduct an evidentiary hearing before 
rendering a decision. Any stay then in effect may be extended, sua 
sponte, for a period not to exceed 30 days to enable the

[[Page 79]]

Board member, or Board en banc, a reasonable opportunity to render a 
decision.
    (d) A temporary stay under paragraph (b)(1) of this section may be 
issued if the Board member, or Board en banc, determines that under all 
of the circumstances the interests of justice would be served by 
providing more time for the Board's Office of General Counsel to pursue 
the investigation. However, the duration of any single temporary stay 
shall not exceed the amount of time reasonably necessary to acquire 
sufficient information to support a request for a permanent stay in the 
exercise of a high degree of diligence and, in no event, shall any 
single temporary stay exceed 60 days except as provided under paragraph 
(c) of this section for the purpose of allowing time to render a 
decision.
    (e) In determining whether a permanent stay under paragraph (b)(2) 
of this section should be issued, the Board member, or Board en banc, 
shall:
    (1) Assess the evidence adduced by each side as to whether the 
proposed personnel action arises out of an alleged prohibited personnel 
practice as specified by the Board's General Counsel;
    (2) Assess the nature and gravity of any harm that could inure to 
each side if the request for permanent stay is either granted or denied; 
and
    (3) Balance the assessments conducted under paragraphs (e)(1) and 
(2) of this section.
    (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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69304, Dec. 12, 2003]



      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.

[[Page 80]]



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. The only ex parte communications that are 
prohibited are those that involve the merits of the case or those that 
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 
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.

[58 FR 61992, Nov. 23, 1993, as amended at 68 FR 69304, Dec. 12, 2003]



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.

[[Page 81]]



                       Subpart K_Access to Records

    Source: 68 FR 69304, Dec. 12, 2003, unless otherwise noted.



Sec. 28.160  Request for records.

    (a) Individuals may request access to records pertaining to them 
that are maintained as described in 4 CFR part 83, by addressing an 
inquiry to the PAB General Counsel either by mail or by appearing in 
person at the Personnel Appeals Board Office of General Counsel, 820 
First Street, NE., Suite 580, Washington, DC 20002, during business 
hours on a regular business day. Requests in writing should be clearly 
and prominently marked ``Privacy Act Request.'' Requests for copies of 
records shall be subject to duplication fees set forth in 4 CFR 83.17.
    (b) Individuals making a request in person shall be required to 
present satisfactory proof of identity, preferably a document bearing 
the individual's photograph. Requests by mail or submitted other than in 
person should contain sufficient information to enable the General 
Counsel to determine with reasonable certainty that the requester and 
the subject of the record are one and the same. To assist in this 
process, individuals should submit their names and addresses, dates and 
places of birth, social security number, and any other known identifying 
information such as an agency file number or identification number and a 
description of the circumstances under which the records were compiled.
    (c) Exemptions from disclosure. The Personnel Appeals Board General 
Counsel and the Personnel Appeals Board, in deciding what records are 
exempt from disclosure, will follow the policies set forth in 4 CFR part 
83.



Sec. 28.161  Denial of access to information--Appeals.

    (a) If a request for access to information under Sec. 28.160 is 
denied, the General Counsel shall give the requester the following 
information:
    (1) The General Counsel's name and business mailing address;
    (2) The date of the denial;
    (3) The reasons for the denial, including citation of appropriate 
authorities; and
    (4) The individual's right to appeal the denial as set forth in 
paragraphs (b) and (c) of this section.
    (b) Any individual whose request for access to records of the PAB 
General Counsel has been denied in whole or part by the General Counsel 
may, within 30 days of receipt of the denial, challenge that decision by 
filing a written request for review of the decision with the Personnel 
Appeals Board, 820 First Street, NE., Suite 560, Washington, DC 20002.
    (c) The appeal shall describe:
    (1) The initial request made by the individual for access to 
records;
    (2) The General Counsel's decision denying the request; and
    (3) The reasons why that decision should be modified by the Board.
    (d) The Board, en banc, may in its discretion render a decision 
based on the record, may request oral argument, or may conduct an 
evidentiary hearing.

                           PART 29 [RESERVED]



                       SUBCHAPTERS C	D [RESERVED]



[[Page 82]]



               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 Government Accountability 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 83]]



                          SUBCHAPTER F_RECORDS





PART 81_PUBLIC AVAILABILITY OF GOVERNMENT ACCOUNTABILITY 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, records of interviews, 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: 68 FR 33832, June 6, 2003, unless otherwise noted.



Sec. 81.1  Purpose and scope of part.

    (a) This part implements the policy of the U.S. Government 
Accountability Office (GAO) with respect to the public availability of 
GAO records, except as set forth in paragraph (b) of this section. 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.
    (b) GAO published testimonies, reports, decisions, special 
publications, or listings of publications are not included within the 
scope of this part. These documents may be obtained from the GAO Web 
site, http://www.gao.gov, or by telephone at 202-512-6000, TDD 202-512-
2537, or 1-866-801-7077 (toll free). These publications may be 
downloaded free of charge from the GAO Web site. Paper copies requested 
from GAO are subject to a printing, shipping, and handling fee.
    (c) Requests for all other GAO records are within the scope of this 
part and should be submitted to GAO as directed in paragraph (a) of 
Sec. 81.4.

[68 FR 33832, June 6, 2003, as amended at 76 FR 12550, Mar. 8, 2011]



Sec. 81.2  Administration.

    GAO's Chief Quality Officer administers this part and may promulgate 
such supplemental rules or regulations as may be necessary.

[76 FR 12550, Mar. 8, 2011]



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, including electronically created or maintained 
materials, under the control of GAO in pursuance of law or in connection 
with the transaction of public business. As used in this part, the term 
``records'' is limited to an existing record under GAO's control and 
does not include compiling or procuring records, library or museum 
material made, acquired, or preserved solely for reference or exhibition 
purposes, or extra copies of documents preserved only for convenience of 
reference.
    (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.
    (f) Compelling need means that a failure to obtain requested records 
on an expedited basis could reasonably be expected to pose an imminent 
threat to the life or physical safety of an individual, or the records 
are needed urgently, with respect to a request made

[[Page 84]]

by a person primarily engaged in disseminating information, for the 
requester to inform the public concerning actual or alleged Federal 
Government activity.



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 Chief Quality Officer, U.S. 
Government Accountability Office, 441 G Street, NW., Washington, DC 
20548. Requests also may be emailed to [email protected]. The Chief 
Quality Officer will either acknowledge or honor the request within 20 
days of receipt.
    (b) The Chief Quality Officer will honor requests for expedited 
processing before all other requests in cases in which the person 
requesting the records demonstrates a compelling need. A demonstration 
of compelling need shall be made by a statement certified by the 
requester to be true and correct to the best of the requester's 
knowledge and belief.
    (c) In the event of an objection or doubt as to the propriety of 
providing the requester with a copy of the record 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 Chief Quality Officer 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 in whole or part may 
administratively appeal the denial within 60 days after the date of the 
denial by submitting a letter to the Comptroller General of the United 
States at the address listed in paragraph (a) of this section, 
explaining why the denial of the request was unwarranted.

[68 FR 33832, June 6, 2003, as amended at 76 FR 12550, Mar. 8, 2011]



Sec. 81.5  Records originating outside GAO, records of interviews, 
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) It is the policy of GAO that prior to the release of a record of 
interview created by GAO in connection with an audit, evaluation, or 
investigation of a program, activity, or funding of a government entity, 
GAO will notify the agency from which an interview was obtained of the 
request. GAO will provide that agency with a reasonable opportunity to 
indicate whether the record of interview or portions thereof should be 
exempt from disclosure and the reason(s) for the exemption. The public 
disclosure of a record of interview remains within the discretion of 
GAO's Chief Quality Officer, but GAO will consider the views of the 
agency and the exemptions provided for under Sec. 81.6 or any other law 
or regulation in deciding whether to release all or portions of a record 
of interview.
    (c) 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.

[68 FR 33832, June 6, 2003, as amended at 72 FR 50643, Sept. 4, 2007]



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 Chief Quality Officer may 
nevertheless release records within these categories.
    (a) Records relating to work performed in response to a 
congressional

[[Page 85]]

request (unless authorized by the congressional requester), 
congressional correspondence, 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 12958, 
Classified 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, and 
records concerning an agency's security practices or procedures.
    (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 that are 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 compiled for law enforcement purposes that originate in 
another agency, or records provided by GAO to another agency for law 
enforcement purposes.
    (h) Records having information contained in or related to 
examination, operation, or condition reports prepared 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 decision making.
    (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) Records GAO has obligated itself not to disclose, including but 
not limited to, records for which GAO officials have made a pledge of 
confidentiality, and records the release of which would adversely impact 
significant property interests or negatively affect public safety.
    (m) Unsolicited records containing information submitted by any 
person to GAO in confidence. Records obtained by the GAO Forensic Audits 
and Special Investigations (GAO FraudNet) are an example of records that 
could contain information covered by this exemption.

