[Title 22 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2021 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 22

Foreign Relations


________________________

Part 300 to End

                         Revised as of April 1, 2021

          Containing a codification of documents of general 
          applicability and future effect

          As of April 1, 2021
                    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.................................................      vi

  Title 22:
          Chapter III--Peace Corps                                   3
          Chapter IV--International Joint Commission, United 
          States and Canada                                         65
          Chapter V--United States Agency for Global Media          75
          Chapter VII--US International Development Finance 
          Corporation                                              207
          Chapter IX--Foreign Service Grievance Board              255
          Chapter X--Inter-American Foundation                     271
          Chapter XI--International Boundary and Water 
          Commission, United States and Mexico, United States 
          Section                                                  323
          Chapter XII--United States International Development 
          Cooperation Agency                                       361
          Chapter XIII--Millennium Challenge Corporation           381
          Chapter 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                   405
          Chapter XV--African Development Foundation               459
          Chapter XVI--Japan-United States Friendship 
          Commission                                               523
          Chapter XVII--United States Institute of Peace           533

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  Finding Aids:
      Table of CFR Titles and Chapters........................     545
      Alphabetical List of Agencies Appearing in the CFR......     565
      List of CFR Sections Affected...........................     575

[[Page v]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 22 CFR 301.1 refers 
                       to title 22, part 301, 
                       section 1.

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

[[Page vi]]



                               EXPLANATION

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

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, April 1, 2021), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vii]]

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

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not dropped in error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
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if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page viii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
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law numbers, Federal Register finding aids, and related information. 
Connect to NARA's website at www.archives.gov/federal-register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    April 1, 2021.







[[Page ix]]



                               THIS TITLE

    Title 22--Foreign Relations is composed of two volumes. The first 
volume, parts 1-299 contains Chapter I--Department of State regulations 
and Chapter II--Agency for International Development regulations. The 
second volume, part 300 to End is composed of Chapter III--Peace Corps; 
Chapter IV--International Joint Commission, United States and Canada; 
Chapter V--United States Agency for Global Media; Chapter VII--US 
International Development Finance Corporation; Chapter IX--Foreign 
Service Grievance Board; Chapter X--Inter-American Foundation; Chapter 
XI--International Boundary and Water Commission, United States and 
Mexico, United States Section; Chapter XII--United States International 
Development Cooperation Agency; Chapter XIII--Millennium Challenge 
Corporation; Chapter 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; 
Chapter XV--African Development Foundation; Chapter XVI--Japan-United 
States Friendship Commission; and Chapter XVII--United States Institute 
of Peace. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of April 1, 2021.

    For this volume, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                       TITLE 22--FOREIGN RELATIONS




                  (This book contains part 300 to end)

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

chapter iii--Peace Corps....................................         301

chapter iv--International Joint Commission, United States 
  and Canada................................................         401

chapter v--United States Agency for Global Media............         501

chapter vii--US International Development Finance 
  Corporation...............................................         705

chapter ix--Foreign Service Grievance Board.................         901

chapter x--Inter-American Foundation........................        1001

chapter xi--International Boundary and Water Commission, 
  United States and Mexico, United States Section...........        1100

chapter xii--United States International Development 
  Cooperation Agency........................................        1201

chapter xiii--Millennium Challenge Corporation..............        1301

chapter 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............................................        1411

chapter xv--African Development Foundation..................        1500

chapter xvi--Japan-United States Friendship Commission......        1600

chapter xvii--United States Institute of Peace..............        1701

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                        CHAPTER III--PEACE CORPS




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Part                                                                Page
300

[Reserved]

301             Public access to classified material........           5
303             Procedures for disclosure of information 
                    under the Freedom of Information Act....           5
304             Claims against Government under Federal Tort 
                    Claims Act..............................          17
305             Eligibility and standards for Peace Corps 
                    volunteer service.......................          21
306             Volunteer discrimination complaint procedure          27
308             Implementation of the Privacy Act of 1974...          27
309             Debt collection.............................          36
311             New restrictions on lobbying................          45
312             Governmentwide requirements for drug-free 
                    workplace (financial assistance)........          56
313             Guidance procedures.........................          61
314-399

[Reserved]

[[Page 5]]

                           PART 300 [RESERVED]



PART 301_PUBLIC ACCESS TO CLASSIFIED MATERIAL--Table of Contents



Sec.
301.1 Introduction.
301.2 Requests for mandatory declassification review.
301.3 Action on requests for declassification review.

    Authority: E.O. 12356, 43 FR 14874 dated April 2, 1982.

    Source: 49 FR 13692, Apr. 6, 1984, unless otherwise noted.



Sec.  301.1  Introduction.

    The following regulations implement Executive Order 12356 and 
provide guidance for members of the public desiring a review for 
declassification of a document of the Peace Corps.



Sec.  301.2  Requests for mandatory declassification review.

    (a) All information originally classified by the Peace Corps shall 
be subject to review for declassification.
    (b) Requests for review of such information for declassification 
shall be in writing, addressed to the Peace Corps Director of Security, 
Peace Corps, Washington, DC 20526, and reasonably describe the 
information sought with sufficient specificity to enable its location 
with a reasonable amount of effort. Only requests made by a United 
States citizen or a permanent resident alien, a Federal agency or a 
State or local government will be considered.
    (c) Requests relating to information, either derivatively classified 
by the Peace Corps or originally classified by another agency but in the 
possession of the Peace Corps, shall be forwarded, together with a copy 
of the record, to the originating agency. The transmittal may contain in 
Peace Corps recommendation for action.



Sec.  301.3  Action on requests for declassification review.

    (a) The Director of Security shall present each request for 
declassification to the Peace Corps Classification Review Committee, 
which shall consist of the Associate Director for International 
Operations, the Associate Director for Management and the General 
Counsel, or their designees, together with his or her recommendation for 
action.
    (b) Every effort will be made to complete action on each request 
within 60 days of receipt thereof.
    (c) Information shall be declassified or downgraded as soon as 
national security considerations permit. If the Classification Review 
Committee determines that the material for which review is requested no 
longer requires this protection, it shall be declassified and made 
available to the requester unless withholding is otherwise authorized by 
law.
    (d) If the Peace Corps Classification Review Committee determines 
that requested information must remain classified, the requester shall 
be given prompt notice of the decision and, if possible, a brief 
explanation of why the information cannot be declassified.
    (e) The Peace Corps may refuse to confirm or deny the existence or 
non-existence of requested information whenever the fact of its 
existence or non-existence is itself classified under E.O. 12356.
    (f) A requester may appeal a refusal to declassify information to 
the Director of the Peace Corps, or the Director's designee. Appeals 
shall be in writing, addressed to the Director of the Peace Corps, 
Washington, DC 20526, and shall briefly state the reasons why the 
requester believes that the Peace Corps Classification Review Committee 
decision is in error. Appeals must be submitted within 30 days after 
receipt of notice of the Classification Review Committee decision. The 
decision of the Peace Corps Director, or designee, will be based on the 
entire record, and will be rendered in writing within 60 days after 
receipt of an appeal. The decision of the Director or Director's 
designee is the final Peace Corps action on a request.



PART 303_PROCEDURES FOR DISCLOSURE OF INFORMATION UNDER THE FREEDOM OF 
INFORMATION ACT--Table of Contents



Sec.
303.1 Purpose.
303.2 Definitions.
303.3 Policy.

[[Page 6]]

303.4 Records published in the Federal Register.
303.5 Public reading room.
303.6 Procedures for use of public reading room.
303.7 Index of records.
303.8 Requests for records.
303.9 Exemptions for withholding records.
303.10 Responsibilities and authorities.
303.11 Denials.
303.12 Appeals.
303.13 Fees.
303.14 Procedures for responding to a subpoena.

    Authority: 5 U.S.C. 552; 22 U.S.C. 2501, et. seq.; E.O. 12137, 44 FR 
29023, 3 CFR, 1979 Comp., p. 389; E.O. 12600, 52 FR 23781, 3 CFR, 1987 
Comp., p. 235.

    Source: 68 FR 66008, Nov. 25, 2003, unless otherwise noted.



Sec.  303.1  Purpose.

    This part sets out the rules and procedures the Peace Corps follows 
in making records available to the public under the Freedom of 
Information Act (FOIA).



Sec.  303.2  Definitions.

    As used in this part--
    (a) Commercial use request means a request from or on behalf of one 
who seeks information for a use or purpose that furthers the commercial, 
trade, or profit interests of the requester or the person on whose 
behalf the request is made. In determining whether a requester has made 
a commercial use request, the Peace Corps will look to the use to which 
a requester will put the documents requested. When the Peace Corps has 
reasonable cause to doubt the requester's stated use of the records 
sought, or where the use is not clear from the request itself, it will 
seek additional clarification before assigning the request to a 
category.
    (b) Duplication means the process of making a copy of a record 
requested pursuant to this part. Such copies can take the form of paper 
copy, microform, audio-visual materials, or machine readable electronic 
documents, among others.
    (c) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of undergraduate or 
graduate higher education, or an institution of professional or 
vocational education which operates a program or programs of scholarly 
research.
    (d) Expedited processing means the process set forth in the FOIA 
that allows requesters to ask for expedited processing of their FOIA 
request if they can demonstrate a compelling need.
    (e) Fee waiver means the waiver or reduction of processing fees if a 
requester can demonstrate that certain statutory standards are satisfied 
including that the information is in the public interest and is not 
requested for a commercial interest.
    (f) FOIA Public Liaison means an agency official who is responsible 
for assisting in reducing delays, increasing transparency and 
understanding of the status of requests, and assisting in the resolution 
of disputes.
    (g) Non-commercial scientific institution means an institution that 
is not operated on a ``commercial'' basis and which is operated solely 
for the purpose of conducting scientific research, the results of which 
are not intended to promote any particular product or industry.
    (h) OIG records means those records as defined generally in this 
section which originated with or are in the possession and control of 
the Office of Inspector General (OIG) of the Peace Corps which have been 
compiled for law enforcement, audit, and investigative functions and/or 
any other purpose authorized under the IG Act of 1978, as amended.
    (i) Records means books, papers, maps, photographs, or other 
documentary materials, regardless of whether the format is physical or 
electronic, made or received by the Peace Corps in connection with the 
transaction of Peace Corps' business and preserved by the Peace Corps as 
evidence of the organization, functions, policies, decisions, 
procedures, operations, or other activities of the Peace Corps, or 
because of the informational value of data in them. The term does not 
include, inter alia, books, magazines, or other materials acquired 
solely for library purpose, or that are otherwise publicly available.
    (j) Representative of the news media means any person actively 
gathering news for an entity that is organized

[[Page 7]]

and operated to publish or broadcast news to the public. The term 
``news'' means information that is about current events or that would be 
of current interest to the public. Examples of news media entities 
include television or radio stations broadcasting to the public at large 
and publishers of periodicals (but only in those instances when they can 
qualify as disseminators of ``news'') who make their products available 
for purchase or subscription by the general public. These examples are 
not intended to be all-inclusive. Moreover, as traditional methods of 
news delivery evolve (e.g., electronic dissemination of newspapers 
through telecommunications services), such alternative media would be 
included in this category. In the case of ``freelance'' journalists, 
they will be regarded as working for a news organization if they can 
demonstrate a solid basis for expecting publication through that 
organization, even though not actually employed by it.
    (k) Requester category means one of the three categories that 
agencies place requesters in for the purpose of determining whether a 
requester will be charged fees for search, review and duplication, 
including commercial requesters; non-commercial scientific or 
educational institutions or news media requesters, and all other 
requesters.
    (l) Review means the process of examining a document located in 
response to a request to determine whether any portion of such document 
is exempt from disclosure. It also includes processing any such document 
for disclosure. Review does not include time spent resolving general 
legal or policy issues regarding the application of exemptions.
    (m) Search means the process of looking for and retrieving records 
that are responsive to a request for records. It includes page-by-page 
or line-by-line identification of material within documents and also 
includes reasonable efforts to locate and retrieve information from 
records maintained in electronic form or format. Searches may be 
conducted manually or by automated means and will be conducted in the 
most efficient and least expensive manner. If the Agency cannot identify 
the requested records after a 2 hour search, it can determine that the 
records were not adequately described and ask the requester to provide a 
more specific request.
    (n) Submitter means any person or entity providing potentially 
confidential commercial information to an agency, which information may 
be subject to a FOIA request. The term submitter includes, but is not 
limited to, individuals, corporations, state governments, and foreign 
governments.

[68 FR 66008, Nov. 25, 2003, as amended at 79 FR 19818, Apr. 10, 2014]



Sec.  303.3  Policy.

    The Peace Corps will make its records concerning its operations, 
activities, and business available to the public consistent with the 
requirements of the FOIA. As a matter of policy, the Peace Corps makes 
discretionary disclosures of records or information that may be exempt 
from disclosure under the FOIA whenever disclosure would not foreseeably 
harm an interest protected by a FOIA exemption, but this policy does not 
create any right enforceable in court.

[79 FR 19818, Apr. 10, 2014]



Sec.  303.4  Records published in the Federal Register.

    The Peace Corps publishes its notices and substantive regulations in 
the Federal Register. It also publishes information on its basic 
structure and operations necessary to inform the public how to deal 
effectively with the Peace Corps in the United States Government Manual, 
a special publication of the Federal Register. The Peace Corps will make 
reasonable efforts to currently update such information, which includes 
information on Peace Corps' location and functions, and how the public 
may obtain information or forms, or make submittals or requests. The 
Peace Corps' published regulations are at 22 CFR Chapter III.



Sec.  303.5  Public reading room.

    (a) The Peace Corps maintains a public reading room at its 
headquarters at 1111 20th Street NW., Washington DC 20526. This room is 
supervised and is open to the public during Peace Corps' regular 
business hours for inspecting

[[Page 8]]

and copying records described in paragraph (b) of this section.
    (b) Subject to the limitation stated in paragraph (c) of this 
section, the Peace Corps makes the following records available in the 
public reading room:
    (1) All final public opinions, including concurring and dissenting 
opinions, and orders issued in the adjudication of cases that involve 
the Peace Corps;
    (2) Statements of policy and interpretations adopted by the Peace 
Corps that are not published in the Federal Register;
    (3) Administrative staff manuals and instructions to the staff that 
affect the public;
    (4) Copies of records, regardless of form or format, released to any 
person in response to a public request for records which the Peace Corps 
determines are likely to become subject to subsequent requests for 
substantially the same records, and a general index of such records;
    (5) The index required by Sec.  303.7; and
    (6) Other records the Peace Corps has determined are of general 
interest to members of the public in understanding activities of the 
Peace Corps or in dealing with the Peace Corps in connection with those 
activities.
    (c) Certain records otherwise required by FOIA to be available in 
the public reading room may be exempt from mandatory disclosure pursuant 
to Sec.  552(b) of the FOIA. Such record will not be made available in 
the public reading room. Other records maintained in the public reading 
room may be edited by the deletion of identifying details concerning 
individuals to prevent a clearly unwarranted invasion of personal 
privacy. In such cases, the record shall have attached to it an 
explanation of the deletion. The extent of the deletion shall be 
indicated, unless doing so would harm an interest protected by the 
exemption under which the deletion is made. It technically feasible, the 
extent of the deletion shall be indicated at the place in the record 
where the deletion was made.
    (d) Electronic reading room. Records required by the FOIA to be 
maintained and made available in the public reading room created by the 
Peace Corps on or after November 1, 1996, are made available 
electronically on the Peace Corps Web site at http://www.peacecorps.gov.

[68 FR 66008, Nov. 25, 2003, as amended at 79 FR 19818, Apr. 10, 2014]



Sec.  303.6  Procedures for use of public reading room.

    Any member of the public may inspect or copy records described in 
Sec.  303.5(b) in the public reading room during regular business hours. 
Because it will sometimes be impossible to produce records or copies of 
records on short notice, a person who wishes to inspect or copy records 
shall arrange a time in advance, by telephone or letter request made to 
the Peace Corps FOIA Officer. Persons submitting a request by telephone 
for a record in the public reading room will be notified whether a 
written request would be advisable to aid in the identification and 
expeditious processing of the records sought. Written requests should 
identify the records sought in the manner described in Sec.  303.8(b) 
and should request a specific date for inspecting the records. The 
requester will be advised as promptly as possible if, for any reason, it 
may not be possible to make the records sought available on the date 
requested.

[79 FR 19818, Apr. 10, 2014]



Sec.  303.7  Index of records.

    The Peace Corps will maintain a current index identifying any matter 
within the scope of Sec.  303.4 or Sec.  303.5(b)(1) through (5). The 
index will be maintained and made available for public inspection and 
copying at the Peace Corps' headquarters in Washington, DC. The cost of 
a copy of the index will not exceed the standard charge for duplication 
set out in Sec.  303.13(e). The Peace Corps will also make the index 
available on its public Web site.



Sec.  303.8  Requests for records.

    (a) Except for records required by the FOIA to be published in the 
Federal Register or to be made available in the public reading room, the 
Peace Corps will make its records promptly available, upon request, to 
any person in accordance with this section, unless it is determined that 
such records

[[Page 9]]

should be withheld and are exempt from mandatory disclosure under the 
FOIA.
    (b) Requests. Requests for records under this section shall be made 
in writing via regular mail, email, facsimile, or online web portal and, 
as applicable, the envelope and the letter or other form of request 
should be clearly marked ``Freedom of Information Request.'' All 
requests shall be addressed to the FOIA Officer. Requests by letter 
shall use the address given in Sec.  303.5(a). Requests by email must be 
sent to the FOIA electronic mailbox, [email protected]. Regarding 
requests submitted via online web portal (accessible on the agency Web 
site, www.peacecorps.gov), requesters shall fill in all of the fields as 
required. Any request not marked and addressed as specified in this 
paragraph will be so marked by Peace Corps personnel as soon as the 
request is properly identified. The request will be forwarded 
immediately to the FOIA Officer. A request improperly addressed will not 
be deemed to have been received for purposes of the time period set out 
in paragraph (h) of this section until it has been received by the FOIA 
Officer. Upon receipt of an improperly addressed request, the FOIA 
Officer shall notify the requester of the date on which the time period 
began. Requests by letter shall be stamped ``received'' on the date 
received by the FOIA Office. Requests by email shall be ``received'' on 
the date the email arrived, if a business day, or on the next business 
day. Requests by online web portal will be entered automatically in the 
FOIA tracking system. Requests sent via mail or email will be entered 
manually in the FOIA tracking system. Requesters may utilize the online 
web portal for purpose of checking status of requests (open/closed) for 
requests from all sources.
    (c) A request must reasonably describe the records requested so that 
employees of the Peace Corps who are familiar with the subject area of 
the request are able, with a reasonable amount of effort, to determine 
which particular records are within the scope of the request. If it is 
determined that a request does not reasonably describe the records 
sought, the requester shall be so informed and provided an opportunity 
to confer with Peace Corps personnel in order to attempt to reformulate 
the request in a manner that will meet the needs of the requester and 
the requirements of this paragraph (c). If the Agency cannot identify 
the requested records after a 2 hour search, it may determine that the 
records were not adequately described and ask the requester to provide a 
more specific request.
    (d) To facilitate the location of records by the Peace Corps, a 
requester should try to provide the following kinds of information, if 
known;
    (1) The specific event or action to which the record refers;
    (2) The unit or program of the Peace Corps which may be responsible 
for or may have produced the record;
    (3) The date of the record or the date or period to which it refers 
or relates;
    (4) The type of record, such as an application, a particular form, a 
contract, or a report;
    (5) Personnel of the Peace Corps who may have prepared or have 
knowledge of the record; or
    (6) Citations to newspapers or publications which have referred to 
the record.
    (e) The Peace Corps is not required to create a record or to perform 
research to satisfy a request.
    (f) Any request for a waiver or reduction of fees should be included 
in the FOIA request, and any such request should indicate the grounds 
for a waiver or reduction of fees, as set out in Sec.  303.13(f). The 
Peace Corps shall respond to such request as promptly as possible.
    (g) Format. The Peace Corps will provide records in the form or 
format indicated by the requester to the extent such records are readily 
reproducible in the requested form or format.
    (h) Initial response/delays. (1) The FOIA Officer, upon request for 
any records made in accordance with this section, except in the case of 
a request for OIG records, shall assign a tracking number to each 
individual request and send an acknowledgement letter or email to each 
requester. The acknowledgement letter or email will inform the requester 
of the assigned tracking number. The FOIA Officer will make an

[[Page 10]]

initial determination of whether to comply with or deny such request and 
dispatch such determination to the requester within 20 business days 
after receipt of such request. Peace Corps will acknowledge all FOIA 
requests within 20 working days, except for unusual circumstances, in 
which case the time limit may be extended for up to 10 business days by 
written notice to the requester setting forth the reasons for such 
extension and the date on which a determination is expected to be 
dispatched.
    (2) If the FOIA Officer determines that a request or portion thereof 
is for OIG records, the FOIA Officer shall promptly refer the request or 
portion thereof to the OIG and send notice of such referral to the 
requester. In such case, the OIG FOIA Officer shall make an initial 
determination of whether to comply with or deny such request and 
dispatch such determination to the requester within 20 business days 
after receipt of such request, except for unusual circumstances, in 
which case the time limit may be extended for up to 10 business days by 
written notice to the requester setting forth the reasons for such 
extension and the date on which a determination is expected to be 
dispatched. If for any reason, a request for Agency information goes 
directly to the OIG rather than through the FOIA Officer, the OIG shall 
provide notice to the FOIA Officer of its receipt of the request. The 
FOIA Office and the OIG should normally consult with each other whenever 
they receive requests for the same or similar records.
    (3) Unusual circumstances. As used in this part, ``unusual 
circumstances'' are limited to the following, but only to the extent 
reasonably necessary for the proper processing of the particular 
request:
    (i) The need to search for and collect the requested records from 
components or locations that are separate from the office processing the 
request;
    (ii) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (iii) The need for consultation, which shall be conducted with all 
practicable speed, with another agency or organization having a 
substantial interest in the determination of the request or among two or 
more components of the Peace Corps having a substantial subject matter 
interest therin.
    (i) If a request is particularly broad or complex so that it cannot 
be completed within the time periods stated in paragraph (h) of this 
section, the Peace Corps may ask the requester to narrow the request or 
agree to an additional delay.
    (j) When no determination can be dispatched within the applicable 
time limit, the FOIA Officer or the OIG FOIA Officer shall inform the 
requester of the reason for the delay, the date on which a determination 
may be expected to be dispatched, and the requester's right to treat the 
delay as a denial and to appeal to the Associate Director for the Office 
of Management or the Inspector General, in accordance with Sec.  303.12. 
If no determination has been dispatched by the end of the 20-day period, 
or the last extension thereof, the requester may deem the request 
denied, and exercise a right of appeal in accordance with Sec.  303.12. 
The FOIA Officer or the OIG FOIA Officer may ask the requester to forego 
an appeal until a determination is made.
    (k) After it has been determined that a request will be granted, the 
responsible official will act with due diligence in providing a prompt 
response.
    (l) Expedited treatment. (1) Requests and appeals will be taken out 
of order and given expedited treatment whenever the requester 
demonstrates a compelling need. A compelling need means:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
Peace Corps or Federal government activity and the request is made by a 
person primarily engaged in disseminating information;
    (iii) The loss of substantial due process rights; or
    (iv) A matter of widespread and exceptional media interest in which 
there exist possible questions about the Peace Corps' or the Federal 
government's integrity which affect public confidence.

[[Page 11]]

    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time. For a prompt 
determination, a request for expedited processing must be properly 
addressed and marked and received by the Peace Corps pursuant to 
paragraph (b) of this section.
    (3) A requester who seeks expedited processing must submit a 
statement demonstrating a compelling need that is certified by the 
requester to be true and correct to the best of that person's knowledge 
and belief, explaining in detail the basis for requesting expedited 
processing.
    (4) Within ten business days of its receipt of a request for 
expedited processing, the FOIA Officer or the OIG FOIA Officer shall 
decide whether to grant the request and shall notify the requester of 
the decision. If a request for expedited treatment is granted, the 
request shall be given priority and shall be processed as soon as 
practicable. If a request for expedited processing is denied, any appeal 
of that decision shall be acted on expeditiously by the Peace Corps.
    (5) Appeals shall be made to the Associate Director for the Office 
of Management, who shall respond within 10 business days of receipt of 
the appeal.

[68 FR 66008, Nov. 25, 2003, as amended at 72 FR 27055, May 14, 2007; 79 
FR 19818, Apr. 10, 2014]



Sec.  303.9  Exemptions for withholding records.

    (a) The Peace Corps may withhold a requested record from public 
disclosure only if the record fits within one or more of the following 
FOIA exemptions:
    (1) Matter 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 properly classified pursuant to such 
Executive Order;
    (2) Matter which is related solely to the internal personnel rules 
and practices of the Peace Corps;
    (3) Matter which is specifically exempted from disclosure by statute 
(other than exemptions under FOIA at 5 U.S.C. 552(b)), provided that 
such statute requires that the matter be withheld from the public in 
such a manner as to leave no discretion on the issue, or establishes 
particular criteria for withholding, or refers to particular types of 
matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Inter-agency or intra-agency memoranda or letters which would 
not be available by law to a party other than an agency in litigation 
with the Peace Corps;
    (6) Personnel and medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes 
including enforcing the Peace Corps Act or any other law, but only to 
the extent that the production of such law enforcement records or 
information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person or a recipient of a right to a fair 
trial or an impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis; and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, information furnished by a confidential source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Contained in or related to examination, 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; 
or

[[Page 12]]

    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b) In the event that one or more of the above exemptions in 
paragraph (a) of this section apply, any reasonably segregable portion 
of a record shall be provided to the requester after deletion of the 
portions that are exempt. The Peace Corps shall indicate, if technically 
feasible, the precise amount of information deleted and the exemption 
under which the deletion is made at the place in the record where the 
deletion is made, and indicate the exemption under which a deletion is 
made on the released portion of the record, unless including that 
indication would harm an interest protected by the exemption. At the 
discretion of the Peace Corps officials authorized to grant or deny a 
request for records, it may be possible to provide a requester with:
    (1) A summary of information in the exempt portion of a record; or
    (2) An oral description of the exempt portion of a record.
    (c) No requester shall have a right to insist that any or all of the 
techniques in paragraph (b) of this section should be employed in order 
to satisfy a request.
    (d) Records that may be exempt from disclosure pursuant to paragraph 
(a) of this section may be made available at the discretion of the Peace 
Corps.
    (e) Proprietary information. (1) It is the policy of the Peace Corps 
to withhold proprietary information that falls within the protection of 
paragraph (a)(4) of this section. Proprietary information includes trade 
secrets, or commercial or financial information obtained from a person, 
the disclosure of which could reasonably be expected to cause 
substantial competitive harm.
    (2) It is also the policy of the Peace Corps to give submitters of 
arguably proprietary information an adequate opportunity to provide 
information to the Peace Corps to establish that the information 
constitutes protected proprietary information.
    (3) A person submitting arguably proprietary information to the 
Peace Corps will be notified in writing by the Peace Corps if there is a 
FOIA request for the information, unless:
    (i) The Peace Corps has already decided that the information should 
be withheld;
    (ii) The information has been lawfully published or has been 
officially made available to the public; or
    (iii) Disclosure of the information is required by law.
    (4) The notice shall afford the submitter at least ten business days 
in which to object to the disclosure of any requested information. 
Whenever the Peace Corps provides such notice to the submitter, it shall 
also notify the requester that notice and an opportunity to comment are 
being provided to the submitter.
    (5) A submitter's request for protection for information under 
paragraph (a)(4) of this section shall:
    (i) Specifically identify the exact material claimed to be 
confidential proprietary information;
    (ii) State whether the information identified has ever been released 
to a person who is not in a confidential relationship with the 
submitter;
    (iii) State the basis for the submitter's belief that the 
information is not commonly known or readily ascertainable by outside 
persons; and
    (iv) State how release of the information would cause harm to the 
submitter's competitive position.
    (6) The Peace Corps shall consider the submitter's objections and 
specific grounds for non-disclosure when deciding whether to disclose 
the information. If the Peace Corps decides to disclose the information, 
it shall, to the extent permitted by law, provide the submitter at least 
ten business days notice of its decision before the information is 
disclosed and a statement of its reasons for not sustaining the 
objection to disclosure. Whenever the Peace Corps notifies the submitter 
of its final decision, it shall also notify the requester.
    (7) Whenever a FOIA requester brings suit seeking to compel 
disclosure of proprietary information, the Peace Corps shall promptly 
notify the submitter.

[68 FR 66008, Nov. 25, 2003; 69 FR 68695, Dec. 9, 2003; 79 FR 19819, 
Apr. 10, 2014]

[[Page 13]]



Sec.  303.10  Responsibilities and authorities.

    (a) Legal counsel. The General Counsel (GC) shall furnish legal 
advice to Peace Corps officials and staff as to their obligations under 
this part and shall take such other actions as may be necessary or 
appropriate to assure a consistent and equitable application of the 
provisions of this part by and within the Peace Corps. The OIG Legal 
Counsel will coordinate with GC, as appropriate and necessary, when 
furnishing legal advice to the OIG FOIA Officer and Inspector General.
    (b) Authority to grant or deny requests. The FOIA Officer is 
authorized to grant or deny requests for records, except for OIG 
records, under this part. The OIG FOIA Officer is authorized to grant or 
deny requests for OIG records under this part. The FOIA Officer and the 
OIG FOIA Officer shall consult with each other when a request includes 
both Peace Corps and OIG records in order to ensure consistency and lack 
of duplication in processing the request.
    (c)(1) Records received from other agencies. When the Peace Corps 
receives a request for a record in its possession that it has received 
from another agency, it shall determine whether the other agency is 
better qualified to decide whether the record is exempt from disclosure 
and, if so, whether it should be disclosed as a matter of discretion. If 
the Peace Corps determines it is better qualified to process the record 
in response to the request, then it shall do so. If the Peace Corps 
determines it is not better qualified to process the request, it shall 
either:
    (i) Consult with the other agency before responding to the request; 
or
    (ii) Refer the responsibility for responding to the request for the 
record to the other agency (but only if the agency is subject to FOIA). 
Ordinarily, the agency that originated a record will be presumed to be 
best able to determine whether to disclose it.
    (2) Law enforcement and classified information. Notwithstanding 
paragraph (c)(1) of this section:
    (i) Whenever the Peace Corps receives a request for a record 
containing information that relates to an investigation of a possible 
violation of law that was originated by another agency, the Peace Corps 
will either consult with the other agency before responding or refer the 
responsibility for responding to the request to the other agency; and
    (ii) Whenever a request is made for a record containing information 
that has been classified by another agency or may be appropriate for 
classification under Executive Order 13525 or any other executive order 
concerning the classification of records, the Peace Corps shall refer 
the responsibility for responding to the request regarding that 
information to the agency that classified the information, should 
consider the information for classification, or has the primary interest 
in the information, as appropriate.
    (3) Notice of referral. Whenever the Peace Corps refers all or any 
part of the responsibility for responding to a request to another 
agency, it ordinarily shall notify the requester of the referral and 
inform the requester of the name of the agency to which the request has 
been referred and the part of the request that has been referred and 
provide the requester with a point of contact within the receiving 
agency to whom the requester can speak regarding the referral.
    (4) Effect of consultations and referrals on timing of response. All 
consultations and referrals will be handled according to the date the 
FOIA request was initially received by the Peace Corps.
    (5) Agreements with other agencies. The Peace Corps may make 
agreements with other agencies to eliminate the need for consultations 
or referrals for particular types of records.

[68 FR 66008, Nov. 25, 2003, as amended at 79 FR 19819, Apr. 10, 2014]



Sec.  303.11  Denials.

    (a) A denial of a written request for a record that complies with 
the requirements of Sec.  303.8 shall be in writing and shall include, 
as applicable:
    (1) A reference to the applicable exemption or exemptions in Sec.  
303.9(a) upon which the denial is based;
    (2) An explanation of how the exemption applies to the requested 
records;
    (3) A statement explaining why it is deemed unreasonable to provide 
segregable portions of the record after deleting the exempt portions;

[[Page 14]]

    (4) An estimate of the volume of requested matter denied unless 
providing such estimate would harm the interest protected by the 
exemption under which the denial is made, if other than the FOIA 
Officer;
    (5) The name and title of the person or persons responsible for 
denying the request, if other than the FOIA Officer; and
    (6) An explanation of the right to appeal the denial and the 
procedures for submitting an appeal, including the address of the 
official to whom appeals should be submitted.
    (b) A partial deletion of a record made available to a requester 
shall be deemed a denial of a record for purposes of paragraph (a) of 
this section. All denials shall be treated as final opinions under Sec.  
303.5(b).



Sec.  303.12  Appeals.

    (a) Any person whose written request has been denied is entitled to 
appeal the denial within 30 business days by writing to the Associate 
Director of the Office of Management or, in the case of a denial of a 
request for OIG Records, the Inspector General, at the address given in 
303.5(a). An appeal need not be in any particular form, but should 
adequately identify the denial, if possible, by describing the requested 
record, identifying the official who issued the denial, and providing 
the date on which the denial was issued. If the appeal is sent via mail, 
the envelope and the letter should be clearly marked ``Freedom of 
Information Appeal'' and the appeal shall be addressed to the Associate 
Director, Office of Management. Appeals by letter shall use the address 
given in Sec.  303.5(a). Appeals are accepted via email. Appeals by 
email must be sent to the FOIA electronic mailbox, [email protected]. 
In appeals submitted via online web portal (accessible on the agency Web 
site, www.peacecorps.gov), requesters shall fill in all of the fields as 
required. Appeals by online web portal will be entered automatically in 
the FOIA tracking system. Persons submitting an appeal may utilize the 
online web portal for purpose of checking status of requests (open/
closed) for requests from all sources.
    (b) A response to an appeal will advise the requester that the 2007 
FOIA amendments created the Office of Government Information Services 
(OGIS) to offer mediation services to resolve disputes between FOIA 
requesters and Federal agencies as a non-exclusive alternative to 
litigation. A requester may contact OGIS in any of the following ways:

Office of Government Information Services, National Archives and Records 
    Administration, 8601 Adelphi Road--OGIS, College Park, MD 20740, 
    ogis.archives.gov, Email: [email protected], Telephone: 202-741-5770, 
    Facsimile: 202-741-5769, Toll-free: 1-877-684-6448.
    (c) The decision of the Associate Director for the Office of 
Management or the Inspector General on an appeal shall be in writing 
and, in the event the denial is in whole or in part upheld, shall 
contain an explanation responsive to the arguments advanced by the 
requester, the matters described in Sec.  303.11(a)(1) through (4), and 
the provisions for judicial review of such decision under section 
552(a)(4) of the FOIA. The decision shall be dispatched to the requester 
within 20 business days after receipt of the appeal, unless an 
additional period is justified pursuant to Sec.  303.8(i) and such 
period taken together with any earlier extension does not exceed 10 
business days. The decision by the Associate Director for the Office of 
Management or the Inspector General shall constitute the final action of 
the Peace Corps. All such decisions shall be treated as final opinions 
under Sec.  303.5(b).

[68 FR 66008, Nov. 25, 2003, as amended at 79 FR 19819, Apr. 10, 2014]



Sec.  303.13  Fees.

    (a) For information routinely provided by the Peace Corps to the 
public in the normal course of doing business, such as informational or 
recruiting brochures, no fees will be charged.
    (b) For each commercial use request, fees will be limited to 
reasonable standard charges for document search, review, and 
duplication.
    (c) For each request for records sought by a representative of the 
news media or by an educational or non-commercial scientific 
institution, fees

[[Page 15]]

shall be limited to reasonable standard charges for document duplication 
after the first 100 pages.
    (d) For all other requests, fees shall be limited to reasonable 
standard charges for search time after the first 2 hours and duplication 
after the first 100 pages.
    (e) The schedule of reasonable standard charges for services 
regarding the production or disclosure of the Peace Corps records is as 
follows:
    (1) Manual search and review of records: Salary rate of employee[s] 
performing the search and review plus 16%. Charges for search and review 
time less than a full hour will be billed by quarter-hour segments;
    (2) Computer time: Actual costs as incurred;
    (3) Duplication by paper copy: 15 cents per page;
    (4) Duplication by other methods: Actual costs as incurred;
    (5) Certification of true copies: $1.00 each;
    (6) Packing and mailing records: Actual costs as incurred; and
    (7) Special delivery or express mail: Actual charges as incurred.
    (f) Fee waivers: Fees will be waived or reduced below the fees 
established under paragraph (e) of this section if disclosure of the 
information is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the Peace Corps or Federal government and is not primarily in the 
commercial interest of the requester.
    (1) In order to determine whether the disclosure of the information 
is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the Federal government, the Peace Corps shall consider the following 
four criteria:
    (i) The subject of the request: Whether the subject of the requested 
records concerns the operations or activities of the Peace Corps or 
Federal government;
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is ``likely to contribute'' to an understanding 
of Peace Corps or Federal government operations or activities;
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure: Whether disclosure of 
the requested information will contribute to ``public understanding;'' 
and
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of Peace Corps or Federal government operations or 
activities.
    (2) In order to determine whether disclosure of the information is 
not primarily in the commercial interest of the requester, the Peace 
Corps shall consider the following two factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure; and if so,
    (ii) The primary interest in disclosure: Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is ``primarily in the commercial interest of the requester.''
    (3) These fee waiver/reduction provisions will be subject to appeal 
in the same manner as appeals from denial under Sec.  303.12.
    (g) No fee will be charged under this section unless the cost of 
routine collection and processing of the fee payment is likely to exceed 
the average cost of processing a payment.
    (h) Requesters must agree to pay all fees charged for services 
associated with their requests. The Peace Corps will assume that 
requesters agree to pay all charges for services associated with their 
requests up to $25 unless otherwise indicated by the requester.
    (i) No requester will be required to make an advance payment of any 
fee unless:
    (1) The requester has previously failed to pay a required fee to 
another federal agency or to Peace Corps within 30 days of the date of 
billing, in which case an advance deposit of the full amount of the 
anticipated fee together with the fee then due plus interest accrued may 
be required. (The request will not be deemed to have been

[[Page 16]]

received by the Peace Corps until such payment is made.); or
    (2) The Peace Corps determines that an estimated fee will exceed 
$250, in which case the requester shall be notified of the amount of the 
anticipated fee or such portion thereof as can readily be estimated. 
Such notification shall be transmitted as soon as possible, but in any 
event within 5 business days of receipt of the request by the Peace 
Corps. The notification shall offer the requester the opportunity to 
confer with appropriate representatives of the Peace Corps for the 
purpose of reformulating the request so as to meet the needs of the 
requester at a reduced cost. The request will not be deemed to have been 
received by the Peace Corps for purposes of the initial 20-day response 
period until the requester makes a deposit on the fee in an amount 
determined by the Peace Corps.
    (j) Interest may be charged to those requesters who fail to pay the 
fees charged. Interest will be assessed on the amount billed, starting 
on the 31st day following the day on which the billing was sent. The 
rate charged will be as prescribed in 31 U.S.C. 3717.
    (k) The Agency is not required to process a request for a requester 
who has not paid FOIA fees owed to another Federal agency.
    (l) If the Peace Corps reasonably believes that a requester or group 
of requesters is attempting to break a request into a series of requests 
for the purpose of evading the assessment of fees, the Peace Corps shall 
aggregate such requests and charge accordingly. Likewise, the Peace 
Corps will aggregate multiple requests for documents received from the 
same requester within 45 business days.
    (m) The Peace Corps reserves the right to limit the number of copies 
of any document that will be provided to any one requester or to require 
that special arrangements for duplication be made in the case of bound 
volumes or other records representing unusual problems of handling or 
reproduction.

[68 FR 66008, Nov. 25, 2003, as amended at 72 FR 27056, May 14, 2007; 79 
FR 19820, Apr. 10, 2014]



Sec.  303.14  Procedures for responding to a subpoena.

    (a) Purpose and scope. (1) This part sets forth the procedures to be 
followed in proceedings in which the Peace Corps is not a party, 
whenever a subpoena, order or other demand (collectively referred to as 
a ``demand'') of a court or other authority is issued for:
    (i) The production or disclosure of any material contained in the 
files of the Agency;
    (ii) The production or disclosure of any information relating to 
material contained in the files of the Agency;
    (iii) The production or disclosure of any information or material 
acquired by any person while such person was an employee of the Agency 
as a part of the performance of his official duties or because of his 
official status, or
    (iv) The production of an employee of the Agency for the deposition 
or an appearance as a witness in a legal action or proceeding.
    (2) For purposes of this part, the term ``employee of the Agency'' 
includes all officers and employees of the Agency appointed by, or 
subject to the supervision, jurisdiction or control of, the director of 
the Agency, including personal services contractors. Also for purposes 
of this part, records of the Agency do not include records of the Office 
of Inspector General.
    (3) This part is intended to provide instructions regarding the 
internal operations of the Agency, and is not intended, and does not and 
may not be relied upon, to create any right or benefit, substantive or 
procedural, enforceable at law by a party against the Agency.
    (4) This part applies to:
    (i) State and local court, administrative and legislative 
proceedings; and
    (ii) Federal court and administrative proceedings.
    (5) This part does not apply to:
    (i) Congressional requests or subpoenas for testimony or documents;
    (ii) Employees or former employees making appearances solely in 
their private capacity in legal or administrative proceedings that do 
not relate to the Agency (such as cases arising out of traffic accidents 
or domestic relations). Any question regarding whether the appearance 
relates solely to the

[[Page 17]]

employee's or former employee's private capacity should be referred to 
the Office of the General Counsel.
    (6) Nothing in this part otherwise permits disclosure of information 
by the Agency except as is provided by statute or other applicable law.
    (b) Procedure in the event of a demand for production or disclosure. 
(1) No employee or former employee of the Agency shall, in response to a 
demand of a court or other authority set forth in Sec.  303.14(a) 
produce any material, disclose any information or appear in any 
proceeding, described in Sec.  303.14(a) without the approval of the 
General Counsel or designee.
    (2) Whenever an employee or former employee of the Peace Corps 
receives a demand for the production of material or the disclosure of 
information described in Sec.  303.14(a) he shall immediately notify and 
provide a copy of the demand to the General Counsel or designee. The 
General Counsel, or designee, shall be furnished by the party causing 
the demand to be issued or served a written summary of the information 
sought, its relevance to the proceeding in connection with which it was 
served and why the information sought is unavailable by any other means 
or from any other sources.
    (3) The General Counsel, or designee, in consultation with 
appropriate Agency officials, including the Agency's FOIA Officer, or 
designee, and in light of the considerations listed in Sec.  303.14(d), 
will determine whether the person on whom the demand was served should 
respond to the demand.
    (4) To the extent he deems it necessary or appropriate, the General 
Counsel or designee, may also require from the party causing such demand 
to be issued or served a plan of all reasonably foreseeable demands, 
including but not limited to names of all employees and former employees 
from whom discovery will be sought, areas of inquiry, length of time of 
proceedings requiring oral testimony and identification of documents to 
be used or whose production is sought.
    (c) Considerations in determining whether production or disclosure 
should be made pursuant to a demand. (1) In deciding whether to make 
disclosures pursuant to a demand, the General Counsel or designee, may 
consider, among things:
    (i) Whether such disclosure is appropriate under the rules of 
procedure governing the case or matter in which the demand arose; and
    (ii) Whether disclosure is appropriate under the relevant 
substantive law concerning privilege.
    (2) Among the demands in response to which disclosure will not be 
made are those demands with respect to which any of the following 
factors exist:
    (i) Disclosure would violate a statute or a rule of procedure;
    (ii) Disclosure would violate the privacy rights of an individual;
    (iii) Disclosure would violate a specific regulation;
    (iv) Disclosure would reveal classified information, unless 
appropriately declassified by the originating agency;
    (v) Disclosure would reveal trade secrets or proprietary information 
without the owner's consent;
    (vi) Disclosure would otherwise adversely affect the interests of 
the United States or the Peace Corps; or
    (vii) Disclosure would impair an ongoing Inspector General or 
Department of Justice investigation.

[68 FR 66008, Nov. 25, 2003, as amended at 79 FR 19820, Apr. 10, 2014]



PART 304_CLAIMS AGAINST GOVERNMENT UNDER FEDERAL TORT CLAIMS ACT-
-Table of Contents



                           General Provisions

Sec.
304.1 Scope; definitions.

                               Procedures

304.2 Administrative claim; when presented; appropriate Peace Corps 
          Office.
304.3 Administrative claim; who may file.
304.4 Administrative claim; evidence and information to be submitted.
304.5 Investigations.
304.6 Claims investigation.
304.7 Authority to adjust, determine, compromise, and settle claims.
304.8 Limitations on authority.
304.9 Referral to the Department of Justice.
304.10 Review of claim.
304.11 Final denial of claim.
304.12 Action on approved claim.

    Authority: 28 U.S.C. 2672; 22 U.S.C. 2503(b); E.O. 12137, as 
amended.

[[Page 18]]


    Source: 34 FR 5840, Mar. 28, 1969, unless otherwise noted.

                           General Provisions



Sec.  304.1  Scope; definitions.

    (a) This subpart applies to claims asserted under the Federal Tort 
Claims Act, as amended, accruing on or after January 18, 1967, for money 
damages against the United States for injury to or loss of property or 
personal injury or death caused by the negligent or wrongful act or 
omission of an officer or employee of the Peace Corps, a person serving 
the Peace Corps under invitational travel orders, or a Peace Corps 
Volunteer or trainee while acting within the scope of his office or 
employment.
    (b) This subpart is not applicable to claims arising in a foreign 
country; it is applicable to claims arising in Puerto Rico and the 
Virgin Islands.
    (c) This subpart is issued subject to and consistent with applicable 
regulations on administrative claims under the Federal Tort Claims Act 
issued by the Attorney General (28 CFR part 14).
    (d) For the purposes of this subpart, the term ``General Counsel'' 
means the General Counsel of the Peace Corps or his designee.

[34 FR 5840, Mar. 28, 1969, as amended at 72 FR 4205, Jan. 30, 2007]

                               Procedures



Sec.  304.2  Administrative claim; when presented; appropriate Peace Corps 
Office.

    (a) For purposes of this subpart, a claim shall be deemed to have 
been presented when the Peace Corps receives, at a place designated in 
paragraph (b) of this section, an executed ``Claim for Damages or 
Injury,'' Standard Form 95, or other written notification of an 
incident, accompanied by a claim for money damages in a sum certain for 
injury to or loss of property, for personal injury, or for death alleged 
to have occurred by reason of the incident. A claim which should have 
been presented to the Peace Crops, but which was mistakenly addressed to 
or filed with another Federal agency, is deemed to have been presented 
to the Peace Corps as of the date that the claim is received by the 
Peace Corps. If a claim is mistakenly addressed to or filed with the 
Peace Corps, the Peace Corps shall forthwith transfer it to the 
appropriate Federal agency, if ascertainable, or return it to the 
claimant.
    (b) A claimant shall mail or deliver his claim to the General 
Counsel, Peace Corps, 1111 20th Street, NW., Washington, DC 20526.

[34 FR 5840, Mar. 28, 1969, as amended at 72 FR 4206, Jan. 30, 2007]



Sec.  304.3  Administrative claim; who may file.

    (a) A claim for injury to or loss of property may be presented by 
the owner of the property, his duly authorized agent, or his legal 
representative.
    (b) A claim for personal injury may be presented by the injured 
person, his duly authorized agent, or his legal representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate, or by any other person legally 
entitled to assert such a claim in accordance with applicable State law.
    (d) A claim for loss wholly compensated by an insurer with the 
rights of a subrogee may be presented by the insurer. Claim for loss 
partially compensated by an insurer with the rights of a subrogee may be 
presented by the insurer or the insured individually, as their 
respective interests appear, or jointly. Whenever an insurer presents a 
claim asserting the rights of a subrogee, he shall present with his 
claim appropriate evidence that he has the rights of a subrogee.
    (e) A claim presented by an agent or legal representative shall be 
presented in the name of the claimant, be signed by the agent or legal 
representative, show the title or legal capacity of the person signing, 
and be accompanied by evidence of his authority to present a claim on 
behalf of the claimant.



Sec.  304.4  Administrative claim; evidence and information to be submitted.

    (a) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by his attending physician or dentist setting 
forth the

[[Page 19]]

nature and extent of the injury, nature and extent of treatment, any 
degree of temporary or permanent disability, the prognosis, period of 
hospitalization, and any diminished earning capacity. In addition, the 
claimant may be required to submit to a physical or mental examination 
by a physician employed or designated by the Peace Corps or another 
Federal agency. A copy of the report of the examining physician shall be 
made available to the claimant upon the claimant's written request 
provided that he has, upon request, furnished the report referred to in 
the first sentence of this paragraph and has made or agrees to make 
available to the Peace Corps any other physician's report previously or 
thereafter made of the physical or mental condition which is the subject 
matter of his claim.
    (2) Itemized bills for medical, dental, and hospital expenses 
incurred, or itemized receipts of payment for such expenses.
    (3) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for such treatment.
    (4) If a claim is made for loss of time from employment, a written 
statement from his employer showing actual time lost from employment, 
whether he is a full-or part-time employee, and wages or salary actually 
lost;
    (5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (6) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (b) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at the time of death, 
including his monthly or yearly salary or earnings (if any), and the 
duration of his last employment or occupation.
    (3) Full names, addresses, birth dates, kinship, and marital status 
of decedent's survivors, including identification of those survivors who 
were dependent for support upon decedent at the time of his death.
    (4) Degree of support afforded by decedent to each survivor 
dependent upon him for support at the time of his death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
for such expenses.
    (7) If damages for pain and suffering prior to death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and 
decedent's physical condition in the interval between injury and death.
    (8) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the death or the 
damages claimed.
    (c) Property damage. In support of a claim for injury to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information.
    (1) Proof of ownership.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) Two or more itemized written estimates of the cost of such 
repairs and any itemized receipt of payment for necessary repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value where repair is not economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec.  304.5  Investigations.

    The Peace Corps may investigate, or the General Counsel may request 
any other Federal agency to investigate, a claim filed under this 
subpart.



Sec.  304.6  Claims investigation.

    (a) When a claim has been filed with the Peace Corps, the General 
Counsel

[[Page 20]]

will send a copy of the claim to the head of the office concerned and 
ask him to designate one employee of that office who shall act as, and 
who shall be referred to herein as, the Claims Investigating Officer for 
that particular claim. The Claims Investigating Officer shall, with the 
advice of the General Counsel, where necessary:
    (1) Investigate as completely as is practicable the nature and 
circumstances of the occurrence causing the loss or damage of the 
claimant's property.
    (2) Ascertain the extent of loss or damage to the claimant's 
property.
    (3) Assemble the necessary forms with required data contained 
therein.
    (4) Prepare a brief statement setting forth the facts relative to 
the claim (in the case of motor vehicle accidents, facts should be 
recorded on Standard Form 91-A), a statement whether the claim satisfies 
the requirements of this subpart, and a recommendation as to the amount 
to be paid in settlement of the claim.
    (5) The head of the office concerned will be responsible for 
assuring that all necessary forms, statements, and all supporting papers 
have been procured for the file and will transmit the entire file to the 
General Counsel.



Sec.  304.7  Authority to adjust, determine, compromise, and settle claims.

    The authority to consider, ascertain, adjust, determine, compromise 
and settle claims of less than $5,000 under 28 U.S.C. 2672, and this 
subpart, rests with the Chief Financial Officer, as the designee of the 
head of the agency. For claims under 28 U.S.C. 2672 and this subpart, 
subject to Sec.  304.8, the Director of the Peace Corps retains 
authority to consider, ascertain, adjust, determine, compromise and 
settle claims of $5,000 or more.

[72 FR 4206, Jan. 30, 2007]



Sec.  304.8  Limitations on authority.

    (a) An award, compromise, or settlement of a claim under section 
2672 of title 28, United States Code, and this subpart in excess of 
$25,000 may be effected only with the prior written approval of the 
Attorney General or his designee. For the purpose of this paragraph, a 
principal claim and any derivative or subrogated claim shall be treated 
as a single claim.
    (b) An administrative claim may be adjusted, determined, 
compromised, or settled only after consultation with the Department of 
Justice when, in the opinion of the General Counsel:
    (1) A new precedent or a new point of law is involved; or
    (2) A question of policy is or may be involved; or
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party, and the Peace Corps is unable to adjust 
the third party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) An administrative claim may be adjusted, determined, 
compromised, or settled only after consultation with the Department of 
Justice when the Peace Corps is informed or is otherwise aware that the 
United States or an officer, employee, agent, or cost-type contractor of 
the United States is involved in litigation based on a claim arising out 
of the same incident or transaction.



Sec.  304.9  Referral to the Department of Justice.

    When Department of Justice approval or consultation is required 
under Sec.  304.8, the referral or request shall be transmitted to the 
Department of Justice by the General Counsel.

[72 FR 4206, Jan. 30, 2007]



Sec.  304.10  Review of claim.

    (a) Upon receipt of the claim file from the head of the office 
concerned, the General Counsel will ascertain that all supporting papers 
are contained in the file.
    (b) After legal review and recommendation by the General Counsel, 
the Director of the Peace Corps will make a written determination on the 
claim, unless the claim is worth less

[[Page 21]]

than $5,000, in which case the Chief Financial Officer will make the 
written determination.

[34 FR 5840, Mar. 28, 1969, as amended at 73 FR 21528, Apr. 22, 2008; 73 
FR 49943, Aug. 25, 2008]



Sec.  304.11  Final denial of claim.

    The General Counsel will send notification of the final denial of an 
administrative claim to the claimant, his attorney, or legal 
representative by certified or registered mail. The notification of 
final denial may include a statement of the reasons for the denial and 
shall include a statement that, if the claimant is dissatisfied with the 
Peace Corps action, he may file suit in an appropriate U.S. District 
Court not later than 6 months after the date of mailing of the 
notification.



Sec.  304.12  Action on approved claim.

    (a) Payment of a claim approved under this subpart is contingent on 
claimant's execution of (1) a ``Claim for Damage or Injury,'' Standard 
From 95; and (2) a ``Voucher for Payment,'' Standard Form 1145, as 
appropriate. When a claimant is represented by an attorney, the voucher 
for payment shall designate the claimant and his attorney as copayees, 
and the check shall be delivered to the attorney, whose address shall 
appear on the voucher.
    (b) Acceptance by the claimant, his agent, or legal representative 
of an award, compromise, or settlement made under section 2672 or 2677 
of title 28, United States Code, is final and conclusive on the 
claimant, his agent or legal representative, and any other person on 
whose behalf or for whose benefit the claim has been presented, and 
constitutes a complete release of any claim against the United States 
and against any officer or employee of the Government whose act or 
omission gave rise to the claim, by reason of the same subject matter.



PART 305_ELIGIBILITY AND STANDARDS FOR PEACE CORPS VOLUNTEER SERVICE-
-Table of Contents



Sec.
305.1 Purpose and general guidelines.
305.2 Eligibility.
305.3 Selection standards.
305.4 Medical status eligibility standards.
305.5 Legal status eligibility standards.
305.6 Applicants with an intelligence background.
305.7 Special circumstances.
305.8 Background investigation.

    Authority: 22 U.S.C. 2503, 2504 2521; 29 U.S.C. 794; E.O. 12137, 44 
FR 29023, 3 CFR, 1979 Comp., p. 389; E.O. 13160, 65 FR 39775, 3 CFR, 
2000 Comp., p. 1461.

    Source: 82 FR 1188, Jan. 5, 2017, unless otherwise noted.



Sec.  305.1  Purpose and general guidelines.

    This part states the requirements for eligibility for Peace Corps 
Volunteer service and the factors considered in the assessment and 
selection of eligible applicants for Peace Corps Volunteer service.
    (a) Definitions. For purposes of this part:
    (1) Applicant means an individual for enrollment as a Volunteer, who 
has completed and submitted the Peace Corps Volunteer application form.
    (2) Trainee means an individual for enrollment as a Volunteer during 
any period of training occurring prior to such enrollment.
    (3) Volunteer means an individual who has taken the prescribed oath 
and enrolled for service in the Peace Corps.
    (4) Enrollment means the act by which an individual becomes a 
Volunteer upon successful completion of training and taking the 
prescribed oath of office pursuant to Section 5 of the Peace Corps Act, 
22 U.S.C. 2504.
    (5) Dependent means an individual for whom an applicant or Volunteer 
has a legal or familial obligation to provide financial support.
    (6) Family member means any individual related by blood or affinity 
whose close association with the applicant or Volunteer is the 
equivalent of a family relationship.
    (b) Selection. Invitations to serve in the Peace Corps are the 
result of a highly competitive application process. Many more 
individuals apply for Peace Corps Volunteer service than can be 
accepted. Because the Peace Corps cannot accept all eligible and 
qualified applicants who wish to serve, it evaluates applicants to 
select the best qualified among eligible applicants. The Peace

[[Page 22]]

Corps determines Applicants' eligibility, and assesses their relative 
skills, qualifications, and personal attributes, such as motivation, 
aptitude, fitness for service, emotional maturity, adaptability, 
productive competence, and ability to serve effectively as a Volunteer 
in a foreign country and culture.
    (c) Authority. Under section 5(a) of the Peace Corps Act, 22 U.S.C. 
2504(a), the President may enroll in the Peace Corps for service abroad 
qualified citizens and nationals of the United States. The terms and 
conditions of the enrollment of Volunteers are exclusively those set 
forth in the Peace Corps Act and those consistent therewith which the 
President may prescribe. The President has delegated his authority under 
section 5(a) of the Peace Corps Act to the Director of the Peace Corps 
pursuant to Executive Order 12137 (May 16, 1979), as amended.
    (d) Non-discrimination. The Peace Corps does not discriminate 
against any person on account of race, color, religion, sex (including 
but not limited to gender identity and gender expression), national 
origin, age (40 and over), disability, sexual orientation, gender 
identity, gender expression, pregnancy, marital status, parental status, 
political affiliation, union membership, genetic information, or history 
of participation in the EEO process, any grievance procedure or any 
authorized complaint procedure. Anyone who feels he or she has been 
discriminated against should contact the Office of Civil Rights and 
Diversity, 202.692.2139, [email protected], Peace Corps, 1111 20th 
Street NW., Washington, DC 20526.
    (e) Failure to disclose requested information. In order for the 
Peace Corps to be able to make appropriate selection and placement 
decisions, it is critical that Applicants provide complete and accurate 
information throughout the application process, including information 
provided for a mandatory background investigation. The Peace Corps may 
disqualify an Applicant or separate a Volunteer or Trainee from Peace 
Corps service at any time if the Peace Corps determines that the 
Applicant, Volunteer, or Trainee provided materially false, misleading, 
inaccurate or incomplete information during the Peace Corps application 
process.



Sec.  305.2  Eligibility.

    In order to be eligible for enrollment as a Volunteer, Applicants 
must meet mandatory citizenship and age requirements.
    (a) Citizenship. The Applicant must be a citizen or national of the 
United States prior to entering on duty as a Trainee.
    (b) Age. The Applicant must be at least 18 years old at the time of 
entry on duty as a Trainee.



Sec.  305.3  Selection standards.

    (a) General. To qualify for selection for overseas service as a 
Volunteer, an Applicant must demonstrate that he or she is suitable, 
possessing the requisite personal and professional attributes required 
for Peace Corps service generally, and for the particular Volunteer 
assignment for which he or she is considered. The Peace Corps assesses 
each Applicant's personal, professional, educational, and legal 
qualifications in order to select those Applicants most likely to be 
successful in a Peace Corps assignment, serving under conditions of 
hardship if necessary to achieve the goals of the Peace Corps. Meeting 
these qualifications does not in and of itself entitle any individual to 
serve in the Peace Corps. The Peace Corps endeavors to select the best 
qualified individuals from among all eligible Applicants.
    (b) Personal attributes. Applicants must adequately demonstrate the 
following personal attributes to Peace Corps:
    (1) Motivation. A sincere desire to carry out the goals of Peace 
Corps service, and a commitment to serve a full term as a Volunteer.
    (2) Productive competence. The intelligence and professional 
experience or educational background to meet the needs of the 
individual's assignment.
    (3) Emotional maturity and adaptability. The maturity, flexibility, 
cultural sensitivity, and self-sufficiency to adapt successfully to life 
in another culture, and to interact and communicate with other people 
regardless of cultural, social, and economic differences.

[[Page 23]]

    (4) Skills. In addition to any educational, professional or other 
qualifications and prerequisites that an individual must possess in 
order to be selected for a given assignment, a Trainee must demonstrate 
competence in the following areas by the end of pre-service training:
    (i) Language. The ability to communicate effectively in the 
appropriate language or languages of the country of service with the 
fluency required to meet the needs of the overseas assignment.
    (ii) Technical competence. Proficiency in the technical skills 
needed to carry out the Trainee's assignment as a Volunteer.
    (iii) Knowledge. Adequate knowledge of the culture and history of 
the country of assignment to ensure a successful adjustment to, and 
acceptance by, the host country society, as well as an appropriate 
understanding of the history and government of the United States which 
qualifies the individual to represent the United States abroad.
    (c) Failure to meet standards. Failure to meet initial selection 
standards, failure to attain any of the selection standards by the 
completion of training, or failure to maintain these standards during 
service, may be grounds for de-selection and disqualification from Peace 
Corps service.



Sec.  305.4  Medical status eligibility standard.

    (a) Requirements. Under the Peace Corps Act (22 U.S.C. 2504(e)), the 
Peace Corps is responsible for ensuring that Peace Corps Volunteers 
receive all necessary or appropriate health care during their service. 
To ensure that the Peace Corps will be capable of doing so, Applicants 
must be medically qualified for Peace Corps Volunteer service. An 
Applicant who is otherwise qualified must meet the following 
requirements:
    (1) The Applicant, with or without reasonable accommodation, removal 
of architectural, communication or transportation barriers, or the 
provision of auxiliary aids or services, must have the physical and 
mental capacity required to meet the essential eligibility requirements 
for a Volunteer. In this context, the essential eligibility requirements 
for a Volunteer include, without limitation, the capability to:
    (i) Live and work independently in an isolated location overseas at 
the same socio-economic level and in similar conditions as members of 
the community to which the Applicant is assigned;
    (ii) Perform the job to which the Applicant is assigned; and
    (iii) Complete a specified tour of service without undue disruption.
    (2) The Peace Corps must be capable of providing the Applicant with 
such health care as the Peace Corps deems to be necessary or 
appropriate.
    (3) The Applicant must not pose a direct threat (as defined in 
paragraph (c) of this section).
    (b) Individualized assessment. In determining whether an Applicant 
is medically qualified, an individualized assessment is required 
regarding each of the requirements set forth in paragraph (a) of this 
section.
    (c) Direct threat. (1) A ``direct threat'' is a significant risk to 
the health or safety of others that cannot be eliminated by a reasonable 
accommodation to policies, practices or procedures, removal of 
architectural, communication or transportation barriers, or the 
provision of auxiliary aids or services.
    (2) In determining whether an applicant poses a direct threat, the 
Peace Corps will make an individualized assessment based on reasonable 
judgment that relies on current medical knowledge or on the best 
available objective evidence to ascertain:
    (i) The nature, duration and severity of the risk;
    (ii) The probability that the potential injury will actually occur; 
and
    (iii) Whether reasonable accommodations, removal of architectural, 
communication or transportation barriers, or the provision of auxiliary 
aids or services will mitigate the risk.
    (d) Reasonable accommodation. (1) The term ``accommodation'' means 
modifications to the Peace Corps' policies, practices or procedures.
    (2) An accommodation is not reasonable if:
    (i) It would modify the essential eligibility requirements for a 
Volunteer;

[[Page 24]]

    (ii) It would modify, among other things, the Applicant's Volunteer 
assignment or the Peace Corps' medical program in a way that would 
result in a fundamental alteration in the nature of the service, 
program, or activity; or
    (iii) It would impose an undue financial and administrative burden 
on the operations of the Peace Corps, including its medical program.
    (3) In determining whether an accommodation would impose an undue 
financial and administrative burden on the operations of the Peace 
Corps, the Peace Corps may take into account, among other things:
    (i) The size and composition of the Peace Corps staff at the post of 
assignment;
    (ii) The adequacy of local medical facilities and the availability 
of other medical facilities;
    (iii) The nature and cost of the accommodation compared to the 
overall number of Volunteers and the overall size of the Peace Corps 
budget; and
    (iv) The capacities of the host country agency and of the host 
community to which the Applicant would be assigned.
    (e) Medical status eligibility review. (1) An Applicant who is 
determined by medical screening staff not to be medically qualified for 
Peace Corps Volunteer service may request review of that decision by 
submitting any relevant information to the Office of Medical Services 
(OMS). The information submitted by the Applicant will be reviewed by a 
physician, and, unless the physician determines that the Applicant is 
medically qualified, by a Pre-Service Review Board (PSRB) composed of 
medical personnel in OMS and advised by the General Counsel. Procedures 
for such review are subject to approval by the General Counsel.
    (2) The PSRB will include as voting members at least one physician 
as well as other medical professionals in OMS. In any case involving 
review of issues involving mental health, at least one mental health 
professional from the Counseling and Outreach Unit will also participate 
as a voting member.
    (3) The decision of the PSRB will be reviewed by the General Counsel 
for legal sufficiency. Subject to that review, it will constitute the 
final agency action.



Sec.  305.5  Legal status eligibility standard.

    (a) General requirements. The existence of an arrest or conviction 
record may, but will not automatically, exclude an Applicant from 
consideration for Peace Corps service. The Peace Corps will consider the 
nature of the offense, how long ago the offense occurred, whether the 
Applicant was acquitted of the offense, the terms of any applicable 
parole or probation, and other relevant facts or indications of 
rehabilitation.
    (b) Drug and alcohol related offenses. (1) An Applicant with any 
drug-related conviction, with a conviction for public intoxication, 
driving under the influence (DUI), or driving while intoxicated (DWI), 
with a conviction for reckless driving after having been initially 
charged with DUI or DWI, or with a similar alcohol-related conviction, 
is not eligible to have his or her application for Peace Corps service 
considered until 12 months has passed from the date of the incident.
    (2) An Applicant who, at any time on or prior to the day of 
departure for Peace Corps service, is arrested for any drug offense or 
for public intoxication, DUI, DWI or any similar alcohol-related offense 
will have any pending application or invitation for Peace Corps service 
withdrawn. If the charges are dismissed, an Applicant whose application 
or invitation for Peace Corps service was terminated may immediately 
reapply. If the applicant is convicted of the offense, he or she may 
reapply after 12 months from the date of the incident.
    (c) Review process. An Applicant who is rejected for a Volunteer 
position because of an arrest or conviction may request a review of that 
decision by submitting any relevant information to the Associate 
Director of the Office of Volunteer Recruitment and Selection (VRS). The 
Associate Director will review the information submitted and consult 
with the General Counsel. The decision of the Associate Director will be 
the final agency decision. The Associate Director may delegate authority 
to conduct such a review to another

[[Page 25]]

senior member of VRS, but not to the supervisor of the office making the 
original eligibility determination.
    (d) Subsequent application. An Applicant rejected for service due to 
failure to meet the legal status eligibility standard may reapply at a 
later date, but not sooner than 12 months after the final agency 
decision.



Sec.  305.6  Applicants with an intelligence background.

    (a) General. It has been the longstanding policy of the Peace Corps 
to exclude from Volunteer service any individuals who have engaged in 
intelligence activity or related work or who have been employed by or 
connected with an intelligence agency, either for a specific period of 
time or permanently (depending on the agency). This policy is founded on 
the premise that it is crucial to the Peace Corps in carrying out its 
mission that there be a complete and total separation of Peace Corps 
from the intelligence activities of the United States Government or any 
foreign government, both in reality and appearance. Any semblance of a 
connection between the Peace Corps and the intelligence community would 
seriously compromise the ability of the Peace Corps to develop and 
maintain the trust and confidence of the people of the host countries. 
To ensure that there is not the slightest basis for the appearance of 
any connection between the Peace Corps and the intelligence community, 
this policy contains certain temporary and permanent bars to Peace Corps 
service. Serious doubts about an Applicant's connection with 
intelligence activities are to be resolved in favor of exclusion.
    (b) Definitions. For purposes of this section:
    (1) Intelligence activity includes any activities or specialized 
training involving or related to the clandestine collection of 
information, or the analysis or dissemination of such information, 
intended for use by the United States Government or any foreign 
government in formulating or implementing political or military policy 
in regard to other countries. The term ``intelligence activity'' 
includes any involvement in covert actions designed to influence events 
in foreign countries. The fact that the name of an employer or the 
description of a person's work uses or does not use the term 
``intelligence'' does not, in and of itself, mean that the person has or 
has not engaged in intelligence activity or related work.
    (2) Intelligence agency includes:
    (i) Any agency, division of an agency, or instrumentality of the 
United States Government that is a member of the United States 
Intelligence Community; and
    (ii) Any other agency, division of an agency, or instrumentality of 
the United States Government or any foreign government, a substantial 
part of whose mission has been determined by the General Counsel to 
include intelligence activities.
    (3) Employment, employee or employed refer to the existence of a 
relationship of employer and employee, whether full-time or part-time, 
permanent or temporary, whether or not the individual is engaged in 
intelligence activity for an employer, without regard to the length of 
time the relationship existed or is proposed to exist, and includes 
individuals performing duties as volunteers, fellows, interns, 
consultants, personal services contractors, contractors (non-personal 
services contractors), and employees of contractors who were assigned to 
work for an intelligence agency or to engage in intelligence activities. 
Employees of contractors who were or are not themselves assigned to work 
for an Intelligence Agency or to engage in intelligence activities are 
not considered to have been or to be employed by an intelligence agency.
    (c) Employment by an intelligence agency or engagement in 
intelligence activities. (1) An Applicant currently or formerly employed 
by the Central Intelligence Agency (CIA) is permanently ineligible for 
Peace Corps Volunteer service.
    (2) An Applicant who has been employed by an intelligence agency 
other than the CIA is ineligible for a minimum of 10 years from the last 
day of employment by such intelligence agency. This bar on an Applicant 
who is or was employed by an intelligence agency applies whether or not 
the Applicant was engaged in intelligence activity for the intelligence 
agency.

[[Page 26]]

    (3) An Applicant who has been engaged in intelligence activities is 
ineligible for service as a Volunteer for a period of 10 years from the 
last date on which the Applicant engaged in intelligence activities.
    (4) An Applicant may be ineligible for service for a period in 
excess of 10 years if the General Counsel determines that the 
Applicant's background or work history with regard to intelligence 
activities warrants such action.
    (d) Relationship to intelligence agency or activity. (1) An 
Applicant whose background discloses a relationship to an intelligence 
agency or intelligence activity may be ineligible to serve as a Peace 
Corps Volunteer. The term ``relationship'' means any association with an 
intelligence agency or with an intelligence activity, if such 
association could be the basis for an inference or the appearance that 
an Applicant was engaged in an intelligence activity. The association 
could include, but not be limited to, one based upon a familial, 
personal or financial connection to an intelligence agency or with an 
intelligence activity.
    (2) Determinations of the eligibility or periods of ineligibility of 
such Applicants will be made by the General Counsel on a case by case 
basis using the criteria set forth below. Examples of the type of 
relationships among others that could lead to ineligibility are 
Applicants whose spouses, domestic partners, or parents are or were 
involved in actual intelligence activities, or members of the immediate 
family of prominent highly placed officials in an intelligence agency 
who might be the target of harassment or violence overseas as the result 
of family connections. Employment by an organization that has been 
funded by an intelligence agency may also lead to ineligibility.
    (3) In determining whether an Applicant's relationship to an 
intelligence agency or intelligence activity makes the Applicant 
ineligible for service, or in determining the duration of any 
ineligibility, the General Counsel will consider the following factors 
as appropriate:
    (i) Nature of the relationship.
    (ii) The intelligence agency with which the Applicant has the 
relationship.
    (iii) Duration of the relationship.
    (iv) Length of time that has elapsed since the last connection to 
the intelligence agency.
    (v) Where the intelligence activity or work was performed.
    (vi) Nature of the connection with intelligence activity or work.
    (vii) Whether or not the intelligence activity or work involved 
contact with foreign nationals.
    (viii) Whether the connection was known or unknown to the Applicant 
at the time it occurred.
    (ix) Training received, if any.
    (x) Regularity of the contact with foreign nationals, and nature of 
duties, if any.
    (xi) Public knowledge of the activity or connection.
    (xii) Any other information which bears on the relationship of the 
Applicant to an intelligence agency or intelligence activity.
    (e) Determination. VRS is responsible for the initial screening of 
Peace Corps Volunteer applications for compliance with the provisions of 
this policy. In cases where that office is unable to make a decision 
regarding the eligibility of an Applicant under this policy, the 
individual's application will be referred to the General Counsel, who 
will make the determination on eligibility.
    (f) Appeal. VRS will inform all Applicants promptly and in writing 
of any decision to disqualify them based on an intelligence background 
and the reasons for that decision. Applicants have 15 days from the date 
of receipt of the letter from VRS to appeal the decision to the Director 
of the Peace Corps. The decision of the Director of the Peace Corps will 
be the final agency decision.
    (g) Post Peace Corps employment by United States intelligence 
agencies. Pursuant to agreements between the Peace Corps and certain 
intelligence agencies, those intelligence agencies will not employ 
former Volunteers for a specified period after the end of their Peace 
Corps service and will not use former Volunteers for certain purposes or 
in certain positions. Information regarding such agreements may be 
obtained from the Office of the General Counsel.

[[Page 27]]



Sec.  305.7  Special circumstances.

    (a) Couples. Two Applicants who are married to one another or two 
unmarried Applicants who are in a same-sex or opposite-sex domestic 
partnership or other committed relationship are eligible to apply for 
service as a couple. In the case of an unmarried couple, each member of 
the couple must provide a sworn statement, in a form acceptable to the 
Peace Corps, attesting to their domestic partnership status or committed 
relationship (as the case may be) and their request to be considered for 
assignment as a couple. In all cases, both members of the couple must 
apply and qualify for assignment at the same location.
    (b) Serving with dependents and other family members. In general, 
dependents and other family members may not accompany a Volunteer during 
service. However, the Peace Corps may from time to time make exceptions 
either on a case-by-case basis or for particular categories of 
Volunteers to the extent permitted by Federal law.
    (c) Military service. The Peace Corps welcomes applications from 
veterans, reservists, and active duty military personnel who are 
interested in Peace Corps service after completion of their military 
service. After receiving an invitation for Peace Corps service, 
applicants with reserve obligations are reminded to comply with all 
requirements to notify their reserve component that they will be 
unavailable for drills and annual training because of their Peace Corps 
service. Such applicants are urged to obtain written confirmation from 
their reserve component that they have complied with these requirements.



Sec.  305.8  Background investigation.

    Section 22 of the Peace Corps Act requires that each Applicant be 
investigated to ensure that enrollment of the Applicant as a Volunteer 
is consistent with the national interest. The Peace Corps therefore 
obtains an appropriate background investigation for all Applicants who 
are invited to serve in the Peace Corps. Information revealed by the 
background investigation may be grounds for disqualification from Peace 
Corps service. Under the Peace Corps Act, if a background investigation 
regarding an Applicant develops any data reflecting that the Applicant 
is of questionable loyalty or is a questionable security risk, the Peace 
Corps must refer the matter to the Federal Bureau of Investigation for a 
full field investigation. The results of that full field investigation 
will be furnished to the Peace Corps for information and appropriate 
action.



PART 306_VOLUNTEER DISCRIMINATION COMPLAINT PROCEDURE--Table of Contents



    Cross Reference: ACTION regulations concerning the volunteer 
discrimination complaint procedure, appearing in 45 CFR part 1225, are 
applicable to Peace Corps volunteers. Part 1225 appears at 46 FR 1609, 
Jan. 6, 1981.



PART 308_IMPLEMENTATION OF THE PRIVACY ACT OF 1974--Table of Contents



Sec.
308.1 Purpose.
308.2 Policy.
308.3 Definitions.
308.4 Disclosure of records.
308.5 New uses of information.
308.6 Reports regarding changes in systems.
308.7 Use of social security account number in records systems. 
          [Reserved]
308.8 Rules of conduct.
308.9 Records systems--management and control.
308.10 Security of records systems--manual and automated.
308.11 Accounting for disclosure of records.
308.12 Contents of records systems.
308.13 Access to records.
308.14 Specific exemptions.
308.15 Identification of requesters.
308.16 Amendment of records and appeals with respect thereto.
308.17 Denial of access and appeals with respect thereto.
308.18 Fees.

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

    Source: 50 FR 1844, Jan. 14, 1985, unless otherwise noted.



Sec.  308.1  Purpose.

    The purpose of this part is to set forth the basic policies of the 
Peace Corps governing the maintenance of systems of records containing 
personal information as defined in the Privacy

[[Page 28]]

Act of 1974 (5 U.S.C. 552a). Records included in this part are those 
described in the aforesaid Act and maintained by the Peace Corps and/or 
any component thereof.



Sec.  308.2  Policy.

    It is the policy of the Peace Corps to protect, preserve and defend 
the right of privacy of any individual as to whom the agency maintains 
personal information in any records system and to provide appropriate 
and complete access to such records including adequate opportunity to 
correct any errors in said records. It is further the policy of the 
agency to maintain its records in such a fashion that the information 
contained therein is and remains material and relevant to the purposes 
for which it is collected in order to maintain its records with fairness 
to the individuals who are the subject of such records.



Sec.  308.3  Definitions.

    (a) Record means any document, collection, or grouping of 
information about an individual maintained by the agency, including but 
not limited to information regarding education, financial transactions, 
medical history, criminal or employment history, or any other personal 
information which contains the name or personal identification number, 
symbol, photograph, or other identifying particular assigned to such 
individual, such as a finger or voiceprint.
    (b) System of Records means a group of any records under the control 
of the agency from which information is retrieved by use of the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.
    (c) Routine Use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which it was collected.
    (d) The term agency means the Peace Corps or any component thereof.
    (e) The term individual means any citizen of the United States or an 
alien lawfully admitted to permanent residence.
    (f) The term maintain includes the maintenance, collection, use or 
dissemination of any record.
    (g) The term Act means the Privacy Act of 1974 (5 U.S.C. 552a) as 
amended from time to time.



Sec.  308.4  Disclosure of records.

    The agency will not disclose any personal information from systems 
of records it maintains to any individual other than the individual to 
whom the record pertains, or to another agency, without the express 
written consent of the individual to whom the record pertains, or his or 
her agent or attorney, except in the following instances:
    (a) To officers or employees of the Peace Corps having a need for 
such record in the official performance of their duties.
    (b) When required under the provisions of the Freedom of Information 
Act (5 U.S.C. 552).
    (c) For routine uses as published in the Federal Register.
    (d) To the Bureau of the Census for uses pursuant to title 13.
    (e) To an individual or agency having a proper need for such record 
for statistical research provided that such record is transmitted in a 
form which is not individually identifiable and that an appropriate 
written statement is obtained from the person to whom the record is 
transmitted stating the purpose for the request and a certification 
under oath that the records will be used only for statistical purposes.
    (f) To the National Archives of the United States as a record of 
historical value under rules and regulations of the Archives or to the 
Administrator of General Services or his designee to determine if it has 
such value.
    (g) To an agency or instrumentality of any governmental jurisdiction 
within the control of the United States for civil or criminal law 
enforcement activities, if the activity is authorized by law, and the 
head of any such agency or instrumentality has made a written request 
for such records specifying the particular portion desired and the law 
enforcement activity for which the record is sought. Such a record may 
also be disclosed by the agency to the law enforcement agency on its own 
initiative in situations in which criminal

[[Page 29]]

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.
    (h) In emergency situations upon a showing of compelling 
circumstances affecting the health or safety of any individual provided 
that after such disclosure, notification of such disclosure must be 
promptly sent to the last known address of the individual to whom the 
record pertains.
    (i) To either House of Congress or to a subcommittee or committee 
(joint or of either house) to the extent the subject matter falls within 
their jurisdiction.
    (j) To the Comptroller General, or any of his authorized 
representatives, in the course of the performance of the duties of the 
General Accounting Office.
    (k) Pursuant to an order by the presiding judge of a court of 
competent jurisdiction. If any record is disclosed under such compulsory 
legal process and subsequently made public by the court which issued it, 
the agency must make a reasonable effort to notify the individual to 
whom the record pertains of such disclosure.
    (l) To consumer reporting agencies as defined in 31 U.S.C. 
3701(a)(3) in accordance with 31 U.S.C. 3711, and under contracts for 
collection services as authorized in 31 U.S.C. 3718.



Sec.  308.5  New uses of information.

    The agency shall publish in the Federal Register a notice of its 
intention to establish a new or revised routine use of any system of 
records maintained by it with an opportunity for public comments on such 
use. Such notice shall contain the following:
    (a) The name of the system of records for which the new or revised 
routine use is to be established.
    (b) The authority for maintaining the system of records.
    (c) The categories of records maintained in the system.
    (d) The purpose for which the record is to be maintained.
    (e) The proposed routine use(s).
    (f) The purpose of the routine use(s).
    (g) The categories of recipients of such use.


In the event of any request for an addition to the routine uses of the 
systems which the agency maintains, such request may be sent to the 
following officer: Director, Office of Administrative Services, Peace 
Corps, 806 Connecticut Avenue, NW., Washington, DC 20526.



Sec.  308.6  Reports regarding changes in systems.

    The agency shall provide to Congress and the Office of Management 
and Budget advance notice of any proposal to establish or alter any 
system of records as defined herein. This report will be submitted in 
accord with guidelines provided by the Office of Management and Budget.



Sec.  308.7  Use of social security account number in records systems.
[Reserved]



Sec.  308.8  Rules of conduct.

    (a) The head of the agency shall assure that all persons involved in 
the design, development, operation or maintenance of any systems of 
records as defined herein are informed of all requirements necessary to 
protect the privacy of individuals who are the subject of such records. 
All employees shall be informed of all implications of the Act in this 
area including the criminal penalties provided under the Act, and the 
fact the agency may be subject to civil suit for failure to comply with 
the provisions of the Privacy Act and these regulations.
    (b) The head of the agency shall also ensure that all personnel 
having access to records receive adequate training in the protection of 
the security of personal records and that adequate and proper storage is 
provided for all such records with sufficient security to assure the 
privacy of such records.



Sec.  308.9  Records systems--management and control.

    (a) The Director, Office of Administrative Services, shall have 
overall control and supervision of the security of all records keeping 
systems and shall be responsible for monitoring the security standards 
set forth in these regulations.

[[Page 30]]

    (b) A designated official (System Manager) shall be named who shall 
have management responsibility for each record system maintained by the 
agency and who shall be responsible for providing protection and 
accountability for such records at all times and for insuring that such 
records are secured in appropriate containers wherever not in use or in 
the direct control of authorized personnel.



Sec.  308.10  Security of records systems--manual and automated.

    The head of the agency has the responsibility of maintaining 
adequate technical, physical, and security safeguards to prevent 
unauthorized disclosure or destruction of manual and automatic record 
systems. These security safeguards shall apply to all systems in which 
identifiable personal data are processed or maintained including all 
reports and outputs from such systems which 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 and must furthermore 
minimize the extent technicians or knowledgeable persons could 
improperly obtain access to modify or destroy such records or data and 
shall further insure against such casual entry by unskilled persons 
without official reasons for access to such records or data.
    (a) Manual systems. (1) Records contained in records systems as 
defined herein may be used, held or stored only where facilities are 
adequate to prevent unauthorized access by persons within or without the 
agency.
    (2) All records systems when not under the personal control of the 
employees authorized to use same must be stored in an appropriate metal 
filing cabinet. Where appropriate, such cabinet shall have a three 
position dial-type combination lock, and/or be equipped with a steel 
lock bar secured by a GSA approved changeable combination padlock or in 
some such other securely locked cabinet as may be approved by GSA for 
the storage of such records. Certain systems are not of such 
confidential nature that their disclosure would harm an individual who 
is the subject of such record. Records in this category shall be 
maintained in steel cabinets without the necessity of combination locks.
    (3) Access to and use of systems of records shall be permitted only 
to persons whose official duties require such access within the agency, 
for routine use as defined in Sec.  308.4 and in the Peace Corps' 
published systems of records notices, or for such other uses as may be 
provided herein.
    (4) Other than for access within the agency to persons needing such 
records in the performance of their official duties or routine uses as 
defined herein and in the Peace Corps' systems of records notices or 
such other uses as provided herein, access to records within systems of 
records shall be permitted only to the individual to whom the record 
pertains or upon his or her written request to a designated personal 
representative.
    (5) Access to areas where records systems are stored will be limited 
to those persons whose official duties require work in such areas and 
proper accounting of removal of any records from storage areas shall be 
maintained at all times in the form directed by the Director, 
Administrative Services.
    (6) The agency shall assure that all persons whose official duties 
require access to and use of records contained in records systems are 
adequately trained to protect the security and privacy of such records.
    (7) The disposal and destruction of records within records systems 
shall be in accord with rules promulgated by the General Services 
Administration.
    (b) Automated systems. (1) Identifiable personal information may be 
processed, stored or maintained by automatic data systems only where 
facilities or conditions are adequate to prevent unauthorized access to 
such systems in any form. Whenever such data contained in punch cards, 
magnetic tapes or discs are not under the personal control of an 
authorized person such information must be stored in a metal filing 
cabinet having a built-in three position combination lock, a metal 
filing cabinet equipped with a steel lock, a metal filing cabinet 
equipped with a steel lock bar secured with a General Services 
Administration (GSA) approved

[[Page 31]]

combination padlock, or in adequate containers or in a secured room or 
in such other facility having greater safeguards than those provided for 
herein.
    (2) Access to and use of identifiable personal data associated with 
automated data systems shall be limited to those persons whose official 
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 official 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 carried on by shredding, burning or in the 
case of tapes of discs, degaussing, in accord with any regulations now 
or hereafter proposed by the GSA or other appropriate authority.



Sec.  308.11  Accounting for disclosure of records.

    Each office maintaining a system of records shall keep a written 
account of routine disclosures (see paragraphs (a) through (e) of this 
section) for all records within such system in the form prescribed by 
the Director, Office of Administrative Services. Disclosure made to 
employees of the agency in the normal course of their official duties or 
pursuant to the provisions of the Freedom of Information Act need not be 
accounted for. Such written account shall contain the following:
    (a) The date, nature, and purpose of each disclosure of a record to 
any person or to another agency.
    (b) The name and address of the person or agency to whom the 
disclosure was made.
    (c) Sufficient information to permit the construction of a listing 
of all disclosures at appropriate periodic intervals.
    (d) The justification or basis upon which any release was made 
including any written documentation required when records are released 
for statistical or law enforcement purposes under the provisions of 
subsection (b) of the Act.
    (e) For the purpose of this part, the system of accounting for 
disclosure is not a system of records under the definitions hereof and 
no accounting need be maintained for the disclosure of accounting of 
disclosures.



Sec.  308.12  Contents of records systems.

    (a) The agency shall maintain in any records contained in any 
records system hereunder only such information about an individual as is 
accurate, relevant, and necessary to accomplish the purpose for which 
the agency acquired the information as authorized by statute or 
executive order.
    (b) In situations in which the information may result in adverse 
determinations about such individual's rights, benefits and privileges 
under any Federal program, all information placed in records systems 
shall, to the greatest extent practicable, be collected from the 
individual to whom the record pertains.
    (c) Each form or other document which an individual is expected to 
complete in order to provide information for any records system shall 
have appended thereto, or in the body of the document:
    (1) An indication of the authority authorizing the solicitation of 
the information and whether the provision of the information is 
mandatory or voluntary.
    (2) The purpose or purposes for which the information is intended to 
be used.
    (3) Routine uses which may be made of the information and published 
pursuant to Sec.  308.7 of this regulation.
    (4) The effect on the individual, if any, of not providing all or 
part of the required or requested information.
    (d) Records maintained in any system of records used by the agency 
to make any determination about any individual shall be maintained with 
such accuracy, relevancy, timeliness, and completeness as is reasonably 
necessary to assure fairness to the individual in the making of any 
determination about such individual: Provided, however, That the agency 
shall not be required to update or keep current retired records.

[[Page 32]]

    (e) Before disseminating any record about an individual to any 
person other than an agency as defined in 5 U.S.C. 552(e) or pursuant to 
the provsions of the Freedom of Information Act (5 U.S.C. 552), the 
agency shall make reasonable efforts to assure that such records are 
accurate, complete, timely and relevant for agency purposes.
    (f) Under no circumstances shall the agency maintain any record 
about an 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 
individual about whom the record is maintained or unless pertinent to 
and within the scope of an authorized law enforcement activity.
    (g) In the event any record is disclosed as a result of the order of 
a presiding judge of a court of competent jurisdiction, the agency shall 
make reasonable efforts to notify the individual whose record was so 
disclosed after the process becomes a matter of public record.



Sec.  308.13  Access to records.

    (a) The Director, Administrative Services, shall keep a current list 
of systems of records maintained by the agency and published in 
accordance with the provisions of these regulations.
    (b) Individuals requesting access to any record the agency maintains 
about him or her in a system of records shall be provided access to such 
records. Such requests shall be submitted in writing by mail, or in 
person during regular business hours, to the System Managers identified 
in the specific system notices. Systems maintained at overseas and 
dometic field offices may be addressed to the Country Director or 
Regional Service Center Manager. If assistance is needed, the Director, 
Office of Administrative Services, will provide agency addresses.
    (c) Requests for records from more than one system of records shall 
be directed to the Director, Office of Administrative Services, Peace 
Crops, 806 Connecticut Avenue, NW., Washington, DC 20526.
    (d) Requests for access to or copies of records should contain, at a 
minimum, identifying information needed to locate any given record and a 
brief description of the item or items of information required. If the 
individual wishes access to specific documents the request should 
identify or describe as nearly as possible such documents.
    (e) A record may be disclosed to a representative of the person to 
whom a record relates who is authorized in writing to have access to the 
record by the person to whom it relates.
    (f) A request made in person will be promptly complied with if the 
records sought are in the immediate custody of the Peace Corps. Mailed 
or personal request for documents in storage which must be complied from 
more than one location, or which are otherwise not immediately 
available, will be acknowledge within ten working days, and the records 
requested will be provided as promptly thereafter as possible.
    (g) Medical or psychological records shall be disclosed to an 
individual unless in the judgment of the agency, access to such records 
might have an adverse effect upon such individual. When such 
determination has been made, the agency may require that the information 
be disclosed only to a physician chosen by the requesting individual. 
Such physician shall have full authority to disclose all or any portion 
of such record to the requesting individual in the exercise of his or 
her professional judgment.



Sec.  308.14  Specific exemptions.

    Records or portions of records in certain record systems specified 
in paragraphs (a) through (c) of this section shall be exempt from 
disclosure: Provided, however, That no such exemption shall apply to the 
provisions of Sec.  308.12(a) (maintaining records with accuracy, 
completeness, etc. as reasonably necessary for agency purposes); Sec.  
308.12(b) (collecting information directly from the individual to whom 
it pertains); Sec.  308.12(c) (informing individuals asked to supply 
information of the purposes for which it is collected and whether it is 
mandatory); Sec.  308.12(g)

[[Page 33]]

(notifying the subjects of records disclosed under compulsory court 
process); Sec.  308.16(d)(3) (informing prior recipient of corrected or 
disputed records); Sec.  308.16(g) (civil remedies). With the above 
exceptions the following material shall be exempt from disclosure to the 
extent indicated:
    (a) Material in any system of records considered classified and 
exempt from disclosure under provisions of section 552(b)(1) of the 
Freedom of Information Act. Agency systems of records now containing 
such material are: Legal Files--Staff, Volunteers and Applicants; 
Security Records Peace Corps Staff/Volunteers and ACTION staff.
    (1) Authority: 5 U.S.C. 552a (k)(1)
    (2) Reasons: To protect information classified in the interest of 
national defense or foreign policy.
    (b) Investigatory material compiled for the purposes of law 
enforcement: Provided, however, That if any individual is denied any 
right, privilege, or benefit that he or she would otherwise be entitled 
to by Federal law, or for which he or she 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 necessary to protect 
the identity of a source who furnished information to the government 
under an express promise that his or her identity would be held in 
confidence, or prior to the effective date of the Privacy Act of 1974, 
under an implied promise of such confidentiality of the identity of such 
source. Agency systems of records containing such investigatory material 
are: Discrimination Complaint Files; Employee Occupational Injury and 
Illness Reports; Legal Files--Staff, Volunteers and Applicants; Security 
Records--Peace Corps Staff/Volunteers and ACTION Staff.
    (1) Authority: 5 U.S.C. 552a(k)(2)
    (2) Reasons: To protect the identity of sources to whom proper 
promises of confidentiality have been made during investigations. 
Without these promises, sources will often be unwilling to provide 
information essential in adjudicating access in a fair and impartial 
manner.
    (c) Investigatory material compiled solely for the purpose of 
determining suitability, eligibility or qualification for service as an 
employee or volunteer or for the obtaining of a Federal contract or for 
access to classified information: Provided, however, That such material 
shall be disclosed to the extent possible without revealing the identity 
of a source who furnished information to the government under an express 
promise of the confidentiality of his or her identity or, prior to the 
effective date of the Privacy Act of 1974, under an implied promise of 
such confidentiality of identity. Agency systems of records containing 
such material are: Contractors and Consultant Files; Discrimination 
Complaint Files; Legal Files--Staff, Volunteers and Applicants; Personal 
Service Contract Records--Peace Corps Staff/Volunteers and ACTION Staff; 
Staff Applicant and Personnel Records; Talent Bank; Volunteer Applicant 
and Service Record Systems.
    (1) Authority: 5 U.S.C. 552a(k)(5)
    (2) Reasons: To ensure the frankness of information used to 
determine whether Peace Corps Volunteers applicants and Peace Corps 
Staff applicants are qualified for service with the agency.
    (d) Records in the Office of Inspector General Investigative Files 
and Records system of records are exempt from certain provisions to the 
extent provided hereinafter.
    (1) To the extent that the system of records pertains to the 
enforcement of criminal laws, the Office of Inspector General 
Investigative Files and Records system of records is exempt from all 
sections of the Privacy Act (5 U.S.C. 552a) except the following 
sections: (b) relating to conditions of disclosure; (c)(1) and (2) 
relating to keeping and maintaining a disclosure accounting; (e)(4)(A) 
through (F) relating to publishing a system notice setting the name, 
location, categories of individuals and records, routine uses, and 
policies regarding storage, retrievability, access controls, retention 
and disposal of the records; (e)(6), (7), (9), (10), and (11) relating 
to dissemination and maintenance of records and (i) relating to criminal 
penalties. This system of records is also exempt from the provisions of 
Sec.  308.11 through

[[Page 34]]

Sec.  308.17 to the extent that the provisions of these sections 
conflict with this paragraph.
    (i) Authority: 5 U.S.C. 552a(j)(2).
    (ii) Reasons:
    (A) To prevent interference with law enforcement proceedings.
    (B) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigations, investigators, and witnesses.
    (C) To protect the identity of Federal employees who furnish a 
complaint or information to OIG, consistent with section 7(b) of the 
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
    (D) To protect the confidentiality of non-Federal employee sources 
of information.
    (E) To assure access to sources of confidential information, 
including those contained in Federal, State, and local criminal law 
enforcement information systems.
    (F) To prevent disclosure of law enforcement techniques and 
procedures.
    (G) To avoid endangering the life or physical safety of confidential 
sources.
    (2) To the extent that there may exist within this system of records 
investigative files compiled for law enforcement purposes, other than 
material within the scope of subsection (j)(2) of the Privacy Act, the 
OIG Investigative Files and Records system of records is exempt from the 
following sections of the Privacy Act: (c)(3) relating to access to the 
disclosure accounting; (d) relating to access to records; (e)(1) 
relating to the type of information maintained in the records; (e)(4) 
(G), (H), and (I) relating to publishing the system notice information 
as to agency procedures for access and amendment, and information as to 
the categories of sources or records; and (f) relating to developing 
agency rules for gaining access and making corrections. Provided, 
however, That if any individual is denied any right, privilege, or 
benefit that they would otherwise be entitled by Federal law, or for 
which they 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 January 1, 1975, under an implied promise 
that the identity of the source would be held in confidence. This system 
of records is also exempt from the provisions of Sec.  308.11 through 
Sec.  308.17 to the extent that the provisions of these sections 
conflict with this paragraph.
    (i) Authority: 5 U.S.C. 552a(k)(2)
    (ii) Reasons:
    (A) To prevent interference with law enforcement proceedings.
    (B) To protect investigatory material compiled for law enforcement 
purposes.
    (C) To avoid unwarranted invasion of personal privacy, by disclosure 
of information about third parties, including other subjects of 
investigation, law enforcement personnel, and sources of information.
    (D) To fulfill commitments made to protect the confidentiality of 
sources.
    (E) To protect the identity of Federal employees who furnish a 
complaint or information to the OIG, consistent with Section 7(b) of the 
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
    (F) To assure access to sources of confidential information, 
including those contained in Federal, State, and local criminal law 
enforcement systems.
    (G) [Reserved]
    (H) To prevent disclosure of law enforcement techniques and 
procedures.
    (I) To avoid endangering the life or physical safety of confidential 
sources and law enforcement personnel.

[50 FR 1844, Jan. 14, 1985, as amended at 58 FR 39657, July 26, 1993]



Sec.  308.15  Identification of requesters.

    The agency shall require reasonable identification of all 
individuals who request access to records to assure that records are not 
disclosed to persons not entitled to such access.
    (a) In the event an individual requests disclosure in person, such 
individual shall be required to show an identification card such as a 
driver's license, etc., containing a photo and a sample signature of 
such individual. Such individual may also be required to sign a 
statement under oath as to

[[Page 35]]

his or her identity acknowledging that he or she is aware of the 
penalties for improper disclosure under the provisions of the Privacy 
Act of 1974.
    (b) In the event that disclosure is requested by mail, the agency 
may request such information as may be necessary to reasonably assure 
that the individual making such request is properly identified. In 
certain cases, the agency may require that a mail request be notarized 
with an indication that the notary received an acknowledgment of 
identity from the individual making such request.
    (c) In the event an individual is unable to provide suitable 
documentation or identification, the agency may require a signed 
notarized statement asserting the identity of the individual and 
stipulating that the individual understands that knowingly or willfully 
seeking or obtaining access to records about another person under false 
pretenses is punishable by a fine of up to $5,000.
    (d) In the event a requester wishes to be accompanied by another 
person while reviewing his or her records, the agency may require a 
written statement authorizing discussion of his or her records in the 
presence of the accompanying representative or other persons.



Sec.  308.16  Amendment of records and appeals with respect thereto.

    (a) In the event an individual desires to request an amendment of 
his or her record, he or she may do so by submitting such written 
request to the Director, Administrative Services, Peace Corps, 806 
Connecticut Avenue, NW., Washington, DC 20526. The Director, 
Administrative Services, shall provide assistance in preparing any 
amendment upon request and a written acknowledgment of receipt of such 
request within 10 working days after the receipt thereof from the 
individual who requested the amendment. Such acknowledgment may, if 
necessary, request any additional information needed to make a 
determination with respect to such request. If the agency decides to 
comply with the request within the 10 day period, no written 
acknowledgment is necessary: Provided, however, That a certification of 
the change shall be provided to such individual within such period.
    (b) Promptly after acknowledgment of the receipt of a request for an 
amendment the agency shall take one of the following actions:
    (1) Make any corrections of any portion of the record which the 
individual believes is not accurate, relevant, timely or complete.
    (2) Inform the individual of its refusal to amend the record in 
accord with the request together with the reason for such refusal and 
the procedures established for requesting review of such refusal by the 
head of the agency or his or her designee. Such notice shall include the 
name and business address of the reviewing official.
    (3) Refer the request to the agency that has control of and 
maintains the record in those instances where the record requested 
remains the property of the controlling agency and not of the Peace 
Corps.
    (c) In reviewing a request to amend the record the agency shall 
assess the accuracy, relevance, timeliness and completeness of the 
record with due and appropriate regard for fairness to the individual 
about whom the record is maintained. In making such determination, the 
agency shall consult criteria for determining record quality published 
in pertinent chapters of the Federal Personnel Manual and to the extent 
possible shall accord therewith.
    (d) In the event the agency agrees with the individual's request to 
amend such record it shall:
    (1) Advise the individual in writing,
    (2) Correct the record accordingly, and
    (3) Advise all previous recipients of a record which was corrected 
of the correction and its substance.
    (e) In the event the agency, after an initial review of the request 
to amend a record, disagrees with all or a portion of it, the agency 
shall:
    (1) Advise the individual of its refusal and the reasons therefore,
    (2) Inform the individual that he or she may request further review 
in accord with the provisions of these regulations, and
    (3) Specify The name and address of the person to whom the request 
should be directed.

[[Page 36]]

    (f) In the event an individual requester disagrees with the initial 
agency determination, he or she may appeal such determination to the 
Director of the Peace Corps or his or her designee. Such request for 
review must be made within 30 days after receipt by the requester of the 
initial refusal to amend.
    (g) If after review the Director or designee refuses to amend the 
record as requested he or she shall advise the individual requester of 
such refusal and the reasons for same; of his or her right to file a 
concise statement in the record of the reasons for disagreeing with the 
decision of the agency; of the procedures for filing a statement of 
disagreement and of the fact that such statement so filed will be made 
available to anyone to whom the record is subsequently disclosed 
together with a brief statement of the agency summarizing its reasons 
for refusal, if the agency decides to place such brief statement in the 
record. The agency shall have the authority to limit the length of any 
statement to be filed, such limit to depend upon the record involved. 
The agency shall also inform such individual that prior recipients of 
the disputed record will be provided a copy of both statements of the 
dispute to the extent that the accounting of disclosures has been 
maintained and of the individual's right to seek judicial review of the 
agency's refusal to amend the record.
    (h) If after review the official determines that the record should 
be amended in accordance with the individual's request, the agency shall 
proceed as provided above in the event a request is granted upon initial 
demand.
    (i) Final agency determination of an individual's request for a 
review shall be concluded with 30 working days from the date of receipt 
of the review request: Provided, however, That the Director or designee 
may determine that fair and equitable review cannot be made within that 
time. If such circumstances occur, the individual shall be notified in 
writing of the additional time required and of the approximate date on 
which determination of the review is expected to be completed.



Sec.  308.17  Denial of access and appeals with respect thereto.

    In the event that the agency finds it necessary to deny any 
individual access to a record about such individual pursuant to 
provisions of the Privacy Act or of these regulations, a response to the 
original request shall be made in writing within ten working days after 
the date of such initial request. The denial shall specify the reasons 
for such refusal or denial and advise the individual of the reasons 
therefore, and of his or her right to an appeal within the agency and/or 
judicial review under the provisions of the Act.
    (a) In the event an individual desires to appeal any denial of 
access, he or she may do so in writing by addressing such appeal to the 
attention of the Director, Peace Corps, or designee identified in such 
denial. Such appeal should be addressed to Director, Peace Corps, c/o 
Office of Administrative Services, Room P-314, 806 Connecticut Avenue, 
NW., Washington, DC 20526.
    (b) The Director, or designee, shall review a request from a denial 
of access and shall make a determination with respect to such appeal 
within 30 days after receipt thereof. Notice of such determination shall 
be provided to the individual making the request in writing. If such 
appeal is denied in whole or in part, such notice shall include 
notification of the right of the person making such request to have 
judicial review of the denial as provided in the Act.



Sec.  308.18  Fees.

    No fees shall be charged for search time or for any other time 
expended by the agency to produce a record. Copies of records may be 
charged for at the rate of 10 cents per page provided that one copy of 
any record shall be provided free of charge.



PART 309_DEBT COLLECTION--Table of Contents



                      Subpart A_General Provisions

Sec.
309.1 General purpose.
309.2 Scope.
309.3 Definitions.
309.4 Other procedures or actions.
309.5 Interest, penalties, and administrative costs.
309.6 Collection in installments.

[[Page 37]]

309.7 Designation.

                      Subpart B_Collection Actions

309.8 Application.
309.9 Notice--written demand for payment.
309.10 Review requirements.
309.11 Collection.

                         Subpart C_Salary Offset

309.12 Purpose.
309.13 Scope.
309.14 Coordinating offset with another Federal agency.
309.15 Notice requirements before offset.
309.16 Review.
309.17 Procedures for salary offset.
309.18 Voluntary repayment agreements as an alternative to salary 
          offset.
309.19 Waiver.
309.20 Compromise.
309.21 Suspension of collection.
309.22 Termination of collection.
309.23 Discharge.
309.24 Bankruptcy.

    Authority: 31 U.S.C. 3701-3719; 5 U.S.C. 5514; 22 U.S.C. 2503(b); 31 
U.S.C. 3720A; 31 CFR part 285; 5 CFR 550, subpart K.

    Source: 73 FR 18155, Apr. 3, 2008, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  309.1  General purpose.

    This part prescribes the procedures to be used by the United States 
Peace Corps (Peace Corps) in the collection and/or disposal of non-tax 
debts owed to Peace Corps and to the United States.



Sec.  309.2  Scope.

    (a) Applicability of Federal Claims Collection Standards (FCCS). 
Peace Corps hereby adopts the provisions of the Federal Claims 
Collections Standards (31 CFR parts 900-904) and, except as set forth in 
this part or otherwise provided by law, Peace Corps will conduct 
administrative actions to collect claims (including offset, compromise, 
suspension, termination, disclosure and referral) in accordance with the 
FCCS.
    (b) This part is not applicable to:
    (1) Peace Corps claims against another Federal agency, any foreign 
country or any political subdivision thereof, or any public 
international organization.
    (2) Debts arising out of acquisitions contracts subject to the 
Federal Acquisition Regulation (FAR) shall be determined, collected, 
compromised, terminated, or settled in accordance with those regulations 
(see 49 CFR part 32).
    (3) Claims where the Peace Corps Director (or designee) determines 
that the achievement of the purposes of the Peace Corps Act, as amended, 
22 U.S.C. 2501 et seq., or any other provision of law administered by 
the Peace Corps require a different course of action.



Sec.  309.3  Definitions.

    As used in this part (except where the context clearly indicates, or 
where the term is otherwise defined elsewhere in this part) the 
following definitions shall apply:
    (a) Administrative offset means withholding funds payable by the 
United States to, or held by the United States for, a person to satisfy 
a debt owed by the person to the United States.
    (b) Administrative wage garnishment means the process by which a 
Federal agency orders a non-Federal employer to withhold amounts from an 
employee's wages to satisfy a debt the employee owes to the United 
States.
    (c) Compromise means that the creditor agency accepts less than the 
full amount of an outstanding debt in full satisfaction of the entire 
amount of the debt.
    (d) Debt or claim means an amount of money which has been determined 
by an appropriate agency official to be owed to the United States from 
any person. As used in this part, the terms debt and claim are 
synonymous.
    (e) Debtor means a person who owes the Federal Government money.
    (f) Delinquent debt means any debt, which has not been paid by the 
date specified in an agency's initial written notification or in an 
applicable agreement, unless other satisfactory payment arrangements 
have been made.
    (g) Discharge means the release of a debtor from personal liability 
for a debt. Further collection action is prohibited.
    (h) Disposable pay has the same meaning as that term is defined in 5 
CFR Sec.  550.1103.
    (i) Employee means a current employee of the Peace Corps or other 
Federal agency, including a member of the

[[Page 38]]

Armed Forces or Reserve of the Armed Forces of the United States.
    (j) FCCS means the Federal Claims Collection Standards jointly 
published by the Department of the Treasury and the Department of 
Justice at 31 CFR parts 900-904.
    (k) Person means an individual, corporation, partnership, 
association, organization, State or local government, or any other type 
of entity other than a Federal agency, foreign government, or public 
international organization.
    (l) Salary offset means the withholding of amounts from the current 
pay account of a Federal employee to satisfy a debt owed by that 
employee to the United States.
    (m) Suspension means the temporary cessation of an active debt 
collection pending the occurrence of an anticipated event.
    (n) Termination means the cessation of all active debt collection 
action for the foreseeable future.
    (o) Waiver means the decision to forgo collection of a debt owed to 
the United States as permitted or required by law.



Sec.  309.4  Other procedures or actions.

    (a) Nothing contained in this regulation is intended to require 
Peace Corps to duplicate administrative proceedings required by contract 
or other laws or regulations.
    (b) Nothing in this regulation is intended to preclude utilization 
of informal administrative actions or remedies which may be available.
    (c) Nothing contained in this regulation is intended to deter Peace 
Corps from demanding the return of specific property or from demanding 
the return of the property or the payment of its value.
    (d) The failure of Peace Corps to comply with any provision in this 
regulation shall not serve as a defense to the debt.



Sec.  309.5  Interest, penalties, and administrative costs.

    (a) Except as otherwise provided by statute, contract or excluded in 
accordance with FCCS, Peace Corps will assess:
    (1) Interest on unpaid debts in accordance with 31 CFR 901.9.
    (2) Penalty charges at a rate of 6 percent a year or such other rate 
as authorized by law on any portion of a claim that is delinquent for 
more than 90 days.
    (3) Administrative charges to cover the costs of processing and 
handling delinquent debts.
    (4) Late payment charges that shall be computed from the date of 
mailing or hand delivery of the notice of the claim and interest 
requirements.
    (b) When a debt is paid in partial or installment payments, amounts 
received shall be applied first to outstanding penalty and 
administrative cost charges, second to accrued interest, and then to 
outstanding principal.
    (c) Waiver. Peace Corps will consider waiver of interest, penalties 
and/or administrative costs in accordance with the FCCS, 31 CFR 
901.9(g).



Sec.  309.6  Collection in installments.

    Whenever feasible, and except as required otherwise by law, debts 
owed to the United States, together with interest, penalties, and 
administrative costs as required by this regulation, should be collected 
in one lump sum. This is true whether the debt is being collected under 
administrative offset, including salary offset, or by another method, 
including voluntary payment. However, if the debtor is financially 
unable to pay the indebtedness in one lump sum, payment may be accepted 
in regular installments. If Peace Corps agrees to accept payment in 
installments, it may require a legally enforceable written agreement 
from the debtor that specifies all of the terms of the arrangement and 
which contains a provision accelerating the debt in the event the debtor 
defaults. The size and frequency of the payments should bear a 
reasonable relation to the size of the debt and ability of the debtor to 
pay. If possible, the installment payments should be sufficient in size 
and frequency to liquidate the Government's claim within three years.



Sec.  309.7  Designation.

    The Chief Financial Officer is delegated authority and designated to 
perform all the duties for which the Director is responsible under the 
forgoing statutes and joint regulations.

[[Page 39]]



                      Subpart B_Collection Actions



Sec.  309.8  Application.

    (a) Peace Corps shall aggressively collect claims and debts in 
accordance with these regulations and applicable law.
    (b) Peace Corps will transfer to the Department of the Treasury, 
Financial Management Service (FMS) any past due, legally enforceable 
non-tax debt that has been delinquent for 180 days or more so that FMS 
may take appropriate action to collect the debt or take other 
appropriate action in accordance with applicable law and regulation.
    (c) Peace Corps may transfer any past due, legally enforceable debt 
that has been delinquent for fewer than 180 days to FMS for collection 
in accordance with applicable law and regulation. (See 31 CFR part 285.)



Sec.  309.9  Notice--written demand for payment.

    (a) Upon determination that a debt is owed to Peace Corps or the 
United States, Peace Corps shall promptly hand deliver or send by first-
class mail (to the debtor's most current address in the records of Peace 
Corps) at least one written notice (e.g. Bill of Collection or demand 
letter) informing the debtor of the consequences of failing to pay or 
otherwise resolve a Peace Corps debt, subject to paragraph (c) of this 
section. Written demand under this subpart may be preceded by other 
appropriate actions under this part and or the FCCS, including but not 
limited to actions taken under the procedures applicable to 
administrative offset, including salary offset.
    (b) The written notice shall inform the debtor of:
    (1) The nature and amount of the debt, and the facts giving rise to 
the debt;
    (2) The date by which payment should be made to avoid the imposition 
of interest, penalties, and administrative costs, and the enforced 
collection actions described in Sec.  309.5 of this part;
    (3) The applicable standards for imposing interest, penalties and 
administrative costs to delinquent debts;
    (4) Peace Corps' willingness to discuss alternative payment 
arrangements and how the debtor may enter into a written agreement to 
repay the debt under terms acceptable to Peace Corps;
    (5) The name, address, and telephone number of a contact person or 
office within Peace Corps;
    (6) Peace Corps' intention to enforce collection if the debtor fails 
to pay or otherwise resolve the debt, by taking one or more of the 
following actions:
    (i) Offset from Federal payments otherwise due to the debtor, 
including income tax refunds, salary, certain benefit payments, 
retirement, vendor payments, travel reimbursement and advances, and 
other Federal payments;
    (ii) Referral to private collection agency;
    (iii) Report to credit bureaus;
    (iv) Administrative wage garnishment;
    (v) Referral to Department of Justice for litigation action;
    (vi) Referral to Financial Management Service of the Department of 
the Treasury for collection;
    (vii) Other actions as permitted by the FCCS and applicable law.
    (7) How the debtor may inspect and copy records related to the debt;
    (8) The debtor's opportunity for an internal review of Peace Corps' 
determination that the debtor owes a debt or the amount of the debt;
    (9) The debtor's right, if any, to request waiver of collection of 
certain debts, as applicable;
    (10) Requirement that the debtor advise Peace Corps of any 
bankruptcy proceeding of the debtor.
    (c) Peace Corps may omit from a notice to a debtor one or more of 
the provisions contained in paragraphs (b) (6) through (10) of this 
section if Peace Corps determines that any provision is not legally 
required given the collection remedies to be applied to a particular 
debt, or which have already been provided by prior notice, applicable 
agreement, or contract.



Sec.  309.10  Review requirements.

    (a) For purposes of this section, whenever Peace Corps is required 
to afford a debtor a review within the agency, Peace Corps shall provide 
the debtor with an opportunity for an internal review of the existence 
or the amount

[[Page 40]]

of the debt. For offset of current Federal salary under 5 U.S.C. 5514 
for certain debts, debtors may also request an outside hearing. (See 
subpart C of this part)
    (b) Any request for a review must be in writing to the contact 
office by the payment due date stated in the initial notice sent under 
Sec.  309.9(b) or other applicable provision. The debtor's request shall 
state the basis for the dispute and include any relevant documentation 
in support.
    (1) Peace Corps will provide for an internal review of the debt by 
an appropriate agency official. The review may include examination of 
documents, internal discussions with relevant officials and discussion 
by letter or orally with the debtor, at Peace Corps' discretion.
    (2) An oral hearing is not required when, in Peace Corps' 
determination, the matter can be decided on the documentary record. 
Peace Corps will provide a ``paper hearing'', that is, a determination 
based upon a review of the written record unless Peace Corps makes a 
determination that a debt involves issues of credibility or veracity, at 
which point an oral hearing may be required. Unless otherwise required 
by law, such oral hearing shall not be a formal evidentiary hearing.



Sec.  309.11  Collection.

    Upon final determination of the existence and amount of a debt, 
unless other acceptable payment arrangement have been made or procedures 
under a specific statute apply, Peace Corps shall collect the debt by 
one or more of the methods described in Sec.  309.9(b) (6) (i-vii) or as 
otherwise authorized by law and regulation.
    (a) Administrative offset--(1) Payments otherwise due the debtor 
from the United States shall be offset from the debt in accordance with 
31 CFR 901.3. These may be funds under the control of Peace Corps or 
other Federal agencies. Collection may be through centralized offset by 
the Financial Management Service (FMS) of the Department of the 
Treasury.
    (2) Such payments include but are not limited to vendor payments, 
salary, retirement, lump sum payments due upon Federal employment 
separation, travel reimbursements, tax refunds, loans or other 
assistance. Offset of Federal salary payments will be in accordance with 
5 U.S.C. 5514.
    (3) Before administrative offset is instituted by another Federal 
agency or the FMS, Peace Corps shall certify in writing to that entity 
that the debt is past due and legally enforceable and that Peace Corps 
has complied with all applicable due process and other requirements as 
described in this part and other Federal law and regulations.
    (b) Any other method authorized by law or regulation.



                         Subpart C_Salary Offset



Sec.  309.12  Purpose.

    This subpart provides Peace Corps' policies and procedures for the 
collection by salary offset of a Federal employee's pay to satisfy 
certain past due debts owed the United States Government.



Sec.  309.13  Scope.

    (a) The provisions of this section apply to collection by salary 
offset under 5 U.S.C. 5514 of debts owed to Peace Corps and debts owed 
to other Federal agencies by Peace Corps' employees. Peace Corps will 
make reasonable and lawful efforts to administratively collect amounts 
owed by employees prior to initiating salary offset action. This section 
does not apply to debts where collection by salary offset is explicitly 
provided for or prohibited by another statute (e.g. travel advances).
    (b) References. The following statutes and regulations apply to 
Peace Corps' recovery of debts due the United States by salary offset:
    (1) 5 U.S.C. 5514, as amended, governing the installment collection 
of debts;
    (2) 31 U.S.C. 3716, governing the liquidation of debts by 
administrative offset;
    (3) 5 CFR part 550, subpart K, setting forth the minimum 
requirements for executive agency regulations on salary offset; and
    (4) 31 CFR parts 900 through 904, the Federal Claims Collections 
Standards.

[[Page 41]]

    (c) Nothing in this subpart precludes the compromise, suspension, or 
termination of collection actions where appropriate under the standards 
implementing the Federal Claims Collection Standards.



Sec.  309.14  Coordinating offset with another Federal agency.

    (a) When Peace Corps is owed a debt by an employee of another 
agency, the other agency shall not initiate the requested offset until 
Peace Corps provides the agency with a written certification that the 
debtor owes Peace Corps a debt (including the amount and basis of the 
debt and the due date of payment) and that Peace Corps has complied with 
these regulations.
    (b) When another agency is owed the debt, Peace Corps may use salary 
offset against one of its employees who is indebted to another agency, 
if requested to do so by that agency. Such request must be accompanied 
by a certification that the person owes the debt (including the amount 
and basis of the debt and the due date of payment) and that the agency 
has complied with its regulations as required by 5 U.S.C. 5514 and 5 CFR 
part 550, subpart K.



Sec.  309.15  Notice requirements before offset.

    (a) Deductions under the authority of 5 U.S.C. 5514 shall not be 
made unless the creditor agency first provides the employee with written 
notice that he/she owes a debt to the Federal Government at least 30 
calendar days before salary offset is to be initiated. When Peace Corps 
is the creditor agency this notice of intent to offset an employee's 
salary shall be hand-delivered or sent by certified mail to the most 
current address that is available. The written notice will state:
    (1) That Peace Corps has reviewed the records relating to the claim 
and has determined that a debt is owed, its origin and nature, and the 
amount of the debt;
    (2) The intention of Peace Corps to collect the debt by means of 
deduction from the employee's current disposable pay account until the 
debt and all accumulated interest is paid in full;
    (3) The amount, frequency, approximate beginning date, and duration 
of the intended deductions;
    (4) An explanation of the Peace Corps' policy concerning interest, 
penalties and administrative costs, including a statement that such 
assessments must be made unless excused in accordance with the FCCS (See 
Sec.  309.5);
    (5) The employee's right to inspect and copy all records of the 
Peace Corps pertaining to the debt claimed or to receive copies of such 
records if personal inspection is impractical;
    (6) The right to a hearing conducted by a hearing official (an 
administrative law judge, or alternatively, an individual not under the 
supervision or control of the Peace Corps) with respect to the existence 
and amount of the debt claimed, or the repayment schedule, so long as a 
petition is filed by the employee as prescribed;
    (7) If not previously provided, the opportunity (under terms 
agreeable to the Peace Corps) to establish a schedule for the voluntary 
repayment of the debt or to enter into a written agreement to establish 
a schedule for repayment of the debt in lieu of offset. The agreement 
must be in writing, signed by both the employee and the creditor agency, 
and documented in the creditor agency's files;
    (8) The name, address and telephone number of an officer or employee 
of the Peace Corps who may be contacted concerning procedures for 
requesting a hearing;
    (9) The method and time period for requesting a hearing;
    (10) That the timely filing of a petition for a hearing as 
prescribed will stay the commencement of collection proceedings;
    (11) The name and address of the office to which the petition should 
be sent;
    (12) That the Peace Corps will initiate certification procedures to 
implement a salary offset, as appropriate, (which may not exceed 15 
percent of the employee's disposable pay) not less than 30 calendar days 
from the date of delivery of the notice of debt, unless the employee 
files a timely petition for a hearing;
    (13) That a final decision on the hearing (if one is requested) will 
be issued

[[Page 42]]

at the earliest practical date, but not later than 60 calendar days 
after the filing of the petition requesting the hearing, unless the 
employee requests and the hearing official grants a delay in the 
proceedings;
    (14) That any knowingly false or frivolous statements, 
representations or evidence may subject the employee to:
    (i) Disciplinary procedures appropriate under the Peace Corps Act or 
the Foreign Service Act, Peace Corps regulations, or any other 
applicable statutes or regulations;
    (ii) Penalties under the False Claims Act, Sec. Sec.  3729-3731 of 
title 31, United States Code, or any other applicable statutory 
authority; and
    (iii) Criminal penalties under 18 U.S.C. sections 286, 287, 1001, 
and 1002 or any other applicable authority;
    (15) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made;
    (16) That unless there are applicable contractual or statutory 
provisions to the contrary, amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee; and
    (17) That proceedings with respect to such debt are governed by 5 
U.S.C. 5514.
    (b) Peace Corps is not required to provide prior notice to an 
employee when the following adjustments are made by Peace Corps to a 
Peace Corps employee's pay:
    (1) Any adjustment to pay arising out of an employee's election of 
coverage or a change in coverage under a Federal benefits program 
requiring periodic deductions from pay if the amount to be recovered was 
accumulated over four pay periods or less;
    (2) A routine adjustment of pay that is made to correct an 
overpayment of pay attributable to clerical or administrative errors or 
delays in processing pay documents, if the overpayment occurred within 
the four pay periods preceding the adjustment, and, at the time of such 
adjustment, or as soon thereafter as practical, the individual is 
provided written notice of the nature and the amount of the adjustment 
and point of contact for contesting the adjustment; or
    (3) Any adjustment to collect a debt of $50 or less, if, at the time 
of such adjustment, or as soon thereafter as practical, the individual 
is provided written notice of the nature of the amount of the adjustment 
and a point of contact for contesting the adjustment.



Sec.  309.16  Review.

    (a) Request for outside hearing. Except as provided in paragraph (b) 
of this section, an employee who desires an outside hearing concerning 
the existence or amount of the debt or the proposed offset schedule must 
send a request to the office designated in the notice of intent. See 
Sec.  309.15(a)(8). The request must be received by the designated 
office not later than 20 calendar days after the date of delivery of the 
notice as provided in Sec.  309.15(a). The request must be signed by the 
employee and should identify and explain with reasonable specificity and 
brevity the facts, evidence and witnesses which the employee believes 
support his or her position. If the employee objects to the percentage 
of disposable pay to be deducted from each check, the request should 
state the objection and the reasons for it. The employee must also 
specify whether an oral hearing or a review of the documentary evidence 
is requested. If an oral hearing is desired, the request should explain 
why the matter cannot be resolved by review of the documentary evidence 
alone.
    (b) Failure to submit timely. (1) If the employee files a petition 
for a review after the expiration of the 20 calendar day period provided 
for in paragraph (a) of this section, the designated office may accept 
the request if the employee can show that the delay was the result of 
circumstances beyond his or her control, or because of a failure to 
receive the notice of the filing deadline (unless the employee has 
actual knowledge of the filing deadline).
    (2) An employee waives the right to a review, and will have his or 
her disposable pay offset in accordance with Peace Corps' offset 
schedule, if the employee fails to file a request for a hearing unless 
such failure is excused as provided in paragraph (b)(1) of this section.

[[Page 43]]

    (3) If the employee fails to appear at an oral hearing of which he 
or she was notified, unless the hearing official determines failure to 
appear was due to circumstances beyond the employee's control, his or 
her appeal will be decided on the basis of the documents then available 
to the hearing official.
    (c) Representation at the hearing. The creditor agency may be 
represented by a representative of its choice. The employee may 
represent himself or herself or may be represented by an individual of 
his or her choice and at his or her expense.
    (d) Review of Peace Corps records related to the debt. (1) An 
employee who intends to inspect or copy creditor agency records related 
to the debt in accordance with Sec.  309.15(a)(5), must send a letter to 
the official designated in the notice of intent to offset stating his or 
her intention. The letter must be sent within 20 calendar days after 
receipt of the notice.
    (2) In response to a timely request submitted by the debtor, the 
designated official will notify the employee of the location and time 
when the employee may inspect and copy records related to the debt.
    (3) If personal inspection is impractical, copies of such records 
shall be sent to the employee.
    (e) Oral Hearing. (1) If an employee timely files a request for an 
oral hearing under Sec.  309.16(a), the matter will be conducted by a 
hearing official not under the supervision or control of Peace Corps.
    (2) Procedure. (i) After the employee requests a hearing, the 
hearing official shall notify the employee of the form of the hearing to 
be provided. If the hearing will be oral, notice shall set forth the 
date, time and location of the hearing. If the hearing will be paper, 
the employee shall be notified that he or she should submit arguments in 
writing to the hearing official by a specified date after which the 
record shall be closed. This date shall give the employee reasonable 
time to submit documentation.
    (ii) An employee who requests an oral hearing shall be provided an 
oral hearing if the hearing official determines that the matter cannot 
be resolved by review of documentary evidence alone (e.g. when an issue 
of credibility or veracity is involved). The hearing is not an 
adversarial adjudication, and need not take the form of an evidentiary 
hearing.
    (iii) If the hearing official determines that an oral hearing is not 
necessary, he or she will make a decision based upon a review of the 
available written record.
    (iv) The hearing official must maintain a summary record of any 
hearing provided by this subpart. Witnesses who provide testimony will 
do so under oath or affirmation.
    (3) Decision. The written decision shall include:
    (i) A statement of the facts presented to support the origin, 
nature, and amount of the debt;
    (ii) The hearing official's findings, analysis, and conclusions; and
    (iii) The terms of any repayment schedules, or the date salary 
offset will commence, if applicable.
    (4) Failure to appear. In the absence of good cause shown (e.g. 
excused illness), an employee who fails to appear at a hearing shall be 
deemed, for the purpose of this subpart, to admit the existence and 
amount of the debt as described in the notice of intent. The hearing 
official shall schedule a new hearing upon the request of the creditor 
agency representative when good cause is shown.
    (5) A hearing official's decision is considered to be an official 
certification regarding the existence and amount of the debt for 
purposes of executing salary offset under 5 U.S.C. 5514 only. It does 
not supersede the finding by Peace Corps that a debt is owed and does 
not affect the Government's ability to recoup the debt through 
alternative collection methods under other appropriate methods.



Sec.  309.17  Procedures for salary offset.

    Unless otherwise provided by statute or contract, the following 
procedures apply to salary offset:
    (a) Method. Salary offset will be made by deduction at one or more 
officially established pay intervals from the current pay account of the 
employee without his or her consent.
    (b) Source. The source of salary offset is current disposable pay.

[[Page 44]]

    (c) Types of collection--(1) Lump sum payment. Ordinarily debts will 
be collected by salary offset in one lump sum if possible. However, if 
the amount of the debt exceeds 15 percent of disposable pay for an 
officially established pay interval, the collection by salary offset 
must be made in installment deductions.
    (2) Installment deductions. (i) The size of installment deductions 
must bear a reasonable relation to the size of the debt and the 
employee's ability to pay. If possible, the size of the deduction will 
be that necessary to liquidate the debt in no more than 1 year. However, 
the amount deducted for any period must not exceed 15 percent of the 
disposable pay from which the deduction is made, except as provided by 
other regulations or unless the employee has agreed in writing to 
greater amount.
    (ii) Installment payments of less than $25 per pay period will be 
accepted only in the most unusual circumstances.
    (iii) Installment deductions will be made over a period of not 
greater than the anticipated period of employment.



Sec.  309.18  Voluntary repayment agreements as an alternative to salary
offset.

    (a) In response to a notice of intent, an employee may propose a 
written agreement to repay the debt as an alternative to salary offset. 
Any employee who wishes to repay a debt without salary offset shall 
submit in writing a proposed agreement to repay the debt. The proposal 
shall admit the existence of the debt and set forth a proposed repayment 
schedule. Any proposal under this paragraph must be received by the 
official designated in that notice within 20 calendar days after receipt 
of the notice of intent.
    (b) When the Peace Corps is the creditor agency, in response to a 
timely proposal by the debtor the agency will notify the employee 
whether the employee's proposed written agreement for repayment is 
acceptable. It is within the agency's discretion to accept a repayment 
agreement instead of proceeding by offset.
    (c) If the Peace Corps decides that the proposed repayment agreement 
is unacceptable, the employee will have 15 calendar days from the date 
he or she received notice of the decision to file a petition for a 
review.
    (d) If the Peace Corps decides that the proposed repayment agreement 
is acceptable, the alternative arrangement must be in writing and signed 
by both the employee and a designated agency official.



Sec.  309.19  Waiver.

    (a) Under certain circumstances, employees may have a statutory 
right to request a waiver of indebtedness. When an employee makes a 
request under a statutory right, further collection will be stayed 
pending an administrative determination on the request.
    (b) Waiver of indebtedness is an equitable remedy and as such must 
be based on an assessment of the facts involved in the individual case 
under consideration. The burden is on the employee to demonstrate that 
the applicable waiver standard has been met.



Sec.  309.20  Compromise.

    Peace Corps may attempt to effect compromise in accordance with the 
standards set forth in the FCCS (31 CFR part 902).



Sec.  309.21  Suspension of collection.

    Suspension of collection action shall be made in accordance with the 
standards set forth in the FCCS (31 CFR 903.1-903.2).



Sec.  309.22  Termination of collection.

    Termination of collection action shall be made in accordance with 
the standards set forth in the FCCS (31 CFR 903.1 and 903.3-903.4).



Sec.  309.23  Discharge.

    Once a debt has been closed out for accounting purposes and 
collection has been terminated, the debt is discharged. Peace Corps will 
report discharged debt as income to the debtor to the Internal Revenue 
Service per 26 U.S.C. 6050P and 26 CFR 1.6050P-1.



Sec.  309.24  Bankruptcy.

    Peace Corps generally terminates collection activity on debts that 
have been discharged in bankruptcy unless otherwise provided for by 
bankruptcy law. The CFO will seek legal advice by

[[Page 45]]

the General Counsel's office if there is the belief that any claims or 
offset may have survived the discharge of a debtor.



PART 311_NEW RESTRICTIONS ON LOBBYING--Table of Contents



                            Subpart A_General

Sec.
311.100 Conditions on use of funds.
311.105 Definitions.
311.110 Certification and disclosure.

                  Subpart B_Activities by Own Employees

311.200 Agency and legislative liaison.
311.205 Professional and technical services.
311.210 Reporting.

            Subpart C_Activities by Other Than Own Employees

311.300 Professional and technical services.

                   Subpart D_Penalties and Enforcement

311.400 Penalties.
311.405 Penalty procedures.
311.410 Enforcement.

                          Subpart E_Exemptions

311.500 Secretary of Defense.

                        Subpart F_Agency Reports

311.600 Semi-annual compilation.
311.605 Inspector General report.

Appendix A to Part 311--Certification Regarding Lobbying
Appendix B to Part 311--Disclosure Form To Report Lobbying

    Authority: Section 319, Public Law 101-121 (31 U.S.C. 1352); 22 
U.S.C. 2503.

    Cross Reference: See also Office of Management and Budget notice 
published at 54 FR 52306, December 20, 1989.

    Source: 55 FR 6737, 6749, Feb. 26, 1990, unless otherwise noted.



                            Subpart A_General



Sec.  311.100  Conditions on use of funds.

    (a) No appropriated funds may be expended by the recipient of a 
Federal contract, grant, loan, or cooperative ageement to pay any person 
for influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with any of the following 
covered Federal actions: the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (b) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or cooperative agreement shall file with that 
agency a certification, set forth in appendix A, that the person has not 
made, and will not make, any payment prohibited by paragraph (a) of this 
section.
    (c) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or a cooperative agreement shall file with that 
agency a disclosure form, set forth in appendix B, if such person has 
made or has agreed to make any payment using nonappropriated funds (to 
include profits from any covered Federal action), which would be 
prohibited under paragraph (a) of this section if paid for with 
appropriated funds.
    (d) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a statement, set forth in Appendix A, whether that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.
    (e) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a disclosure form, set forth in appendix B, if that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.

[[Page 46]]



Sec.  311.105  Definitions.

    For purposes of this part:
    (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal 
executive departments and agencies as well as independent regulatory 
commissions and Government corporations, as defined in 31 U.S.C. 
9101(1).
    (b) Covered Federal action means any of the following Federal 
actions:
    (1) The awarding of any Federal contract;
    (2) The making of any Federal grant;
    (3) The making of any Federal loan;
    (4) The entering into of any cooperative agreement; and,
    (5) The extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.


Covered Federal action does not include receiving from an agency a 
commitment providing for the United States to insure or guarantee a 
loan. Loan guarantees and loan insurance are addressed independently 
within this part.
    (c) Federal contract means an acquisition contract awarded by an 
agency, including those subject to the Federal Acquisition Regulation 
(FAR), and any other acquisition contract for real or personal property 
or services not subject to the FAR.
    (d) Federal cooperative agreement means a cooperative agreement 
entered into by an agency.
    (e) Federal grant means an award of financial assistance in the form 
of money, or property in lieu of money, by the Federal Government or a 
direct appropriation made by law to any person. The term does not 
include technical assistance which provides services instead of money, 
or other assistance in the form of revenue sharing, loans, loan 
guarantees, loan insurance, interest subsidies, insurance, or direct 
United States cash assistance to an individual.
    (f) Federal loan means a loan made by an agency. The term does not 
include loan guarantee or loan insurance.
    (g) Indian tribe and tribal organization have the meaning provided 
in section 4 of the Indian Self-Determination and Education Assistance 
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions 
of Indian tribes in that Act.
    (h) Influencing or attempting to influence means making, with the 
intent to influence, any communication to or appearance before an 
officer or employee or any agency, a Member of Congress, an officer or 
employee of Congress, or an employee of a Member of Congress in 
connection with any covered Federal action.
    (i) Loan guarantee and loan insurance means an agency's guarantee or 
insurance of a loan made by a person.
    (j) Local government means a unit of government in a State and, if 
chartered, established, or otherwise recognized by a State for the 
performance of a governmental duty, including a local public authority, 
a special district, an intrastate district, a council of governments, a 
sponsor group representative organization, and any other instrumentality 
of a local government.
    (k) Officer or employee of an agency includes the following 
individuals who are employed by an agency:
    (1) An individual who is appointed to a position in the Government 
under title 5, U.S. Code, including a position under a temporary 
appointment;
    (2) A member of the uniformed services as defined in section 101(3), 
title 37, U.S. Code;
    (3) A special Government employee as defined in section 202, title 
18, U.S. Code; and,
    (4) An individual who is a member of a Federal advisory committee, 
as defined by the Federal Advisory Committee Act, title 5, U.S. Code 
appendix 2.
    (l) Person means an individual, corporation, company, association, 
authority, firm, partnership, society, State, and local government, 
regardless of whether such entity is operated for profit or not for 
profit. This term excludes an Indian tribe, tribal organization, or any 
other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (m) Reasonable compensation means, with respect to a regularly 
employed officer or employee of any person, compensation that is 
consistent with the normal compensation for such officer

[[Page 47]]

or employee for work that is not furnished to, not funded by, or not 
furnished in cooperation with the Federal Government.
    (n) Reasonable payment means, with respect to perfessional and other 
technical services, a payment in an amount that is consistent with the 
amount normally paid for such services in the private sector.
    (o) Recipient includes all contractors, subcontractors at any tier, 
and subgrantees at any tier of the recipient of funds received in 
connection with a Federal contract, grant, loan, or cooperative 
agreement. The term excludes an Indian tribe, tribal organization, or 
any other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (p) Regularly employed means, with respect to an officer or employee 
of a person requesting or receiving a Federal contract, grant, loan, or 
cooperative agreement or a commitment providing for the United States to 
insure or guarantee a loan, an officer or employee who is employed by 
such person for at least 130 working days within one year immediately 
preceding the date of the submission that initiates agency consideration 
of such person for receipt of such contract, grant, loan, cooperative 
agreement, loan insurance commitment, or loan guarantee commitment. An 
officer or employee who is employed by such person for less than 130 
working days within one year immediately preceding the date of the 
submission that initiates agency consideration of such person shall be 
considered to be regularly employed as soon as he or she is employed by 
such person for 130 working days.
    (q) State means a State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, a territory or possession of 
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and 
powers.



Sec.  311.110  Certification and disclosure.

    (a) Each person shall file a certification, and a disclosure form, 
if required, with each submission that initiates agency consideration of 
such person for:
    (1) Award of a Federal contract, grant, or cooperative agreement 
exceeding $100,000; or
    (2) An award of a Federal loan or a commitment providing for the 
United States to insure or guarantee a loan exceeding $150,000.
    (b) Each person shall file a certification, and a disclosure form, 
if required, upon receipt by such person of:
    (1) A Federal contract, grant, or cooperative agreement exceeding 
$100,000; or
    (2) A Federal loan or a commitment providing for the United States 
to insure or guarantee a loan exceeding $150,000, unless such person 
previously filed a certification, and a disclosure form, if required, 
under paragraph (a) of this section.
    (c) Each person shall file a disclosure form at the end of each 
calendar quarter in which there occurs any event that requires 
disclosure or that materially affects the accuracy of the information 
contained in any disclosure form previously filed by such person under 
paragraphs (a) or (b) of this section. An event that materially affects 
the accuracy of the information reported includes:
    (1) A cumulative increase of $25,000 or more in the amount paid or 
expected to be paid for influencing or attempting to influence a covered 
Federal action; or
    (2) A change in the person(s) or individual(s) influencing or 
attempting to influence a covered Federal action; or,
    (3) A change in the officer(s), employee(s), or Member(s) contacted 
to influence or attempt to influence a covered Federal action.
    (d) Any person who requests or receives from a person referred to in 
paragraphs (a) or (b) of this section:
    (1) A subcontract exceeding $100,000 at any tier under a Federal 
contract;
    (2) A subgrant, contract, or subcontract exceeding $100,000 at any 
tier under a Federal grant;
    (3) A contract or subcontract exceeding $100,000 at any tier under a 
Federal loan exceeding $150,000; or,
    (4) A contract or subcontract exceeding $100,000 at any tier under a 
Federal cooperative agreement, shall file a certification, and a 
disclosure form, if required, to the next tier above.

[[Page 48]]

    (e) All disclosure forms, but not certifications, shall be forwarded 
from tier to tier until received by the person referred to in paragraphs 
(a) or (b) of this section. That person shall forward all disclosure 
forms to the agency.
    (f) Any certification or disclosure form filed under paragraph (e) 
of this section shall be treated as a material representation of fact 
upon which all receiving tiers shall rely. All liability arising from an 
erroneous representation shall be borne solely by the tier filing that 
representation and shall not be shared by any tier to which the 
erroneous representation is forwarded. Submitting an erroneous 
certification or disclosure constitutes a failure to file the required 
certification or disclosure, respectively. If a person fails to file a 
required certification or disclosure, the United States may pursue all 
available remedies, including those authorized by section 1352, title 
31, U.S. Code.
    (g) For awards and commitments in process prior to December 23, 
1989, but not made before that date, certifications shall be required at 
award or commitment, covering activities occurring between December 23, 
1989, and the date of award or commitment. However, for awards and 
commitments in process prior to the December 23, 1989 effective date of 
these provisions, but not made before December 23, 1989, disclosure 
forms shall not be required at time of award or commitment but shall be 
filed within 30 days.
    (h) No reporting is required for an activity paid for with 
appropriated funds if that activity is allowable under either subpart B 
or C.



                  Subpart B_Activities by Own Employees



Sec.  311.200  Agency and legislative liaison.

    (a) The prohibition on the use of appropriated funds, in Sec.  
311.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement if 
the payment is for agency and legislative liaison activities not 
directly related to a covered Federal action.
    (b) For purposes of paragraph (a) of this section, providing any 
information specifically requested by an agency or Congress is allowable 
at any time.
    (c) For purposes of paragraph (a) of this section, the following 
agency and legislative liaison activities are allowable at any time only 
where they are not related to a specific solicitation for any covered 
Federal action:
    (1) Discussing with an agency (including individual demonstrations) 
the qualities and characteristics of the person's products or services, 
conditions or terms of sale, and service capabilities; and,
    (2) Technical discussions and other activities regarding the 
application or adaptation of the person's products or services for an 
agency's use.
    (d) For purposes of paragraph (a) of this section, the following 
agencies and legislative liaison activities are allowable only where 
they are prior to formal solicitation of any covered Federal action:
    (1) Providing any information not specifically requested but 
necessary for an agency to make an informed decision about initiation of 
a covered Federal action;
    (2) Technical discussions regarding the preparation of an 
unsolicited proposal prior to its official submission; and,
    (3) Capability presentations by persons seeking awards from an 
agency pursuant to the provisions of the Small Business Act, as amended 
by Public Law 95-507 and other subsequent amendments.
    (e) Only those activities expressly authorized by this section are 
allowable under this section.



Sec.  311.205  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
311.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement or 
an extension, continuation, renewal, amendment, or modification of a 
Federal contract, grant, loan, or cooperative agreement if payment is 
for professional or technical services rendered

[[Page 49]]

directly in the preparation, submission, or negotiation of any bid, 
proposal, or application for that Federal contract, grant, loan, or 
cooperative agreement or for meeting requirements imposed by or pursuant 
to law as a condition for receiving that Federal contract, grant, loan, 
or cooperative agreement.
    (b) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (c) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (d) Only those services expressly authorized by this section are 
allowable under this section.



Sec.  311.210  Reporting.

    No reporting is required with respect to payments of reasonable 
compensation made to regularly employed officers or employees of a 
person.



            Subpart C_Activities by Other Than Own Employees



Sec.  311.300  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
311.100 (a), does not apply in the case of any reasonable payment to a 
person, other than an officer or employee of a person requesting or 
receiving a covered Federal action, if the payment is for professional 
or technical services rendered directly in the preparation, submission, 
or negotiation of any bid, proposal, or application for that Federal 
contract, grant, loan, or cooperative agreement or for meeting 
requirements imposed by or pursuant to law as a condition for receiving 
that Federal contract, grant, loan, or cooperative agreement.
    (b) The reporting requirements in Sec.  311.110 (a) and (b) 
regarding filing a disclosure form by each person, if required, shall 
not apply with respect to professional or technical services rendered 
directly in the preparation, submission, or negotiation of any 
commitment providing for the United States to insure or guarantee a 
loan.
    (c) For purposes of paragraph (a) of this section, professional and 
technical services shall be limited to advice and analysis directly 
applying any professional or technical discipline. For example, drafting 
or a legal document accompanying a bid or proposal by a lawyer is 
allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable

[[Page 50]]

under this section unless they provide advice and analysis directly 
applying their professional or technical expertise and unless the advice 
or analysis is rendered directly and solely in the preparation, 
submission or negotiation of a covered Federal action. Thus, for 
example, communications with the intent to influence made by a lawyer 
that do not provide legal advice or analysis directly and solely related 
to the legal aspects of his or her client's proposal, but generally 
advocate one proposal over another are not allowable under this section 
because the lawyer is not providing professional legal services. 
Similarly, communications with the intent to influence made by an 
engineer providing an engineering analysis prior to the preparation or 
submission of a bid or proposal are not allowable under this section 
since the engineer is providing technical services but not directly in 
the preparation, submission or negotiation of a covered Federal action.
    (d) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (e) Persons other than officers or employees of a person requesting 
or receiving a covered Federal action include consultants and trade 
associations.
    (f) Only those services expressly authorized by this section are 
allowable under this section.



                   Subpart D_Penalties and Enforcement



Sec.  311.400  Penalties.

    (a) Any person who makes an expenditure prohibited herein shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
appendix B) to be filed or amended if required herein, shall be subject 
to a civil penalty of not less than $10,000 and not more than $100,000 
for each such failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is commenced 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action is commenced with 
respect to a failure when an investigating official determines in 
writing to commence an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, the agency 
shall consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of such person to continue in 
business, any prior violations by such person, the degree of culpability 
of such person, the ability of the person to pay the penalty, and such 
other matters as may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $10,000, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $10,000 and $100,000, as 
determined by the agency head or his or her designee.
    (f) An imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of such civil 
penalty.



Sec.  311.405  Penalty procedures.

    Agencies shall impose and collect civil penalties pursuant to the 
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 
3812, insofar as these provisions are not inconsistent with the 
requirements herein.



Sec.  311.410  Enforcement.

    The head of each agency shall take such actions as are necessary to 
ensure that the provisions herein are vigorously implemented and 
enforced in that agency.

[[Page 51]]



                          Subpart E_Exemptions



Sec.  311.500  Secretary of Defense.

    (a) The Secretary of Defense may exempt, on a case-by-case basis, a 
covered Federal action from the prohibition whenever the Secretary 
determines, in writing, that such an exemption is in the national 
interest. The Secretary shall transmit a copy of each such written 
exemption to Congress immediately after making such a determination.
    (b) The Department of Defense may issue supplemental regulations to 
implement paragraph (a) of this section.



                        Subpart F_Agency Reports



Sec.  311.600  Semi-annual compilation.

    (a) The head of each agency shall collect and compile the disclosure 
reports (see appendix B) and, on May 31 and November 30 of each year, 
submit to the Secretary of the Senate and the Clerk of the House of 
Representatives a report containing a compilation of the information 
contained in the disclosure reports received during the six-month period 
ending on March 31 or September 30, respectively, of that year.
    (b) The report, including the compilation, shall be available for 
public inspection 30 days after receipt of the report by the Secretary 
and the Clerk.
    (c) Information that involves intelligence matters shall be reported 
only to the Select Committee on Intelligence of the Senate, the 
Permanent Select Committee on Intelligence of the House of 
Representatives, and the Committees on Appropriations of the Senate and 
the House of Representatives in accordance with procedures agreed to by 
such committees. Such information shall not be available for public 
inspection.
    (d) Information that is classified under Executive Order 12356 or 
any successor order shall be reported only to the Committee on Foreign 
Relations of the Senate and the Committee on Foreign Affairs of the 
House of Representatives or the Committees on Armed Services of the 
Senate and the House of Representatives (whichever such committees have 
jurisdiction of matters involving such information) and to the 
Committees on Appropriations of the Senate and the House of 
Representatives in accordance with procedures agreed to by such 
committees. Such information shall not be available for public 
inspection.
    (e) The first semi-annual compilation shall be submitted on May 31, 
1990, and shall contain a compilation of the disclosure reports received 
from December 23, 1989 to March 31, 1990.
    (f) Major agencies, designated by the Office of Management and 
Budget (OMB), are required to provide machine-readable compilations to 
the Secretary of the Senate and the Clerk of the House of 
Representatives no later than with the compilations due on May 31, 1991. 
OMB shall provide detailed specifications in a memorandum to these 
agencies.
    (g) Non-major agencies are requested to provide machine-readable 
compilations to the Secretary of the Senate and the Clerk of the House 
of Representatives.
    (h) Agencies shall keep the originals of all disclosure reports in 
the official files of the agency.



Sec.  311.605  Inspector General report.

    (a) The Inspector General, or other official as specified in 
paragraph (b) of this section, of each agency shall prepare and submit 
to Congress each year, commencing with submission of the President's 
Budget in 1991, an evaluation of the compliance of that agency with, and 
the effectiveness of, the requirements herein. The evaluation may 
include any recommended changes that may be necessary to strengthen or 
improve the requirements.
    (b) In the case of an agency that does not have an Inspector 
General, the agency official comparable to an Inspector General shall 
prepare and submit the annual report, or, if there is no such comparable 
official, the head of the agency shall prepare and submit the annual 
report.
    (c) The annual report shall be submitted at the same time the agency 
submits its annual budget justifications to Congress.
    (d) The annual report shall include the following: All alleged 
violations relating to the agency's covered Federal actions during the 
year covered by the

[[Page 52]]

report, the actions taken by the head of the agency in the year covered 
by the report with respect to those alleged violations and alleged 
violations in previous years, and the amounts of civil penalties imposed 
by the agency in the year covered by the report.



      Sec. Appendix A to Part 311--Certification Regarding Lobbying

 Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, by 
or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of an agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, an 
officer or employee of Congress, or an employee of a Member of Congress 
in connection with this Federal contract, grant, loan, or cooperative 
agreement, the undersigned shall complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

            Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form-LLL, ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

[[Page 53]]



     Sec. Appendix B to Part 311--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC13OC91.000


[[Page 54]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.001


[[Page 55]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.002


[[Page 56]]





PART 312_GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE 
(FINANCIAL ASSISTANCE)--Table of Contents



                     Subpart A_Purpose and Coverage

Sec.
312.100 What does this part do?
312.105 Does this part apply to me?
312.110 Are any of my federal assistance awards exempt from this part?
312.115 Does this part affect the federal contracts that I receive?

      Subpart B_Requirements for Recipients Other Than Individuals

312.200 What must I do to comply with this part?
312.205 What must I include in my drug-free workplace statement?
312.210 To whom must I distribute my drug-free workplace statement?
312.215 What must I include in my drug-free awareness program?
312.220 By when must I publish my drug-free workplace statement and 
          establish my drug-free awareness program?
312.225 What actions must I take concerning employees who are convicted 
          of drug violations in the workplace?
312.230 How and when must I identify workplaces?

        Subpart C_Requirements for Recipients Who Are Individuals

312.300 What must I do to comply with this part if I am an individual 
          recipient?
312.301 [Reserved]

      Subpart D_Responsibilities of Peace Corps Awarding Officials

312.400 What are my responsibilities as a Peace Corps awarding official?

           Subpart E_Violations of This Part and Consequences

312.500 How are violations of this part determined for recipients other 
          than individuals?
312.505 How are violations of this part determined for recipients who 
          are individuals?
312.510 What actions will the Federal Government take against a 
          recipient determined to have violated this part?
312.515 Are there any exceptions to those actions?

                          Subpart F_Definitions

312.605 Award.
312.610 Controlled substance.
312.615 Conviction.
312.620 Cooperative agreement.
312.625 Criminal drug statute.
312.630 Debarment.
312.635 Drug-free workplace.
312.640 Employee.
312.645 Federal agency or agency.
312.650 Grant.
312.655 Individual.
312.660 Recipient.
312.665 State.
312.670 Suspension.

    Authority: 22 U.S.C. 2503 (b); 41 U.S.C. 701 et seq.

    Source: 68 FR 66588, Nov. 26, 2003, unless otherwise noted.



                     Subpart A_Purpose and Coverage



Sec.  312.100  What does this part do?

    This part carries out the portion of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701 et seq., as amended) that applies to grants. It also 
applies the provisions of the Act to cooperative agreements and other 
financial assistance awards, as a matter of Federal Government policy.



Sec.  312.105  Does this part apply to me?

    (a) Portions of this part apply to you if you are either--
    (1) A recipient of an assistance award from the Peace Corps; or
    (2) A(n) Peace Corps awarding official. (See definitions of award 
and recipient in Sec. Sec.  312.605 and 312.660, respectively.)
    (b) The following table shows the subparts that apply to you:

------------------------------------------------------------------------
            If you are . . .                    see subparts . . .
------------------------------------------------------------------------
(1) A recipient who is not an            A, B and E.
 individual.
(2) A recipient who is an individual...  A, C and E.
(3) A(n) Peace Corps awarding official.  A, D and E.
------------------------------------------------------------------------


[[Page 57]]



Sec.  312.110  Are any of my Federal assistance awards exempt from 
this part?

    This part does not apply to any award that the Peace Corps Director 
or designee determines that the application of this part would be 
inconsistent with the international obligations of the United States or 
the laws or regulations of a foreign government.



Sec.  312.115  Does this part affect the Federal contracts that 
I receive?

    It will affect future contract awards indirectly if you are debarred 
or suspended for a violation of the requirements of this part, as 
described in Sec.  312.510(c). However, this part does not apply 
directly to procurement contracts. The portion of the Drug-Free 
Workplace Act of 1988 that applies to Federal procurement contracts is 
carried out through the Federal Acquisition Regulation in chapter 1 of 
Title 48 of the Code of Federal Regulations (the drug-free workplace 
coverage currently is in 48 CFR part 23, subpart 23.5).



      Subpart B_Requirements for Recipients Other Than Individuals



Sec.  312.200  What must I do to comply with this part?

    There are two general requirements if you are a recipient other than 
an individual.
    (a) First, you must make a good faith effort, on a continuing basis, 
to maintain a drug-free workplace. You must agree to do so as a 
condition for receiving any award covered by this part. The specific 
measures that you must take in this regard are described in more detail 
in subsequent sections of this subpart. Briefly, those measures are to--
    (1) Publish a drug-free workplace statement and establish a drug-
free awareness program for your employees (see Sec. Sec.  312.205 
through 312.220); and
    (2) Take actions concerning employees who are convicted of violating 
drug statutes in the workplace (see Sec.  312.225).
    (b) Second, you must identify all known workplaces under your 
Federal awards (see Sec.  312.230).



Sec.  312.205  What must I include in my drug-free workplace statement?

    You must publish a statement that--
    (a) Tells your employees that the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance 
is prohibited in your workplace;
    (b) Specifies the actions that you will take against employees for 
violating that prohibition; and
    (c) Lets each employee know that, as a condition of employment under 
any award, he or she:
    (1) Will abide by the terms of the statement; and
    (2) Must notify you in writing if he or she is convicted for a 
violation of a criminal drug statute occurring in the workplace and must 
do so no more than five calendar days after the conviction.



Sec.  312.210  To whom must I distribute my drug-free workplace statement?

    You must require that a copy of the statement described in Sec.  
312.205 be given to each employee who will be engaged in the performance 
of any Federal award.



Sec.  312.215  What must I include in my drug-free awareness program?

    You must establish an ongoing drug-free awareness program to inform 
employees about--
    (a) The dangers of drug abuse in the workplace;
    (b) Your policy of maintaining a drug-free workplace;
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (d) The penalties that you may impose upon them for drug abuse 
violations occurring in the workplace.



Sec.  312.220  By when must I publish my drug-free workplace statement
and establish my drug-free awareness program?

    If you are a new recipient that does not already have a policy 
statement as described in Sec.  312.205 and an ongoing awareness program 
as described in Sec.  312.215, you must publish the statement and 
establish the program by the time given in the following table:

[[Page 58]]



------------------------------------------------------------------------
                If . . .                          then you . . .
------------------------------------------------------------------------
(a) The performance period of the award  must have the policy statement
 is less than 30 days.                    and program in place as soon
                                          as possible, but before the
                                          date on which performance is
                                          expected to be completed.
(b) The performance period of the award  must have the policy statement
 is 30 days or more.                      and program in place within 30
                                          days after award.
(c) You believe there are extraordinary  may ask the Peace Corps
 circumstances that will require more     awarding official to give you
 than 30 days for you to publish the      more time to do so. The amount
 policy statement and establish the       of additional time, if any, to
 awareness program.                       be given is at the discretion
                                          of the awarding official.
------------------------------------------------------------------------



Sec.  312.225  What actions must I take concerning employees who are 
convicted of drug violations in the workplace?

    There are two actions you must take if an employee is convicted of a 
drug violation in the workplace:
    (a) First, you must notify Federal agencies if an employee who is 
engaged in the performance of an award informs you about a conviction, 
as required by Sec.  312.205(c)(2), or you otherwise learn of the 
conviction. Your notification to the Federal agencies must--
    (1) Be in writing;
    (2) Include the employee's position title;
    (3) Include the identification number(s) of each affected award;
    (4) Be sent within ten calendar days after you learn of the 
conviction; and
    (5) Be sent to every Federal agency on whose award the convicted 
employee was working. It must be sent to every awarding official or his 
or her official designee, unless the Federal agency has specified a 
central point for the receipt of the notices.
    (b) Second, within 30 calendar days of learning about an employee's 
conviction, you must either--
    (1) Take appropriate personnel action against the employee, up to 
and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or
    (2) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for these purposes 
by a Federal, State or local health, law enforcement, or other 
appropriate agency.



Sec.  312.230  How and when must I identify workplaces?

    (a) You must identify all known workplaces under each Peace Corps 
award. A failure to do so is a violation of your drug-free workplace 
requirements. You may identify the workplaces--
    (1) To the Peace Corps official that is making the award, either at 
the time of application or upon award; or
    (2) In documents that you keep on file in your offices during the 
performance of the award, in which case you must make the information 
available for inspection upon request by Peace Corps officials or their 
designated representatives.
    (b) Your workplace identification for an award must include the 
actual address of buildings (or parts of buildings) or other sites where 
work under the award takes place. Categorical descriptions may be used 
(e.g., all vehicles of a mass transit authority or State highway 
department while in operation, State employees in each local 
unemployment office, performers in concert halls or radio studios).
    (c) If you identified workplaces to the Peace Corps awarding 
official at the time of application or award, as described in paragraph 
(a)(1) of this section, and any workplace that you identified changes 
during the performance of the award, you must inform the Peace Corps 
awarding official.



        Subpart C_Requirements for Recipients Who Are Individuals



Sec.  312.300  What must I do to comply with this part if I am an 
individual recipient?

    As a condition of receiving a(n) Peace Corps award, if you are an 
individual recipient, you must agree that--
    (a) You will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity related to the award; and
    (b) If you are convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any

[[Page 59]]

award activity, you will report the conviction:
    (1) In writing.
    (2) Within 10 calendar days of the conviction.
    (3) To the Peace Corps awarding official or other designee for each 
award that you currently have, unless Sec.  312.301 or the award 
document designates a central point for the receipt of the notices. When 
notice is made to a central point, it must include the identification 
number(s) of each affected award.



Sec.  312.301  [Reserved]



      Subpart D_Responsibilities of Peace Corps Awarding Officials



Sec.  312.400  What are my responsibilities as a(n) Peace Corps awarding
official?

    As a(n) Peace Corps awarding official, you must obtain each 
recipient's agreement, as a condition of the award, to comply with the 
requirements in--
    (a) Subpart B of this part, if the recipient is not an individual; 
or
    (b) Subpart C of this part, if the recipient is an individual.



           Subpart E_Violations of this Part and Consequences



Sec.  312.500  How are violations of this part determined for recipients
other than individuals?

    A recipient other than an individual is in violation of the 
requirements of this part if the Peace Corps Director or designee 
determines, in writing, that--
    (a) The recipient has violated the requirements of subpart B of this 
part; or
    (b) The number of convictions of the recipient's employees for 
violating criminal drug statutes in the workplace is large enough to 
indicate that the recipient has failed to make a good faith effort to 
provide a drug-free workplace.



Sec.  312.505  How are violations of this part determined for recipients
who are individuals?

    An individual recipient is in violation of the requirements of this 
part if the Peace Corps Director or designee determines, in writing, 
that--
    (a) The recipient has violated the requirements of subpart C of this 
part; or
    (b) The recipient is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any award activity.



Sec.  312.510  What actions will the Federal Government take against a 
recipient determined to have violated this part?

    If a recipient is determined to have violated this part, as 
described in Sec.  312.500 or Sec.  312.505, the Peace Corps may take 
one or more of the following actions--
    (a) Suspension of payments under the award;
    (b) Suspension or termination of the award; and
    (c) Suspension or debarment of the recipient under 22 CFR part 310, 
for a period not to exceed five years.



Sec.  312.515  Are there any exceptions to those actions?

    The Peace Corps Director may waive with respect to a particular 
award, in writing, a suspension of payments under an award, suspension 
or termination of an award, or suspension or debarment of a recipient if 
the Peace Corps Director determines that such a waiver would be in the 
public interest. This exception authority cannot be delegated to any 
other official.



                          Subpart F_Definitions



Sec.  312.605  Award.

    Award means an award of financial assistance by the Peace Corps or 
other Federal agency directly to a recipient.
    (a) The term award includes:
    (1) A Federal grant or cooperative agreement, in the form of money 
or property in lieu of money.
    (2) A block grant or a grant in an entitlement program, whether or 
not the grant is exempted from coverage under the Governmentwide rule 
[Agency-specific CFR citation] that implements OMB Circular A-102 (for 
availability, see 5 CFR 1310.3) and specifies uniform administrative 
requirements.
    (b) The term award does not include:
    (1) Technical assistance that provides services instead of money.
    (2) Loans.

[[Page 60]]

    (3) Loan guarantees.
    (4) Interest subsidies.
    (5) Insurance.
    (6) Direct appropriations.
    (7) Veterans' benefits to individuals (i.e., any benefit to 
veterans, their families, or survivors by virtue of the service of a 
veteran in the Armed Forces of the United States).
    (c) Notwithstanding paragraph (a)(2) of this section, this paragraph 
is not applicable for the Peace Corps.



Sec.  312.610  Controlled substance.

    Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15.



Sec.  312.615  Conviction.

    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes.



Sec.  312.620  Cooperative agreement.

    Cooperative agreement means an award of financial assistance that, 
consistent with 31 U.S.C. 6305, is used to enter into the same kind of 
relationship as a grant (see definition of grant in Sec.  312.650), 
except that substantial involvement is expected between the Federal 
agency and the recipient when carrying out the activity contemplated by 
the award. The term does not include cooperative research and 
development agreements as defined in 15 U.S.C. 3710a.



Sec.  312.625  Criminal drug statute.

    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance.



Sec.  312.630  Debarment.

    Debarment means an action taken by a Federal agency to prohibit a 
recipient from participating in Federal Government procurement contracts 
and covered nonprocurement transactions. A recipient so prohibited is 
debarred, in accordance with the Federal Acquisition Regulation for 
procurement contracts (48 CFR part 9, subpart 9.4) and the common rule, 
Government-wide Debarment and Suspension (Nonprocurement), that 
implements Executive Order 12549 and Executive Order 12689.



Sec.  312.635  Drug-free workplace.

    Drug-free workplace means a site for the performance of work done in 
connection with a specific award at which employees of the recipient are 
prohibited from engaging in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance.



Sec.  312.640  Employee.

    (a) Employee means the employee of a recipient directly engaged in 
the performance of work under the award, including--
    (1) All direct charge employees;
    (2) All indirect charge employees, unless their impact or 
involvement in the performance of work under the award is insignificant 
to the performance of the award; and
    (3) Temporary personnel and consultants who are directly engaged in 
the performance of work under the award and who are on the recipient's 
payroll.
    (b) This definition does not include workers not on the payroll of 
the recipient (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the payroll; 
or employees of subrecipients or subcontractors in covered workplaces).



Sec.  312.645  Federal agency or agency.

    Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency.



Sec.  312.650  Grant.

    Grant means an award of financial assistance that, consistent with 
31 U.S.C. 6304, is used to enter into a relationship--

[[Page 61]]

    (a) The principal purpose of which is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Federal Government's direct benefit or use; 
and
    (b) In which substantial involvement is not expected between the 
Federal agency and the recipient when carrying out the activity 
contemplated by the award.



Sec.  312.655  Individual.

    Individual means a natural person.



Sec.  312.660  Recipient.

    Recipient means any individual, corporation, partnership, 
association, unit of government (except a Federal agency) or legal 
entity, however organized, that receives an award directly from a 
Federal agency.



Sec.  312.665  State.

    State means any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, or any territory or 
possession of the United States.



Sec.  312.670  Suspension.

    Suspension means an action taken by a Federal agency that 
immediately prohibits a recipient from participating in Federal 
Government procurement contracts and covered nonprocurement transactions 
for a temporary period, pending completion of an investigation and any 
judicial or administrative proceedings that may ensue. A recipient so 
prohibited is suspended, in accordance with the Federal Acquisition 
Regulation for procurement contracts (48 CFR part 9, subpart 9.4) and 
the common rule, Government-wide Debarment and Suspension 
(Nonprocurement), that implements Executive Order 12549 and Executive 
Order 12689. Suspension of a recipient is a distinct and separate action 
from suspension of an award or suspension of payments under an award.



PART 313_GUIDANCE PROCEDURES--Table of Contents



Sec.
313.1 General; definition of ``guidance documents'' covered by this 
          part.
313.2 Guidance documents; required elements.
313.3 Public access to guidance documents.
313.4 Definition of ``significant guidance document.''
313.5 Procedures for guidance documents identified as ``significant.''
313.6 Notice-and-comment procedures.
313.7 Petition procedures for withdrawal or modification of a guidance 
          document.
313.8 No judicial review or enforceable rights.

    Authority: 22 U.S.C. 2501 et seq.

    Source: 85 FR 73419, Nov. 18, 2020, unless otherwise noted.