[68 FR 33832, June 6, 2003, as amended at 72 FR 50644, Sept. 4, 2007; 76 
FR 12550, Mar. 8, 2011]



Sec. 81.7  Fees and charges.

    (a) No fee or charge will be made for:
    (1) Records provided under this part when the direct costs involve 
less than one hour of search time and 50 pages of photocopying.

[[Page 86]]

    (2) Staff-hours spent in resolving any legal or policy questions 
pertaining to the request.
    (3) Copies of records, including those certified as true copies, 
furnished for official use to a federal government officer or employee.
    (4) Copies of pertinent records furnished to a party having a direct 
and immediate interest in a matter pending before GAO, when necessary or 
desirable to the performance of a GAO function.
    (b) The fees and charges described below will be assessed for the 
direct costs of search, review, and reproduction of records available to 
the public under this part.
    (1) The cost for reproduction per page shall be 20 cents.
    (2) The cost for a certification of authenticity shall be $10 for 
each certificate.
    (3) Manual search and review for records by office personnel will be 
assessed at $12, $25, or $45 per hour, depending on the rate of pay of 
the individual actually conducting the search or review, and the 
complexity of the search.
    (4) Other direct costs related to the request may be charged for 
such items as computer searches.
    (5) Except as noted immediately below, requesters generally will be 
charged only for document duplication. However, there may be times when 
a search charge will be added, for example, if records are not described 
with enough specificity to enable them to be located within one hour. 
Requesters seeking records for commercial use will be charged for 
document duplication, search, and review costs. Additionally, 
representatives of the news media, in support of a news gathering or 
dissemination function, and education or noncommercial scientific 
institutions not seeking records for commercial use will be charged only 
for document duplication, unless such request requires extraordinary 
search or review.
    (c) GAO shall notify the requester if an advance deposit is 
required.
    (d) Fees and charges shall be paid by check or money order payable 
to the U.S. Government Accountability Office.
    (e) The Chief Quality Officer may waive or reduce the fees under 
this section upon a determination that disclosure of the records 
requested is in the public interest, is likely to contribute 
significantly to public understanding of the operations or activities of 
the government, and is not primarily in the commercial interest of the 
requester. Persons seeking a waiver or fee reduction may be required to 
submit a statement setting forth the intended purpose for which the 
records are requested, 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.



Sec. 81.8  Public reading facility.

    GAO maintains a public reading facility in the Law Library at the 
Government Accountability Office Building, 441 G Street, NW., 
Washington, DC. To determine if a record is part of the public reading 
facility collection and to schedule an appointment to visit the 
facility, contact the Library reference desk at 202-512-2585. The 
facility is open to the public from 8:30 a.m. to 4 p.m. except 
Saturdays, Sundays, and Federal holidays.

[68 FR 33832, June 6, 2003, as amended at 76 FR 12550, Mar. 8, 2011]



PART 82_FURNISHING RECORDS OF THE GOVERNMENT ACCOUNTABILITY 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 Government 
Accountability 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.

[[Page 87]]

    (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 Government Accountability 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. Government 
Accountability 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. Government Accountability 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
    (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. Government Accountability 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--

[[Page 88]]

    (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 any 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 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

[[Page 89]]

    (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.
    (g) Personnel Appeal Files. (Those records maintained by the 
Government Accountability 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:

[[Page 90]]

    (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 Sec. Sec. 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.
    (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

[[Page 91]]

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 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

[[Page 92]]

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.



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.

[[Page 93]]

    (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. Government Accountability 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 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

[[Page 94]]

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.
    (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

[[Page 95]]

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 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:

[[Page 96]]

    (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. Government 
Accountability 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 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.

[[Page 97]]

    (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. Government 
Accountability 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 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

[[Page 98]]

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 Sec. Sec. 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;
    (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

[[Page 99]]

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.



         Sec. 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. Government Accountability 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 101]]



       CHAPTER II--RECOVERY ACCOUNTABILITY AND TRANSPARENCY BOARD




  --------------------------------------------------------------------
Part                                                                Page
200             Privacy Act of 1974.........................         103
201             Public information and requests.............         109
202             Official seal...............................         118

[[Page 103]]



PART 200_PRIVACY ACT OF 1974--Table of Contents



Sec.
200.1 Purpose and scope.
200.2 Definitions.
200.3 Privacy Act records maintained by the Board.
200.4 Privacy Act inquiries.
200.5 Requests for access to records.
200.6 Processing of requests.
200.7 Fees.
200.8 Appealing denials of access.
200.9 Requests for correction of records.
200.10 Disclosure of records to third parties.
200.11 Maintaining records of disclosures.
200.12 Notification of systems of Privacy Act records.
200.13 Privacy Act training.
200.14 Responsibility for maintaining adequate safeguards.
200.15 Systems of records covered by exemptions.
200.16 Mailing lists.
200.17 Exemptions.

    Authority: 5 U.S.C. 552a(f).

    Source: 74 FR 60127, Nov. 20, 2009, unless otherwise noted.



Sec. 200.1  Purpose and scope.

    This part sets forth the policies and procedures of the Board 
regarding access to systems of records maintained by the Board under the 
Privacy Act, Public Law 93-579, 5 U.S.C. 552a. The provisions in the Act 
shall take precedence over any part of the Board's regulations in 
conflict with the Act. These regulations establish procedures by which 
an individual may exercise the rights granted by the Privacy Act to 
determine whether a Board system of records contains a record pertaining 
to him or her; to gain access to such records; and to request correction 
or amendment of such records. These regulations also set identification 
requirements and prescribe fees to be charged for copying records.



Sec. 200.2  Definitions.

    As used in this part:
    (a) Agency means any executive department, military department, 
government corporation, or other establishment in the executive branch 
of the federal government, including the Executive Office of the 
President or any independent regulatory agency;
    (b) Individual means any citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (c) Maintain means to collect, use, store, or disseminate records as 
well as any combination of these recordkeeping functions. The term also 
includes exercise of control over, and therefore responsibility and 
accountability for, systems of records;
    (d) Record means any item, collection, or grouping of information 
about an individual that is maintained by the Board and contains the 
individual's name or other identifying information, such as a number or 
symbol assigned to the individual or his or her fingerprint, voice 
print, or photograph. The term includes, but is not limited to, 
information regarding an individual's education, financial transactions, 
medical history, and criminal or employment history;
    (e) System of records means a group of records under the control of 
the Board from which information is retrievable by use of the name of 
the individual or by some number, symbol, or other identifying 
particular assigned to the individual;
    (f) Routine use means, with respect to the disclosure of a record, 
the use of a record for a purpose that is compatible with the purpose 
for which it was collected;
    (g) Designated Privacy Act Officer means the person named by the 
Board to administer the Board's activities in regard to the regulations 
in this part;
    (h) Executive Director means the chief operating officer of the 
Board;
    (i) Days means standard working days, excluding weekends and federal 
holidays.



Sec. 200.3  Privacy Act records maintained by the Board.

    (a) The Board shall maintain only such information about an 
individual as is relevant and necessary to accomplish a purpose of the 
agency required by statute or by Executive Order of the President. In 
addition, the Board shall maintain all records that are used in making 
determinations about any individual with such accuracy, relevance, 
timeliness, and completeness as is reasonably necessary to ensure 
fairness to that individual in the making of any determination about him 
or her. However, the Board shall not be required to update retired 
records.

[[Page 104]]

    (b) The Board shall not maintain any record about any individual 
with respect to or describing how such individual exercises rights 
guaranteed by the First Amendment of the Constitution of the United 
States, unless expressly authorized by statute or by the subject 
individual, or unless pertinent to and within the scope of an authorized 
law enforcement activity.



Sec. 200.4  Privacy Act inquiries.

    (a) Inquiries regarding the contents of record systems. Any person 
wanting to know whether the Board's systems of records contain a record 
pertaining to him or her may file an inquiry in person, by mail or by 
telephone.
    (b) Inquiries in person may be submitted at the Board's headquarters 
located at 1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 
20006. Inquiries should be marked ``Privacy Act Inquiry'' on each page 
of the inquiry and on the front of the envelope and directed to the 
Privacy Act Officer.
    (c) Inquiries by mail may be sent to: Privacy Act Officer, Recovery 
Accountability and Transparency Board, 1717 Pennsylvania Avenue, NW., 
Suite 700, Washington, DC 20006. ``Privacy Act Inquiry'' should be 
written on the envelope and each page of the inquiry.
    (d) Telephone inquiries may be made by calling the Board's Privacy 
Act Officer at (202) 254-7900.