Sec.  313.1  General; definition of ``guidance documents'' covered by
this part.

    (a) This part governs Peace Corps (Agency) employees and contractors 
involved with all phases of issuing Agency guidance documents.
    (b) For purposes of this part, the term ``guidance document'' means 
a statement of Agency policy or interpretation concerning a statute, 
regulation, or technical matter within the jurisdiction of the Agency 
intended to have general applicability and future effect on the behavior 
of the public, but which is not intended to have the force or effect of 
law and is not otherwise required by statute to satisfy the rulemaking 
procedures specified in 5 U.S.C. 553 or 5 U.S.C. 556. The term is not 
limited to formal written documents and may include, without limitation, 
letters, memoranda, circulars, bulletins, advisories, as well as video, 
audio, and web-based formats. See OMB Bulletin 07-02, ``Agency Good 
Guidance Practices,'' (January 25, 2007) (``OMB Good Guidance 
Bulletin'').
    (c) The following shall not be considered ``guidance documents'' for 
purposes of this part:
    (1) Rules exempt from rulemaking requirements under 5 U.S.C. 553(a);
    (2) Rules of agency organization, procedure, or practice;
    (3) Decisions of agency adjudications under 5 U.S.C. 554 or similar 
statutory provisions;

[[Page 62]]

    (4) Internal executive branch legal advice or legal advisory 
opinions addressed to executive branch officials;
    (5) Agency statements of specific applicability, including advisory 
or legal opinions directed to particular parties about circumstance-
specific questions (e.g., case or investigatory letters responding to 
complaints, warning letters), notices regarding particular locations or 
facilities (e.g., guidance pertaining to the use, operation, or control 
of a government facility or property), and correspondence with 
individual persons or entities (e.g., congressional correspondence), 
except documents ostensibly directed to a particular party but designed 
to guide the conduct of the broader regulated public;
    (6) Legal briefs, other court filings, or positions taken in 
litigation or enforcement actions;
    (7) Agency statements that do not set forth a policy on a statutory, 
regulatory, or technical issue or an interpretation of a statute or 
regulation, including speeches and individual presentations, editorials, 
media interviews, press materials, or congressional testimony that do 
not set forth for the first time a new regulatory policy;
    (8) Guidance pertaining to military or foreign affairs functions;
    (9) Grant solicitations and awards;
    (10) Contract solicitations and awards; or
    (11) Purely internal Agency policies or guidance directed solely to 
Agency employees, contractors, volunteers, trainees, or invitees or to 
other Federal agencies that are not intended to have substantial future 
effect on the behavior of regulated parties.
    (d) The Peace Corps will not cite, use, or rely upon a guidance 
document that is rescinded, except for the purpose of establishing 
historical fact. Guidance documents not on an Agency website, as set 
forth in this part, are considered to be rescinded.



Sec.  313.2  Guidance documents; required elements.

    Each guidance document proposed to be issued by the Agency shall:
    (a) Comply with all relevant statutes and regulation;
    (b) Identify or include for each guidance document:
    (1) The term ``guidance'' or its functional equivalent;
    (2) A unique identifier;
    (3) The issuance date, posting date, and the issuing office within 
the Agency;
    (4) The activity or entities to which the guidance applies;
    (5) Citations to applicable statutes and regulations;
    (6) A statement noting whether the guidance is intended to revise or 
replace any previously issued guidance and, if so, sufficient 
information to identify the previously issued guidance; and
    (7) A summary of the subject matter covered in the guidance document 
at the top of the document.
    (c) Avoid use of mandatory language, such as ``shall,'' ``must,'' 
``required,'' or ``requirement,'' unless the language is describing an 
established statutory or regulatory requirement or is addressed to 
Agency's staff and will not foreclose the Agency's consideration of 
positions advanced by affected private parties;
    (d) Be written in plain, understandable English; and
    (e) Clearly and prominently state that the contents of the document 
do not have the force and effect of law and are not meant to bind the 
public, and the document is intended only to provide clarity to the 
public regarding existing requirements under the law or Agency policies.



Sec.  313.3  Public access to guidance documents.

    The Agency, whenever it issues a guidance document as defined in 
this part, shall:
    (a) Ensure it is identified by the document's title and date of 
issuance or revision and is placed on its website within a single, 
searchable, indexed database, and available to the public;
    (b) Note on an Agency website that guidance documents lack the force 
and effect of law, except as authorized by law or as incorporated into a 
contract;
    (c) Maintain and advertise on an Agency website a means for the 
public to comment electronically on guidance documents that are subject 
to the notice-and-comment procedures and to

[[Page 63]]

submit requests electronically for issuance, reconsideration, 
modification, or rescission of guidance documents in accordance with 
Sec.  313.6; and
    (d) Designate the Office of the General Counsel to receive and 
address any complaints from the public that the Agency is not following 
the requirements of E.O 13891, entitled ``Promoting the Rule of Law 
through Improved Agency Guidance Documents'' (October 9, 2019), or is 
improperly treating a guidance document as a binding requirement.



Sec.  313.4  Definition of ``significant guidance document.''

    (a) A ``significant guidance document'' is a guidance document that 
will be disseminated to the general public and that may reasonably be 
anticipated:
    (1) To lead to an annual effect on the economy of $100 million or 
more or adversely affect in a material way the U.S. economy, a sector of 
the U.S. economy, productivity, competition, jobs, the environment, 
public health or safety, or State, local, or tribal governments or 
communities;
    (2) To create serious inconsistency or otherwise interfere with an 
action taken or planned by another Federal agency;
    (3) To alter materially the budgetary impact of entitlements, 
grants, user fees, or loan programs or the rights and obligations of 
recipients thereof; or
    (4) To raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
E.O. 12866, as further amended.
    (b) The term ``significant guidance document'' does not include the 
categories of documents excluded by Sec.  313.1(c) or any other category 
of guidance documents exempted by the Agency in consultation with the 
Office of Management and Budget, Office of Information and Regulatory 
Affairs (OMB/OIRA).
    (c) Significant guidance documents must be reviewed by OMB/OIRA 
under E.O. 12866 before issuance; and must demonstrate compliance with 
the applicable requirements for regulations or rules, including 
significant regulatory actions, set forth in E.O. 12866, E.O. 13563, 
E.O. 13609, E.O. 13771 and E.O. 13777.



Sec.  313.5  Procedures for guidance documents identified as 
``significant.''

    (a) Whenever a guidance document is proposed to be issued by the 
Agency, a copy of the proposed guidance document will be reviewed by the 
Office of the General Counsel and provided to OMB/OIRA for a 
``significance'' determination pursuant to Executive Order 12866.
    (b) Following review and an affirmative ``significance'' 
determination by OMB/OIRA pursuant to Executive Order 12866, the 
guidance document will be reviewed by the Senior Policy Committee which 
may recommend that it be approved by the Director for issuance as a 
``significant'' guidance document and the Agency may issue the guidance 
following approval by the Director.
    (c) If the guidance document is determined by OMB/OIRA not to be 
``significant'' within the meaning of Sec.  313.4, the Agency or office 
within the Agency may proceed to issue the guidance.



Sec.  313.6  Notice-and-comment procedures.

    (a) Except as provided in paragraph (b) of this section, any 
proposed Peace Corps guidance document determined to be ``significant'' 
within the meaning of Sec.  313.4 shall be subject to the following 
notice-and-comment procedures. The Agency shall publish a notification 
in the Federal Register announcing that a draft of the proposed guidance 
document is publicly available, shall post the draft guidance document 
on its website, shall invite public comment on the draft document for a 
minimum of 30 days, and shall prepare and post a public response to 
major concerns raised in the comments, as appropriate, on its website, 
either before or when the guidance document is finalized and issued.
    (b) The requirements of paragraph (a) of this section will not apply 
to any significant guidance document or categories of significant 
guidance documents for which the Agency finds, in consultation with OMB/
OIRA, that notice and public comment thereon are

[[Page 64]]

impracticable, unnecessary, or contrary to the public interest.



Sec.  313.7  Petition procedures for withdrawal or modification of a 
guidance document.

    Any member of the public may submit a petition to the Peace Corps 
requesting the Agency to consider withdrawing or modifying any guidance 
document. Such requests shall be sent by email to [email protected] 
or mailed to the Peace Corps, Office of the General Counsel, 1275 First 
St. NW, Washington, DC 20526. The Peace Corps will respond to a petition 
within 90 days of receipt by the Agency.



Sec.  313.8  No judicial review or enforceable rights.

    This part is intended to improve the internal management of the 
Peace Corps. As such, it is for the use of Agency personnel only and is 
not intended to, and does not, create any right or benefit, substantive 
or procedural, enforceable at law or in equity by any party against the 
United States, its agencies or other entities, its officers or 
employees, or any other person.

                        PARTS 314	399 [RESERVED]

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  CHAPTER IV--INTERNATIONAL JOINT COMMISSION, UNITED STATES AND CANADA




  --------------------------------------------------------------------
Part                                                                Page
400

[Reserved]

401             Rules of procedure..........................          67
402-499

[Reserved]

[[Page 67]]

                           PART 400 [RESERVED]



PART 401_RULES OF PROCEDURE--Table of Contents



                            Subpart A_General

Sec.
401.1 Definitions.
401.2 Chairmen.
401.3 Permanent offices.
401.4 Duties of secretaries.
401.5 Meetings.
401.6 Service of documents.
401.7 Conduct of hearings.
401.8 Decision by the whole Commission.
401.9 Suspension or amendment of rules.
401.10 General rule.
401.11 Availability of records.

                         Subpart B_Applications

401.12 Presentation to Commission.
401.13 Copies required.
401.14 Authorization by Government.
401.15 Notice of publication.
401.16 Statement in response
401.17 Statement in reply.
401.18 Supplemental or amended applications and statements.
401.19 Reducing or extending time and dispensing with statements.
401.20 Interested persons and counsel.
401.21 Consultation.
401.22 Attendance of witnesses and production of documents.
401.23 Hearings.
401.24 Expenses of proceedings.
401.25 Government brief regarding navigable waters.

                          Subpart C_References

401.26 Presentation to Commission.
401.27 Notice and publication.
401.28 Advisory boards.
401.29 Hearings.
401.30 Proceedings under Article X.

    Authority: Art. XII, 36 Stat. 2453.

    Source: 30 FR 3379, Mar. 13, 1965, unless otherwise noted.



                            Subpart A_General



Sec.  401.1  Definitions.

    (a) In the construction of the regulations in this part, unless the 
context otherwise requires, words importing the singular number shall 
include the plural and words importing the plural number shall include 
the singular; and,
    (b) Applicant means the Government or person on whose behalf on 
application is presented to the Commission in accordance with Sec.  
401.12;
    (c) Government means the Government of Canada or the Government of 
the United States of America;
    (d) Person includes Province, State, department or agency of a 
Province or State, municipality, individual, partnership, corporation 
and association, but does not include the Government of Canada or the 
Government of the United States of America;
    (e) Oath includes affirmation;
    (f) Reference means the document by which a question or matter of 
difference is referred to the Commission pursuant to Article IX of the 
Treaty;
    (g) The Treaty means the Treaty between the United States of America 
and His Majesty the King, dated the 11th day of January 1909;
    (h) Canadian section consists of the commissioners appointed by Her 
Majesty on the recommendation of the Governor in Council of Canada;
    (i) United States section consists of the Commissioners appointed by 
the President of the United States.



Sec.  401.2  Chairmen.

    (a) The commissioners of the United States section of the Commission 
shall appoint one of their number as chairman, to be known as the 
Chairman of the United States Section of the International Joint 
Commission, and he shall act as chairman at all meetings of the 
Commission held in the United States and in respect to all matters 
required to be done in the United States by the chairman of the 
Commission.
    (b) The commissioners of the Canadian section of the Commission 
shall appoint one of their number as chairman, to be known as the 
Chairman of the Canadian Section of the International Joint Commission, 
and he shall act as chairman at all meetings of the Commission held in 
Canada and in respect to all matters required to be done in Canada by 
the chairman of the Commission.
    (c) In case it shall be impracticable for the chairman of either 
section to act in any matter, the commissioner of such section who is 
senior in order of appointment shall act in his stead.



Sec.  401.3  Permanent offices.

    The permanent offices of the Commission shall be at Washington, in 
the

[[Page 68]]

District of Columbia, and at Ottawa, in the Province of Ontario, and, 
subject to the directions of the respective chairmen acting for their 
respective sections, the secretaries of the United States and Canadian 
sections of the Commission shall have full charge and control of said 
offices, respectively.



Sec.  401.4  Duties of secretaries.

    (a) The secretaries shall act as joint secretaries at all meetings 
and hearings of the Commission. The secretary of the section of the 
Commission of the country in which a meeting or hearing is held shall 
prepare a record thereof and each secretary shall preserve an authentic 
copy of the same in the permanent offices of the Commission.
    (b) Each secretary shall receive and file all applications, 
references and other papers properly presented to the Commission in any 
proceeding instituted before it and shall number in numerical order all 
such applications and references; the number given to an application or 
reference shall be the primary file number for all papers relating to 
such application or reference.
    (c) Each secretary shall forward to the other for filing in the 
office of the other copies of all official letters, documents, records 
or other papers received by him or filed in his office, pertaining to 
any proceeding before the Commission, to the end that there shall be on 
file in each office either the original or a copy of all official 
letters and other papers, relating to the said proceeding.
    (d) Each secretary shall also forward to the other for filing in the 
office of the other copies of any letters, documents or other papers 
received by him or filed in his office which are deemed by him to be of 
interest to the Commission.



Sec.  401.5  Meetings.

    (a) Subject at all times to special call or direction by the two 
Governments, meetings of the Commission shall be held at such times and 
places in the United States and Canada as the Commission or the Chairman 
may determine and in any event shall be held each year at Washington in 
April and at Ottawa in October, beginning ordinarily on the first 
Tuesday of the said months.
    (b) If the Commission determines that a meeting shall be open to the 
public, it shall give such advance notice to this effect as it considers 
appropriate in the circumstances.



Sec.  401.6  Service of documents.

    (a) Where the secretary is required by the regulations in this part 
to give notice to any person, this shall be done by delivering or 
mailing such notice to the person at the address for service that the 
said person has furnished to the Commission, or if no such address has 
been furnished, at the dwelling house or usual place of abode or usual 
place of business of such person.
    (b) Where the secretary is required by the regulations in this part 
to give notice to a Government, this shall be done by delivering or 
mailing such notice to the Secretary of State for External Affairs of 
Canada or to the Secretary of State of the United States of America, as 
the case may be.
    (c) Service of any document pursuant to Sec.  401.22 shall be by 
delivering a copy thereof to the person named therein, or by leaving the 
same at the dwelling house or usual place of abode or usual place of 
business of such person. The person serving the notice or request shall 
furnish an affidavit to the secretary stating the time and place of such 
service.



Sec.  401.7  Conduct of hearings.

    Hearings may be conducted, testimony received and arguments thereon 
heard by the whole Commission or by one or more Commissioners from each 
section of the Commission, designated for that purpose by the respective 
sections or the Chairman thereof.



Sec.  401.8  Decision by the whole Commission.

    The whole Commission shall consider and determine any matter or 
question which the Treaty or any other treaty or international 
agreement, either in terms or by implication, requires or makes it the 
duty of the Commission to determine. For the purposes of this section 
and Sec.  401.7, ``the whole Commission'' means all of the commissioners 
appointed pursuant to Article VII of the Treaty whose terms of office 
have not expired and who are not prevented

[[Page 69]]

by serious illness or other circumstances beyond their control from 
carrying out their functions as commissioners. In no event shall a 
decision be made without the concurrence of at least four commissioners.



Sec.  401.9  Suspension or amendment of rules.

    The commission may suspend, repeal, or amend all or any of the rules 
of procedure at any time, with the concurrence of at least four 
commissioners. Both Governments shall be informed forthwith of any such 
action.



Sec.  401.10  General rule.

    The Commission may, at any time, adopt any procedure which it deems 
expedient and necessary to carry out the true intent and meaning of the 
Treaty.



Sec.  401.11  Availability of records.

    (a) The following items in the official records of the Commission 
shall be available for public information at the permanent offices of 
the Commission.

Applications.
References.
Public Notices.
Press Releases.
Statements in Response.
Statements in Reply.
Records of hearings, including exhibits filed.
Brief and formal Statements submitted at hearings or at other times.

    (b) Decisions rendered and orders issued by the Commission and 
formal opinions of any of the Commissioners with relation thereto, shall 
be available similarly for public information after duplicate originals 
of the decisions or orders have been transmitted to and filed with the 
Governments pursuant to Article XI of the Treaty.
    (c) Copies of reports submitted to one or both of the Governments 
pursuant to the Treaty shall be available similarly for public 
information only with the consent of the Government or Governments to 
whom the reports are addressed.
    (d) Reports, letters, memoranda and other communications addressed 
to the Commissions, by boards or committees created by or at the request 
of the Commission, are privileged and shall become available for public 
information only in accordance with a decision of the Commission to that 
effect.
    (e) Except as provided in the preceding paragraphs of this section, 
records of deliberations, and documents, letters, memoranda and 
communications of every nature and kind in the official records of the 
Commission, whether addressed to or by the Commission, commissioners, 
secretaries, advisers or any of them, are privileged and shall become 
available for public information only in accordance with a decision of 
the Commission to that effect.
    (f) A copy of any document, report, record or other paper which 
under this section is available for public information may be furnished 
to any person upon payment of any cost involved in its reproduction.



                         Subpart B_Applications



Sec.  401.12  Presentation to Commission.

    (a) Where one or the other of the Governments on its own initiative 
seeks the approval of the commission for the use, obstruction or 
diversion of waters with respect to which under Articles III or IV of 
the Treaty the approval of the Commission is required, it shall present 
to the Commission an application setting forth as fully as may be 
necessary for the information of the Commission the facts upon which the 
application is based and the nature of the order of approval desired.
    (b) Where a person seeks the approval of the Commission for the use, 
obstruction or diversion of waters with respect to which under Articles 
III or IV of the Treaty the approval of the Commission is required, he 
shall prepare an application to the Commission and forward it to the 
Government within whose jurisdiction such use, obstruction or diversion 
is to be made, with the request that the said application be transmitted 
to the Commission. If such Government transmits the application to the 
Commission with a request that it take appropriate action thereon, the 
same shall be filed by the Commission in the same manner as an 
application presented in accordance with paragraph (a) of this section. 
Transmittal of the application to the Commission shall not be construed 
as authorization

[[Page 70]]

by the Government of the use, obstruction or diversion proposed by the 
applicant. All applications by persons shall conform, as to their 
contents, to the requirements of paragraph (a) of this section.
    (c) Where the Commission has issued an Order approving a particular 
use, obstruction or diversion, in which it has specifically retained 
jurisdiction over the subject matter of an application and has reserved 
the right to make further orders relating thereto, any Government or 
person entitled to request the issuance of such further order may 
present to the Commission a request, setting forth the facts upon which 
it is based and the nature of the further order desired. On receipt of 
the request, the Commission shall proceed in accordance with the terms 
of the Order in which the Commission specifically retained jurisdiction. 
In each case the secretaries shall notify both Governments and invite 
their comments before the request is complied with.



Sec.  401.13  Copies required.

    (a) Subject to paragraph (c) of this section, two duplicate 
originals and fifty copies of the application and of any supplemental 
application, statement in response, supplemental statement in response, 
statement in reply and supplemental statement in reply shall be 
delivered to either secretary. On receipt of such documents, the 
secretary shall forthwith send one duplicate original and twenty-five 
copies to the other secretary.
    (b) Subject to paragraph (c) of this section, two copies of such 
drawings, profiles, plans or survey, maps and specifications as may be 
necessary to illustrate clearly the matter of the application shall be 
delivered to either secretary and he shall send one copy forthwith to 
the other secretary.
    (c) Notwithstanding paragraphs (a) and (b) of this section, such 
additional copies of the documents mentioned therein as may be requested 
by the Commission shall be provided forthwith.



Sec.  401.14  Authorization by Government.

    (a) Where the use, obstruction or diversion of waters for which the 
Commission's approval is sought has been authorized by or on behalf of a 
Government or by or on behalf of a State or Province or other competent 
authority, two copies of such authorization and of any plans approved 
incidental thereto shall accompany the application when it is presented 
to the Commission in accordance with Sec.  401.12.
    (b) Where such a use, obstruction or diversion of waters is 
authorized by or on behalf of a Government or by or on behalf of a State 
or Province or other competent authority after an application has been 
presented to the Commission in accordance with Sec.  401.12, the 
applicant shall deliver forthwith to the Commission two copies of such 
authorization and of any plans approved incidental thereto.



Sec.  401.15  Notice of publication.

    (a) As soon as practicable after an application is presented or 
transmitted in accordance with Sec.  401.12, the secretary of the 
section of the Commission appointed by the other Government shall send a 
copy of the application to such Government.
    (b) Except as otherwise provided pursuant to Sec.  401.19, the 
secretaries, as soon as practicable after the application is received, 
shall cause a notice to be published in the Canada Gazette and the 
Federal Register and once each week for three successive weeks in two 
newspapers, published one in each country and circulated in or near the 
localities which, in the opinion of the Commission, are most likely to 
be affected by the proposed use, obstruction or diversion. Subject to 
paragraph (c) of this section, the notice shall state that the 
application has been received, the nature and locality of the proposed 
use, obstruction or diversion, the time within which any person 
interested may present a statement in response to the Commission and 
that the Commission will hold a hearing or hearings at which all persons 
interested are entitled to be heard with respect thereto.
    (c) If the Commission so directs, the notice referred to in 
paragraph (b) of this section, appropriately modified, may be combined 
with the notice of hearing referred to in Sec.  401.24 and published 
accordingly.

[[Page 71]]



Sec.  401.16  Statement in response.

    (a) Except as otherwise provided pursuant to Sec.  410.19, a 
Government and any interested person, other than the applicant, may 
present a statement in response to the Commission within thirty days 
after the filing of an application. A statement in response shall set 
forth facts and arguments bearing on the subject matter of the 
application and tending to oppose or support the application, in whole 
or in part. If it is desired that conditional approval be granted, the 
statement in response should set forth the particular condition or 
conditions desired. An address for service of documents should be 
included in the statement in response.
    (b) When a statement in response has been filed, the secretaries 
shall send a copy forthwith to the applicant and to each Government 
except the Government which presented the said statement in response. If 
so directed by the Commission, the secretaries shall inform those who 
have presented statements in response, of the nature of the total 
response.



Sec.  401.17  Statement in reply.

    (a) Except as otherwise provided pursuant to Sec.  410.19, the 
applicant and, if he is a person, the Government which transmitted the 
application on his behalf, one or both may present a statement or 
statements in reply to the Commission within thirty days after the time 
provided for presenting statements in response. A statement in reply 
shall set forth facts and arguments bearing upon the allegations and 
arguments contained in the statements in response.
    (b) When a statement in reply has been filed, the secretary shall 
send a copy forthwith to each Government except the Government which 
presented the said statement in reply, and to all persons who presented 
statements in response.



Sec.  401.18  Supplemental or amended applications and statements.

    (a) If it appears to the Commission that either an application, a 
statement in response or a statement in reply is not sufficiently 
definite and complete, the Commission may require a more definite and 
complete application, statement in response or statement in reply, as 
the case may be, to be presented.
    (b) Where substantial justice requires it, the Commission with the 
concurrence of at least four Commissioners may allow the amendment of 
any application, statement in response, statement in reply and any 
document or exhibit which has been presented to the Commission.



Sec.  401.19  Reducing or extending time and dispensing with statements.

    In any case where the Commission considers that such action would be 
in the public interest and not prejudicial to the right of interested 
persons to be heard in accordance with Article XII of the Treaty, the 
Commission may reduce or extend the time for the presentation of any 
paper or the doing of any act required by these rules or may dispense 
with the presentation of statements in response and statements in reply.



Sec.  401.20  Interested persons and counsel.

    Governments and persons interested in the subject matter of an 
application, whether in favor of or opposed to is, are entitled to be 
heard in person or by counsel at any hearing thereof held by the 
Commission.



Sec.  401.21  Consultation.

    The Commission may meet or consult with the applicant, the 
Governments and other persons or their counsel at any time regarding the 
plan of hearing, the mode of conducting the inquiry, the admitting or 
proof of certain facts or for any other purpose.



Sec.  401.22  Attendance of witnesses and production of documents.

    (a) Requests for the attendance and examination of witnesses and for 
the production and inspection of books, papers and documents may be 
issued over the signature of the secretary of the section of the 
Commission of the country in which the witnesses reside or the books, 
papers or documents may be, when so authorized by the Chairman of that 
section.
    (b) All applications for subpoena or other process to compel the 
attendance

[[Page 72]]

of witnesses or the production of books, papers and documents before the 
Commission shall be made to the proper courts of either country, as the 
case may be, upon the order of the Commission.



Sec.  401.23  Hearings.

    (a) The time and place of the hearing or hearings of an application 
shall be fixed by the Chairmen of the two sections.
    (b) The secretaries shall forthwith give written notice of the time 
and place of the hearing or hearings to the applicant, the Governments 
and all persons who have presented statements in response to the 
Commission. Except as otherwise provided by the Commission, the 
secretaries shall also cause such notice to be published in the Canada 
Gazette and the Federal Register and once each week for three successive 
weeks in two newspapers, published one in each country and circulated in 
or near the localities which, in the opinion of the Commission, are most 
likely to be affected by the proposed use, obstruction or diversion of 
water.
    (c) All hearings shall be open to the public.
    (d) The applicant, the Governments and persons interested are 
entitled to present oral and documentary evidence and argument that is 
relevant and material to any issue that is before the Commission in 
connection with the application.
    (e) The presiding chairman may require that evidence to be under 
oath.
    (f) Witnesses may be examined and cross-examined by the 
Commissioners and by counsel for the applicant, the Governments and the 
Commission. With the consent of the presiding chairman, cousel for a 
person other than the applicant may also examine or cross-examine 
witnesses.
    (g) The Commission may require further evidence to be given and may 
require printed briefs to be submitted at or subsequent to the hearing.
    (h) The Commissioners shall be free to determine the probative value 
of the evidence submitted to it.
    (i) A verbatim transcript of the proceedings at the hearing shall be 
prepared.
    (j) The hearing of the application, when once begun, shall proceed 
at the times and places determined by the Chairmen of the two sections 
to ensure the greatest practicable continuity and dispatch of 
proceedings.



Sec.  401.24  Expenses of proceedings.

    (a) The expenses of those participating in any proceeding under this 
subpart B shall be borne by the participants.
    (b) The Commission, after due notice to the participant or 
participants concerned, may require that any unusual cost or expense to 
the Commission shall be paid by the person on whose behalf or at whose 
request such unusual cost or expense has been or will be incurred.



Sec.  401.25  Government brief regarding navigable waters.

    When in the opinion of the Commission it is desirable that a 
decision should be rendered which affects navigable waters in a manner 
or to an extent different from that contemplated by the application and 
plans presented to the Commission, the Commission will, before making a 
final decision, submit to the Government presenting or transmitting the 
application a draft of the decision, and such Government may transmit to 
the Commission a brief or memorandum thereon which will receive due 
consideration by the Commission before its decision is made final.



                          Subpart C_References



Sec.  401.26  Presentation to Commission.

    (a) Where a question or matter of difference arising between the two 
Governments involving the rights, obligations, or interests of either in 
relation to the other or to the inhabitants of the other along the 
common frontier between the United States of America and Canada is to be 
referred to the Commission under Article IX of the Treaty, the method of 
brining such question or matter to the attention of the Commission and 
invoking its action ordinarily will be as set forth in this section.

[[Page 73]]

    (b) Where both Governments have agreed to refer such a question or 
matter to the Commission, each Government will present to the 
Commission, at the permanent office in its country, a reference in 
similar or identical terms setting forth as fully as may be necessary 
for the information of the Commission the question or matter which it is 
to examine into the report upon and any restrictions or exceptions which 
may be imposed upon the Commission with respect thereto.
    (c) Where one of the Governments, on its own initiative, has decided 
to refer such a question or matter to the Commission, it will present a 
reference to the Commission at the permanent office in its country. All 
such references should conform, as to their contents, to the 
requirements of paragraph (b) of this section.
    (d) Such drawings, plans of survey and maps as may be necessary to 
illustrate clearly the question or matter referred should accompany the 
reference when it is presented to the Commission.



Sec.  401.27  Notice and publication.

    (a) The secretary to whom a reference is presented shall receive and 
file the same and shall send a copy forthwith to the other secretary for 
filing in the office of the latter. If the reference is presented by one 
Government only, the other secretary shall send a copy forthwith to his 
Government.
    (b) Subject to any restrictions or exceptions which may be imposed 
upon the Commission by the terms of the reference, and unless otherwise 
provided by the Commission, the secretaries, as soon as practicable 
after the reference is received, shall cause a notice to be published in 
the Canada Gazette, the Federal Register and in two newspapers, 
published one in each country and circulated in or near the localities 
which, in the opinion of the Commission, are most likely to be 
interested in the subject matter of the reference. The notice shall 
describe the subject matter of reference in general terms invite 
interested persons to inform the Commission of the nature of their 
interest and state that the Commission will provide convenient 
opportunity for interested persons to be heard with respect thereto.



Sec.  401.28  Advisory boards.

    (a) The Commission may appoint a board or boards, composed of 
qualified persons, to conduct on its behalf investigations and studies 
that may be necessary or desirable and to report to the Commission 
regarding any questions or matters involved in the subject matter of the 
reference.
    (b) Such board ordinarily will have an equal number of members from 
each country.
    (c) The Commission ordinarily will make copies of the main or final 
report of such board or a digest thereof available for examination by 
the Governments and interested persons prior to holding the final 
hearing or hearings referred to in Sec.  401.29.



Sec.  401.29  Hearings.

    (a) A hearing or hearings may be held whenever in the opinion of the 
Commission such action would be helpful to the Commission in complying 
with the terms of a reference. Subject to any restrictions or exceptions 
which may be imposed by the terms of the reference, a final hearing or 
hearings shall be held before the Commission reports to Government in 
accordance with the terms of the reference.
    (b) The time, place and purpose of the hearing or hearings on a 
reference shall be fixed by the chairmen of the two sections.
    (c) The secretaries shall forthwith give written notice of the time, 
place and purpose of the hearing or hearings to each Government and to 
persons who have advised the Commission of their interest. Unless 
otherwise directed by the Commission, the secretaries shall also cause 
such notice to be published in the Canada Gazette, the Federal Register 
and once each week for three successive weeks in two newspapers, 
published one in each country and circulated in or near the localities 
which, in the opinion of the Commission, are most likely to be 
interested in the subject matter of the reference.
    (d) All hearings shall be open to the public, unless otherwise 
determined by the Commission.

[[Page 74]]

    (e) At a hearing, the Governments and persons interested are 
entitled to present, in person or by counsel, oral and documentary 
evidence and argument that is relevant and material to any matter that 
is within the published purpose of the hearing.
    (f) The presiding chairman may require that evidence be under oath.
    (g) Witnesses may be examined and cross-examined by the 
Commissioners and by counsel for the Governments and the Commission. 
With the consent of presiding chairman, counsel for any interested 
person may also examine or cross-examine witnesses.
    (h) The Commission may require further evidence to be given and may 
require printed briefs to be submitted at or subsequent to the hearing.
    (i) A verbatim transcript of the proceedings at the hearing shall be 
prepared.



Sec.  401.30  Proceedings under Article X.

    When a question or matter of difference arising between the two 
Governments involving the rights, obligations or interests of either in 
relation to the other or to their respective inhabitants has been or is 
to be referred to the Commission for decision under Article X of the 
Treaty, the Commission, after consultation with the said Governments, 
will adopt such rules of procedure as may be appropriate to the question 
or matter referred or to be referred.

                        PARTS 402	499 [RESERVED]

[[Page 75]]



            CHAPTER V--UNITED STATES AGENCY FOR GLOBAL MEDIA




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


  Editorial Note: Nomenclature changes to chapter V appear at 64 FR 
54539, Oct. 7, 1999.
Part                                                                Page
500

[Reserved]

501             Appointment of Foreign Service officers.....          77
502             Domestic requests for Broadcasting Board of 
                    Governors Program materials.............          84
503             Freedom of Information Act regulation.......          87
504             Testimony by BBG employees, production of 
                    official records, and disclosure of 
                    official information in legal 
                    proceedings.............................         100
505             Privacy Act regulation......................         105
506             Part-time career employment program.........         111
507             Rules for implementing open meetings under 
                    the Sunshine Act for the Broadcasting 
                    Board of Governors......................         112
510             Service of process..........................         115
511             Federal tort claims procedure...............         115
512             Collection of debts under the Debt 
                    Collection Act of 1982..................         117
513             Government debarment and suspension 
                    (nonprocurement) and governmentwide 
                    requirements for drug-free workplace 
                    (grants)................................         128
518             Uniform administrative requirements for 
                    grants and agreements with institutions 
                    of higher education, hospitals, and 
                    other non-profit organizations..........         147
519             New restrictions on lobbying................         173
521             Implementation of the Program Fraud Civil 
                    Remedies Act............................         184
530             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Broadcasting 
                    Board of Governors......................         200
531-599

[Reserved]

[[Page 77]]

                           PART 500 [RESERVED]



PART 501_APPOINTMENT OF FOREIGN SERVICE OFFICERS--Table of Contents



Sec.
501.1 Policy.
501.2 Eligibility for appointment as Foreign Service Officer.
501.3 Noncompetitive interchange between Civil Service and Foreign 
          Service.
501.4 Junior Level Career Candidate Program (Class 6, 5, or 4).
501.5 Mid-Level FSO Candidate Program (Class 3, 2, or 1).
501.6 Appointment of Overseas Specialists.
501.7 Appointment as Chief of Mission.
501.8 Reappointment of Foreign Service Officers and Career Overseas 
          Specialists.
501.9 Interchange of FSOs between Broadcasting Board of Governors and 
          other Foreign Affairs Agencies.

    Authority: Foreign Service Act of 1980 (22 U.S.C. 3901 et seq.).

    Source: 50 FR 27423, July 3, 1985, unless otherwise noted.



Sec.  501.1  Policy.

    It is the policy of the Broadcasting Board of Governors that Foreign 
Service Officers occupy positions in which there is a need and 
reasonable opportunity for interchangeability of personnel between the 
Board and posts abroad, and which are concerned with (a) the conduct, 
observation, or analysis of information and cultural activities, or (b) 
the executive management of, or administrative responsibility for, the 
overseas operations of the Board's program.



Sec.  501.2  Eligibility for appointment as Foreign Service Officer.

    Cross-reference: The regulations governing eligibility for 
appointment as a Foreign Service Officer are codified in part 11 of this 
title.



Sec.  501.3  Noncompetitive interchange between Civil Service and 
Foreign Service.

    (a) An agreement between the Office of Personnel Management and the 
Board under the provisions of Executive Order 11219 (3 CFR 1964-65 Comp. 
p. 303) provides for the noncompetitive appointment of present or former 
Foreign Service employees as career or career conditional Civil Service 
employees.
    (b) Under this agreement former career personnel of the Board's 
Foreign Service (FSCR, FSRU, FSIO, FSS, FSO, or FP) and such present 
personnel desiring to transfer, are eligible, under certain conditions, 
for noncompetitive career or career-conditional appointment in any 
Federal agency that desires to appoint them. The President has 
authorized the Office of Personnel Management by executive order to 
waive the requirements for competitive examination and appointment for 
such Board career Foreign Service personnel.
    (c) A present or former Civil Service employee may be appointed on a 
competitive basis in any Foreign Service class for which the employee 
has qualified under the provisions of section 3947 of title 22, United 
States Code.



Sec.  501.4  Junior Level Career Candidate Program (Class 6, 5, or 4).

    Cross-reference: The regulations governing the junior level Career 
Candidate program are codified in part 11 of this title.



Sec.  501.5  Mid-level FSO Candidate Program (Class 3, 2, or 1).

    (a) General. The mid-level FSO Candidate program, under the 
provisions of section 306 of the Foreign Service Act of 1980, 
supplements the junior-level Career Candidate program to meet total 
requirements for Foreign Service Officers at the mid-level in the 
Foreign Service. Foreign Service limited appointments of FSO Candidates 
are made to Class 3, 2, or 1 for a period not to exceed five years. 
Occasionally, appointments may be offered at the Class 4 level. The FSO 
Commissioning Board will determine whether FSO Candidates have performed 
at a satisfactory level and demonstrated the required level of growth 
potential and competence, and will make a recommendation on 
commissioning as Foreign Service Officers. FSO Candidates who are not 
recommended for commissioning prior to the expiration of their limited 
appointment will be separated from the mid-level program.
    (b) Sources of applicants. (1) The Broadcasting Board of Governors 
draws

[[Page 78]]

a significant number of FSO Candidates from Board employees who apply, 
and are found qualified by the Board of Examiners for the Foreign 
Service (BEX).
    (2) The Board also draws Candidates from outside applicants who 
possess skills and abilities in short supply in the Foreign Service and 
who have capabilities, insights, techniques, experiences, and 
differences of outlook which would serve to enrich the Foreign Service 
and enable them to perform effectively in assignments both abroad and in 
the United States. Minority applicants are recruited for mid-level entry 
under the COMRAT program. Appointment from sources outside the Board is 
limited and based on intake levels established in accordance with total 
Broadcasting Board of Governors FSO workforce and functional 
requirements. Such appointments are based on successful completion of 
the examination process, and existing assignment vacancies.
    (c) Eligibility requirement--(1) Broadcasting Board of Governors 
Employees. On the date of application, employees must have at least 
three years of Federal Government service in a position of 
responsibility in the Board. A position of responsibility is defined as 
service as an Overseas Specialist at Class 4 or above or as a Domestic 
Specialist at GS-11 or above within the Board. The duties and 
responsibilities of the position occupied by the applicant must have 
been similar or closely related to those of a Foreign Service Officer in 
terms of knowledge, skills, abilities, and overseas experience. Board 
Domestic and Overseas Specialists must be no more than 58 years of age 
on the date of redesignation or appointment as an FSO Candidate.
    (2) Applicants Under Special Recruitment Programs. Minority and 
women applicants must be no more than 58 years of age, must have 
approximately nine years of education or experience relevant to work 
performed in Broadcasting Board of Governors, must be knowledgeable in 
the social, political and cultural history of the U.S. and be able to 
analyze and interpret this in relation to U.S. Government policy and 
American life.
    (3) Outside Applicants. On the date of appointment, applicants must 
be no more than 58 years of age, with nine years of relevant work 
experience and/or education, or proficiency in a language for which the 
Board has a need, or substantial management expertise. Relevant work 
experience is defined as public relations work, supervisory or 
managerial positions in communications media, program director for a 
museum or university-level teacher of political science, history, 
English or other relevant disciplines. Appointments from these sources 
for the limited vacancies available are made on a competitive basis to 
fill specific Service needs after ensuring that the vacancies cannot be 
filled by Foreign Service Officers already in the Foreign Service 
Officer Corps.
    (d) Application Procedures. (1) Applicants must complete Standard 
Form 171, Application for Federal Employment; Form DSP-34, Supplement to 
Application for Federal Employment; a 1,000 word autobiography; a 
statement affirming willingness and capacity to serve at any post 
worldwide; and transcripts of all graduate and undergraduate course work 
and forward them to the Special Recruitment Branch, Office of Personnel 
(M/PDSE).
    (2) The filing of an application for the Foreign Service does not in 
itself entitle an applicant to examination. The decision to proceed with 
an oral examination is made by a Qualifications Evaluation Panel after 
determining the applicant's eligibility for appointment and reviewing 
the applicant's qualifications including his/her performance, and 
administrative files (or equivalents), claimed language proficiency and 
other background or factors which may be related to the work performed 
by FSOs. An oral examination is given only in those cases where the 
applicant is found to possess superior qualifications, proven ability, 
and high potential for success in the Foreign Service.
    (e) Examination process--(1) Written Examination. A written 
examination will not normally be required of applicants for FSO 
Candidate appointments. However, if the volume of applications for a 
given class or classes is such as to make it infeasible to examine 
applicants orally within a reasonable time,

[[Page 79]]

such applicants may be required to take an appropriate written 
examination prescribed by the Board of Examiners. Those who meet or 
exceed the passing level set by the Board of Examiners on the written 
examination will be eligible for selection for the oral examination.
    (2) Oral examination. (i) Applicants approved by the Qualifications 
Evaluation Panel for examination will be given an oral examination by a 
panel of Deputy Examiners approved by the Board of Examiners. The oral 
examination is designed to enable the Board of Examiners to determine 
whether applicants are functionally qualified for work in the Foreign 
Service at the mid-level, whether they would be suitable representatives 
abroad of the United States, whether they have the potential to advance 
in the Foreign Service, and whether they have the background and 
experience to make a contribution to the Foreign Service. The oral 
examination is individually scheduled throughout the year and is 
normally given in Washington, D.C. At the discretion of the Board of 
Examiners, it may be given in other American cities, or at Foreign 
Service posts, selected by the Board.
    (ii) The panel will orally examine each applicant through 
questioning and discussion. There will also be a writing exercise and an 
in-basket test. Applicants taking the oral examination will be graded 
according to the standards established by the Board of Examiners. The 
application of anyone whose score is at or above the passing level set 
by the Board will be continued. The application of anyone whose score is 
below the passing level will be terminated. The applicant may, however, 
reapply in 12 months by submitting a new application.
    (3) Foreign language requirement. All applicants who pass the oral 
examination will be required to take a subsequent test to measure their 
fluency in foreign languages, or their aptitude for learning them (MLAT) 
for which a score of 50 points (on a scale of zero to eighty) is 
necessary to qualify for further processing. No applicant will be 
recommended for career appointment who has not demonstrated such a 
proficiency or aptitude. An applicant may be selected, appointed and 
assigned without first having demonstrated required proficiency in a 
foreign language, but the appointment will be subject to the condition 
that the employee may not receive more than one promotion and may not be 
commissioned as an FSO until proficiency in one foreign language is 
achieved.
    (4) Medical examination. Those applicants recommended by the Board 
of Examiners for an FSO candidacy, and their dependents who will reside 
with them overseas, are required to pass a physical examination at the 
Department of State Medical Division.
    (5) Security and suitability considerations. A background 
investigation or appropriate security clearance update will be conducted 
on each applicant, and no application may be continued until a security 
clearance has been granted.
    (6) Class of appointment. The Board of Examiners fixes the entry 
level for appointment as an FSO candidate.
    (7) Certification for appointment. After completion of all aspects 
of the examination, the Board of Examiners certifies to the Board 
successful candidates for appointment as FSO Candidates. Determinations 
of duly constituted panels of examiners and deputy examiners are final, 
unless modified by specific action of the Board of Examiners for the 
Foreign Service.
    (8) FSO Candidate registers. (i) After approval by the Board of 
Examiners, and certification as to suitability and security clearance by 
the Board's Director of Security, successful applicants will have their 
names placed on a register for the class for which they have been found 
qualified. Appointments to available openings will be made from the 
applicants entered on the register for the class of the position to be 
filled. Inclusion on the register does not guarantee eventual assignment 
and appointment as an FSO Candidate. Applicants who have qualified but 
have not been appointed because of lack of openings will be dropped from 
the register 18 months after the date of placement on it (or the 
completion of an inside applicant's current overseas tour, whichever is 
longer). Such applicants may reapply for the program, but will be 
required to

[[Page 80]]

repeat the entire application process, including BEX testing.
    (ii) Any applicant on the register who refuses an assignment offer 
will be removed from the Register and will not be eligible to reapply 
for the program for seven years.
    (iii) The Board of Examiners may extend the eligibility period when 
such extension is in its judgment justified in the interest of the 
Foreign Service.
    (f) Appointment as an FSO Candidate. (1) An FSO Candidate will be 
given a four-year Foreign Service limited appointment. Board Career 
Overseas Specialists will be redesignated as FSO Candidates for a period 
of four years. The appointment or redesignation may be extended for one 
year, but must be terminated at the end of the fifth year. The purpose 
of the FSO Candidacy is to permit on-the-job evaluation of an 
individual's suitability and capacity for effective service as a Foreign 
Service Officer.
    (2) FSO Candidates will be assigned to Generalist positions 
overseas, and will compete for promotion with other Generalist officers 
under the Annual Generalist Selection Boards. FSO Candidates at the 
Class 1 level may not compete for promotion into the Senior Foreign 
Service prior to commissioning as an FSO.
    (3) The FSO Candidacy may be terminated during the four-year period 
for unsatisfactory performance (22 U.S.C. 4011) or for such other cause 
as will promote the efficiency of the Service (22 U.S.C. 4010).
    (g) Commissioning as a Foreign Service Officer. (1) Upon completion 
of three years' service (most of which will have been overseas), the FSO 
Candidate will be eligible for commissioning as a Foreign Service 
Officer. The FSO Commissioning Board will review all FSO Candidates 
appointed on or after March 1, 1980 and will recommend on tenure.
    (2) The criterion used for deciding whether to recommend 
commissioning of FSO Candidates is the Candidate's demonstrated 
potential to perform effectively as a Foreign Service Officer in a 
normal range of generalist assignments up through the Class 1 level. No 
quota or numerical limit is placed on the number of affirmative 
decisions.
    (3) If recommended for commissioning, and having satisfied the 
language proficiency requirements, the name of the FSO Candidate will be 
forwarded to the President and the Senate and, upon approval, the FSO 
Candidate will be commissioned as an FSO.
    (4) If the FSO Commissioning Board does not recommend commissioning 
of the FSO Candidate during its review, it may recommend extension of 
the FSO Candidacy to allow for a future review. Under no circumstances 
will an FSO Candidacy be extended to a total of more than five years.
    (5) Candidates not recommended for commissioning or who have not 
satisfied the language proficiency requirement will be separated from 
the Service at the expiration of their appointment. However, FSO 
Candidates who were appointed from within the Board with career status 
as a Domestic or Overseas Specialist may exercise reappointment rights 
to their previous category in lieu of separation.



Sec.  501.6  Appointment of Overseas Specialists.

    (a) General. Members of the Board's Foreign Service appointed as 
Overseas Specialists serve on rotational U.S.-overseas assignments in 
the following types of positions: General Administration; Publication 
Writers and Editors; Exhibit Managers; Printing Specialists; English 
Teaching Specialists; Correspondents; Engineers for the Voice of 
America; Regional Librarian Consultants; and Secretaries. Appointees 
serve a trial period of service as Specialist Candidates under Foreign 
Service limited appointments (or redesignation) for a period not to 
exceed five years. Appointments are made to F.S. classes 8 through 1. 
Specialist Candidates are given career appointments as Overseas 
Specialists based on the recommendations of Specialist Selection Boards. 
Specialist candidates not recommended for tenuring will be separated 
from the Foreign Service, or reinstated in the Civil Service.
    (b) Sources of applicants. Qualified Broadcasting Board of Governors 
domestic employees comprise a significant recruitment source for 
Overseas Specialist appointments. Such employees will be given priority 
consideration

[[Page 81]]

over outside applicants when applying for Overseas Specialist positions, 
when qualifications are otherwise equal.
    (c) Eligibility requirements. All applicant must be citizens of the 
United States, and must be at least 21 years of age and no more than 58 
years of age at the time of appointment. The 21-year age requirement may 
be waived by the Director, Office of Personnel (M/P or VOA/P) when she 
or he determines that the applicant's services are urgently needed. 
Broadcasting Board of Governors employee applicants must also have at 
least three years of Federal government experience and occupy a position 
at the GS-11 level (or equivalent) or above (GS-10 for Electronic 
Technicians in the Voice of America). All applicants must be available 
for worldwide assignment to positions in their occupational category.
    (d) Application procedures. (1) Applications for all specialties 
except secretarial should include a current SF-171, Application for 
Federal Employment; a DSP-34, Supplement to Application for Federal 
Employment; university transcripts; a 1,000 word autobiographical 
statement which should include mention of the qualifications the 
applicant would bring to the job and reason for desiring to work for the 
Board; and a statement affirming willingness and capacity to serve at 
any post worldwide.
    (2) Special requirements for Foreign Service Secretaries. 
Secretarial applicants must submit a current SF-171, Application for 
Federal Employment, and a 250 word essay on a commonly understood 
subject to demonstrate grammatical competence. The following specific 
requirements must be met by applicants: Ability to type accurately at 60 
words per minute; four years of secretarial or administrative experience 
(business school or college training may be substituted for up to two 
years of required work experience); and attainment of an acceptable 
score in verbal ability and spelling tests. Applicants will subsequently 
be given a written examination to measure administrative aptitude.
    (e) Examination process--(1) Application review. All applications 
are to be sent to the Special Recruitment Staff, Office of Personnel (M/
PDSE), or to the Foreign Personnel Advisor (VOA/PF) for Voice of America 
positions.
    (2) Qualifications Evaluation Panel. A Qualifications Evaluation 
Panel will evaluate the applicant's qualifications including his/her 
performance and administrative files (or equivalent), claimed language 
proficiency and other background or factors which may be related to the 
work performed by an Overseas Specialist Officer in the relevant 
specialty.
    (3) Oral examination. (i) Applicants who are passed on by the 
Qualifications Evaluation Panel to the Board of Examiners will be given 
an oral examination to evaluate the applicant's total qualifications for 
service as an Overseas Specialist in the desired functional specialty.
    (ii) The Board panel examining all candidates except those of the 
Voice of America will consist of one Broadcasting Board of Governors 
Overseas Specialist and two BEX Deputy Examiners. For VOA candidates, 
the panel will consist of the Foreign Personnel Advisor, a BEX Deputy 
Examiner assigned to the Voice of America, and a Deputy Examiner 
assigned to the Board of Examiners.
    (iii) The panel will examine each applicant through questioning and 
discussion. Hypothetical problem-solving exercises, a writing exercise 
and an in-basket test may also be required. The panel will also 
recommend the F.S. entry level for appointment. If the panel's 
recommendation is unfavorable, the application process will be 
discontinued. An unsuccessful applicant may apply again in 12 months.
    (4) The same medical and security requirements applicable to FSO 
Candidates pertain to Specialist Candidates.
    (5) Overseas Specialist Candidate register. If an applicant is 
successful in the examination, and medical and security clearances have 
been successfuly completed, his/her name will be added to the 
appropriate Overseas Specialist register for a period of 18 months, or 
completion of an inside candidate's current tour of duty overseas, 
whichever is longer, at the Foreign Service class determined in the 
examination process and based on previous experience. Inclusion on the 
register does not

[[Page 82]]

guarantee eventual assignment and appointment as an Overseas Specialist 
Candidate.
    (f) Appointment as a Specialist Candidate. (1) When the Office of 
Personnel identifies an overseas vacancy which cannot be filled from the 
existing ranks of Overseas Specialists, applicants on the Overseas 
Specialist register will be considered for the assignment. An applicant 
will not be appointed unless an overseas position has been identified 
and a need for the individual in the Foreign Service has been certified 
by the Director, Office of Personnel (M/P or VOA/P). Any applicant 
selected from the register who refuses an assignment offer will be 
dropped from the register and precluded from reapplying for a period of 
seven years.
    (2) Applicants will be given a Foreign Service limited appointment 
(or redesignation) for a period of four years at the Foreign Service 
Class determined in the examination process. The purpose of this 
untenured appointment is to allow the Board to evaluate and assess the 
Specialist Candidate's abilities and future potential prior to offering 
career appointment as an Overseas Specialist. The limited appointment 
may be extended for one additional year, but must be terminated at the 
end of the fifth year if the Candidate does not obtain career tenure.
    (3) The Candidate will receive the orientation and training 
necessary to serve overseas and will be assigned overseas in a position 
in his or her specialty. Broadcasting Board of Governors Civil Service 
employees selected as Overseas Specialist Candidates will be appointed 
only if the Board element to which they are currently assigned is 
willing to affirm in writing that a position at the appropriate level 
will be made available for the employee should the candidacy end 
unsuccessfully. Broadcasting Board of Governors Civil Service applicants 
will be appointed as Overseas Specialist Candidates on or about the date 
of their departure for post of assignment or upon assumption of an 
assignment (which has been identified and will follow a period of 
orientation in Washington). The Board may also assign a Candidate to a 
U.S.-based position for an initial assignment of up to 24 months when 
the Candidate will spend the majority of his/her time traveling overseas 
and will, except for the U.S. basing, be fully functioning as an 
Overseas Specialist. Specialist Candidates will compete for promotion by 
the Annual Overseas Specialist Selection Board with other officers in 
the same specialty and at the same class level. Specialist Candidates at 
the Class 1 level are ineligible for promotion into the Senior Foreign 
Service.
    (4) The Specialist candidacy may be terminated at any time for 
unsatisfactory performance (22 U.S.C. 4011) or for such cause as will 
promote the efficiency of the Service (22 U.S.C. 4010).
    (g) Career appointment as an Overseas Specialist. In accordance with 
section 3946 of title 22 United States Code, the decision to offer a 
Specialist Candidate a career appointment will be based on the 
recommendation made by the Annual Overseas Specialist Selection Board 
which reviews all employees in the Candidate's occupational category and 
class level.
    (1) Eligibility. Specialist Candidates who have performed at least 
two years of overseas service will be eligible for review for career 
status at the time of the Candidate's third Board review. Candidates 
serving an initial tour in the U.S. but spending the majority of time 
working overseas will be credited with up to one year's overseas 
service, but no more than half of the time based in the U.S. If a 
Specialist Candidate is not recommended for career status during the 
initial review, the Candidate may be reviewed again when the next Annual 
Overseas Specialist Selection Board convenes if the initial Board so 
recommends.
    (2) Selection Board Review. The Selection Board(s) will review the 
official performance file of the eligible Specialist Candidates and in 
accordance with established precepts, will determine whether the 
Candidates should be recommended for career appointment as Overseas 
Specialists. Recommendations by the Board will be based on the 
Candidate's demonstrated aptitude and fitness for a career in the 
Foreign Service in their occupational specialties. No quota or numerical 
limit is placed on the number of positive career status

[[Page 83]]

decisions that can be made by Selection Boards. The Specialist candidacy 
will be terminated if the Candidate fails to be recommended for career 
status after a second Board review for tenuring. Candidates may be 
terminated earlier than the expiration of their limited appointment if 
so recommended by the Board and approved by the Director, Office of 
Personnel (M/P or VOA/P). Specialist Candidates recommended for career 
status by the Selection Board will be given Foreign Service career 
appointments (or redesignation) as Overseas Specialist, to take effect 
within one month of the Board's recommendation.



Sec.  501.7  Appointment as Chief of Mission.

    (a) Appointment by President. Chiefs of mission are appointed by the 
President, by and with the advice and consent of the Senate. They may be 
career members of the Foreign Service or they may be appointed from 
outside the Service.
    (b) Recommendation of Foreign Service career members. On the basis 
of recommendations made by the Director of Broadcasting Board of 
Governors, the Secretary of State from time to time furnishes the 
President with the names of Foreign Service career members qualified for 
appointment as chiefs of mission. The names of these officers, together 
with pertinent information concerning them, are given to the President 
to assist him in selecting qualified candidates for appointment as 
chiefs of mission.
    (c) Status of Foreign Service career members appointed as Chiefs of 
Mission. Foreign Service career members who are appointed as chiefs of 
mission retain their career status as Foreign Service career members.



Sec.  501.8  Reappointment of Foreign Service Officers and Career 
Overseas Specialists.

    The President may, by and with the advice and consent of the Senate, 
reappoint to the Service a former Foreign Service Officer who is 
separated from the Service. The Director (Broadcasting Board of 
Governors) may reappoint to the Service a former career Overseas 
Specialist.
    (a) Requirements for reappointment. (1) On the date of application, 
each applicant must be a citizen of the United States.
    (2) No applicant will be considered who has previously been 
separated from the Foreign Service pursuant to section 608 or 610 of the 
Foreign Service Act of 1980 (or predecessor section 633, 635, or 637 of 
the Foreign Service Act of 1946, as amended); or who resigned or retired 
in lieu of selection out or separation for cause.

    Note: This requirement will not apply where it has been determined 
by the Foreign Service Grievance Board under 3 FAM 660 or by the 
Director, Office of Personnel, that the separation or the resignation or 
retirement in lieu of selection out or separation for cause was 
wrongful; where reappointment is determined by the Director, Office of 
Personnel, as an appropriate means to settle a grievance or complaint of 
a former Foreign Service career member on a mutually satisfactory basis; 
or where reappointment is the indicated redress in a proceeding under 3 
FAM 130 ``Equal Employment Opportunity.''

    (b) Application. Apply by letter addressed to the Director, Office 
of Personnel. Include the standard application forms, SF-171, 
Application for Federal Employment; and DSP-34, Supplement to 
Application for Federal Employment; and a brief resume of work and other 
experience since resignation from the Foreign Service. Whenever the 
Director, Office of Personnel, finds that the reappointment of one or 
more former Foreign Service Career Members may be in the best interest 
of the Service, all application forms, along with the available 
personnel files, will be referred as appropriate to the Board of 
Examiners for the Foreign Service which will conduct an advisory 
evaluation of the qualifications of each applicant.
    (c) Nature of evaluation. (1) The Board of Examiners' advisory 
qualifications evaluation of FSO applicants (i) will be based on a 
review of all pertinent information relating to the applicant's record 
of employment in the Foreign Service and to subsequent experience, as 
well, and (ii) will take into consideration among other factors, the 
rank of the applicant's contemporaries in the Service in recommending 
the class in which the applicant will be reappointed

[[Page 84]]

under section 308 of the Foreign Service Act of 1980.
    (2) In consultation with the Foreign Service Personnel Division (M/
PF or VOA/PF) and officials from the pertinent Board elements, the 
Overseas Specialist applicant's total qualifications and experience will 
be evaluated based on the application and an interview. On the basis of 
this review and the recommendations of the appropriate officials, the 
personnel office will determine whether the application should be 
continued and, if so, will recommend the appointment class.
    (d) Medical examination and security investigation. Qualified 
applicants and their dependents who will accompany them overseas will be 
given a physical examination. A security investigation will also be 
conducted. The reappointment action is subject to completion of a 
satisfactory security investigation and satisfactory medical examination 
of the applicant and his/her dependents.
    (e) Selection for reappointment. The Director, Office or Personnel 
(M/P or VOA/P), taking into consideration (1) the qualifications and 
experience of each applicant as outlined in the qualifications 
evaluation performed by the Board of Examiners for the Foreign Service 
or the personnel office, (2) future placement and growth potential, and 
(3) the needs of the Service for the applicant's skills determines which 
applicant, or applicants, are qualified for reappointment and the 
appointment class that is considered to be appropriate. An Overseas 
Specialist may not be reappointed until and unless an overseas 
assignment has been identified. The Director, Office of Personnel (M/P 
or VOA/P) is responsible for initiating appointment action. Any 
voluntary applicant who refuses an offer of reappointment will not be 
considered for reappointment again.



Sec.  501.9  Interchange of FSOs between Broadcasting Board of Governors
and other Foreign Affairs Agencies.

    Foreign Service Officers (FSOs) desiring transfer from one agency to 
another may apply under the following provisions:
    (a) Applications. Applications for interchange appointments should 
be sent to the Board of Examiners for the Foreign Service, Department of 
State, Washington, DC 20520.
    (b) Certification and approval. (1) When a Foreign Service Officer 
of another Foreign Affairs Agency wishes to transfer to the Broadcasting 
Board of Governors, a certification of need is required from the 
Director, Office of Personnel, Broadcasting Board of Governors, and 
approval is required by the Director of Personnel for the other agency 
for the officer's release to Broadcasting Board of Governors.
    (2) When a Broadcasting Board of Governors FSO wishes to transfer to 
another Foreign Affairs Agency, a certification of need is required from 
the Director of Personnel of the other Agency, and approval is required 
by the Director, Office of Personnel, Broadcasting Board of Governors, 
for the officer's release to that Agency.
    (3) A review by the Board of Examiners for the Foreign Service will 
certify the eligibility of candidates for exchange. BEX will notify the 
Office of Personnel, Broadcasting Board of Governors when a Foreign 
Service Officer of another Agency has been approved for transfer and 
Broadcasting Board of Governors will process the necessary employment 
papers.
    (4) A new FSO appointment for officers transferring between another 
Foreign Affairs Agency and Broadcasting Board of Governors is not 
required.



PART 502_DOMESTIC REQUESTS FOR BROADCASTING BOARD OF GOVERNORS PROGRAM
MATERIALS--Table of Contents



Sec.
502.1 Authority and scope.
502.2 Definitions.
502.3 Availability of program materials on public Web sites.
502.4 Media or organization one-time requests for broadcast quality 
          agency program materials.
502.5 Media or organization requests for ongoing subscriptions to 
          broadcast quality agency program materials
502.6 Terms of use for accessing program materials available on agency 
          Web sites.
502.7 Denial of requests.
502.8 Fees.

    Authority: 22 U.S.C. 1461, 1461-1a.

[[Page 85]]


    Source: 78 FR 39585, July 2, 2013, unless otherwise noted.



Sec.  502.1  Authority and scope.

    (a) Authority for this part. This part is pursuant to Section 1078 
of the National Defense Authorization Act for Fiscal Year 2013, Public 
Law 112-239, as codified in 22 U.S.C. 1461, 1461-1a and the U.S. 
International Broadcasting Act, 22 U.S.C. 6201 et seq.
    (b) Scope. This part applies to the public and all divisions of the 
Federal Government supervised by the Broadcasting Board of Governors 
under the U.S. International Broadcasting Act of 1994 (collectively 
``the Agency''). These regulations only cover the procedures for 
responding to domestic requests for Agency program materials.
    (c) Summary. (1) The Broadcasting Board of Governors supervises all 
U.S. non-military international broadcasting activities in accordance 
with the broadcasting principles and standards in the U.S. International 
Broadcasting Act of 1994, 22 U.S.C. 6201 et seq., including consistency 
with the broad foreign policy objectives of the United States.
    (2) As stated in the U.S. International Broadcasting Act of 1994, it 
is the policy of the United States to promote freedom of opinion and 
expression and to open communication of information and ideas among the 
people of the world. The Agency has adopted as its mission statement 
``to inform, engage, and connect people around the world in support of 
freedom and democracy.''
    (3) It is the Agency's policy to make its program materials 
available, upon request, whenever doing so is consistent with all 
statutory authorities, prohibitions, principles, and standards. However, 
the Agency reserves the right to deny requests for program materials 
under circumstances described in Section 502.7 of this regulation.
    (4) Pursuant to section 501 of the U.S. Information and Educational 
Exchange Act, as amended, as codified in 22 U.S.C. 1461, the Agency may, 
upon request, provide members of the public, organizations, and media 
with program materials which the Agency disseminated abroad, in 
accordance with these regulations.
    (5) Pursuant to Section 208 of Foreign Relations Authorization Act, 
Fiscal Years 1986 and 1987, as amended, as codified at 22 U.S.C. 1461-
1a, the Agency is prohibited from using appropriated funds to influence 
public opinion in the United States, however, the statute clarifies that 
the Agency may:
    (i) Provide information about its operations, programs, or program 
materials to the media, the public, or Congress in accordance with 
applicable law;
    (ii) Make program materials available in the Unites States, when 
appropriate, and in accordance with other applicable law.



Sec.  502.2  Definitions.

    As used in this part:
    (a) Media entity means any person or entity, that actively gathers 
information of potential interest to a segment of the public, turns 
gathered information into a distinct work, or distributes that work to 
an audience within the United States, and otherwise serves the purposes 
described in Sec.  502.4.
    (b) Organization means any corporation, trust, association, 
cooperative, or other group organized primarily for scientific, 
educational, service, charitable, or similar purpose, including but not 
limited to institutions of higher education, and otherwise serves the 
purposes described in Sec.  502.4.
    (c) Program materials means radio broadcasts, television broadcasts, 
and Internet content that the Agency disseminates to audiences outside 
of the United States, pursuant to: The U.S. Information and Educational 
Exchange Act of 1948 (22 U.S.C. 1461 et seq.); The U.S. International 
Broadcasting Act of 1994 (22 U.S.C. 6201 et seq.); The Radio 
Broadcasting to Cuba Act (22 U.S.C. 1465 et seq.); or The Television 
Broadcasting to Cuba Act (22 U.S.C. 1465aa et seq.).
    (d) Requestor means any private person or entity within the United 
States that requests program materials from the Agency.



Sec.  502.3  Availability of program materials on public Web sites.

    (a) The Agency makes program materials available to Requestors 
through the Agency's news and information

[[Page 86]]

Web sites designed for foreign audiences. To access currently-available 
Agency program materials, please visit www.voanews.com and 
www.martinoticias.com. The homepages of these Web sites display a 
portion of the Agency's most recent news reporting. Additional program 
materials are available through the Web sites' search functions.
    (b) Program materials are available on Agency Web sites, and may be 
removed from Agency Web sites solely at the Agency's discretion. The 
Agency will remove program materials from Agency Web sites when a 
National Archives and Records Administration (NARA) records schedule 
goes into effect, or when required by licensing agreements with third-
party copyright holders. Once these program materials have been removed 
from Agency Web sites, they are no longer available from the Agency.
    (1) When full programs are removed from the Agency's Web sites in 
accordance with a NARA records schedule, programs designated as 
permanent will be transferred to NARA. For information on how to request 
Agency program materials that have been transferred to NARA, see the 
Agency's records schedules and NARA's regulations at www.nara.gov.
    (2) Programs designated as temporary under a NARA records schedule 
will not be retained by the Agency once they are removed from the 
Agency's Web sites and are no longer needed for the Agency's use.
    (c) Segments incorporated into final programs, including music, 
interviews, reports, and other program elements, will not be transferred 
to NARA independently of full program recordings, and will not be 
available after they have been removed from Agency Web sites.
    (d) Draft program materials, and any other program materials not 
selected for dissemination abroad, are not available.
    (e) The Agency shall determine the method of making program 
materials available, as well as the file type, file format, resolution, 
and storage medium(s) that are available. Program materials are only 
available in the same form (i.e. radio or television file-type and file 
format) and language in which the Agency disseminated them abroad.

[78 FR 39585, July 2, 2013, as amended at 78 FR 67026, Nov. 8, 2013]



Sec.  502.4  Media or organization one-time requests for broadcast
quality agency program materials.

    Upon request, the Agency may provide a broadcast-quality copy of 
Agency program materials to media entities, educational organizations, 
not-for-profit corporations, or other requestors. Requestors will be 
informed if materials are subject to third party content holders' 
restrictions. One-time requests for broadcast quality copies of Agency 
program materials should be directed to:
    (a) The Voice of America Office of Public Relations for broadcast-
quality copies of Voice of America program materials; and
    (b) The TV Marti Division of the Office of Cuba Broadcasting for 
broadcast-quality copies of TV or Radio Marti program materials.

[78 FR 67026, Nov. 8, 2013]



Sec.  502.5  Media or organization requests for ongoing subscriptions to
broadcast quality agency program materials

    (a) Upon request, the Agency may make program materials available on 
an ongoing basis to Media entities, or other organizations, through a 
subscription agreement, provided that the Agency determines that 
entering into a subscription agreement to make program materials 
available on an ongoing basis would be consistent with the Agency's 
mission and authorities. Requested, ongoing subscription agreements must 
be consistent with the Agency's Policy for domestic distribution which 
incorporates the Broadcasting principles and standards and other 
requirements, found in 22 U.S.C. 1461, 1461-1a, 1462, 6201, 6202, 6203, 
6204, 6205, 6206; Pub. L. 112-239, section 1078(b), 126 Stat. 1632, 
1958; agreements with third-parties that hold a copyright in Agency 
program materials; and Terms of Use on Agency Web sites. Requestors 
shall secure all necessary

[[Page 87]]

licenses from all persons or organizations that hold a copyright in any 
portion of program materials before making any use of those program 
materials, except uses of program materials permitted by the Copyright 
Act of 1976, as amended.
    (b) Media entities or other organizations may request ongoing 
subscriptions by filling out an application form found on the Web site 
for the Direct System, the Agency's professional distribution system.

[78 FR 67026, Nov. 8, 2013]



Sec.  502.6  Terms of use for accessing program materials available on 
agency Web sites.

    (a) By accessing Agency Web sites, Requestors agree to all the Terms 
of Use available on those Web sites.
    (b) All Requestors are advised that Agency program materials may 
contain third-party copyrighted material, unless the Agency specifically 
informs the Requestor otherwise. Accordingly, and as further explained 
in the Terms of Use mentioned above, by using Agency Web sites to access 
program materials:
    (1) The Requestor agrees that he or she is solely responsible for 
his or her use of program materials provided by the Agency and any 
copyrighted portion(s) of those materials;
    (2) The Requestor agrees that he or she shall secure all necessary 
licenses from all persons or organizations that hold a copyright in any 
portion of requested program materials before making any use of those 
program materials, except uses of program materials permitted by the 
Copyright Act of 1976, as amended.

[78 FR 39585, July 2, 2013, as amended at 78 FR 67026, Nov. 8, 2013]



Sec.  502.7  Denial of requests.

    (a) The Agency reserves the right to deny any request for program 
materials made pursuant to these regulations for cause, including but 
not limited to the following circumstances:
    (1) For a Requestor's failure to comply with the Terms of Use on 
Agency Web sites;
    (2) For a Requestor's failure to secure necessary rights and 
licenses to use third-party copyrighted materials when the Requestor 
uses Agency program materials in any way not explicitly permitted by the 
Copyright Act of 1976, as amended;
    (3) When the Agency's distribution of program materials is 
restricted by an agreement with a third-party that holds a copyright in 
a portion of Agency program materials;
    (4) If providing the requested materials would be inconsistent with 
the Agency's statutory authorities, the broadcasting element's charter, 
or any applicable law or regulation.
    (b) For more information on the criteria for accepting or denying 
requests, please see the Agency's policy for domestic distribution, 
available at www.bbg.gov.



Sec.  502.8  Fees.

    (a) The Agency makes program material available at no cost on 
www.voanews.com and www.martinoticias.com.
    (b) The Agency may collect a fee for reimbursement of the reasonable 
costs incurred to fulfill a request for Agency program materials, 
including ongoing subscriptions for Media entities and one-time requests 
for broadcast-quality copies of Agency program materials. Fees charged 
for ongoing subscriptions, if any, will be outlined in an agreement 
between the Media entity and the Agency.
    (c) The Agency reserves the right to establish and change fees in 
accordance with applicable law and regulation.



PART 503_FREEDOM OF INFORMATION ACT REGULATION--Table of Contents



Sec.
503.1 Introduction and definitions.
503.2 Making a request.
503.3 Availability of agency records.
503.4 Time limits.
503.5 Records available for public inspection.
503.6 Restrictions on some agency records.
503.7 Fees.
503.8 Exemptions.
503.9 Electronic records.

    Authority: 5 U.S.C. 552 Reform Act of 1986 as amended by Pub. L. 99-
570; sec. 1801-1804; U.S.C. 2658; 5 U.S.C. 301; 13 U.S.C. 8, E.O. 10477, 
as amended; 47 FR 9320, Apr. 2, 1982, E.O. 12356. 5 U.S.C. 552 (1988 & 
Supp. III 1991)

[[Page 88]]

as amended by Freedom of Information Reform Act of 1986, Pub. L. 99-570, 
Title I, sections 1801-1804, 100 Stat. 3207, 3207-48-50 (1986)(codified 
at 5 U.S.C. 552 (1988)); 22 U.S.C. 2658 (1988); 5 U.S.C. 301 (1988); 13 
U.S.C. 8 (2988); E.O. 10477, 3 CFR 958 (1949-1953) as amended by E.O. 
10822, 3 CFR 355 (1959-1963), E.O. 12292, 3 FR 134 (1982), E.O. 12356, 3 
CFR 166 (1983), E.O. 12958 (1995).

    Source: 67 FR 8867, Feb. 27, 2002, unless otherwise noted.



Sec.  503.1  Introduction and definitions.

    (a) Introduction. The Freedom of Information Act (FOIA) and this 
part apply to all records of The Broadcasting Board of Governors (BBG). 
As a general policy BBG follows a balanced approach in administering the 
FOIA. We recognize the right of public access to information in the 
Agency's possession, but we also seek to protect the integrity of the 
Agency's internal processes. This policy calls for the fullest possible 
disclosure of records consistent with those requirements of 
administrative necessity and confidentiality which are recognized by the 
FOIA.
    (b) Definitions:
    Access Appeal Committee or Committee means the Committee delegated 
by the Agency Head for making final agency determinations regarding 
appeals from the initial denial of records under the FOIA.
    Agency or BBG means the Broadcasting Board of Governors. It includes 
all parts of the BBG in the U.S. and its worldwide operations.
    Commercial use, when referring to a request, means that the request 
is from, or on behalf of, one who seeks information for a use or purpose 
that furthers the commercial, trade, or profit interests of the 
requester or of a person on whose behalf the request is made. Whether a 
request is for a commercial use depends on the purpose of the request 
and how the records will be used. The identity of the requester 
(individual, non-profit corporation, for-profit corporation), or the 
nature of the records, while in some cases indicative of that purpose or 
use, is not necessarily determinative. When a request is made by a 
representative of the news media, the request shall be deemed to be for 
a non-commercial use.
    Department means any executive department, military department, 
government corporation, government controlled corporation, any 
independent regulatory agency, or other establishment in the executive 
branch of the Federal Government. A private organization is not a 
department even if it is performing work under contract with the 
Government or is receiving Federal financial assistance. Grantee and 
contractor records are not subject to the FOIA unless they are in the 
possession and control of the BBG.
    Duplication means the process of making a copy of a record and 
sending it to the requester, to the extent necessary to respond to the 
request. Such copies include paper copy, microform, audiovisual 
materials, and magnetic tapes, cards and discs.
    Educational institution means a preschool, elementary or secondary 
school, institution of undergraduate or graduate higher education, or 
institution of professional or vocational education.
    FOIA means the Freedom of Information Act, section 552 of title 5, 
United States Code, as amended.
    Freedom of Information Officer means the BBG official who has been 
delegated the authority to release or withhold records and assess, 
waive, or reduce fees in response to FOIA requests.
    Non-commercial scientific institution means an institution that is 
not operated substantially for the purposes of furthering its own or 
someone else's business, trade, or profit interests, and that is 
operated for purposes of conducting scientific research whose results 
are not intended to promote any particular product or industry.
    Records (and any other term used in this section in reference to 
information) include any information that would be an agency record 
subject to the requirements of this section when maintained by the 
Agency in any format, including an electronic format. Records also 
include any handwritten, typed or printed documents (such as memoranda, 
books, brochures, studies, writings, drafts, letters, transcripts, and 
minutes) and documentary material in other forms (such as punchcards, 
magnetic tapes, cards, or discs; paper tapes; audio or video recordings,

[[Page 89]]

maps, photographs, slides, microfilm, and motion pictures). It does not 
include objects or articles such as exhibits, models, equipment, and 
duplication machines or audiovisual processing materials. Reports does 
not include books, magazines, pamphlets, or other reference material in 
formally organized and officially designated BBG libraries, where such 
materials are available under the rules of the particular library.
    Representative of the news media means a person actively gathering 
news for an entity organized and operated to publish or broadcast news 
to the public. News means information that is about current events or 
that would be of current interest to the public. News media entities 
include television and radio broadcasters, publishers of periodicals (to 
the extent they publish ``news'') who make their products available for 
purchase or subscription by the general public, and entities that may 
disseminate news through other media (e.g., electronic dissemination of 
text). Freelance journalists shall be considered representatives of a 
news media entity if they can show a solid basis for expecting 
publication through such an entity. A publication contract or a 
requester's past publication record may show such a basis.
    Request means asking in writing for records whether or not the 
request refers specifically to the FOIA.
    Review means examining the records to determine which portions, if 
any, may be released, and any other processing that is necessary to 
prepare the records for release. It includes only the first examination 
and processing of the requested documents for purposes of determining 
whether a specific exemption applies to a particular record or portion 
of a record.
    Search means looking for records or portions of records responsive 
to a request. It includes reading and interpreting a request, and also 
page-by-page and line-by-line examination to identify responsive 
portions of a document. However, it does not include line-by-line 
examination where merely duplicating the entire page would be a less 
expensive and quicker way to comply with the request.



Sec.  503.2  Making a request.

    (a) How to request records. All requests for documents shall be made 
in writing. Requests should be addressed to The Broadcasting Board of 
Governors (BBG), FOIA/Privacy Act Officer, Office of the General 
Counsel, 330 Independence Avenue, SW, Suite 3349, Washington, DC 20237; 
telephone (202) 260-4404; or fax (202) 260-4394. Write the words 
``Freedom of Information Act Request'' on the envelope and letter.
    (b) Details in your letter. Your request for documents should 
provide as many details as possible that will help us find the records 
you are requesting. If there is insufficient information, we will ask 
you to provide greater details. Include your telephone number(s) to help 
us reach you if we have questions. If you are not sure how to write your 
request or what details to include, you may call the FOIA Office to 
request a copy of the Agency's booklet ``Guide and Index of Records,'' 
or access the same information via the Internet on BBG's World Wide Web 
site (http://www.ibb.gov). The more specific the request for documents, 
the sooner the Agency will be able to respond to your request(s).
    (c) Requests not handled under FOIA. We will not provide documents 
requested under the FOIA and this part if the records are currently 
available in the National Archives, subject to release through the 
Archives, or commonly sold to the public by it or another agency in 
accordance with statutory authority (for example, records currently 
available from the Government Printing Office or the National Technical 
Information Service). Agency records that are normally freely available 
to the general public, such as BBG press releases, are not covered by 
the FOIA. Requests for documents from Federal departments, Chairmen of 
Congressional committees or subcommittees and court orders are not FOIA 
requests.
    (d) Referral of requests outside the agency. If you request records 
that were created by or provided to us by another Federal department, we 
may refer your request to or consult with that department. We may also 
refer requests for classified records to the department that classified 
them. In cases

[[Page 90]]

of referral, the other department is responsible for processing and 
responding to your request under that department's regulation. When 
possible, we will notify you when we refer your request to another 
department.
    (e) Responding to your request--(1) Retrieving records. The Agency 
is required to furnish copies of records only when they are in our 
possession and control. If we have stored the records you want in a 
record retention center, we will retrieve and review them for possible 
disclosure. However, the Federal Government destroys many old records, 
so sometimes it is impossible to fill requests. The Agency's record 
retention policies are set forth in the General Records Schedules of the 
National Archives and Records Administration and in BBG's Records 
Disposition Schedule, which establish time periods for keeping records 
before they may be destroyed.
    (2) Furnishing records. (i) The Agency is only required to furnish 
copies of records that we have or can retrieve. We are not compelled to 
create new records. The Agency will aid requesters by providing records 
and information in the form requested, including electronic format, if 
we can readily reproduce them in that form or format.
    (ii) We may decide to conserve government resources and at the same 
time supply the records you need by consolidating information from 
various records, in paper form or electronically, rather than copying 
them all. If the effort to produce records in electronic format would 
significantly interfere with the operations of the Agency, we will 
consider the effort to be an unreasonable search.
    (iii) The Agency is required to furnish only one copy of a record. 
If we are unable to make a legible copy of a record to be released, we 
will not attempt to reconstruct it. Rather we will furnish the best copy 
possible and note its poor quality in our reply or on the copy.
    (iv) If we cannot accommodate your request for form or format, we 
will provide responsive, nonexempt information in a reasonably 
accessible form.



Sec.  503.3  Availability of agency records.

    (a) Release of records. If we have released a record or part of a 
record to others in the past, we will ordinarily release it to you also. 
This principle does not apply if the previous release was an 
unauthorized disclosure. However, we will not release it to you if a 
statute forbids this disclosure and we will not necessarily release it 
to you if an exemption applies in your situation and did not apply or 
applied differently in the previous situation.
    (b) Denial of requests. All denials are in writing and describe in 
general terms the material withheld and state the reasons for the 
denial, including a reference to the specific exemption of the FOIA 
authorizing the withholding or deletion. The denial also explains your 
right to appeal the decision and it will identify the official to whom 
you should send the appeal. Denial letters are signed by the person who 
made the decision to deny all or part of the request, unless otherwise 
noted.
    (c) Unproductive searches. We will make a diligent search for 
records to satisfy your request. Nevertheless, we may not be able always 
to find the records you want using the information you provided, or they 
may not exist. If we advise you that we have been unable to find the 
records despite a diligent search, you will nevertheless be provided the 
opportunity to appeal the adequacy of the Agency's search. However, if 
your request is for records that are obviously not connected with this 
Agency or your request has been provided to us in error, a ``no 
records'' response will not be considered an adverse action and you will 
not be provided an opportunity to appeal.
    (d) Appeal of denials. You have the right to appeal a partial or 
full denial of your FOIA request. To do so, you must put your appeal in 
writing and address it to the official identified in the denial letter. 
Your appeal letter must be dated and postmarked within 30 calendar days 
from the date of the Agency's denial letter. Because we have some 
discretionary authority in deciding whether to release or withhold 
records, you may strengthen your appeal by explaining your reasons for 
wanting the records. However, you are not required to give any 
explanation.

[[Page 91]]

Your appeal will be reviewed by the Agency's Access Appeal Committee 
that consists of senior Agency officials. When the Committee responds to 
your appeal, that constitutes the Agency's final action on the request. 
If the Access Appeal Committee grants your appeal in part or in full, we 
will send the records to you promptly or set up an appointment for you 
to inspect them. If the decision is to deny your appeal in part or in 
full, the final letter will state the reasons for the decision, name the 
officials responsible for the decision, and inform you of the FOIA 
provisions for judicial review.



Sec.  503.4  Time limits.

    (a) General. The FOIA sets certain time limits for us to decide 
whether to disclose the records you requested, and to decide appeals. If 
we fail to meet the deadlines, you may proceed as if we had denied your 
request or your appeal. Since requests may be misaddressed or misrouted, 
you should call or write to confirm that we have the request and to 
learn its status if you have not heard from us in a reasonable time.
    (b) Time allowed. (1) We will decide whether to release records 
within 20 working days after your request reaches the appropriate area 
office that maintains the records you are requesting. When we decide to 
release records, we will actually provide the records at that time, or 
as soon as possible after that decision, or let you inspect them as soon 
as possible thereafter.
    (2) We will decide an appeal within 20 working days after the appeal 
reaches the appropriate reviewing official.
    (3)(i) The FOIA Officer or appeal official may extend the time 
limits in unusual circumstances for initial requests or appeals, up to 
10 working days. We will notify you in writing of any extensions. 
``Unusual circumstances'' include situations where we: Search for and 
collect records from field facilities, records centers or locations 
other than the office processing the records; search for, collect, or 
examine a great many records in response to a single request; consult 
with another office or department that has substantial interest in the 
determination of the request; and/or conduct negotiations with 
submitters and requesters of information to determine the nature and 
extent of non-disclosable proprietary materials.
    (ii) If an extra ten days still does not provide sufficient time for 
the Agency to deal with your request, we will inform you that the 
request cannot be processed within the statutory time limit and provide 
you with the opportunity to limit the scope of your request and/or 
arrange with us a negotiated deadline for processing your request.
    (iii) If you refuse to reasonably limit the scope of your request or 
refuse to agree upon a time frame, the Agency will process your case, as 
it would have, had no modification been sought. We will make a diligent, 
good faith effort to complete our review within the statutory time 
frame.