Sec. 200.5  Requests for access to records.

    (a) All requests for records should include the following 
information:
    (1) Full name, address, and telephone number of requester.
    (2) The system of records containing the desired information.
    (3) Any other information that the requester believes would help 
locate the record.
    (b) Requests in writing. A person may request access to his or her 
own records in writing by addressing a letter to: Privacy Act Officer, 
Recovery Accountability and Transparency Board, 1717 Pennsylvania 
Avenue, NW., Suite 700, Washington, DC 20006.
    (c) Requests by fax. A person may request access to his or her 
records by facsimile at (202) 254-7970.
    (d) Requests by phone. A person may request access to his or her 
records by calling the Privacy Act Officer at (202) 254-7900.
    (e) Requests in person. Any person may examine and request copies of 
his or her own records on the Board's premises. The requester should 
contact the Board's office at least one week before the desired 
appointment date. This request may be made to the Privacy Act Officer in 
writing or by calling (202) 254-7900. Before viewing the records, proof 
of identification must be provided. The identification should be a valid 
copy of one of the following:
    (1) A government ID;
    (2) A driver's license;
    (3) A passport; or
    (4) Other current identification that contains both an address and a 
picture of the requester.



Sec. 200.6  Processing of requests.

    Upon receipt of a request for information, the Privacy Act Officer 
will ascertain whether the records identified by the requester exist, 
and whether they are subject to any exemption under Sec. 200.15. If the 
records exist and are not subject to exemption, the Privacy Act Officer 
will provide the information.
    (a) Requests in writing, including those sent by fax. Within five 
working days of receiving the request, the Privacy Act Officer will 
acknowledge its receipt and will advise the requester of any additional 
information that may be needed. Within 15 working days of receiving the 
request, the Privacy Act Officer will send the requested information or 
will explain to the requester why additional time is needed for a 
response.
    (b) Requests in person or by telephone. Within 15 days of the 
initial request, the Privacy Act Officer will contact the requester and 
arrange an appointment at a mutually agreeable time when the record can 
be examined. The requester may be accompanied by no more than one 
person. In such case, the requestor must inform the Privacy Act Officer 
that a second individual will be present and must sign a statement 
authorizing disclosure of the records to that person. The statement will 
be kept with the requester's records. At the appointment, the requester 
will be asked to present identification as stated in Sec. 200.5(e).

[[Page 105]]

    (c) Excluded information. If a request is received for information 
compiled in reasonable anticipation of litigation, the Privacy Act 
Officer will inform the requester that the information is not subject to 
release under the Privacy Act (see 5 U.S.C. 552a(d)(5)).



Sec. 200.7  Fees.

    A fee will not be charged for searching, reviewing, or making 
corrections to records. A fee for copying will be assessed at the same 
rate established for the Freedom of Information Act requests. 
Duplication fees for paper copies of a record will be 10 cents per page 
for black and white and 20 cents per page for color. For all other forms 
of duplication, the Board will charge the direct costs of producing the 
copy. However, the first 100 pages of black-and-white copying or its 
equivalent will be free of charge.



Sec. 200.8  Appealing denials of access.

    (a) If access to records is denied by the Privacy Act Officer, the 
requester may file an appeal in writing. The appeal should be directed 
to Executive Director, Recovery Accountability and Transparency Board, 
1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006.
    (b) The appeal letter must specify the denied records that are still 
sought, and state why denial by the Privacy Act Officer is erroneous.
    (c) The Executive Director or his or her designee will respond to 
appeals within 20 working days of the receipt of the appeal letter. The 
appeal determination will explain the basis of the decision to deny or 
grant the appeal.



Sec. 200.9  Requests for correction of records.

    (a) Correction requests. Any person is entitled to request 
correction of his or her record(s) covered under the Act. The request 
must be made in writing and should be addressed to Privacy Act Officer, 
Recovery Accountability and Transparency Board, 1717 Pennsylvania 
Avenue, NW., Suite 700, Washington, DC 20006. The letter should clearly 
identify the corrections desired. In most circumstances, an edited copy 
of the record will be acceptable for this purpose.
    (b) Initial response. Receipt of a correction request will be 
acknowledged by the Privacy Act Officer in writing within five working 
days. The Privacy Act Officer will provide a letter to the requester 
within 20 working days stating whether the request for correction has 
been granted or denied. If the Privacy Act Officer denies any part of 
the correction request, the reasons for the denial will be provided to 
the requester.



Sec. 200.10  Disclosure of records to third parties.

    (a) The Board will not disclose any record that is contained in a 
system of records to any person or agency, except with a written request 
by or with the prior written consent of the individual whose record is 
requested, unless disclosure of the record is:
    (1) Required by an employee or agent of the Board in the performance 
of his/her official duties.
    (2) Required under the provisions of the Freedom of Information Act 
(5 U.S.C. 552). Records required to be made available by the Freedom of 
Information Act will be released in response to a request in accordance 
with the Board's regulation published at 4 CFR Part 201.
    (3) For a routine use as published in the annual notice in the 
Federal Register.
    (4) To the Census Bureau for planning or carrying out a census, 
survey, or related activities pursuant to the provisions of Title 13 of 
the United States Code.
    (5) To a recipient who has provided the Board with adequate advance 
written assurance that the record will be used solely as a statistical 
research or reporting record and that the record is to be transferred in 
a form that is not individually identifiable.
    (6) To the National Archives and Records Administration as a record 
that has sufficient historical or other value to warrant its continued 
preservation by the United States government, or for evaluation by the 
Archivist of the United States, or his or her designee, to determine 
whether the record has such value.

[[Page 106]]

    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity, if the activity is 
authorized by law, and if the head of the agency or instrumentality has 
made a written request to the Board for such records specifying the 
particular part desired and the law enforcement activity for which the 
record is sought. The Board also may disclose such a record to a law 
enforcement agency on its own initiative in situations in which criminal 
conduct is suspected, provided that such disclosure has been established 
as a routine use, or in situations in which the misconduct is directly 
related to the purpose for which the record is maintained.
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if, upon such 
disclosure, notification is transmitted to the last known address of 
such individual.
    (9) To either House of Congress, or, to the extent of matters within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee.
    (10) To the Comptroller General, or any of his or her authorized 
representatives, in the course of the performance of official duties of 
the Government Accountability Office.
    (11) Pursuant to an order of a court of competent jurisdiction. In 
the event that any record is disclosed under such compulsory legal 
process, the Board shall make reasonable efforts to notify the subject 
individual after the process becomes a matter of public record.
    (12) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(e).
    (b) Before disseminating any record about any individual to any 
person other than a Board employee, the Board shall make reasonable 
efforts to ensure that the records are, or at the time they were 
collected, accurate, complete, timely, and relevant. This paragraph (b) 
does not apply to disseminations made pursuant to the provisions of the 
Freedom of Information Act (5 U.S.C. 552) and paragraph (a)(2) of this 
section.



Sec. 200.11  Maintaining records of disclosure.

    (a) The Board shall maintain a log containing the date, nature, and 
purposes of each disclosure of a record to any person or agency. Such 
accounting also shall contain the name and address of the person or 
agency to whom or to which each disclosure was made. This log will not 
include disclosures made to Board employees or agents in the course of 
their official duties or pursuant to the provisions of the Freedom of 
Information Act (5 U.S.C. 552).
    (b) An accounting of each disclosure shall be retained for at least 
five years after the accounting is made or for the life of the record 
that was disclosed, whichever is longer.
    (c) The Board shall make the accounting of disclosure of a record 
pertaining to an individual available to that individual at his or her 
request. Such a request should be made in accordance with the procedures 
set forth in Sec. 200.5. This paragraph (c) does not apply to 
disclosure made for law enforcement purposes under 5 U.S.C. 552a(b)(7) 
and Sec. 200.10(a)(7).



Sec. 200.12  Notification of systems of Privacy Act records.

    (a) Public notice. The Board periodically reviews its systems of 
records and will publish information about any significant additions or 
changes to those systems in the Federal Register. Information about 
systems of records maintained by other agencies that are in the 
temporary custody of the Board will not be published. In addition, the 
Office of the Federal Register biennially compiles and publishes all 
systems of records maintained by all federal agencies, including the 
Board.
    (b) At least 30 days before publishing additions or changes to the 
Board's systems of records, the Board will publish a notice of intent to 
amend, providing the public with an opportunity to comment on the 
proposed amendments to its systems of records in the Federal Register.



Sec. 200.13  Privacy Act training.

    (a) The Board shall ensure that all persons involved in the design, 
development, operation, or maintenance of

[[Page 107]]

any Board systems of records are informed of all requirements necessary 
to protect the privacy of individuals. The Board shall ensure that all 
employees having access to records receive adequate training in their 
protection and that records have adequate and proper storage with 
sufficient security to ensure their privacy.
    (b) All employees shall be informed of the civil remedies provided 
under 5 U.S.C. 552a(g)(1) and other implications of the Privacy Act and 
of the fact that the Board may be subject to civil remedies for failure 
to comply with the provisions of the Privacy Act and the regulations in 
this part.



Sec. 200.14  Responsibility for maintaining adequate safeguards.

    The Board has the responsibility for maintaining adequate technical, 
physical, and security safeguards to prevent unauthorized disclosure or 
destruction of manual and automated records systems. These security 
safeguards shall apply to all systems of records in which identifiable 
personal data are processed or maintained, including all reports and 
output from such systems of records that contain identifiable personal 
information. Such safeguards must be sufficient to prevent negligent, 
accidental, or unintentional disclosure, modification, or destruction of 
any personal records or data; must minimize, to the extent practicable, 
the risk that skilled technicians or knowledgeable persons could 
improperly obtain access to modify or destroy such records or data; and 
shall further ensure against such casual entry by unskilled persons 
without official reasons for access to such records or data.
    (a) Manual systems. (1) Records contained in a system of records as 
defined in this part may be used, held, or stored only where facilities 
are adequate to prevent unauthorized access by persons within or outside 
the Board.
    (2) Access to and use of a system of records shall be permitted only 
to persons whose duties require such access to the information for 
routine uses or for such other uses as may be provided in this part.
    (3) Other than for access by employees or agents of the Board, 
access to records within a system of records shall be permitted only to 
the individual to whom the record pertains or upon his or her written 
request.
    (4) The Board shall ensure that all persons whose duties require 
access to and use of records contained in a system of records are 
adequately trained to protect the security and privacy of such records.
    (5) The disposal and destruction of identifiable personal data 
records shall be done by shredding and in accordance with rules 
promulgated by the Archivist of the United States.
    (b) Automated systems. (1) Identifiable personal information may be 
processed, stored, or maintained by automated data systems only where 
facilities or conditions are adequate to prevent unauthorized access to 
such systems in any form.
    (2) Access to and use of identifiable personal data associated with 
automated data systems shall be limited to those persons whose duties 
require such access. Proper control of personal data in any form 
associated with automated data systems shall be maintained at all times, 
including maintenance of accountability records showing disposition of 
input and output documents.
    (3) All persons whose duties require access to processing and 
maintenance of identifiable personal data and automated systems shall be 
adequately trained in the security and privacy of personal data.
    (4) The disposal and disposition of identifiable personal data and 
automated systems shall be done by shredding, burning, or, in the case 
of electronic records, by degaussing or by overwriting with the 
appropriate security software, in accordance with regulations of the 
Archivist of the United States or other appropriate authority.



Sec. 200.15  Systems of records covered by exemptions.

    The Board currently has no exempt systems of records.



Sec. 200.16  Mailing lists.

    The Board shall not sell or rent an individual's name and/or address 
unless such action is specifically authorized by law. This section shall 
not be construed to require the withholding of

[[Page 108]]

names and addresses otherwise permitted to be made public.



Sec. 200.17  Exemptions.

    (a) General policy. The Privacy Act permits an agency to exempt 
certain types of systems of records from some of the Privacy Act's 
requirements. It is the policy of the Board to exercise authority to 
exempt systems of records only in compelling cases.
    (b) Specific systems of records exempted under (j)(2) and (k)(2). 
The Board exempts the RATB Investigative Files (RATB-11) system of 
records from the following provisions of 5 U.S.C. 552a:
    (1) From subsection (c)(3) because the release of accounting of 
disclosure would inform a subject that he or she is under investigation. 
This information would provide considerable advantage to the subject in 
providing him or her with knowledge concerning the nature of the 
investigation and the coordinated investigative efforts and techniques 
employed by the cooperating agencies. This would greatly impede the 
Board's criminal law enforcement duties.
    (2) From subsection (c)(4) and (d) because notification would alert 
a subject to the fact that an open investigation on that individual is 
taking place, and might weaken the ongoing investigation, reveal 
investigatory techniques, and place confidential informants in jeopardy.
    (3) From subsection (e)(1) because the nature of the criminal and/or 
civil investigative function creates unique problems in prescribing a 
specific parameter in a particular case with respect to what information 
is relevant or necessary. Also, due to the Board's close working 
relationship with other Federal, state and local law enforcement 
agencies, information may be received which may relate to a case under 
the investigative jurisdiction of another agency. The maintenance of 
this information may be necessary to provide leads for appropriate law 
enforcement purposes and to establish patterns of activity which may 
relate to the jurisdiction of other cooperating agencies.
    (4) From subsection (e)(2) because collecting information to the 
fullest extent possible directly from the subject individual may or may 
not be practical in a criminal and/or civil investigation.
    (5) From subsection (e)(3) because supplying an individual with a 
form containing a Privacy Act Statement would tend to inhibit 
cooperation by many individuals involved in a criminal and/or civil 
investigation. The effect would be somewhat adverse to established 
investigative methods and techniques.
    (6) From subsection (e)(4)(G)-(I) because this system of records is 
exempt from the access provisions of subsection (d).
    (7) From subsection (e)(5) because the requirement that records be 
maintained with attention to accuracy, relevance, timeliness, and 
completeness would unfairly hamper the investigative process. It is the 
nature of law enforcement for investigations to uncover the commission 
of illegal acts at diverse stages. It is frequently impossible to 
determine initially what information is accurate, relevant, timely, and 
least of all complete. With the passage of time, seemingly irrelevant or 
untimely information may acquire new significance as further 
investigation brings new details to light.
    (8) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to law enforcement by 
revealing investigative techniques, procedures, and existence of 
confidential investigations.
    (9) From subsection (f) because the agency's rules are inapplicable 
to those portions of the system that are exempt and would place the 
burden on the agency of either confirming or denying the existence of a 
record pertaining to a requesting individual, which might in itself 
provide an answer to that individual relating to an ongoing 
investigation. The conduct of a successful investigation leading to the 
indictment of a criminal offender precludes the applicability of 
established agency rules relating to verification of record, disclosure 
of the record to that individual, and record amendment procedures for 
this record system.
    (10) For comparability with the exemption claimed from subsection 
(f),

[[Page 109]]

the civil remedies provisions of subsection (g) must be suspended for 
this record system. Because of the nature of criminal investigations, 
standards of accuracy, relevance, timeliness, and completeness cannot 
apply to this record system. Information gathered in an investigation is 
often fragmentary, and leads relating to an individual in the context of 
one investigation may instead pertain to a second investigation.
    (c) Specific systems of records exempted under (k)(2) and (k)(5). 
The Board exempts the RATB Fraud Hotline Program Files (RATB-12) system 
of records from the following provisions of 5 U.S.C. 552a:
    (1) From subsection (c)(3) because disclosures from this system 
could interfere with the just, thorough and timely resolution of the 
complaint or inquiry, and possibly enable individuals to conceal their 
wrongdoing or mislead the course of the investigation by concealing, 
destroying or fabricating evidence or documents.
    (2) From subsection (d) because disclosures from this system could 
interfere with the just, thorough and timely resolution of the complaint 
or inquiry, and possibly enable individuals to conceal their wrongdoing 
or mislead the course of the investigation by concealing, destroying or 
fabricating evidence or documents. Disclosures could also subject 
sources and witnesses to harassment or intimidation which jeopardize the 
safety and well-being of themselves and their families.
    (3) From subsection (e)(1) because the nature of the investigatory 
function creates unique problems in prescribing specific parameters in a 
particular case as to what information is relevant or necessary. Due to 
close working relationships with other Federal, state and local law 
enforcement agencies, information may be received which may relate to a 
case under the investigative jurisdiction of another government agency. 
It is necessary to maintain this information in order to provide leads 
for appropriate law enforcement purposes and to establish patterns of 
activity which may relate to the jurisdiction of other cooperating 
agencies.
    (4) From subsection (e)(4)(G)-(H) because this system of records is 
exempt from the access provisions of subsection (d).
    (5) From subsection (f) because the agency's rules are inapplicable 
to those portions of the system that are exempt and would place the 
burden on the agency of either confirming or denying the existence of a 
record pertaining to a requesting individual might in itself provide an 
answer to that individual relating to an on-going investigation. The 
conduct of a successful investigation leading to the indictment of a 
criminal offender precludes the applicability of established agency 
rules relating to verification of record, disclosure of the record to 
that individual, and record amendment procedures for this record system.