Sec.  503.5  Records available for public inspection.

    (a) To the extent that they exist, we will make the following 
records of general interest available for you in paper form or 
electronically for inspection or copying:
    (1) Orders and final opinions, including concurring and dissenting 
opinions in adjudications. (See Sec.  503.8(e) of this part for 
availability of internal memoranda, including attorney opinions and 
advice.)
    (2) Statements of policy and interpretations that we have adopted 
but which have not been published in the Federal Register.
    (3) Administrative staff manuals and instructions to staff that 
affect the public. (We will not make available, however, manuals or 
instructions that reveal investigative or audit procedures as described 
in Sec.  503.8(b) and (g) of this part.)
    (4) In addition to such records as those described in this paragraph 
(a), we will make available to any person a copy of all other Agency 
records, in the format requested, if available, unless we determine that 
such records should be withheld from disclosure under subsection (b) of 
the Act and Sec. Sec.  503.8 and 503.9 of this part.
    (b) Before releasing these records, however, we may delete the names 
of people, or information that would identify them, if release would 
invade their

[[Page 92]]

personal privacy to a clearly unwarranted degree (See Sec.  503.8(f)).
    (c) The Agency's FOIA Guide and Index is available electronically 
via the Internet, or you may request a copy of it by mail.



Sec.  503.6  Restrictions on some agency records.

    Under the U.S. Information and Educational Exchange Act of 1948 (22 
U.S.C. 1461, as amended), the BBG is prohibited from disseminating 
within the United States information about the U.S., its people, and its 
policies when such materials have been prepared by the Agency for 
audiences abroad. This includes films, radio scripts and tapes, 
videotapes, books, and similar materials produced by the Agency. 
However, this law does provide that upon request, such information shall 
be made available at BBG, for examination only, by representatives of 
the press, magazines, radio systems and stations, research students or 
scholars and available, for examination only, to Members of Congress.



Sec.  503.7  Fees.

    (a) Fees to be charged--categories of requests. Paragraphs (a)(1) 
though (3) and (b) through (e) of this section explain each category of 
request and the type of fees that we will generally charge. However, for 
each of these categories, the fees may be limited, waived, or reduced 
for the reasons given in paragraph (e) of this section. ``Request'' 
means asking for records, whether or not you refer specifically to the 
Freedom of Information Act (FOIA). Requests from Federal agencies and 
court orders for documents are not included within this definition. 
``Review'' means, when used in connection with processing records for a 
commercial use request, examining the records to determine what 
portions, if any, may be withheld, and any other processing that is 
necessary to prepare the records for release. It includes only the 
examining and processing that are done the first time we analyze whether 
a specific exemption applies to a particular record or portion of a 
record. It does not include the process of researching or resolving 
general legal, or policy issues regarding exemptions. ``Search'' means 
looking for records or portions of records responsive to a request. It 
includes reading and interpreting a request, and also and line-by-line 
examination to identify responsive portions of a document.
    (1) Commercial use request. If your request is for a commercial use, 
BBG will charge you the costs of search, review and duplication. 
``Commercial use'' means that the request is from or on behalf of one 
whom seeks information for a use or purpose that furthers the 
commercial, trade, or profit interests of the requester or of a person 
on whose behalf the request is made. Whether a request is for a 
commercial use depends on the purpose of the request and how the records 
will be used; the identity of the requester (individual, non-profit 
corporation, for-profit corporation), or the nature of the records, 
while in some cases may indicate the purpose or use is not necessarily 
determinative. When a request is made by a representative of the news 
media, a purpose of use which supports the requester's news 
dissemination function is deemed to be a non-commercial use.
    (2) Educational and scientific institutions and news media. If you 
are an educational institution or a non-commercial scientific 
institution, operated primarily for scholarly or scientific research, or 
a representative of the news media, and your request is not for a 
commercial use, BBG will charge you only for the duplication of 
documents. Also BBG will not charge you the copying costs for the first 
100 pages of duplication. ``Educational institution'' means a preschool, 
elementary or secondary school, institution of undergraduate or graduate 
higher education, or institution of professional or vocational 
education. ``Non-commercial scientific institution'' means an 
institution that is not operated substantially for purposes of 
furthering its own or someone else's business, trade, or profit 
interests, and that is operated for purposes of conducting scientific 
research whose results are not intended to promote any particular 
product or industry. ``Representative of the news media'' means a person 
actively gathering news for an entity organized and operated to publish 
or broadcast news

[[Page 93]]

to the public. ``News'' means information that is about current events 
or that would be of current interest to the public. News media entities 
include television and radio broadcasters, publishers of periodicals (to 
the extent they publish ``news'') who make their products available for 
purchase or subscription by the general public, and entities that may 
disseminate news through other media (e.g., electronic dissemination of 
text). We will treat freelance journalists as representatives of a news 
media entity if they can show a solid basis for expecting publication 
through such an entity. A publication contract is such a basis and the 
requester's past publication record may show such a basis.
    (3) Other requesters. If your request is not the kind described by 
paragraph (a)(1) or (a)(2) of this section, then the BBG will charge you 
only for search and duplication. Also, we will not charge you for the 
first two hours of search time or for the copying costs of the first 100 
pages of duplication.
    (b) Fees to be charged--general provisions. (1) We may charge search 
fees even if the records we find are exempt from disclosure, or even if 
we do not find any records at all.
    (2) We will not charge you any fee at all if the costs of routine 
collection and processing of the fee are likely to equal or exceed the 
amount of the fee. We have estimated that cost to be $5.00.
    (3) If we determine that you are acting alone or with others to 
break down a single request into a series of requests in order to avoid 
or reduce the fees charged, we may aggregate all these requests for 
purposes of calculating the fees charged.
    (4) We will charge interest on unpaid bills beginning on the 31st 
day following the day the bill was sent. The accrual of interest will 
stop upon receipt of the fee, rather than upon its processing by BBG. 
Interest will be at the rate prescribed in section 3717 of Title 32 
U.S.C.
    (c) Fee schedule--BBG will charge the following fees: (1) Manual 
searching for or reviewing of records:
    (i) When performed by employees at salary grade GS-1 through GS-8 or 
FS-9 through FS-5--an hourly rate of $10.00 will be charged;
    (ii) When performed by employees at salary grade GS-9 through GS-13 
or FS-5 through FS-2--an hourly rate of $20.00 will be charged;
    (iii) When performed by employees at salary grade GS-14 or above or 
FS-2 or above--an hourly rate of $36.00 will be charged.
    (iv) When a search involves employees at more than one of these 
levels, we will charge the appropriate rate for each.
    (2) Computer searching and printing. Except in unusual cases, the 
cost of computer time will not be a factor in calculating the two free 
hours of search time. In those unusual cases, where the cost of 
conducting a computerized search significantly detracts from the 
Agency's ordinary operations, no more than the dollar cost of two hours 
of manual search time shall be allowed. For searches conducted beyond 
the first two hours, the Agency shall only charge the direct costs of 
conducting such searches.
    (3) Photocopying standard size pages--$0.15 per page.
    (4) Photocopying odd-size documents (such as punchcards or 
blueprints) or reproducing other records (such as tapes)--the actual 
cost of operating the machine, plus the actual cost of the materials 
used, plus charges for the time spent by the operator, at the rates 
given in paragraph (c)(1) of this section.
    (5) Certifying that records are true copies--this service is not 
required by the FOIA. If we agree to provide it, we will charge $10.00 
per certification.
    (6) Sending records by express mail, certified mail, or other 
special methods. This service is not required by the FOIA. If we agree 
to provide it, we will charge our actual cost.
    (7) Performing any other special service that you request and to 
which we agree--actual cost of operating any machinery, plus actual cost 
of any materials used, plus charges for the time of our employees, at 
the rates given in paragraph (c)(1) of this section.
    (d) Procedures for assessing and collecting fees--(1) Agreement to 
pay. We generally assume that when you request records you are willing 
to pay

[[Page 94]]

the fees we charge for services associated with your request. You may 
specify a limit on the amount you are willing to spend. We will notify 
you if it appears that the fees will exceed the limit and ask whether 
you nevertheless want us to proceed with the search.
    (2) Advance payment. If you have failed to pay previous bills in a 
timely manner, or if our initial review of your request indicates that 
we will charge you fees exceeding $250.00, we will require you to pay 
your past due fees and/or the estimated fees, or a deposit, before we 
start searching for the records you want, or before we send them to you. 
In such cases, the administrative time limits as described in Sec. 
503.4(b), will begin only after we come to an agreement with you over 
payment of fees, or decide that a fee waiver or reduction is 
appropriate.
    (e) Waiver or reduction of fees. We will waive or reduce the fees we 
would otherwise charge if disclosure of the information meets both of 
the following tests (paragraphs (e)(1) and (e)(2) of this section):
    (1) It is in the public interest because it is likely to contribute 
significantly to public understanding of government operations or 
activities, regardless of any other public interest it may further. In 
making this determination, we may consider:
    (i) Whether the requester is in a position to contribute to public 
understanding;
    (ii) Whether the requester has such knowledge or expertise as may be 
necessary to understand the information; and
    (iii) Whether the requester's intended use of the information would 
be likely to disseminate the information among the public.
    (2) It is not primarily in the commercial interest of the requester. 
Commercial interests include interests relating to business, trade, and 
profit. Not only profit-making corporations have commercial interests; 
so do nonprofit corporations, individuals, unions, and other 
associations.
    (3) You must make your request for a waiver or reduction at the same 
time you make your request for records. Only the FOIA Officer may make 
the decision whether to waive or reduce the fees. If we do not 
completely grant your request for a waiver or reduction, the denial 
letter will designate the appeal official.



Sec.  503.8  Exemptions.

    Section 552(b) of the Freedom of Information Act contains nine 
exemptions to the mandatory disclosure of records. These exemptions and 
their application by the Agency are described below. In some cases, more 
than one exemption may apply to the same document. This section does not 
itself authorize the giving of any pledge of confidentiality by any 
officer or employee of the Agency.
    (a) Exemption one--National defense and foreign policy. We are not 
required to release records that are specifically authorized under 
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 according to such Executive Order. Executive Order No. 12958 
(1995) provides for such classification. When the release of certain 
records may adversely affect U.S. relations with foreign countries, we 
usually consult with officials with knowledge of those countries and/or 
with officials of the Department of State. We may also have in our 
possession records classified by another agency. If we do, we may 
consult with that agency or may refer your request to that agency for 
their direct response to you. If possible, we will notify you that we 
have made such a referral.
    (b) Exemption two--Internal personnel rules and practices. We are 
not required to release records that are related solely to the internal 
personnel rules and practices of an agency. We may withhold routine 
internal agency procedures such as guard schedules and luncheon periods. 
We may also withhold internal records the release of which would help 
some persons circumvent the law or Agency regulations.
    (c) Exemption three--Records exempted by other statutes. We are not 
required to release records if another statute specifically allows us to 
withhold them. Another statute may be used only if it absolutely 
prohibits disclosure or if it

[[Page 95]]

sets forth criteria identifying particular types of material to be 
withheld (for example, the statute discussed in Sec.  503.6).
    (d) Exemption four--Trade secrets and confidential commercial or 
financial information. We will withhold trade secrets and commercial or 
financial information that is obtained from a person and is privileged 
or confidential.
    (1) Trade secrets: A trade secret is a secret, commercially valuable 
plan, formula, process, or device that is used for the making, 
preparing, compounding, or processing of trade commodities and that can 
be said to be the end product of either innovation or substantial 
effort. A direct relationship is necessary between the trade secret and 
the productive process.
    (2) Commercial or financial information, obtained from a person, and 
is privileged or confidential.
    (i) Information is ``commercial or financial'' if it relates to 
businesses, commerce, trade, employment, profits, or finances (including 
personal finances).
    (ii) Information is obtained from someone outside the Federal 
Government or from someone within the Government who has a commercial or 
financial interest in the information. ``Person'' includes an 
individual, partnership, corporation, association, state or foreign 
government, or other organization. Information is not ``obtained from a 
person'' if it is generated by BBG or another Federal agency.
    (iii) Information is ``privileged'' if it would ordinarily be 
protected from disclosure in civil discovery by a recognized evidentiary 
privilege, such as the attorney-client privilege, or the work-product 
privilege. Information may be privileged for this purpose under a 
privilege belonging to a person outside the Government, unless the 
providing of the information to the Government rendered the information 
no longer protectible in civil discovery.
    (iv) Information is ``confidential'' if it meets one of the 
following tests:
    (A) Disclosure may impair the Government's ability to obtain 
necessary information in the future;
    (B) Disclosure would substantially harm the competitive position of 
the person who submitted the information;
    (C) Disclosure would impair other Government interests, such as 
program effectiveness and compliance; or
    (D) Disclosure would impair other private interests, such as an 
interest in controlling availability of intrinsically valuable records, 
which are sold in the market by their owner.
    (3) Designation of certain confidential information. A person who 
submits records to the Government may designate part or all of the 
information in such records as exempt from disclosure under Exemption 
four. The person may make this designation either at the time the 
records are submitted to the Government or within a reasonable time 
thereafter. The designation must be in writing. The legend prescribed by 
a request for proposal or request for quotations according to any agency 
regulation establishing a substitute for the language is sufficient but 
not necessary for this purpose. Any such designation will expire ten 
years after the records were submitted to the Government.
    (4) Predisclosure notification. The procedures in this paragraph 
apply to records that were submitted to the Government and where we have 
substantial reason to believe that information in the records could 
reasonably be considered exempt under Exemption four. Certain exceptions 
to these procedures are stated in paragraph (d)(5) of this section.
    (i) When we receive a request for such records and we determine that 
we may be required to disclose them, we will make reasonable efforts to 
notify the submitter about these facts. The notice will inform the 
submitter about the procedures and time limits for submission and 
consideration of objections to disclosure. If we must notify a large 
number of submitters, we may do this by posting or publishing a notice 
in a place where the submitters are reasonably likely to become aware of 
it.
    (ii) The submitter has ten (10) working days from receipt of the 
notice to object to disclosure of any part of the records and to state 
all bases for its objections.
    (iii) We will give consideration to all bases that have been timely 
stated by the submitter. If we decide to disclose the records and the 
submitter still does

[[Page 96]]

not agree, we will send a written notice to the submitter stating 
briefly why we did not sustain its objections and we will provide a copy 
of the records as we intend to release them. The notice will state that 
we will disclose the records five (5) working days after the submitter 
receives the notice unless we are ordered by a United States District 
Court not to release them.
    (iv) When a requester files suit under the FOIA to obtain records 
covered by this paragraph, we will promptly notify the submitter.
    (v) Whenever we send a notice to a submitter under paragraph 
(d)(4)(i) of this section, we will notify you that we are giving the 
submitter a notice and an opportunity to object.
    (5) Exceptions to predisclosure notification. The notice 
requirements in paragraph (d)(4) of this section do not apply in the 
following situations:
    (i) We decide not to disclose the records;
    (ii) The information has previously been published or made generally 
available;
    (iii) We have already notified the submitter of previous requests 
for the same records and have come to an understanding with that 
submitter about the records;
    (iv) Disclosure is required by a statute other than the FOIA;
    (v) Disclosure is required by a regulation, issued after notice and 
opportunity for public comment that specifies narrow categories of 
records that are to be disclosed under the FOIA. In this case a 
submitter may still designate records as described in paragraph (d)(3) 
of this section and in exceptional cases, at our discretion, may follow 
the notice procedures in paragraph (d)(4) of this section;
    (vi) The designation appears to be obviously frivolous, but in this 
case we will still give the submitter the written notice required by 
paragraph (d)(4)(iii) of this section (although this notice need not 
explain our decision or include a copy of the records); and
    (vii) We withhold the information because another statute requires 
its withholding.
    (e) Exemption five--Internal memoranda. This exemption covers 
internal Government communications and notes that fall within a 
generally recognized evidentiary privilege. Internal Government 
communications include an agency's communications with an outside 
consultant or other outside person, with a court, or with Congress, when 
those communications are for a purpose similar to the purpose of 
privileged intra-agency communications. Some of the most common 
applicable privileges are:
    (1) The deliberative process privilege. This privilege protects 
predecisional deliberative communications. A communication is protected 
under this privilege if it was made before a final decision was reached 
on some question of policy and if it expressed recommendations or 
opinions on that question. The purpose of this privilege is to prevent 
injury to the quality of the agency decision making process by 
encouraging open and frank internal policy discussions, by avoiding 
premature disclosure of policies not yet adopted, and by avoiding the 
public confusion that might result from disclosing reasons that were not 
in fact the ultimate grounds for an agency's decision. This privilege 
continues to protect pre-decisional documents even after a decision is 
made. We will release purely factual material in a deliberative document 
unless that material is otherwise exempt. However, purely factual 
material in a deliberative document is within this privilege if:
    (i) It is inextricably intertwined with the deliberative portions so 
that it cannot reasonably be segregated; or
    (ii) It would reveal the nature of the deliberative portions, or
    (iii) Its disclosure would in some other way make possible an 
intrusion into the decision making process.
    (2) Attorney-client privilege. This privilege protects confidential 
communications between a lawyer and an employee or agent of the 
Government where an attorney-client relationship exists (for example, 
where the lawyer is acting as attorney for the agency and the employee 
is communicating on behalf of the agency) and where the employee has 
communicated information to the attorney in confidence in order to 
obtain legal advice or assistance,

[[Page 97]]

and/or when the attorney has given advice to the client.
    (3) Attorney work product privilege. This privilege protects 
documents prepared by or for an agency, or by or for its representative 
(usually BBG attorneys) in anticipation of litigation or for trial. It 
includes documents prepared for purposes of administrative adjudications 
as well as court litigation. It includes factual material in such 
documents as well as material revealing opinions and tactics. The 
privilege continues to protect the documents even after the litigation 
is closed.
    (f) Exemption six--Clearly unwarranted invasion of personal privacy. 
We may withhold personnel, medical, and similar files, and personal 
information about individuals if disclosure would constitute a clearly 
unwarranted invasion of personal privacy.
    (1) Balancing test. In deciding whether to release records that 
contain personal or private information about someone else to a 
requester, we weigh the foreseeable harm of invading that individual's 
privacy against the public benefit that would result from the release of 
the information. In our evaluation of requests for records, we attempt 
to guard against the release of information that might involve a 
violation of personal privacy by a requester being able to ``piece 
together items'' or ``read between the lines'' information that would 
normally be exempt from mandatory disclosure.
    (2) Information frequently withheld. We frequently withhold such 
information as home addresses, home telephone numbers, ages, minority 
group status, social security numbers, individual's benefits, earning 
records, leave records, etc.
    (g) Exemption seven--Law enforcement. We are not required to release 
information or records that the Government has compiled for law 
enforcement purposes. The records may apply to actual or potential 
violations of either criminal or civil laws or regulations. We can 
withhold these records only to the extent that releasing them would 
cause harm in at least one of the following situations:
    (1) Enforcement proceedings. We may withhold information when 
release could reasonably be expected to interfere with prospective or 
ongoing law enforcement proceedings, investigations of fraud and 
mismanagement, employee misconduct, and civil rights violations may fall 
into this category. In certain cases, we may refuse to confirm or deny 
the existence of records that relate to violations in order not to 
disclose that an investigation is in progress or may be conducted.
    (2) Fair trial or impartial adjudication. We may withhold records 
when release would deprive a person of a fair trial or an impartial 
adjudication because of prejudicial publicity.
    (3) Personal privacy. We are careful not to disclose information 
that could reasonably be expected to constitute an unwarranted invasion 
of personal privacy. When a name surfaces in an investigation, that 
person is likely to be vulnerable to innuendo, rumor, harassment, or 
retaliation.
    (4) Confidential sources and information. We may withhold records 
whose release could reasonably be expected to disclose the identity of a 
confidential source of information. A confidential source may be an 
individual; a state, local or foreign Government agency; or any private 
organization. The exemption applies whether the source provides 
information under an express promise of confidentiality or under 
circumstances from which such an assurance could be reasonably inferred. 
Also, where the record or information in it has been compiled by a 
criminal law enforcement authority conducting a criminal investigation 
or by an agency conducting a lawful national security investigation, the 
exemption also protects all information supplied by a confidential 
source. Also protected from mandatory disclosure is any information 
which, if disclosed, could reasonably be expected to jeopardize the 
system of confidentiality that assures a flow of information from 
sources to investigatory agencies.
    (5) Techniques and procedures. We may withhold records reflecting 
special techniques or procedures of investigation or prosecution not 
otherwise generally known to the public. In some cases, it is not 
possible to describe even in general terms those techniques without 
disclosing the very material to

[[Page 98]]

be withheld. We may also withhold records whose release would disclose 
guidelines for law enforcement investigations or prosecutions if this 
disclosure could reasonably be expected to create a risk that someone 
could circumvent requirements of law or of regulation.
    (6) Life and physical safety. We may withhold records whose 
disclosure could reasonably be expected to endanger the life or physical 
safety of any individual. This protection extends to threats and 
harassment as well as to physical violence.
    (h) Exemptions eight and nine--Records on financial institutions and 
records on wells. (1) Exemption eight permits us to withhold records 
about regulation or supervision of financial institutions.
    (2) Exemption nine permits the withholding of geological and 
geophysical information and data, including maps concerning wells.



Sec.  503.9  Electronic records.

    (a) Introduction. This section applies to all records of the BBG, 
including all of its worldwide operations. Congress enacted the FOIA to 
require Federal agencies to make records available to the public through 
public inspections and at the request of any person for any public or 
private use. The increase in the Government's use of computers enhances 
the public's access to Government information. This section addresses 
and explains how records will be reviewed and released when the records 
are maintained in electronic format. Documentation not previously 
subject to the FOIA when maintained in a non-electronic format is not 
made subject to FOIA by this law.
    (b) Definitions--(1) Compelling need. Obtaining records on an 
expedited basis because of an imminent threat to the life or physical 
safety of an individual, or urgently needed by an individual primarily 
engaged in disseminating information to the public concerning actual or 
alleged Federal Government activities.
    (2) Discretionary disclosure. Records or information normally exempt 
from disclosure will be released whenever it is possible to do so 
without reasonably foreseeable harm to any interest protected by an FOIA 
exemption.
    (3) Electronic reading room. The room provided which makes 
electronic records available.
    (c) Electronic format of records. (1) Materials such as agency 
opinions and policy statements (available for public inspection and 
copying) will be available electronically by accessing the BBG's Home 
Page via the Internet at http://www.ibb.gov. To set up an appointment to 
view such records in hard copy or to access the Internet via the BBG's 
computer, please contact the FOIA/Privacy Act Officer at (202) 260-4404.
    (2) We will make available for public inspection and copying, both 
electronically via the Internet and in hard copy, those records that 
have been previously released in response to FOIA requests, when we 
determine the records have been or are likely to be the subject of 
future requests.
    (3) We will provide both electronically through our Internet address 
and in hard copy a ``Guide'' on how to make an FOIA request, and an 
Index of all Agency information systems and records that may be 
requested under the FOIA.
    (4) We may delete identifying details when we publish or make 
available the index and copies of previously-released records to prevent 
a clearly unwarranted invasion of personal privacy.
    (i) We will indicate the extent of any deletions made from the place 
the deletion was made, if possible.
    (ii) We will not reveal information about deletions if such 
disclosure would harm an interest protected by an exemption.
    (d) Honoring form or format requests. We will aid requesters by 
providing records and information in the form requested, including 
electronic format, if we can readily reproduce them in that form or 
format. However, if we cannot accommodate you, we will provide 
responsive, nonexempt information in a reasonably accessible form.
    (1) We will make a reasonable effort to search for records kept in 
an electronic format. However, if the effort would significantly 
interfere with the operations of the agency or the agency's use of its 
computers, we will consider the effort to be unreasonable.

[[Page 99]]

    (2) We need not create documents that do not exist, but computer 
records found in a database rather than in a file cabinet may require 
the application of codes or some form of programming to retrieve the 
information. This application of codes or programming of records will 
not amount to the creation of records.
    (3) Except in unusual cases, the cost of computer time will not be a 
factor in calculating the two free hours of search time available under 
Sec. 503.7. In those unusual cases, where the cost of conducting a 
computerized search significantly detracts from the agency's ordinary 
operations, no more than the dollar cost of two hours of manual search 
time shall be allowed. For searches conducted beyond the first two 
hours, the agency shall only charge the direct costs of conducting such 
searches.
    (e) Technical feasibility of redacting non-releasable material. We 
will make every effort to indicate the place on the record where a 
redaction of non-releasable material is made, and an FOIA citation 
noting the applicable exemption for the deletion will also be placed at 
the site. If unable to do so, we will notify you of that fact.
    (f) Ensuring timely response to request. We will make every attempt 
to respond to FOIA requests within the prescribed 20 working-day time 
limit. However, processing some requests may require additional time in 
order to properly screen material against the inadvertent disclosure of 
material covered by the exemptions.
    (1) Multitrack first-in first-out processing. (i) Because the agency 
expects to be able to process its requests without a backlog of cases, 
BBG will not institute a multitract system. Those cases that may be 
handled easily, because they require only a few documents or a simple 
answer, will be handled immediately by an FOIA specialist.
    (ii) If you wish to qualify for faster processing, you may limit the 
scope of your request so that we may respond more quickly.
    (2) Unusual circumstances. (i) The agency may extend for a maximum 
of ten working days the statutory time limit for responding to an FOIA 
request by giving notice in writing as to the reason for such an 
extension. The reasons for such an extension may include: the need to 
search for and collect requested records from multiple offices; the 
volume of records requested; and, the need for consultation with other 
components within the agency.
    (ii) If an extra ten days still does not provide sufficient time for 
the Agency to deal with your request, we will inform you that the 
request cannot be processed within the statutory time limit and provide 
you with the opportunity to limit the scope of your request and/or 
arrange with us a negotiated deadline for processing your request.
    (iii) If you refuse to reasonably limit the scope of your request or 
refuse to agree upon a time frame, the agency will process your case, as 
it would have, had no modification been sought. We will make a diligent, 
good-faith effort to complete our review within the statutory time 
frame.
    (3) Grouping of requests. We will group together requests that 
clearly involve related material that should be considered as a single 
request.
    (i) If you make multiple or related requests for similar material 
for the purpose of avoiding costs, we will notify you that we are 
grouping together your requests, and the reasons why.
    (ii) Multiple or related requests may also be grouped, such as those 
involving requests and schedules but you will be notified in advance if 
we intend to do so.
    (g) Time periods for agency consideration of requests--(1) Expedited 
access. We will authorize expedited access to requesters who show a 
compelling need for access, but the burden is on the requester to prove 
that expedition is appropriate. We will determine within ten days 
whether or not to grant a request for expedited access and we will 
notify the requester of our decision.
    (2) Compelling need for expedited access. Failure to obtain the 
records within an expedited deadline must pose an imminent threat to an 
individual's life or physical safety; or the request must be made by 
someone primarily engaged in disseminating information, and who has an 
urgency to inform the

[[Page 100]]

public about actual or alleged Federal Government activity.
    (3) How to request expedited access. We will be required to make 
factual and subjective judgments about the circumstances cited by 
requesters to qualify them for expedited processing. To request 
expedited access, your request must be in writing and it must explain in 
detail your basis for seeking expedited access. The categories for 
compelling need are intended to be narrowly applied:
    (i) A threat to an individual's life or physical safety. A threat to 
an individual's life or physical safety should be imminent to qualify 
for expedited access to the records. You must include the reason why a 
delay in obtaining the information could reasonably be foreseen to cause 
significant adverse consequences to a recognized interest.
    (ii) Urgency to inform. The information requested should pertain to 
a matter of a current exigency to the American public, where delay in 
response would compromise a significant recognized interest. The person 
requesting expedited access under an ``urgency to inform,'' must be 
primarily engaged in the dissemination of information. This does not 
include individuals who are engaged only incidentally in the 
dissemination of information. ``Primarily engaged'' requires that 
information dissemination be the main activity of the requester. A 
requester only incidentally engaged in information dissemination, 
besides other activities, would not satisfy this requirement. The 
public's right to know, although a significant and important value, 
would not by itself be sufficient to satisfy this standard.
    (4) Estimation of matter denied. The agency will try to estimate the 
volume of any denied material and provide the estimate to the requester, 
unless doing so would harm an interest protected by an exemption.
    (h) Computer redaction. The agency will identify the location of 
deletions in the released portion of the records, and where 
technologically possible, will show the deletion at the place on the 
record where the deletion was made, unless including that indication 
would harm an interest protected by an exemption.
    (i) Annual report on FOIA activities. Reports on FOIA activities are 
submitted each fiscal year to the Department of Justice, and are due by 
February 1 of every year. The BBG's report will be available both in 
hard copy and through the Internet. The Department of Justice will also 
report all Federal agency FOIA activity through electronic means.
    (j) Reference materials and guides. The agency has available in hard 
copy, and electronically through the Internet, a guide for requesting 
records under the FOIA, and an index and description of all major 
information systems of the agency. The guide is a simple explanation of 
what the FOIA is intended to do, and how you can use it to access BBG 
records. The Index explains the types of records that may be requested 
from the Agency through FOIA requests and why some records cannot, by 
law, be made available by the BBG.



PART 504_TESTIMONY BY BBG EMPLOYEES, PRODUCTION OF OFFICIAL RECORDS, 
AND DISCLOSURE OF OFFICIAL INFORMATION IN LEGAL PROCEEDINGS-
-Table of Contents



                      Subpart A_General Provisions

Sec.
504.1 Scope and purpose.
504.2 Applicability.
504.3 Definitions.

 Subpart B_Demands or Requests for Testimony and Production of Documents

504.4 General prohibition.
504.5 Factors the BBG will consider.
504.6 Filing requirements for litigants seeking documents or testimony.
504.7 Service of requests or demands.
504.8 Processing requests or demands.
504.9 Final determinations.
504.10 Restrictions that apply to testimony.
504.11 Restrictions that apply to released records.
504.12 Procedure when a decision is not made prior to the time a 
          response is required.
504.13 Procedure in the event of an adverse ruling.

                       Subpart C_Schedule of Fees

504.14 Fees.

[[Page 101]]

                           Subpart D_Penalties

504.15 Penalties

    Authority: 22 U.S.C. 6204.

    Source: 72 FR 19798, Apr. 20, 2007, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  504.1  Scope and purpose.

    (a) These regulations in this subpart establish policy, assign 
responsibilities and prescribe procedures with respect to:
    (1) The production or disclosure of official information or records 
by BBG employees, and
    (2) The testimony of current and former BBG employees, relating to 
official information, official duties, or the BBG's records, in 
connection with federal or state litigation in which the BBG is not a 
party.
    (b) The BBG intends these provisions to:
    (1) Conserve the time of BBG employees for conducting official 
business;
    (2) Minimize the involvement of BBG employees in issues unrelated to 
BBG's mission;
    (3) Maintain the impartiality of BBG employees in disputes between 
private litigants; and
    (4) Protect sensitive, confidential information and the deliberative 
processes of the BBG.
    (c) In providing for these requirements, the BBG does not waive the 
sovereign immunity of the United States.
    (d) This part provides guidance for the internal operations of BBG. 
It does not create any right or benefit, substantive or procedural, that 
a party may rely upon in any legal proceeding against the United States.



Sec.  504.2  Applicability.

    This part applies to demands and requests to current and former 
employees for factual or expert testimony relating to official 
information or official duties or for production of official records or 
information, in legal proceedings in which the BBG is not a named party. 
This part does not apply to:
    (a) Demands upon or requests for a BBG employee to testify as to 
facts or events that are unrelated to his or her official duties or that 
are unrelated to the functions of the BBG;
    (b) Demands upon or requests for a former BBG employee to testify as 
to matters in which the former employee was not directly or materially 
involved while at the BBG;
    (c) Requests for the release of records under the Freedom of 
Information Act, 5 U.S.C. 552, or the Privacy Act, 5 U.S.C. 552a; or
    (d) Congressional demands and requests for testimony, records or 
information.



Sec.  504.3  Definitions.

    The following definitions apply to this part:
    (a) Demand means an order, subpoena, or other command of a court or 
other competent authority for the production, disclosure, or release of 
records or for the appearance and testimony of a BBG employee in a legal 
proceeding.
    (b) General Counsel means the General Counsel of the BBG or a person 
to whom the General Counsel has delegated authority under this part.
    (c) Legal proceeding means any matter before a court of law, 
administrative board or tribunal, commission, administrative law judge, 
hearing officer or other body that conducts a legal or administrative 
proceeding. Legal proceeding includes all phases of litigation.
    (d) BBG means the Broadcasting Board of Governors.
    (e) BBG employee means:
    (1) Any current or former employee of the BBG.
    (2) This definition does not include persons who are no longer 
employed by the BBG and who agree to testify about general matters, 
matters available to the public, or matters with which they had no 
specific involvement or responsibility during their employment with the 
BBG.
    (f) Records or official records and information means all 
information in the custody and control of the BBG, relating to 
information in the custody and control of the BBG, or acquired by a BBG 
employee in the performance of his or her official duties or because of 
his or her official status, while the individual was employed by the 
BBG.

[[Page 102]]

    (g) Request means any informal request, by whatever method, for the 
production of records and information or for testimony which has not 
been ordered by a court or other competent authority.
    (h) Testimony means any written or oral statements, including 
depositions, answers to interrogatories, affidavits, declarations, 
interviews, and statements made by an individual in connection with a 
legal proceeding.



 Subpart B_Demands or Requests for Testimony and Production of Documents



Sec.  504.4  General prohibition.

    (a) In any United States federal, state, and local proceeding or 
administrative action, or proceeding or administrative action conducted 
in a foreign country, in which the BBG is not a party, no BBG employee 
shall, in response to a demand or request for official records or 
information, furnish or produce documents or testimony as to any 
material contained in BBG files, any information relating to or based 
upon material contained in BBG files, or any information or material 
acquired as part of the performance of that person's official duties (or 
because of that person's official status) without the prior written 
approval of the General Counsel.
    (b) Whenever a request or demand for information is made upon a BBG 
employee, the employee, wherever located, shall immediately prepare a 
report that specifically describes the testimony or documents sought and 
immediately notify the General Counsel. The BBG employee shall then 
await instructions from the General Counsel concerning a response to the 
request or demand. The failure of any BBG employee to follow the 
procedures specified in this subpart neither creates nor confers any 
rights, privileges, or benefits on any person or party.



Sec.  504.5  Factors the BBG will consider.

    The General Counsel, in his or her sole discretion, may grant an 
employee permission to testify on matters relating to official 
information, or produce official records and information, in response to 
a demand or request. Among the relevant factors that the General Counsel 
may consider in making this decision are whether:
    (a) The purposes of this part are met;
    (b) Allowing such testimony or production of records would be 
necessary to prevent a miscarriage of justice;
    (c) Allowing such testimony or production of records would assist or 
hinder the BBG in performing its statutory duties;
    (d) Allowing such testimony or production of records would be in the 
best interest of the BBG or the United States;
    (e) The records or testimony can be obtained from other sources;
    (f) The demand or request is unduly burdensome or otherwise 
inappropriate under the applicable rules of discovery or the rules of 
procedure governing the case or matter in which the demand or request 
arose;
    (g) Disclosure would violate a statute, Executive Order or 
regulation;
    (h) Disclosure would reveal confidential, sensitive, or privileged 
information, trade secrets or similar, confidential or financial 
information, otherwise protected information, or information which would 
otherwise be inappropriate for release;
    (i) Disclosure would impede or interfere with an ongoing law 
enforcement investigation or proceeding, or compromise constitutional 
rights or national security interests;
    (j) Disclosure would result in the BBG appearing to favor one 
litigant over another;
    (k) The request was served before the demand;
    (l) A substantial Government interest is implicated;
    (m) The demand or request is within the authority of the party 
making it; and
    (n) The demand or request is sufficiently specific to be answered 
and/or can be limited to information to that which would be consistent 
with the factors specified herein.

[[Page 103]]



Sec.  504.6  Filing requirements for litigants seeking documents or 
testimony.

    A litigant must comply with the following requirements when filing a 
request for official records and information or testimony under this 
subpart. A request should be filed before a demand.
    (a) The request must be in writing and must be submitted to the 
General Counsel.
    (b) The written request must contain the following information:
    (1) The caption of the legal proceeding, docket number, and name and 
address of the court or other authority involved;
    (2) A copy of the complaint or equivalent document setting forth the 
assertions in the case and any other pleading or document necessary to 
show relevance;
    (3) A list of categories of records sought, a detailed description 
of how the information sought is relevant to the issues in the legal 
proceeding, and a specific description of the substance of the testimony 
or records sought;
    (4) A statement as to how the need for the information outweighs any 
need to maintain the confidentiality of the information and outweighs 
the burden on the BBG to produce the records or provide testimony;
    (5) A statement indicating that the information sought is not 
available from another source, from other persons or entities, or from 
the testimony of someone other than an BBG employee, such as a retained 
expert;
    (6) If testimony is requested, the intended use of the testimony, 
and a showing that no document could be provided and used in lieu of 
testimony;
    (7) A description of all prior decisions, orders, or pending motions 
in the case that bear upon the relevance of the requested records or 
testimony;
    (8) The name, address, and telephone number of counsel to each party 
in the case; and
    (9) An estimate of the amount of time that the requester and other 
parties will require for each BBG employee for time spent by the 
employee to prepare for testimony, in travel, and for attendance in the 
legal proceeding.
    (c) The BBG reserves the right to require additional information to 
complete the request where appropriate.
    (d) The request should be submitted at least 30 days before the date 
that records or testimony is required. Requests submitted in less than 
30 days before records or testimony is required must be accompanied by a 
written explanation stating the reasons for the late request and the 
reasons for expedited processing.
    (e) Failure to cooperate in good faith to enable the General Counsel 
to make an informed decision may serve as the basis for a determination 
not to comply with the request.
    (f) The request should state that the requester will provide a copy 
of the BBG employee's statement free of charge and that the requester 
will permit the BBG to have a representative present during the 
employee's testimony.



Sec.  504.7  Service of requests or demands.

    Requests or demands for official records or information or testimony 
under this Subpart must be served on the General Counsel, BBG, 330 
Independence Ave., SW., Washington, DC 20237 by mail or fax at (202) 
203-4585 and clearly marked ``Part 504--Request for Testimony or 
Official Records in Legal Proceedings.''



Sec.  504.8  Processing requests or demands.

    (a) After receiving service of a request or demand for testimony, 
the General Counsel will review the request and, in accordance with the 
provisions of this Subpart, determine whether, or under what conditions, 
to authorize the employee to testify on matters relating to official 
information and/or produce official records and information.
    (b) Absent exigent circumstances, the BBG will issue a determination 
within 30 days from the date the request is received.
    (c) The General Counsel may grant a waiver of any procedure 
described by this Subpart where a waiver is considered necessary to 
promote a significant interest of the BBG or the United States, or for 
other good cause.

[[Page 104]]

    (d) Certification (authentication) of copies of records. The BBG may 
certify that records are true copies in order to facilitate their use as 
evidence. If a requester seeks certification, the requester must request 
certified copies from the BBG at least 30 days before the date they will 
be needed. The request should be sent to the BBG General Counsel.



Sec.  504.9  Final determinations.

    The General Counsel makes the final determination on demands or 
requests to employees for production of official records and information 
or testimony in litigation in which the BBG is not a party. All final 
determinations are within the sole discretion of the General Counsel. 
The General Counsel will notify the requester and, when appropriate, the 
court or other competent authority of the final determination, the 
reasons for the grant or denial of the request, and any conditions that 
the General Counsel may impose on the release of records or information, 
or on the testimony of an BBG employee. The General Counsel's decision 
exhausts administrative remedies for discovery of the information.



Sec.  504.10  Restrictions that apply to testimony.

    (a) The General Counsel may impose conditions or restrictions on the 
testimony of BBG employees including, for example:
    (1) Limiting the areas of testimony;
    (2) Requiring the requester and other parties to the legal 
proceeding to agree that the transcript of the testimony will be kept 
under seal;
    (3) Requiring that the transcript will be used or made available 
only in the particular legal proceeding for which testimony was 
requested. The General Counsel may also require a copy of the transcript 
of testimony at the requester's expense.
    (b) The BBG may offer the employee's written declaration in lieu of 
testimony.
    (c) If authorized to testify pursuant to this part, an employee may 
testify as to facts within his or her personal knowledge, but, unless 
specifically authorized to do so by the General Counsel, the employee 
shall not:
    (1) Disclose confidential or privileged information; or
    (2) For a current BBG employee, testify as an expert or opinion 
witness with regard to any matter arising out of the employee's official 
duties or the functions of the BBG unless testimony is being given on 
behalf of the United States (see also 5 CFR 2635.805).
    (d) The scheduling of an employee's testimony, including the amount 
of time that the employee will be made available for testimony, will be 
subject to the BBG's approval.



Sec.  504.11  Restrictions that apply to released records.

    (a) The General Counsel may impose conditions or restrictions on the 
release of official records and information, including the requirement 
that parties to the proceeding obtain a protective order or execute a 
confidentiality agreement to limit access and any further disclosure. 
The terms of the protective order or of a confidentiality agreement must 
be acceptable to the General Counsel. In cases where protective orders 
or confidentiality agreements have already been executed, the BBG may 
condition the release of official records and information on an 
amendment to the existing protective order or confidentiality agreement.
    (b) If the General Counsel so determines, original BBG records may 
be presented for examination in response to a request, but they may not 
be presented as evidence or otherwise used in a manner by which they 
could lose their identity as official BBG records, nor may they be 
marked or altered. In lieu of the original records, certified copies may 
be presented for evidentiary purposes.



Sec.  504.12  Procedure when a decision is not made prior to the time a 
response is required.

    If a response to a demand or request is required before the General 
Counsel can make the determination referred to in Sec.  504.9, the 
General Counsel, when necessary, will provide the court or other 
competent authority with a copy of this part, inform the court or other 
competent authority that the request is being reviewed, provide an 
estimate

[[Page 105]]

as to when a decision will be made, and seek a stay of the demand or 
request pending a final determination.



Sec.  504.13  Procedure in the event of an adverse ruling.

    If the court or other competent authority fails to stay a demand or 
request, the employee upon whom the demand or request is made, unless 
otherwise advised by the General Counsel, will appear, if necessary, at 
the stated time and place, produce a copy of this part, state that the 
employee has been advised by counsel not to provide the requested 
testimony or produce documents, and respectfully decline to comply with 
the demand or request, citing United States ex rel. Touhy v. Ragen, 340 
U.S. 462 (1951).



                       Subpart C_Schedule of Fees



Sec.  504.14  Fees.

    (a) Generally. The General Counsel may condition the production of 
records or appearance for testimony upon advance payment of a reasonable 
estimate of the costs to the BBG.
    (b) Fees for records. Fees for producing records will include fees 
for searching, reviewing, and duplicating records, costs of attorney 
time spent in reviewing the request, and expenses generated by materials 
and equipment used to search for, produce, and copy the responsive 
information. Costs for employee time will be calculated on the basis of 
the hourly pay of the employee (including all pay, allowances, and 
benefits). Fees for duplication will be the same as those charged by the 
BBG in its Freedom of Information Act regulations at 22 CFR Part 503.
    (c) Witness fees. Fees for attendance by a witness will include 
fees, expenses, and allowances prescribed by the court's rules. If no 
such fees are prescribed, witness fees will be determined based upon the 
rule of the Federal district court closest to the location where the 
witness will appear and on 28 U.S.C. 1821, as applicable. Such fees will 
include cost of time spent by the witness to prepare for testimony, in 
travel and for attendance in the legal proceeding, plus travel costs.
    (d) Payment of fees. A requester must pay witness fees for current 
BBG employees and any record certification fees by submitting to the 
General Counsel a check or money order for the appropriate amount made 
payable to the Treasury of the United States. In the case of testimony 
of former BBG employees, the requester must pay applicable fees directly 
to the former BBG employee in accordance with 28 U.S.C. 1821 or other 
applicable statutes.
    (e) Waiver or reduction of fees. The General Counsel, in his or her 
sole discretion, may, upon a showing of reasonable cause, waive or 
reduce any fees in connection with the testimony, production, or 
certification of records.
    (f) De minimis fees. Fees will not be assessed if the total charge 
would be $10.00 or less.



                           Subpart D_Penalties



Sec.  504.15  Penalties.

    (a) An employee who discloses official records or information or 
gives testimony relating to official information, except as expressly 
authorized by the BBG, or as ordered by a Federal court after the BBG 
has had the opportunity to be heard, may face penalties as provided in 
any applicable enforcement statute.
    (b) A current BBG employee who testifies or produces official 
records and information in violation of this part shall be subject to 
disciplinary action and, if done for a valuable consideration, may 
subject that person to criminal prosecution.



PART 505_PRIVACY ACT REGULATION--Table of Contents



Sec.
505.1 Purpose and scope.
505.2 Definitions.
505.3 Procedures for requests.
505.4 Requirements and identification for making requests.
505.5 Disclosure of information.
505.6 Medical records.
505.7 Correction or amendment of record.
505.8 Agency review of requests for changes.
505.9 Review of adverse agency determination.
505.10 Disclosure to third parties.
505.11 Fees.
505.12 Civil remedies and criminal penalties.
505.13 General exemptions (Subsection (j)).
505.14 Specific exemptions (Subsection (k)).
505.15 Exempt systems of records used.


[[Page 106]]


    Authority: Pub. L. 93-579, 88 Stat. 1897; 5 U.S.C. 552a.

    Source: 67 FR 8875, Feb. 27, 2002, unless otherwise noted.



Sec.  505.1  Purpose and scope.

    The Broadcasting Board of Governors (BBG) will protect individuals' 
privacy from misuses of their records, and grant individuals access to 
records concerning them which are maintained by the Agency's domestic 
and overseas offices, consistent with the provisions of Public Law 93-
579, 88 Stat. 1897; 5 U.S.C. 552a, the Privacy Act of 1974, as amended. 
The Agency has also established procedures to permit individuals to 
amend incorrect records, to limit the disclosure of personal information 
to third parties, and to limit the number of sources of personal 
information. The Agency has also established internal rules restricting 
requirements of individuals to provide social security account numbers.



Sec.  505.2  Definitions.

    (a) Access Appeal Committee (AAC). The body established by and 
responsible to the Broadcasting Board for reviewing appeals made by 
individuals to amend records held by the Agency.
    (b) Agency, BBG, our, we or us. The BBG, its offices, divisions, 
branches and its worldwide operations.
    (c) Amend. To make a correction to or expunge any portion of a 
record about an individual which that individual believes is not 
accurate, relevant, timely or complete.
    (d) Individual or you. A citizen of the United States or an alien 
lawfully admitted for permanent residence.
    (e) Maintain. Collect, use, store, disseminate or any combination of 
these record keeping functions; exercise of control over and hence 
responsibility and accountability for systems of records.
    (f) Record. Any information maintained by the Agency about an 
individual that can be reproduced, including finger or voice prints and 
photographs, and which is retrieved by that particular individual's name 
or personal identifier, such as a social security number.
    (g) Routine use. With respect to the disclosure of a record, the use 
of such record for a purpose, which is compatible with the purpose for 
which it was collected. The common ordinary purposes for which records 
are used and all of the proper and necessary uses even if any such uses 
occur infrequently.
    (h) Statistical record. A record in a system of records maintained 
for statistical research or reporting purposes only and not used in 
whole or in part in making any determination about an identifiable 
individual, except as provided in 12 U.S.C.8.
    (i) System of records. A group of records under the maintenance and 
control of the Agency from which information is retrieved by the name or 
personal identifier of the individual.
    (j) Personnel record. Any information about an individual that is 
maintained in a system of records by the Agency that is needed for 
personnel management or processes such as staffing, employee 
development, retirement, grievances and appeals.
    (k) Worldwide Operations. Any of the foreign service establishments 
of the Agency.



Sec.  505.3  Procedures for requests.

    (a) The agency will consider all written requests received from an 
individual for records pertaining to herself/himself as a request made 
under the Privacy Act of 1974, as amended (5 U.S.C. 552a) whether or not 
the individual specifically cites the Privacy Act when making the 
request.
    (b) All requests under the Privacy Act should be directed to the 
FOIA/Privacy Act Office, Office of the General Counsel, Broadcasting 
Board of Governors, Suite 3349, 330 Independence Avenue, SW, Washington, 
DC 20237, which will coordinate the search of all systems of records 
specified in the request. Requests should state name, date of birth, and 
social security number.
    (c) Requests directed to any of the Agency's worldwide 
establishments which involve routine unclassified, administrative and 
personnel records available only at those establishments may be released 
to the individual by the establishment if it determines that such a 
release is authorized by the Privacy Act. All other requests shall be 
submitted by the establishment to the

[[Page 107]]

FOIA/Privacy Act Office, Office of the General Counsel, Broadcasting 
Board of Governors, Suite 3349, 330 Independence Avenue, SW, Washington, 
DC 20237, and the individual shall be so notified of this section in 
writing, when possible.
    (d) In those instances where an individual requests records 
pertaining to herself/himself, as well as records pertaining to another 
individual, group or some other category of the Agency's records, only 
that portion of the request which pertains to records concerning the 
individual will be treated as a Privacy Act request. The remaining 
portions of such a request will be processed as a Freedom of Information 
Act request and sent to the office noted in paragraph (b) of this 
section.



Sec.  505.4  Requirements and identification for making requests.

    (a) When you seek access to Agency records, you may present your 
written request, fax it to (202) 260-4394 or mail it to the FOIA/Privacy 
Act Office, Office of the General Counsel, Broadcasting Board of 
Governors, Suite 3349, 330 Independence Avenue, SW, Washington, DC 
20237. The FOIA/Privacy Act Office may be visited between the hours of 9 
a.m. and 3 p.m., Monday through Friday, except for legal holidays.
    (b) When you seek access to Agency records, you will be requested to 
present identification. You must state your full name, date of birth and 
social security number. You must also include your present mailing 
address and zip code, and if possible, a telephone number.
    (c) When signing a statement confirming your identity, you should 
understand that knowingly and willfully seeking or obtaining access to 
records about another person under false pretenses is punishable by a 
fine of up to $5,000.



Sec.  505.5  Disclosure of information.

    (a) In order to locate the system of records that you believe may 
contain information about you, you should first obtain a copy of the 
Agency's Notice of Systems of Records. By identifying a particular 
record system and by furnishing all the identifying information 
requested by that record system, it would enable us to more easily 
locate those records which pertain to you. At a minimum, any request 
should include the information specified in Sec. 505.4(b).
    (b) In certain circumstances, it may be necessary for us to request 
additional information from you to ensure that the retrieved record 
does, in fact, pertain to you.
    (c) All requests for information on whether or not the Agency's 
systems of records contain information about you will be acknowledged 
within 20 working days of receipt of that request. The requested records 
will be provided as soon as possible thereafter.
    (d) If the Agency determines that the substance of the requested 
record is exceptionally sensitive, we will require you to furnish a 
signed, notarized statement that you are in fact the person named in the 
file before granting access to the records.
    (e) Original records will not be furnished subject to and in 
accordance with fees established in Sec.  505.11.
    (f) Denial of access to records:
    (1) The requirements of this section do not entitle you access to 
any information compiled in reasonable anticipation of a civil action or 
proceeding.
    (2) Under the Privacy Act, we are not required to permit access to 
records if the information is not retrievable by your name or other 
personal identifier; those requests will be processed as Freedom of 
Information Act requests.
    (3) We may deny you access to a record, or portion thereof, if 
following a review it is determined that the record or portion falls 
within a system of records that is exempt from disclosure according to 5 
U.S.C. 552a(j) and 552a(k). See Sec. Sec.  505.13 and 505.14 for a 
listing of general and specific exemptions.
    (4) The decision to deny access to a record or a portion of the 
record is made by the Agency's Privacy Act Officer. The denial letter 
will advise you of your right to appeal the denial (See Sec.  505.9 on 
Access Appeal Committee's review).



Sec.  505.6  Medical records.

    If, in the judgment of the Agency, the release of medical 
information to

[[Page 108]]

you could have an adverse effect, the Agency will arrange an acceptable 
alternative to granting access of such records directly to you. This 
normally involves the release of the information to a doctor named by 
you. However, this special procedure provision does not in any way limit 
your absolute right to receive a complete copy of your medical record.



Sec.  505.7  Correction or amendment of record.

    (a) You have the right to request that we amend a record pertaining 
to you which you believe is not accurate, relevant, timely, or complete. 
At the time we grant access to a record, we will furnish guidelines for 
you to request amendment to the record.
    (b) Requests for amendments to records must be in writing and mailed 
or delivered to the FOIA/Privacy Act Officer, FOIA/Privacy Act Office, 
Office of the General Counsel, Broadcasting Board of Governors, Suite 
3349, 330 Independence Avenue, SW, Washington, DC 20237, who will 
coordinate the review of the request to amend the record with the 
appropriate office(s). Such requests must contain, at a minimum, 
identifying information needed to locate the record, a brief description 
of the item or items of information to be amended, and the reason for 
the requested change. The requester should submit as much documentation, 
arguments or other data as seems warranted to support the request for 
amendment.
    (c) We will review all requests for amendments to records within 20 
working days of receipt of the request and either make the changes or 
inform you of our refusal to do so and the reasons.



Sec.  505.8  Agency review of requests for changes.

    (a) In reviewing a record in response to a request to amend or 
correct a file, we will incorporate the criteria of accuracy, relevance, 
timeliness, and completeness of the record in the review.
    (b) If we agree with you to amend your records, we will:
    (1) Advise you in writing;
    (2) Correct the record accordingly;
    (3) And, to the extent that an accounting of disclosure was 
maintained, advise all previous recipients of the record of the 
corrections.
    (c) If we disagree with all or any portion of your request to amend 
a record, we will:
    (1) Advise you of the reasons for the determination; and
    (2) Inform you of your right to further review (see Sec. 505.9).



Sec.  505.9  Review of adverse agency determination.

    (a) When we determine to deny a request to amend a record, or 
portion of the record, you may request further review by the Agency's 
Access Appeal Committee. The written request for review should be mailed 
to the Chairperson, Access Appeal Committee, FOIA/Privacy Act Office, 
Office of the General Counsel, Broadcasting Board of Governors, Suite 
3349, 330 Independence Avenue, SW., Washington, DC 20237. The letter 
should include any documentation, information or statement, which 
substantiates your request for review.
    (b) The Agency's Access Appeal Committee will review the Agency's 
initial denial to amend the record and your documentation supporting 
amendment, within 30 working days. If additional time is required, you 
will be notified in writing of the reasons for the delay and the 
approximate date when the review is expected to be completed. Upon 
completion of the review, the Chairperson will notify you of the 
results.
    (c) If the Committee upholds the Agency's denial to amend the 
record, the Chairperson will advise you of:
    (1) The reasons for our refusal to amend the record;
    (2) Your right and the procedure to add to the file a concise 
statement supporting your disagreement with the decision of the Agency; 
and
    (3) Your right to seek judicial review of the Agency's refusal to 
amend the file.
    (d) When you file a statement disagreeing with our refusal to amend 
a record, we will clearly annotate the record so that the fact that the 
record is disputed is apparent to anyone who may subsequently have 
access to, use of, or reason to disclose the file. If information is 
disclosed regarding the area of dispute, we will provide a copy

[[Page 109]]

of your statement in the disclosure. Any statement, which may be 
included by the Agency regarding the dispute, will be limited to the 
reasons given to you for not amending the record. Copies of our 
statement shall be treated as part of your record, but will not be 
subject to amendment by you under these regulations.



Sec.  505.10  Disclosure to third parties.

    We will not disclose any information about you to any person or 
another agency without your prior consent, except as provided for in the 
following paragraphs:
    (a) Medical records. May be disclosed to a doctor or other medical 
practitioner, named by you, as prescribed in Sec. 505.6.
    (b) Accompanying individual. When you are accompanied by any other 
person, we will require that you sign a statement granting consent to 
the disclosure of the contents of your record to that person.
    (c) Designees. If a person requests another person's file, he or she 
must present a signed statement from the person of record that 
authorizes and consents to the release of the file to the designated 
individual.
    (d) Guardians. Parents or legal guardians) of dependent minors or of 
an individual who has been declared by a court to be incompetent due to 
physical, mental or age incapacity, may act for and on behalf of the 
individual on whom the Agency maintains records.
    (e) Other disclosures. A record may be disclosed without a request 
by or written consent of the individual to whom the record pertains if 
such disclosure conditions are authorized in accordance, with 5 U.S.C. 
552a(b). These conditions are:
    (1) Disclosure within the Agency. This condition is based upon a 
``need-to-know'' concept, which recognizes that Agency personnel may 
require access to discharge their duties.
    (2) Disclosure to the public. No consent by an individual is 
necessary if the record is required to be released under the Freedom of 
Information Act (FOIA), 5 U.S.C. 552. The record may be exempt, however, 
under one of the nine exemptions of the FOIA.
    (3) Disclosure for a routine use. No consent by an individual is 
necessary if the condition is necessary for a ``routine use'' as defined 
in Sec. 505.2(g). Information may also be released to other government 
agencies, that have statutory or other lawful authority to maintain such 
information.
    (4) Disclosure to the Bureau of the Census. For purposes of planning 
or carrying out a census or survey or related activity. Title 13 U.S.C. 
Section 8 limits the uses of these records and also makes them immune 
from compulsory disclosure.
    (5) Disclosure for statistical research and reporting. The Agency 
will provide the statistical information requested only after all names 
and personal identifiers have been deleted from the records.
    (6) Disclosure to the National Archives. For the preservation of 
records of historical value, according to 44 U.S.C. 2103.
    (7) Disclosure for law enforcement purposes. Upon receipt of a 
written request by another Federal agency or a state or local government 
describing the law enforcement purpose for which a record is required, 
and specifying the particular record. Blanket requests for all records 
pertaining to an individual are not permitted under the Privacy Act.
    (8) Disclosure under emergency circumstances. For the safety or 
health of an individual (e.g., medical records on a patient undergoing 
emergency treatment).
    (9) Disclosure to the Congress. For matters within the jurisdiction 
of any House or Senate committee or subcommittee, and/or joint committee 
or subcommittee, but only when requested in writing from the Chairman of 
the committee or subcommittee.
    (10) Disclosure to the General Accounting Office (GAO). For matters 
within the jurisdiction of the duties of the GAO's Comptroller General.
    (11) Disclosure according to court order. According to the order of 
a court of competent jurisdiction. This does not include a subpoena for 
records requested by counsel and issued by a clerk of court.

[[Page 110]]



Sec.  505.11  Fees.

    (a) The first copy of any Agency record about you will be provided 
free of charge. A fee of $0.15 per page will be charged for any 
additional copies requested by you.
    (b) Checks or money orders should be made payable to the United 
States Treasurer and mailed to the FOIA/Privacy Act Office, Office of 
the General Counsel, Broadcasting Board of Governors, Suite 3349, 330 
Independence Avenue, SW., Washington, DC 20237. The Agency will not 
accept cash.



Sec.  505.12  Civil remedies and criminal penalties.

    (a) Grounds for court action. You will have a remedy in the Federal 
District Court under the following circumstances:
    (1) Denial of access. You may challenge our decision to deny you 
access to records to which you consider yourself entitled.
    (2) Refusal to amend a record. Under the conditions of 5 U.S.C. 
552a(g), you may seek judicial review of the Agency's refusal to amend a 
record.
    (3) Failure to maintain a record accurately. You may bring suit 
against the Agency for any alleged intentional and willful failure to 
maintain a record accurately, if it can be shown that you were subjected 
to an adverse action resulting in the denial of aright, benefit, 
entitlement or employment you could reasonably have been expected to be 
granted if the record had not been deficient.
    (4) Other failures to comply with the Act. You may bring an action 
for any alleged failure by the Agency to comply with the requirements of 
the Act or failure to comply with any rule published by the Agency to 
implement the Act provided it can be shown that:
    (i) The action was intentional or willful;
    (ii) The Agency's action adversely affected you; and
    (iii) The adverse action was caused by the Agency's actions.
    (b) Jurisdiction and time limits. (1) Action may be brought in the 
district court for the jurisdiction in which you reside or have a place 
of residence or business, or in which the Agency records are situated, 
or in the District of Columbia.
    (2) The statute of limitations is two years from the date upon which 
the cause of action arises, except for cases in which the Agency has 
materially and willfully misrepresented any information requested to be 
disclosed and when such misrepresentation is material to the liability 
of the Agency. In such cases the statute of limitations is two years 
from the date of discovery of the misrepresentation by you.
    (3) A suit may not be brought on the basis of injury, which may have 
occurred as a result of the Agency's disclosure of a record prior to 
September 27, 1975.
    (c) Criminal penalties--(1) Unauthorized disclosure. It is a 
criminal violation of the provisions of the Act for any officer or 
employee of the Agency to knowingly and willfully disclose a record in 
any manner to any person or agency not entitled to receive it, for 
failure to meet the conditions of disclosure listed in S U.S.C. 552a(b), 
or without the written consent or at the request of the individual to 
whom the record pertains. Any officer or employee of the Agency found 
guilty of such misconduct shall be fined not more than $5,000.
    (2) Failure to publish a public notice. It is a criminal violation 
of the Act to willfully maintain a system of records and not publish the 
prescribed public notice. Any officer or employee of the Agency found 
guilty of such misconduct shall be fined not more than $5,000.
    (3) Obtaining records under false pretenses. The Act makes it a 
criminal offense to knowingly and willfully request or gain access to a 
record about an individual under false pretenses. Any person found 
guilty of such an offense may be fined not more than $5,000.



Sec.  505.13  General exemptions (Subsection (j)).

    (a) General exemptions are available for systems of records which 
are maintained by the Central Intelligence Agency (Subsection (j)(1)), 
or maintained by an agency which performs as

[[Page 111]]

its principal function any activity pertaining to the enforcement of the 
criminal laws (Subsection (j)(2)).
    (b) The Act does not permit general one exemption of records 
compiled primarily for a non-criminal purpose, even though there are 
some quasi-criminal aspects to the investigation and even though the 
records are in a system of records to which the general exemption 
applies.



Sec.  505.14  Specific exemptions (Subsection (k)).

    The specific exemptions focus more on the nature of the records in 
the system of records than on the agency. The following categories of 
records may be exempt from disclosure:
    (a) Subsection (k)(1). Records which are specifically authorized 
under criteria established under an Executive Order to be kept secret in 
the interest of national defense or foreign policy, and which are in 
fact properly classified according to such Executive Order;
    (b) Subsection (k)(2). Investigatory records compiled for law 
enforcement purposes (other than material within the scope of subsection 
(j)(2) as discussed in Sec.  505.13(a)). If any individual is denied any 
right, privilege, or benefit for which she/he would otherwise be 
eligible, as a result of the maintenance of such material, the material 
shall be provided to the individual, unless disclosure of the material 
would reveal the identity of a source who has been pledged 
confidentiality;
    (c) Subsection (k)(3). Records maintained in connection with 
protection of the President and other VIPs accorded special protection 
by statute;
    (d) Subsection (k)(4). Records required by statute to be maintained 
and used solely as statistical records.
    (e) Subsection (k)(5). Records compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, military service, Federal contracts, or access to 
classified information, but only if disclosure of the material would 
reveal the identity of a confidential source that furnished information 
to the Government.
    (f) Subsection (k)(6). Testing or examination records used solely to 
determine individual qualifications for appointment or promotion in the 
Federal service when the disclosure of such would compromise the 
objectivity or fairness of the testing or examination process.
    (g) Subsection (k)(7). Evaluation records used to determine 
potential for promotion in the armed services, but only if disclosure 
would reveal the identity of a confidential source.



Sec.  505.15  Exempt systems of records used.

    The BBG is authorized to use exemptions (k)(1), (k)(2), (k)(4), 
(k)(5) and (k)(6).



PART 506_PART-TIME CAREER EMPLOYMENT PROGRAM--Table of Contents



Sec.
506.1 Purpose of program.
506.2 Review of positions.
506.3 Establishing and coverting part-time positions.
506.4 Annual goals and timetables.
506.5 Review and evaluation.
506.6 Publicizing vacancies.
506.7 Exceptions.

    Authority: 5 U.S.C. 3401 (note and 3402).

    Source: 44 FR 63098, Nov. 2, 1979, unless otherwise noted.



Sec.  506.1  Purpose of program.

    Many individuals in society possess great productive potential which 
goes unrealized because they cannot meet the requirements of a standard 
workweek. Permanent part-time employment also provides benefits to other 
individuals in a variety of ways, such as providing older individuals 
with a gradual transition into retirement, providing employment 
opportunities to handicapped individuals or others who require a reduced 
workweek, providing parents opportunities to balance family 
responsibilities with the need for additional income, providing 
employment opportunities for women returning to the workforce and 
assisting students who must finance their own education or vocational 
training. In view of this, the Broadcasting Board of Governors will 
operate a part-time career employment program, consistent with the needs 
of its beneficiaries and its responsibilities.

[[Page 112]]



Sec.  506.2  Review of positions.

    Positions becoming vacant unless excepted as provided by Sec.  
506.7, will be reviewed to determine the feasibility of converting them 
to part-time. Among the criteria which may be used when conducting this 
review are:
    (a) Mission requirements and occupational mix.
    (b) Workload fluctuations.
    (c) Employment ceilings and budgetary considerations.
    (d) Size of workforce, turnover rate and employment trends.
    (e) Affirmative action.



Sec.  506.3  Establishing and converting part-time positions.

    Position management and other internal reviews may indicate that 
positions may be either converted from full-time or initially 
established as part-time positions. Criteria listed above may be used 
during these reviews. If a decision is made to convert to or to 
establish a part-time position, regular position management and 
classification procedures will be followed.



Sec.  506.4  Annual goals and timetables.

    A Board-wide plan for promoting part-time employment opportunities 
will be developed annually by the Office of Personnel after consultation 
with the operating elements. This plan will establish annual goals and 
set deadlines for achieving these goals.

[44 FR 63098, Nov. 2, 1979, as amended at 51 FR 11015, Apr. 1, 1986]



Sec.  506.5  Review and evaluation.

    The part-time career employment program will be reviewed through 
semiannual reports submitted by the Director, Office of Personnel to the 
Associate Director for Management. Regular employment reports will be 
used to determine levels of part-time employment.

[44 FR 63098, Nov. 2, 1979, as amended at 51 FR 11016, Apr. 1, 1986]



Sec.  506.6  Publicizing vacancies.

    When applicants from outside the Federal service are desired, part-
time vacancies may be publicized through various recruiting means, such 
as:
    (a) Federal Job Information Centers.
    (b) State Employment Offices.
    (c) Broadcasting Board of Governors Vacancy Announcements.
    (d) College and University Placement Offices.



Sec.  506.7  Exceptions.

    The Director of the Board and the Associate Director for Management 
may except positions from inclusion in this program as necessary to 
carry out the mission of the Board.



PART 507_RULES FOR IMPLEMENTING OPEN MEETINGS UNDER THE SUNSHINE ACT FOR
THE BROADCASTING BOARD OF GOVERNORS--Table of Contents



Sec.
507.1 General policies.
507.2 Definitions.
507.3 Requirement for open meetings.
507.4 Grounds on which meetings may be closed.
507.5 Procedures for announcing meetings.
507.6 Procedures for closing meetings.
507.7 Reconsideration of opening or closing a meeting.
507.8 Recording keeping of closed meetings.

    Authority: Pub. L. 93-129, 87 Stat. 956, 5 U.S.C. 552b.

    Source: 67 FR 76112, Dec. 11, 2002, unless otherwise noted.



Sec.  507.1  General policies.

    The Broadcasting Board of Governors will provide the public with the 
fullest practical information regarding its decision making process 
while protecting the rights of individuals and its abilities to carry 
out its responsibilities.



Sec.  507.2  Definitions.

    The following definitions apply:
    (a) The term agency includes any establishment in the executive 
branch of the government headed by a collegial body composed of two or 
more individual members, a majority of whom are appointed to such 
position by the President with the advice and consent of the Senate, and 
any subdivision thereof authorized to act on behalf of the agency. The 
Broadcasting Board of Governors is a government agency headed by a nine-
member board, eight of whom are appointed by the President with the 
advice and consent of the

[[Page 113]]

Senate, and the ninth being the Secretary of State. Therefore, the 
Broadcasting Board of Governors is an ``agency'' under these terms.
    (b) The term meeting means the deliberation of this Board where such 
deliberations determine or result in the joint conduct or disposition of 
official Board business.
    (c) The term member means an individual who belongs to the Board who 
has been appointed by the President and confirmed by the Senate or is 
the Secretary of State.



Sec.  507.3  Requirement for open meetings.

    Members shall not jointly conduct or dispose of agency business 
other than in accordance with this part. Except as provided in Sec.  
507.4 every portion of every meeting of the agency shall be open to 
public observation.



Sec.  507.4  Grounds on which meetings may be closed.

    The Board shall open every portion of every meeting of the agency 
for public observation except where the agency determines that such 
portion or portions of the meeting or the disclosure of such information 
is likely to:
    (a) Disclose matters that are:
    (1) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interests of national defense 
or foreign policy, and
    (2) In fact properly classified pursuant to such Executive order;
    (b) Relate solely to the internal personnel rules and practice of 
the agency;
    (c) Disclose matters specifically exempted from disclosure by 
statute: Provided, that such statute:
    (1) Requires that the matters be withheld from the public in such 
manner as to leave no discretion on the issue, or
    (2) Established practical criteria for withholding or refers to 
particular types of matters to be withheld;
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (e) Involve accusing any person of a crime, or formally censuring 
any person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings,
    (2) Deprive a person of a right to a fair trial on an impartial 
adjudication,
    (3) Constitute an unwarranted invasion of personal privacy,
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential source,
    (5) Disclose investigative techniques and procedures, or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Disclose information, the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed agency 
action. This shall not apply in any instance where the Board has already 
disclosed to the public the content or the nature of its proposed 
action, or where the Board is required by law to make such disclosures 
on its own initiative prior to taking final Board action on such 
proposal; or
    (i) Specifically concern the Board's issuance of a subpoena, or the 
Board's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct or disposition by the Board of a particular case of 
formal agency adjudication, or otherwise involving a determination on 
the record after opportunity for a hearing.



Sec.  507.5  Procedures for announcing meetings.

    (a) In the case of each meeting, the Board shall make public, at 
least one week before the meeting, the time, place, and subject matter 
of the meeting, whether it is to be open or closed

[[Page 114]]

to the public, and the name and phone number of the official designated 
by the Board to respond to requests for information about the meeting. 
Such announcement shall be made unless a majority of the members of the 
Board determine by a recorded vote that such meeting must be called at 
an earlier date, in which case the Board shall make public announcement 
of the time, place, subject matter of such meeting and whether it is 
open or closed to the public, at the earliest practical time.
    (b) Immediately following the public announcement, the Board will 
publish it in the Federal Register.



Sec.  507.6  Procedures for closing meetings.

    (a) The closing of a meeting shall occur only when:
    (1) A majority of the membership of the Board votes to take such 
action. A separate vote of the Board members shall be taken with respect 
to each Board meeting, a portion or portions of which are proposed to be 
closed to the public pursuant to Sec.  507.4, or with respect to any 
information which is proposed to be withheld under Sec.  507.4. A single 
vote may be taken with respect to a series of meetings, a portion or 
portions of which are proposed to be closed to the public, or with 
respect to any information concerning such series of meetings, so long 
as each meeting in such series involves the same particular matters and 
is scheduled to be held not more than thirty days after the initial 
meeting in such series. The vote of each Board member participating in 
such vote shall be recorded and no proxies shall be allowed.
    (2) Whenever any person whose interest may be directly affected by a 
portion of the meeting requests that the Board close such a portion to 
the public for any of the reasons referred to in Sec.  507.4 (e), (f) or 
(g), the Board, upon request of any of its Board members, shall take a 
recorded vote, whether to close such portion of the meeting.
    (b) Within one day of any vote taken, the Board shall make publicly 
available a written copy of such vote reflecting the vote of each member 
on the question and full written explanation of its action closing the 
entire or portion of the meeting together with a list of all persons 
expected to attend the meeting and their affiliation.
    (c) The Board shall announce the time, place and subject matter of 
the meeting at least eight (8) days before the meeting.
    (d) For every closed meeting, the Board's Legal Counsel shall 
publicly certify that, in his or her opinion, the meeting may be closed 
to the public and shall state each relevant exemptive provision. A copy 
of such certification, together with a statement from the presiding 
officer of the meeting setting forth the time and place of the meeting, 
and the persons present, shall be retained by the Board.



Sec.  507.7  Reconsideration of opening or closing a meeting.

    The time or place of a Board meeting may be changed following the 
public announcement only if the Board publicly announces such change at 
the earliest practicable time. The subject matter of a meeting, or the 
determination of the agency to open or close a meeting, or a portion of 
a meeting, to the public, may be changed following the public 
announcement only if a majority of the Board members determines by a 
recorded vote that Board business so requires and that no earlier 
announcement of the change was possible, and the Board publicly 
announces such change and the vote of each member upon such change at 
the earliest practicable time.



Sec.  507.8  Recording keeping of closed meetings.

    (a) The Board shall maintain an electronic recording of the 
proceedings of each meeting, or portion of a meeting, closed to the 
public.
    (b) The Board, after review by the Chairman, shall make promptly 
available to the public in a place easily accessible to the public, a 
complete transcript or electronic record of the discussion of any item 
on the agenda, or any item of testimony of any witness received at the 
Board meeting, except for such item or items of such discussion or 
testimony as the Board determines to contain information which may be 
withheld under Sec.  507.4. Copies of such record, disclosing the 
identity of

[[Page 115]]

each speaker, shall be furnished to any person at the actual cost of 
duplication. The Board shall maintain a complete transcript or 
electronic copy of each meeting, or portion of a meeting, closed to the 
public, for a period of at least two years after such meeting, or until 
one year after the conclusion of any Board proceeding with respect to 
which the meeting or portion was held, whichever occurs later.



PART 510_SERVICE OF PROCESS--Table of Contents



    Authority: 5 U.S.C. 552(a)(1)(A).



Sec.  510.1  Service of process.

    (a) The General Counsel of the Broadcasting Board of Governors or 
any of his/her designees shall act as agent for the receipt of legal 
process against the Broadcasting Board of Governors, as well as against 
employees of the Board to the extent that the process relates to the 
official functions of the employees.
    (b) When accepting service of process for an employee in his/her 
official capacity, the General Counsel or his/her designee shall endorse 
on the server's return of process form, registered mail receipt, 
certified mail receipt, or express mail receipt: ``Service accepted in 
official capacity only.''
    (c) Process shall be delivered to:

Mailing address: Office of the General Counsel, Broadcasting Board of 
Governors, 330 Independence Ave., SW., Cohen Building, Washington, DC 
20237.
Location: Office of the General Counsel, Broadcasting Board of 
Governors, 330 Independence Ave., SW., Cohen Building, Room 3349, 
Washington, DC 20237.

[53 FR 50515, Dec. 16, 1988, as amended at 74 FR 7562, Feb. 18, 2009]



PART 511_FEDERAL TORT CLAIMS PROCEDURE--Table of Contents



Sec.
511.1 Definitions.
511.2 Scope of regulations.
511.3 Exceptions.
511.4 Administrative claim; when presented.
511.5 Who may file claim.
511.6 Board authority to adjust, determine, compromise and settle claims 
          and limitations upon that authority.
511.7 Investigations.
511.8 Limitations.
511.9 Supporting evidence.
511.10 Settlement of claim.
511.11 Acceptance of award.
511.12 When litigation is involved in claim.

    Authority: 5 U.S.C. 301.

    Source: 34 FR 20430, Dec. 31, 1969, unless otherwise noted.



Sec.  511.1  Definitions.

    Board. Board means the Broadcasting Board of Governors.
    Act. Act means the Federal Tort Claims Act, as amended, and codified 
in 28 U.S.C., sections 2671-2680.



Sec.  511.2  Scope of regulations.

    The regulations in this part shall apply only to claims asserted 
under the Federal Tort Claims Act, as amended, or as incorporated by 
reference in any appropriation Act or other statutes, for money damages 
against the United States for injury, loss of property, personal injury, 
or death caused by the negligent or wrongful act or omission of any 
employee of the Board while acting within the scope of his/her office or 
employment, under circumstances where the United States, if a private 
person, would be liable to the claimant in accordance with the law of 
the place where the act or omission occurred.

[43 FR 14301, Apr. 4, 1978]



Sec.  511.3  Exceptions.

    Claims not compensable hereunder are listed in 2680 of the Act with 
the exception that 2680(k) (claims arising in a foreign country) has 
been removed by 22 U.S.C. 1474(5).

[44 FR 16374, Mar. 19, 1979]



Sec.  511.4  Administrative claim; when presented.

    (a) For the purposes of the provisions of section 2672 of the Act 
and of this part, a claim shall be deemed to have been presented when 
the Board receives, in the office designated in paragraph (b) of this 
section, an executed ``Claim for Damage or Injury'', Standard Form 95, 
or other written notification of an incident, accompanied by a claim for 
money damages in a sum certain, for injury to or loss of property, 
personal injury or death, alleged to

[[Page 116]]

have occurred by reason of the incident. The claimant may, if he/she 
desires, file a brief with his/her claim setting forth the law or other 
arguments in support of his/her claim. In cases involving claims by more 
than one person arising from a single accident or incident, individual 
claim forms shall be used. A claim which should have been presented to 
the Board, but which was mistakenly addressed to or filed with another 
Federal Agency, shall be deemed to have been presented to the Board as 
of the date the claim is received by the Board. If a claim is mistakenly 
addressed to or filed with the Board, the Board shall transfer it 
forthwith to the appropriate Agency.
    (b) A claimant shall mail, or deliver his/her claim to the Office of 
the General Counsel and Congressional Liaison, Broadcasting Board of 
Governors, 301 4th Street, SW., Washington, DC 20547.

[34 FR 20430, Dec. 31, 1969, as amended at 51 FR 11016, Apr. 1, 1986]



Sec.  511.5  Who may file claim.

    (a) Claims for loss or damage of property may be filed by the owner 
of the property, or his/her legal representatives. Claims for personal 
injury or death may be made by the injured person or a legal 
representative of the injured or deceased person. The claim, if filed by 
a legal representative, should show the capacity of the person signing 
and be accompanied by evidence of this authority to act.
    (b) The claim and all other papers requiring the signature of the 
claimant should be signed by him/her personally or by his/her 
representative. Signatures should be identical throughout.



Sec.  511.6  Board authority to adjust, determine, compromise, and
settle claims and limitations upon that authority.

    (a) The General Counsel of the Board, or his/her designee, is 
delegated authority to consider, ascertain, adjust, determine, 
compromise, and settle claims asserted under the provisions of section 
2672 of the Act and under this part.
    (b) Limitation on Board authority: An award, compromise, or 
settlement of a claim by the Board under the provisions of section 2672 
of the Act, in excess of $25,000, shall be effected only with the prior 
written approval of the Attorney General or his/her designee.



Sec.  511.7  Investigations.

    The Board may request any other Federal agency to investigate a 
claim filed under section 2672 of the Act, or to conduct a physical or 
mental examination of the claimant and provide a report of such 
examination.



Sec.  511.8  Limitations.

    (a) Pursuant to the provisions of section 2401(b) of title 28 of the 
United States Code, a tort claim against the United States shall be 
forever barred unless presented in writing to the Board within two (2) 
years after such claim accrues.
    (b) A suit may not be filed until the claim shall have been finally 
denied by the Board. Failure of the Board to make final disposition of 
the claim within six (6) months after it has been presented shall, at 
the option of the claimant any time thereafter, be deemed a final denial 
of the claim for purposes of the Act and of this part.
    (c) A suit shall not be filed for a sum greater than the amount of 
the claim presented to the Board, except where the increased amount is 
based upon newly discovered evidence not reasonably discoverable at the 
time for presenting the claim to the Board, or upon allegation and proof 
of intervening facts, relating to amount of the claim.



Sec.  511.9  Supporting evidence.

    (a) In support of claims for personal injury or death, the claimant 
should submit a written report by the attending physician. The report 
should show the nature and extent of injury, the nature and extent of 
treatment, the effect upon earning capacity, either temporarily or 
permanently, the degree of permanent disability, if any, the prognosis, 
and the period of hospitalization, or incapacitation. Itemized bills for 
medical, hospital, or burial expenses actually incurred should be 
attached to report.
    (b) In support of claims for damage to property which as been or can 
be economically repaired, the claimant should submit at least two 
itemized

[[Page 117]]

signed statements, or estimates by reliable, disinterested firms or 
itemized signed receipts if payment has been made.
    (c) In support of claims for loss or damage to property which is not 
economically repairable, the claimant should submit statements of the 
original cost of the property, date of purchase, and the value of the 
property before and after the accident together with a statement setting 
forth the basis used in arriving at such value. Such statements should 
be from at least two disinterested, competent persons, preferably 
reputable dealers or other qualified persons familiar with the type of 
property in question.



Sec.  511.10  Settlement of claim.

    The General Counsel will review the findings from the standpoint of 
questions of law applicable to the claim and will determine disposition. 
The General Counsel will make final review for settlement of the claim 
and will sign SF-1145, Voucher for Payment Under Federal Tort Claims 
Act, and forward it to the Financial Operations Division for payment of 
claim. Payment of any award or settlement in the amount of $2,500 or 
less will be authorized from the appropriation and allotment current for 
obligation on the date of settlement irrespective of when the cause of 
action arose. Payment of any award, compromise or settlement in an 
amount in excess of $2,500, shall be paid in a manner similar to 
judgments and compromises out of the appropriation provided by section 
(c), Pub. L. 89-506 (28 U.S.C. 2672).



Sec.  511.11  Acceptance of award.

    The acceptance by the claimant of any award will be final and 
conclusive on the claimant. The acceptance will constitute a complete 
release of any claim by reason of the same subject matter against the 
United States and against the employee whose act or omission resulted in 
the claim. Adjudication and payment shall likewise be conclusive on all 
officers of the United States, unless procured by fraud.



Sec.  511.12  When litigation is involved in claim.

    If a claimant does not agree to a settlement of a claim of which is 
considered fair and equitable by the Board's responsible officials, the 
claimant, upon the final disposition thereof by the Board, may elect to 
file suit. Relief from claims which are disallowed may be sought by 
filing suit in the U.S. District Court for the district where the 
claimant resides or wherein the act of omission complained of occurred. 
The failure of the Board to make final disposition of a claim within 6 
months after it has been filed shall, pursuant to 28 U.S.C. 2672, and at 
the option of the claimant at any time thereafter, is deemed a final 
denial of the claim. If a suit is filed against the Government involving 
the Board, the Department of Justice will request the Board to furnish 
the complete file on the case. The Office of the General Counsel will 
represent the Board in all negotiations with the Department of Justice.



PART 512_COLLECTION OF DEBTS UNDER THE DEBT COLLECTION ACT OF 1982-
-Table of Contents



                      Subpart A_General Provisions

Sec.
512.1 Definitions.
512.2 Exceptions.
512.3 Use of procedures.
512.4 Conformance to law and regulations.
512.5 Other procedures.
512.6 Informal action.
512.7 Return of property.
512.8 Omissions not a defense.

   Subpart B_Administrative Offset and Referral to Collection Agencies

512.9 Demand for payment.
512.10 Collection by administrative offset.
512.11 Administrative offset against amounts payable for Civil Service 
          Retirement and Disability Fund.
512.12 Collection in installments.
512.13 Exploration of compromise.
512.14 Suspending or terminating collection action.
512.15 Referrals to the Department of Justice or the General Accounting 
          Office.
512.16 Collection services.

                         Subpart C_Salary Offset

512.17 Purpose.
512.18 Scope.

[[Page 118]]

512.19 Definitions.
512.20 Notification.
512.21 Hearing.
512.22 Deduction from pay.
512.23 Liquidation from final check or recovery from other payment.
512.24 Non-waiver of rights by payments.
512.25 Refunds.
512.26 Interest, penalties, and administrative costs.
512.27 Recovery when paying agency is not creditor agency.

         Subpart D_Interest, Penalties, and Administrative Costs

512.28 Assessment.
512.29 Exemptions.

    Authority: 31 U.S.C. 3701; 31 U.S.C. 3711 et seq.; 5 U.S.C. 5514; 4 
CFR Parts 101-105; 5 CFR Part 550.

    Source: 52 FR 43897, Nov. 17, 1987, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  512.1  Definitions.

    (a) The term Board means the Broadcasting Board of Governors.
    (b) The term Board head means the Director, Broadcasting Board of 
Governors.
    (c) The term appropriate Board official or designee means the Chief, 
Financial Operations Division or such other official as may be named in 
the future by the Director, Broadcasting Board of Governors.
    (d) The terms debt or claim refer to an amount of money which has 
been determined by an appropriate Board official to be owed to the 
United States from any person, organization or entity, except another 
Federal Agency.
    (e) A debt is considered delinquent if it has not been paid by the 
date specified in the Board's written notification or applicable 
contractual agreement, unless other satisfactory arrangements have been 
made by that date, or at any time thereafter the debtor fails to satisfy 
obligations under a payment agreement with the Board.
    (f) The term referral for litigation means referral to the 
Department of Justice for appropriate legal proceedings.



Sec.  512.2  Exceptions.

    (a) Claims arising from the audit of transportation accounts 
pursuant to 31 U.S.C. 3726 shall be determined, collected, compromised, 
terminated, or settled in accordance with the regulations published 
under 31 U.S.C. 3726 (refer to 41 CFR part 101-41).
    (b) Claims arising out of acquisition contracts subject to the 
Federal Acquisition Regulation (FAR) shall be determined, collected, 
compromised, terminated or settled in accordance with those regulations 
(see 48 CFR part 32). If not otherwise provided for in the FAR system, 
contract claims that have been the subject of a contracting officer's 
final decision in accordance with section 6(a) of the Contracts Disputes 
Act of 1978 (41 U.S.C. 605(a)), may be determined, collected, 
compromised, terminated, or settled under the provisions of this 
regulation, except no additional review of the debt shall be granted 
beyond that provided by the contracting officer in accordance with the 
provisions of section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 
605), and the amount of any interest, administrative charge, or penalty 
charge shall be subject to the limitations, if any, contained in the 
contract out of which the claim arose.
    (c) Claims based in whole or in part on conduct in violation of the 
antitrust laws, or in regard to which there is an indication of fraud, 
presentation of a false claim, or misrepresentation on the part of the 
debtor or any other party having an interest in the claim, shall be 
referred to the Department of Justice (DOJ) as only the DOJ has the 
authority to compromise, suspend or terminate collection action on such 
claims.
    (d) Tax claims are excluded from the coverage of this regulation.



Sec.  512.3  Use of procedures.

    Procedures authorized by this regulation (including but not limited 
to referral to a debt collection agency, administrative offset, or 
salary offset) may be used singly or in combination, providing the 
requirements of the applicable law and regulation are satisfied.



Sec.  512.4  Conformance to law and regulations.

    (a) The requirements of applicable law (31 U.S.C. 3701-3719 as 
amended by

[[Page 119]]

Pub. L. 97-365, (96 Stat. 1749) have been implemented in Government-wide 
standards:
    (1) The regulations of the Office of Personnel Management (5 CFR 
part 550).
    (2) The Federal Claims Collection Standards issued jointly by the 
General Accounting Office and the Department of Justice (4 CFR parts 
101-105), and
    (3) The procedures prescribed by the Office of Management and Budget 
in Circular A-129 of May 9, 1985.
    (b) Not every item in the above described standards has been 
incorporated or referenced in this regulation. To the extent, however, 
that circumstances arise which are not covered by the terms stated in 
this regulation, Broadcasting Board of Governors will proceed in any 
actions taken in accordance with applicable requirements found in the 
sources referred to in paragraphs (a)(1), (2), and (3) of this section.



Sec.  512.5  Other procedures.

    Nothing contained in this regulation is intended to require 
Broadcasting Board of Governors to duplicate administrative proceedings 
required by contract or other laws or regulations.



Sec.  512.6  Informal action.

    Nothing in this regulation is intended to preclude utilization of 
informal administrative actions or remedies which may be available.



Sec.  512.7  Return of property.

    Nothing contained in this regulation is intended to deter 
Broadcasting Board of Governors from demanding the return of specific 
property or from demanding the return of the property or the payment of 
its value.



Sec.  512.8  Omissions not a defense.

    The failure of Broadcasting Board of Governors to comply with any 
provision in this regulation shall not serve as a defense to the debt.



   Subpart B_Administrative Offset and Referral to Collection Agencies



Sec.  512.9  Demand for payment.

    Prior to initiating administrative offset, demand for payment will 
be made as follows:
    (a) Written demands will be made promptly upon the debtor in terms 
which inform the debtor of the consequences of failure to cooperate. A 
total of three progressively stronger written demands at not more than 
30-day intervals will normally be made unless a response to the first or 
second demand indicates that further demand would be futile and the 
debtor's response does not require rebuttal. In determining the timing 
of demand letters, Broadcasting Board of Governors will give due regard 
to the need to act promptly so that, as a general rule, debt referrals 
to the Department of Justice for litigation, where necessary, can be 
made within one year of the Board's final determination of the fact and 
the amount of the debt. When necessary to protect the Government's 
interests (e.g., to prevent the statute of limitations, 28 U.S.C. 2415, 
from expiring) written demand may be preceded by other appropriate 
actions under this chapter, including immediate referral for litigation.
    (b) The initial demand letter will inform the debtor of: The basis 
for the indebtedness and the right of the debtor to request review 
within the Board; the applicable standards for assessing interest, 
penalties, and administrative costs (Subpart D of this regulation) and; 
the date by which payment is to be made, which normally will not be more 
than 30 days from the date that the initial demand letter was mailed or 
hand delivered. Broadcasting Board of Governors will exercise care to 
insure that demand letters are mailed or hand-delivered on the same day 
that they are actually dated.
    (c) As appropriate to the circumstances, Broadcasting Board of 
Governors will include in the demand letters matters relating to 
alternative methods of payment, the debtor's rights to representation by 
his respective bargaining unit, policies relating to referral to 
collection agencies, the

[[Page 120]]

Board's intentions relative to referral of the debt to the Department of 
Justice for litigation, and, depending on the statutory authority, the 
debtor's entitlement to consideration of waiver.
    (d) Broadcasting Board of Governors will respond promptly to 
communications from the debtor and will advise debtors who dispute the 
debt that they must furnish available evidence to support their 
contention.



Sec.  512.10  Collection by administrative offset.

    (a) Collection by administrative offset will be undertaken in 
accordance with these regulations on all claims which are liquidated and 
certain in amount, in every instance where the appropriate Board 
official determines such collection to be feasible and not otherwise 
prohibited.
    (1) For purpose of this section, the term administrative offset has 
the same meaning as provided in 31 U.S.C. 3716(a)(1).
    (2) Whether collection by administrative offset is feasible is a 
determination to be made by the Board on a case-by-case basis, in the 
exercise of sound discretion. Broadcasting Board of Governors will 
consider not only the practicalities of administrative offset, but 
whether such offset is best suited to protect and further all of the 
Government's interests. Broadcasting Board of Governors will give 
consideration to the debtor's financial condition, and is not required 
to use offset in every instance where there is an available source of 
funds. Broadcasting Board of Governors will also consider whether offset 
would tend to substantially disrupt or defeat the purpose of the program 
authorizing the payments against which offset is contemplated.
    (b) Before the offset is made, a debtor shall be provided with the 
following: written notice of the nature and the amount of the debt and 
the Board's intention to collect by offset; opportunity to inspect and 
copy Board records pertaining to the debt; opportunity to obtain review 
within the Board of the determination of indebtedness; and opportunity 
to enter into written agreement with the Board to repay the debt. 
Broadcasting Board of Governors may also make requests to other agencies 
holding funds payable to the debtor, and process requests for offset 
that are received from other agencies.
    (1) Broadcasting Board of Governors will exercise sound judgment in 
determining whether to accept a repayment agreement in lieu of offset. 
The determination will weigh the Government's interest in collecting the 
debt against fairness to the debtor.
    (2) In cases where the procedural requirements specified in this 
paragraph (b) have previously been provided to the debtor in connection 
with the same debt under some other statutory or regulatory authority, 
such as pursuant to an audit allowance, the Board is not required to 
duplicate those requirements before taking administrative offset.
    (3) Broadcasting Board of Governors may not initiate administrative 
offset to collect a debt more than 10 years after the Government's right 
to collect the debt first accrued, unless facts material to the 
Government's right were not known and could not reasonably have been 
known by the official or officials of the Government who were charged 
with the responsibility to discover and collect the debt. When the debt 
first accrued is to be determined according to existent law regarding 
the accrual of debts (e.g., 28 U.S.C. 2415).
    (4) Broadcasting Board of Governors is not authorized by 31 U.S.C. 
3716 to use administrative offset with respect to: Debts owed by any 
State or local Government; debts arising under or payments made under 
the Social Security Act, the Internal Revenue Code of 1954 or the tariff 
laws of the United States; or any case in which collection of the type 
of debt involved by administrative offset is explicitly provided for or 
prohibited by another statute. Unless otherwise provided by contract or 
law, debts or payments which are not subject to administrative offset 
under 31 U.S.C. 3716 may be collected by administrative offset under the 
common law or other applicable statutory authority.
    (5) Broadcasting Board of Governors may effect administrative offset 
against a payment to be made to a debtor prior to completion of the 
procedures required by paragraph (b) of

[[Page 121]]

this section if failure to take offset would substantially prejudice the 
Government's ability to collect the debt, and the time before the 
payment is to be made does not reasonably permit the completion of those 
procedures. Amounts recovered by offset but later determined not to be 
owed to the Government shall be promptly refunded 30 days after the 
Board has notified the debtor in writing that the debt is not owed. Such 
written notification will be issued within 15 days after the Board has 
confirmed through a review of its official records that the debt is not 
owed.
    (c) Type of hearing or review: (1) For purposes of this section, 
whenever Broadcasting Board of Governors is required to afford a hearing 
or review within the Board, the Board will provide the debtor with a 
reasonable opportunity for an oral hearing when: An applicable statute 
authorizes or requires the Board to consider waiver of the indebtedness 
involved, the debtor requests waiver of the indebtedness, and the waiver 
determination turns on an issue of veracity; or the debtor requests 
reconsideration of the debt and the Board determines that the question 
of the indebtedness cannot be resolved by review of the documentary 
evidence. Unless otherwise required by law, an oral hearing under this 
section is not required to be a formal evidentiary type hearing.
    (2) This section does not require an oral hearing with respect to 
debt collection systems in which determinations of indebtedness or 
waiver rarely involve issues of veracity and the Board has determined 
that the review of the written record is ordinarily enough to correct 
prior mistakes.
    (3) In those cases where an oral hearing is not required by this 
section, the Board will make its determination on the request for waiver 
or reconsideration based upon a review of the written record.
    (d) Appropriate use will be made of the cooperative efforts of other 
agencies in effecting collection by administrative offset. Broadcasting 
Board of Governors will not refuse to initiate administrative offset to 
collect debts owed the United States, unless the requesting agency has 
not complied with the applicable provisions of these standards.
    (e) Collection by offset against a judgment obtained against the 
United States shall be accomplished in accordance with 31 U.S.C. 3728.
    (f) Whenever the creditor agency is not the agency which is 
responsible for making the payment against which offset is sought, the 
latter agency shall not initiate the requested offset until it has been 
provided by the creditor agency with an appropriate written 
certification that the debtor owes the debt (including the amount) and 
that full compliance with the provisions of this section has taken 
place.
    (g) When collecting multiple debts by administrative offset, 
Broadcasting Board of Governors will apply the recovered amounts to 
those debts in accordance with the best interests of the United States, 
as determined by the facts and circumstances of the particular case, 
paying particular attention to the applicable statutes of limitations.



Sec.  512.11  Administrative offset against amounts payable from Civil
Service Retirement and Disability Fund.

    (a) Unless otherwise prohibited by law, Broadcasting Board of 
Governors may request that monies that are due and payable to a debtor 
from the Civil Service Retirement and Disability Fund be 
administratively offset in reasonable amounts in order to collect in one 
full payments, or a minimal number of payment, debts owed the United 
States by the debtor. Such requests shall be made to the appropriate 
officials within the Office of Personnel Management in accordance with 
such regulations as may be prescribed by the Director of that Office.
    (b) When making a request for administrative offset under paragraph 
(a) of this section, Broadcasting Board of Governors shall include 
written statements that:
    (1) The debtor owes the United States a debt, including the amount 
of the debt;
    (2) The Broadcasting Board of Governors has complied with the 
applicable statutes, regulations, and procedures of the Office of 
Personnel Management; and

[[Page 122]]

    (3) The Broadcasting Board of Governors has complied with the 
requirements of Sec.  512.10 of this part, including any required 
hearing or review.
    (c) Once Broadcasting Board of Governors decides to request offset 
under paragraph (a) of this section, it will make the request as soon as 
practical after completion of the applicable procedures in order that 
the Office of Personnel Management may identify the debtor's account in 
anticipation of the time when the debtor requests or becomes eligible to 
receive payments from the Fund. This will satisfy any requirement that 
offset be initiated prior to expiration of the applicable statute of 
limitations.
    (d) If Broadcasting Board of Governors collects part or all of the 
debt by other means before deductions are made or completed pursuant to 
paragraph (a) of this section, Broadcasting Board of Governors shall act 
promptly to modify or terminate its request for offset under paragraph 
(a) of this section.
    (e) This section does not require or authorize the Office of 
Personnel Management to review the merits of the Broadcasting Board of 
Governors determination relative to the amount and validity of the debt, 
its determination on waiver under an applicable statute, or its 
determination whether to provide an oral hearing.



Sec.  512.12  Collection in installments.

    (a) Whenever feasible, and except as required otherwise by law, 
debts owed to the United States, together with interest, penalties, and 
administrative costs as required by this regulation, should be collected 
in one lump sum. This is true whether the debt is being collected under 
administrative offset or by another method, including voluntary payment. 
However, if the debtor is financially unable to pay the indebtedness in 
one lump sum, payment may be accepted in regular installments. If 
Broadcasting Board of Governors agrees to accept payment in 
installments, it will obtain a legally enforceable written agreement 
from the debtor that specifies all of the terms of the arrangement and 
which contains a provision accelerating the debt in the event the debtor 
defaults. The size and frequency of the payments should bear a 
reasonable relation to the size of the debt and ability to the debtor to 
pay. If possible the installment payments should be sufficient in size 
and frequency to liquidate the Government's claim within 3 years.
    (b) If the debtor owes more than one debt and designates how a 
voluntary installment plan is to be applied among those debts, the Board 
will follow that designation. If no such designation is made, the Board 
will apply payments to the various debts in accordance with the best 
interest of the United States as as determined by the facts and 
circumstances of each case, with particular attention to application 
statutes of limitation.



Sec.  512.13  Exploration of compromise.

    Broadcasting Board of Governors may attempt to effect compromise in 
accordance with the standards set forth in part 103 of the Federal 
Claims Collection Standards (4 CFR part 103).



Sec.  512.14  Suspending or terminating collection action.

    The suspension or termination of collection action shall be made in 
accordance with the standards set forth in part 104 of the Federal 
Claims Collection Standard (4 CFR part 104).



Sec.  512.15  Referrals to the Department of Justice or the General
Accounting Office.

    Referrals to the Department of Justice or the General Accounting 
Office shall be made in accordance with the standards set forth in part 
105 of the Federal Claims Collection Standards (4 CFR part 105).



Sec.  512.16  Collection services.

    (a) Broadcasting Board of Governors has authority to contract for 
collection services to recover delinquent debts in accordance with 31 
U.S.C. 3718(c) and 4 CFR 102.6.
    (b) Contracts with collection agencies will provide that:
    (1) The authority to resolve disputes, compromise claims, suspend or 
terminate collection action, and refer the matter to the Justice 
Department for litigation will be retained by Broadcasting Board of 
Governors;

[[Page 123]]

    (2) Contractors are subject to 5 U.S.C. 552a, the Privacy Act of 
1974, as amended, to the extent specified in 5 U.S.C. 552a(m) and to 
applicable Federal and State laws and regulations pertaining to debt 
collection practices, such as the Fair Debt Collection Practices Act, 15 
U.S.C. 1692;
    (3) The contractor is required to strictly account for all amounts 
collected;
    (4) The contractor must agree that uncollectible accounts shall be 
returned with appropriate documentation to enable Broadcasting Board of 
Governors to determine whether to pursue collection through litigation 
or to terminate collection;
    (5) The contractor must agree to provide any data in its files 
relating to paragraphs (a)(1), (2), and (3) of Sec.  105.2 of the 
Federal Claims Collection Standards (4 CFR part 105) upon returning the 
account to Broadcasting Board of Governors for subsequent referral to 
the Department of Justice for litigation.
    (c) Broadcasting Board of Governors will not use a collection agency 
to collect a debt owed by a currently employed or retired Federal 
employee, if collection by salary or annuity offset is available.



                         Subpart C_Salary Offset



Sec.  512.17  Purpose.

    This subpart provides the standards to be followed by Broadcasting 
Board of Governors in implementing 5 U.S.C. 5514 to recover a debt from 
the pay of an Board employee or former employee, and establishes the 
procedural guidelines to recover debts when the employee's creditor and 
paying agencies are not the same.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3050, Jan. 30, 1990]



Sec.  512.18  Scope.

    (a) Coverage. This subpart applies to Executive agencies, military 
departments, an agency or court in the judicial branch, an agency of the 
legislative branch and other independent entities of the Federal 
Government as defined in 5 CFR 550.1103, under the heading ``Agency''.
    (b) Applicability. This subpart and 5 U.S.C. 5514 apply in 
recovering debts by offset without the employee's consent from the 
current pay of that employee. Debt collection procedures which are not 
specified in 5 U.S.C. 5514 and these regulations will be consistent with 
the Federal Claims Collection Standards (4 CFR parts 101-105).
    (1) The procedures contained in this subpart do not apply to debts 
or claims arising under the Internal Revenue Code of 1954 as amended (26 
U.S.C. 1 et seq.), the Social Security Act (42 U.S.C. 301 et seq.), or 
the tariff laws of the United States or to any case where collection of 
a debt is explicitly provided for or prohibited by another statute 
(e.g., travel advances in 5 U.S.C. 5705).
    (2) This subpart does not preclude an employee from requesting a 
waiver of a salary overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 
32 U.S.C. 716, or in any way questioning the amount or validity of a 
debt by submitting a subsequent claim to the General Accounting Office 
in accordance with procedures prescribed by the General Accounting 
Officer, nor does it preclude an employee from requesting waiver when 
waiver is available under any statutory provision.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3051, Jan. 30, 1990]



Sec.  512.19  Definitions.

    For purposes of this subpart:
    Board means the Broadcasting Board of Governors.
    Creditor Agency means the agency to which the debt is owed.
    Debt means an amount owed to the United States.
    Disposable Pay means that part of current basic pay, special pay, 
incentive pay, retired pay, retainer pay or authorized pay remaining 
after the deduction of any amount required to be withheld by law. The 
Board will exclude deductions described in 5 CFR 581.105 (b) through (f) 
to determine disposable pay subject to salary offset.
    Employee means a current employee of Broadcasting Board of Governors 
or of another Executive Agency.
    Executive Agency means:
    (a) An Executive Agency as defined in section 105 of title 5, United 
States

[[Page 124]]

Code, including the U.S. Postal Service and the U.S. Postal Rate 
Commission;
    (b) A military department as defined in section 102 of title 5, 
United States Code;
    (c) An agency or court in the judicial branch, including a court as 
defined in section 610 of title 28, United States Code, the District 
Court for the Northern Mariana Islands, and the Judicial Panel on 
Multidistrict Litigation;
    (d) An agency of the legislative branch, including the U.S. Senate 
and the U.S. House of Representatives; and
    (e) Other independent establishments that are entities of the 
Federal Government.
    FCCS means the Federal Claims Collection Standards jointly published 
by the Justice Department and the General Accounting Office at 4 CFR 
parts 101-105.
    Paying agency means the agency employing the individual and 
authorizing the payment of his or her current pay.
    Salary offset means an administrative offset to collect a debt under 
5 U.S.C. 5514 by deductions at one or more officially established pay 
intervals from the current pay account of an employee without his or her 
consent.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 710, 
5 U.S.C. 8346(b), or any other law.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3051, Jan. 30, 1990]



Sec.  512.20  Notification.

    (a) Salary offset deductions shall not be made unless the Director, 
Financial Operations Division of Broadcasting Board of Governors, or 
such other official as may be named in the future by the Director of 
Broadcasting Board of Governors, provides to the employee a written 
notice, 30 calendar days prior to any deduction, stating at a minimum:
    (1) The Board's determination that a debt is owed including the 
nature, origin, and amount of the debt;
    (2) The Board's intent to collect the debt by means of deduction 
from the employee's current disposable pay account;
    (3) The amount, frequency and proposed beginning date and duration 
of the intended deductions;
    (4) An explanation of the Board's policy concerning interest, 
penalties, and administrative costs;
    (5) The employee's right to inspect and copy Government records 
pertaining to the debt;
    (6) The opportunity to establish a schedule for the voluntary 
repayment of the debt or to enter into a written agreement to establish 
a schedule for repayment in lieu of offset per the requirements of 4 CFR 
102.2(e).
    (7) The employee's right to a hearing arranged by the Board and 
conducted by an administrative law judge or, alternatively, an official 
not under the control of the head of the Board;
    (8) The method and time period for filing a petition for a hearing;
    (9) That timely filing of the petition will stay the commencement of 
collection proceedings;
    (10) That final decision on the hearing will be issued not later 
than 60 days after the filing of the petition for hearing unless the 
employee requests and the hearing officer grants a delay in the 
proceedings.
    (11) That knowingly false, misleading, or frivolous statements, 
representations or evidence may subject the employee to:
    (i) Disciplinary procedures under chapter 75 of title 5, United 
States Code or any other applicable statutes;
    (ii) Penalties under the False Claims Act, sections 3729-3731 of 
title 31 U.S.C. or any other applicable statutes.
    (iii) Criminal penalties under sections 286, 287, 1001, 1002 of 
title 18 United States Code or any other applicable statutes.
    (12) Any other rights or remedies available to the employee, 
including representation by counsel or his respective bargaining unit, 
under the statutes or regulations governing the program for which 
collection is being made.
    (13) That amounts paid on or deducted for the debts that are later 
waived or found not owed to the United States will be promptly refunded 
to the employee.
    (b) Notifications under this section shall be hand delivered with a 
record

[[Page 125]]

made of the delivery, or shall be mailed certified mail with return 
receipt requested.
    (c) No notification hearing, written responses or final decisions 
under this regulation are required of Broadcasting Board of Governors 
for any adjustment to pay arising from an employee's election of 
coverage under a Federal benefit program requiring periodic deductions 
from pay, if the amount to be recovered was accumulated over four pay 
periods or less.



Sec.  512.21  Hearing.

    (a) Petition for hearing. (1) A hearing may be requested by filing a 
written petition with the Director, Financial Operations Division of 
Broadcasting Board of Governors, or such other official as may be named 
in the future by the Director of Broadcasting Board of Governors, 
stating why the employee believes the Board's determination of the 
existence or amount of the debt is in error.
    (2) The petition must be signed by the employee and fully identify 
and explain with reasonable specificity all the facts, evidence and 
witnesses which the employee believes support his or her position.
    (3) The petition must be filed no later than fifteen (15) calendar 
days from the date the notification under Sec.  512.20(b) was hand 
delivered or the date of delivery by certified mail.
    (4) Where petition is received after the 15 calendar day limit, 
Broadcasting Board of Governors will accept the petition if the employee 
can show that the delay was beyond his or her control or because of 
failure to receive notice.
    (5) If the petition is not filed within the time limit, and is not 
accepted pursuant to paragraph (a)(4) of this section, the employee's 
right to hearing will be considered waived, and salary offset will be 
implemented.
    (b) Type of hearing. (1) The form and content of the hearing will be 
determined by the hearing official who shall be a person outside the 
control or authority of Broadcasting Board of Governors.
    (2) The employee may represent him or herself, or may be represented 
by counsel.
    (3) The hearing official shall maintain a summary record of the 
hearing.
    (4) The hearing official will prepare a written decision which will 
state:
    (i) The facts purported to evidence nature and origin of the alleged 
debt;
    (ii) The hearing official's analysis, findings, and conclusions 
relative to:
    (A) The employee's and/or the Board's grounds;
    (B) The amount and the validity of the alleged debt;
    (C) The repayment schedule, if applicable.
    (5) The decision of the hearing official shall constitute the final 
administrative decision of the Board.



Sec.  512.22  Deduction from pay.

    (a) Deduction by salary offset, from an employee's disposable 
current pay, shall be subject to the following circumstances:
    (1) When funds are available, the Board will collect debts owed the 
United States in full in one lump-sum. If funds are not available or the 
debt exceeds 15% of disposable pay for an officially established pay 
interval, collection will normally be made in installments.
    (2) The installments shall not exceed 15% of the disposable pay from 
which the deduction is made, unless the employee has agreed in writing 
to a larger amount.
    (3) Deduction will commence with the next full pay interval 
following notice that deductions will commence.
    (4) Installment deductions will not be made over a period greater 
than the anticipated period of employment.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3051, Jan. 30, 1990]



Sec.  512.23  Liquidation from final check or recovery from other payment.

    (a) If an employee retires or resigns before collection of the debt 
is completed, offset of the entire remaining balance may be made from a 
final payment of any nature to such extent as is necessary to liquidate 
the debt.
    (b) Where debt cannot be liquidated by offset from final payment, 
offset may be made from later payments of any kind due from the United 
States inclusive of Civil Service Retirement and Disability Fund 
pursuant to 5

[[Page 126]]

U.S.C. 8347 and 5 CFR 831.1801 et seq of this regulation.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3051, Jan. 30, 1990]



Sec.  512.24  Non-waiver of rights by payments.

    An employee's voluntary payment of all or part of a debt being 
collected under 5 U.S.C. 5514 shall not be construed as a waiver of any 
rights which the employee may have under 5 U.S.C., or any other 
provision of contract or law, unless statutory or contractual provisions 
provide to the contrary.



Sec.  512.25  Refunds.

    (a) Refunds shall be promptly made when:
    (1) A debt is waived or otherwise found not to be owed to the United 
States; or
    (2) The employee's paying agency is directed by an administrative or 
judicial order to refund amounts deducted from his or her current pay.
    (b) Refunds do not bear interest unless required or permitted by law 
or contract.



Sec.  512.26  Interest, penalties, and administrative costs.

    The assessment of interest, penalties and administrative costs shall 
be in accordance with subpart D of this regulation.



Sec.  512.27  Recovery when paying agency is not creditor agency.

    (a) Format for request for recovery. (1) Upon completion of the 
procedures prescribed under 5 CFR 550.1104 and its own regulations, the 
creditor agency shall certify the debt in writing to the paying agency.
    (2) The creditor agency shall certify in writing that the employee 
owes the debt, the amount and basis of the debt; the date on which 
payment is due, the date the Government's right to collect first 
accrued, and that the creditor agency's regulations implementing section 
5514 have been approved by OPM.
    (3) If collection must be made in installments, the creditor agency 
must advise the paying agency of the number of installments to be 
collected, the amount of each installment, and the commencing date of 
the first installment.
    (b) Submitting the request for recovery--(1) Current employees. The 
creditor agency shall submit the debt claim, agreement, or other 
instruction on the payment schedule to the employee's paying agency.
    (2) Separated employees--(i) Employees who are in the process of 
separating. If the employee is in the process of separating, the 
creditor agency will submit its debt claim to the employee's paying 
agency for collection as provided in Sec. Sec.  512.22 and 512.23. The 
paying agency shall certify the total amount of its collection and 
notify the creditor agency and the employee as provided in paragraph 
(b)(2)(iii) of this section. Where the paying agency is aware that the 
employee is entitled to payments from the Civil Service Retirement and 
Disability Fund, it will send a copy of the certified debt claim to the 
agency responsible for making such payments as notice that a debt is 
outstanding. It is the responsibility of the creditor agency for 
pursuing the claim.
    (ii) Employees who have already separated. If the employee is 
already separated and all payments due from his or her former paying 
agency have been paid, the creditor agency may request that monies which 
are due and payable to the employee from the Civil Service Retirement 
and Disability Fund (5 CFR 831.1801) or other similar funds be 
administratively offset in order to collect the debt (31 U.S.C. 3716 and 
the FCCS).
    (iii) Employees who transfer from one paying agency to another. If 
an employee transfers to a position served by a different paying agency 
subsequent to the creditor agency's debt claim but before complete 
collection, the paying agency from which the employee separates shall 
certify the total of collection made on the debt. One copy of the 
certification will be supplied to the employee, and another to the 
creditor agency with notice of the employee's transfer. The original 
shall be inserted in the employees official personnel folder. The 
creditor agency shall submit a properly certified claim to the new 
paying agency before collection can be resumed. The paying agency will 
then resume collection from the employee's current pay account, and

[[Page 127]]

notify the employee and the creditor agency of the resumption. The 
creditor agency will not need to repeat the due process procedure 
described by 5 U.S.C. 5514 and 5 CFR 550.1101 et seq.'' Upon settlement 
or repayment of the debt all records of the debt will be removed from 
official personnel records.
    (c) Processing the debt claim upon receipt by the paying agency:
    (1) Incomplete claims. If the paying agency receives an improperly 
completed debt certification, it shall return the request with a notice 
that procedures under 5 CFR 550.1101 et seq. and the creditor agency's 
own regulations must be completed and a properly completed debt 
certification form received before action will be taken to effect 
collection.
    (2) Complete claim. If the paying agency receives a properly 
completed debt form, deductions will begin prospectively at the next 
officially established pay interval. A copy of the debt form will be 
given to the debtor along with notice of the date deductions will 
commence.
    (3) The paying agency is not required or authorized to review the 
merits of the creditor agency's determination with respect to the amount 
or validity of the debt as stated in the debt claim.

[52 FR 43897, Nov. 17, 1987, as amended at 55 FR 3051, Jan. 30, 1990]



         Subpart D_Interest, Penalties, and Administrative Costs



Sec.  512.28  Assessment.

    (a) Except as provided in paragraph (h) of this section, or Sec.  
512.29, Broadcasting Board of Governors shall assess interest, 
penalties, and administrative costs on debts owed to the United States 
pursuant to 31 U.S.C. 3717. Before assessing these charges, Broadcasting 
Board of Governors will mail or hand deliver a written notice to the 
debtor. This notice will include a statement of the Board's requirements 
concerning Sec. Sec.  512.9 and 512.21.
    (b) Interest shall accrue from the date on which notice of the debt 
is first mailed or hand-delivered to the debtor, using the most current 
address available to the Board.
    (c) The rate of interest assessed shall be the rate of the current 
value of funds to the United States Treasury (i.e., the Treasury Tax and 
Loan account rate), as prescribed and published by the Secretary of the 
Treasury in the Federal Register and the Treasury Fiscal Requirements 
Manual Bulletins annually or quarterly, in accordance with 31 U.S.C. 
3717. The rate of interest as initially assessed shall remain fixed for 
the duration of the indebtedness. However, in cases where the debtor has 
defaulted on a repayment agreement and seeks a new agreement, 
Broadcasting Board of Governors may set a new rate which reflects the 
current value of funds to the Treasury at the time the agreement is 
executed. Interest will not be assessed on interest, penalties, or 
administrative costs required by this section.
    (d) Broadcasting Board of Governors shall assess charges to cover 
administrative costs incurred as a result of a delinquent debt. 
Calculation of administrative costs shall be based upon actual costs 
incurred. Administrative costs include costs incurred to obtain credit 
reports in the case of employee debt or in using a private debt 
collector in the case of non-employee debt.
    (e) Broadcasting Board of Governors shall assess a penalty charge 
not to exceed 6% per year on any portion of a debt that is delinquent 
for more than 90 days. This charge need not be calculated until the 91st 
day of delinquency, but shall accrue from the date that the debt became 
delinquent.
    (f) When a debt is paid in partial or installment payments, amounts 
received shall be applied first to the outstanding penalty and 
administrative cost charges, second to accrued interest and third to 
outstanding principal.
    (g) Broadcasting Board of Governors will waive the collection of 
interest on the debt or any portion of the debt that is paid within 30 
days after the date on which interest began to accrue. Broadcasting 
Board of Governors may extend this 30-day period, on a case-by-case 
basis, if it reasonably determines such action is appropriate. 
Broadcasting Board of Governors may also waive in whole or in part the 
collection of interest, penalties, and administrative costs

[[Page 128]]

assessed under this section per the criteria specified in part 103 of 
the Federal Claims Collection Standards (4 CFR part 103) relating to the 
compromise of claims or if the Board determines that collection of these 
charges is not in the best interest of the United States. Waiver under 
the first sentence of this paragraph is mandatory. Under the second and 
third sentences, it may be exercised under the following circumstances:
    (1) Waiver of interest pending consideration of a request for 
reconsideration, administrative review, or waiver of the underlying debt 
under a permissive statute, and
    (2) Waiver of interest where Broadcasting Board of Governors has 
accepted an installment plan under Sec.  512.12, there is no indication 
of fault or lack of good faith on the part of the debtor and the amount 
of the interest is large enough, in relation to the size of the 
installments that the debtor can reasonably afford to pay, that the debt 
will never be repaid.
    (h) Where a mandatory waiver or review statute applies, interest and 
related charges may not be assessed for those periods during which 
collection must be suspended under Sec.  104.2(c)(1) of the Federal 
Claims Collection Standards (4 CFR part 104).



Sec.  512.29  Exemptions.

    (a) The provisions of 31 U.S.C. 3717 do not apply--
    (1) To debts owned by any State or local government;
    (2) To debt arising under contracts which were executed prior to, 
and were in effect on October 25, 1982;
    (3) To debts where an applicable statute, loan agreement, or 
contract either prohibits such charges or explicitly fixes the charges 
that apply to the debts arising under the Social Security Act, the 
Internal Revenue Code of 1954, or the tariff laws of the United States.
    (b) However Broadcasting Board of Governors is authorized to assess 
interest and related charges on debts which are not subject to 31 U.S.C. 
3717 to the extent authorized under the common law or other applicable 
statutory authority.



PART 513_GOVERNMENT DEBARMENT AND SUSPENSION (NONPROCUREMENT) AND 
GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (GRANTS)-
-Table of Contents



                            Subpart A_General

Sec.
513.100 Purpose.
513.105 Definitions.
513.110 Coverage.
513.115 Policy.

                       Subpart B_Effect of Action

513.200 Debarment or suspension.
513.205 Ineligible persons.
513.210 Voluntary exclusion.
513.215 Exception provision.
513.220 Continuation of covered transactions.
513.225 Failure to adhere to restrictions.

                           Subpart C_Debarment

513.300 General.
513.305 Causes for debarment.
513.310 Procedures.
513.311 Investigation and referral.
513.312 Notice of proposed debarment.
513.313 Opportunity to contest proposed debarment.
513.314 Debarring official's decision.
513.315 Settlement and voluntary exclusion.
513.320 Period of debarment.
513.325 Scope of debarment.

                          Subpart D_Suspension

513.400 General.
513.405 Causes for suspension.
513.410 Procedures.
513.411 Notice of suspension.
513.412 Opportunity to contest suspension.
513.413 Suspending official's decision.
513.415 Period of suspension.
513.420 Scope of suspension.

        Subpart E_Responsibilities of GSA, Board and Participants

513.500 GSA responsibilities.
513.505 Broadcasting Board of Governors responsibilities.
513.510 Participants' responsibilities.

           Subpart F_Drug-Free Workplace Requirements (Grants)

513.600 Purpose.
513.605 Definitions.
513.610 Coverage.

[[Page 129]]

513.615 Grounds for suspension of payments, suspension or termination of 
          grants, or suspension or debarment.
513.620 Effect of violation.
513.625 Exception provision.
513.630 Certification requirements and procedures.
513.635 Reporting of and employee sanctions for convictions of criminal 
          drug offenses.

Appendix A to Part 513--Certification Regarding Debarment, Suspension, 
          and Other Responsibility Matters--Primary Covered Transactions
Appendix B to Part 513--Certification Regarding Debarment, Suspension, 
          Ineligibility and Voluntary Exclusion--Lower Tier Covered 
          Transactions
Appendix C to Part 513--Certification Regarding Drug-Free Workplace 
          Requirements

    Authority: 40 U.S.C. 486 (c); 41 U.S.C. 701 et seq.; Sec. 2455, Pub. 
L. 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note); E. O. 12549, 3 CFR, 
1986 Comp., p. 189; E.O. 12689, 3 CFR, 1989 comp., p. 235.

    Source: 53 FR 19179, 19204, May 26, 1988, unless otherwise noted.

    Cross Reference: See also Office of Management and Budget notice 
published at 55 FR 21679, May 25, 1990, and 60 FR 33036, June 26, 1995.



                            Subpart A_General



Sec.  513.100  Purpose.

    (a) Executive Order (E.O.) 12549 provides that, to the extent 
permitted by law, Executive departments and agencies shall participate 
in a governmentwide system for nonprocurement debarment and suspension. 
A person who is debarred or suspended shall be excluded from Federal 
financial and nonfinancial assistance and benefits under Federal 
programs and activities. Debarment or suspension of a participant in a 
program by one agency shall have governmentwide effect.
    (b) These regulations implement section 3 of E.O. 12549 and the 
guidelines promulgated by the Office of Management and Budget under 
section 6 of the E.O. by:
    (1) Prescribing the programs and activities that are covered by the 
governmentwide system;
    (2) Prescribing the governmentwide criteria and governmentwide 
minimum due process procedures that each agency shall use;
    (3) Providing for the listing of debarred and suspended 
participants, participants declared ineligible (see definition of 
``ineligible'' in Sec.  513.105), and participants who have voluntarily 
excluded themselves from participation in covered transactions;
    (4) Setting forth the consequences of a debarment, suspension, 
determination of ineligibility, or voluntary exclusion; and
    (5) Offering such other guidance as necessary for the effective 
implementation and administration of the governmentwide system.
    (c) These regulations also implement Executive Order 12689 (3 CFR, 
1989 Comp., p. 235) and 31 U.S.C. 6101 note (Public Law 103-355, sec. 
2455, 108 Stat. 3327) by--
    (1) Providing for the inclusion in the List of Parties Excluded from 
Federal Procurement and Nonprocurement Programs all persons proposed for 
debarment, debarred or suspended under the Federal Acquisition 
Regulation, 48 CFR Part 9, subpart 9.4; persons against which 
governmentwide exclusions have been entered under this part; and persons 
determined to be ineligible; and
    (2) Setting forth the consequences of a debarment, suspension, 
determination of ineligibility, or voluntary exclusion.
    (d) Although these regulations cover the listing of ineligible 
participants and the effect of such listing, they do not prescribe 
policies and procedures governing declarations of ineligibility.

[60 FR 33040, 33045, June 26, 1995]



Sec.  513.105  Definitions.

    The following definitions apply to this part:
    Adequate evidence. Information sufficient to support the reasonable 
belief that a particular act or omission has occurred.
    Affiliate. Persons are affiliates of each other if, directly or 
indirectly, either one controls or has the power to control the other, 
or, a third person controls or has the power to control both. Indicia of 
control include, but are not limited to: interlocking management or 
ownership, identity of interests among family members, shared facilities 
and equipment, common use of

[[Page 130]]

employees, or a business entity organized following the suspension or 
debarment of a person which has the same or similar management, 
ownership, or principal employees as the suspended, debarred, 
ineligible, or voluntarily excluded person.
    Agency. Any executive department, military department or defense 
agency or other agency of the executive branch, excluding the 
independent regulatory agencies.
    Civil judgment. The disposition of a civil action by any court of 
competent jurisdiction, whether entered by verdict, decision, 
settlement, stipulation, or otherwise creating a civil liability for the 
wrongful acts complained of; or a final determination of liability under 
the Program Fraud Civil Remedies Act of 1988 (31 U.S.C. 3801-12).
    Conviction. A judgment or conviction of a criminal offense by any 
court of competent jurisdiction, whether entered upon a verdict or a 
plea, including a plea of nolo contendere.
    Debarment. An action taken by a debarring official in accordance 
with these regulations to exclude a person from participating in covered 
transactions. A person so excluded is ``debarred.''
    Debarring official. An official authorized to impose debarment. The 
debarring official is either:
    (1) The agency head, or
    (2) An official designated by the agency head.
    Indictment. Indictment for a criminal offense. An information or 
other filing by competent authority charging a criminal offense shall be 
given the same effect as an indictment.
    Ineligible. Excluded from participation in Federal nonprocurement 
programs pursuant to a determination of ineligibility under statutory, 
executive order, or regulatory authority, other than Executive Order 
12549 and its agency implementing regulations; for exemple, excluded 
pursuant to the Davis-Bacon Act and its implementing regulations, the 
equal employment opportunity acts and executive orders, or the 
environmental protection acts and executive orders. A person is 
ineligible where the determination of ineligibility affects such 
person's eligibility to participate in more than one covered 
transaction.
    Legal proceedings. Any criminal proceeding or any civil judicial 
proceeding to which the Federal Government or a State or local 
government or quasi-governmental authority is a party. The term includes 
appeals from such proceedings.
    List of Parties Excluded from Federal Procurement and Nonprocurement 
Programs. A list compiled, maintained and distributed by the General 
Services Administration (GSA) containing the names and other information 
about persons who have been debarred, suspended, or voluntarily excluded 
under Executive Orders 12549 and 12689 and these regulations or 48 CFR 
part 9, subpart 9.4, persons who have been proposed for debarment under 
48 CFR part 9, subpart 9.4, and those persons who have been determined 
to be ineligible.
    Notice. A written communication served in person or sent by 
certified mail, return receipt requested, or its equivalent, to the last 
known address of a party, its identified counsel, its agent for service 
of process, or any partner, officer, director, owner, or joint venturer 
of the party. Notice, if undeliverable, shall be considered to have been 
received by the addressee five days after being properly sent to the 
last address known by the Board.
    Participant. Any person who submits a proposal for, enters into, or 
reasonably may be expected to enter into a covered transaction. This 
term also includes any person who acts on behalf of or is authorized to 
commit a participant in a covered transaction as an agent or 
representative of another participant.
    Person. Any individual, corporation, partnership, association, unit 
of government or legal entity, however organized, except: foreign 
governments or foreign governmental entities, public international 
organizations, foreign government owned (in whole or in part) or 
controlled entities, and entities consisting wholly or partially of 
foreign governments or foreign governmental entities.
    Preponderance of the evidence. Proof by information that, compared 
with

[[Page 131]]

that opposing it, leads to the conclusion that the fact at issue is more 
probably true than not.
    Principal. Officer, director, owner, partner, key employee, or other 
person within a participant with primary management or supervisory 
responsibilities; or a person who has a critical influence on or 
substantive control over a covered transaction, whether or not employed 
by the participant. Persons who have a critical influence on or 
substantive control over a covered transaction are:
    (1) Principal investigators.
    Proposal. A solicited or unsolicited bid, application, request, 
invitation to consider or similar communication by or on behalf of a 
person seeking to participate or to receive a benefit, directly or 
indirectly, in or under a covered transaction.
    Respondent. A person against whom a debarment or suspension action 
has been initiated.
    State. Any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, any territory or possession 
of the United States, or any agency of a State, exclusive of 
institutions of higher education, hospitals, and units of local 
government. A State instrumentality will be considered part of the State 
government if it has a written determination from a State government 
that such State considers that instrumentality to be an agency of the 
State government.
    Suspending official. An official authorized to impose suspension. 
The suspending official is either:
    (1) The agency head, or
    (2) An official designated by the agency head.
    Suspension. An action taken by a suspending official in accordance 
with these regulations that immediately excludes a person from 
participating in covered transactions for a temporary period, pending 
completion of an investigation and such legal, debarment, or Program 
Fraud Civil Remedies Act proceedings as may ensue. A person so excluded 
is ``suspended.''
    Voluntary exclusion or voluntarily excluded. A status of 
nonparticipation or limited participation in covered transactions 
assumed by a person pursuant to the terms of a settlement.
    Broadcasting Board of Governors.

[53 FR 19204, 19179, May 26, 1988, as amended at 60 FR 33041, 33045, 
June 26, 1995]



Sec.  513.110  Coverage.

    (a) These regulations apply to all persons who have participated, 
are currently participating or may reasonably be expected to participate 
in transactions under Federal nonprocurement programs. For purposes of 
these regulations such transactions will be referred to as ``covered 
transactions.''
    (1) Covered transaction. For purposes of these regulations, a 
covered transaction is a primary covered transaction or a lower tier 
covered transaction. Covered transactions at any tier need not involve 
the transfer of Federal funds.
    (i) Primary covered transaction. Except as noted in paragraph (a)(2) 
of this section, a primary covered transaction is any nonprocurement 
transaction between an agency and a person, regardless of type, 
including: grants, cooperative agreements, scholarships, fellowships, 
contracts of assistance, loans, loan guarantees, subsidies, insurance, 
payments for specified use, donation agreements and any other 
nonprocurement transactions between a Federal agency and a person. 
Primary covered transactions also include those transactions specially 
designated by the U.S. Department of Housing and Urban Development in 
such agency's regulations governing debarment and suspension.
    (ii) Lower tier covered transaction. A lower tier covered 
transaction is:
    (A) Any transaction between a participant and a person other than a 
procurement contract for goods or services, regardless of type, under a 
primary covered transaction.
    (B) Any procurement contract for goods or services between a 
participant and a person, regardless of type, expected to equal or 
exceed the Federal procurement small purchase threshold fixed at 10 
U.S.C. 2304(g) and 41 U.S.C. 253(g) (currently $25,000) under a primary 
covered transaction.
    (C) Any procurement contract for goods or services between a 
participant

[[Page 132]]

and a person under a covered transaction, regardless of amount, under 
which that person will have a critical influence on or substantive 
control over that covered transaction. Such persons are:
    (1) Principal investigators.
    (2) Providers of federally-required audit services.
    (2) Exceptions. The following transactions are not covered:
    (i) Statutory entitlements or mandatory awards (but not subtier 
awards thereunder which are not themselves mandatory), including 
deposited funds insured by the Federal Government;
    (ii) Direct awards to foreign governments or public international 
organizations, or transactions with foreign governments or foreign 
governmental entities, public international organizations, foreign 
government owned (in whole or in part) or controlled entities, entities 
consisting wholly or partially of foreign governments or foreign 
governmental entities;
    (iii) Benefits to an individual as a personal entitlement without 
regard to the individual's present responsibility (but benefits received 
in an individual's business capacity are not excepted);
    (iv) Federal employment;
    (v) Transactions pursuant to national or agency-recognized 
emergencies or disasters;
    (vi) Incidental benefits derived from ordinary governmental 
operations; and
    (vii) Other transactions where the application of these regulations 
would be prohibited by law.
    (b) Relationship to other sections. This section describes the types 
of transactions to which a debarment or suspension under the regulations 
will apply. Subpart B, ``Effect of Action,'' 513.200, ``Debarment or 
suspension,'' sets forth the consequences of a debarment or suspension. 
Those consequences would obtain only with respect to participants and 
principals in the covered transactions and activities described in 
513.110(a). Sections 513.325, ``Scope of debarment,'' and 513.420, 
``Scope of suspension,'' govern the extent to which a specific 
participant or organizational elements of a participant would be 
automatically included within a debarment or suspension action, and the 
conditions under which affiliates or persons associated with a 
participant may also be brought within the scope of the action.
    (c) Relationship to Federal procurement activities. In accordance 
with E.O. 12689 and section 2455 of Public Law 103-355, any debarment, 
suspension, proposed debarment or other governmentwide exclusion 
initiated under the Federal Acquisition Regulation (FAR) on or after 
August 25, 1995 shall be recognized by and effective for Executive 
Branch agencies and participants as an exclusion under this regulation. 
Similarly, any debarment, suspension or other governmentwide exclusion 
initiated under this regulation on or after August 25, 1995 shall be 
recognized by and effective for those agencies as a debarment or 
suspension under the FAR.

[53 FR 19179, 19204, May 26, 1988, as amended at 60 FR 33041, 33045, 
June 26, 1995]



Sec.  513.115  Policy.

    (a) In order to protect the public interest, it is the policy of the 
Federal Government to conduct business only with responsible persons. 
Debarment and suspension are discretionary actions that, taken in 
accordance with Executive Order 12549 and these regulations, are 
appropriate means to implement this policy.
    (b) Debarment and suspension are serious actions which shall be used 
only in the public interest and for the Federal Government's protection 
and not for purposes of punishment. Agencies may impose debarment or 
suspension for the causes and in accordance with the procedures set 
forth in these regulations.
    (c) When more than one agency has an interest in the proposed 
debarment or suspension of a person, consideration shall be given to 
designating one agency as the lead agency for making the decision. 
Agencies are encouraged to establish methods and procedures for 
coordinating their debarment or suspension actions.



                       Subpart B_Effect of Action



Sec.  513.200  Debarment or suspension.

    (a) Primary covered transactions. Except to the extent prohibited by 
law, persons who are debarred or suspended

[[Page 133]]

shall be excluded from primary covered transactions as either 
participants or principals throughout the Executive Branch of the 
Federal Government for the period of their debarment, suspension, or the 
period they are proposed for debarment under 48 CFR part 9, subpart 9.4. 
Accordingly, no agency shall enter into primary covered transactions 
with such excluded persons during such period, except as permitted 
pursuant to Sec.  513.215.
    (b) Lower tier covered transactions. Except to the extent prohibited 
by law, persons who have been proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred or suspended shall be excluded from 
participating as either participants or principals in all lower tier 
covered transactions (see Sec.  513.110(a)(1)(ii)) for the period of 
their exclusion.
    (c) Exceptions. Debarment or suspension does not affect a person's 
eligibility for--
    (1) Statutory entitlements or mandatory awards (but not subtier 
awards thereunder which are not themselves mandatory), including 
deposited funds insured by the Federal Government;
    (2) Direct awards to foreign governments or public international 
organizations, or transactions with foreign governments or foreign 
governmental entities, public international organizations, foreign 
government owned (in whole or in part) or controlled entities, and 
entities consisting wholly or partially of foreign governments or 
foreign governmental entities;
    (3) Benefits to an individual as a personal entitlement without 
regard to the individual's present responsibility (but benefits received 
in an individual's business capacity are not excepted);
    (4) Federal employment;
    (5) Transactions pursuant to national or agency-recognized 
emergencies or disasters;
    (6) Incidental benefits derived from ordinary governmental 
operations; and
    (7) Other transactions where the application of these regulations 
would be prohibited by law.

[60 FR 33041, 33045, June 26, 1995]



Sec.  513.205  Ineligible persons.

    Persons who are ineligible, as defined in Sec.  513.105(i), are 
excluded in accordance with the applicable statutory, executive order, 
or regulatory authority.



Sec.  513.210  Voluntary exclusion.

    Persons who accept voluntary exclusions under Sec.  513.315 are 
excluded in accordance with the terms of their settlements. Broadcasting 
Board of Governors shall, and participants may, contact the original 
action agency to ascertain the extent of the exclusion.



Sec.  513.215  Exception provision.

    may grant an exception permitting a debarred, suspended, or 
voluntarily excluded person, or a person proposed for debarment under 48 
CFR part 9, subpart 9.4, to participate in a particular covered 
transaction upon a written determination by the agency head or an 
authorized designee stating the reason(s) for deviating from the 
Presidential policy established by Executive Order 12549 and Sec.  
513.200. However, in accordance with the President's stated intention in 
the Executive Order, exceptions shall be granted only infrequently. 
Exceptions shall be reported in accordance with Sec.  513.505(a).

[60 FR 33041, 33045, June 26, 1995]



Sec.  513.220  Continuation of covered transactions.

    (a) Notwithstanding the debarment, suspension, proposed debarment 
under 48 CFR part 9, subpart 9.4, determination of ineligibility, or 
voluntary exclusion of any person by an agency, agencies and 
participants may continue covered transactions in existence at the time 
the person was debarred, suspended, proposed for debarment under 48 CFR 
part 9, subpart 9.4, declared ineligible, or voluntarily excluded. A 
decision as to the type of termination action, if any, to be taken 
should be made only after thorough review to ensure the propriety of the 
proposed action.
    (b) Agencies and participants shall not renew or extend covered 
transactions (other than no-cost time extensions) with any person who is 
debarred, suspended, proposed for debarment under 48 CFR part 9, subpart 
9.4, ineligible or voluntary excluded, except as provided in Sec.  
513.215.

[60 FR 33041, 33045, June 26, 1995]

[[Page 134]]



Sec.  513.225  Failure to adhere to restrictions.

    (a) Except as permitted under Sec.  513.215 or Sec.  513.220, a 
participant shall not knowingly do business under a covered transaction 
with a person who is--
    (1) Debarred or suspended;
    (2) Proposed for debarment under 48 CFR part 9, subpart 9.4; or
    (3) Ineligible for or voluntarily excluded from the covered 
transaction.
    (b) Violation of the restriction under paragraph (a) of this section 
may result in disallowance of costs, annulment or termination of award, 
issuance of a stop work order, debarment or suspension, or other 
remedies as appropriate.
    (c) A participant may rely upon the certification of a prospective 
participant in a lower tier covered transaction that it and its 
principals are not debarred, suspended, proposed for debarment under 48 
CFR part 9, subpart 9.4, ineligible, or voluntarily excluded from the 
covered transaction (See appendix B of these regulations), unless it 
knows that the certification is erroneous. An agency has the burden of 
proof that a participant did knowingly do business with a person that 
filed an erroneous certification.

[60 FR 33041, 33045, June 26, 1995]



                           Subpart C_Debarment



Sec.  513.300  General.

    The debarring official may debar a person for any of the causes in 
Sec.  513.30, using procedures established in Sec. Sec.  513.310 through 
513.314. The existence of a cause for debarment, however, does not 
necessarily require that the person be debarred; the seriousness of the 
person's acts or omissions and any mitigating factors shall be 
considered in making any debarment decision.



Sec.  513.305  Causes for debarment.

    Debarment may be imposed in accordance with the provisions of 
Sec. Sec.  513.300 through 513.314 for:
    (a) Conviction of or civil judgment for:
    (1) Commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public or private 
agreement or transaction;
    (2) Violation of Federal or State antitrust statutes, including 
those proscribing price fixing between competitors, allocation of 
customers between competitors, and bid rigging;
    (3) Commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, 
receiving stolen property, making false claims, or obstruction of 
justice; or
    (4) Commission of any other offense indicating a lack of business 
integrity or business honesty that seriously and directly affects the 
present responsibility of a person.
    (b) Violation of the terms of a public agreement or transaction so 
serious as to affect the integrity of an agency program, such as:
    (1) A willful failure to perform in accordance with the terms of one 
or more public agreements or transactions;
    (2) A history of failure to perform or of unsatisfactory performance 
of one or more public agreements or transactions; or
    (3) A willful violation of a statutory or regulatory provision or 
requirement applicable to a public agreement or transaction.
    (c) Any of the following causes:
    (1) A nonprocurement debarment by any Federal agency taken before 
October 1, 1988, the effective date of these regulations, or a 
procurement debarment by any Federal agency taken pursuant to 48 CFR 
subpart 9.4;
    (2) Knowingly doing business with a debarred, suspended, ineligible, 
or voluntarily excluded person, in connection with a covered 
transaction, except as permitted in Sec.  513.215 or Sec.  513.220;
    (3) Failure to pay a single substantial debt, or a number of 
outstanding debts (including disallowed costs and overpayments, but not 
including sums owed the Federal Government under the Internal Revenue 
Code) owed to any Federal agency or instrumentality, provided the debt 
is uncontested by the debtor or, if contested, provided that the 
debtor's legal and administrative remedies have been exhausted;

[[Page 135]]

    (4) Violation of a material provision of a voluntary exclusion 
agreement entered into under Sec.  513.315 or of any settlement of a 
debarment or suspension action; or
    (5) Violation of any requirement of subpart F of this part, relating 
to providing a drug-free workplace, as set forth in Sec.  513.615 of 
this part.
    (d) Any other cause of so serious or compelling a nature that it 
affects the present responsibility of a person.

[53 FR 19179, 19204, May 26, 1988, as amended at 54 FR 4950, 4955, Jan. 
31, 1989]



Sec.  513.310  Procedures.

    Broadcasting Board of Governors shall process debarment actions as 
informally as practicable, consistent with the principles of fundamental 
fairness, using the procedures in Sec. Sec.  513.311 through 513.314.



Sec.  513.311  Investigation and referral.

    Information concerning the existence of a cause for debarment from 
any source shall be promptly reported, investigated, and referred, when 
appropriate, to the debarring official for consideration. After 
consideration, the debarring official may issue a notice of proposed 
debarment.



Sec.  513.312  Notice of proposed debarment.

    A debarment proceeding shall be initiated by notice to the 
respondent advising:
    (a) That debarment is being considered;
    (b) Of the reasons for the proposed debarment in terms sufficient to 
put the respondent on notice of the conduct or transaction(s) upon which 
it is based;
    (c) Of the cause(s) relied upon under Sec.  513.305 for proposing 
debarment;
    (d) Of the provisions of Sec.  513.311 through Sec.  513.314, and 
any other Broadcasting Board of Governors procedures, if applicable, 
governing debarment decisionmaking; and
    (e) Of the potential effect of a debarment.



Sec.  513.313  Opportunity to contest proposed debarment.

    (a) Submission in opposition. Within 30 days after receipt of the 
notice of proposed debarment, the respondent may submit, in person, in 
writing, or through a representative, information and argument in 
opposition to the proposed debarment.
    (b) Additional proceedings as to disputed material facts. (1) In 
actions not based upon a conviction or civil judgment, if the debarring 
official finds that the respondent's submission in opposition raises a 
genuine dispute over facts material to the proposed debarment, 
respondent(s) shall be afforded an opportunity to appear with a 
representative, submit documentary evidence, present witnesses, and 
confront any witness the agency presents.
    (2) A transcribed record of any additional proceedings shall be made 
available at cost to the respondent, upon request, unless the respondent 
and the agency, by mutual agreement, waive the requirement for a 
transcript.



Sec.  513.314  Debarring official's decision.

    (a) No additional proceedings necessary. In actions based upon a 
conviction or civil judgment, or in which there is no genuine dispute 
over material facts, the debarring official shall make a decision on the 
basis of all the information in the administrative record, including any 
submission made by the respondent. The decision shall be made within 45 
days after receipt of any information and argument submitted by the 
respondent, unless the debarring official extends this period for good 
cause.
    (b) Additional proceedings necessary. (1) In actions in which 
additional proceedings are necessary to determine disputed material 
facts, written findings of fact shall be prepared. The debarring 
official shall base the decision on the facts as found, together with 
any information and argument submitted by the respondent and any other 
information in the administrative record.
    (2) The debarring official may refer disputed material facts to 
another official for findings of fact. The debarring official may reject 
any such findings, in whole or in part, only after specifically 
determining them to be arbitrary and capricious or clearly erroneous.
    (3) The debarring official's decision shall be made after the 
conclusion of

[[Page 136]]

the proceedings with respect to disputed facts.
    (c)(1) Standard of proof. In any debarment action, the cause for 
debarment must be established by a preponderance of the evidence. Where 
the proposed debarment is based upon a conviction or civil judgment, the 
standard shall be deemed to have been met.
    (2) Burden of proof. The burden of proof is on the agency proposing 
debarment.
    (d) Notice of debarring official's decision. (1) If the debarring 
official decides to impose debarment, the respondent shall be given 
prompt notice:
    (i) Referring to the notice of proposed debarment;
    (ii) Specifying the reasons for debarment;
    (iii) Stating the period of debarment, including effective dates; 
and
    (iv) Advising that the debarment is effective for covered 
transactions throughout the executive branch of the Federal Government 
unless an agency head or an authorized designee makes the determination 
referred to in Sec.  513.215.
    (2) If the debarring official decides not to impose debarment, the 
respondent shall be given prompt notice of that decision. A decision not 
to impose debarment shall be without prejudice to a subsequent 
imposition of debarment by any other agency.



Sec.  513.315  Settlement and voluntary exclusion.

    (a) When in the best interest of the Government, Broadcasting Board 
of Governors may, at any time, settle a debarment or suspension action.
    (b) If a participant and the Board agree to a voluntary exclusion of 
the participant, such voluntary exclusion shall be entered on the 
Nonprocurement List (see subpart E).



Sec.  513.320  Period of debarment.

    (a) Debarment shall be for a period commensurate with the 
seriousness of the cause(s). If a suspension precedes a debarment, the 
suspension period shall be considered in determining the debarment 
period.
    (1) Debarment for causes other than those related to a violation of 
the requirements of subpart F of this part generally should not exceed 
three years. Where circumstances warrant, a longer period of debarment 
may be imposed.
    (2) In the case of a debarment for a violation of the requirements 
of subpart F of this part (see 513.305(c)(5)), the period of debarment 
shall not exceed five years.
    (b) The debarring official may extend an existing debarment for an 
additional period, if that official determines that an extension is 
necessary to protect the public interest. However, a debarment may not 
be extended solely on the basis of the facts and circumstances upon 
which the initial debarment action was based. If debarment for an 
additional period is determined to be necessary, the procedures of 
Sec. Sec.  513.311 through 513.314 shall be followed to extend the 
debarment.
    (c) The respondent may request the debarring official to reverse the 
debarment decision or to reduce the period or scope of debarment. Such a 
request shall be in writing and supported by documentation. The 
debarring official may grant such a request for reasons including, but 
not limited to:
    (1) Newly discovered material evidence;
    (2) Reversal of the conviction or civil judgment upon which the 
debarment was based;
    (3) Bona fide change in ownership or management;
    (4) Elimination of other causes for which the debarment was imposed; 
or
    (5) Other reasons the debarring official deems appropriate.

[53 FR 19179, 19204, May 26, 1988, as amended at 54 FR 4950, 4955, Jan. 
31, 1989]



Sec.  513.325  Scope of debarment.

    (a) Scope in general. (1) Debarment of a person under these 
regulations constitutes debarment of all its divisions and other 
organizational elements from all covered transactions, unless the 
debarment decision is limited by its terms to one or more specifically 
identified individuals, divisions or other organizational elements or to 
specific types of transactions.
    (2) The debarment action may include any affiliate of the 
participant that is specifically named and given notice of the proposed 
debarment and

[[Page 137]]

an opportunity to respond (see Sec. Sec.  513.311 through 513.314).
    (b) Imputing conduct. For purposes of determining the scope of 
debarment, conduct may be imputed as follows:
    (1) Conduct imputed to participant. The fraudulent, criminal or 
other seriously improper conduct of any officer, director, shareholder, 
partner, employee, or other individual associated with a participant may 
be imputed to the participant when the conduct occurred in connection 
with the individual's performance of duties for or on behalf of the 
participant, or with the participant's knowledge, approval, or 
acquiescence. The participant's acceptance of the benefits derived from 
the conduct shall be evidence of such knowledge, approval, or 
acquiescence.
    (2) Conduct imputed to individuals associated with participant. The 
fraudulent, criminal, or other seriously improper conduct of a 
participant may be imputed to any officer, director, shareholder, 
partner, employee, or other individual associated with the participant 
who participated in, knew of, or had reason to know of the participant's 
conduct.
    (3) Conduct of one participant imputed to other participants in a 
joint venture. The fraudulent, criminal, or other seriously improper 
conduct of one participant in a joint venture, grant pursuant to a joint 
application, or similar arrangement may be imputed to other participants 
if the conduct occurred for or on behalf of the joint venture, grant 
pursuant to a joint application, or similar arrangement may be imputed 
to other participants if the conduct occurred for or on behalf of the 
joint venture, grant pursuant to a joint application, or similar 
arrangement or with the knowledge, approval, or acquiescence of these 
participants. Acceptance of the benefits derived from the conduct shall 
be evidence of such knowledge, approval, or acquiescence.



                          Subpart D_Suspension



Sec.  513.400  General.

    (a) The suspending official may suspend a person for any of the 
causes in Sec.  513.405 using procedures established in Sec. Sec.  
513.410 through 513.413.
    (b) Suspension is a serious action to be imposed only when:
    (1) There exists adequate evidence of one or more of the causes set 
out in Sec.  513.405, and
    (2) Immediate action is necessary to protect the public interest.
    (c) In assessing the adequacy of the evidence, the Board should 
consider how much information is available, how credible it is given the 
circumstances, whether or not important allegations are corroborated, 
and what inferences can reasonably be drawn as a result. This assessment 
should include an examination of basic documents such as grants, 
cooperative agreements, loan authorizations, and contracts.



Sec.  513.405  Causes for suspension.

    (a) Suspension may be imposed in accordance with the provisions of 
Sec. Sec.  513.400 through 513.413 upon adequate evidence:
    (1) To suspect the commission of an offense listed in Sec.  
513.305(a); or
    (2) That a cause for debarment under Sec.  513.305 may exist.
    (b) Indictment shall constitute adequate evidence for purposes of 
suspension actions.



Sec.  513.410  Procedures.

    (a) Investigation and referral. Information concerning the existence 
of a cause for suspension from any source shall be promptly reported, 
investigated, and referred, when appropriate, to the suspending official 
for consideration. After consideration, the suspending official may 
issue a notice of suspension.
    (b) Decisionmaking process. Broadcasting Board of Governors shall 
process suspension actions as informally as practicable, consistent with 
principles of fundamental fairness, using the procedures in Sec.  
513.411 through Sec.  513.413.



Sec.  513.411  Notice of suspension.

    When a respondent is suspended, notice shall immediately be given:
    (a) That suspension has been imposed;
    (b) That the suspension is based on an indictment, conviction, or 
other adequate evidence that the respondent has committed irregularities 
seriously

[[Page 138]]

reflecting on the propriety of further Federal Government dealings with 
the respondent;
    (c) Describing any such irregularities in terms sufficient to put 
the respondent on notice without disclosing the Federal Government's 
evidence;
    (d) Of the cause(s) relied upon under Sec.  513.405 for imposing 
suspension;
    (e) That the suspension is for a temporary period pending the 
completion of an investigation or ensuing legal, debarment, or Program 
Fraud Civil Remedies Act proceedings;
    (f) Of the provisions of Sec.  513.411 through Sec.  513.413 and any 
other Broadcasting Board of Governors procedures, if applicable, 
governing suspension decisionmaking; and
    (g) Of the effect of the suspension.



Sec.  513.412  Opportunity to contest suspension.

    (a) Submission in opposition. Within 30 days after receipt of the 
notice of suspension, the respondent may submit, in person, in writing, 
or through a representative, information and argument in opposition to 
the suspension.
    (b) Additional proceedings as to disputed material facts. (1) If the 
suspending official finds that the respondent's submission in opposition 
raises a genuine dispute over facts material to the suspension, 
respondent(s) shall be afforded an opportunity to appear with a 
representative, submit documentary evidence, present witnesses, and 
confront any witness the Board presents, unless:
    (i) The action is based on an indictment, conviction or civil 
judgment, or
    (ii) A determination is made, on the basis of Department of Justice 
advice, that the substantial interests of the Federal Government in 
pending or contemplated legal proceedings based on the same facts as the 
suspension would be prejudiced.
    (2) A transcribed record of any additional proceedings shall be 
prepared and made available at cost to the respondent, upon request, 
unless the respondent and the Board, by mutual agreement, waive the 
requirement for a transcript.



Sec.  513.413  Suspending official's decision.

    The suspending official may modify or terminate the suspension (for 
example, see Sec.  513.320(c) for reasons for reducing the period or 
scope of debarment) or may leave it in force. However, a decision to 
modify or terminate the suspension shall be without prejudice to the 
subsequent imposition of suspension by any other agency or debarment by 
any agency. The decision shall be rendered in accordance with the 
following provisions:
    (a) No additional proceedings necessary. In actions: based on an 
indictment, conviction, or civil judgment; in which there is no genuine 
dispute over material facts; or in which additional proceedings to 
determine disputed material facts have been denied on the basis of 
Department of Justice advice, the suspending official shall make a 
decision on the basis of all the information in the administrative 
record, including any submission made by the respondent. The decision 
shall be made within 45 days after receipt of any information and 
argument submitted by the respondent, unless the suspending official 
extends this period for good cause.
    (b) Additional proceedings necessary. (1) In actions in which 
additional proceedings are necessary to determine disputed material 
facts, written findings of fact shall be prepared. The suspending 
official shall base the decision on the facts as found, together with 
any information and argument submitted by the respondent and any other 
information in the administrative record.
    (2) The suspending official may refer matters involving disputed 
material facts to another official for findings of fact. The suspending 
official may reject any such findings, in whole or in part, only after 
specifically determining them to be arbitrary or capricious or clearly 
erroneous.
    (c) Notice of suspending official's decision. Prompt written notice 
of the suspending official's decision shall be sent to the respondent.



Sec.  513.415  Period of suspension.

    (a) Suspension shall be for a temporary period pending the 
completion

[[Page 139]]

of an investigation or ensuing legal, debarment, or Program Fraud Civil 
Remedies Act proceedings, unless terminated sooner by the suspending 
official or as provided in paragraph (b) of this section.
    (b) If legal or administrative proceedings are not initiated within 
12 months after the date of the suspension notice, the suspension shall 
be terminated unless an Assistant Attorney General or United States 
Attorney requests its extension in writing, in which case it may be 
extended for an additional six months. In no event may a suspension 
extend beyond 18 months, unless such proceedings have been initiated 
within that period.
    (c) The suspending official shall notify the Department of Justice 
of an impending termination of a suspension, at least 30 days before the 
12-month period expires, to give that Department an opportunity to 
request an extension.



Sec.  513.420  Scope of suspension.

    The scope of a suspension is the same as the scope of a debarment 
(see Sec.  513.325), except that the procedures of Sec. Sec.  513.410 
through 513.413 shall be used in imposing a suspension.



        Subpart E_Responsibilities of GSA, Board and Participants



Sec.  513.500  GSA responsibilities.

    (a) In accordance with the OMB guidelines, GSA shall compile, 
maintain, and distribute a list of all persons who have been debarred, 
suspended, or voluntarily excluded by agencies under Executive Order 
12549 and these regulations, and those who have been determined to be 
ineligible.
    (b) At a minimum, this list shall indicate:
    (1) The names and addresses of all debarred, suspended, ineligible, 
and voluntarily excluded persons, in alphabetical order, with cross-
references when more than one name is involved in a single action;
    (2) The type of action;
    (3) The cause for the action;
    (4) The scope of the action;
    (5) Any termination date for each listing; and
    (6) The agency and name and telephone number of the agency point of 
contact for the action.



Sec.  513.505  Broadcasting Board of Governors responsibilities.

    (a) The Board shall provide GSA with current information concerning 
debarments, suspension, determinations of ineligibility, and voluntary 
exclusions it has taken. Until February 18, 1989, the Board shall also 
provide GSA and OMB with information concerning all transactions in 
which Broadcasting Board of Governors has granted exceptions under Sec.  
513.215 permitting participation by debarred, suspended, or voluntarily 
excluded persons.
    (b) Unless an alternative schedule is agreed to by GSA, the Board 
shall advise GSA of the information set forth in Sec.  513.500(b) and of 
the exceptions granted under Sec.  513.215 within five working days 
after taking such actions.
    (c) The Board shall direct inquiries concerning listed persons to 
the agency that took the action.
    (d) Board officials shall check the Nonprocurement List before 
entering covered transactions to determine whether a participant in a 
primary transaction is debarred, suspended, ineligible, or voluntarily 
excluded (Tel. ).
    (e) Board officials shall check the Nonprocurement List before 
approving principals or lower tier participants where Board approval of 
the principal or lower tier participant is required under the terms of 
the transaction, to determine whether such principals or participants 
are debarred, suspended, ineligible, or voluntarily excluded.



Sec.  513.510  Participants' responsibilities.

    (a) Certification by participants in primary covered transactions. 
Each participant shall submit the certification in appendix A to this 
part for it and its principals at the time the participant submits its 
proposal in connection with a primary covered transaction, except that 
States need only complete such certification as to their principals. 
Participants may decide the method and frequency by which they determine 
the eligibility of their principals. In

[[Page 140]]

addition, each participant may, but is not required to, check the 
Nonprocurement List for its principals (Tel. ). Adverse information on 
the certification will not necessarily result in denial of 
participation. However, the certification, and any additional 
information pertaining to the certification submitted by the 
participant, shall be considered in the administration of covered 
transactions.
    (b) Certification by participants in lower tier covered 
transactions. (1) Each participant shall require participants in lower 
tier covered transactions to include the certification in appendix B to 
this part for it and its principals in any proposal submitted in 
connection with such lower tier covered transactions.
    (2) A participant may rely upon the certification of a prospective 
participant in a lower tier covered transaction that it and its 
principals are not debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction by any Federal agency, unless it 
knows that the certification is erroneous. Participants may decide the 
method and frequency by which they determine the eligiblity of their 
principals. In addition, a participant may, but is not required to, 
check the Nonprocurement List for its principals and for participants 
(Tel. ).
    (c) Changed circumstances regarding certification. A participant 
shall provide immediate written notice to Broadcasting Board of 
Governors if at any time the participant learns that its certification 
was erroneous when submitted or has become erroneous by reason of 
changed circumstances. Participants in lower tier covered transactions 
shall provide the same updated notice to the participant to which it 
submitted its proposals.



           Subpart F_Drug-Free Workplace Requirements (Grants)

    Source: 55 FR 21688, 21694, May 25, 1990, unless otherwise noted.



Sec.  513.600  Purpose.

    (a) The purpose of this subpart is to carry out the Drug-Free 
Workplace Act of 1988 by requiring that--
    (1) A grantee, other than an individual, shall certify to the Board 
that it will provide a drug-free workplace;
    (2) A grantee who is an individual shall certify to the Board that, 
as a condition of the grant, he or she will not engage in the unlawful 
manufacture, distribution, dispensing, possession or use of a controlled 
substance in conducting any activity with the grant.
    (b) Requirements implementing the Drug-Free Workplace Act of 1988 
for contractors with the Board are found at 48 CFR subparts 9.4, 23.5, 
and 52.2.



Sec.  513.605  Definitions.

    (a) Except as amended in this section, the definitions of Sec.  
513.105 apply to this subpart.
    (b) For purposes of this subpart--
    (1) Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15;
    (2) Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes;
    (3) Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    (4) Drug-free workplace means a site for the performance of work 
done in connection with a specific grant at which employees of the 
grantee are prohibited from engaging in the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance;
    (5) Employee means the employee of a grantee directly engaged in the 
performance of work under the grant, including:
    (i) All direct charge employees;
    (ii) All indirect charge employees, unless their impact or 
involvement is insignificant to the performance of the grant; and,
    (iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the

[[Page 141]]

grant and who are on the grantee's payroll.


This definition does not include workers not on the payroll of the 
grantee (e.g., volunteers, even if used to meet a matching requirement; 
consultants or independent contractors not on the payroll; or employees 
of subrecipients or subcontractors in covered workplaces);
    (6) Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency;
    (7) Grant means an award of financial assistance, including a 
cooperative agreement, in the form of money, or property in lieu of 
money, by a Federal agency directly to a grantee. The term grant 
includes block grant and entitlement grant programs, whether or not 
exempted from coverage under the grants management government-wide 
common rule on uniform administrative requirements for grants and 
cooperative agreements. The term does not include technical assistance 
that provides services instead of money, or other assistance in the form 
of loans, loan guarantees, interest subsidies, insurance, or direct 
appropriations; or any veterans' benefits to individuals, i.e., any 
benefit to veterans, their families, or survivors by virtue of the 
service of a veteran in the Armed Forces of the United States;
    (8) Grantee means a person who applies for or receives a grant 
directly from a Federal agency (except another Federal agency);
    (9) Individual means a natural person;
    (10) State means any of the States of the United States, the 
District of Columbia, the Commonwealth of Puerto Rico, any territory or 
possession of the United States, or any agency of a State, exclusive of 
institutions of higher education, hospitals, and units of local 
government. A State instrumentality will be considered part of the State 
government if it has a written determination from a State government 
that such State considers the instrumentality to be an agency of the 
State government.



Sec.  513.610  Coverage.

    (a) This subpart applies to any grantee of the Board.
    (b) This subpart applies to any grant, except where application of 
this subpart would be inconsistent with the international obligations of 
the United States or the laws or regulations of a foreign government. A 
determination of such inconsistency may be made only by the Board head 
or his/her designee.
    (c) The provisions of subparts A, B, C, D and E of this part apply 
to matters covered by this subpart, except where specifically modified 
by this subpart. In the event of any conflict between provisions of this 
subpart and other provisions of this part, the provisions of this 
subpart are deemed to control with respect to the implementation of 
drug-free workplace requirements concerning grants.



Sec.  513.615  Grounds for suspension of payments, suspension or 
termination of grants, or suspension or debarment.

    A grantee shall be deemed in violation of the requirements of this 
subpart if the Board head or his or her official designee determines, in 
writing, that--
    (a) The grantee has made a false certification under Sec.  513.630;
    (b) With respect to a grantee other than an individual--
    (1) The grantee has violated the certification by failing to carry 
out the requirements of paragraphs (A)(a)-(g) and/or (B) of the 
certification (Alternate I to appendix C) or
    (2) Such a number of employees of the grantee have been convicted of 
violations of criminal drug statutes for violations occurring in the 
workplace as to indicate that the grantee has failed to make a good 
faith effort to provide a drug-free workplace.
    (c) With respect to a grantee who is an individual--
    (1) The grantee has violated the certification by failing to carry 
out its requirements (Alternate II to appendix C); or

[[Page 142]]

    (2) The grantee is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any grant activity.



Sec.  513.620  Effect of violation.

    (a) In the event of a violation of this subpart as provided in Sec.  
513.615, and in accordance with applicable law, the grantee shall be 
subject to one or more of the following actions:
    (1) Suspension of payments under the grant;
    (2) Suspension or termination of the grant; and
    (3) Suspension or debarment of the grantee under the provisions of 
this part.
    (b) Upon issuance of any final decision under this part requiring 
debarment of a grantee, the debarred grantee shall be ineligible for 
award of any grant from any Federal agency for a period specified in the 
decision, not to exceed five years (see Sec.  513.320(a)(2) of this 
part).



Sec.  513.625  Exception provision.

    The Board head may waive with respect to a particular grant, in 
writing, a suspension of payments under a grant, suspension or 
termination of a grant, or suspension or debarment of a grantee if the 
Board head determines that such a waiver would be in the public 
interest. This exception authority cannot be delegated to any other 
official.



Sec.  513.630  Certification requirements and procedures.

    (a)(1) As a prior condition of being awarded a grant, each grantee 
shall make the appropriate certification to the Federal agency providing 
the grant, as provided in appendix C to this part.
    (2) Grantees are not required to make a certification in order to 
continue receiving funds under a grant awarded before March 18, 1989, or 
under a no-cost time extension of such a grant. However, the grantee 
shall make a one-time drug-free workplace certification for a non-
automatic continuation of such a grant made on or after March 18, 1989.
    (b) Except as provided in this section, all grantees shall make the 
required certification for each grant. For mandatory formula grants and 
entitlements that have no application process, grantees shall submit a 
one-time certification in order to continue receiving awards.
    (c) A grantee that is a State may elect to make one certification in 
each Federal fiscal year. States that previously submitted an annual 
certification are not required to make a certification for Fiscal Year 
1990 until June 30, 1990. Except as provided in paragraph (d) of this 
section, this certification shall cover all grants to all State agencies 
from any Federal agency. The State shall retain the original of this 
statewide certification in its Governor's office and, prior to grant 
award, shall ensure that a copy is submitted individually with respect 
to each grant, unless the Federal agency has designated a central 
location for submission.
    (d)(1) The Governor of a State may exclude certain State agencies 
from the statewide certification and authorize these agencies to submit 
their own certifications to Federal agencies. The statewide 
certification shall name any State agencies so excluded.
    (2) A State agency to which the statewide certification does not 
apply, or a State agency in a State that does not have a statewide 
certification, may elect to make one certification in each Federal 
fiscal year. State agencies that previously submitted a State agency 
certification are not required to make a certification for Fiscal Year 
1990 until June 30, 1990. The State agency shall retain the original of 
this State agency-wide certification in its central office and, prior to 
grant award, shall ensure that a copy is submitted individually with 
respect to each grant, unless the Federal agency designates a central 
location for submission.
    (3) When the work of a grant is done by more than one State agency, 
the certification of the State agency directly receiving the grant shall 
be deemed to certify compliance for all workplaces, including those 
located in other State agencies.
    (e)(1) For a grant of less than 30 days performance duration, 
grantees shall have this policy statement and program in place as soon 
as possible, but

[[Page 143]]

in any case by a date prior to the date on which performance is expected 
to be completed.
    (2) For a grant of 30 days or more performance duration, grantees 
shall have this policy statement and program in place within 30 days 
after award.
    (3) Where extraordinary circumstances warrant for a specific grant, 
the grant officer may determine a different date on which the policy 
statement and program shall be in place.