[75 FR 37287, June 29, 2010]



PART 201_PUBLIC INFORMATION AND REQUESTS--Table of Contents



Sec.
201.1 Scope.
201.2 Definitions.
201.3 Publicly available documents and electronic reading room.
201.4 Board records exempt from public disclosure.
201.5 Requests for Board records.
201.6 Responsibility, form, and content of responses.
201.7 Timing of responses to requests.
201.8 Fees.
201.9 Restrictions on charging fees.
201.10 Notice of anticipated fees.
201.11 Requirements for waiver or reduction of fees.
201.12 Denials.
201.13 Business information.
201.14 Appeals.
201.15 Preservation of records.
201.16 Other rights and services.
201.17 How to track a FOIA request.

    Authority: 5 U.S.C. 301, 5 U.S.C. 552 as amended; Executive Order 
12600, 3 CFR, 1987 Comp., p. 235.

    Source: 74 FR 60132, Nov. 20, 2009, unless otherwise noted.



Sec. 201.1  Scope.

    This part sets forth the policies and procedures of the Recovery 
Accountability and Transparency Board (Board) regarding public access to 
documents under the Freedom of Information Act (FOIA or the Act), 5 
U.S.C. 552. The provisions in the Act shall take precedence over any 
part of the

[[Page 110]]

Board's regulations in conflict with the Act. This part gives the 
procedures the public may use to inspect and obtain copies of Board 
records under the FOIA, including administrative procedures which must 
be exhausted before a requestor invokes the jurisdiction of an 
appropriate United States District Court for the Board's failure to 
respond to a proper request within the statutory time limits, for a 
denial of Board records or challenges to the adequacy of a search, or 
for denial of fee waiver.



Sec. 201.2  Definitions.

    For words used in this document, unless the context indicates 
otherwise, singular includes the plural, plural includes the singular, 
present tense includes the future tense, and words of one gender include 
the other gender.
    (a)(1) Agency records--Materials that are in the control of the 
Board and associated with Board business, including:
    (i) Materials produced by the Board.
    (ii) Materials produced by staff for the Board.
    (iii) Materials distributed by presenters at a Board meeting or 
Board Committee meeting.
    (2) All references to records include the entire record and/or any 
part of the record.
    (b) Board--The Recovery Accountability and Transparency Board.
    (c) Chairman--The Chairman of the Board is designated or appointed 
by the President.
    (d) Designated FOIA Officer--The person designated to administer the 
Board's activities in regard to the regulations in this part. The FOIA 
Officer shall be:
    (1) The Board officer having custody of, or responsibility for, 
agency records in the possession of the Board.
    (2) The Board officer having responsibility for authorizing or 
denying production of records from requests filed under the FOIA.
    (e) Executive Director--The chief operating officer of the Board.
    (f) Member--An individual appointed to serve on the Board pursuant 
to Title XV, Subtitle B of the American Recovery and Reinvestment Act of 
2009 (Pub. L. 111-5).
    (g) Days--Standard working days, excluding weekends and federal 
holidays.



Sec. 201.3  Publicly available documents and electronic reading room.

    (a) Many Board records are available electronically at the Board's 
Web site (http://www.recovery.gov).
    (b) Records available electronically on the Board's Web site 
include:
    (1) The rules and regulations of the Board.
    (2) Statements of policy adopted by the Board.
    (3) Board reports to the President and Congress, including the 
Committees on Appropriations of the Senate and House of Representatives.
    (4) Congressional Testimony of the Chairman of the Board.
    (5) Biographical information about the Chairman and other Board 
members.
    (6) Copies of records frequently requested and released in response 
to FOIA requests.
    (c) The cost of copying information available in the Board office 
shall be imposed in accordance with the provisions of Sec. 201.8.



Sec. 201.4  Board records exempt from public disclosure.

    5 U.S.C. 552 provides that the requirements of the FOIA do not apply 
to matters that are:
    (a) Specifically authorized under the criteria established by an 
executive order to be kept secret in the interest of national defense or 
foreign policy and are in fact properly classified pursuant to such an 
executive order.
    (b) Related solely to the internal personnel rules and practices of 
the Board.
    (c) Specifically exempted from disclosure by another federal 
statute, provided that such statute:
    (1) Requires that records are withheld from the public in such a 
manner that leaves no discretion on the issue; or
    (2) Establishes criteria for withholding or refers to particular 
types of matters to be withheld.
    (d) Trade secrets, and commercial or financial information obtained 
from a person and privileged or confidential.
    (e) Interagency or intra-agency memoranda or letters that would not

[[Page 111]]

be available by law to a party other than an agency in litigation with 
the Board.
    (f) Personnel, medical, or similar files that disclosing would 
constitute a clearly unwarranted invasion of personal privacy.
    (g) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records of information:
    (1) Could reasonably be expected to interfere with enforcement 
proceedings;
    (2) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (3) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (4) Could reasonably be expected to disclose the identity of any 
confidential source, including a state, local, or foreign agency or 
authority, or any private institution which furnished information on a 
confidential basis, and in the case of a record or information compiled 
by a criminal law enforcement agency in the course of a criminal 
investigation or by an agency conducting a lawful security intelligence 
investigation, information furnished by a confidential source;
    (5) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (6) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (h) Contained in or related to examination, operating, or condition 
reports, prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions.
    (i) Geological and geophysical information and data, including maps, 
concerning wells.



Sec. 201.5  Requests for Board records.

    (a) To request Board records, you may:
    (1) Write: FOIA Officer, Recovery Accountability and Transparency 
Board, 1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006;
    (2) Send a request via e-mail at [email protected]; or
    (3) Fax: (202) 254-7970.
    (b) When requesting records under this section you must state, in 
writing:
    (1) Your full name,
    (2) Address,
    (3) Telephone number, and
    (4) At your option, electronic mail address.
    (c) When making a request for records about a person, Privacy Act 
regulations also may apply. Please check the regulations for additional 
requirements before submitting a request. When making a request for 
records about someone other than yourself, you must include either:
    (1) Written authorization signed by the person permitting you to see 
the records; or
    (2) Proof that the individual is deceased (e.g., a death certificate 
or obituary).
    (d) A request will be considered received for purposes of Sec. 
201.7 on the date that it is received by the Board's FOIA office. For 
prompt handling, write ``Freedom of Information Act Request'' on the 
letter and envelope or in the subject line of the e-mail request or fax.
    (e) Each request must clearly describe the desired records in 
sufficient detail to enable Board personnel to locate them with 
reasonable effort. Response to requests may be delayed if the records 
are not clearly described.
    (f) Whenever possible, requests should include specific information 
about each record sought, such as date, title or name, author, 
recipient, and subject.
    (g) If the FOIA Officer determines that the request does not clearly 
describe the records sought, he or she will either advise you of the 
additional information needed to locate the record or otherwise state 
why the request is insufficient. You will then be given the opportunity 
to provide additional information or to modify your request.

[[Page 112]]

    (h) Submitting a FOIA request shall be considered a commitment by 
the requestor to pay applicable fees required under Sec. 201.8 unless 
the requestor seeks a waiver of fees. When making a request, you may 
specify a willingness to pay fees up to a specific amount.
    (i) The FOIA does not require the Board to:
    (1) Compile or create records solely for the purpose of satisfying a 
request for records.
    (2) Provide records not yet in existence, even if such records may 
be expected to come into existence at some time in the future.
    (3) Restore records destroyed or otherwise disposed of, except that 
the FOIA Officer must notify the requestor that the records have been 
destroyed or otherwise disposed of.



Sec. 201.6  Responsibility, form, and content of responses.

    The Board's Executive Director or his/her designated FOIA Officer is 
authorized to grant or deny any request for a record and determine 
appropriate fees. When determining which records are responsive to a 
request, the Board will include only records in its possession as of the 
date of the request.
    (a) If no records are responsive to the request, the FOIA Officer 
will notify the requestor in writing.
    (b) When the FOIA Officer denies a request in whole or in part, he/
she will notify the requestor in writing. The response will be signed by 
the FOIA Officer and will include:
    (1) The name and title or position of the person making the denial;
    (2) A brief statement of the reasons for the denial, including the 
FOIA exemption(s) that the FOIA Officer has relied on in denying the 
request; and
    (3) A statement that the denial may be appealed under Sec. 201.14 
and a description of the requirements of that section.
    (c) Referrals. When a request for a record not created by the Board 
is received, the Board shall refer the requestor to the issuing agency 
in writing, providing the address of the agency contact and the 
section(s) referred.
    (d) Timing of responses to requests sent to other agencies. The 
Board shall provide, within the FOIA deadline, responses only to those 
parts of the request not referred.
    (e) Agreements on referrals. The Board may make agreements with 
other agencies to eliminate the need for referrals for particular types 
of records.



Sec. 201.7  Timing of responses to requests.