Sec.  513.635  Reporting of and employee sanctions for convictions of 
criminal drug offenses.

    (a) When a grantee other than an individual is notified that an 
employee has been convicted for a violation of a criminal drug statute 
occurring in the workplace, it shall take the following actions:
    (1) Within 10 calendar days of receiving notice of the conviction, 
the grantee shall provide written notice, including the convicted 
employee's position title, to every grant officer, or other designee on 
whose grant activity the convicted employee was working, unless a 
Federal agency has designated a central point for the receipt of such 
notifications. Notification shall include the identification number(s) 
for each of the Federal agency's affected grants.
    (2) Within 30 calendar days of receiving notice of the conviction, 
the grantee shall do the following with respect to the employee who was 
convicted.
    (i) Take appropriate personnel action against the employee, up to 
and including termination, consistent with requirements of the 
Rehabilitation Act of 1973, as amended; or
    (ii) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes by 
a Federal, State, or local health, law enforcement, or other appropriate 
agency.
    (b) A grantee who is an individual who is convicted for a violation 
of a criminal drug statute occurring during the conduct of any grant 
activity shall report the conviction, in writing, within 10 calendar 
days, to his or her Federal agency grant officer, or other designee, 
unless the Federal agency has designated a central point for the receipt 
of such notices. Notification shall include the identification number(s) 
for each of the Federal agency's affected grants.

(Approved by the Office of Management and Budget under control number 
0991-0002)



    Sec. Appendix A to Part 513--Certification Regarding Debarment, 
     Suspension, and Other Responsibility Matters--Primary Covered 
                              Transactions

                     Instructions for Certification

    1. By signing and submitting this proposal, the prospective primary 
participant is providing the certification set out below.
    2. The inability of a person to provide the certification required 
below will not necessarily result in denial of participation in this 
covered transaction. The prospective participant shall submit an 
explanation of why it cannot provide the certification set out below. 
The certification or explanation will be considered in connection with 
the department or Board's determination whether to enter into this 
transaction. However, failure of the prospective primary participant to 
furnish a certification or an explanation shall disqualify such person 
from participation in this transaction.
    3. The certification in this clause is a material representation of 
fact upon which reliance was placed when the department or Board 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an erroneous 
certification, in addition to other remedies available to the Federal 
Government, the department or Board may terminate this transaction for 
cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or Board to which this proposal is 
submitted if at any time the prospective primary participant learns that 
its certification was erroneous when submitted or has become erroneous 
by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meanings set out in the Definitions and Coverage 
sections of the rules implementing Executive Order 12549. You may 
contact the department or Board to which this proposal is being 
submitted for assistance in obtaining a copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered into, 
it shall not knowingly enter

[[Page 144]]

into any lower tier covered transaction with a person who is proposed 
for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in this 
covered transaction, unless authorized by the department or Board 
entering into this transaction.
    7. The prospective primary participant further agrees by submitting 
this proposal that it will include the clause titled ``Certification 
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-
Lower Tier Covered Transaction,'' provided by the department or Board 
entering into this covered transaction, without modification, in all 
lower tier covered transactions and in all solicitations for lower tier 
covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded 
from the covered transaction, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which it 
determines the eligibility of its principals. Each participant may, but 
is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    9. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and information 
of a participant is not required to exceed that which is normally 
possessed by a prudent person in the ordinary course of business 
dealings.
    10. Except for transactions authorized under paragraph 6 of these 
instructions, if a participant in a covered transaction knowingly enters 
into a lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, 
ineligible, or voluntarily excluded from participation in this 
transaction, in addition to other remedies available to the Federal 
Government, the department or Board may terminate this transaction for 
cause or default.

Certification Regarding Debarment, Suspension, and Other Responsibility 
                  Matters--Primary Covered Transactions

    (1) The prospective primary participant certifies to the best of its 
knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, or voluntarily excluded by any Federal department 
or Board;
    (b) Have not within a three-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with obtaining, 
attempting to obtain, or performing a public (Federal, State or local) 
transaction or contract under a public transaction; violation of Federal 
or State antitrust statutes or commission of embezzlement, theft, 
forgery, bribery, falsification or destruction of records, making false 
statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) with 
commission of any of the offenses enumerated in paragraph (1)(b) of this 
certification; and
    (d) Have not within a three-year period preceding this application/
proposal had one or more public transactions (Federal, State or local) 
terminated for cause or default.
    (2) Where the prospective primary participant is unable to certify 
to any of the statements in this certification, such prospective 
participant shall attach an explanation to this proposal.

[60 FR 33042, 33045, June 26, 1995]



    Sec. Appendix B to Part 513--Certification Regarding Debarment, 
 Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered 
                              Transactions

                     Instructions for Certification

    1. By signing and submitting this proposal, the prospective lower 
tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation of 
fact upon which reliance was placed when this transaction was entered 
into. If it is later determined that the prospective lower tier 
participant knowingly rendered an erroneous certification, in addition 
to other remedies available to the Federal Government the department or 
Board with which this transaction originated may pursue available 
remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide immediate 
written notice to the person to which this proposal is submitted if at 
any time the prospective lower tier participant learns that its 
certification was erroneous when submitted or had become erroneous by 
reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meaning set out in the Definitions and

[[Page 145]]

Coverage sections of rules implementing Executive Order 12549. You may 
contact the person to which this proposal is submitted for assistance in 
obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered into, 
it shall not knowingly enter into any lower tier covered transaction 
with a person who is proposed for debarment under 48 CFR part 9, subpart 
9.4, debarred, suspended, declared ineligible, or voluntarily excluded 
from participation in this covered transaction, unless authorized by the 
department or Board with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded 
from covered transactions, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which it 
determines the eligibility of its principals. Each participant may, but 
is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    8. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and information 
of a participant is not required to exceed that which is normally 
possessed by a prudent person in the ordinary course of business 
dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly enters 
into a lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, 
ineligible, or voluntarily excluded from participation in this 
transaction, in addition to other remedies available to the Federal 
Government, the department or Board with which this transaction 
originated may pursue available remedies, including suspension and/or 
debarment.

    Certification Regarding Debarment, Suspension, Ineligibility an 
          Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by submission 
of this proposal, that neither it nor its principals is presently 
debarred, suspended, proposed for debarment, declared ineligible, or 
voluntarily excluded from participation in this transaction by any 
Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such prospective 
participant shall attach an explanation to this proposal.

[60 FR 33042, 33045, June 26, 1995]



Sec. Appendix C to Part 513--Certification Regarding Drug-Free Workplace 
                              Requirements

                     Instructions for Certification

    1. By signing and/or submitting this application or grant agreement, 
the grantee is providing the certification set out below.
    2. The certification set out below is a material representation of 
fact upon which reliance is placed when the Board awards the grant. If 
it is later determined that the grantee knowingly rendered a false 
certification, or otherwise violates the requirements of the Drug-Free 
Workplace Act, the Board, in addition to any other remedies available to 
the Federal Government, may take action authorized under the Drug-Free 
Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not identify 
the workplaces at the time of application, or upon award, if there is no 
application, the grantee must keep the identity of the workplace(s) on 
file in its office and make the information available for Federal 
inspection. Failure to identify all known workplaces constitutes a 
violation of the grantee's drug-free workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under the 
grant takes place. Categorical descriptions may be used (e.g., all 
vehicles of a mass transit authority or State highway department while 
in operation, State employees in each local unemployment office, 
performers in concert halls or radio studios).
    7. If the workplace identified to the Board changes during the 
performance of the grant, the grantee shall inform the Board of the

[[Page 146]]

change(s), if it previously identified the workplaces in question (see 
paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to this 
certification. Grantees' attention is called, in particular, to the 
following definitions from these rules:
    Controlled substance means a controlled substance in Schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant; and, (iii) 
Temporary personnel and consultants who are directly engaged in the 
performance of work under the grant and who are on the grantee's 
payroll. This definition does not include workers not on the payroll of 
the grantee (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the grantee's 
payroll; or employees of subrecipients or subcontractors in covered 
workplaces.

        Certification Regarding Drug-Free Workplace Requirements

             Alternate I. (Grantees Other Than Individuals)

    A. The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to inform 
employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug abuse 
violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in the 
performance of the grant be given a copy of the statement required by 
paragraph (a);
    (d) Notifying the employee in the statement required by paragraph 
(a) that, as a condition of employment under the grant, the employee 
will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for a 
violation of a criminal drug statute occurring in the workplace no later 
than five calendar days after such conviction;
    (e) Notifying the Board in writing, within ten calendar days after 
receiving notice under paragraph (d)(2) from an employee or otherwise 
receiving actual notice of such conviction. Employers of convicted 
employees must provide notice, including position title, to every grant 
officer or other designee on whose grant activity the convicted employee 
was working, unless the Federal agency has designated a central point 
for the receipt of such notices. Notice shall include the identification 
number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days of 
receiving notice under paragraph (d)(2), with respect to any employee 
who is so convicted--
    (1) Taking appropriate personnel action against such an employee, up 
to and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes by 
a Federal, State, or local health, law enforcement, or other appropriate 
agency;
    (g) Making a good faith effort to continue to maintain a drug-free 
workplace through implementation of paragraphs (a), (b), (c), (d), (e) 
and (f).
    B. The grantee may insert in the space provided below the site(s) 
for the performance of work done in connection with the specific grant:

Place of Performance (Street address, city, county, state, zip code)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Check [squ] if there are workplaces on file that are not identified 
here.

              Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he or 
she will not engage in the unlawful manufacture, distribution,

[[Page 147]]

dispensing, possession, or use of a controlled substance in conducting 
any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or she 
will report the conviction, in writing, within 10 calendar days of the 
conviction, to every grant officer or other designee, unless the Federal 
agency designates a central point for the receipt of such notices. When 
notice is made to such a central point, it shall include the 
identification number(s) of each affected grant.

[55 FR 21690, 21694, May 25, 1990]



PART 518_UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS 
WITH INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND OTHER NON-PROFIT
ORGANIZATIONS--Table of Contents



                            Subpart A_General

Sec.
518.1 Purpose.
518.2 Definitions.
518.3 Effect on other issuances.
518.4 Deviations.
518.5 Subawards.

                    Subpart B_Pre-Award Requirements

518.10 Purpose.
518.11 Pre-award policies.
518.12 Forms for applying for Federal assistance.
518.13 Debarment and suspension.
518.14 Special award conditions.
518.15 Metric system of measurement.
518.16 Resource Conservation and Recovery Act.
518.17 Certifications and representations.

                    Subpart C_Post-Award Requirements

                    Financial and Program Management

518.20 Purpose of financial and program management.
518.21 Standards for financial management systems.
518.22 Payment.
518.23 Cost sharing or matching.
518.24 Program income.
518.25 Revision of budget and program plans.
518.26 Non-Federal audits.
518.27 Allowable costs.
518.28 Period of availability of funds.

                           Property Standards

518.30 Purpose of property standards.
518.31 Insurance coverage.
518.32 Real property.
518.33 Federally-owned and exempt property.
518.34 Equipment.
518.35 Supplies and other expendable property.
518.36 Intangible property.
518.37 Property trust relationship.

                          Procurement Standards

518.40 Purpose of procurement standards.
518.41 Recipient responsibilities.
518.42 Codes of conduct.
518.43 Competition.
518.44 Procurement procedures.
518.45 Cost and price analysis.
518.46 Procurement records.
518.47 Contract administration.
518.48 Contract provisions.

                           Reports and Records

518.50 Purpose of reports and records.
518.51 Monitoring and reporting program performance.
518.52 Financial reporting.
518.53 Retention and access requirements for records.

                       Termination and Enforcement

518.60 Purpose of termination and enforcement.
518.61 Termination.
518.62 Enforcement.

                 Subpart D_After-the-Award Requirements

518.70 Purpose.
518.71 Closeout procedures.
518.72 Subsequent adjustments and continuing responsibilities.
518.73 Collection of amounts due.

Appendix A to Part 518--Contract Provisions

    Authority: 22 U.S.C. 2658; 31 U.S.C. 503 and 1111; Reorganization 
Plan No. 2 of 1977, 42 FR 62461, 3 CFR, 1977 Comp. p. 200; E.O. 12048, 
43 FR 13361, 3 CFR, 1978 Comp. p. 168.

    Source: 59 FR 39440, Aug. 3, 1994, unless otherwise noted.



                            Subpart A_General



Sec.  518.1  Purpose.

    This part establishes uniform administrative requirements for 
Federal grants and agreements awarded to institutions of higher 
education, hospitals, and other non-profit organizations. Federal 
awarding agencies shall not impose additional or inconsistent 
requirements, except as provided in Sec. Sec.  518.4 and 518.14 or 
unless specifically

[[Page 148]]

required by Federal statute or executive order. Non-profit organizations 
that implement Federal programs for the States are also subject to State 
requirements.



Sec.  518.2  Definitions.

    (a) Accrued expenditures means the charges incurred by the recipient 
during a given period requiring the provision of funds for:
    (1) Goods and other tangible property received;
    (2) Services performed by employees, contractors, subrecipients, and 
other payees; and,
    (3) Other amounts becoming owed under programs for which no current 
services or performance is required.
    (b) Accrued income means the sum of:
    (1) Earnings during a given period from:
    (i) Services performed by the recipient, and
    (ii) Goods and other tangible property delivered to purchasers; and
    (2) Amounts becoming owed to the recipient for which no current 
services or performance is required by the recipient.
    (c) Acquisition cost of equipment means the net invoice price of the 
equipment, including the cost of modifications, attachments, 
accessories, or auxiliary apparatus necessary to make the property 
usable for the purpose for which it was acquired. Other charges, such as 
the cost of installation, transportation, taxes, duty or protective in-
transit insurance, shall be included or excluded from the unit 
acquisition cost in accordance with the recipient's regular accounting 
practices.
    (d) Advance means a payment made by Treasury check or other 
appropriate payment mechanism to a recipient upon its request either 
before outlays are made by the recipient or through the use of 
predetermined payment schedules.
    (e) Award means financial assistance that provides support or 
stimulation to accomplish a public purpose. Awards include grants and 
other agreements in the form of money or property in lieu of money, by 
the Federal Government to an eligible recipient. The term does not 
include: technical assistance, which provides services instead of money; 
other assistance in the form of loans, loan guarantees, interest 
subsidies, or insurance; direct payments of any kind to individuals; 
and, contracts which are required to be entered into and administered 
under procurement laws and regulations.
    (f) Cash contributions means the recipient's cash outlay, including 
the outlay of money contributed to the recipient by third parties.
    (g) Closeout means the process by which a Federal awarding agency 
determines that all applicable administrative actions and all required 
work of the award have been completed by the recipient and Federal 
awarding agency.
    (h) Contract means a procurement contract under an award or 
subaward, and a procurement subcontract under a recipient's or 
subrecipient's contract.
    (i) Cost sharing or matching means that portion of project or 
program costs not borne by the Federal Government.
    (j) Date of completion means the date on which all work under an 
award is completed or the date on the award document, or any supplement 
or amendment thereto, on which Federal sponsorship ends.
    (k) Disallowed costs means those charges to an award that the 
Federal awarding agency determines to be unallowable, in accordance with 
the applicable Federal cost principles or other terms and conditions 
contained in the award.
    (l) Equipment means tangible nonexpendable personal property 
including exempt property charged directly to the award having a useful 
life or more than one year and an acquisition cost of $5,000 or more per 
unit. However, consistent with recipient policy, lower limits may be 
established.
    (m) Excess property means property under the control of any Federal 
awarding agency that, as determined by the head thereof, is no longer 
required for its needs or the discharge of its responsibilities.
    (n) Exempt property means tangible personal property acquired in 
whole or in part with Federal funds, where the Federal awarding agency 
has statutory authority to vest title in the recipient

[[Page 149]]

without further obligation to the Federal Government. An example of 
exempt property authority is contained in the Federal Grant and 
Cooperative Agreement Act (31 U.S.C. 6306), for property acquired under 
an award to conduct basic or applied research by a non-profit 
institution or higher education or non-profit organization whose 
principal purpose is conducting scientific research.
    (o) Federal awarding agency means the Federal agency that provides 
an award to the recipient.
    (p) Federal funds authorized means the total amount of Federal funds 
obligated by the Federal Government for use by the recipient. This 
amount may include any authorized carryover of unobligated funds from 
prior funding periods when permitted by agency regulations or agency 
implementing instructions.
    (q) Federal share of real property, equipment, or supplies means 
that percentage of the property's acquisition costs and any improvement 
expenditures paid with Federal funds.
    (r) Funding period means the period of time when Federal funding is 
available for obligation by the recipient.
    (s) Intangible property and debt instruments means, but is not 
limited to, trademarks, copyrights, patents and patent applications and 
such property as loans, notes and other debt instruments, lease 
agreements, stock and other instruments of property ownership, whether 
considered tangible or intangible.
    (t) Obligations means the amounts of orders placed, contracts and 
grants awarded, services received and similar transactions during a 
given period that require payment by the recipient during the same or a 
future period.
    (u) Outlays or expenditures means charges made to the project or 
program. They may be reported on a cash or accrual basis. For reports 
prepared on a cash basis, outlays are the sum of cash disbursements for 
direct charges for goods and services, the amount of indirect expense 
charged, the value of third party in-kind contributions applied and the 
amount of cash advances and payments made to subrecipients. For reports 
prepared on an accrual basis, outlays are the sum of cash disbursements 
for direct charges for goods and services, the amount of indirect 
expense incurred, the value of in-kind contributions applied, and the 
net increase (or decrease) in the amounts owed by the recipient for 
goods and other property received, for services performed by employees, 
contractors, subrecipients and other payees and other amounts becoming 
owed under programs for which no current services or performance are 
required.
    (v) Personal property means property of any kind except real 
property. It may be tangible, having physical existence, or intangible, 
having no physical existence, such as copyrights, patents, or 
securities.
    (w) Prior approval means written approval by an authorized official 
evidencing prior consent.
    (x) Program income means gross income earned by the recipient that 
is directly generated by a supported activity or earned as a result of 
the award (see exclusions in Sec. Sec.  518.24 (e) and (h)). Program 
income includes, but is not limited to, income from fees for services 
performed, the use or rental of real or personal property acquired under 
federally-funded projects, the sale of commodities or items fabricated 
under an award, license fees and royalties on patents and copyrights, 
and interest on loans made with award funds. Interest earned on advances 
of Federal funds is not program income. Except as otherwise provided in 
Federal awarding agency regulations or the terms and conditions of the 
award, program income does not include the receipt of principal on 
loans, rebates, credits, discounts, etc., or interest earned on any of 
them.
    (y) Project costs means all allowable costs, as set forth in the 
applicable Federal cost principles, incurred by a recipient and the 
value of the contributions made by third parties in accomplishing the 
objectives of the award during the project period.
    (z) Project period means the period established in the award 
document during which Federal sponsorship begins and ends.
    (aa) Property means, unless otherwise stated, real property, 
equipment, intangible property and debt instruments.

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    (bb) Real property means land, including land improvements, 
structures and appurtenances thereto, but excludes movable machinery and 
equipment.
    (cc) Recipient means an organization receiving financial assistance 
directly from Federal awarding agencies to carry out a project or 
program. The term includes public and private institutions of higher 
education, public and private hospitals, and other quasi-public and 
private non-profit organizations such as, but not limited to, community 
action agencies, research institutes, educational associations, and 
health centers. The term may include commercial organizations, foreign 
or international organizations (such as agencies of the United Nations) 
which are recipients, subrecipients, or contractors or subcontractors of 
recipients or subrecipients at the discretion of the Federal awarding 
agency. The term does not include government-owned contractor-operated 
facilities or research centers providing continued support for mission-
oriented, large-scale programs that are government-owned or controlled, 
or are designated as federally-funded research and development centers.
    (dd) Research and development means all research activities, both 
basic and applied, and all development activities that are supported at 
universities, colleges, and other non-profit institutions. ``Research'' 
is defined as a systematic study directed toward fuller scientific 
knowledge or understanding of the subject studied. ``Development'' is 
the systematic use of knowledge and understanding gained from research 
directed toward the production of useful materials, devices, systems, or 
methods, including design and development of prototypes and processes. 
The term research also includes activities involving the training of 
individuals in research techniques where such activities utilize the 
same facilities as other research and development activities and where 
such activities are not included in the instruction function.
    (ee) Small awards means a grant or cooperative agreement not 
exceeding the small purchase threshold fixed at 41 U.S.C. 403(11) 
(currently $25,000).
    (ff) Subaward means an award of financial assistance in the form of 
money, or property in lieu of money, made under an award by a recipient 
to an eligible subrecipient or by a subrecipient to a lower tier 
subrecipient. The term includes financial assistance when provided by 
any legal agreement, even if the agreement is called a contract, but 
does not include procurement of goods and services nor does it include 
any form of assistance which is excluded from the definition of 
``award'' in paragraph (e) of this section.
    (gg) Subrecipient means the legal entity to which a subaward is made 
and which is accountable to the recipient for the use of the funds 
provided. The term may include foreign or international organizations 
(such as agencies of the United Nations) at the discretion of the 
Federal awarding agency.
    (hh) Supplies means all personal property excluding equipment, 
intangible property, and debt instruments as defined in this section, 
and inventions of a contractor conceived or first actually reduced to 
practice in the performance of work under a funding agreement (``subject 
inventions''), as defined in 37 CFR part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts, and Cooperative Agreements.''
    (ii) Suspension means an action by a Federal awarding agency that 
temporarily withdraws Federal sponsorship under an award, pending 
corrective action by the recipient or pending a decision to terminate 
the award by the Federal awarding agency. Suspension of an award is a 
separate action from suspension under Federal agency regulations 
implementing E.O.'s 12549 and 12689, ``Debarment and Suspension.''
    (jj) Termination means the cancellation of Federal sponsorship, in 
whole or in part, under an agreement at any time prior to the date of 
completion.
    (kk) Third party in-kind contributions means the value of non-cash 
contributions provided by non-Federal third parties. Third party in-kind 
contributions may be in the form of real property, equipment, supplies 
and other expendable property, and the value of goods and services 
directly benefiting

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and specifically identifiable to the project or program.
    (ll) Unliquidated obligations, for financial reports prepared on a 
cash basis, means the amount of obligations incurred by the recipient 
that have not been paid. For reports prepared on an accrued expenditure 
basis, they represent the amount of obligations incurred by the 
recipient for which an outlay has not been recorded.
    (mm) Unobligated balance means the portion of the funds authorized 
by the Federal awarding agency that has not been obligated by the 
recipient and is determined by deducting the cumulative obligations from 
the cumulative funds authorized.
    (nn) Unrecovered indirect cost means the difference between the 
amount awarded and the amount which could have been awarded under the 
recipient's approved negotiated indirect cost rate.
    (oo) Working capital advance means a procedure whereby funds are 
advanced to the recipient to cover its estimated disbursement needs for 
a given initial period.



Sec.  518.3  Effect on other issuances.

    For awards subject to this part, all administrative requirements of 
codified program regulations, program manuals, handbooks and other non-
regulatory materials which are inconsistent with the requirements of 
this part shall be superseded, except to the extent they are required by 
statute, or authorized in accordance with the deviations provision in 
Sec.  518.4.



Sec.  518.4  Deviations.

    The Office of Management and Budget (OMB) may grant exceptions for 
classes of grants or recipients subject to the requirements of this part 
when exceptions are not prohibited by statute. However, in the interest 
of maximum uniformity, exceptions from the requirements of this part 
shall be permitted only in unusual circumstances. Federal awarding 
agencies may apply more restrictive requirements to a class of 
recipients when approved by OMB. Federal awarding agencies may apply 
less restrictive requirements when awarding small awards, except for 
those requirements which are statutory. Exceptions on a case-by-case 
basis may also be made by Federal awarding agencies.



Sec.  518.5  Subawards.

    Unless sections of this part specifically exclude subrecipients from 
coverage, the provisions of this part shall be applied to subrecipients 
performing work under awards if such subrecipients are institutions of 
higher education, hospitals or other non-profit organizations. State and 
local government subrecipients are subject to the provisions of 
regulations implementing the grants management common rule, ``Uniform 
Administrative Requirements for Grants and Cooperative Agreements to 
State and Local Governments,'' published at 53 FR 9034 (3/11/88).



                    Subpart B_Pre-Award Requirements



Sec.  518.10  Purpose.

    Sections 518.11 through 518.17 prescribes forms and instructions and 
other pre-award matters to be used in applying for Federal awards.



Sec.  518.11  Pre-award policies.

    (a) Use of Grants and Cooperative Agreements, and Contracts. In each 
instance, the Federal awarding agency shall decide on the appropriate 
award instrument (i.e., grant, cooperative agreement, or contract). The 
Federal Grant and Cooperative Agreement Act (31 U.S.C. 6301-08) governs 
the use of grants, cooperative agreements and contracts. A grant or 
cooperative agreement shall be used only when the principal purpose of a 
transaction is to accomplish a public purpose of support or stimulation 
authorized by Federal statute. The statutory criterion for choosing 
between grants and cooperative agreements is that for the latter, 
``substantial involvement is expected between the executive agency and 
the State, local government, or other recipient when carrying out the 
activity contemplated in the agreement.'' Contracts shall be used when 
the principal purpose is acquisition of property or services for the 
direct benefit or use of the Federal Government.

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    (b) Public Notice and Priority Setting. Federal awarding agencies 
shall notify the public of its intended funding priorities for 
discretionary grant programs, unless funding priorities are established 
by Federal statute.



Sec.  518.12  Forms for applying for Federal assistance.

    (a) Federal awarding agencies shall comply with the applicable 
report clearance requirements of 5 CFR part 1320, ``Controlling 
Paperwork Burdens on the Public,'' with regard to all forms used by the 
Federal awarding agency in place of or as a supplement to the Standard 
Form 424 (SF-424) series.
    (b) Applicants shall use the SF-424 series or those forms and 
instructions prescribed by the Federal awarding agency.
    (c) For Federal programs covered by E.O. 12372, ``Intergovernmental 
Review of Federal Programs,'' the applicant shall complete the 
appropriate sections of the SF-424 (Application for Federal Assistance) 
indicating whether the application was subject to review by the State 
Single Point of Contact (SPOC). The name and address of the SPOC for a 
particular State can be obtained from the Federal awarding agency or the 
Catalog of Federal Domestic Assistance. The SPOC shall advise the 
applicant whether the program for which application is made has been 
selected by that State for review.
    (d) Federal awarding agencies that do not use the SF-424 form should 
indicate whether the application is subject to review by the State under 
E.O. 12372.



Sec.  518.13  Debarment and suspension.

    Federal awarding agencies and recipients shall comply with the 
nonprocurement debarment and suspension rule, implementing E.O.'s 12549 
and 12689, ``Debarment and Suspension.'' This rule restricts subawards 
and contracts with certain parties that are debarred, suspended or 
otherwise excluded from or ineligible for participation in Federal 
assistance programs or activities.



Sec.  518.14  Special award conditions.

    (a) Federal awarding agencies may impose additional requirements as 
needed, if an applicant or recipient:
    (1) Has a history of poor performance,
    (2) Is not financially stable,
    (3) Has a management system that does not meet the standards 
prescribed in this part,
    (4) Has not conformed to the terms and conditions of a previous 
award, or
    (5) Is not otherwise responsible.
    (b) Additional requirements may only be imposed provided that such 
applicant or recipient is notified in writing as to:
    (1) The nature of the additional requirements,
    (2) The reason why the additional requirements are being imposed,
    (3) The nature of the corrective action needed,
    (4) The time allowed for completing the corrective actions, and
    (5) The method for requesting reconsideration of the additional 
requirements imposed.



Sec.  518.15  Metric system of measurement.

    The Metric Conversion Act, as amended by the Omnibus Trade and 
Competitiveness Act (15 U.S.C. 205), declares that the metric system is 
the preferred measurement system for U.S. trade and commerce. The Act 
requires each Federal agency to establish a date or dates in 
consultation with the Secretary of Commerce, when the metric system of 
measurement will be used in the agency's procurements, grants, and other 
business-related activities. Metric implementation may take longer where 
the use of the system is initially impractical or likely to cause 
significant inefficiencies in the accomplishment of federally-funded 
activities. Federal awarding agencies shall follow the provisions of 
E.O. 12770, ``Metric Usage in Federal Government Programs.''



Sec.  518.16  Resource Conservation and Recovery Act.

    Under the Act, any State agency or agency of a political subdivision 
of a State which is using appropriated Federal funds must comply with 
section

[[Page 153]]

6002. Section 6002 requires that preference be given in procurement 
programs to the purchase of specific products containing recycled 
materials identified in guidelines developed by the Environmental 
Protection Agency (EPA) (40 CFR Parts 247-254). Accordingly, State and 
local institutions of higher education, hospitals, and non-profit 
organizations that receive direct Federal awards or other Federal funds 
shall give preference in their procurement programs funded with Federal 
funds to the purchase of recycled products pursuant to the EPA 
guidelines.



Sec.  518.17  Certification and representations.

    Unless prohibited by statute or codified regulation, each Federal 
awarding agency is authorized and encouraged to allow recipients to 
submit certifications and representations required by statute, executive 
order, or regulation on an annual basis, if the recipients have ongoing 
and continuing relationships with the agency. Annual certifications and 
representations shall be signed by responsible officials with the 
authority to ensure recipients' compliance with the pertinent 
requirements.



                    Subpart C_Post-Award Requirements

                    Financial and Program Management



Sec.  518.20  Purpose of financial and program management.

    Sections 518.21 through 518.28 prescribe standards for financial 
management systems, methods for making payments and rules for: 
satisfying cost sharing and matching requirements, accounting for 
program income, budget revision approvals, making audits, determining 
allowability of cost, and establishing fund availability.



Sec.  518.21  Standards for financial management systems.

    (a) Federal awarding agencies shall require recipients to relate 
financial data to performance data and develop unit cost information 
whenever practical.
    (b) Recipients' financial management systems shall provide for the 
following.
    (1) Accurate, current and complete disclosure of the financial 
results of each federally-sponsored project or program in accordance 
with the reporting requirements set forth in Sec.  19.52. If a Federal 
awarding agency requires reporting on an accrual basis from a recipient 
that maintains its records on other than an accrual basis, the recipient 
shall not be required to establish an accrual accounting system. These 
recipients may develop such accrual data for its reports on the basis of 
an analysis of the documentation on hand.
    (2) Records that identify adequately the source and application of 
funds for federally-sponsored activities. These records shall contain 
information pertaining to Federal awards, authorizations, obligations, 
unobligated balances, assets, outlays, income and interest.
    (3) Effective control over and accountability for all funds, 
property and other assets. Recipients shall adequately safeguard all 
such assets and assure they are used solely for authorized purposes.
    (4) Comparison of outlays with budget amounts for each award. 
Whenever appropriate, financial information should be related to 
performance and unit cost data.
    (5) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the 
issuance or redemption of checks, warrants or payments by other means 
for program purposes by the recipient. To the extent that the provisions 
of the Cash Management Improvement Act (CMIA) (Pub. L. 101-453) govern, 
payment methods of State agencies, instrumentalities, and fiscal agents 
shall be consistent with CMIA Treasury-State Agreements or the CMIA 
default procedures codified at 31 CFR part 205, ``Withdrawal of Cash 
from the Treasury for Advances under Federal Grant and Other Programs.''
    (6) Written procedures for determining the reasonableness, 
allocability and allowability of costs in accordance with the provisions 
of the applicable Federal cost principles and the terms and conditions 
of the award.
    (7) Accounting records including cost accounting records that are 
supported by source documentation.

[[Page 154]]

    (c) Where the Federal Government guarantees or insures the repayment 
of money borrowed by the recipient, the Federal awarding agency, at its 
discretion, may require adequate bonding and insurance if the bonding 
and insurance requirements of the recipient are not deemed adequate to 
protect the interest of the Federal Government.
    (d) The Federal awarding agency may require adequate fidelity bond 
coverage where the recipient lacks sufficient coverage to protect the 
Federal Government's interest.
    (e) Where bonds are required in the situations described above, the 
bonds shall be obtained from companies holding certificates of authority 
as acceptable sureties, as prescribed in 31 CFR part 223, ``Surety 
Companies Doing Business with the United States.''



Sec.  518.22  Payment.

    (a) Payment methods shall minimize the time elapsing between the 
transfer of funds from the United States Treasury and the issuance or 
redemption of checks, warrants, or payment by other means by the 
recipients. Payment methods of State agencies or instrumentalities shall 
be consistent with Treasury-State CMIA agreements or default procedures 
codified at 31 CFR part 205.
    (b)(1) Recipients are to be paid in advance, provided they maintain 
or demonstrate the willingness to maintain:
    (i) Written procedures that minimize the time elapsing between the 
transfer of funds and disbursement by the recipient, and
    (ii) Financial management systems that meet the standards for fund 
control and accountability as established in section Sec.  518.21.
    (2) Cash advances to a recipient organization shall be limited to 
the minimum amounts needed and be timed to be in accordance with the 
actual, immediate cash requirements of the recipient organization in 
carrying out the purpose of the approved program or project. The timing 
and amount of cash advances shall be as close as is administratively 
feasible to the actual disbursements by the recipient organization for 
direct program or project costs and the proportionate share of any 
allowable indirect costs.
    (c) Whenever possible, advances shall be consolidated to cover 
anticipated cash needs for all awards made by the Federal awarding 
agency to the recipient.
    (1) Advance payment mechanisms include, but are not limited to, 
Treasury check and electronic funds transfer.
    (2) Advance payment mechanisms are subject to 31 CFR part 205.
    (3) Recipients shall be authorized to submit requests for advances 
and reimbursements at least monthly when electronic fund transfers are 
not used.
    (d) Requests for Treasury check advance payment shall be submitted 
on SF-270, ``Request for Advance or Reimbursement,'' or other forms as 
may be authorized by OMB. This form is not to be used when Treasury 
check advance payments are made to the recipient automatically through 
the use of a predetermined payment schedule or if precluded by special 
Federal awarding agency instructions for electronic funds transfer.
    (e) Reimbursement is the preferred method when the requirements in 
paragraph (b) cannot be met. Federal awarding agencies may also use this 
method on any construction agreement, or if the major portion of the 
construction project is accomplished through private market financing or 
Federal loans, and the Federal assistance constitutes a minor portion of 
the project.
    (1) When the reimbursement method is used, the Federal awarding 
agency shall make payment within 30 days after receipt of the billing, 
unless the billing is improper.
    (2) Recipients shall be authorized to submit request for 
reimbursement at least monthly when electronic funds are not used.
    (f) If a recipient cannot meet the criteria for advance payments and 
the Federal awarding agency has determined that reimbursement is not 
feasible because the recipient lacks sufficient working capital, the 
Federal awarding agency may provide cash on a working capital advance 
basis. Under this procedure, the Federal awarding

[[Page 155]]

agency shall advance cash to the recipient to cover its estimated 
disbursement needs for an initial period generally geared to the 
awardee's disbursing cycle. Thereafter, the Federal awarding agency 
shall reimburse the recipient for its actual cash disbursements. The 
working capital advance method of payment shall not be used for 
recipients unwilling or unable to provide timely advances to their 
subrecipient to meet the subrecipient's actual cash disbursements.
    (g) To the extent available, recipients shall disburse funds 
available from repayments to and interest earned on a revolving fund, 
program income, rebates, refunds, contract settlements, audit recoveries 
and interest earned on such funds before requesting additional cash 
payments.
    (h) Unless otherwise required by statute, Federal awarding agencies 
shall not withhold payments for proper charges made by recipients at any 
time during the project period unless the conditions in paragraphs 
(h)(1) or (2) of this section apply.
    (1) A recipient has failed to comply with the project objectives, 
the terms and conditions of the award, or Federal reporting 
requirements.
    (2) The recipient or subrecipient is delinquent in a debt to the 
United States as defined in OMB Circular A-129, ``Managing Federal 
Credit Programs.'' Under such conditions, the Federal awarding agency 
may, upon reasonable notice, inform the recipient that payments shall 
not be made for obligations incurred after a specified date until the 
conditions are corrected or the indebtedness to the Federal Government 
is liquidated.
    (i) Standards governing the use of banks and other institutions as 
depositories of funds advanced under awards are as follows:
    (1) Except for situations described in paragraph (i)(2) of this 
section, Federal awarding agencies shall not require separate depository 
accounts for funds provided to a recipient or establish any eligibility 
requirements for depositories for funds provided to a recipient. 
However, recipients must be able to account for the receipt, obligation 
and expenditure of funds.
    (2) Advances of Federal funds shall be deposited and maintained in 
insured accounts whenever possible.
    (j) Consistent with the national goal of expanding the opportunities 
for women-owned and minority-owned business enterprises, recipients 
shall be encouraged to use women-owned and minority-owned banks (a bank 
which is owned at least 50 percent by women or minority group members).
    (k) Recipients shall maintain advances of Federal funds in interest 
bearing accounts, unless the conditions in paragraphs (k)(1), (2) or (3) 
of this section apply.
    (1) The recipient receives less than $120,000 in Federal awards per 
year.
    (2) The best reasonably available interest bearing account would not 
be expected to earn interest in excess of $250 per year on Federal cash 
balances.
    (3) The depository would require an average or minimum balance so 
high that it would not be feasible within the expected Federal and non-
Federal cash resources.
    (l) For those entities where CMIA and its implementing regulations 
do not apply, interest earned on Federal advances deposited in interest 
bearing accounts shall be remitted annually to Department of Health and 
Human Services, Payment Management System, P.O. Box 6021, Rockville, MD 
20852. Interest amounts up to $250 per year may be retained by the 
recipient for administrative expense. In keeping with Electric Funds 
Transfer rules, (31 CFR part 206), interest should be remitted to the 
HHS Payment Management System through an electric medium such as the 
FEDWIRE Deposit system. Recipients which do not have this capability 
should use a check. State universities and hospitals shall comply with 
CMIA, as it pertains to interest. If an entity subject to CMIA uses its 
own funds to pay pre-award costs for discretionary awards without prior 
written approval from the Federal awarding agency, it waives its right 
to recover the interest under CMIA.
    (m) Except as noted elsewhere in this part, only the following forms 
shall be

[[Page 156]]

authorized for the recipients in requesting advances and reimbursements. 
Federal agencies shall not require more than an original and two copies 
of these forms.
    (1) SF-270, Request for Advance or Reimbursement. Each Federal 
awarding agency shall adopt the SF-270 as a standard form for all 
nonconstruction programs when electronic funds transfer or predetermined 
advance methods are not used. Federal awarding agencies, however, have 
the option of using this form for construction programs in lieu of the 
SF-271, ``Outlay Report and Request for Reimbursement for Construction 
Programs.''
    (2) SF-271, Outlay Report and Request for Reimbursement for 
Construction Programs. Each Federal awarding agency shall adopt the SF-
271 as the standard form to be used for requesting reimbursement for 
construction programs. However, a Federal awarding agency may substitute 
the SF-270 when the Federal awarding agency determines that it provides 
adequate information to meet Federal needs.



Sec.  518.23  Cost sharing or matching.

    (a) All contributions, including cash and third party in-kind, shall 
be accepted as part of the recipient's cost sharing or matching when 
such contributions meet all of the following criteria.
    (1) Are verifiable from the recipient's records.
    (2) Are not included as contributions for any other federally-
assisted project or program.
    (3) Are necessary and reasonable for proper and efficient 
accomplishment of project or program objectives.
    (4) Are allowable under the applicable cost principles.
    (5) Are not paid by the Federal Government under another award, 
except where authorized by Federal statute to be used for cost sharing 
or matching.
    (6) Are provided for in the approved budget when required by the 
Federal awarding agency.
    (7) Conform to other provisions of this part, as applicable.
    (b) Unrecovered indirect costs may be included as part of cost 
sharing or matching only with the prior approval of the Federal awarding 
agency.
    (c) Values for recipient contributions of services and property 
shall be established in accordance with the applicable cost principles. 
If a Federal awarding agency authorizes recipients to donate buildings 
or land for construction/facilities acquisition projects or long-term 
use, the value of the donated property for cost sharing or matching 
shall be the lesser of paragraph (c) (1) or (2) of this section.
    (1) The certified value of the remaining life of the property 
recorded in the recipient's accounting records at the time of donation.
    (2) The current fair market value. However, when there is sufficient 
justification, the Federal awarding agency may approve the use of the 
current fair market value of the donated property, even if it exceeds 
the certified value at the time of donation to the project.
    (d) Volunteer services furnished by professional and technical 
personnel, consultants, and other skilled and unskilled labor may be 
counted as cost sharing or matching if the service is an integral and 
necessary part of an approved project or program. Rates for volunteer 
services shall be consistent with those paid for similar work in the 
recipient's organization. In those instances in which the required 
skills are not found in the recipient organization, rates shall be 
consistent with those paid for similar work in the labor market in which 
the recipient competes for the kind of services involved. In either 
case, paid fringe benefits that are reasonable, allowable, and allocable 
may be included in the valuation.
    (e) When an employer other than the recipient furnishes the services 
of an employee, these services shall be valued at the employee's regular 
rate of pay (plus an amount of fringe benefits that are reasonable, 
allowable, and allocable, but exclusive of overhead costs), provided 
these services are in the same skill for which the employee is normally 
paid.
    (f) Donated supplies may include such items as expendable equipment, 
office supplies, laboratory supplies or workshop and classroom supplies. 
Value assessed to donated supplies included in the cost sharing or 
matching share shall be reasonable and shall not

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exceed the fair market value of the property at the time of the 
donation.
    (g) The method used for determining cost sharing or matching for 
donated equipment, buildings and land for which title passes to the 
recipient may differ according to the purpose of the award, if the 
conditions in paragraphs (g)(1) or (2) of this section apply.
    (1) If the purpose of the award is to assist the recipient in the 
acquisition of equipment, buildings or land, the total value of the 
donated property may be claimed as cost sharing or matching.
    (2) If the purpose of the award is to support activities that 
require the use of equipment, buildings or land, normally only 
depreciation or use charges for equipment and buildings may be made. 
However, the full value of equipment or other capital assets and fair 
rental charges for land may be allowed, provided that the Federal 
awarding agency has approved the charges.
    (h) The value of donated property shall be determined in accordance 
with the usual accounting policies of the recipient, with the following 
qualifications.
    (1) The value of donated land and buildings shall not exceed its 
fair market value at the time of donation to the recipient as 
established by an independent appraiser (e.g., certified real property 
appraiser or General Services Administration representative) and 
certified by a responsible official of the recipient.
    (2) The value of donated equipment shall not exceed the fair market 
value of equipment of the same age and condition at the time of 
donation.
    (3) The value of donated space shall not exceed the fair rental 
value of comparable space as established by an independent appraisal of 
comparable space and facilities in a privately-owned building in the 
same locality.
    (4) The value of loaned equipment shall not exceed its fair rental 
value.
    (5) The following requirements pertain to the recipient's supporting 
records for in-kind contributions from third parties.
    (i) Volunteer services shall be documented and, to the extent 
feasible, supported by the same methods used by the recipient for its 
own employees.
    (ii) The basis for determining the valuation for personal service, 
material, equipment, buildings and land shall be documented.



Sec.  518.24  Program income.

    (a) Federal awarding agencies shall apply the standards set forth in 
this section in requiring recipient organizations to account for program 
income related to projects financed in whole or in part with Federal 
funds.
    (b) Except as provided in paragraph (h) of this section, program 
income earned during the project period shall be retained by the 
recipient and, in accordance with Federal awarding agency regulations or 
the terms and conditions of the award, shall be used in one or more of 
the ways listed in the following.
    (1) Added to funds committed to the project by the Federal awarding 
agency and recipient and used to further eligible project or program 
objectives.
    (2) Used to finance the non-Federal share of the project or program.
    (3) Deducted from the total project or program allowable cost in 
determining the net allowable costs on which the Federal share of costs 
is based.
    (c) When an agency authorizes the disposition of program income as 
described in paragraphs (b)(1) or (b)(2) of this section, program income 
in excess of any limits stipulated shall be used in accordance with 
paragraph (b)(3) of this section.
    (d) In the event that the Federal awarding agency does not specify 
in its regulations or the terms and conditions of the award how program 
income is to be used, paragraph (b)(3) of this section shall apply 
automatically to all projects or programs except research. For awards 
that support research, paragraph (b)(1) of this section shall apply 
automatically unless the awarding agency indicates in the terms and 
conditions another alternative on the award or the recipient is subject 
to special award conditions, as indicated in Sec.  518.14.
    (e) Unless Federal awarding agency regulations or the terms and 
conditions of the award provide otherwise, recipients shall have no 
obligation to

[[Page 158]]

the Federal Government regarding program income earned after the end of 
the project period.
    (f) If authorized by Federal awarding agency regulations or the 
terms and conditions of the award, costs incident to the generation of 
program income may be deducted from gross income to determine program 
income, provided these costs have not been charged to the award.
    (g) Proceeds from the sale of property shall be handled in 
accordance with the requirements of the Property Standards (See 
Sec. Sec.  518.30 through 518.37).
    (h) Unless Federal awarding agency regulations or the terms and 
condition of the award provide otherwise, recipients shall have no 
obligation to the Federal Government with respect to program income 
earned from license fees and royalties for copyrighted material, 
patents, patent applications, trademarks, and inventions produced under 
an award. However, Patent and Trademark Amendments (35 U.S.C. 18) apply 
to inventions made under an experimental, developmental, or research 
award.



Sec.  518.25  Revision of budget and program plans.

    (a) The budget plan is the financial expression of the project or 
program as approved during the award process. It may include either the 
Federal and non-Federal share, or only the Federal share, depending upon 
Federal awarding agency requirements. It shall be related to performance 
for program evaluation purposes whenever appropriate.
    (b) Recipients are required to report deviations from budget and 
program plans, and request prior approvals for budget and program plan 
revisions, in accordance with this section.
    (c) For nonconstruction awards, recipients shall request prior 
approvals from Federal awarding agencies for one or more of the 
following program or budget related reasons.
    (1) Change in the scope or the objective of the project or program 
(even if there is no associated budget revision requiring prior written 
approval).
    (2) Change in a key person specified in the application or award 
document.
    (3) The absence for more than three months, or a 25 percent 
reduction in time devoted to the project, by the approved project 
director or principal investigator.
    (4) The need for additional Federal funding.
    (5) The transfer of amounts budgeted for indirect costs to absorb 
increases in direct costs, or vice versa, if approval is required by the 
Federal awarding agency.
    (6) The inclusion, unless waived by the Federal awarding agency, of 
costs that require prior approval in accordance with OMB Circular A-21, 
``Cost Principles for Institutions of Higher Education,'' OMB Circular 
A-122, ``Cost Principles for Non-Profit Organizations,'' or 45 CFR part 
74 Appendix E, ``Principles for Determining Costs Applicable to Research 
and Development under Grants and Contracts with Hospitals,'' or 48 CFR 
part 31, ``Contract Cost Principles and Procedures,'' as applicable.
    (7) The transfer of funds allotted for training allowances (direct 
payment to trainees) to other categories of expense.
    (8) Unless described in the application and funded in the approved 
awards, the subaward, transfer or contracting out of any work under an 
award. This provision does not apply to the purchase of supplies, 
material, equipment or general support services.
    (d) No other prior approval requirements for specific items may be 
imposed unless a deviation has been approved by OMB.
    (e) Except for requirements listed in paragraphs (c)(1) and (c)(4) 
of this section, Federal awarding agencies are authorized, at their 
option, to waive cost-related and administrative prior written approvals 
required by this part and OMB Circulars A-21 and A-122. Such waivers may 
include authorizing recipients to do any one or more of the following:
    (1) Incur pre-award costs 90 calendar days prior to award or more 
than 90 calendar days with the prior approval of the Federal awarding 
agency. All pre-award costs are incurred at the recipient's risk (i.e., 
the Federal awarding agency is under no obligation to reimburse such 
costs if for any reason the recipient does not receive an award

[[Page 159]]

or if the award is less than anticipated and inadequate to cover such 
costs).
    (2) Initiate a one-time extension of the expiration date of the 
award of up to 12 months unless one or more of the following conditions 
apply. For one-time extensions, the recipient must notify the Federal 
awarding agency in writing with the supporting reasons and revised 
expiration date at least 10 days before the expiration date specified in 
the award. This one-time extension may not be exercised merely for the 
purpose of using unobligated balances.
    (i) The terms and conditions of award prohibit the extension.
    (ii) The extension requires additional Federal funds.
    (iii) The extension involves any change in the approved objectives 
or scope of the project.
    (3) Carry forward unobligated balances to subsequent funding 
periods.
    (4) For awards that support research, unless the Federal awarding 
agency provides otherwise in the award or in the agency's regulations, 
the prior approval requirements described in paragraph (e) of this 
section are automatically waived (i.e., recipients need not obtain such 
prior approvals) unless one of the conditions included in paragraph 
(e)(2) of this section applies.
    (f) The Federal awarding agency may, at its option, restrict the 
transfer of funds among direct cost categories or programs, functions 
and activities for awards in which the Federal share of the project 
exceeds $100,000 and the cumulative amount of such transfers exceeds or 
is expected to exceed 10 percent of the total budget as last approved by 
the Federal awarding agency. No Federal awarding agency shall permit a 
transfer that would cause any Federal appropriation or part thereof to 
be used for purposes other than those consistent with the original 
intent of the appropriation.
    (g) All other changes to nonconstruction budgets, except for the 
changes described in paragraph (j) of this section, do not require prior 
approval.
    (h) For construction awards, recipients shall request prior written 
approval promptly from Federal awarding agencies for budget revisions 
whether the conditions in paragraphs (h) (1), (2) or (3) of this section 
apply.
    (1) The revision results from changes in the scope or the objective 
of the project or program.
    (2) The need arises for additional Federal funds to complete the 
project.
    (3) A revision is desired which involves specific costs for which 
prior written approval requirements may be imposed consistent with 
applicable OMB cost principles listed in Sec.  518.27
    (i) No other prior approval requirements for specific items may be 
imposed unless a deviation has been approved by OMB.
    (j) When a Federal awarding agency makes an award that provides 
support for both construction and nonconstruction work, the Federal 
awarding agency may require the recipient to request prior approval from 
the Federal awarding agency before making any fund or budget transfers 
between the two types of work supported.
    (k) For both construction and nonconstruction awards, Federal 
awarding agencies shall require recipients to notify the Federal 
awarding agency in writing promptly whenever the amount of Federal 
authorized funds is expected to exceed the needs of the recipient for 
the project period by more than $5000 or five percent of the Federal 
award, whichever is greater. This notification shall not be required if 
an application for additional funding is submitted for a continuation 
award.
    (l) When requesting approval for budget revisions, recipients shall 
use the budget forms that were used in the application unless the 
Federal awarding agency indicates a letter of request suffices.
    (m) Within 30 calendar days from the date of receipt of the request 
for budget revisions, Federal awarding agencies shall review the request 
and notify the recipient whether the budget revisions have been 
approved. If the revision is still under consideration at the end of 30 
calendar days, the Federal awarding agency shall inform the recipient in 
writing of the date when the recipient may expect the decision.



Sec.  518.26  Non-Federal audits.

    (a) Recipients and subrecipients that are institutions of higher 
education or

[[Page 160]]

other non-profit organizations (including hospitals) shall be subject to 
the audit requirements contained in the Single Audit Act Amendments of 
1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, ``Audits of 
States, Local Governments, and Non-Profit Organizations.''
    (b) State and local governments shall be subject to the audit 
requirements contained in the Single Audit Act Amendments of 1996 (31 
U.S.C. 7501-7507) and revised OMB Circular A-133, ``Audits of States, 
Local Governments, and Non-Profit Organizations.''
    (c) For-profit hospitals not covered by the audit provisions of 
revised OMB Circular A-133 shall be subject to the audit requirements of 
the Federal awarding agencies.
    (d) Commercial organizations shall be subject to the audit 
requirements of the Federal awarding agency or the prime recipients as 
incorporated into the award document.

[59 FR 39440, Aug. 3, 1994, as amended at 62 FR 45939, 45941, Aug. 29, 
1997]



Sec.  518.27  Allowable costs.

    For each kind of recipient, there is a set of Federal principles for 
determining allowable costs. Allowability of costs shall be determined 
in accordance with the cost principles applicable to the entity 
incurring the costs. Thus, allowability of costs incurred by State, 
local or federally-recognized Indian tribal governments is determined in 
accordance with the provisions of OMB Circular A-87, ``Cost Principles 
for State and Local Governments.'' The allowability of costs incurred by 
non-profit organizations is determined in accordance with the provisions 
of OMB Circular A-122, ``Cost Principles for Non-Profit Organizations.'' 
The allowability of costs incurred by institutions of higher education 
is determined in accordance with the provisions of OMB Circular A-21, 
``Cost Principles for Educational Institutions.'' The allowability of 
costs incurred by hospitals is determined in accordance with the 
provisions of Appendix E of 45 CFR part 74, ``Principles for Determining 
Costs Applicable to Research and Development Under Grants and Contracts 
with Hospitals.'' The allowability of costs incurred by commercial 
organizations and those non-profit organizations listed in Attachment C 
to Circular A-122 is determined in accordance with the provisions of the 
Federal Acquisition Regulation (FAR) at 48 CFR part 31.



Sec.  518.28  Period of availability of funds.

    Where a funding period is specified, a recipient may charge to the 
grant only allowable costs resulting from obligations incurred during 
the funding period and any pre-award costs authorized by the Federal 
awarding agency.

                           Property Standards



Sec.  518.30  Purpose of property standards.

    (a) Sections 518.31 through 518.37 set forth uniform standards 
governing management and disposition of property furnished by the 
Federal Government whose cost was charged to a project supported by a 
Federal award. Federal awarding agencies shall require recipients to 
observe these standards under awards and shall not impose additional 
requirements, unless specifically required by Federal statute. The 
recipient may use its own property management standards and procedures 
provided it observes the provisions of Sec. Sec.  518.31 through 518.37.



Sec.  518.31  Insurance coverage.

    Recipients shall, at a minimum, provide the equivalent insurance 
coverage for real property and equipment acquired with Federal funds as 
provided to property owned by the recipient. Federally-owned property 
need not be insured unless required by the terms and conditions of the 
award.



Sec.  518.32  Real property.

    Each Federal awarding agency shall prescribe requirements for 
recipients concerning the use and disposition of real property acquired 
in whole or in part under awards. Unless otherwise provided by statute, 
such requirements, at a minimum, shall contain the following.
    (a) Title to real property shall vest in the recipient subject to 
the condition that the recipient shall use the real property for the 
authorized purpose of the project as long as it is needed and

[[Page 161]]

shall not encumber the property without approval of the Federal awarding 
agency.
    (b) The recipient shall obtain written approval by the Federal 
awarding agency for the use of real property in other federally-
sponsored projects when the recipient determines that the property is no 
longer needed for the purpose of the original project. Use in other 
projects shall be limited to those under federally-sponsored projects 
(i.e., awards) or programs that have purposes consistent with those 
authorized for support by the Federal awarding agencies.
    (c) When the real property is no longer needed as provided in 
paragraphs (a) and (b) of this section, the recipient shall request 
disposition instructions from the Federal awarding agency or its 
successor Federal awarding agency. The Federal awarding agency shall 
observe one or more of the following disposition instructions.
    (1) The recipient may be permitted to retain title without further 
obligation to the Federal Government after it compensates the Federal 
Government for that percentage of the current fair market value of the 
property attributable to the Federal participation in the project.
    (2) The recipient may be directed to sell the property under 
guidelines provided by the Federal awarding agency and pay the Federal 
Government for that percentage of the current fair market value of the 
property attributable to the Federal participation in the project (after 
deducting actual and reasonable selling and fix-up expenses, if any, 
from the sales proceeds). When the recipient is authorized or required 
to sell the property, proper sales procedures shall be established that 
provide for competition to the extent practicable and result in the 
highest possible return.
    (3) The recipient may be directed to transfer title to the property 
to the Federal Government or to an eligible third party provided that, 
in such cases, the recipient shall be entitled to compensation for its 
attributable percentage of the current fair market value of the 
property.



Sec.  518.33  Federally-owned and exempt property.

    (a) Federally-owned property. (1) Title to federally-owned property 
remains vested in the Federal Government. Recipients shall submit 
annually an inventory listing of federally-owned property in their 
custody to the Federal awarding agency. Upon completion of the award or 
when the property is no longer needed, the recipient shall report the 
property to the Federal awarding agency for further Federal agency 
utilization.
    (2) If the Federal awarding agency has no further need for the 
property, it shall be declared excess and reported to the General 
Services Administration, unless the Federal awarding agency has 
statutory authority to dispose of the property by alternative methods 
(e.g., the authority provided by the Federal Technology Transfer Act (15 
U.S.C. 3710(I)) to donate research equipment to educational and non-
profit organizations in accordance with E.O. 12821, ``Improving 
Mathematics and Science Education in Support of the National Education 
Goals.'') Appropriate instructions shall be issued to the recipient by 
the Federal awarding agency.
    (b) Exempt property. When statutory authority exists, the Federal 
awarding agency has the option to vest title to property acquired with 
Federal funds in the recipient without further obligation to the Federal 
Government and under conditions the Federal awarding agency considers 
appropriate. Such property is ``exempt property.'' Should a Federal 
awarding agency not establish conditions, title to exempt property upon 
acquisition shall vest in the recipient without further obligation to 
the Federal Government.



Sec.  518.34  Equipment.

    (a) Title to equipment acquired by a recipient with Federal funds 
shall vest in the recipient, subject to conditions of this section.
    (b) The recipient shall not use equipment acquired with Federal 
funds to provide services to non-Federal outside organizations for a fee 
that is less than private companies charge for equivalent services, 
unless specifically authorized by Federal statute, for as long

[[Page 162]]

as the Federal Government retains an interest in the equipment.
    (c) The recipient shall use the equipment in the project or program 
for which it was acquired as long as needed, whether or not the project 
or program continues to be supported by Federal funds and shall not 
encumber the property without approval of the Federal awarding agency. 
When no longer needed for the original project or program, the recipient 
shall use the equipment in connection with its other federally-sponsored 
activities, in the following order or priority:
    (1) Activities sponsored by the Federal awarding agency which funded 
the original project, then
    (2) Activities sponsored by other Federal awarding agencies.
    (d) During the time that equipment is used on the project or program 
for which it was acquired, the recipient shall make it available for use 
on other projects or programs if such other use will not interfere with 
the work on the project or program for which the equipment was 
originally acquired. First preference for such other use shall be given 
to other projects or programs sponsored by the Federal awarding agency 
that financed the equipment; second preference shall be given to 
projects or programs sponsored by other Federal awarding agencies. If 
the equipment is owned by the Federal Government, use on other 
activities not sponsored by the Federal Government shall be permissible 
if authorized by the Federal awarding agency. User charges shall be 
treated as program income.
    (e) When acquiring replacement equipment, the recipient may use the 
equipment to be replaced as trade-in or sell the equipment and use the 
proceeds to offset the costs of the replacement equipment subject to the 
approval of the Federal awarding agency.
    (f) The recipient's property management standards for equipment 
acquired with Federal funds and federally-owned equipment shall include 
all of the following.
    (1) Equipment records shall be maintained accurately and shall 
include the following information.
    (i) A description of the equipment.
    (ii) Manufacturer's serial number, model number, Federal stock 
number, national stock number, or other identification number.
    (iii) Source of the equipment, including the award number.
    (iv) Whether title vests in the recipient or the Federal Government.
    (v) Acquisition date (or date received, if the equipment was 
furnished by the Federal Government) and cost.
    (vi) Information from which one can calculate the percentage of 
Federal participation in the cost of the equipment (not applicable to 
equipment furnished by the Federal Government).
    (vii) Location and condition of the equipment and the date the 
information was reported.
    (viii) Unit acquisition cost.
    (ix) Ultimate disposition data, including date of disposal and sales 
price or the method used to determine current fair market value where a 
recipient compensates the Federal awarding agency for its share.
    (2) Equipment owned by the Federal Government shall be identified to 
indicate Federal ownership.
    (3) A physical inventory of equipment shall be taken and the results 
reconciled with the equipment records at least once every two years. Any 
differences between quantities determined by the physical inspection and 
those shown in the accounting records shall be investigated to determine 
the causes of the difference. The recipient shall, in connection with 
the inventory, verify the existence, current utilization, and continued 
need for the equipment.
    (4) A control system shall be in effect to insure adequate 
safeguards to prevent loss, damage, or theft of the equipment. Any loss, 
damage, or theft of equipment shall be investigated and fully 
documented; if the equipment was owned by the Federal Government, the 
recipient shall promptly notify the Federal awarding agency.
    (5) Adequate maintenance procedures shall be implemented to keep the 
equipment in good condition.
    (6) Where the recipient is authorized or required to sell the 
equipment, proper sales procedures shall be established which provide 
for competition to the

[[Page 163]]

extent practicable and result in the highest possible return.
    (g) When the recipient no longer needs the equipment, the equipment 
may be used for other activities in accordance with the following 
standards. For equipment with a current per unit fair market value of 
$5,000 or more, the recipient may retain the equipment for other uses 
provided that compensation is made to the original Federal awarding 
agency or its successor. The amount of compensation shall be computed by 
applying the percentage of Federal participation in the cost of the 
original project or program to the current fair market value of the 
equipment. If the recipient has no need for the equipment, the recipient 
shall request disposition instructions from the Federal awarding agency. 
The Federal awarding agency shall determine whether the equipment can be 
used to meet the agency's requirements. If no requirement exists within 
that agency, the availability of the equipment shall be reported to the 
General Services Administration by the Federal awarding agency to 
determine whether a requirement for the equipment exists in other 
Federal agencies. The Federal awarding agency shall issue instructions 
to the recipient no later than 120 calendar days after the recipient's 
request and the following procedures shall govern.
    (1) If so instructed or if disposition instructions are not issued 
within 120 calendar days after the recipient's request, the recipient 
shall sell the equipment and reimburse the Federal awarding agency an 
amount computed by applying to the sales proceeds the percentage of 
Federal participation in the cost of the original project or program. 
However, the recipient shall be permitted to deduct and retain from the 
Federal share $500 or ten percent of the proceeds, whichever is less, 
for the recipient's selling and handling expenses.
    (2) If the recipient is instructed to ship the equipment elsewhere, 
the recipient shall be reimbursed by the Federal Government by an amount 
which is computed by applying the percentage of the recipient's 
participation in the cost of the original project or program to the 
current fair market value of the equipment, plus any reasonable shipping 
or interim storage costs incurred.
    (3) If the recipient is instructed to otherwise dispose of the 
equipment, the recipient shall be reimbursed by the Federal awarding 
agency for such costs incurred in its disposition.
    (4) The Federal awarding agency may reserve the right to transfer 
the title to the Federal Government or to a third party named by the 
Federal Government when such third party is otherwise eligible under 
existing statutes. Such transfer shall be subject to the following 
standards.
    (i) The equipment shall be appropriately identified in the award or 
otherwise made known to the recipient in writing.
    (ii) The Federal awarding agency shall issue disposition 
instructions within 120 calendar days after receipt of a final 
inventory. The final inventory shall list all equipment acquired with 
grant funds and federally-owned equipment. If the Federal awarding 
agency fails to issue disposition instructions within the 120 calendar 
day period, the recipient shall apply the standards of this section, as 
appropriate.
    (iii) When the Federal awarding agency exercises its right to take 
title, the equipment shall be subject to the provisions for federally-
owned equipment.



Sec.  518.35  Supplies and other expendable property.

    (a) Title to supplies and other expendable property shall vest in 
the recipient upon acquisition. If there is a residual inventory of 
unused supplies exceeding $5000 in total aggregate value upon 
termination or completion of the project or program and the supplies are 
not needed for any other federally-sponsored project or program, the 
recipient shall retain the supplies for use on non-Federal sponsored 
activities or sell them, but shall, in either cases, compensate the 
Federal Government for its share. The amount of compensation shall be 
computed in the same manner as for equipment.
    (b) The recipient shall not use supplies acquired with Federal funds 
to provide services to non-Federal outside organizations for a fee that 
is less than

[[Page 164]]

private companies charge for equivalent services, unless specifically 
authorized by Federal statute as long as the Federal Government retains 
an interest in the supplies.



Sec.  518.36  Intangible property.

    (a) The recipient may copyright any work that is subject to 
copyright and was developed, or for which ownership was purchased, under 
an award. The Federal awarding agency(ies) reserve a royalty-free, 
nonexclusive and irrevocable right to reproduce, publish, or otherwise 
use the work for Federal purposes, and to authorize others to do so.
    (b) Recipients are subject to applicable regulations governing 
patents and inventions, including government-wide regulations issued by 
the Department of Commerce at 37 CFR part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts and Cooperative Agreements.''
    (c) Unless waived by the Federal awarding agency, the Federal 
Government has the right to the following:
    (1) Obtain, reproduce, publish or otherwise use the data first 
produced under an award.
    (2) Authorize others to receive, reproduce, publish, or otherwise 
use such data for Federal purposes.
    (d) Title to intangible property and debt instruments acquired under 
an award or subaward vests upon acquisition in the recipient. The 
recipient shall use that property for the originally-authorized purpose, 
and the recipient shall not encumber the property without approval of 
the Federal awarding agency. When no longer needed for the originally 
authorized purpose, disposition of the intangible property shall occur 
in accordance with the provisions of paragraph Sec.  19.34(g).



Sec.  518.37  Property trust relationship.

    Real property, equipment, intangible property and debt instruments 
that are acquired or improved with Federal funds shall be held in trust 
by the recipient as trustee for the beneficiaries of the project or 
program under which the property was acquired or improved. Agencies may 
require recipients to record liens or other appropriate notices of 
record to indicate that personal or real property has been acquired or 
improved with Federal funds and that use and disposition conditions 
apply to the property.

                          Procurement Standards



Sec.  518.40  Purpose of procurement standards.

    Sections 518.41 through 518.48 set forth standards for use by 
recipients in establishing procedures for the procurement of supplies 
and other expendable property, equipment, real property and other 
services with Federal funds. These standards are furnished to ensure 
that such materials and services are obtained in an effective manner and 
in compliance with the provisions of applicable Federal statutes and 
executive orders. No additional procurement standards or requirements 
shall be imposed by the Federal awarding agencies upon recipients, 
unless specifically required by Federal statute or executive order or 
approved by OMB.



Sec.  518.41  Recipient responsibilities.

    The standards contained in this section do not relieve the recipient 
of the contractual responsibilities arising under its contract(s). The 
recipient is the responsible authority, without recourse to the Federal 
awarding agency, regarding the settlement and satisfaction of all 
contractual and administrative issues arising out of procurements 
entered into in support of an award or other agreement. This includes 
disputes, claims, protests of award, source evaluation or other matters 
of a contractual nature. Matters concerning violation of statute are to 
be referred to such Federal, State or local authority as may have proper 
jurisdiction.



Sec.  518.42  Codes of conduct.

    The recipient shall maintain written standards of conduct governing 
the performance of its employees engaged in the award and administration 
of contracts. No employee, officer, or agent shall participate in the 
selection, award, or administration of a contract supported by Federal 
funds if a real or apparent conflict of interest would be involved. Such 
a conflict would arise when the employee, officer, or agent,

[[Page 165]]

any member of his or her immediate family, his or her partner, or an 
organization which employs or is about to employ any of the parties 
indicated herein, has a financial or other interest in the firm selected 
for an award. The officers, employees, and agents of the recipient shall 
neither solicit nor accept gratuities, favors, or anything of monetary 
value from contractors, or parties to subagreements. However, recipients 
may set standards for situations in which the financial interest is not 
substantial or the gift is an unsolicited item of nominal value. The 
standards of conduct shall provide for disciplinary actions to be 
applied for violations of such standards by officers, employees, or 
agents of the recipient.



Sec.  518.43  Competition.

    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. The 
recipient shall be alert to organizational conflicts of interest as well 
as noncompetitive practices among contractors that may restrict or 
eliminate competition or otherwise restrain trade. In order to ensure 
objective contractor performance and eliminate unfair competitive 
advantage, contractors that develop or draft specifications, 
requirements, statements of work, invitations for bids and/or requests 
for proposals shall be excluded from competing for such procurements. 
Awards shall be made to the bidder or offeror whose bid or offer is 
responsive to the solicitation and is most advantageous to the 
recipient, price, quality and other factors considered. Solicitations 
shall clearly set forth all requirements that the bidder or offeror 
shall fulfill in order for the bid or offer to be evaluated by the 
recipient. Any and all bids or offers may be rejected when it is in the 
recipient's interest to do so.



Sec.  518.44  Procurement procedures.

    (a) All recipients shall establish written procurement procedures. 
These procedures shall provide for, at a minimum, that the conditions in 
paragraphs (a)(1), (2) and (3) of this section apply.
    (1) Recipients avoid purchasing unnecessary items.
    (2) Where appropriate, an analysis is made of lease and purchase 
alternatives to determine which would be the most economical and 
practical procurement for the Federal Government.
    (3) Solicitations for goods and services provide for all of the 
following:
    (i) A clear and accurate description of the technical requirements 
for the material, product or service to be procured. In competitive 
procurements, such a description shall not contain features which unduly 
restrict competition.
    (ii) Requirements which the bidder/offeror must fulfill and all 
other factors to be used in evaluating bids or proposals.
    (iii) A description, whenever practicable, of technical requirements 
in terms or functions to be performed or performance required, including 
the range of acceptable characteristics or minimum acceptable standards.
    (iv) The specific features of ``brand name or equal'' descriptions 
that bidders are required to meet when such items are included in the 
solicitation.
    (v) The acceptance, to the extent practicable and economically 
feasible, of products and services dimensioned in the metric system of 
measurement.
    (vi) Preference, to the extent practicable and economically 
feasible, for products and services that conserve natural resources and 
protect the environment and are energy efficient.
    (b) Positive efforts shall be made by recipient to utilize small 
businesses, minority-owned firms, and women's business enterprises, 
whenever possible. Recipients of Federal awards shall take all of the 
following steps to further this goal.
    (1) Ensure that small businesses, minority-owned firms, and women's 
business enterprises are used to the fullest extent practicable.
    (2) Make information on forthcoming opportunities available and 
arrange timeframes for purchases and contracts to encourage and 
facilitate participation by small businesses, minority-owned firms, and 
women's business enterprises.
    (3) Consider in the contract process whether firms competing for 
larger

[[Page 166]]

contracts intend to subcontract with small businesses, minority-owned 
firms, and women's business enterprises.
    (4) Encourage contracting with consortiums of small businesses, 
minority-owned firms and women's business enterprises when a contract is 
too large for one of these firms to handle individually.
    (5) Use of services and assistance, as appropriate, of such 
organizations as the Small Business Administration and the Department of 
Commerce's Minority Business Development Agency in the solicitation and 
utilization of small businesses, minority-owned firms, and women's 
business enterprises.
    (c) The type of procuring instruments used (e.g., fixed price 
contracts, cost reimbursable contracts, purchase orders, and incentive 
contracts) shall be determined by the recipient but shall be appropriate 
for the particular procurement and for promoting the best interest of 
the program or project involved. The ``cost-plus-a-percentage-of-cost'' 
or ``percentage of construction cost'' methods of contracting shall not 
be used.
    (d) Contracts shall be made only with responsible contractors who 
possess the potential ability to perform successfully under the terms 
and conditions of the proposed procurement. Consideration shall be given 
to such matters as contractor integrity, record of past performance, 
financial and technical resources or accessibility to other necessary 
resources. In certain circumstances, contracts with certain parties are 
restricted by the implementation of E.O.'s 12549 and 12689, ``Debarment 
and Suspension.''
    (e) Recipients shall, on request, make available for the Federal 
awarding agency, pre-award review and procurement documents, such as 
request for proposals or invitations for bids, independent cost 
estimates, etc., when any of the following conditions apply.
    (1) A recipient's procurement procedures or operation fails to 
comply with the procurement standards in this part.
    (2) The procurement is expected to exceed the small purchase 
threshold fixed at 41 U.S.C. 403 (11) (currently $25,000) and is to be 
awarded without competition or only one bid or offer is received in 
response to a solicitation.
    (3) The procurement, which is expected to exceed the small purchase 
threshold, specifies a ``brand name'' product.
    (4) The proposed award over the small purchase threshold is to be 
awarded to other than the apparent low bidder under a sealed bid 
procurement.
    (5) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the amount of the small 
purchase threshold.



Sec.  518.45  Cost and price analysis.

    Some form of cost or price analysis shall be made and documented in 
the procurement files in connection with every procurement action. Price 
analysis may be accomplished in various ways, including the comparison 
of price quotations submitted, market prices and similar indicia, 
together with discounts. Cost analysis is the review and evaluation of 
each element of cost to determine reasonableness, allocability and 
allowability.



Sec.  518.46  Procurement records.

    Procurement records and files for purchases in excess of the small 
purchase threshold shall include the following at a minimum:
    (a) Basis for contractor selection,
    (b) Justification for lack of competition when competitive bids or 
offers are not obtained, and
    (c) Basis for award cost or price.



Sec.  518.47  Contract administration.

    A system for contract administration shall be maintained to ensure 
contractor conformance with the terms, conditions and specifications of 
the contract and to ensure adequate and timely follow up of all 
purchases. Recipients shall evaluate contractor performance and 
document, as appropriate, whether contractors have met the terms, 
conditions, and specifications of the contract.



Sec.  518.48  Contract provisions.

    The recipient shall include, in addition to provisions to define a 
sound and

[[Page 167]]

complete agreement, the following provisions in all contracts. The 
following provisions shall also be applied to subcontracts.
    (a) Contracts in excess of the small purchase threshold shall 
contain contractual provisions or conditions that allow for 
administrative, contractual, or legal remedies in instances in which a 
contractor violates or breaches the contract terms, and provide for such 
remedial actions as may be appropriate.
    (b) All contracts in excess of the small purchase threshold shall 
contain suitable provisions for termination by the recipient, including 
the manner by which termination shall be effected and the basis for 
settlement. In addition, such contracts shall describe conditions under 
which the contract may be terminated for default as well as conditions 
where the contract may be terminated because of circumstances beyond the 
control of the contractor.
    (c) Except as otherwise required by statute, an award that requires 
the contracting (or subcontracting) for construction or facility 
improvements shall provide for the recipient to follow its own 
requirements relating to bid guarantees, performance bonds, and payment 
bonds unless the construction contract or subcontract exceeds $100,000. 
For those contracts or subcontracts exceeding $100,000, the Federal 
awarding agency may accept the bonding policy and requirements of the 
recipient, provided the Federal awarding agency has made a determination 
that the Federal Government's interest is adequately protected. If such 
a determination has not been made, the minimum requirements shall be as 
follows.
    (1) A bid guarantee from each bidder equivalent to five percent of 
the bid price. The ``bid guarantee'' shall consist of a firm commitment 
such as a bid bond, certified check, or other negotiable instrument 
accompanying a bid as assurance that the bidder shall, upon acceptance 
of his bid, execute such contractual documents as may be required within 
the time specified.
    (2) A performance bond on the part of the contractor for 100 percent 
of the contract price. A ``performance bond'' is one executed in 
connection with a contract to secure fulfillment of all the contractor's 
obligations under such contract.
    (3) A payment bond on the part of the contractor for 100 percent of 
the contract price. A ``payment bond'' is one executed in connection 
with a contract to assure payment as required by statute of all persons 
supplying labor and material in the execution of the work provided for 
in the contract.
    (4) Where bonds are required in the situations described herein, the 
bonds shall be obtained from companies holding certificates of authority 
as acceptable sureties pursuant to 31 CFR part 223, ``Surety Companies 
Doing Business with the United States.''
    (d) All negotiated contracts (except those for less than the small 
purchase threshold) awarded by recipients shall include a provision to 
the effect that the recipient, the Federal awarding agency, the 
Comptroller General of the United States, or any of their duly 
authorized representatives, shall have access to any books, documents, 
papers and records of the contractor which are directly pertinent to a 
specific program for the purpose of making audits, examinations, 
excerpts and transcriptions.
    (e) All contracts, including small purchases, awarded by recipients 
and their contractors shall contain the procurement provisions of 
Appendix A to this part, as applicable.

                           Reports and Records



Sec.  518.50  Purpose of reports and records.

    Sections 518.51 through 518.53 set forth the procedures for 
monitoring and reporting on the recipient's financial and program 
performance and the necessary standard reporting forms. They also set 
forth record retention requirements.



Sec.  518.51  Monitoring and reporting program performance.

    (a) Recipients are responsible for managing and monitoring each 
project, program, subaward, function or activity supported by the award. 
Recipients shall monitor subawards to ensure subrecipients have met the 
audit requirements as delineated in Sec.  518.26.

[[Page 168]]

    (b) The Federal awarding agency shall prescribe the frequency with 
which the performance reports shall be submitted. Except as provided in 
Sec.  518.51(f), performance reports shall not be required more 
frequently than quarterly or, less frequently than annually. Annual 
reports shall be due 90 calendar days after the grant year; quarterly or 
semi-annual reports shall be due 30 days after the reporting period. The 
Federal awarding agency may require annual reports before the 
anniversary dates of multiple year awards in lieu of these requirements. 
The final performance reports are due 90 calendar days after the 
expiration or termination of the award.
    (c) If inappropriate, a final technical or performance report shall 
not be required after completion of the project.
    (d) When required, performance reports shall generally contain, for 
each award, brief information on each of the following.
    (1) A comparison of actual accomplishments with the goals and 
objectives established for the period, the findings of the investigator, 
or both. Whenever appropriate and the output of programs or projects can 
be readily quantified, such quantitative data should be related to cost 
data for computation of unit costs.
    (2) Reasons why established goals were not met, if appropriate.
    (3) Other pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (e) Recipients shall not be required to submit more than the 
original and two copies of performance reports.
    (f) Recipients shall immediately notify the Federal awarding agency 
of developments that have a significant impact on the award-supported 
activities. Also, notification shall be given in the case of problems, 
delays, or adverse conditions which materially impair the ability to 
meet the objectives of the award. This notification shall include a 
statement of the action taken or contemplated, and any assistance needed 
to resolve the situation.
    (g) Federal awarding agencies may make site visits, as needed.
    (h) Federal awarding agencies shall comply with clearance 
requirements of 5 CFR part 1320 when requesting performance data from 
recipients.



Sec.  518.52  Financial reporting.

    (a) The following forms or such other forms as may be approved by 
OMB are authorized for obtaining financial information from recipients.
    (1) SF-269 or SF-269A, Financial Status Report.
    (i) Each Federal awarding agency shall require recipients to use the 
SF-269 or SF-269A to report the status of funds for all nonconstruction 
projects or programs. A Federal awarding agency may, however, have the 
option of not requiring the SF-269 or SF-269A when the SF-270, Request 
for Advance or Reimbursement, or SF-272, Report of Federal Cash 
Transactions, is determined to provide adequate information to meet its 
needs, except that a final SF-269 or SF-269A shall be required at the 
completion of the project when the SF-270 is used only for advances.
    (ii) The Federal awarding agency shall prescribe whether the report 
shall be on a cash or accrual basis. If the Federal awarding agency 
requires accrual information and the recipient's accounting records are 
not normally kept on the accrual basis, the recipient shall not be 
required to convert its accounting system, but shall develop such 
accrual information through best estimates based on an analysis of the 
documentation on hand.
    (iii) The Federal awarding agency shall determine the frequency of 
the Financial Status Report for each project or program, considering the 
size and complexity of the particular project or program. However, the 
report shall not be required more frequently than quarterly or less 
frequently than annually. A final report shall be required at the 
completion of the agreement.
    (iv) The Federal awarding agency shall require recipients to submit 
the SF-269 or SF-269A (an original and no more than two copies) no later 
than 30 days after the end of each specified reporting period for 
quarterly and semi-annual reports, and 90 calendar days for annual and 
final reports. Extensions of reporting due dates may be approved by the 
Federal awarding agency upon request of the recipient.

[[Page 169]]

    (2) SF-272, Report of Federal Cash Transactions.
    (i) When funds are advanced to recipients the Federal awarding 
agency shall require each recipient to submit the SF-272 and, when 
necessary, its continuation sheet, SF-272a. The Federal awarding agency 
shall use this report to monitor cash advanced to recipients and to 
obtain disbursement information for each agreement with the recipients.
    (ii) Federal awarding agencies may require forecasts of Federal cash 
requirements in the ``Remarks'' section of the report.
    (iii) When practical and deemed necessary, Federal awarding agencies 
may require recipients to report in the ``Remarks'' section the amount 
of cash advances received in excess of three days. Recipients shall 
provide short narrative explanations of actions taken to reduce the 
excess balances.
    (iv) Recipients shall be required to submit not more than the 
original and two copies of the SF-272 15 calendar days following the end 
of each quarter. The Federal awarding agencies may require a monthly 
report from those recipients receiving advances totaling $1 million or 
more per year.
    (v) Federal awarding agencies may waive the requirement for 
submission of the SF-272 for any one of the following reasons:
    (A) When monthly advances do not exceed $25,000 per recipient, 
provided that such advances are monitored through other forms contained 
in this section;
    (B) If, in the Federal awarding agency's opinion, the recipient's 
accounting controls are adequate to minimize excessive Federal advances; 
or,
    (C) When the electronic payment mechanisms provide adequate data.
    (b) When the Federal awarding agency needs additional information or 
more frequent reports, the following shall be observed.
    (1) When additional information is needed to comply with legislative 
requirements, Federal awarding agencies shall issue instructions to 
require recipients to submit such information under the ``Remarks'' 
section of the reports.
    (2) When a Federal awarding agency determines that a recipient's 
accounting system does not meet the standards in Sec.  518.21, 
additional pertinent information to further monitor awards may be 
obtained upon written notice to the recipient until such time as the 
system is brought up to standard. The Federal awarding agency, in 
obtaining this information, shall comply with report clearance 
requirements of 5 CFR part 1320.
    (3) Federal awarding agencies are encouraged to shade out any line 
item on any report if not necessary.
    (4) Federal awarding agencies may accept the identical information 
from the recipients in machine readable format or computer printouts or 
electronic outputs in lieu of prescribed formats.
    (5) Federal awarding agencies may provide computer or electronic 
outputs to recipients when such expedites or contributes to the accuracy 
of reporting.



Sec.  518.53  Retention and access requirements for records.

    (a) This section sets forth requirements for record retention and 
access to records for awards to recipients. Federal awarding agencies 
shall not impose any other record retention or access requirements upon 
recipients.
    (b) Financial records, supporting documents, statistical records, 
and all other records pertinent to an award shall be retained for a 
period of three years from the date of submission of the final 
expenditure report or, for awards that are renewed quarterly or 
annually, from the date of the submission of the quarterly or annual 
financial report, as authorized by the Federal awarding agency. The only 
exceptions are the following.
    (1) If any litigation, claim, or audit is started before the 
expiration of the 3-year period, the records shall be retained until all 
litigation, claims or audit findings involving the records have been 
resolved and final action taken.
    (2) Records for real property and equipment acquired with Federal 
funds shall be retained for 3 years after final disposition.

[[Page 170]]

    (3) When records are transferred to or maintained by the Federal 
awarding agency, the 3-year retention requirement is not applicable to 
the recipient.
    (4) Indirect cost rate proposals, cost allocations plans, etc. as 
specified in paragraph Sec.  518.53(g).
    (c) Copies of original records may be substituted for the original 
records if authorized by the Federal awarding agency.
    (d) The Federal awarding agency shall request transfer of certain 
records to its custody from recipients when it determines that the 
records possess long term retention value. However, in order to avoid 
duplicate recordkeeping, a Federal awarding agency may make arrangements 
for recipients to retain any records that are continuously needed for 
joint use.
    (e) The Federal awarding agency, the Inspector General, Comptroller 
General of the United States, or any of their duly authorized 
representatives, have the right of timely and unrestricted access to any 
books, documents, papers, or other records of recipients that are 
pertinent to the awards, in order to make audits, examinations, 
excerpts, transcripts and copies of such documents. This right also 
includes timely and reasonable access to a recipient's personnel for the 
purpose of interview and discussion related to such documents. The 
rights of access in this paragraph are not limited to the required 
retention period, but shall last as long as records are retained.
    (f) Unless required by statute, no Federal awarding agency shall 
place restrictions on recipients that limit public access to the records 
of recipients that are pertinent to an award, except when the Federal 
awarding agency can demonstrate that such records shall be kept 
confidential and would have been exempted from disclosure pursuant to 
the Freedom of Information Act (5 U.S.C. 552) if the records had 
belonged to the Federal awarding agency.
    (g) Indirect cost rate proposals, cost allocations plans, etc. 
Paragraphs (g)(1) and (g)(2) of this section apply to the following 
types of documents, and their supporting records: indirect cost rate 
computations or proposals, cost allocation plans, and any similar 
accounting computations of the rate at which a particular group of costs 
is chargeable (such as computer usage chargeback rates or composite 
fringe benefit rates).
    (1) If submitted for negotiation. If the recipient submits to the 
Federal awarding agency or the subrecipient submits to the recipient the 
proposal, plan, or other computation to form the basis for negotiation 
of the rate, then the 3-year retention period for its supporting records 
starts on the date of such submission.
    (2) If not submitted for negotiation. If the recipient is not 
required to submit to the Federal awarding agency or the subrecipient is 
not required to submit to the recipient the proposal, plan, or other 
computation for negotiation purposes, then the 3-year retention period 
for the proposal, plan, or other computation and its supporting records 
starts at the end of the fiscal year (or other accounting period) 
covered by the proposal, plan, or other computation.

                       Termination and Enforcement



Sec.  518.60  Purpose of termination and enforcement.

    Sections 518.61 and 518.62 set forth uniform suspension, termination 
and enforcement procedures.



Sec.  518.61  Termination.

    (a) Awards may be terminated in whole or in part only if the 
conditions in paragraphs (a)(1), (2) or (3) of this section apply.
    (1) By the Federal awarding agency, if a recipient materially fails 
to comply with the terms and conditions of an award.
    (2) By the Federal awarding agency with the consent of the 
recipient, in which case the two parties shall agree upon the 
termination conditions, including the effective date and, in the case of 
partial termination, the portion to be terminated.
    (3) By the recipient upon sending to the Federal awarding agency 
written notification setting forth the reasons for such termination, the 
effective date, and, in the case of partial termination, the portion to 
be terminated.

[[Page 171]]

However, if the Federal awarding agency determines in the case of 
partial termination that the reduced or modified portion of the grant 
will not accomplish the purposes for which the grant was made, it may 
terminate the grant in its entirety under either paragraphs (a)(1) or 
(2) of this section.
    (b) If costs are allowed under an award, the responsibilities of the 
recipient referred to in Sec.  518.71(a), including those for property 
management as applicable, shall be considered in the termination of the 
award, and provision shall be made for continuing responsibilities of 
the recipient after termination, as appropriate.



Sec.  518.62  Enforcement.

    (a) Remedies for noncompliance. If a recipient materially fails to 
comply with the terms and conditions of an award, whether stated in a 
Federal statute, regulation, assurance, application, or notice of award, 
the Federal awarding agency may, in addition to imposing any of the 
special conditions outlined in Sec.  518.14, take one or more of the 
following actions, as appropriate in the circumstances.
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the recipient or more severe enforcement action by the 
Federal awarding agency.
    (2) Disallow (that is, deny both use of funds and any applicable 
matching credit for) all or part of the cost of the activity or action 
not in compliance.
    (3) Wholly or partly suspend or terminate the current award.
    (4) Without further awards for the project or program.
    (5) Take other remedies that may be legally available.
    (b) Hearings and appeals. In taking an enforcement action, the 
awarding agency shall provide the recipient an opportunity for hearing, 
appeal, or other administrative proceeding to which the recipient is 
entitled under any statute or regulation applicable to the action 
involved.
    (c) Effects of suspension and termination. Costs of a recipient 
resulting from obligations incurred by the recipient during a suspension 
or after termination of an award are not allowable unless the awarding 
agency expressly authorizes them in the notice of suspension or 
termination or subsequently. Other recipient costs during suspension or 
after termination which are necessary and not reasonably avoidable are 
allowable if the conditions in paragraphs (c) (1) or (2) of this section 
apply.
    (1) The costs result from obligations which were properly incurred 
by the recipient before the effective date of suspension or termination, 
are not in anticipation of it, and in the case of a termination, are 
noncancellable.
    (2) The costs would be allowable if the award were not suspended or 
expired normally at the end of the funding period in which the 
termination takes effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude a recipient from being subject to debarment 
and suspension under E.O.s 12549 and 12689 and the Federal awarding 
agency implementing regulations (see Sec.  518.13).



                 Subpart D_After-the-Award Requirements



Sec.  518.70  Purpose.

    Sections 518.71 through 518.73 contain closeout procedures and other 
procedures for subsequent disallowances and adjustments.



Sec.  518.71  Closeout procedures.

    (a) Recipients shall submit, within 90 calendar days after the date 
of completion of the award, all financial, performance, and other 
reports as required by the terms and conditions of the award. The 
Federal awarding agency may approve extensions when requested by the 
recipient.
    (b) Unless the Federal awarding agency authorizes an extension, a 
recipient shall liquidate all obligations incurred under the award not 
later than 90 calendar days after the funding period or the date of 
completion as specified in the terms and conditions of the award or in 
agency implementing instructions.

[[Page 172]]

    (c) The Federal awarding agency shall make prompt payments to a 
recipient for allowable reimbursable costs under the award being closed 
out.
    (d) The recipient shall promptly refund any balances of unobligated 
cash that the Federal awarding agency has advanced or paid and that is 
not authorized to be retained by the recipient for use in other 
projects. OMB Circular A-129 governs unreturned amounts that become 
delinquent debts.
    (e) When authorized by the terms and conditions of the award, the 
Federal awarding agency shall make a settlement for any upward or 
downward adjustments to the Federal share of costs after closeout 
reports are received.
    (f) The recipient shall account for any real and personal property 
acquired with Federal funds or received from the Federal Government in 
accordance with Sec. Sec.  518.31 through 518.37.
    (g) In the event a final audit has not been performed prior to the 
closeout of an award, the Federal awarding agency shall retain the right 
to recover an appropriate amount after fully considering the 
recommendations on disallowing costs resulting from the final audit.



Sec.  518.72  Subsequent adjustments and continuing responsibilities.

    (a) The closeout of an award does not affect any of the following.
    (1) The right of the Federal awarding agency to disallow costs and 
recover funds on the basis of a later audit or other review.
    (2) The obligation of the recipient to return any funds due as a 
result of later refunds, corrections, or other transactions.
    (3) Audit requirements in Sec.  518.26.
    (4) Property management requirements in Sec. Sec.  518.31 through 
518.37.
    (5) Records retention as required in Sec.  518.53.
    (b) After closeout of an award, a relationship created under an 
award may be modified or ended in whole or in part with the consent of 
the Federal awarding agency and the recipient, provided the 
responsibilities of the recipient referred to in Sec.  518.73(a), 
including those for property management as applicable, are considered 
and provisions made for continuing responsibilities of the recipient, as 
appropriate.



Sec.  518.73  Collection of amounts due.

    (a) Any funds paid to a recipient in excess of the amount to which 
the recipient is finally determined to be entitled under the terms and 
conditions of the award constitute a debt to the Federal Government. If 
not paid within a reasonable period after the demand for payment, the 
Federal awarding agency may reduce the debt by the provisions of 
paragraphs (a) (1), (2) or (3) of this section.
    (1) Making an administrative offset against other requests for 
reimbursements.
    (2) Withholding advance payments otherwise due to the recipient.
    (3) Taking over action permitted by statute.
    (b) Except as otherwise provided by law, the Federal awarding agency 
shall charge interest on an overdue debt in accordance with 4 CFR 
chapter II, ``Federal Claims Collection Standards.''



            Sec. Appendix A to Part 518--Contract Provisions

    All contracts, awarded by a recipient including small purchases, 
shall contain the following provisions as applicable:
    1. Equal Employment Opportunity--All contracts shall contain a 
provision requiring compliance with E.O. 11246, ``Equal Employment 
Opportunity,'' as amended by E.O. 11375, ``Amending Executive Order 
11246 Relating to Equal Employment Opportunity,'' and as supplemented by 
regulations at 41 CFR part 60, ``Office of Federal Contract Compliance 
Programs, Equal Employment Opportunity, Department of Labor.''
    2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C. 
276c)--All contracts and subgrants in excess of $2,000 for construction 
or repair awarded by recipients and subrecipients shall include a 
provision for compliance with the Copeland ``Anti-Kickback'' Act (18 
U.S.C. 874), as supplemented by Department of Labor regulations (29 CFR 
part 3, ``Contractors and Subcontractors on Public Building or Public 
Work Financed in Whole or in part by Loans or Grants from the United 
States''). The Act provides that each contractor or subrecipient shall 
be prohibited from inducing, by any means, any person employed in the 
construction, completion, or repair of public work, to give up any part 
of the compensation to which he is otherwise

[[Page 173]]

entitled. The recipient shall report all suspected or reported 
violations to the Federal awarding agency.
    3. Davis-Bacon Act, as amended (40 U.S.C. 276a to a-7)--When 
required by Federal program legislation, all construction contracts 
awarded by the recipients and subrecipients of more than $2,000 shall 
include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 
276a to a-7) and as supplemented by Department of Labor regulations (29 
CFR part 5, ``Labor Standards Provisions Applicable to Contracts 
Governing Federally Financed and Assisted Construction''). Under this 
Act, contractors shall be required to pay wages to laborers and 
mechanics at a rate not less than the minimum wages specified in a wage 
determination made by the Secretary of Labor. In addition, contractors 
shall be required to pay wages not less than once a week. The recipient 
shall place a copy of the current prevailing wage determination issued 
by the Department of Labor in each solicitation and the award of a 
contract shall be conditioned upon the acceptance of the wage 
determination. The recipient shall report all suspected or reported 
violations to the Federal awarding agency.
    4. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in excess of 
$2,000 for construction contracts and in excess of $2,500 for other 
contracts that involve the employment of mechanics or laborers shall 
include a provision for compliance with Sections 102 and 107 of the 
Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), as 
supplemented by Department of Labor regulations (29 CFR part 5). Under 
Section 102 of the Act, each contractor shall be required to compute the 
wages of every mechanic and laborer on the basis of a standard work week 
of 40 hours. Work in excess of the standard work week is permissible 
provided that the worker is compensated at a rate of not less than 1\1/
2\ times the basic rate of pay for all hours worked in excess of 40 
hours in the work week. Section 107 of the Act is applicable to 
construction work and provides that no laborer or mechanic shall be 
required to work in surroundings or under working conditions which are 
unsanitary, hazardous or dangerous. These requirements do not apply to 
the purchases of supplies or materials or articles ordinarily available 
on the open market, or contracts for transportation or transmission of 
intelligence.
    5. Rights to Inventions Made Under a Contract or Agreement--
Contracts or agreements for the performance of experimental, 
developmental, or research work shall provide for the right of the 
Federal Government and the recipient in any resulting invention in 
accordance with 37 CFR part 401, ``Rights to Inventions Made by 
Nonprofit Organizations and Small Business Firms Under Government 
Grants, Contracts and Cooperative Agreements,'' and any implementing 
regulations issued by the awarding agency.
    6. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water 
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--Contracts 
and subgrants of amounts in excess of $100,000 shall contain a provision 
that requires the recipient to agree to comply with all applicable 
standards, orders or regulations issued pursuant to the Clean Air Act 
(42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as 
amended (33 U.S.C. 1251 et seq.). Violations shall be reported to the 
Federal awarding agency and the Regional Office of the Environmental 
Protection Agency (EPA).
    7. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who 
apply or bid for an award of $100,000 or more shall file the required 
certification. Each tier certifies to the tier above that it will not 
and has not used Federal appropriated funds to pay any person or 
organization for influencing or attempting to influence an officer or 
employee of any agency, a member of Congress, officer or employee of 
Congress, or an employee of a member of Congress in connection with 
obtaining any Federal contract, grant or any other award covered by 31 
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal 
funds that takes place in connection with obtaining any Federal award. 
Such disclosures are forwarded from tier to tier up to the recipient.
    8. Debarment and Suspension (E.O.s 12549 and 12689)--No contract 
shall be made to parties listed on the General Services Administration's 
List of Parties Excluded from Federal Procurement or Nonprocurement 
Programs in accordance with E.O.s 12549 and 12689, ``Debarment and 
Suspension'' and 49 CFR part 29. This list contains the names of parties 
debarred, suspended, or otherwise excluded by agencies, and contractors 
declared ineligible under statutory or regulatory authority other than 
E.O. 12549. Contractors with awards that exceed the small purchase 
threshold shall provide the required certification regarding its 
exclusion status and that of its principal employees.



PART 519_NEW RESTRICTIONS ON LOBBYING--Table of Contents



                            Subpart A_General

Sec.
519.100 Conditions on use of funds.
519.105 Definitions.
519.110 Certification and disclosure.

                  Subpart B_Activities by Own Employees

519.200 Agency and legislative liaison.
519.205 Professional and technical services.
519.210 Reporting.

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            Subpart C_Activities by Other than Own Employees

519.300 Professional and technical services.

                   Subpart D_Penalties and Enforcement

519.400 Penalties.
519.405 Penalty procedures.
519.410 Enforcement.

                          Subpart E_Exemptions

519.500 Secretary of Defense.

                        Subpart F_Agency Reports

519.600 Semi-annual compilation.
519.605 Inspector General report.

Appendix A to Part 519--Certification Regarding Lobbying
Appendix B to Part 519--Disclosure Form To Report Lobbying

    Authority: Sec. 319, Public Law 101-121 (31 U.S.C. 1352); 41 U.S.C. 
701 et seq.

    Source: 55 FR 6737, 6750, Feb. 26, 1990, unless otherwise noted.

    Cross Reference: See also Office of Management and Budget notice 
published at 54 FR 52306, December 20, 1989.



                            Subpart A_General



Sec.  519.100  Conditions on use of funds.

    (a) No appropriated funds may be expended by the recipient of a 
Federal contract, grant, loan, or cooperative ageement to pay any person 
for influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with any of the following 
covered Federal actions: the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (b) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or cooperative agreement shall file with that 
agency a certification, set forth in appendix A, that the person has not 
made, and will not make, any payment prohibited by paragraph (a) of this 
section.
    (c) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or a cooperative agreement shall file with that 
agency a disclosure form, set forth in appendix B, if such person has 
made or has agreed to make any payment using nonappropriated funds (to 
include profits from any covered Federal action), which would be 
prohibited under paragraph (a) of this section if paid for with 
appropriated funds.
    (d) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a statement, set forth in appendix A, whether that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.
    (e) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a disclosure form, set forth in appendix B, if that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.



Sec.  519.105  Definitions.

    For purposes of this part:
    (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal 
executive departments and agencies as well as independent regulatory 
commissions and Government corporations, as defined in 31 U.S.C. 
9101(1).
    (b) Covered Federal action means any of the following Federal 
actions:
    (1) The awarding of any Federal contract;
    (2) The making of any Federal grant;
    (3) The making of any Federal loan;
    (4) The entering into of any cooperative agreement; and,
    (5) The extension, continuation, renewal, amendment, or modification 
of

[[Page 175]]

any Federal contract, grant, loan, or cooperative agreement.


Covered Federal action does not include receiving from an agency a 
commitment providing for the United States to insure or guarantee a 
loan. Loan guarantees and loan insurance are addressed independently 
within this part.
    (c) Federal contract means an acquisition contract awarded by an 
agency, including those subject to the Federal Acquisition Regulation 
(FAR), and any other acquisition contract for real or personal property 
or services not subject to the FAR.
    (d) Federal cooperative agreement means a cooperative agreement 
entered into by an agency.
    (e) Federal grant means an award of financial assistance in the form 
of money, or property in lieu of money, by the Federal Government or a 
direct appropriation made by law to any person. The term does not 
include technical assistance which provides services instead of money, 
or other assistance in the form of revenue sharing, loans, loan 
guarantees, loan insurance, interest subsidies, insurance, or direct 
United States cash assistance to an individual.
    (f) Federal loan means a loan made by an agency. The term does not 
include loan guarantee or loan insurance.
    (g) Indian tribe and tribal organization have the meaning provided 
in section 4 of the Indian Self-Determination and Education Assistance 
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions 
of Indian tribes in that Act.
    (h) Influencing or attempting to influence means making, with the 
intent to influence, any communication to or appearance before an 
officer or employee or any agency, a Member of Congress, an officer or 
employee of Congress, or an employee of a Member of Congress in 
connection with any covered Federal action.
    (i) Loan guarantee and loan insurance means an agency's guarantee or 
insurance of a loan made by a person.
    (j) Local government means a unit of government in a State and, if 
chartered, established, or otherwise recognized by a State for the 
performance of a governmental duty, including a local public authority, 
a special district, an intrastate district, a council of governments, a 
sponsor group representative organization, and any other instrumentality 
of a local government.
    (k) Officer or employee of an agency includes the following 
individuals who are employed by an agency:
    (1) An individual who is appointed to a position in the Government 
under title 5, U.S. Code, including a position under a temporary 
appointment;
    (2) A member of the uniformed services as defined in section 101(3), 
title 37, U.S. Code;
    (3) A special Government employee as defined in section 202, title 
18, U.S. Code; and,
    (4) An individual who is a member of a Federal advisory committee, 
as defined by the Federal Advisory Committee Act, title 5, U.S. Code 
appendix 2.
    (l) Person means an individual, corporation, company, association, 
authority, firm, partnership, society, State, and local government, 
regardless of whether such entity is operated for profit or not for 
profit. This term excludes an Indian tribe, tribal organization, or any 
other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (m) Reasonable compensation means, with respect to a regularly 
employed officer or employee of any person, compensation that is 
consistent with the normal compensation for such officer or employee for 
work that is not furnished to, not funded by, or not furnished in 
cooperation with the Federal Government.
    (n) Reasonable payment means, with respect to perfessional and other 
technical services, a payment in an amount that is consistent with the 
amount normally paid for such services in the private sector.
    (o) Recipient includes all contractors, subcontractors at any tier, 
and subgrantees at any tier of the recipient of funds received in 
connection with a Federal contract, grant, loan, or cooperative 
agreement. The term excludes an Indian tribe, tribal organization, or 
any other Indian organization with respect to expenditures specifically 
permitted by other Federal law.

[[Page 176]]

    (p) Regularly employed means, with respect to an officer or employee 
of a person requesting or receiving a Federal contract, grant, loan, or 
cooperative agreement or a commitment providing for the United States to 
insure or guarantee a loan, an officer or employee who is employed by 
such person for at least 130 working days within one year immediately 
preceding the date of the submission that initiates agency consideration 
of such person for receipt of such contract, grant, loan, cooperative 
agreement, loan insurance commitment, or loan guarantee commitment. An 
officer or employee who is employed by such person for less than 130 
working days within one year immediately preceding the date of the 
submission that initiates agency consideration of such person shall be 
considered to be regularly employed as soon as he or she is employed by 
such person for 130 working days.
    (q) State means a State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, a territory or possession of 
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and 
powers.



Sec.  519.110  Certification and disclosure.

    (a) Each person shall file a certification, and a disclosure form, 
if required, with each submission that initiates agency consideration of 
such person for:
    (1) Award of a Federal contract, grant, or cooperative agreement 
exceeding $100,000; or
    (2) An award of a Federal loan or a commitment providing for the 
United States to insure or guarantee a loan exceeding $150,000.
    (b) Each person shall file a certification, and a disclosure form, 
if required, upon receipt by such person of:
    (1) A Federal contract, grant, or cooperative agreement exceeding 
$100,000; or
    (2) A Federal loan or a commitment providing for the United States 
to insure or guarantee a loan exceeding $150,000,


Unless such person previously filed a certification, and a disclosure 
form, if required, under paragraph (a) of this section.
    (c) Each person shall file a disclosure form at the end of each 
calendar quarter in which there occurs any event that requires 
disclosure or that materially affects the accuracy of the information 
contained in any disclosure form previously filed by such person under 
paragraphs (a) or (b) of this section. An event that materially affects 
the accuracy of the information reported includes:
    (1) A cumulative increase of $25,000 or more in the amount paid or 
expected to be paid for influencing or attempting to influence a covered 
Federal action; or
    (2) A change in the person(s) or individual(s) influencing or 
attempting to influence a covered Federal action; or,
    (3) A change in the officer(s), employee(s), or Member(s) contacted 
to influence or attempt to influence a covered Federal action.
    (d) Any person who requests or receives from a person referred to in 
paragraphs (a) or (b) of this section:
    (1) A subcontract exceeding $100,000 at any tier under a Federal 
contract;
    (2) A subgrant, contract, or subcontract exceeding $100,000 at any 
tier under a Federal grant;
    (3) A contract or subcontract exceeding $100,000 at any tier under a 
Federal loan exceeding $150,000; or,
    (4) A contract or subcontract exceeding $100,000 at any tier under a 
Federal cooperative agreement,


Shall file a certification, and a disclosure form, if required, to the 
next tier above.
    (e) All disclosure forms, but not certifications, shall be forwarded 
from tier to tier until received by the person referred to in paragraphs 
(a) or (b) of this section. That person shall forward all disclosure 
forms to the agency.
    (f) Any certification or disclosure form filed under paragraph (e) 
of this section shall be treated as a material representation of fact 
upon which all receiving tiers shall rely. All liability arising from an 
erroneous representation shall be borne solely by the tier filing that 
representation and shall not be shared by any tier to which the 
erroneous representation is forwarded. Submitting an erroneous 
certification

[[Page 177]]

or disclosure constitutes a failure to file the required certification 
or disclosure, respectively. If a person fails to file a required 
certification or disclosure, the United States may pursue all available 
remedies, including those authorized by section 1352, title 31, U.S. 
Code.
    (g) For awards and commitments in process prior to December 23, 
1989, but not made before that date, certifications shall be required at 
award or commitment, covering activities occurring between December 23, 
1989, and the date of award or commitment. However, for awards and 
commitments in process prior to the December 23, 1989 effective date of 
these provisions, but not made before December 23, 1989, disclosure 
forms shall not be required at time of award or commitment but shall be 
filed within 30 days.
    (h) No reporting is required for an activity paid for with 
appropriated funds if that activity is allowable under either subpart B 
or C.



                  Subpart B_Activities by Own Employees



Sec.  519.200  Agency and legislative liaison.

    (a) The prohibition on the use of appropriated funds, in Sec.  
519.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement if 
the payment is for agency and legislative liaison activities not 
directly related to a covered Federal action.
    (b) For purposes of paragraph (a) of this section, providing any 
information specifically requested by an agency or Congress is allowable 
at any time.
    (c) For purposes of paragraph (a) of this section, the following 
agency and legislative liaison activities are allowable at any time only 
where they are not related to a specific solicitation for any covered 
Federal action:
    (1) Discussing with an agency (including individual demonstrations) 
the qualities and characteristics of the person's products or services, 
conditions or terms of sale, and service capabilities; and,
    (2) Technical discussions and other activities regarding the 
application or adaptation of the person's products or services for an 
agency's use.
    (d) For purposes of paragraph (a) of this section, the following 
agencies and legislative liaison activities are allowable only where 
they are prior to formal solicitation of any covered Federal action:
    (1) Providing any information not specifically requested but 
necessary for an agency to make an informed decision about initiation of 
a covered Federal action;
    (2) Technical discussions regarding the preparation of an 
unsolicited proposal prior to its official submission; and,
    (3) Capability presentations by persons seeking awards from an 
agency pursuant to the provisions of the Small Business Act, as amended 
by Public Law 95-507 and other subsequent amendments.
    (e) Only those activities expressly authorized by this section are 
allowable under this section.



Sec.  519.205  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
519.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement or 
an extension, continuation, renewal, amendment, or modification of a 
Federal contract, grant, loan, or cooperative agreement if payment is 
for professional or technical services rendered directly in the 
preparation, submission, or negotiation of any bid, proposal, or 
application for that Federal contract, grant, loan, or cooperative 
agreement or for meeting requirements imposed by or pursuant to law as a 
condition for receiving that Federal contract, grant, loan, or 
cooperative agreement.
    (b) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal

[[Page 178]]

by a lawyer is allowable. Similarly, technical advice provided by an 
engineer on the performance or operational capability of a piece of 
equipment rendered directly in the negotiation of a contract is 
allowable. However, communications with the intent to influence made by 
a professional (such as a licensed lawyer) or a technical person (such 
as a licensed accountant) are not allowable under this section unless 
they provide advice and analysis directly applying their professional or 
technical expertise and unless the advice or analysis is rendered 
directly and solely in the preparation, submission or negotiation of a 
covered Federal action. Thus, for example, communications with the 
intent to influence made by a lawyer that do not provide legal advice or 
analysis directly and solely related to the legal aspects of his or her 
client's proposal, but generally advocate one proposal over another are 
not allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (c) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (d) Only those services expressly authorized by this section are 
allowable under this section.



Sec.  519.210  Reporting.

    No reporting is required with respect to payments of reasonable 
compensation made to regularly employed officers or employees of a 
person.



            Subpart C_Activities by Other than Own Employees



Sec.  519.300  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
519.100 (a), does not apply in the case of any reasonable payment to a 
person, other than an officer or employee of a person requesting or 
receiving a covered Federal action, if the payment is for professional 
or technical services rendered directly in the preparation, submission, 
or negotiation of any bid, proposal, or application for that Federal 
contract, grant, loan, or cooperative agreement or for meeting 
requirements imposed by or pursuant to law as a condition for receiving 
that Federal contract, grant, loan, or cooperative agreement.
    (b) The reporting requirements in Sec.  519.110 (a) and (b) 
regarding filing a disclosure form by each person, if required, shall 
not apply with respect to professional or technical services rendered 
directly in the preparation, submission, or negotiation of any 
commitment providing for the United States to insure or guarantee a 
loan.
    (c) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting or a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of

[[Page 179]]

his or her client's proposal, but generally advocate one proposal over 
another are not allowable under this section because the lawyer is not 
providing professional legal services. Similarly, communications with 
the intent to influence made by an engineer providing an engineering 
analysis prior to the preparation or submission of a bid or proposal are 
not allowable under this section since the engineer is providing 
technical services but not directly in the preparation, submission or 
negotiation of a covered Federal action.
    (d) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (e) Persons other than officers or employees of a person requesting 
or receiving a covered Federal action include consultants and trade 
associations.
    (f) Only those services expressly authorized by this section are 
allowable under this section.



                   Subpart D_Penalties and Enforcement



Sec.  519.400  Penalties.

    (a) Any person who makes an expenditure prohibited herein shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
appendix B) to be filed or amended if required herein, shall be subject 
to a civil penalty of not less than $10,000 and not more than $100,000 
for each such failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is commenced 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action is commenced with 
respect to a failure when an investigating official determines in 
writing to commence an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, the agency 
shall consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of such person to continue in 
business, any prior violations by such person, the degree of culpability 
of such person, the ability of the person to pay the penalty, and such 
other matters as may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $10,000, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $10,000 and $100,000, as 
determined by the agency head or his or her designee.
    (f) An imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of such civil 
penalty.



Sec.  519.405  Penalty procedures.

    Agencies shall impose and collect civil penalties pursuant to the 
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 
3812, insofar as these provisions are not inconsistent with the 
requirements herein.



Sec.  519.410  Enforcement.

    The head of each agency shall take such actions as are necessary to 
ensure that the provisions herein are vigorously implemented and 
enforced in that agency.



                          Subpart E_Exemptions



Sec.  519.500  Secretary of Defense.

    (a) The Secretary of Defense may exempt, on a case-by-case basis, a 
covered Federal action from the prohibition whenever the Secretary 
determines, in writing, that such an exemption is in the national 
interest. The Secretary shall transmit a copy of each such written 
exemption to Congress immediately after making such a determination.

[[Page 180]]

    (b) The Department of Defense may issue supplemental regulations to 
implement paragraph (a) of this section.



                        Subpart F_Agency Reports



Sec.  519.600  Semi-annual compilation.

    (a) The head of each agency shall collect and compile the disclosure 
reports (see appendix B) and, on May 31 and November 30 of each year, 
submit to the Secretary of the Senate and the Clerk of the House of 
Representatives a report containing a compilation of the information 
contained in the disclosure reports received during the six-month period 
ending on March 31 or September 30, respectively, of that year.
    (b) The report, including the compilation, shall be available for 
public inspection 30 days after receipt of the report by the Secretary 
and the Clerk.
    (c) Information that involves intelligence matters shall be reported 
only to the Select Committee on Intelligence of the Senate, the 
Permanent Select Committee on Intelligence of the House of 
Representatives, and the Committees on Appropriations of the Senate and 
the House of Representatives in accordance with procedures agreed to by 
such committees. Such information shall not be available for public 
inspection.
    (d) Information that is classified under Executive Order 12356 or 
any successor order shall be reported only to the Committee on Foreign 
Relations of the Senate and the Committee on Foreign Affairs of the 
House of Representatives or the Committees on Armed Services of the 
Senate and the House of Representatives (whichever such committees have 
jurisdiction of matters involving such information) and to the 
Committees on Appropriations of the Senate and the House of 
Representatives in accordance with procedures agreed to by such 
committees. Such information shall not be available for public 
inspection.
    (e) The first semi-annual compilation shall be submitted on May 31, 
1990, and shall contain a compilation of the disclosure reports received 
from December 23, 1989 to March 31, 1990.
    (f) Major agencies, designated by the Office of Management and 
Budget (OMB), are required to provide machine-readable compilations to 
the Secretary of the Senate and the Clerk of the House of 
Representatives no later than with the compilations due on May 31, 1991. 
OMB shall provide detailed specifications in a memorandum to these 
agencies.
    (g) Non-major agencies are requested to provide machine-readable 
compilations to the Secretary of the Senate and the Clerk of the House 
of Representatives.
    (h) Agencies shall keep the originals of all disclosure reports in 
the official files of the agency.



Sec.  519.605  Inspector General report.

    (a) The Inspector General, or other official as specified in 
paragraph (b) of this section, of each agency shall prepare and submit 
to Congress each year, commencing with submission of the President's 
Budget in 1991, an evaluation of the compliance of that agency with, and 
the effectiveness of, the requirements herein. The evaluation may 
include any recommended changes that may be necessary to strengthen or 
improve the requirements.
    (b) In the case of an agency that does not have an Inspector 
General, the agency official comparable to an Inspector General shall 
prepare and submit the annual report, or, if there is no such comparable 
official, the head of the agency shall prepare and submit the annual 
report.
    (c) The annual report shall be submitted at the same time the agency 
submits its annual budget justifications to Congress.
    (d) The annual report shall include the following: All alleged 
violations relating to the agency's covered Federal actions during the 
year covered by the report, the actions taken by the head of the agency 
in the year covered by the report with respect to those alleged 
violations and alleged violations in previous years, and the amounts of 
civil penalties imposed by the agency in the year covered by the report.

[[Page 181]]



      Sec. Appendix A to Part 519--Certification Regarding Lobbying

 Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, by 
or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of an agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, an 
officer or employee of Congress, or an employee of a Member of Congress 
in connection with this Federal contract, grant, loan, or cooperative 
agreement, the undersigned shall complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

            Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form-LLL, ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

[[Page 182]]



     Sec. Appendix B to Part 519--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC13OC91.003


[[Page 183]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.004


[[Page 184]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.005



PART 521_IMPLEMENTATION OF THE PROGRAM FRAUD CIVIL REMEDIES ACT-
-Table of Contents



Sec.
521.1 Basis and purpose.
521.2 Definitions.
521.3 Basis for civil penalties and assessments.
521.4 Investigation.
521.5 Review by the reviewing official.
521.6 Prerequisites for issuing a complaint.
521.7 Complaint.
521.8 Service of complaint.
521.9 Answer.
521.10 Default upon failure to file an answer.
521.11 Referral of complaint and answer to the ALJ.
521.12 Notice of hearing.
521.13 Parties to the hearing.
521.14 Separation of functions.
521.15 Ex Parte contacts.
521.16 Disqualifications of reviewing official or ALJ.
521.17 Rights of parties.
521.18 Authority of the ALJ.
521.19 Prehearing conferences.
521.20 Disclosure of documents.
521.21 Discovery.
521.22 Exchange of witness lists, statements and exhibits.

[[Page 185]]

521.23 Subpoenas for attendance at hearing.
521.24 Protective order.
521.25 Fees.
521.26 Form, filing and service of papers.
521.27 Computation of time.
521.28 Motions.
521.29 Sanctions.
521.30 The hearing and burden of proof.
521.31 Determining the amount of penalties and assessments.
521.32 Location of hearing.
521.33 Witnesses.
521.34 Evidence.
521.35 The record.
521.36 Post-hearing briefs.
521.37 Initial decision.
521.38 Reconsideration of initial decision.
521.39 Appeal to the Broadcasting Board of Governors Director.
521.40 Stays ordered by the Department of Justice.
521.41 Stay pending appeal.
521.42 Judicial review.
521.43 Collection of civil penalties and assessments.
521.44 Right to administrative offset.
521.45 Deposit in Treasury of United States.
521.46 Compromise or settlement.
521.47 Limitations.

    Authority: 22 U.S.C. 2658; 31 U.S.C. 3801-3812.

    Source: 56 FR 25028, June 3, 1991, unless otherwise noted.



Sec.  521.1  Basis and purpose.

    (a) Basis. This part implements the Program Fraud Civil Remedies Act 
of 1986, Public Law 99-509, sections 6101-6104, 100 Stat. 1874 (October 
21, 1986), codified at 31 U.S.C. 3801-3812. The Act requires each 
authority head to promulgate regulations necessary to implement the 
provisions of the statute (31 U.S.C. 3809).
    (b) Purpose. (1) This part establishes administrative procedures for 
imposing civil penalties and assessments against persons who make, 
submit, or present, or cause to be made, submitted, or presented, false, 
fictitious, or fraudulent claims or written statements to the 
Broadcasting Board of Governors or to its agents, and
    (2) Specifies the hearing and appeal rights of persons subject to 
allegations of liability for such penalties and assessments.
    (c) Special considerations abroad. Where a party, witness or 
material evidence in a proceeding under these regulations is located 
abroad, the investigating official, reviewing official or ALJ, as the 
case may be, may adjust the provisions below for service, filing of 
documents, time limitations, and related matters to meet special 
problems arising out of that location.



Sec.  521.2  Definitions.

    ALJ means an Administrative Law Judge in the Broadcasting Board of 
Governors appointed pursuant to 5 U.S.C. 3105 or detailed to the 
Broadcasting Board of Governors pursuant to 5 U.S.C. 3344.
    Benefit means, in the context of ``statement,'' anything of value, 
including but not limited to any advantage, preference, privilege, 
license, permit, favorable decision, ruling, status, or loan guarantee.
    Claim means any request, demand, or submission--
    (1) Made to the Broadcasting Board of Governors for property, 
services or money (including money representing grants, loans, insurance 
or benefits);
    (2) Made to a recipient of property, services or money from the 
Broadcasting Board of Governors, or to a party to a contract with the 
Broadcasting Board of Governors--
    (i) For property or services if the United States--
    (A) Provided such property or services;
    (B) Provided any portion of the funds for the purchase of such 
property or services; or
    (C) Will reimburse such recipient or party for the purchase of such 
property or services; or
    (ii) For the payment of money (including money representing grants, 
loans, insurance, or benefits) if the United States--
    (A) Provided any portion of the money requested or demanded; or
    (B) Will reimburse such recipient or party for any portion of the 
money paid on such request or demand; or
    (3) Made to the Broadcasting Board of Governors which has the effect 
of decreasing an obligation to pay or account for property, services, or 
money.
    Complaint means the administrative complaint served by the reviewing 
official on the defendant under Sec.  521.7.
    Defendant means any person alleged in a complaint under Sec.  521.7 
to be liable

[[Page 186]]

for a civil penalty or assessment under Sec.  521.3.
    Director means Director of the Broadcasting Board of Governors.
    Government means the United States Government.
    Individual means a natural person.
    Initial decision means the written decision of the ALJ required by 
Sec.  521.10 or Sec.  521.37, and includes a revised initial decision 
issued following a remand or a motion for reconsideration.
    Investigating Official means the Inspector General for the 
Broadcasting Board of Governors or an officer or employee of the Office 
of Inspector General designated by the Inspector General and serving in 
a position for which the rate of basic pay is not less than the minimum 
rate of basic pay for grade GS-16 under the General Schedule.
    Knows or has reason to know means that a person, with respect to a 
claim or statement--
    (1) Has the actual knowledge that the claim or statement is false, 
fictitious, or fraudulent;
    (2) Acts in deliberate ignorance of the truth or falsity of the 
claim or statement; or
    (3) Acts in reckless disregard of the truth or falsity of the claim 
or statement.
    Makes, wherever it appears, shall include the terms presents, 
submits and causes to be made, presented, or submitted. As the context 
requires, making or made shall likewise include the corresponding forms 
of such terms.
    Person means any individual, partnership, corporation, association, 
or private organization and includes the plural of that term.
    Representative means an attorney who is a member in good standing of 
the bar of any State, Territory, or possession of the United States or 
the District of Columbia or the Commonwealth of Puerto Rico.
    Reviewing official means the General Counsel of the Broadcasting 
Board of Governors or his designee who is:
    BBG means the Broadcasting Board of Governors.
    (1) Not subject to supervision by, or required to report to, the 
investigating official;
    (2) Not employed in the organizational unit of the Broadcasting 
Board of Governors in which the investigating official is employed; and
    (3) Is serving in a position for which the rate of basic pay is not 
less than the minimum rate of basic pay for grade GS-16 under the 
General Schedule.
    Statement means any representation, certification, affirmation, 
document, record, or accounting or bookkeeping entry made--
    (1) With respect to a claim or to obtain the approval or payment of 
a claim (including relating to eligibility to make a claim); or
    (2) With respect to (including relating to eligibility for)--
    (i) A contract with, or a bid or proposal for a contract with; or
    (ii) A grant, loan, or benefit from, the Broadcasting Board of 
Governors, or any State, political subdivision of a State, or other 
party, if the United States Government provides any portion of the money 
or property under such contract or for such grant, loan, or benefit, or 
if the Government will reimburse such State, political subdivision, or 
party for any portion of the money or property under such contract or 
for such grant, loan, or benefit.
    BBG means the Broadcasting Board of Governors.



Sec.  521.3  Basis for civil penalties and assessments.

    (a) Claims. (1) Any person who makes claim that the person knows or 
has reason to know--
    (i) Is false, fictitious, or fraudulent;
    (ii) Includes or is supported by any written statement which asserts 
a material fact which is false, fictitious, or fraudulent;
    (iii) Includes or is supported by any written statement that--
    (A) Omits a material fact;
    (B) Is false, fictitious, or fraudulent as a result of such 
omission; and
    (C) Is a statement in which the person making such statement has a 
duty to include such material fact; or
    (iv) Is for payment for the provision of property or services which 
the person has not provided as claimed; shall be subject, in addition to 
any other remedy that may be prescribed by law,

[[Page 187]]

to a civil penalty of not more than $5,000 for each such claim.
    (2) Each voucher, invoice, claim form, or other individual request 
or demand for property, services, or money constitutes a separate claim.
    (3) A claim shall be considered made to the Broadcasting Board of 
Governors, a recipient, or party when such claim is actually made to an 
agent, fiscal intermediary, or other entity, including any State or 
political subdivision thereof, acting for or on behalf of the 
Broadcasting Board of Governors or such recipient or party.
    (4) Each claim for property, services, or money is subject to a 
civil penalty regardless of whether such property, services, or money is 
actually delivered or paid.
    (5) If the Government has made any payment (including transferred 
property or provided services) on a claim, a person subject to a civil 
penalty under paragraph (a)(1) of this section shall also be subject to 
an assessment of not more than twice the amount of such claim or that 
portion thereof that is determined to be in violation of paragraph 
(a)(1) of this section. Such assessment shall be in lieu of damages 
sustained by the Government because of such claim.
    (b) Statement. (1) Any person who makes, a written statement that--
    (i) The person knows or has reason to know--
    (A) Asserts a material fact which is false, fictitious, or 
fraudulent; or
    (B) Is false, fictitious, or fraudulent because it omits a material 
fact that the person making the statement has a duty to include in such 
statement; and
    (ii) Contains or is accompanied by an express certification or 
affirmation of the truthfulness and accuracy of the contents of the 
statement, shall be subject, in addition to any other remedy that may be 
prescribed by law, to a civil penalty of not more than $5,000 for each 
such statement.
    (2) Each written representation, certification, or affirmation 
constitutes a separate statement.
    (3) A statement shall be considered made to the Broadcasting Board 
of Governors when such statement is actually made to an agent, fiscal 
intermediary, or other entity, including any State or political 
subdivision thereof, acting for or on behalf of the Broadcasting Board 
of Governors.
    (c) No proof of specific intent to defraud is required to establish 
liability under this section.
    (d) In any case in which it is determined that more than one person 
is liable for making a claim or statement under this section, each such 
person may be held liable for a civil penalty under this section.
    (e) In any case in which it is determined that more than one person 
is liable for making a claim under this section on which the Government 
has made payment (including transferred property or provided services), 
an assessment may be imposed against any such person or jointly and 
severally against any combination of such persons.



Sec.  521.4  Investigation.

    (a) If an investigating official concludes that a subpoena pursuant 
to the authority conferred by 31 U.S.C. 3804(a) is warranted--
    (1) The subpoena so issued shall notify the person to whom it is 
addressed of the authority under which the subpoena is issued, and shall 
identify the records or documents sought;
    (2) The investigating official may designate a person to act on his 
or her behalf to receive the documents sought; and
    (3) The person receiving such subpoena shall be required to tender 
to the investigating official or the person designated to receive the 
documents a certification that the documents sought have been produced, 
or that such documents are not available and the reasons therefore, or 
that such documents, suitably identified, have been withheld based upon 
the assertion of an identified privilege.
    (b) If the investigating official concludes that an action under the 
Program Fraud Civil Remedies Act may be warranted, the investigating 
official shall submit a report containing the findings and conclusions 
of such investigation to the reviewing official.
    (c) Nothing in this section shall preclude or limit an investigating 
official's discretion to refer allegations directly to the Department of 
Justice for

[[Page 188]]

suit under the False Claims Act or other civil relief, or to defer or 
postpone a report or referral to the reviewing official to avoid 
interference with a criminal investigation or prosecution.
    (d) Nothing in this section modifies any responsibility of an 
investigating official to report violations of criminal law to the 
Attorney General.



Sec.  521.5  Review by the reviewing official.

    (a) If, based on the report of the investigating official under 
Sec.  521.4(b), the reviewing official determines that there is adequate 
evidence to believe that a person is liable under Sec.  521.3 of this 
part, the reviewing official shall transmit to the Attorney General a 
written notice of the reviewing official's intention to issue a 
complaint under Sec.  521.7.
    (b) Such notice shall include--
    (1) A statement of the reviewing official's reasons for issuing a 
complaint;
    (2) A statement specifying the evidence that supports the 
allegations of liability;
    (3) A description of the claims or statements upon which the 
allegations of liability are based;
    (4) An estimate of the amount of money or the value of property, 
services, or other benefits requested or demanded in violation of Sec.  
521.3 of this part;
    (5) A statement of any exculpatory or mitigating circumstances that 
may relate to the claims or statements known by the reviewing official 
or the investigating official; and
    (6) A statement that there is a reasonable prospect of collecting an 
appropriate amount of penalties and assessments.



Sec.  521.6  Prerequisites for issuing a complaint.

    (a) The reviewing official may issue a complaint under Sec.  521.7 
only if:
    (1) The Department of Justice approves the issuance of a complaint 
in a written statement described in 31 U.S.C. 3803(b)(1); and
    (2) In the case of allegations of liability under Sec.  521.3(a) 
with respect to a claim, the reviewing official determines that, with 
respect to such claim or a group of related claims submitted at the same 
time such claim is submitted (as defined in paragraph (b) of this 
section), the amount of money or the value of property or services 
demanded or requested in violation of Sec.  521.3(a) does not exceed 
$150,000.
    (b) For the purposes of this section, a related group of claims 
submitted at the same time shall include only those claims arising from 
the same transaction (e.g., grant, loan, application, or contract) that 
are submitted simultaneously as part of a single request, demand, or 
submission.
    (c) Nothing in this section shall be construed to limit the 
reviewing official's authority to join in a single complaint against a 
person's claims that are unrelated or were not submitted simultaneously, 
regardless of the amount of money, or the value of property or services, 
demanded or requested.



Sec.  521.7  Complaint.

    (a) On or after the date the Department of Justice approves the 
issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the 
reviewing official may serve a complaint on the defendant, as provided 
in Sec.  521.8.
    (b) The complaint shall state:
    (1) Allegations of liability against the defendant including the 
statutory basis for liability, an identification of the claims or 
statements that are the basis for the alleged liability, and the reasons 
why liability allegedly arises from such claims or statements;
    (2) The maximum amount of penalties and assessments for which the 
defendant may be held liable;
    (3) Instructions for filing an answer to request a hearing, 
including a specific statement of the defendant's right to request a 
hearing by filing an answer and to be represented by a representative; 
and
    (4) That failure to file an answer within 30 days of service of the 
complaint will result in the imposition of the maximum amount of 
penalties and assessment without right to appeal, as provided in Sec.  
521.10.
    (c) At the same time the reviewing official serves the complaint, he 
or she shall serve the defendant with a copy of these regulations.

[[Page 189]]



Sec.  521.8  Service of complaint.

    (a) Service of a complaint must be made by certified or registered 
mail or by delivery in any manner authorized by rule 4(d) of the Federal 
Rules of Civil Procedure. Service is complete upon receipt.
    (b) Proof of service, stating the name and address of the person on 
whom the complaint was served, and the manner and date of service, may 
be made by:
    (1) Affidavit of the individual serving the complaint by delivery;
    (2) A United States Postal Service return receipt card acknowledging 
receipt; or
    (3) Written acknowledgment of receipt by the defendant or the 
defendant's representative.
    (4) In case of service abroad authenticated in accordance with the 
Convention on the Service Abroad of Judicial and Extra Judicial 
Documents in Civil or Commercial Matters.



Sec.  521.9  Answer.

    (a) The defendant may request a hearing by filing an answer with the 
reviewing official within 30 days of service of the complaint. An answer 
shall be deemed to be a request for a hearing.
    (b) In the answer, the defendant:
    (1) Shall admit or deny each of the allegations of liability made in 
the complaint;
    (2) Shall state any defense on which the defendant intends to rely;
    (3) May state any reasons why the defendant contends that the 
penalties and assessments should be less than the statutory maximum; and
    (4) Shall state the name, address, and telephone number of the 
person authorized by the defendant to act as defendant's representative, 
if any.
    (c) If the defendant is unable to file an answer meeting the 
requirements of paragraph (b) of this section within the time provided, 
the defendant may, before the expiration of 30 days from service of the 
complaint, file with the reviewing official a general answer denying 
liability and requesting a hearing, and a request for an extension of 
time within which to file an answer meeting the requirements of 
paragraph (b) of this section. The reviewing official shall file 
promptly with the ALJ the complaint, the general answer denying 
liability, and the request for an extension of time as provided in Sec.  
521.11. For good cause shown, the ALJ may grant the defendant up to 30 
additional days within which to file an answer meeting the requirements 
of paragraph (b) of this section.



Sec.  521.10  Default upon failure to file an answer.

    (a) If the defendant does not file an answer within the time 
prescribed in Sec.  521.9(a), the reviewing official may refer the 
complaint to the ALJ.
    (b) Upon the referral of the complaint, the ALJ shall promptly serve 
on defendant in the manner prescribed in Sec.  521.8, a notice that an 
initial decision will be issued under this section.
    (c) If the defendant fails to answer, the ALJ shall assume the facts 
alleged in the complaint to be true, and, if such facts establish 
liability under Sec.  521.3, the ALJ shall issue an initial decision 
imposing the maximum amount of penalties and assessments allowed under 
the statute.
    (d) Except as otherwise provided in this section, by failing to file 
a timely answer, the defendant waives any right to further review of the 
penalties and assessments imposed under paragraph (c) of this section, 
and the initial decision shall become final and binding upon the parties 
30 days after it is issued.
    (e) If, before such an initial decision becomes final, the defendant 
files a motion with the ALJ seeking to reopen on the grounds that 
extraordinary circumstances prevented the defendant from filing an 
answer, the initial decision shall be stayed pending the ALJ's decision 
on the motion.
    (f) If, on such motion, the defendant can demonstrate extraordinary 
circumstances excusing the failure to file a timely answer, the ALJ 
shall withdraw the initial decision in paragraph (c) of this section, if 
such a decision has been issued, and shall grant the defendant an 
opportunity to answer the complaint.
    (g) A decision of the ALJ denying defendant's motion under paragraph 
(e) of this section is not subject to reconsideration under Sec.  
521.38.

[[Page 190]]

    (h) The defendant may appeal to the Director the decision denying a 
motion to reopen by filing a notice of appeal with the Director within 
15 days after the ALJ denies the motion. The timely filing of a notice 
of appeal shall stay the initial decision until the Director decides the 
issue.
    (i) If the defendant files a timely notice of appeal with the 
Director, the ALJ shall forward the record of the proceeding to the 
Director.
    (j) The Director shall decide expeditiously whether extraordinary 
circumstances excuse the defendant's failure to file a timely answer 
based solely on the record before the ALJ.
    (k) If the Director decides that extraordinary circumstances excused 
the defendant's failure to file a timely answer, the Director shall 
remand the case to the ALJ with instructions to grant the defendant an 
opportunity to answer.
    (l) If the Director decides that the defendant's failure to file a 
timely answer is not excused, the Director shall reinstate the initial 
decision of the ALJ, which shall become final and binding upon the 
parties 30 days after the Director issues such decision.



Sec.  521.11  Referral of complaint and answer to the ALJ.

    Upon receipt of an answer, the reviewing official shall file the 
complaint and answer with the ALJ.



Sec.  521.12  Notice of hearing.

    (a) When the ALJ receives the complaint and answer, the ALJ shall 
promptly serve a notice of hearing upon the defendant in the manner 
prescribed by Sec.  521.8. At the same time, the ALJ shall send a copy 
of such notice to the representative for the Government.
    (b) Such notice shall include:
    (1) The tentative time and place, and the nature of the hearing;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law to be asserted;
    (4) A description of the procedures for the conduct of the hearing;
    (5) The name, address, and telephone number of the representative of 
the Government and of the defendant, if any; and
    (6) Such other matters as the ALJ deems appropriate.



Sec.  521.13  Parties to the hearing.

    (a) The parties to the hearing shall be the defendant and the 
Broadcasting Board of Governors.
    (b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the 
False Claims Act may participate in these proceedings to the extent 
authorized by the provisions of that Act.



Sec.  521.14  Separation of functions.

    (a) The investigating official, the reviewing official, and any 
employee or agent of the Broadcasting Board of Governors who takes part 
in investigating, preparing, or presenting a particular case may not, in 
such case or a factually related case:
    (1) Participate in the hearing as the ALJ;
    (2) Participate or advise in the initial decision or the review of 
the initial decision by the Director, except as a witness or 
representative in public proceedings; or
    (3) Make the collection of penalties and assessments under 31 U.S.C. 
3806.
    (b) The ALJ shall not be responsible to, or subject to, the 
supervision or direction of the investigating official or the reviewing 
official.
    (c) Except as provided in paragraph (a) of this section, the 
representative for the Government may be employed anywhere in the 
Broadcasting Board of Governors, including in the offices of either the 
investigating official or the reviewing official.



Sec.  521.15  Ex Parte contacts.

    No party or person (except employees of the ALJ's office) shall 
communicate in any way with the ALJ on any matter at issue in a case, 
unless on notice and opportunity for all parties to participate. This 
provision does not prohibit a person or party from inquiring about the 
status of a case or asking routine questions concerning administrative 
functions or procedures.

[[Page 191]]



Sec.  521.16  Disqualification of reviewing official or ALJ.

    (a) A reviewing official or ALJ in a particular case may disqualify 
himself or herself at any time.
    (b) A party may file with the ALJ a motion for disqualification of a 
reviewing official or ALJ. Such motion shall be accompanied by an 
affidavit alleging personal bias or other reason for disqualification.
    (c) Such motion and affidavit shall be filed promptly upon the 
party's discovery of reasons requiring disqualification, or such 
objections shall be deemed waived.
    (d) Such affidavit shall state specific facts that support the 
party's belief that personal bias or other reason for disqualification 
exists and the time and circumstances of the party's discovery of such 
facts. It shall be accompanied by a certificate of the representative of 
record that it is made in good faith.
    (e) Upon the filing of such a motion and affidavit, the ALJ shall 
proceed no further in the case until he or she resolves the matter of 
disqualification in accordance with paragraph (f) of this section.
    (f)(1) If the ALJ determines that the reviewing official is 
disqualified, the ALJ shall dismiss the complaint without prejudice.
    (2) If the ALJ disqualifies himself or herself, the case shall be 
reassigned promptly to another ALJ.
    (3) If the ALJ denies a motion to disqualify, the Director may 
determine the matter only as part of his or her review of the initial 
decision upon appeal, if any.



Sec.  521.17  Rights of parties.

    Except as otherwise limited by this part, all parties may:
    (a) Be accompanied, represented, and advised by a representative;
    (b) Participate in any conference held by the ALJ;
    (c) Conduct discovery;
    (d) Agree to stipulations of fact or law, which shall be made part 
of the record;
    (e) Present evidence relevant to the issues at the hearing;
    (f) Present and cross-examine witnesses;
    (g) Present oral arguments at the hearing as permitted by the ALJ; 
and
    (h) Submit written briefs and proposed findings of fact and 
conclusions of law after the hearing.



Sec.  521.18  Authority of the ALJ.

    (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, 
maintain order, and assure that a record of the proceeding is made.
    (b) The ALJ may:
    (1) Set and change the date, time and place of the hearing upon 
reasonable notice to the parties;
    (2) Continue or recess the hearing in whole or in part for a 
reasonable period of time;
    (3) Hold conferences to identify or simplify the issues, or to 
consider other matters that may aid in the expeditious disposition of 
the proceeding;
    (4) Administer oaths and affirmations;
    (5) Issue subpoenas to be served within the United States requiring 
the attendance of witnesses and the production of documents at 
depositions or at hearings. Subpoenas to be served outside the 
jurisdiction of the United States shall state on their face the 
authority therefore;
    (6) Rule on motions and other procedural matters;
    (7) Regulate the scope and time of discovery;
    (8) Regulate the course of the hearing and the conduct of 
representatives and parties;
    (9) Examine witnesses;
    (10) Receive, rule on, exclude, or limit evidence;
    (11) Upon motion of a party, take official notice of facts;
    (12) Upon motion of a party, decide cases, in whole or in part, by 
summary judgment where there is no disputed issue of material fact;
    (13) Conduct any conference, argument, or hearing on motions in 
person or by telephone; and
    (14) Exercise such other authority as is necessary to carry out the 
responsibilities of the ALJ under this part.
    (c) The ALJ does not have the authority to find treaties and other 
international agreements or Federal Statutes or regulations invalid.

[[Page 192]]



Sec.  521.19  Prehearing conferences.

    (a) The ALJ may schedule prehearing conferences as appropriate.
    (b) Upon the motion of any party, the ALJ shall schedule at least 
one prehearing conference at a reasonable time in advance of the 
hearing.
    (c) The ALJ may use prehearing conferences to discuss the following:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amendments to the pleadings, 
including the need for a more definite statement;
    (3) Stipulations and admissions of fact or as to the contents and 
authenticity of documents;
    (4) Whether the parties can agree to submission of the case on a 
stipulated record;
    (5) Whether a party chooses to waive appearance at an oral hearing 
and to submit only documentary evidence (subject to the objection of 
other parties) and written argument;
    (6) Limitation of the number of witnesses;
    (7) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (8) Discovery;
    (9) The time and place for the hearing; and
    (10) Such other matters as may tend to expedite the fair and just 
disposition of the proceedings.
    (d) The ALJ shall issue an order containing all matters agreed upon 
by the parties or ordered by the ALJ at a prehearing conference.



Sec.  521.20  Disclosure of documents.

    (a) Upon written request to the reviewing official, the defendant 
may review any relevant and material documents, transcripts, records, 
and other materials that relate to the allegations set out in the 
complaint and upon which the findings and conclusions of the 
investigating official under Sec.  521.4(b) are based, unless such 
documents are subject to a privilege under Federal law. Upon payment of 
fees for duplication, the defendant may obtain copies of such documents.
    (b) Upon written request to the reviewing official, the defendant 
also may obtain a copy of all exculpatory information in the possession 
of the reviewing official or investigating official relating to the 
allegations in the complaint, even if it is contained in a document that 
would otherwise be privileged. If the document would otherwise be 
privileged, only that portion containing exculpatory information must be 
disclosed.
    (c) The notice sent to the Attorney General from the reviewing 
official as described in Sec.  521.5 is not discoverable under any 
circumstances.
    (d) The defendant may file a motion to compel disclosure of the 
doucment subject to the provisions of this section. Such a motion may 
only be filed with the ALJ following the filing of an answer pursuant to 
Sec.  521.9.



Sec.  521.21  Discovery.

    (a) The following types of discovery are authorized:
    (1) Requests for production of documents for inspection and copying;
    (2) Requests for admissions of the authenticity of any relevant 
document or the truth of any relevant fact;
    (3) Written interrogatories; and
    (4) Depositions.
    (b) For the purpose of this section and Sec.  521.22 and Sec.  
521.23, the term ``documents'' includes information, documents, reports, 
answers, records, accounts, papers, and other data and documentary 
evidence. Nothing contained herein shall be interpreted to require the 
creation of a document.
    (c) Unless mutually agreed to by the parties, discovery is available 
only as ordered by the ALJ. The ALJ shall regulate the timing of 
discovery.
    (d) Motions for discovery. (1) A party seeking discovery may file a 
motion with the ALJ. Such a motion shall be accompanied by a copy of the 
requested discovery, or in the case of depositions, a summary of the 
scope of the proposed deposition.
    (2) Within ten days of service a party may file an opposition to the 
motion and/or a motion for protective order as provided Sec.  521.24.
    (3) The ALJ may grant a motion for discovery only if the ALJ finds 
that the discovery sought:
    (i) Is necessary for the expeditious, fair, and reasonable 
consideration of the issues;

[[Page 193]]

    (ii) Is not unduly costly or burdensome;
    (iii) Will not unduly delay the proceeding; and
    (iv) Does not seek privileged information.
    (4) The burden of showing that discovery should be allowed is on the 
party seeking discovery.
    (5) The ALJ may grant discovery subject to a protective order under 
Sec.  521.24.
    (e) Deposition. (1) If a motion for deposition is granted, the ALJ 
shall issue a subpoena for the deponent, which may require the deponent 
to produce documents. The subpoena shall specify the time and place at 
which the deposition will be held.
    (2) The party seeking to depose shall serve the subpoena in the 
manner prescribed in Sec.  521.8.
    (3) The deponent may file with the ALJ a motion to quash the 
subpoena or a motion for a protective order within ten days of service.
    (4) The party seeking to depose shall provide for the taking of a 
verbatim transcript of the deposition which it shall make available to 
all other parties for inspection and copying.
    (f) Each party shall bear its own costs of discovery.



Sec.  521.22  Exchange of witness lists, statements and exhibits.

    (a) At least 15 days before the hearing or at such other time as may 
be ordered by the ALJ, the parties shall exchange witness lists, copies 
of prior statements of proposed witnesses, and copies of proposed 
hearing exhibits, including copies of any written statements that the 
party intends to offer in lieu of live testimony in accordance with 
Sec.  521.33(b). At the time the above documents are exchanged, any 
party that intends to rely on the transcript of deposition testimony in 
lieu of live testimony at the hearing, if permitted by the ALJ, shall 
provide each party with a copy of the specific pages of the transcript 
it intends to introduce into evidence.
    (b) If a party objects, the ALJ shall not admit into evidence the 
testimony of any witness whose name does not appear on the witness list 
or any exhibit not provided to the opposing party as provided above, 
unless the ALJ finds good cause for the failure or that there is no 
prejudice to the objecting party.
    (c) Unless another party objects within the time set by the ALJ, 
documents exchanged in accordance with paragraph (a) of this section 
shall be deemed to be authentic for the purpose of admissibility at the 
hearing.



Sec.  521.23  Subpoenas for attendance at hearing.

    (a) A party wishing to procure the appearance and testimony of any 
individual at the hearing may request that the ALJ issue a subpoena.
    (b) A subpoena requiring the attendance and testimony of an 
individual may also require the individual to produce documents at the 
hearing.
    (c) A party seeking a subpoena shall file a written request therefor 
not less than 15 days before the date fixed for the hearing unless 
otherwise allowed by the ALJ for good cause shown. Such request shall 
specify any documents to be produced and shall designate the witnesses 
and describe the address and location thereof with sufficient 
particularity to permit such witnesses to be found.
    (d) The subpoena shall specify the time and place at which the 
witness is to appear and any documents the witness is to produce.
    (e) The party seeking the subpoena shall serve it in the manner 
prescribed in Sec.  521.8. A subpoena on a party or upon an individual 
under the control of a party may be served by first class mail.
    (f) A party or individual to whom the subpoena is directed may file 
with the ALJ a motion to quash the subpoena within ten days after 
service or on or before the time specified in the subpoena for 
compliance if it is less than ten days after service.



Sec.  521.24  Protective order.

    (a) A party or a prospective witness or deponent may file a motion 
for a protective order with respect to discovery sought by an opposing 
party or, with respect to the hearing, seeking to limit the availability 
or disclosure of evidence.
    (b) In issuing a protective order, the ALJ may make any order which 
justice requires to protect a party or person

[[Page 194]]

from annoyance, embarrassment, oppression, or undue burden or expense, 
including one or more of the following:
    (1) That the discovery not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery may be had only through a method of discovery 
other than that requested;
    (4) That certain matters not be inquired into, or that the scope of 
discovery be limited to certain matters;
    (5) That discovery be conducted with no one present except persons 
designated by the ALJ;
    (6) That the contents of discovery or evidence be sealed;
    (7) That a deposition after being sealed be opened only by order of 
the ALJ;
    (8) That a trade secret or other confidential research, development, 
commercial information, or facts pertaining to any criminal 
investigation, proceeding or other administrative investigation not be 
disclosed or be disclosed only in a designated way; or
    (9) That the parties simultaneously file specified documents or 
information enclosed in sealed envelopes to be opened as directed by the 
ALJ.



Sec.  521.25  Fees.

    The party requesting a subpoena shall pay the cost of the fee and 
mileage of any witness subpoenaed in the amounts that would be payable 
to a witness in a proceeding in the United States District Court. A 
check for witness fees and mileage shall accompany the subpoena when 
served, except that when a subpoena is issued on behalf of the 
Broadcasting Board of Governors, a check for witness fees and mileage 
need not accompany the subpoena.



Sec.  521.26  Form, filing and service of papers.

    (a) Form. (1) Documents filed with the ALJ shall include an original 
and two copies.
    (2) Every pleading and paper filed in the proceeding shall contain a 
caption setting forth the title of the action, the case number assigned 
by the ALJ, and a designation of the paper (e.g., motion to quash 
subpoena), and shall be in English or accompanied by an English 
translation.
    (3) Every pleading and paper shall be signed by, and shall contain 
the address and telephone number of, the party or the person on whose 
behalf the paper was filed, or his or her representative.
    (4) Papers are considered filed when they are mailed. Date of 
mailing may be established by a certificate from the party or its 
representative or by proof that the document was sent by certified or 
registered mail.
    (b) Service. A party filing a document with the ALJ shall, at the 
time of filing, serve a copy of such document on every other party. 
Service upon any party of any document other than those required to be 
served as prescribed in Sec.  521.8, shall be made by delivering a copy 
or by placing a copy of the document in the United States mail, postage 
prepaid, and addressed to the party's last known address. When a party 
is represented by a representative, service shall be made upon such 
representative in lieu of the actual party.
    (c) Proof of service. A certificate of the individual serving the 
document by personal delivery or by mail, setting forth the manner of 
service, shall be proof of service.



Sec.  521.27  Computation of time.

    (a) In computing any period of time under this part or in an order 
issued hereunder, the time begins with the day following the act, event, 
or default, and includes the last day of the period, unless it is a 
Saturday, Sunday, or legal holiday observed by the Federal Government, 
in which event it includes the next business day.
    (b) When the period of time allowed is less than seven days, 
intermediate Saturdays, Sundays, and legal holidays observed by the 
Federal Government shall be excluded from the computation.
    (c) Where a document has been served or issued by placing it in the 
mail, an additional five days will be added to the time permitted for 
any response.

[[Page 195]]



Sec.  521.28  Motions.

    (a) Any application to the ALJ for an order or ruling shall be by 
motion. Motions shall state the relief sought, the authority relied 
upon, and the facts alleged, and shall be filed with the ALJ and served 
on all other parties.
    (b) Except for motions made during a prehearing conference or at the 
hearing, all motions shall be in writing. The ALJ may require that oral 
motions be reduced to writing.
    (c) Within 15 days after a written motion is served, or such other 
time as may be fixed by the ALJ, any party may file a response to such 
motion.
    (d) The ALJ may not grant a written motion before the time for 
filing responses thereto has expired, except upon consent of the parties 
or following a hearing on the motion, but may overrule or deny such 
motion without awaiting a response.
    (e) The ALJ shall make a reasonable effort to dispose of all 
outstanding motions prior to the beginning of the hearing.



Sec.  521.29  Sanctions.

    (a) The ALJ may sanction a person, including any party or 
representative for:
    (1) Failing to comply with an order, rule, or procedure governing 
the proceeding;
    (2) Failing to prosecute or defend an action; or
    (3) Engaging in other misconduct that interferes with the speedy, 
orderly, or fair conduct of the hearing.
    (b) Any such sanction, including but not limited to those listed in 
paragraphs (c), (d), and (e) of this section, shall reasonably relate to 
the severity and nature of the failure or misconduct.
    (c) When a party fails to comply with an order, including an order 
for taking a deposition, the production of evidence within the party's 
control, or a request for admission, the ALJ may:
    (1) Draw an inference in favor of the requesting party with regard 
to the information sought;
    (2) In the case of requests for admission, deem each matter of which 
an admission is requested to be admitted;
    (3) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon, testimony 
relating to the information sought; and
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request.
    (d) If a party fails to prosecute or defend an action under this 
part commenced by service of a notice of hearing, the ALJ may dismiss 
the action or may issue an initial decision imposing penalties and 
assessments.
    (e) The ALJ may refuse to consider any motion, request, response, 
brief or other document which is not filed in a timely fashion.



Sec.  521.30  The hearing and burden of proof.

    (a) The ALJ shall conduct a hearing on the record in order to 
determine whether the defendant is liable for a civil penalty or 
assessment under Sec.  521.3, and if so, the appropriate amount of any 
such civil penalty or assessment considering any aggravating or 
mitigating factors.
    (b) The Broadcasting Board of Governors shall prove defendant's 
liability and any aggravating factors by a preponderance of the 
evidence.
    (c) The defendant shall prove any affirmative defenses and any 
mitigating factors by a preponderance of the evidence.
    (d) The hearing shall be open to the public unless otherwise ordered 
by the ALJ for good cause shown.



Sec.  521.31  Determining the amount of penalties and assessments.

    (a) In determining an appropriate amount of civil penalties and 
assessments, the ALJ and the Director, upon appeal, should evaluate any 
circumstances that mitigate or aggravate the violation and should 
articulate in their opinions the reasons that support the penalties and 
assessments they impose. Because of the intangible costs of fraud, the 
expense of investigating such conduct, and the need to deter others who 
might be similarly tempted, ordinarily double damages and a significant 
civil penalty should be imposed.
    (b) Although not exhaustive, the following factors are among those 
that

[[Page 196]]

may influence the ALJ and the Director in determining the amount of 
penalties and assessments to impose with respect to the misconduct 
(i.e., the false, fictitious, or fraudulent claims or statements) 
charged in the complaint:
    (1) The number of false, fictitious, or fraudulent claims or 
statements;
    (2) The time period over which such claims or statements were made;
    (3) The degree of the defendant's culpability with respect to the 
misconduct;
    (4) The amount of money or the value of the property, services, or 
benefit falsely claimed;
    (5) The value of the Government's actual loss as a result of the 
misconduct, including foreseeable consequential damages and the costs of 
investigation;
    (6) The relationship of the amount imposed as civil penalties to the 
amount of the Government's loss;
    (7) The potential or actual impact of the misconduct upon national 
defense, public health or safety, or public confidence in the management 
of Government programs and operations, including particularly the impact 
on the intended beneficiaries of such programs;
    (8) Whether the defendant has engaged in a pattern of the same or 
similar misconduct;
    (9) Whether the defendant attempted to conceal the misconduct;
    (10) The degree to which the defendant has involved others in the 
misconduct or in concealing it;
    (11) Where the misconduct of employees of agents is imputed to the 
defendant, the extent to which the defendant's practices fostered or 
attempted to preclude such misconduct;
    (12) Whether the defendant cooperated in or obstructed an 
investigation of the misconduct;
    (13) Whether the defendant assisted in identifying and prosecuting 
other wrongdoers;
    (14) The complexity of the program or transaction, and the degree of 
the defendant's sophistication with respect to it, including the extent 
of defendant's prior participation in the program or in similar 
transactions;
    (15) Whether the defendant has been found, in any criminal, civil, 
or administrative proceeding, to have engaged in similar misconduct or 
to have dealt dishonestly with the Government of the United States or of 
a State, directly or indirectly; and
    (16) The need to deter the defendant and others from engaging in the 
same or similar misconduct.
    (c) Nothing in this section shall be construed to limit the ALJ or 
the Director from considering any other factors that in any given case 
may mitigate or aggravate the offense for which penalties and 
assessments are imposed.



Sec.  521.32  Location of hearing.

    (a) The hearing may be held:
    (1) In any judicial district of the United States in which the 
defendant resides or transacts business;
    (2) In any judicial district of the United States in which the claim 
or statement in issue was made; or
    (3) In such other place as may be agreed upon by the defendant and 
the ALJ.
    (b) Each party shall have the opportunity to present arguments with 
respect to the location of the hearing.
    (c) The hearing shall be held at the place and at the time ordered 
by the ALJ.



Sec.  521.33  Witnesses.

    (a) Except as provided in paragraph (b) of this section, testimony 
at the hearing shall be given orally by witnesses under oath or 
affirmation.
    (b) At the discretion of the ALJ, testimony may be admitted in the 
form of a written statement or deposition. Any such written statement 
must be provided to all other parties along with the last known address 
of such witness, in a manner which allows sufficient time for other 
parties to subpoena such witness for cross-examination at the hearing. 
Prior written statements of witnesses proposed to testify at the hearing 
and deposition transcripts shall be exchanged as provided in Sec.  
521.22(a).
    (c) The ALJ shall exercise reasonable control over the mode and 
order of interrogating witnesses and presenting evidence so as to
    (1) Make the interrogation and presentation effective for the 
ascertainment of the truth,

[[Page 197]]

    (2) Avoid needless consumption of time, and
    (3) Protect witnesses from harassment or undue embarrassment.
    (d) The ALJ shall permit the parties to conduct such cross-
examination as may be required for a full and true disclosure of the 
facts.
    (e) At the discretion of the ALJ, a witness may be cross-examined on 
matters relevant to the proceeding without regard to the scope of his or 
her direct examination. To the extent permitted by the ALJ, cross-
examination on matters outside the scope of direct examination shall be 
conducted in the manner of direct examination and may proceed by leading 
questions only if the witness is a hostile witness, an adverse party, or 
a witness identified with an adverse party.
    (f) Upon motion of any party, the ALJ shall order witnesses excluded 
so that they cannot hear the testimony of other witnesses. This rule 
does not authorize exclusion of:
    (1) A party who is an individual;
    (2) In the case of a party that is not an individual, an officer or 
employee of the party appearing for the entity pro se or designated by 
the party's representative; or
    (3) An individual whose presence is shown by a party to be essential 
to the presentation of its case, including an individual employed by the 
Government engaged in assisting the representative for the Government.



Sec.  521.34  Evidence.

    (a) The ALJ shall determine the admissibility of evidence.
    (b) Except as provided in this part, the ALJ shall not be bound by 
the Federal Rules of Evidence. However, the ALJ may apply the Federal 
Rules of Evidence, where appropriate (e.g., to exclude unreliable 
evidence).
    (c) The ALJ shall exclude irrelevant and immaterial evidence.
    (d) Although relevant, evidence may be excluded if its probative 
value is substantially outweighed by the danger of unfair prejudice, 
confusion of the issues, or by consideration of undue delay or needless 
presentation of cumulative evidence.
    (e) Although relevant, evidence may be excluded if it is privileged 
under Federal law.
    (f) Evidence concerning offers of compromise or settlement shall be 
inadmissible to the extent provided in Rule 408 of the Federal Rules of 
Evidence.
    (g) The ALJ shall permit the parties to introduce rebuttal witnesses 
and evidence.
    (h) All documents and other evidence offered or taken for the record 
shall be open to examination by all parties, unless otherwise ordered by 
the ALJ pursuant to Sec.  521.24.



Sec.  521.35  The record.

    (a) The hearing will be recorded and transcribed. Transcripts may be 
obtained following the hearing from the ALJ at a cost not to exceed the 
actual cost of duplication.
    (b) The transcript of testimony, exhibits and other evidence 
admitted at the hearing, and all papers and requests filed in the 
proceeding constitute the record for the decision by the ALJ and the 
Director.
    (c) The record of the hearing may be inspected and copied (upon 
payment of a reasonable fee) by anyone, unless otherwise ordered by the 
ALJ pursuant to Sec.  521.24.



Sec.  521.36  Post-hearing briefs.

    The ALJ may require the parties to file post-hearing briefs. In any 
event, any party may file a post-hearing brief. The ALJ shall fix the 
time for filing briefs, at a time not exceeding 60 days from the date 
the parties receive the transcript of the hearing or, if applicable, the 
stipulated record. Such briefs may be accompanied by proposed findings 
of fact and conclusions of law. The ALJ may permit the parties to file 
reply briefs.



Sec.  521.37  Initial decision.

    (a) The ALJ shall issue an initial decision based only on the 
record, which shall contain findings of fact, conclusions of law, and 
the amount of any penalties and assessments imposed.
    (b) The findings of fact shall include a finding on each of the 
following issues:

[[Page 198]]

    (1) Whether the claims or statements identified in the complaint, or 
any portion thereof, violate Sec.  521.3;
    (2) If the person is liable for penalties or assessments, the 
appropriate amount of any such penalties or assessments, considering any 
mitigating or aggravating factors that he or she finds in the case, such 
as those described in Sec.  521.31.
    (c) The ALJ shall promptly serve the initial decision on all parties 
within 90 days after the time for submission of post-hearing briefs and 
reply briefs (if permitted) has expired. The ALJ shall at the same time 
serve all parties with a statement describing the right of any defendant 
determined to be liable for a civil penalty or assessment to file a 
motion for reconsideration with the ALJ or a notice of appeal with the 
Director. If the ALJ fails to meet the deadline contained in this 
paragraph, he or she shall notify the parties of the reason for the 
delay and shall set a new deadline.
    (d) Unless the initial decision of the ALJ is timely appealed to the 
Director, or a motion for reconsideration of the initial decision is 
timely filed, the initial decision shall constitute the final decision 
of the Director and shall be final and binding on the parties 30 days 
after it is issued by the ALJ.



Sec.  521.38  Reconsideration of initial decision.

    (a) Except as provided in paragraph (d) of this section, any party 
may file a motion for reconsideration of the initial decision within 20 
days of receipt of the initial decision. If service was made by mail, 
receipt will be presumed to be five days from the date of mailing in the 
absence of contrary proof.
    (b) Every such motion must set forth the matters claimed to have 
been erroneously decided and the nature of the alleged errors. Such 
motion shall be accompanied by a supporting brief.
    (c) Responses to such motions shall be allowed only upon request of 
the ALJ.
    (d) No party may file a motion for reconsideration of an initial 
decision that has been revised in response to a previous motion for 
reconsideration.
    (e) The ALJ may dispose of a motion for reconsideration by denying 
it or by issuing a revised initial decision.
    (f) If the ALJ denies a motion for reconsideration, the initial 
decision shall constitute the final decision of the Director and shall 
be final and binding on the parties 30 days after the ALJ denies the 
motion, unless the initial decision is timely appealed to the Director 
in accordance with Sec.  521.39.
    (g) If the ALJ issues a revised initial decision, that decision 
shall constitute the final decision of the Director and shall be final 
and binding on the parties 30 days after it is issued, unless it is 
timely appealed to the Director in accordance with Sec.  521.39.



Sec.  521.39  Appeal to the Broadcasting Board of Governors Director.

    (a) Any defendant who has filed a timely answer and who is 
determined in an initial decision to be liable for a civil penalty or 
assessment may appeal such decision to the Broadcasting Board of 
Governors Director by filing a notice of appeal with the Broadcasting 
Board of Governors Director in accordance with this section.
    (b)(1) No notice of appeal may be filed until the time period for 
filing a motion for reconsideration under Sec.  521.38 has expired.
    (2) If a motion for reconsideration is timely filed, a notice of 
appeal may be filed within 30 days after the ALJ denies the motion or 
issues a revised initial decision, whichever applies.
    (3) If no motion for reconsideration is timely filed, a notice of 
appeal must be filed within 30 days after the ALJ issues the initial 
decision.
    (4) The Director may extend the initial 30-day period for an 
additional 30 days if the defendant files with the Director a request 
for an extension within the initial 30-day period and shows good cause.
    (c) If the defendant files a timely notice of appeal with the 
Director, and the time for filing motions for reconsideration under 
Sec.  521.38 has expired, the ALJ shall forward the record of the 
proceeding to the Director.
    (d) A notice of appeal shall be accompanied by a written brief 
specifying exceptions to the initial decisions and reasons supporting 
the exceptions.

[[Page 199]]

    (e) The representative for the Government may file a brief in 
opposition to exceptions within 30 days of receiving the notice of 
appeal and accompanying brief.
    (f) There is no right to appear personally before the Director.
    (g) There is no right to appeal any interlocutory ruling by the ALJ.
    (h) In reviewing the initial decision, the Director shall not 
consider any objection that was not raised before the ALJ unless a 
demonstration is made of extraordinary circumstances causing the failure 
to raise the objection.
    (i) If any party demonstrates to the satisfaction of the Director 
that additional evidence not presented at such hearing is material and 
that there were reasonable grounds for the failure to present such 
evidence at such hearing, the Director shall remand the matter to the 
ALJ for consideration of such additional evidence.
    (j) The Director may affirm, reduce, reverse, compromise, remand, or 
settle any penalty or assessment determined by the ALJ in an initial 
decision.
    (k) The Director shall promptly serve each party to the appeal with 
a copy of her/his decision and a statement describing the right of any 
person determined to be liable for a penalty or assessment to seek 
judicial review.
    (l) Unless a petition for review is filed as provided in 31 U.S.C. 
3805 after a defendant has exhausted all administrative remedies under 
this part and within 60 days after the date on which the Director serves 
the defendant with a copy of her/his decision, a determination that a 
defendant is liable under Sec.  521.3 is final and is not subject to 
judicial review.



Sec.  521.40  Stays ordered by the Department of Justice.

    If at any time the Attorney General or an Assistant Attorney General 
designated by the Attorney General transmits to the Director a written 
finding that continuation of the administrative process described in 
this part with respect to a claim or statement may adversely affect any 
pending or potential criminal or civil action related to such claim or 
statement, the Director shall stay the process immediately. The Director 
may order the process resumed only upon receipt of the written 
authorization of the Attorney General.



Sec.  521.41  Stay pending appeal.

    (a) An initial decision is stayed automatically pending disposition 
of a motion for reconsideration or of an appeal to the Director.
    (b) No administrative stay is available following a final decision 
of the Director.



Sec.  521.42  Judicial review.

    Section 3805 of title 31, United States Code, authorizes judicial 
review by an appropriate United States District Court of a final 
decision of the Director imposing penalties or assessments under this 
part and specifies the procedures for such.