    (a) General. The Board shall normally respond to requests in the 
order of their receipt.
    (b) Acknowledgement of requests. On receipt of a request, the Board 
shall send an acknowledgement letter or an e-mail confirming the 
requestor's agreement to pay fees under Sec. 201.8 and providing a 
request number for future reference.
    (c) Time limits for responding to FOIA requests. The Board shall 
make an initial determination to grant or deny a request for records 
within 20 days (excluding Saturday, Sunday and holidays) after the date 
of receipt of the request, as described in Sec. 201.5(d), except as 
stated in paragraph (f) of this section. Once the Board determines 
whether it can grant a request entirely or in part, it shall notify the 
requestor in writing. The Board shall advise the requestor of any fees 
to be charged under Sec. 201.8 and shall disclose records promptly on 
payment of the fees. Records disclosed in part shall be marked or 
annotated to show the amount of information deleted unless doing so 
would harm an interest protected by an applicable exemption. The 
location of the information deleted also shall be indicated on the 
record when technically feasible.
    (d) Unusual circumstances. (1) If the statutory time limits for 
processing a request cannot be met because of ``unusual circumstances'' 
as defined in the FOIA (5 U.S.C. 552(6)(B)(iii)), the Board shall 
promptly notify the requestor in writing, explaining the circumstances 
and giving the date by which the request can be completed or if the 
Board cannot complete the request. If the extension is for more than 10 
working days, the Board shall provide the requestor with an opportunity 
to:
    (i) Modify the request so that it can be processed within the time 
limit; or
    (ii) Arrange an alternative time period for processing the original 
request.

[[Page 113]]

    (2) If the Board believes that multiple requests submitted by a 
requestor or by requestors acting in concert constitute a single request 
that would otherwise involve unusual circumstances, and if the requests 
involve clearly related matters, they may be aggregated. Multiple 
requests involving unrelated matters will not be aggregated.
    (e) Expedited processing. (1) Requests and appeals shall be taken 
out of order and given expedited processing whenever it is determined 
that they involve:
    (i) Circumstances that could reasonably be expected to pose an 
imminent threat to the life or physical safety of an individual; or
    (ii) An urgency to inform the public about an actual or alleged 
activity if made by a person primarily engaged in disseminating 
information.
    (2) Requests for expedited processing may be made either at the time 
of the initial request or at a later time.
    (3) Requests for expedited processing must include a statement 
explaining in detail the basis for requesting expedited processing. For 
example, a requestor under Sec. 201.8 must establish that his/her 
professional activity is news reporting, although it need not be his/her 
sole occupation. The requestor also must establish a particular urgency 
to inform the public about government activity involved in the request, 
beyond the public's right to know about government activity generally.
    (4) Within 10 calendar days of receipt of a request for expedited 
processing, the Board shall decide whether to grant the request and 
notify the requestor of its decision. If a request for expedited 
treatment is granted, the request shall be processed as soon as 
practicable. If a request for expedited processing is denied, an appeal 
of that decision shall be acted on expeditiously.
    (f) Tolling of time limits. (1) The Board may toll the 20-day time 
period to:
    (i) Make one request for additional information from the requester; 
or
    (ii) Clarify the applicability or amount of any fees, if necessary, 
with the requester.
    (2) The tolling period ends upon the Board's receipt of information 
from the requester or resolution of the fee issue.



Sec. 201.8  Fees.

    (a) General. The Board shall charge for processing requests under 
the FOIA in accordance with paragraph (c) of this section, except where 
fees are limited under Sec. 201.9 or where a waiver or reduction of 
fees is granted under Sec. 201.11. Fees must be paid before the copies 
of records are sent. Fees may be paid by check or money order payable to 
the Treasury of the United States.
    (b) Definitions for this section. (1) Commercial use request--A 
request from, or on behalf of, a person who seeks information for a 
purpose that furthers his/her commercial, trade, or profit interests 
including furthering those interests through litigation. The Board shall 
try to determine the use to which a record will be put. When the Board 
believes that a request is for commercial use either because of the 
nature of the request or because the Board has cause to doubt the stated 
use, the Board shall ask the requestor for clarification.
    (2) Direct costs--Expenses that the Board incurs in searching for, 
duplicating, and reviewing records in response to a request. Direct 
costs include the full salary of the employee performing the work and 
the cost of duplication of the records. Overhead expenses, such as the 
cost of space, heating, and lighting, are not included.
    (3) Duplication--Making a copy of a record or the information in the 
record, to respond to a request. Copies can be in paper, electronic, or 
other format. The Board shall honor a requestor's preference for format 
if the record is readily reproducible in that format at a reasonable 
cost.
    (4) Educational institution--A public or private undergraduate, 
graduate, professional or vocational school that has a program of 
scholarly research. For a request to be in this category, a requestor 
must show that the request is authorized by and made under the auspices 
of the qualifying institution and that the records will be used for 
scholarly research.
    (5) Noncommercial scientific institution--An institution that is not 
operated on a commercial basis, as defined in paragraph (b)(1) of this 
section and is operated solely for conducting scientific research that 
does not promote

[[Page 114]]

any particular product or industry. For a request to be in this 
category, the requestor must show that the request is authorized and 
made under the auspices of the qualifying institution and that the 
records will be used for further scientific research.
    (6) Representative of the news media--Any person who, or entity 
that, gathers information of potential interest to a segment of the 
public, uses editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience. A freelance journalist 
shall be regarded as working for a news media entity if the person can 
demonstrate a solid basis for expecting publication through that entity, 
whether or not the journalist is actually employed by that entity. A 
publication contract is one example of a basis for expecting publication 
that ordinarily would satisfy this standard. The Board may consider past 
publication records of the requester in determining whether he or she 
qualifies as a ``representative of the news media.''
    (7) Review--Examining a record to determine whether any part of it 
is exempt from disclosure, and processing a record for disclosure. 
Review costs are recoverable even if a record is not disclosed. Review 
time includes time spent considering any formal objection to disclosure 
made by a business submitter under Sec. 201.13 but does not include 
time spent resolving general legal or policy issues regarding the 
application of exemptions.
    (8) Search--The process of looking for and retrieving records, 
including page-by-page or line-by-line identification of information 
within records and reasonable efforts to locate and retrieve information 
from records maintained in electronic form. The Board shall ensure that 
searches are done in the most efficient and least expensive way that is 
reasonably possible.
    (c) Fees. In responding to FOIA requests, the Board shall charge the 
following fees unless a waiver or a reduction of fees has been granted 
under Sec. 201.11.
    (1) Search. (i) Search fees shall be charged for all requests 
subject to the limitations of Sec. 201.9. The Board may charge for time 
spent searching even if no responsive record is located, or if the 
record(s) located are withheld as exempt from disclosure.
    (ii) For each quarter hour spent by clerical personnel in searching 
for and retrieving a requested record, the fee will be $5. If a search 
and retrieval requires the use of professional personnel, the fee will 
be $8 for each quarter hour. If the time of managerial personnel is 
required, the fee will be $10 for each quarter hour.
    (iii) For computer searches for records, requestors will be charged 
the direct costs of conducting the search although certain requestors 
(see Sec. 201.9(a)) will be charged no search fee and certain other 
requestors (see Sec. 201.9(b)) will be entitled to two hours of manual 
search time without charge. Direct costs include the cost of operating a 
computer for the search time for requested records and the operator 
salary for the search.
    (2) Duplication. Duplication fees for paper copies of a record will 
be 10 cents per page for black and white and 20 cents per page for 
color. For all other forms of duplication, the Board shall charge the 
direct costs of producing the copy. All charges are subject to the 
limitations of Sec. Sec. 201.9 and 201.11.
    (3) Review. When a commercial-use request is made, review fees shall 
be charged as stated in paragraph (c)(1) of this section. These fees 
apply only to the initial record review, when the Board determines 
whether an exemption applies to a particular record. Charges shall not 
be imposed for review at the administrative appeal level if an exemption 
is applied. However, records withheld under an exemption that is 
subsequently determined not to apply may be reviewed again to determine 
whether any other exemption not previously considered applies. The costs 
of that review shall be charged. All review fees shall be charged at the 
same rates as those charged in paragraph (c)(1) of this section.



Sec. 201.9  Restrictions on charging fees.

    (a) When determining search or review fees:
    (1) No search fee shall be charged for requests by educational 
institutions, noncommercial scientific institutions, or representatives 
of the news media.

[[Page 115]]

    (2) The Board shall provide without charge to all but commercial 
users:
    (i) The first 100 pages of black and white duplication (or the cost 
equivalent); and
    (ii) The first two hours of search by a clerical staff member (or 
the cost equivalent).
    (3) When the total fee for a request will be $14.00 or less for any 
request, no fee shall be charged.
    (b) The Board will not assess search and/or duplication fees, as 
applicable, if it fails to respond to a requester's FOIA request within 
the time limits specified under 4 CFR 201.7, and no ``unusual'' 
circumstances (as defined in 5 U.S.C. 552(a)(6)(B) and 4 CFR 201.7(d)) 
or ``exceptional'' circumstances (as defined in 5 U.S.C. 552(a)(6)(C)) 
apply to the processing of the request.



Sec. 201.10  Notice of anticipated fees.

    (a) General. The Board shall advise the requestor in writing of any 
applicable fees. If only a part of the fee can be estimated readily, the 
Board shall advise the requestor that this may be only a part of the 
total fee. After the requestor has been sent a fee estimate, the request 
shall not be considered received until the requestor makes a firm 
commitment to pay the anticipated total fee. Any such agreement must be 
made by the requestor in writing and must be received within 60 days of 
the Board's notice. If the requestor does not provide a firm commitment 
to pay the anticipated fee within 60 days of the notice, the request 
shall be closed. The requestor may be given an opportunity to work with 
the Board to change the request and lower the cost.
    (b) Charges for other services. When the Board chooses as a matter 
of administrative discretion to provide a special service, such as 
certifying that records are true copies or sending them by other than 
ordinary mail, the Board shall pay the costs of providing the services 
unless previous arrangements have been made with the requestor.
    (c) Charging interest. The Board may charge interest on any unpaid 
bill starting on the 31st day following the date of billing. Interest 
charges shall be assessed at the rate provided in 31 U.S.C. 3717 and 
shall accrue from the date of the billing until payment is received by 
the Board. The Board shall follow the provisions of the Debt Collection 
Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as amended.
    (d) Aggregating requests. If the Board reasonably believes that a 
requestor or a group of requestors acting together is trying to divide a 
request into a series of smaller requests for the purpose of avoiding 
fees, the Board may aggregate the requests and charge accordingly. The 
Board shall assume that multiple requests of the same type made within a 
30-day period have been made in order to avoid fees. If requests are 
separated by a longer period, the Board shall aggregate them only if 
there is a solid basis for determining that aggregation is warranted. 
Multiple requests involving unrelated matters shall not be aggregated.
    (e) Advance payments. When a requestor has previously failed to pay 
promptly a properly charged FOIA fee to the Board or another agency, the 
Board shall require proof that full payment has been made to that agency 
before it begins to process that requestor's FOIA request. The Board 
shall also require advance payment of the full amount of the anticipated 
fee. When advance payment is required, the request is not considered 
received until payment has been made.



Sec. 201.11  Requirements for waiver or reduction of fees.

    (a) Fees for processing your request may be waived if you meet the 
criteria listed in paragraph (b) of this section. The burden is on you 
to justify entitlement to a fee waiver. Requests for fee waivers are 
decided on a case-by-case basis. The fact that you have received a fee 
waiver in the past does not mean you are automatically entitled to a fee 
waiver for every request you may submit, because the essential element 
of any fee waiver determination is whether the release of the particular 
documents sought in the request will likely contribute significantly to 
public understanding of the operations or activities of the government. 
The Board will rely on the fee waiver justification you have submitted 
in your request letter. If you do not submit sufficient justification, 
your fee waiver request will

[[Page 116]]

be denied. The Board may, at its discretion, communicate with you to 
request additional information if necessary. However, the Board must 
make a determination on the fee waiver request within the statutory time 
limit, even if the Board has not received such additional information. 
In certain circumstances, a partial fee waiver may be appropriate, if 
some, but not all, of the requested records are likely to contribute 
significantly to public understanding of the operations and activities 
of the government.
    (b) The Board will waive fees (in whole or part) if disclosure of 
all or part of the information is in the public interest because its 
release:
    (1) Is likely to contribute significantly to public understanding of 
the operations or activities of the government; and
    (2) Is not primarily in the commercial interest of the requester.



Sec. 201.12  Denials.

    (a) When denying a request in any respect, the Board shall notify 
the requestor of that determination in writing. The types of denials 
include:
    (1) Denials of requests, including a determination:
    (i) To withhold any requested record in whole or in part;
    (ii) That a requested record does not exist or cannot be located;
    (iii) That a record is not readily reproducible in the form or 
format sought;
    (iv) That what has been requested is not a record subject to the 
FOIA; and
    (v) That the material requested is not a Board record (e.g., 
material produced by another agency or organization).
    (2) A determination on any disputed fee matter, including a denial 
of a request for a fee waiver.
    (3) A denial of a request for expedited processing.
    (b) The denial letter shall be signed by the FOIA Officer or 
designee and shall include all of the following:
    (1) The name and title of the person responsible for the denial.
    (2) A brief statement of the reason(s) for the denial, including any 
FOIA exemptions applied in denying the request.
    (3) An estimate of the volume of records withheld, in number of 
pages or in some other reasonable form of estimation. This estimate does 
not need to be provided if it would harm an interest protected by an 
applicable exemption.
    (4) A statement that the denial may be appealed under Sec. 201.14 
and a description of the requirements of Sec. 201.14.



Sec. 201.13  Business information.

    (a) In general. Business information obtained by the Board from a 
submitter shall be disclosed under the FOIA only under this section.
    (b) Definitions. For purposes of this section:
    (1) Business information--commercial or financial records obtained 
by the Board that may be protected from disclosure under Exemption 4 of 
the FOIA.
    (2) Submitter--any person or entity from which the Board obtains 
business records, either directly or indirectly. The term includes but 
is not limited to corporations and state, local, tribal, and foreign 
governments.
    (c) Designation of business information. Submitters of business 
information shall designate any part of the record considered to be 
protected from disclosure under Exemption 4 of the FOIA by appropriately 
marking the material. This may be done either at the time the record is 
submitted or at a reasonable time thereafter. This designation lasts for 
10 years after submittal unless the submitter requests and provides 
justification for a longer period.
    (d) Notice to submitters. The Board shall provide a business 
submitter with prompt written notice of any FOIA request or appeal that 
seeks its business information under paragraph (e) of this section, 
except as provided in paragraph (h) of this section, to give the 
submitter an opportunity to object to that disclosure under paragraph 
(f) of this section. The notice shall either describe the records 
requested or include copies of the records.
    (e) Required notice. The Board shall give notice of a FOIA request 
seeking business information when:
    (1) The submitter has designated that the information is considered 
protected

[[Page 117]]

from disclosure under Exemption 4 of the FOIA; or
    (2) The Board has reason to believe that the information may be 
protected from disclosure under Exemption 4 of the FOIA.
    (f)(1) Objecting to disclosure. A submitter shall have 30 days to 
respond to the notice described in paragraph (d) of this section. If a 
submitter has an objection to disclosure, it is required to submit a 
detailed written statement including:
    (i) All grounds for withholding any of the information under any 
exemption of the FOIA, and
    (ii) In the case of Exemption 4, the reason why the information is a 
trade secret, commercial, or financial information that is privileged or 
confidential.
    (2) If a submitter fails to respond to the notice in paragraph (d) 
of this section within 30 days, the Board shall assume that the 
submitter has no objection to disclosure. The Board shall not consider 
information not received by the Board until after a disclosure decision 
has been made. Information provided by a submitter under this paragraph 
might itself be subject to disclosure under the FOIA.
    (g) Notice of intent to disclose. The Board shall consider a 
submitter's objections and specific grounds for nondisclosure in 
deciding whether to disclose the business records. Whenever the Board 
decides to disclose business records over the objection of a submitter, 
it shall give the submitter written notice, that will include:
    (1) A statement of the reason(s) the submitter's objections were not 
sustained;
    (2) A description of the business records to be disclosed; and
    (3) A specified disclosure date at a reasonable time subsequent to 
the notice.
    (h) Exceptions to notice requirements. The notice requirements in 
paragraphs (d) and (g) of this section shall not apply if:
    (1) The Board determines that the information should not be 
disclosed;
    (2) The information has been published legally or has been 
officially made available to the public;
    (3) Disclosure of the information is required by another statute or 
by a regulation issued in accordance with Executive Order 12600 (3 CFR, 
1987 Comp., p. 235); or
    (4) The objection made by the submitter under paragraph (f) of this 
section appears frivolous. In such a case, the Board shall promptly 
notify the submitter of its decision using the guidelines in paragraph 
(g) of this section.
    (i) Notice of FOIA lawsuit. When a requestor files a lawsuit seeking 
to compel the disclosure of business information, the Board shall 
promptly notify the submitter.
    (j) Corresponding notice to requestors. When the Board provides a 
submitter with either notice and an opportunity to object to disclosure 
under paragraph (d) of this section or with its intent to disclose 
requested information under paragraph (g) of this section, the Board 
also shall notify the requestor(s). When a submitter files a lawsuit 
seeking to prevent the disclosure of business information, the Board 
shall notify the requestor(s).



Sec. 201.14  Appeals.

    (a)(1) Appeals of adverse determinations. If you are dissatisfied 
with the Board's response to your request, you may appeal to the Board's 
Executive Director:
    (i) By mail to: Recovery Accountability and Transparency Board, 1717 
Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006;
    (ii) By e-mail to: [email protected]; or
    (iii) By fax to: 202-254-7970.
    (2) The appeal must be in writing and must be received within 30 
days of the date of the Board's response. The appeal letter, e-mail or 
fax may include as much or as little related information as you wish, as 
long as it clearly identifies the Board determination that you are 
appealing, including the assigned request number, if known. For prompt 
handling, please mark your appeal ``Freedom of Information Act Appeal.''
    (b) Responses to appeals. Requestors shall be notified in writing of 
the decision on the appeal. A decision affirming an adverse 
determination shall include a statement of the reason(s) for

[[Page 118]]

the affirmation, including any FOIA exemption(s) applied, and shall 
include the FOIA provisions for court review of the decision. If the 
adverse determination is reversed or modified on appeal, the request 
shall be reprocessed in accordance with that appeal decision.
    (c) [Reserved]
    (d) Denial of appeal. An adverse determination by the Executive 
Director shall be the final action of the Board.



Sec. 201.15  Preservation of records.

    The Board shall preserve all correspondence pertaining to the 
requests that it receives under this subpart, as well as copies of all 
requested records, until disposition or destruction is authorized by 
title 44 of the United States Code of the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit.



Sec. 201.16  Other rights and services.

    Nothing in this part shall be construed to entitle any person, as a 
right, to any service or to the disclosure of any record to which such 
person is entitled under the FOIA.



Sec. 201.17  How to track a FOIA request.

    (a) Tracking number. The Board will issue a tracking number to all 
FOIA requesters within 5 days of the receipt of the request (as 
described in Sec. 201.7(b)). The tracking number will be sent via 
electronic mail if the requester has provided an electronic mail 
address. Otherwise, the Board will mail the tracking number to the 
requester's physical address, as provided in the FOIA request.
    (b) Status of request. FOIA requesters may check the status of their 
FOIA request(s) by contacting the FOIA Officer at [email protected] or (202) 
254-7900.



PART 202_OFFICIAL SEAL--Table of Contents



Sec.
202.1 Description.
202.2 Authority to affix seal.
202.3 Prohibitions against misuse of seal.

    Authority: 5 U.S.C. 301, 18 U.S.C. 506.

    Source: 74 FR 38503, Aug. 4, 2009, unless otherwise noted.



Sec. 202.1  Description.

    (a) The official seal of the Recovery Accountability and 
Transparency Board (Board) is described as follows: The American Eagle, 
right facing, with left wing outstretched and pointing forward with 
right wing partially shown, is superimposed over a background suggesting 
the American Flag; upon a blue field, which fills background space above 
the Eagle's outstretched wing, are thirteen gold, five-pointed stars; 
the lower half of the background, filling the space beneath the Eagle's 
outstretched wing, is vertically striped in alternating colors of red 
and gold. The entire image is circumscribed by a gold boundary with 18 
equally spaced ``gear'' teeth; that image is further encircled by a ring 
bearing the gold-colored words ``RECOVERY ACCOUNTABILITY AND 
TRANSPARENCY'' centered at its top, and the word ``BOARD'' is centered 
at its bottom and separated from the top-centered words by two laurel 
branches to its left and right.
    (b) The Board also has developed an alternate, monochromatic version 
of the seal in which the above-described blue field and red-and-gold 
stripes are replaced by a white field and white-and-gold stripes. A 
reproduction of the official seal in black and white appears as follows:

[[Page 119]]

[GRAPHIC] [TIFF OMITTED] TR04AU09.000



Sec. 202.2  Authority to affix seal.

    (a) The following officials of the Board are authorized to affix the 
official seal (including reproductions) to appropriate documents, 
certifications, and other materials of the Board: The Chairman and all 
Members, the Executive Director, the General Counsel, and the Directors.
    (b) The officials named in paragraph (a) of this section may 
delegate this authority as appropriate.



Sec. 202.3  Prohibitions against misuse of seal.

    (a) Falsely making, forging, counterfeiting, mutilating, or altering 
the Board seal or reproduction, or knowingly using or possessing with 
fraudulent intent an altered Board seal or reproduction is punishable 
under 18 U.S.C. 506.
    (b) Any person using the Board seal or reproduction in a manner 
inconsistent with the provisions of this part is subject to the 
provisions of 18 U.S.C. 1017, which states penalties for the wrongful 
use of an official seal, and other provisions of law as applicable.

[[Page 121]]



                              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 123]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2012)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--500)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Circulars and Guidance 
                (200--299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300-- 
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)

[[Page 124]]

       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--99)
        II  Recovery Accountability and Transparency Board (Parts 
                200--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       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 (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      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 (Parts 4300--
                4399)

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     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
    LXXXII  Special Inspector General for Iraq Reconstruction 
                (Parts 9200--9299)

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     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--99)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and 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)
       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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)

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       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, 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)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and 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  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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)

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                           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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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)

[[Page 129]]

                    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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, 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)

[[Page 130]]

             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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599)

                     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  Office of Workers' Compensation Programs, 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 Service, 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)

[[Page 131]]

                      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 (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  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       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)

[[Page 132]]

         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--1699)
         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)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         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 (Parts 1200--1299)

[[Page 133]]

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)

[[Page 134]]

     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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense

[[Page 135]]

       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     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 Homeland Security (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 [Reserved]
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)

[[Page 136]]

        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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             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)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        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)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        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 137]]

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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 Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            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)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [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 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--599)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

[[Page 138]]

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--599)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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) 
                [Reserved]
         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)

[[Page 139]]

     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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  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)

[[Page 140]]

        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)
        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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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 [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (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  Pipeline and Hazardous Materials Safety 
                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 Homeland Security (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)

[[Page 141]]

       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  Research and Innovative Technology Administration, 
                Department of Transportation [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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 143]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2012)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  National Institute of Food and Agriculture      7, XXXIV
  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, L
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV, L
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII, L
  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
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

[[Page 144]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
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
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Bureau of Ocean Energy Management, Regulation,    30, II
     and Enforcement
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
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                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  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
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       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 Financial Protection Bureau              12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Office                                  37, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
   for the District of Columbia
[[Page 145]]

Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense Department                                2, XI; 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
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
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
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
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                             2, IX; 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                   2, XV; 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

[[Page 146]]

  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 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-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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 Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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

[[Page 147]]

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 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
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
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          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  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
  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
Homeland Security, Department of                  2, XXX; 6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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

[[Page 148]]

Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
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
Industry and Security, Bureau of                  15, VII
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Bureau of Ocean Energy Management, Regulation,  30, II
       and Enforcement
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
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                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  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 Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128

[[Page 149]]

Labor Department                                  5, XLII
  Employee Benefits Security Administration       29, XXV
  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
  Office of Workers' Compensation Programs        20, VII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of 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
  Copyright Royalty Board                         37, III
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 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   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
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 Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II
National Intelligence, Office of Director of      32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV

[[Page 150]]

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                       2, XXV; 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, IV
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Offices of Independent Counsel                    28, VI
Office of Workers' Compensation Programs          20, VII
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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
Recovery Accountability and Transparency Board    4, II
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII

[[Page 151]]

Rural Housing Service                             7, XVIII, XXXV, L
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII, L
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                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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
Special Inspector General for Iraq                5, LXXXVII
     Reconstruction
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
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                     2, XII; 5, L
  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; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  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 Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A

[[Page 152]]

  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                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the 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 153]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that were 
made by documents published in the Federal Register since January 1, 
2001, 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, 2001, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000,'' published in 
11 separate volumes.

                                  2001

                        No regulations published

                                  2002

4 CFR
                                                                   67 FR
                                                                    Page
Chapter I
21.0 (f) and (g) revised; (h) added................................79835
21.1 (c) introductory text and (1) revised.........................79835
21.3 (a) and (i) revised...........................................79835
21.4 (b) revised...................................................79835
21.5 Introductory text, (b)(2), (c) and (d) revised; (i) and (j) 
        added......................................................79835
21.7 (c) and (g) revised...........................................79836
21.8 (e) revised...................................................79836
21.10 (d)(3) removed; (d)(4) redesignated as (d)(3); (e) revised 
                                                                   79836
21.11 (b) revised..................................................79836
21.12 (b) revised..................................................79836

                                  2003

4 CFR
                                                                   68 FR
                                                                    Page
Chapter I
27.1 Amended.......................................................69297
27.3 Amended.......................................................69297
28.1 (a) and (b) revised; (c) amended..............................69297
28.2 (a) introductory text, (b)(1) and (3) revised.................69298
28.3 Revised.......................................................69298
28.4 (d) added.....................................................69298
28.8 (a) rev