Sec.  521.43  Collection of civil penalties and assessments.

    Sections 3806 and 3808(b) of title 31, United States Code, authorize 
actions for collection of civil penalties and assessments imposed under 
this part and specify the procedures for such actions.



Sec.  521.44  Right to administrative offset.

    The amount of any penalty or assessment which has become final, or 
for which a judgment has been entered under Sec.  521.42 or Sec.  
521.43, or any amount agreed upon in a compromise or settlement under 
Sec.  521.46, may be collected by administrative offset under 31 U.S.C. 
3716, except that an administrative offset may not be made under the 
subsection against a refund of an overpayment of Federal taxes, then or 
later owing by the United States to the defendant.



Sec.  521.45  Deposit in Treasury of United States.

    All amounts collected pursuant to this part shall be deposited as 
miscellaneous receipts in the Treasury of the United States, except as 
provided in 31 U.S.C. 3806(g).



Sec.  521.46  Compromise or settlement.

    (a) Parties may make offers of compromise or settlement at any time.
    (b) The reviewing official has the exclusive authority to compromise 
or settle a case under this part at any

[[Page 200]]

time after the date on which the reviewing official is permitted to 
issue a complaint and before the date on which the ALJ issues an initial 
decision.
    (c) The Director has exclusive authority to compromise or settle a 
case under this part at any time after the date on which the ALJ issues 
an initial decision, except during pendency of any review under Sec.  
521.42 or during the pendency of any action to collect penalties and 
assessments under Sec.  521.43.
    (d) The Attorney General has exclusive authority to compromise or 
settle a case under this part during the pendency of any review under 
Sec.  521.42 or of any action to recover penalties and assessments under 
31 U.S.C. 3806.
    (e) The investigating official may recommend settlement terms to the 
reviewing official, the Director, or the Attorney General, as 
appropriate. The reviewing official may recommend settlement terms to 
the Director, or the Attorney General, as appropriate.
    (f) Any compromise or settlement must be in writing.



Sec.  521.47  Limitations.

    (a) The notice of hearing with respect to a claim or statement must 
be served in the manner specified in Sec.  521.8 within 6 years after 
the date on which such claim or statement is made.
    (b) If the defendant fails to file a timely answer, service of a 
notice under Sec.  521.10(b) shall be deemed notice of hearing for 
purposes of this section.
    (c) The statute of limitations may be extended by agreement of the 
parties.



PART 530_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN
PROGRAMS OR ACTIVITIES CONDUCTED BY THE BROADCASTING BOARD OF GOVERNORS-
-Table of Contents



Sec.
530.101 Purpose.
530.102 Application.
530.103 Definitions.
530.104-530.109 [Reserved]
530.110 Self-evaluation.
530.111 Notice.
530.112-530.129 [Reserved]
530.130 General prohibitions against discrimination.
530.131-530.139 [Reserved]
530.140 Employment.
530.141-530.148 [Reserved]
530.149 Program accessibility: Discrimination prohibited.
530.150 Program accessibility: Existing facilities.
530.151 Program accessibility: New construction and alterations.
530.152-530.159 [Reserved]
530.160 Communications.
530.161-530.169 [Reserved]
530.170 Compliance procedures.
530.171-530.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22890, 22896, June 23, 1986, unless otherwise noted.



Sec.  530.101  Purpose.

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



Sec.  530.102  Application.

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



Sec.  530.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the Board. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes

[[Page 201]]

the Board's alleged discriminatory action in sufficient detail to inform 
the Board of the nature and date of the alleged violation of section 
504. It shall be signed by the complainant or by someone authorized to 
do so on his or her behalf. Complaints filed on behalf of classes or 
third parties shall describe or identify (by name, if possible) the 
alleged victims of discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the Board as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the Board as having such an impairment.
    Historic preservation programs means programs conducted by the Board 
that have preservation of historic properties as a primary purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the Board, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or Board 
policy to receive education services from the Board.
    (2) With respect to any other Board program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can acheive the purpose of the program or activity 
without modifications in the program or activity that the Board can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.  530.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation,

[[Page 202]]

Comprehensive Services, and Developmental Disabilities Amendments of 
1978 (Pub. L. 95-602, 92 Stat. 2955). As used in this part, section 504 
applies only to programs or activities conducted by Executive agencies 
and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.  530.104-530.109  [Reserved]



Sec.  530.110  Self-evaluation.

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



Sec.  530.111  Notice.

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



Sec. Sec.  530.112-530.129  [Reserved]



Sec.  530.130  General prohibitions against discrimination.

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

[[Page 203]]

arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The Board may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the Board; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The Board, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The Board may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the Board establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the Board are not, themselves, covered 
by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The Board shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec.  530.131-530.139  [Reserved]



Sec.  530.140  Employment.

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



Sec. Sec.  530.141-530.148  [Reserved]



Sec.  530.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  530.150, no qualified 
handicapped person shall, because the Board's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the Board.



Sec.  530.150  Program accessibility: Existing facilities.

    (a) General. The Board shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the Board to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the Board 
to take any action that would result in a substantial impairment of 
significant historic features of an historic property; or
    (3) Require the Board to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where Board personnel believe that the proposed action 
would fundamentally alter the program or activity or would

[[Page 204]]

result in undue financial and administrative burdens, the Board has the 
burden of proving that compliance with Sec.  530.150(a) would result in 
such alteration or burdens. The decision that compliance would result in 
such alteration or burdens must be made by the Board head or his or her 
designee after considering all Board resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the Board shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The Board may comply with the requirements 
of this section through such means as redesign of equipment, 
reassignment of services to accessible buildings, assignment of aides to 
beneficiaries, home visits, delivery of services at alternate accessible 
sites, alteration of existing facilities and construction of new 
facilities, use of accessible rolling stock, or any other methods that 
result in making its programs or activities readily accessible to and 
usable by handicapped persons. The Board is not required to make 
structural changes in existing facilities where other methods are 
effective in achieving compliance with this section. The Board, in 
making alterations to existing buildings, shall meet accessibility 
requirements to the extent compelled by the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), and any regulations 
implementing it. In choosing among available methods for meeting the 
requirements of this section, the Board shall give priority to those 
methods that offer programs and activities to qualified handicapped 
persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  530.150(a) in historic preservation programs, the Board shall give 
priority to methods that provide physical access to handicapped persons. 
In cases where a physical alteration to an historic property is not 
required because of Sec.  530.150(a)(2) or (a)(3), alternative methods 
of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The Board shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
Board shall develop, by February 23, 1987, a transition plan setting 
forth the steps necessary to complete such changes. The Board shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the Board's facilities that limit 
the accessibility of its programs or activities to handicapped persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.

[[Page 205]]



Sec.  530.151  Program accessibility: New construction and alterations.

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



Sec. Sec.  530.152-530.159  [Reserved]



Sec.  530.160  Communications.

    (a) The Board shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The Board shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the Board.
    (i) In determining what type of auxiliary aid is necessary, the 
Board shall give primary consideration to the requests of the 
handicapped person.
    (ii) The Board need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the Board communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The Board shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The Board shall provide signage at a primary entrance to each of 
its inaccessible facilities, directing users to a location at which they 
can obtain information about accessible facilities. The international 
symbol for accessibility shall be used at each primary entrance of an 
accessible facility.
    (d) This section does not require the Board to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where Board personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the Board 
has the burden of proving that compliance with Sec.  530.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the Board head or 
his or her designee after considering all Board resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the Board 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.  530.161-530.169  [Reserved]



Sec.  530.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the Board.
    (b) The Board shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director, Office of Equal Employment Opportunity and Civil 
Rights, shall be responsible for coordinating implementation of this 
section. Complaints may be sent to Director, Office of Equal Employment 
Opportunity and Civil Rights, Broadcasting Board of Governors, 301 4th 
Street NW., Washington, DC 20547.
    (d) The Board shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete

[[Page 206]]

complaints must be filed within 180 days of the alleged act of 
discrimination. The Board may extend this time period for good cause.
    (e) If the Board receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The Board shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the Board shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the Board of the letter required by Sec.  530.170(g). The Board may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the Board.
    (j) The head of the Board shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the Board determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The Board may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 22890, 22896, June 23, 1986, as amended at 51 FR 22890, June 23, 
1986]



Sec. Sec.  530.171-530.999  [Reserved]

                        PARTS 531	599 [RESERVED]

[[Page 207]]



      CHAPTER VII--US INTERNATIONAL DEVELOPMENT FINANCE CORPORATION




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

                 SUBCHAPTER A--ADMINISTRATIVE PROVISIONS
Part                                                                Page
700-704

[Reserved]

705             Employee ethical conduct standards and 
                    financial disclosure regulations........         209
706             Information disclosure under the freedom of 
                    information act.........................         209
707             Access to and safeguarding of personal 
                    information.............................         222
708-709

[Reserved]

710             Administrative enforcement procedures of 
                    post-employment restrictions............         229
711             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities..............................         231
712             New restrictions on lobbying................         237
713             Production of nonpublic records and 
                    testimony of employees in legal 
                    proceedings.............................         249
714-799

[Reserved]

[[Page 209]]



                 SUBCHAPTER A_ADMINISTRATIVE PROVISIONS



                        PARTS 700	704 [RESERVED]



PART 705_EMPLOYEE ETHICAL CONDUCT STANDARDS AND FINANCIAL DISCLOSURE
REGULATIONS--Table of Contents



    Authority: 5 U.S.C. 7301; Pub. L. 115-254, sections 1401-1470.



Sec.  705.101  Cross-reference to employee ethical conduct standards 
and financial disclosure regulations.

    Employees of the US International Development Finance Corporation 
(DFC) should refer to the executive branch-wide Standards of Ethical 
Conduct at 5 CFR part 2635, the DFC regulation at 5 CFR 4301.101 which 
supplements the executive branch-wide standards, and the executive 
branch-wide financial disclosure regulation at 5 CFR part 2634.

[58 FR 33320, June 17, 1993, as amended at 84 FR 37751, Aug. 2, 2019]



PART 706_INFORMATION DISCLOSURE UNDER THE FREEDOM OF INFORMATION ACT-
-Table of Contents



                            Subpart A_General

Sec.
706.1 Description.
706.2 Policy.
706.3 Scope.
706.4 Preservation and transfer of records.
706.5 Other rights and services.

                     Subpart B_Obtaining DFC Records

706.10 Publicly available records.
706.11 Requesting non-public records.

           Subpart C_Fees for Requests for Non-Public Records

706.20 In general.
706.21 Types of fees.
706.22 Requester categories.
706.23 Fees charged.
706.24 Requirements for waiver or reduction of fees.

         Subpart D_Processing of Requests for Non-Public Records

706.30 Responsibility for responding to requests.
706.31 Timing of responses to requests.
706.32 Responses to requests.
706.33 Confidential commercial information.
706.34 Administrative appeals.

    Authority: 5 U.S.C. 552, Pub. L. 114-185; Pub. L. 115-254, sections 
1401-1470.

    Source: 82 FR 20434, May 2, 2017, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 706 appear at 84 FR 
37751, Aug. 2, 2019.



                            Subpart A_General



Sec.  706.1  Description.

    This part contains the rules that the US International Development 
Finance Corporation (``DFC'') follows in processing requests for records 
under the Freedom of Information Act (``FOIA''), 5 U.S.C. 552 as 
amended. These rules should be read together with the FOIA and the 
Uniform Freedom of Information Fee Schedule and Guidelines published by 
the Office of Management and Budget. Requests made by individuals for 
records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a, 
are processed in accordance with DFC's Privacy Act regulations at 22 CFR 
part 707 as well as under this subpart.



Sec.  706.2  Policy.

    It is DFC's policy to make its records available to the public to 
the greatest extent possible, in keeping with the spirit of the FOIA. 
This policy includes providing reasonably segregable information from 
records that also contain information that may be withheld under the 
FOIA. However, implementation of this policy also reflects DFC's view 
that the soundness and viability of many of its programs depend in large 
measure upon full and reliable commercial, financial, technical and 
business information received from applicants for DFC assistance and 
that the willingness of those applicants to provide such information 
depends on DFC's ability to hold it in confidence. Consequently, except 
as provided by

[[Page 210]]

law and in this part, information provided to DFC in confidence will not 
be disclosed without the submitter's consent.



Sec.  706.3  Scope.

    This part applies to all agency records in DFC's possession and 
control. This part does not compel DFC to create records or to ask 
outside parties to provide documents in order to satisfy a FOIA request. 
DFC may, however, in its discretion and in consultation with a FOIA 
requester, create a new record as a partial or complete response to a 
FOIA request. In responding to requests for information, DFC will 
ordinarily consider only those records within its possession and control 
as of the date of DFC's search. If any other date is used, DFC will 
inform the requester of that date. A record that is excluded from the 
requirements of the FOIA pursuant to 5 U.S.C. 552(c), is not considered 
responsive to a request.



Sec.  706.4  Preservation and transfer of records.

    (a) Preservation of records. DFC preserves all correspondence 
pertaining to the requests that it receives under this part, as well as 
copies of all requested records, until disposition or destruction is 
authorized pursuant to title 44 of the United States Code or the General 
Records Schedule 4.2 of the National Archives and Records 
Administration. Records that are identified as responsive to a request 
will not be disposed of or destroyed while they are the subject of a 
pending request, appeal, or lawsuit under the FOIA.
    (b) Transfer of records to the National Archives. Under the Records 
Disposal Act, 44 U.S.C. Chapter 33, DFC is required to transfer legal 
custody and control of records with permanent historical value to the 
National Archives. DFC's Finance Project and Insurance Contract Case 
files generally do not qualify as records with permanent historical 
value. DFC will not transfer these files except when the National 
Archives determines that an individual project or case is especially 
significant or unique. If the National Archives receives a FOIA request 
for records that have been transferred it will respond to the request in 
accordance with its own FOIA regulations.



Sec.  706.5  Other rights and services.

    Nothing in this subpart shall be construed to entitle any person, as 
of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.



                     Subpart B_Obtaining DFC Records



Sec.  706.10  Publicly available records.

    Records that the FOIA requires agencies to make available for public 
inspection in an electronic format may be accessed through DFC's FOIA 
Web site at www.dfc.gov. Records identified as of interest to the public 
and appropriate for public disclosure are also available, along with an 
index. These include annual reports and financial statements, program 
handbooks, press releases, application forms, claims information, and 
annual FOIA reports. DFC will review and update its Web site of posted 
records on an ongoing basis. Persons seeking information are encouraged 
to visit DFC's Web site to see what information is already available 
before submitting a request; DFC's FOIA Office and FOIA Public Liaison 
are available to assist individuals in locating records.

[82 FR 20434, May 2, 2017, as amended at 84 FR 37752, Aug. 2, 2019]



Sec.  706.11  Requesting non-public records.

    (a) General information--(1) How to submit. To make a request for 
records a requester must submit a written request to DFC's FOIA Office 
either by mail to US International Development Finance Corporation, 1100 
New York Avenue NW., Washington, DC 20527 or electronic mail to 
[email protected]. The envelope or subject line should read ``Freedom of 
Information Request'' to ensure proper routing. The request is 
considered received by DFC upon actual receipt by DFC's FOIA Office.
    (2) Records about oneself. A requester who is making a request for 
records about himself or herself must verify his or her identity by 
providing a notarized statement or a statement under

[[Page 211]]

28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization, stating that the requester 
is the person he or she claims to be.
    (3) Records about a third party. Where a request for records 
pertains to a third party, a requester may receive greater access by 
submitting a notarized authorization signed by that individual, a 
declaration by that individual made in compliance with the requirements 
set forth in 28 U.S.C. 1746 authorizing disclosure of the records to the 
requester, proof of guardianship, or proof that the individual is 
deceased (e.g., a copy of a death certificate or an obituary). DFC may 
require a requester to supply additional information if necessary in 
order to verify that a particular individual has consented to 
disclosure.
    (b) Description of records sought. Requesters must describe the 
records sought in sufficient detail to enable DFC personnel to locate 
them with a reasonable amount of effort. To the extent possible, 
requesters should include specific information that may assist DFC in 
identifying the requested records, such as the project name, contract 
number, date or date range, country, title, name, author, recipient, 
subject matter of the record, or reference number. In general, 
requesters should include as much detail as possible about the specific 
records or the types of records sought. Before submitting their 
requests, requesters may contact DFC's FOIA Office or FOIA Public 
Liaison to discuss the records they seek and to receive assistance in 
describing the records. If a requester fails to reasonably describe the 
records sought, DFC will inform the requester what additional 
information is needed or why the request is otherwise insufficient. 
Requesters who are attempting to reformulate or modify such a request 
may discuss their request with the FOIA Office or FOIA Public Liaison. 
If a request does not reasonably describe the records sought, DFC's 
response to the request may be delayed.
    (c) Format. Requests may state a preferred format for released 
records including electronic formats. The records will be provided in 
the preferred format if the record is readily reproducible in that 
format. If you do not state a preference, you will receive any released 
records in the format most convenient to DFC.
    (d) Requester information. Requests must include the requester's 
name and contact information, such as phone number, email address, or 
mailing address, to assist DFC in communicating with them and providing 
the released records.
    (e) Fees. You should state your willingness to pay fees under these 
regulations or, alternately, your willingness to pay up to a specified 
limit. If you believe that you qualify for a partial or total fee waiver 
under 706.24 you should request a waiver and provide justification as 
required by 706.24. If your request does not contain a statement of your 
willingness to pay fees or a request for a fee waiver, DFC will consider 
your request an agreement to pay up to $25.00 in fees.

[82 FR 20434, May 2, 2017, as amended at 84 FR 37752, Aug. 2, 2019]



           Subpart C_Fees for Requests of Non-Public Records.



Sec.  706.20  In general.

    DFC will charge for processing requests under the FOIA in accordance 
with the provisions of this section and with the OMB Guidelines. For 
purposes of assessing fees, the FOIA establishes three categories of 
requests: Commercial use requests, non-commercial scientific or 
educational institutions or news media requests, and all other requests. 
DFC will inform requesters as to which category their request has been 
placed into. Different fees are assessed depending on the category. 
Requesters may seek a fee waiver. DFC will consider requests for fee 
waiver in accordance with the requirements in Sec.  706.24. To resolve 
any fee issues that arise under this section, DFC may contact a 
requester for additional information. DFC will ensure that searches, 
review, and duplication are conducted in the most efficient and the 
least expensive manner. DFC ordinarily will collect all applicable fees 
before sending copies of records to a requester. Requesters must pay 
fees by check or money order made payable to the Treasury of the United 
States.

[[Page 212]]



Sec.  706.21  Types of fees.

    (a) Direct costs are those expenses that DFC expends in searching 
for and duplicating (and, in the case of commercial-use requests, 
reviewing) records in order to respond to a FOIA request. For example, 
direct costs include the salary of the employee performing the work 
(i.e., the basic rate of pay for the employee, plus 16 percent of that 
rate to cover benefits) and the cost of operating computers and other 
electronic equipment. Direct costs do not include overhead expenses such 
as the costs of space, and of heating or lighting a facility.
    (b) Duplication is reproducing a copy of a record or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, audiovisual materials, or electronic 
records, among others.
    (c) Review is the examination of a record located in response to a 
request in order to determine whether any portion of it is exempt from 
disclosure. Review time includes processing any record for disclosure, 
such as doing all that is necessary to prepare the record for 
disclosure, including the process of redacting the record and marking 
the appropriate exemptions. Review costs are properly charged even if a 
record ultimately is not disclosed. Review time also includes time spent 
both obtaining and considering any formal objection to disclosure made 
by a confidential commercial information submitter under Sec.  706.33(c) 
of this subpart, but it does not include time spent resolving general 
legal or policy issues regarding the application of exemptions.
    (d) Search is the process of looking for and retrieving records or 
information responsive to a request. Search time includes page-by-page 
or line-by-line identification of information within records; and the 
reasonable efforts expended to locate and retrieve information from 
electronic records.



Sec.  706.22  Request categories.

    (a) A Commercial Use request is a request that asks for information 
for a use or a purpose that furthers a commercial, trade, or profit 
interest, which can include furthering those interests through 
litigation. DFC's decision to place a requester in the commercial use 
category will be made on a case-by-case basis based on the requester's 
intended use of the information.
    (b) An Educational Use request is one made on behalf of an 
educational institution, defined as any school that operates a program 
of scholarly research. A requester in this category must show that the 
request is made in connection with his or her role at the educational 
institution. DFC may request verification from the requester that the 
request is in furtherance of scholarly research.
    (1) Example 1. A request from a professor of geology at a university 
for records relating to soil erosion, written on letterhead of the 
Department of Geology, would be presumed to be from an educational 
institution.
    (2) Example 2. A request from the same professor of geology seeking 
drug information from the Food and Drug Administration in furtherance of 
a murder mystery he is writing would not be presumed to be an 
institutional request, regardless of whether it was written on 
institutional stationery.
    (3) Example 3. A student who makes a request in furtherance of their 
coursework or other school-sponsored activities and provides a copy of a 
course syllabus or other reasonable documentation to indicate the 
research purpose for the request, would qualify as part of this fee 
category.
    (c) A Noncommercial Scientific Institution Use request is a request 
made on behalf of a noncommercial scientific institution, defined as an 
institution that is not operated on a ``commercial'' basis, as defined 
in paragraph (a) of this section, and that is operated solely for the 
purpose of conducting scientific research, the results of which are not 
intended to promote any particular product or industry. A requester in 
this category must show that the request is authorized by and is made 
under the auspices of a qualifying institution and that the records are 
sought to further scientific research and not for a commercial use.
    (d) A News Media Request is a request made by a representative of 
the

[[Page 213]]

news media in that capacity. A representative of the news media is 
defined as any person or entity that gathers information of potential 
interest to a segment of the public, uses its editorial skills to turn 
the raw materials into a distinct work, and distributes that work to an 
audience. The term ``news'' means information that is about current 
events or that would be of current interest to the public. Examples of 
news media entities include television or radio stations that broadcast 
news to the public at large and publishers of periodicals that 
disseminate news and make their products available through a variety of 
means to the general public. A request for records that supports the 
news-dissemination function of the requester shall not be considered to 
be for a commercial use. ``Freelance'' journalists who demonstrate a 
solid basis for expecting publication through a news media entity shall 
be considered as a representative of the news media. A publishing 
contract would provide the clearest evidence that publication is 
expected; however, DFC shall also consider a requester's past 
publication record in making this determination.
    (e) All other requests include any requests that do not qualify 
under one of the above categories.



Sec.  706.23  Fees charged.

    (a) Fees. In responding to FOIA requests, DFC will charge the 
following fees unless a waiver or reduction of fees has been granted 
under Sec.  706.24 of this subpart. Because the fee amounts provided 
below already account for the direct costs associated with a given fee 
type, DFC should not add any additional costs to charges calculated 
under this section.
    (1) Search. (i) Requests made by educational institutions, 
noncommercial scientific institutions, or representatives of the news 
media are not subject to search fees. Search fees will be charged to all 
other requests, subject to the restrictions of paragraph (b) of this 
section. Fees for time spent searching is properly charged even if no 
responsive records are located or if all responsive records are 
determined to be entirely exempt from disclosure.
    (ii) For each quarter hour spent by personnel searching for 
requested records, including electronic searches that do not require new 
programming, the fees will be as follows: Professional--$13.75; and 
administrative--$7.50.
    (iii) Requesters will be charged the direct costs associated with 
conducting any search that requires the creation of a new program to 
locate the requested records. Before incurring such costs, DFC will 
notify the requester and the requester must agree to pay.
    (iv) For requests that require the retrieval of records stored at a 
Federal Records Center operated by the National Archives and Records 
Administration (NARA), additional costs shall be charged in accordance 
with the Transactional Billing Rate Schedule established by NARA.
    (2) Duplication. Duplication fees will be charged to all requesters, 
subject to the restrictions of paragraph (b) of this section. DFC will 
honor a requester's preference for receiving a record in a particular 
form or format where it is readily reproducible in the form or format 
requested. Where photocopies are supplied, DFC will provide one copy per 
request at a cost of $0.10 per page. For copies of records produced on 
tapes, disks, or other electronic media, DFC will charge the direct 
costs of producing the copy, including operator time. Where paper 
documents must be scanned in order to comply with a requester's 
preference to receive the records in an electronic format, the requester 
must also pay the direct costs associated with scanning those materials. 
For other forms of duplication, DFC will charge the direct costs.
    (3) Review. Review fees will be charged to requesters who make 
commercial use requests. Review fees will be assessed in connection with 
the initial review of the record, i.e., the review conducted by DFC to 
determine whether an exemption applies to a particular record or portion 
of a record. No charge will be made for review at the administrative 
appeal stage of exemptions applied at the initial review stage. However, 
if the appellate authority determines that a particular exemption no 
longer applies, any costs associated with the re-review of the

[[Page 214]]

records in order to consider the use of other exemptions may be assessed 
as review fees. Review fees will be charged at the same rates as those 
charged for a search under paragraph (a)(1)(ii) of this section.
    (b) Restrictions on charging fees. (1) No search fees will be 
charged for educational use requests, noncommercial scientific use 
requests, or news media requests as defined in Section 706.22.
    (2) Fees charged when DFC exceeds time limits.
    (i) When DFC fails to comply with the time limits in which to 
respond to a request, it may not charge search fees, or, in the 
instances of requests from requesters described in paragraph (b)(1) of 
this section, may not charge duplication fees, except as described in 
(b)(2)(ii) through (iv) of this section.
    (ii) If DFC has determined that unusual circumstances as defined by 
the FOIA apply and DFC provided timely written notice to the requester 
in accordance with the FOIA, a failure to comply with the time limit 
shall be excused for an additional ten days.
    (iii) If DFC has determined that unusual circumstances, as defined 
by the FOIA, apply and more than 5,000 pages are necessary to respond to 
the request, DFC may charge all applicable fees incurred in processing 
the request if the following steps are taken:
    (A) DFC has provided timely written notice of unusual circumstances 
to the requester in accordance with the FOIA; and
    (B) DFC has discussed with the requester via written mail, email, or 
telephone (or made not less than three good-faith attempts to do so) how 
the requester could effectively limit the scope of the request in 
accordance with 5 U.S.C. 552(a)(6)(B)(ii).
    (iv) If a court has determined that exceptional circumstances exist, 
as defined by the FOIA, a failure to comply with the time limits shall 
be excused for the length of time provided by the court order.
    (3) No search or review fees will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (4) Except for requesters seeking records for a commercial use, DFC 
will provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent for 
other media); and
    (ii) The first two hours of search.
    (5) If, after deducting free entitlements, the total fee calculated 
under this section is $25.00 or less, no fee will be charged.
    (c) Notice of anticipated fees in excess of $25.00. (1) When DFC 
determines or estimates that the fees to be assessed in accordance with 
this section will exceed $25.00, DFC will notify the requester of the 
actual or estimated amount of the fees, including a breakdown of fees 
for search, review, and duplication, unless the requester has indicated 
a willingness to pay fees as high as those anticipated. If only a 
portion of the fee can be estimated readily, DFC will advise the 
requester accordingly. If the request is for noncommercial use, the 
notice will specify that the requester is entitled to the statutory 
entitlements of 100 pages of duplication at no charge, and if the 
requester is charged search fees, two hours of search time at no charge, 
and will advise the requester whether those entitlements have been 
provided.
    (2) If DFC notifies the requester that the actual or estimated fees 
are in excess of $25.00, the request will not be considered received and 
further work will not be completed until the requester commits in 
writing to pay the actual or estimated total fee, or designates some 
amount of fees the requester is willing to pay, or in the case of a 
noncommercial use requester who has not yet been provided with the 
requester's statutory entitlements, designates that the requester seeks 
only that which can be provided by the statutory entitlements. The 
requester must provide the commitment or designation in writing, and 
must, when applicable, designate an exact dollar amount the requester is 
willing to pay. DFC is not required to accept payments in installments.
    (3) If the requester has indicated a willingness to pay some 
designated amount of fees, but DFC estimates that the total fee will 
exceed that amount, the processing of the request will be tolled when 
DFC notifies the requester of the estimated fees in excess of the amount 
the requester has indicated a

[[Page 215]]

willingness to pay. DFC will inquire whether the requester wishes to 
revise the amount of fees the requester is willing to pay or modify the 
request. Once the requester responds, DFC's time to respond will resume 
from where it was at the date of the notification.
    (4) DFC's FOIA Office or FOIA Public Liaison is available to assist 
any requester in reformulating a request to meet the requester's needs 
at a lower cost.
    (d) Charges for other services. Although not required to provide 
special services, if DFC chooses to do so as a matter of administrative 
discretion, the direct costs of providing the service will be charged. 
Examples of such services include certifying that records are true 
copies, providing multiple copies of the same document, or sending 
records by means other than first class mail.
    (e) Charging interest. DFC may charge interest on any unpaid bill 
starting on the thirty-first day following the billing date. Interest 
charges will be assessed at the rate provided in 31 U.S.C. 3717 and will 
accrue from the billing date until payment is received by DFC. DFC will 
follow the provisions of the Debt Collection Act of 1982 (Pub. L. 97-
365, 96 Stat. 1749), as amended, and its administrative procedures, 
including the use of consumer reporting agencies, collection agencies, 
and offset.
    (f) Aggregating requests. If DFC reasonably believes that a 
requester or a group of requesters acting in concert is attempting to 
divide a single request into a series of requests for the purpose of 
avoiding fees, DFC may aggregate those requests and charge accordingly. 
DFC may presume that multiple requests of this type made within a 30-day 
period have been made in order to avoid fees. For requests separated by 
a longer period, DFC will aggregate them only where there is a 
reasonable basis for determining that aggregation is warranted in view 
of all the circumstances involved. Multiple requests involving unrelated 
matters will not be aggregated.
    (g) Advance payments. (1) For requests other than those described in 
paragraphs (g)(2) and (3) of this section DFC will not require the 
requester to make an advance payment before work is commenced or 
continued on a request. Payment owed for work already completed (i.e., 
payment before copies are sent to a requester) is not an advance 
payment.
    (2) When DFC determines or estimates that a total fee to be charged 
under this section will exceed $250.00, it may require that the 
requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. DFC may elect 
to process the request prior to collecting fees when it receives a 
satisfactory assurance of full payment from a requester with a history 
of prompt payment.
    (3) Where a requester has previously failed to pay a properly 
charged FOIA fee to any agency within thirty calendar days of the 
billing date, DFC may require that the requester pay the full amount 
due, plus any applicable interest on that prior request. DFC may also 
require that the requester make an advance payment of the full amount of 
any anticipated fee before DFC begins to process a new request or 
continues to process a pending request or any pending appeal. Where DFC 
has a reasonable basis to believe that a requester has misrepresented 
his or her identity in order to avoid paying outstanding fees, it may 
require that the requester provide proof of identity.
    (4) In cases in which DFC requires advance payment, DFC's response 
time will be tolled and further work will not be completed until the 
required payment is received. If the requester does not pay the advance 
payment within thirty calendar days after the date of DFC's fee letter, 
DFC may administratively close the request.
    (h) Other statutes specifically providing for fees. The fee schedule 
of this section does not apply to fees charged under any statute that 
specifically requires an agency to set and collect fees for particular 
types of records. In instances where records responsive to a request are 
subject to a statutorily-based fee schedule program, DFC will inform the 
requester of the contact information for that program.

[[Page 216]]



Sec.  706.24  Requirements for waiver or reduction of fees.

    (a) Requesters may seek a waiver of fees by submitting a written 
application demonstrating how disclosure of the requested information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations and activities of the 
government and is not primarily in the interest of the requester.
    (b) DFC will furnish records responsive to a request without charge 
or at a reduced rate when it determines, based on all available 
information, that the factors described in paragraphs (b)(1)-(3) of this 
section are satisfied.
    (1) Disclosure of the requested information would shed light on the 
operations or activities of the government. The subject of the request 
must concern identifiable operations or activities of the Federal 
government, with a connection that is direct and clear, not remote or 
attenuated.
    (2) Disclosure of the requested information is likely to contribute 
significantly to public understanding of those operations or activities. 
This factor is satisfied when the following criteria are met:
    (i) Disclosure of the requested records must be meaningfully 
informative about government operations or activities. The disclosure of 
information that already is in the public domain, in either the same or 
a substantially identical form, would not be meaningfully informative if 
nothing new would be added to the public's understanding.
    (ii) The disclosure must contribute to the understanding of a 
reasonably broad audience of persons interested in the subject, as 
opposed to the individual understanding of the requester. A requester's 
expertise in the subject area as well as his or her ability and 
intention to effectively convey information to the public shall be 
considered. It shall ordinarily be presumed that a representative of the 
news media satisfies this consideration.
    (3) The disclosure must not be primarily in the commercial interest 
of the requester. To determine whether disclosure of the requested 
information is primarily in the commercial interest of the requester, 
DFC will consider the following factors:
    (i) DFC shall identify whether the requester has any commercial 
interest that would be furthered by the requested disclosure. A 
commercial interest includes any commercial, trade, or profit interest. 
Requesters shall be given an opportunity to provide explanatory 
information regarding this consideration.
    (ii) If there is a commercial interest, DFC will determine whether 
that is the primary interest furthered by the request. A waiver or 
reduction of fees is justified when the requirements of paragraphs 
(b)(1) and (2) of this section are satisfied and any commercial interest 
is not the primary interest furthered by the request. DFC will 
ordinarily presume that when a news media requester has satisfied 
factors in paragraphs (b)(1) and (2) of this section, the request is not 
primarily in the commercial interest of the requester. Disclosure to 
data brokers or others who merely compile and market government 
information for direct economic return will not be presumed to primarily 
serve the public interest.
    (c) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver shall be granted for those 
records.
    (d) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to DFC and should address the criteria 
referenced above. A requester may submit a fee waiver request at a later 
time so long as the underlying record request is pending or on 
administrative appeal. When a requester who has committed to pay fees 
subsequently asks for a waiver of those fees and that waiver is denied, 
the requester will be required to pay any costs incurred up to the date 
the fee waiver request was received.

[[Page 217]]



         Subpart D_Processing of Requests for Non-Public Records



Sec.  706.30  Responsibility for responding to requests.

    (a) Authority to grant or deny requests. The DFC President and CEO 
or designee is authorized to grant or to deny any requests for records.
    (b) Consultation, referral, and coordination. When reviewing records 
responsive to a request, DFC will determine whether another agency of 
the Federal Government is better able to determine whether the record is 
exempt from disclosure under the FOIA. As to any such record, DFC will 
proceed in one of the following ways:
    (1) Consultation. When records originated with DFC, but contain 
within them information of interest to another agency or other Federal 
Government office, DFC will typically consult with that other entity 
prior to making a release determination.
    (2) Referral. (i) When DFC believes that a different agency is best 
able to determine whether to disclose the record, DFC will typically 
refer the responsibility for responding to the request regarding that 
record to that agency. Ordinarily, the agency that originated the record 
is presumed to be the best agency to make the disclosure determination. 
However, if DFC and the originating agency jointly agree that DFC is in 
the best position to respond regarding the record, then the record may 
be handled as a consultation.
    (ii) Whenever DFC refers any part of the responsibility for 
responding to a request to another agency, it will document the 
referral, maintain a copy of the record that it refers, and notify the 
requester of the referral, informing the requester of the name(s) of the 
agency to which the record was referred, including that agency's FOIA 
contact information.
    (3) Coordination. The standard referral procedure is not appropriate 
where disclosure of the identity of the agency to which the referral 
would be made could harm an interest protected by an applicable 
exemption, such as the exemptions that protect personal privacy or 
national security interests. For example, if in responding to a request 
for records on a living third party, DFC locates within its files 
records originating with a law enforcement agency, and if the existence 
of that law enforcement interest in the third party was not publicly 
known, then to disclose that law enforcement interest could cause an 
unwarranted invasion of the personal privacy of the third party. 
Similarly, if DFC locates within its files material originating with an 
Intelligence Community agency, and the involvement of that agency in the 
matter is classified and not publicly acknowledged, then to disclose or 
give attribution to the involvement of that Intelligence Community 
agency could cause national security harms. In such instances, in order 
to avoid harm to an interest protected by an applicable exemption, DFC 
should coordinate with the originating agency to seek its views on the 
disclosability of the record. The release determination for the record 
that is the subject of the coordination should then be conveyed to the 
requester by DFC.
    (c) Classified information. On receipt of any request involving a 
record containing information that has been classified or may be 
appropriate for classification by another agency under any applicable 
executive order concerning the classification of records, DFC must refer 
the responsibility for responding to the request to the agency that 
classified the information, or that should consider the information for 
classification. Whenever DFC's record contains information that has been 
derivatively classified (for example, when it contains information 
classified by another agency), DFC must refer the responsibility for 
responding to that portion of the request to the agency that classified 
the underlying information.
    (d) Timing of responses to consultations and referrals. All 
consultations and referrals will be handled according to the date that 
the first agency received the perfected FOIA request.
    (e) Agreements regarding consultations and referrals. DFC may 
establish agreements with other agencies to eliminate the need for 
consultations or referrals with respect to particular types of records.

[[Page 218]]



Sec.  706.31  Timing of responses to requests.

    (a) In general. DFC ordinarily will process requests according to 
their order of receipt within their appropriate track under paragraph 
(b) of this section. The response time will commence on the date that 
the request is received by the FOIA Office, but in any event not later 
than ten working days after the request is first received by DFC. Any 
time tolled under subparagraph (c) of this section does not count 
against DFC's response time.
    (b) Multitrack processing. DFC has a track for requests that are 
granted expedited processing, in accordance with the standards set forth 
in paragraph (f) of this section. Non-expedited requests will be placed 
into a ``simple'' or ``complex'' track based on the estimated amount of 
work or time needed to process the request. DFC will consider the number 
of records requested, the number of pages involved in processing the 
request, and the need for consultations or referrals. DFC will advise 
the requester into which track the request falls and, when appropriate, 
will offer requesters the opportunity to narrow or modify the request so 
that it can be placed in a different track.
    (c) Tolling of response time. DFC may toll its response time once to 
seek clarification of a request in accordance with Sec.  706.11(b) or as 
needed to resolve fee issues in accordance with Sec. Sec.  706.22(c) and 
706.23(d) of this part. The response time will resume upon DFC's receipt 
of the requester's clarification or upon resolution of the fee issue.
    (d) Unusual circumstances. Whenever the statutory time limits for 
processing cannot be met because of ``unusual circumstances'' as defined 
in the FOIA, and DFC extends the time limits on that basis, DFC will 
notify the requester in writing of the unusual circumstances involved 
and of the date by which DFC estimates processing of the request will be 
completed. Where the extension exceeds ten working days, the requester 
will be provided an opportunity to modify the request or agree to an 
alternative time period for processing the original or modified request. 
DFC will make its FOIA Office and its FOIA Public Liaison available for 
this purpose and will notify the requester of the availability of the 
Office of Government Services (OGIS) dispute resolution services.
    (e) Aggregating requests. For the purposes of satisfying unusual 
circumstances under the FOIA, DFC may aggregate requests in cases where 
it reasonably appears that multiple requests, submitted either by a 
requester or by a group of requesters acting in concert, constitute a 
single request that would otherwise involve unusual circumstances. DFC 
will not aggregate multiple requests that involve unrelated matters.
    (f) Expedited processing. (1) Requests and appeals will be processed 
on an expedited basis whenever it is determined that they involve:
    (i) Circumstances in which the lack of expedited processing could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
Federal government activity, if made by a person who is primarily 
engaged in disseminating information;
    (2) A request for expedited processing may be made at any time.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct, explaining in detail the 
basis for making the request for expedited processing. For example, 
under paragraph (f)(1)(ii) of this section, a requester who is not a 
full-time member of the news media must establish that the requester is 
a person whose primary activity or occupation is information 
dissemination, though it need not be the requester's sole occupation. 
Such a requester also must establish a particular urgency to inform the 
public about the government activity involved in the request--one that 
extends beyond the public's right to know about government activity 
generally. The existence of numerous articles published on a given 
subject can be helpful in establishing the requirement that there be an 
``urgency to inform'' the public on the tDFC. DFC may waive the formal 
certification requirement in its administrative discretion.
    (4) DFC shall notify the requester within ten calendar days of the 
receipt

[[Page 219]]

of a request for expedited processing of its decision whether to grant 
or deny expedited processing. If expedited processing is granted, the 
request shall be given priority, placed in the processing track for 
expedited requests, and shall be processed as soon as practicable. If 
DFC denies expedited processing, any appeal of that decision which 
complies with the procedures set forth in Sec.  706.34 of this subpart 
shall be acted on expeditiously.



Sec.  706.32  Responses to requests.

    (a) In general. To the extent practicable, DFC will communicate 
electronically with requesters who have access to the internet.
    (b) Acknowledgments of requests. If a request will take longer than 
ten days to process, DFC will send the requester an acknowledgment 
letter that assigns the request an individualized tracking number. The 
letter will include a brief description of the records sought to allow 
requesters to more easily keep track of requests.
    (c) Grants of requests. DFC will notify the requester in writing if 
it makes a determination to grant a request in full or in part. The 
notice will inform the requester of any fees charged under Sec.  706.22 
of this part and of the availability of the FOIA Public Liaison to offer 
assistance. DFC will disclose the requested records to the requester 
promptly upon payment of any applicable fees.
    (d) Adverse determinations of requests. DFC will notify the 
requester in writing if it makes an adverse determination denying a 
request in any respect. Adverse determinations, or denials of requests, 
include decisions that: The requested record is exempt, in whole or in 
part; the request does not reasonably describe the records sought; the 
information requested is not a record subject to the FOIA; the requested 
record does not exist, cannot be located, or has been destroyed; or the 
requested record is not readily reproducible in the form or format 
sought by the requester. Adverse determinations also include denials 
involving fees or fee waiver matters or denials of requests for 
expedited processing.
    (e) Content of denial letter. The denial letter will be signed by 
the person responsible for the denial, and will include:
    (1) The name and title or position of the person responsible for the 
denial;
    (2) A brief statement of the reasons for the denial, including any 
FOIA exemptions applied;
    (3) An estimate of the volume of any records or information 
withheld, for example, by providing the number of pages or some other 
reasonable form of estimation. This estimation is not required if the 
volume is otherwise indicated by deletions marked on records that are 
disclosed in part, or if providing an estimate would harm an interest 
protected by an applicable exemption;
    (4) A brief description of the types of information withheld and the 
reasons for doing so. A description and explanation are not required if 
providing it would harm an interest protected by an applicable 
exemption;
    (5) A statement that the denial may be appealed under Section 
706.34(a) of this subpart, and a description of the appeal requirements;
    (6) A statement notifying the requester of the assistance available 
from DFC's FOIA Public Liaison and dispute resolution services offered 
by OGIS; and
    (7) Notice of any fees charged under Sec.  706.23 of this part.
    (f) Markings on released documents. Records disclosed in part must 
be marked clearly to show the amount of information deleted and the 
exemption under which the deletion was made unless doing so would harm 
an interest protected by an applicable exemption. If technically 
feasible, the location of the information deleted will be indicated on 
the record.
    (g) Notice of record exclusions. (1) In the event that DFC 
identifies records that may be subject to exclusion from the 
requirements of the FOIA pursuant to 5 U.S.C. 552(c), the agency will 
confer with the Department of Justice, Office of Information Policy, to 
obtain approval to apply the exclusion.
    (2) DFC will maintain an administrative record of the process of 
invocation and approval of the exclusion by OIP.

[[Page 220]]



Sec.  706.33  Confidential commercial information.

    (a) Definitions--(1) Confidential commercial information means 
commercial or financial information obtained by the agency from a 
submitter that may be protected from disclosure under Exemption 4 of the 
FOIA. Exemption 4 protects certain:
    (i) Trade secrets as defined under FOIA law; or
    (ii) Commercial or financial information that is privileged or 
confidential as defined under FOIA law.
    (2) Submitter means any person or entity, including a corporation, 
State, or foreign government, but not including another Federal 
Government entity, that provides confidential commercial information to 
the Federal government, directly or indirectly.
    (b) Designation of confidential commercial information. All 
submitters may designate, by appropriate markings, any portions of their 
submissions that they consider to be protected from disclosure under the 
FOIA. These markings will be considered by DFC in responding to a FOIA 
request but such markings (or the absence of such markings) will not be 
dispositive as to whether the marked information is ultimately released. 
Unless otherwise requested and approved these markings will be 
considered no longer applicable ten years after submission or five years 
after the close of the associated project, whichever is later.
    (c) When notice to submitters is required. (1) Except as provided in 
paragraph (d) of this section, DFC's FOIA Office will use reasonable 
efforts to notify a submitter in writing whenever:
    (i) The requested information has been designated in good faith by 
the submitter as confidential commercial information protected from 
disclosure under Exemption 4; or
    (ii) DFC has reason to believe that the requested information may be 
protected from disclosure under Exemption 4, but has not yet determined 
whether the information is protected from disclosure.
    (2) This notification will describe the nature and scope of the 
request, advise the submitter of its right to submit written objections 
in response to the request, and provide a reasonable time for response. 
The notice will either describe the commercial information requested or 
include copies of the requested records or portions of records 
containing the information. In cases involving a voluminous number of 
submitters, notice may be made by posting or publishing the notice in a 
place or manner reasonably likely to inform the submitters of the 
proposed disclosure, instead of sending individual notifications.
    (d) Exceptions to submitter notice requirements. The notice 
requirements of this section shall not apply if:
    (1) DFC determines that the information is exempt under the FOIA, 
and therefore will not be disclosed;
    (2) The information has been lawfully published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by a statute other 
than the FOIA or by a regulation issued in accordance with the 
requirements of Executive Order 12600 of June 23, 1987; or
    (4) The designation made by the submitter under paragraph (b) of 
this section appears obviously frivolous. In such case, DFC will give 
the submitter written notice of any final decision to disclose the 
information within a reasonable number of days prior to a specified 
disclosure date.
    (e) Opportunity to object to disclosure.
    (1) DFC will specify a reasonable time period within which the 
submitter must respond to the notice referenced above.
    (2) If a submitter has any objections to disclosure, it should 
provide DFC with a detailed written statement that specifies all grounds 
for withholding the particular information under any exemption of the 
FOIA. In setting forth such grounds, the submitter should explain the 
basis of its belief that the nondisclosure of any item of information 
requested is mandated or permitted by law. In order to rely on Exemption 
4 as a basis for nondisclosure, the submitter shall explain why the 
information is considered a trade secret or commercial or financial 
information that is privileged or confidential as defined under FOIA 
law.
    (3) A submitter who fails to respond within the time period 
specified in the notice shall be considered to have no

[[Page 221]]

objection to disclosure of the information. DFC is not required to 
consider any information received after the date of any disclosure 
decision. Any information provided by a submitter under this subpart may 
itself be subject to disclosure under the FOIA.
    (4) The period for providing DFC with objections to disclosure of 
information may be extended by DFC upon receipt of a written request for 
an extension from the submitter. Such written request shall set forth 
the date upon which any objections are expected to be completed and 
shall provide reasonable justification for the extension. In its 
discretion, DFC may permit more than one extension.
    (f) Analysis of objections. DFC will consider a submitter's 
objections and specific grounds for nondislosure in deciding whether to 
disclose the requested information.
    (g) Notice of intent to disclose. If DFC decides to disclosure 
information over the objection of a submitter, DFC will notify the 
submitter of its determination at least five working days prior to 
release of the information. The notification will include:
    (1) A statement of the reasons why each of the submitter's 
disclosure objections was not sustained;
    (2) A description of the information to be disclosed, or a copy 
thereof; and
    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice.
    (h) Notice of FOIA lawsuit. Whenever a requester files a FOIA 
lawsuit seeking to compel the disclosure of confidential commercial 
information, DFC will promptly notify the submitter.
    (i) Requester notification. DFC will notify a requester whenever it 
provides the submitter with notice and an opportunity to object to 
disclosure; whenever it notifies the submitter of its intent to disclose 
the requested information; and whenever a submitter files a lawsuit to 
prevent the disclosure of the information.



Sec.  706.34  Administrative appeals.

    (a) Requirements for making an appeal. A requester may appeal any 
adverse determinations to DFC's Vice President and General Counsel at 
[email protected] or 1100 New York Avenue NW., Washington, DC 20527. Examples 
of adverse determinations are provided in Section 706.06(c) of this 
subpart. The requester must make the appeal in writing and it must be 
postmarked, or in the case of electronic submissions, transmitted, 
within ninety calendar days after the date of the response. The appeal 
should clearly identify DFC's determination that is being appealed and 
the assigned request number. The requester should mark both the appeal 
letter and envelope, or subject line of the electronic transmission, 
``Freedom of Information Act Appeal.''
    (b) Adjudication of appeals. DFC's Vice President and General 
Counsel or his/her designee will render a written decision within twenty 
working days after the date of DFC's receipt of the appeal, unless an 
extension of up to ten working days is deemed necessary due to unusual 
circumstances. The requester will be notified in writing of any 
extension.
    (c) Decisions on appeals. A decision that upholds the initial 
determination will contain a written statement that identifies the 
reasons for the affirmance, including any FOIA exemptions applied, and 
will provide the requester with notification of the statutory right to 
file a lawsuit and the ability to request dispute resolution from the 
Office of Government Information Services. If an initial determination 
is remanded or modified on appeal the requester will be notified in 
writing. DFC's FOIA Office will then process the request in accordance 
with that appeal determination and respond directly to the requester. If 
an appeal is granted in whole or in part, the information will be made 
available promptly, provided the requirements of Section 706.23 
regarding payment of fees are satisfied.
    (d) Engaging in dispute resolution services provided by OGIS. 
Dispute resolution is a voluntary process. If DFC agrees to participate 
in the dispute resolution services provided by OGIS, it will actively 
engage as a partner to the process in an attempt to resolve the dispute.

[[Page 222]]

    (e) When appeal is required. Before seeking court review, a 
requester generally must first submit a timely administrative appeal.

[82 FR 20434, May 2, 2017, as amended at 84 FR 37752, Aug. 2, 2019]



PART 707_ACCESS TO AND SAFEGUARDING OF PERSONAL INFORMATION-
-Table of Contents



                            Subpart A_General

Sec.
707.11 Scope and purpose.
707.12 Definitions.
707.13 Preservation of records.

    Subpart B_Requests for Access to Records; Amendment of Records, 
     Accounting of Disclosures; Notice of Court Ordered Disclosures

707.21 Requests for access to or copies of records.
707.22 Requests to permit access of records to an individual other than 
          the individual to whom the record pertains.
707.23 Requests for amendment of records.
707.24 Requests for an accounting of record disclosures.
707.25 Appeals.
707.26 Notification of court-ordered disclosures.
707.27 Fees.

                          Subpart C_Exceptions

707.31 Specific exemptions.
707.32 Special exemption.
707.33 Other rights and services.

    Authority: 5 U.S.C. 552a; Pub. L. 115-254, sections 1401-1470.

    Source: 79 FR 8614, Feb. 13, 2014, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 707 appear at 84 FR 
37752, Aug. 2, 2019.



                            Subpart A_General



Sec.  707.11  Scope and purpose.

    This part applies to all records in systems of records maintained by 
DFC that are retrievable by an individual's name or personal identifier. 
The rules in this part describe the procedures by which individuals may 
request access to records about themselves, request amendment or 
correction of those records, or request an accounting of disclosures of 
records by DFC. These rules should be read in conjunction with the 
Privacy Act of 1974, 5 U.S.C. 552a, which provides additional 
information about records maintained on individuals.



Sec.  707.12  Definitions.

    As used in this part:
    (a) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (b) Maintain includes maintain, collect, use, or disseminate;
    (c) Record means any item, collection, or grouping of information 
about an individual that is maintained by an agency, including, but not 
limited to, his education, financial transactions, medical history, and 
criminal or employment history and that contains his name, or the 
identifying number, symbol, or other identifying particular assigned to 
the individual, such as a finger or voice print or photograph;
    (d) System of records mean a group of any records under the control 
of DFC from which information is retrieved by the name of the individual 
or by some identifying number, symbol, or other identifying particular 
assigned to the individual;
    (e) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by 13 U.S.C. 8;
    (f) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which it was collected.



Sec.  707.13  Preservation of records.

    DFC preserves all correspondence pertaining to the requests that it 
receives under this part, as well as copies of all requested records, 
until disposition or destruction is authorized pursuant to title 44 of 
the United States Code or the General Records Schedule 14 of the 
National Archives and Records Administration. Records that are 
identified as responsive to a request will not be disposed of or 
destroyed while they are the subject of a pending request, appeal, or 
lawsuit under the Privacy Act.

[[Page 223]]



    Subpart B_Requests for Access to Records; Amendment of Records, 
     Accounting of Disclosures; Notice of Court Ordered Disclosures



Sec.  707.21  Requests for access to or copies of records.

    (a) How to submit. An individual may request access to or copies of 
records maintained by DFC that are retrieved by an individual's personal 
identifier. To make a request for records a requester must submit a 
written request to the Director of Human Resources Management either by 
mail or delivery to US International Development Finance Corporation, 
1100 New York Avenue NW., Washington, DC 20527 or electronic mail to 
[email protected]. The envelope or subject line should read ``Privacy Act 
Request'' to ensure proper routing. Access to records maintained by DFC 
will be provided only by appointment. No officer or employee of DFC 
shall provide an individual with any records under this part until a 
written request as described in paragraph (b) of this section is 
provided and the identity of the individual is verified as described in 
paragraph (c) of this section.
    (b) Information to include. All requests under this section must:
    (1) Be in writing and be signed by the requester. Unless the 
requester is a current officer or employee of DFC, the letter must also 
be duly acknowledged before a notary public or other authorized public 
official or signed under 28 U.S.C. 1746, a law that permits statements 
to be made under penalty of perjury as a substitute for notarization;
    (2) Provide information sufficient to verify the identity of the 
requester, including the requester's full name, current address, date of 
birth, place of birth, or the system of record identification name or 
number. Also include a clearly legible copy of a valid form of 
identification. If the request is being made by a parent or guardian on 
behalf of another, also include the same information for the individual 
who is the subject of the request along with a court order, birth 
certificate, or similar document proving the guardianship. DFC will 
review the sufficiency of identity evidence under paragraph (c) of this 
section;
    (3) Provide information sufficient to accurately identify the 
records or information so that DFC staff can locate the records with a 
reasonable amount of effort. At minimum this should include the full 
name, the system of record identification name, or the system 
identification number for the individual who is the subject of the 
records. Provision of a social security number is optional. If possible, 
also include a description of the records as well as providing a record 
creation time range and the name of the systems that should be searched. 
A description of DFC's system of records can be located in the ``Privacy 
Act Compilation'' published by the National Archives and Records 
Administration's Office of the Federal Register. Each system of records 
is also published in the Federal Register;
    (4) Specify whether the individual wishes access to or copies of the 
information pertaining to him. If access is requested, provide at least 
one preferred date and hour for which an appointment is requested during 
regular business hours as provided in paragraph (a) of this section. DFC 
encourages appointments to be made at least one week in advance and for 
a requester to provide at least three preferred appointment times; and
    (5) Include an agreement to pay fees or an agreement to pay fees up 
to a specified amount under Sec.  707.27. A request that does not 
include an agreement to pay fees will be considered an agreement to pay 
fees up to $25.00.
    (c) Verification of identity. Prior to providing any requested 
information about an individual, the Director of Human Resources 
Management shall verify the identity of the individual. If the requester 
is acting as the guardian of the individual who is the subject of the 
records, the Director will also verify the identity of the individual 
who is the subject of the records, the relationship between the 
requester and the subject individual, and that the requester is acting 
on behalf of the subject individual. In order to verify identity, the 
Director shall require the individual to provide reasonable proof of

[[Page 224]]

identity such as a valid driver's license, identification card, 
passport, employee identification card, or any other identifying 
information. The Director shall deny any request where she determines, 
at her sole discretion, that the evidence offered to verify the identity 
of an individual is insufficient to conclusively establish the identity 
of the individual.
    (d) Release of records. Originals and record copies will not be 
released from the files of DFC. Individuals will not be permitted to 
disturb any record files or to remove records from designated place of 
examination. If copies were requested in the request letter, copies will 
be furnished upon payment of the fees prescribed in Sec.  707.27.
    (e) Denial of request. If the Director of Human Resources Management 
declines any request submitted under this section, the denial will be 
made in writing and contain a brief description of the denial. Denials 
include a determination that an individual has not provided adequate 
evidence to verify identity under paragraph (c) of this section, a 
determination that the record cannot be located, and a withholding of a 
record in whole or in part. In the event of a denial, the requester may 
file a written appeal within thirty days of the date of notification, 
following the procedures in Sec.  707.25.

[79 FR 8614, Feb. 13, 2014, as amended at 84 FR 37752, Aug. 2, 2019]



Sec.  707.22  Requests to permit access of records to an individual
other than the individual to whom the record pertains.

    (a) Access by an authorized individual. An individual requester who 
wishes to be accompanied by another individual when reviewing records 
pertaining to the requester must provide DFC with a signed, written 
statement authorizing discussion of the information contained in the 
records in the presence of the accompanying individual. Both parties 
will be required to verify their identity under Sec.  707.21(c) before 
access is granted.
    (b) Release to an authorized individual. An individual requester who 
wishes to have copies of records pertaining to the requester released to 
another individual must provide DFC with a written statement authorizing 
release of the information contained in the records to the other 
individual. The identity of the individual to whom the record pertains 
must be verified under Sec.  707.21(c) before release is authorized.
    (c) Access or release to parent or guardian. Guardians will be 
provided access or copies under the provisions of Sec.  707.21.



Sec.  707.23  Requests for amendment of records.

    (a) How to submit. Unless a record is not subject to amendment, per 
paragraphs (g) and (h) of this section, an individual may request an 
amendment of a record to correct information the individual believes is 
not accurate, relevant, timely, or complete. The request must be in 
writing, labeled ``Privacy Act Request,'' and should be addressed to the 
Director of Human Resources Management. The request may either be mailed 
to DFC or delivered to the receptionist at 1100 New York Avenue NW., 
Washington, DC 20527, during regular business hours, between 8:45 a.m. 
and 5:30 p.m., Monday through Friday, excluding public holidays. The 
request will be considered received when actually delivered to or, if 
mailed, when it is actually received by the Director of Human Resources 
Management.
    (b) Information to include. All requests under this section must:
    (1) Be in writing and be signed by the requester. Unless the 
requester is a current officer or employee of DFC, the letter must also 
be duly acknowledged before a notary public or other authorized public 
official or signed under 28 U.S.C. 1746, a law that permits statements 
to be made under penalty of perjury as a substitute for notarization;
    (2) Provide information sufficient to verify the identity of the 
requester, including the requester's full name, current address, date of 
birth, place of birth, or the system of record identification name or 
number. Also include a clearly legible copy of a valid form of 
identification. If the request is being made by a parent or guardian on 
behalf of another, also include the same information for the individual 
who is the subject of the request along with a court order, birth 
certificate, or similar document proving the guardianship.

[[Page 225]]

DFC will review the sufficiency of identity evidence under paragraph (c) 
of this section;
    (3) Provide information sufficient to accurately identify each 
record so that DFC staff can locate the record and information with a 
reasonable amount of effort. At minimum this should include the full 
name, the system of record identification name, or the system record 
identification number for the individual who is the subject of the 
records and the name for each system that you believe the record is 
located in. Provision of a social security number is optional. If 
possible, you should also include a description of the records and 
provide a record creation time range. A description of DFC's systems of 
records can be located in the ``Privacy Act Compilation'' published by 
the National Archives and Records Administration's Office of the Federal 
Register. Each system of records is also published in the Federal 
Register;
    (4) Specify the correction requested; and
    (5) Detail the basis for the requester's belief that the records and 
information are not accurate, relevant, timely, or complete. This 
includes providing substantial and reliable evidence sufficient to 
permit DFC to determine whether an amendment is in order.
    (c) Verification of identity. Prior to amending information about an 
individual, the Director of Human Resources Management shall verify the 
identity of the requesting individual. If the requester is acting as the 
guardian of the individual who is the subject of the records, the 
Director will also verify the identity of the individual who is the 
subject of the records, the relationship between the requester and the 
subject individual, and that the requester is acting on behalf of the 
subject individual. In order to verify identity, the Director shall 
require the individual to provide reasonable proof of identity such as a 
valid driver's license, identification card, passport, employee 
identification card, or any other identifying information. The Director 
shall deny any request where she determines, at her sole discretion, 
that the evidence offered to verify the identity of an individual is 
insufficient to conclusively establish the identity of the individual.
    (d) Acknowledgment of request. If a request will take longer than 
ten (10) business days to process, DFC will send the requester an 
acknowledgment letter. Any request that Director of Human Resources 
Management determines does not describe records or information in enough 
detail to permit the staff to promptly locate the records; does not 
describe the correction requested in enough detail to permit the staff 
to make a correction; or does not reasonably specify the amendment 
requested or its basis will be returned without prejudice to the 
requester and treated as not received.
    (e) Determination. The Director of Human Resources Management will 
provide a determination on a request under this section within thirty 
(30) days from receipt.
    (1) Amendment. The Director of Human Resources Management will 
notify the requester in writing if the amendment is made and provide the 
individual an opportunity to request a copy of the amended record.
    (2) Denial. The Director of Human Resources Management will notify 
the requester in writing if she denies any portion of a request made 
under this section. The denial will include a brief explanation of the 
reason for the refusal and the right of the individual to file an appeal 
within thirty (30) days, following the procedures in Sec.  707.25. In 
the event an appeal is denied, a requester may file a statement of 
disagreement with DFC as described in Sec.  707.25(c).
    (f) Notification of amendment. Within thirty (30) days of the 
amendment or correction of a record or the filing of a statement of 
disagreement, DFC will notify all persons, organizations, or agencies to 
which it previously disclosed the record, if an accounting of that 
disclosure was made. If an individual has filed a statement of 
disagreement, DFC will attach a copy of it to the disputed record 
whenever the record is disclosed in the future and may also attach a 
concise statement of its reasons for denying the request to amend or 
correct.

[[Page 226]]

    (g) Records not subject to amendment. The following records are not 
subject to amendment:
    (1) Transcripts of testimony given under oath or written statements 
made under oath;
    (2) Transcripts of grand jury proceedings, judicial proceedings, or 
quasi-judicial proceedings, which are the official record of those 
proceedings;
    (3) Presentence records that originated with the courts; and
    (4) Records in systems of records that have been exempted from 
amendment and correction under the Privacy Act, 5 U.S.C. 552a(j) or (k) 
or by notice published in the Federal Register.
    (h) No amendment permitted. No part of these rules shall be 
construed to permit:
    (1) The alteration of evidence presented in the course of judicial, 
quasi-judicial, or quasi-legislative proceedings;
    (2) Collateral attack upon any matter which has been the subject of 
judicial or quasi-judicial action; or
    (3) An amendment or correction which would be in violation of an 
existing statute, executive order, or regulation.



Sec.  707.24  Requests for an accounting of record disclosures.

    (a) How to submit. Unless an accounting of disclosures is not 
required to be kept under paragraph (e) of this section, an individual 
may request an accounting of all disclosures DFC has made of a record, 
maintained in a system of records and about the individual, to another 
person, organization, or agency. The request must be in writing, labeled 
``Privacy Act Request,'' and should be addressed to the Director of 
Human Resources Management. The request may either be mailed to DFC or 
delivered to the receptionist at 1100 New York Avenue NW., Washington, 
DC 20527, during regular business hours, between 8:45 a.m. and 5:30 
p.m., Monday through Friday, excluding public holidays. The request will 
be considered received when actually delivered to or, if mailed, when it 
is actually received by the Director of Human Resources Management.
    (b) Information to include. All requests under this section must:
    (1) Be in writing and be signed by the requester. Unless the 
requester is a current officer or employee of DFC, the letter must also 
be duly acknowledged before a notary public or other authorized public 
official or signed under 28 U.S.C. 1746, a law that permits statements 
to be made under penalty of perjury as a substitute for notarization;
    (2) Provide information sufficient to verify the identity of the 
requester, including the requester's full name, current address, date of 
birth, place of birth, or the system of record identification name or 
number. Also include a clearly legible copy of a valid form of 
identification. If the request is being made by a parent or guardian on 
behalf of another, also include the same information for the individual 
who is the subject of the request along with a court order, birth 
certificate, or similar document proving the guardianship. DFC will 
review the sufficiency of identity evidence under paragraph (c) of this 
section;
    (3) Provide information sufficient to accurately identify the 
records or information so that DFC staff can locate the records with a 
reasonable amount of effort. At minimum this should include the full 
name, the system of record identification name, or the system record 
identification number for the individual who is the subject of the 
records and the name for each system that you believe the record is 
located in. Provision of a social security number is optional. If 
possible, you should also include a description of the records and 
provide a time range. A description of DFC's system of records can be 
located in the ``Privacy Act Compilation'' published by the National 
Archives and Records Administration's Office of the Federal Register. 
Each system of records is also published in the Federal Register;
    (4) Include an agreement to pay fees or an agreement to pay fees up 
to a specified amount under Sec.  707.27. A request that does not 
include an agreement to pay fees will be considered an agreement to pay 
fees up to $25.00.
    (c) Verification of identity. Prior to providing any requested 
information about an individual, the Director of Human Resources 
Management shall

[[Page 227]]

verify the identity of the requesting individual. If the requester is 
acting as the guardian of the individual who is the subject of the 
records, the Director will also verify the identity of the individual 
who is the subject of the records, the relationship between the 
requester and the subject individual, and that the requester is acting 
on behalf of the subject individual. In order to verify identity, the 
Director shall require the individual to provide reasonable proof of 
identity such as a valid driver's license, identification card, 
passport, employee identification card, or any other identifying 
information. The Director shall deny any request where she determines, 
at her sole discretion, that the evidence offered to verify the identity 
of an individual is insufficient to conclusively establish the identity 
of the individual.
    (d) Determination. The Director of Human Resources Management will 
provide a requester with one of the following:
    (1) Provision of accounting of disclosures. If the request is 
granted, the Director of Human Resources Management will provide the 
individual with an accounting containing the date, nature, and purpose 
of each disclosure, as well as the name and address of the person, 
organization, or agency to which the disclosure was made.
    (2) Denial. The Director of Human Resources Management will notify 
the individual in writing if she denies any portion of a request made 
under this section. The denial will include a brief explanation of the 
reason for the refusal and the right of the individual to request a 
review thereof under the provisions of Sec.  707.25.
    (e) Disclosures where an accounting of disclosures is not required. 
DFC need not provide an accounting of disclosures where:
    (1) The disclosures are of the type for which accountings are not 
kept. For example, disclosures made to employees within the agency; or
    (2) The disclosure was made in response to a written request from a 
law enforcement agency for authorized law enforcement purposes.



Sec.  707.25  Appeals.

    An individual may appeal a denial made under Sec. Sec.  707.21 
through 707.23 within thirty (30) days of the notification of such 
denial.
    (a) How to submit. The appeal must be in writing, labeled ``Privacy 
Act Appeal,'' and should be addressed to the Executive Vice President. 
The request may either be mailed to DFC or delivered to the receptionist 
at 1100 New York Avenue NW., Washington, DC 20527, during regular 
business hours, between 8:45 a.m. and 5:30 p.m., Monday through Friday, 
excluding public holidays.
    (b) Information to include. All requests under this section must:
    (1) Be in writing and be signed by the requester;
    (2) Be clearly labeled ``PRIVACY ACT APPEAL'' on both the letter and 
the envelope;
    (3) Clearly reference the determination being appealed; and
    (4) Provide support for your information, including documentation 
provided in the initial determination and any additional information.
    (b) Appeal determination. The Executive Vice President will advise 
the individual of DFC's determination within thirty (30) business days. 
If the Executive Vice President is unable to provide a determination 
within thirty business days, the individual will be advised in writing 
of the reason before the expiry of the thirty business days.
    (1) Overturn initial determination. If the Executive Vice President 
grants the appeal and overturns the initial determination in whole or 
part, the individual will be notified in writing and the requested 
action taken promptly along with any other steps DFC would have taken 
had the initial determination come to the same result as the appeal.
    (2) Uphold initial determination. If the Executive Vice President 
denies the appeal and upholds the initial determination in whole or in 
part, the individual will be notified in writing and provided with an 
explanation. In cases where a denial of amendment or correction is 
upheld, the individual will also be notified of the ability to file a 
statement of disagreement under paragraph (c) of this section.

[[Page 228]]

    (c) Statement of disagreement. If an individual is denied a request 
to amend a record in whole or in part and that denial is upheld on 
appeal, the individual may file a statement of disagreement. Statements 
of disagreement must be concise, clearly identify each part of any 
record that is disputed, and should be no longer than one typed page for 
each fact disputed. The statement of disagreement will be placed in the 
system of records that contains the disputed record and the record will 
be marked to indicate that a statement of disagreement has been filed. 
The statement of disagreement will be attached to any future releases of 
the disputed record and may be accompanied by a concise statement from 
DFC explaining its denial.



Sec.  707.26  Notification of court-ordered disclosures.

    (a) Except in cases under paragraph (c) of this section, when a 
record pertaining to an individual is required to be disclosed by court 
order, DFC will make reasonable efforts to provide notice of this to the 
individual. If DFC cannot locate the individual, notice will be deemed 
sufficient for this part if it is mailed to the individual's last known 
address. The notice will contain a copy of the order and a description 
of the information disclosed.
    (b) Notice will be given within a reasonable time after DFC's 
receipt of the order, unless the order is not a matter of public record. 
In those cases, the notice will be given only after the order becomes 
public.
    (c) Notice is not required if disclosure is made from an exempt 
system of records.



Sec.  707.27  Fees.

    (a) The fees to be charged for making copies of any records provided 
to an individual under this part are ten (10) cents per page. No fees 
will be charged for search or review.
    (b) At its discretion, DFC may grant a request for special services 
such as mailing copies by means other than first class mail or providing 
document certification. All special services provided to the requester 
will be provided at cost.
    (c) DFC considers any request under the Privacy Act to be an 
authorization to incur up to $25.00 in fees unless a request states 
otherwise.
    (d) DFC may condition access to records or copies of records upon 
full payment of any fees due.
    (e) All payments under this part must be in the form of a check or 
bank draft denominated in U.S. currency. Checks should be made payable 
to the order of the United States Treasury and mailed or hand delivered 
to DFC at 1100 New York Avenue NW., Washington, DC 20527.



                          Subpart C_Exceptions



Sec.  707.31  Specific exemptions.

    The provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) 
and (I) and (f) shall not apply to any system of records maintained by 
DFC that is--
    (a) Subject to the provisions of 5 U.S.C. 552(b)(1);
    (b) Composed of Investigatory material compiled for law enforcement 
purposes other than those specified in 5 U.S.C. 552a(j)(2);
    (c) Required by statute to be maintained and used solely as 
statistical records;
    (d) Composed of investigatory material compiled solely for the 
purpose of determining suitability, eligibility or qualifications for 
Federal civilian employment, military service, Federal contracts or 
access to classified information, but only to the extent that DFC may 
determine, in its sole discretion, that the disclosure of such material 
would reveal the identity of the source who, subsequent to September 27, 
1975, furnished information to the Government under an express promise 
that the identity of the source would be held in confidence or, prior to 
such date, under an implied promise to such effect; and
    (e) Composed of testing or examination materials used solely to 
determine individual qualifications for appointment or promotion in the 
Federal service and DFC determines, in its sole discretion, that 
disclosure of such materials would compromise the fairness of the 
testing or examination process.

[[Page 229]]



Sec.  707.32  Special exemption.

    Nothing in this part shall allow an individual access to any 
information compiled in reasonable anticipation of a civil action or 
proceeding.



Sec.  707.33  Other rights and services.

    Nothing in this part shall be construed to entitle any person, as of 
right, to any service or to the disclosure of any record to which such 
person is not entitled under the Privacy Act.

                        PARTS 708	709 [RESERVED]



PART 710_ADMINISTRATIVE ENFORCEMENT PROCEDURES OF POST-EMPLOYMENT 
RESTRICTIONS--Table of Contents



Sec.
710.1 General.
710.2 Action on receipt of information regarding violation.
710.3 Initiation of administrative disciplinary proceeding.
710.4 Notice.
710.5 Failure to request hearing.
710.6 Appointment and qualifications of examiner.
710.7 Time, date and place of hearing.
710.8 Rights of parties at hearing.
710.9 Burden of proof.
710.10 Findings.
710.11 Appeal.
710.12 Finding of violation.
710.13 Appropriate action.
710.14 Judicial review.
710.15 Delegation of authority.

    Authority: 18 U.S.C. 207; Pub. L. 115-254, sections 1401-1470.

    Source: 45 FR 5685, Jan. 24, 1980, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 710 appear at 84 FR 
37752, Aug. 2, 2019.



Sec.  710.1  General.

    The following procedures are hereby established with respect to the 
administrative enforcement of restrictions on post-employment activities 
(18 U.S.C. 207(a), (b) or (c) and implementing regulations (44 FR 19987 
and 19988, April 3, 1979) published by the Office of Government Ethics.



Sec.  710.2  Action on receipt of information regarding violation.

    On receipt of information regarding a possible violation of the 
statutory or regulatory post-employment restrictions by a former DFC 
employee and after determining that such information does not appear to 
be frivolous, the President of DFC or the President's designee shall 
provide such information to the Director of the Office of Government 
Ethics and to the Criminal Division, Department of Justice. Any 
investigation or administrative action shall be coordinated with the 
Department of Justice to avoid prejudicing possible criminal 
proceedings. If the Department of Justice informs DFC that it does not 
intend to institute criminal proceedings, such coordination shall no 
longer be required and DFC shall be free to pursue administrative 
action.



Sec.  710.3  Initiation of administrative disciplinary proceeding.

    Whenever the President of DFC or the President's designee determines 
after appropriate review that there is reasonable cause to believe that 
a former DFC employee had violated the statutory or regulatory post-
employment restrictions, an administrative disciplinary proceeding shall 
be initiated.



Sec.  710.4  Notice.

    The President of DFC or the President's designee shall initiate an 
administrative disciplinary hearing by providing the former DFC employee 
with notice of an intention to institute a proceeding and an opportunity 
for a hearing. Notice must include:
    (a) A statement of allegations and the basis thereof sufficiently 
detailed to enable the former employee to prepare an adequate defense;
    (b) Notification of the right to a hearing; and
    (c) An explanation of the method by which a hearing may be 
requested.



Sec.  710.5  Failure to request hearing.

    The President of DFC may take appropriate action referred to in 
Sec.  710.13

[[Page 230]]

in the case of any former DFC employee who has failed to make a written 
request to DFC for a hearing within 30 days after receiving adequate 
notice.



Sec.  710.6  Appointment and qualifications of examiner.

    When a former DFC employee after receiving adequate notice requests 
a hearing, a presiding official (hereinafter referred to as 
``examiner'') shall be appointed by the President of DFC to make an 
initial decision. The examiner shall be a responsible person who is a 
member of the bar of a State or of the District of Columbia, who is 
impartial and who has not participated in any manner in the decision to 
initiate the proceedings. The examiner may or may not be an DFC 
employee.



Sec.  710.7  Time, date and place of hearing.

    The examiner shall establish a reasonable time, date and place to 
conduct the hearing. In establishing a date, the examiner shall give due 
regard to the former employee's need for:
    (a) Adequate time to prepare a defense properly; and
    (b) An expeditious resolution of allegations that may be damaging to 
the individual's reputation.



Sec.  710.8  Rights of parties at hearing.

    A hearing shall include, at a minimum, the following rights for both 
parties to:
    (a) Represent oneself or be represented by counsel;
    (b) Introduce and examine witnesses and submit physical evidence 
(including the use of interrogatories);
    (c) Confront and cross-examine adverse witnesses;
    (d) Present oral argument; and
    (e) Receive a transcript or recording of the proceedings on request.



Sec.  710.9  Burden of proof.

    In any hearing under this part, DFC shall have the burden of proof 
and must establish substantial evidence of a violation of the statutory 
or post-employment restrictions.



Sec.  710.10  Findings.

    The examiner shall make a determination exclusively on matters of 
record in the proceeding and shall set forth in the written decision all 
findings of fact and conclusions of law relevant to the matters in 
issue.



Sec.  710.11  Appeal.

    (a) Within 20 days of the date of the initial decision, either party 
may appeal the decision to the President of DFC. The President's 
decision on such appeal shall be based solely on the record of the 
proceedings or those portions thereof cited by the parties to limit the 
issues.
    (b) If the President modifies or reverses the examiner's decision, 
the President shall specify such findings of fact and conclusions of law 
as are different from those of the examiner.
    (c) The decision of the President on appeal, shall constitute final 
administrative decision. An initial decision of the examiner which has 
not been appealed during the 20-day period provided shall become a final 
administrative decision on the twenty-first day.



Sec.  710.12  Finding of violation.

    The President of DFC shall take appropriate action referred to in 
Sec.  710.13 in the case of an individual who is found in violation of 
the statutory or regulatory post-employment restrictions, after a final 
administrative decision.



Sec.  710.13  Appropriate action.

    Appropriate action includes:
    (a) Prohibiting the individual from making, on behalf of any other 
person (except the United States), any formal or informal appearance 
before, or with the intent to influence, any oral or written 
communication to, DFC on any matter or business for a period not to 
exceed five years, which may be accomplished by directing DFC employees 
to refuse to participate in any such appearance or to accept any such 
communication.
    (b) Taking other appropriate disciplinary action.

[45 FR 5685, Jan. 24, 1980; 49 FR 18295, Apr. 30, 1984]

[[Page 231]]



Sec.  710.14  Judicial review.

    Any person found to have participated in a violation of statutory or 
regulatory post-employment restrictions (18 U.S.C. 207(a), (b) or (c) or 
the regulations compiled at 44 FR 19987 and 19988, April 3, 1979) may 
seek judicial review of the administrative determination.



Sec.  710.15  Delegation of authority.

    The functions of the President of DFC specified in Sec. Sec.  710.2, 
710.4 and 710.5 of this part are delegated to the General Counsel of 
DFC. An examiner shall be delegated authority on an ad hoc basis.



PART 711_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN 
PROGRAMS OR ACTIVITIES--Table of Contents



Sec.
711.101 Purpose.
711.102 Application.
711.103 Definitions.
711.104-711.109 [Reserved]
711.110 Self-evaluation.
711.111 Notice.
711.112-711.129 [Reserved]
711.130 General prohibitions against discrimination.
711.131-711.139 [Reserved]
711.140 Employment.
711.141-711.148 [Reserved]
711.149 Program accessibility: Discrimination prohibited.
711.150 Program accessibility: Existing facilities.
711.151 Program accessibility: New construction and alterations.
711.152-711.159 [Reserved]
711.160 Communications.
711.161-711.169 [Reserved]
711.170 Compliance procedures.
711.171-711.999 [Reserved]

    Authority: 29 U.S.C. 794; Pub. L. 115-254, sections 1401-1470.

    Source: 53 FR 25882, 25885, July 8, 1988, unless otherwise noted.



Sec.  711.101  Purpose.

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



Sec.  711.102  Application.

    This regulation (Sec. Sec.  711.101-711.170) applies to all programs 
or activities conducted by the agency, except for programs or activities 
conducted outside the United States that do not involve individuals with 
handicaps in the United States.



Sec.  711.103  Definitions.

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

[[Page 232]]

have preservation of historic properties as a primary purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this regulation by Sec.  711.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this regulation, section 504 applies only to programs or 
activities conducted by Executive agencies and not to federally assisted 
programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special

[[Page 233]]

character resulting from a permanent alteration.



Sec. Sec.  711.104-711.109  [Reserved]



Sec.  711.110  Self-evaluation.

    (a) The agency shall, by September 6, 1989, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this regulation and, to the extent modification 
of any such policies and practices is required, the agency shall proceed 
to make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec.  711.111  Notice.

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



Sec. Sec.  711.112-711.129  [Reserved]



Sec.  711.130  General prohibitions against discrimination.

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

[[Page 234]]

    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this regulation.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this regulation.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Sec. Sec.  711.131-711.139  [Reserved]



Sec.  711.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subject to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Sec. Sec.  711.141-711.148  [Reserved]



Sec.  711.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  711.150, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  711.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  711.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for

[[Page 235]]

reaching that conclusion. If an action would result in such an 
alteration or such burdens, the agency shall take any other action that 
would not result in such an alteration or such burdens but would 
nevertheless ensure that individuals with handicaps receive the benefits 
and services of the program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by individuals with handicaps. The agency is 
not required to make structural changes in existing facilities where 
other methods are effective in achieving compliance with this section. 
The agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
individuals with handicaps in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  711.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to individuals 
with handicaps. In cases where a physical alteration to an historic 
property is not required because of Sec.  711.150(a) (2) or (3), 
alternative methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 7, 1988, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 6, 1991, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 6, 1989, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  711.151  Program accessibility: New construction and alterations.

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

[[Page 236]]

apply to buildings covered by this section.



Sec. Sec.  711.152-711.159  [Reserved]



Sec.  711.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individual with handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  711.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Sec. Sec.  711.161-711.169  [Reserved]



Sec.  711.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director of Personnel shall be responsible for coordinating 
implementation of this section. Complaints may be sent to Overseas 
Private Investment Corporation, 1100 New York Avenue NW, Washington, DC 
20527, Attention: Director of Human Resources Management.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.

[[Page 237]]

    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  711.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[53 FR 25882, 25885, July 8, 1988, as amended 53 FR 25883, July 8, 1988; 
84 FR 37752, Aug. 2, 2019]



Sec. Sec.  711.171-711.999  [Reserved]



PART 712_NEW RESTRICTIONS ON LOBBYING--Table of Contents



                            Subpart A_General

Sec.
712.100 Conditions on use of funds.
712.105 Definitions.
712.110 Certification and disclosure.

                  Subpart B_Activities by Own Employees

712.200 Agency and legislative liaison.
712.205 Professional and technical services.
712.210 Reporting.

            Subpart C_Activities by Other Than Own Employees

712.300 Professional and technical services.

                   Subpart D_Penalties and Enforcement

712.400 Penalties.
712.405 Penalty procedures.
712.410 Enforcement.

                          Subpart E_Exemptions

712.500 Secretary of Defense.

                        Subpart F_Agency Reports

712.600 Semi-annual compilation.
712.605 Inspector General report.

Appendix A to Part 712--Certification Regarding Lobbying
Appendix B to Part 712--Disclosure Form To Report Lobbying

    Authority: 31 U.S.C. 1352; Pub. L. 115-254, section 1401-1470.

    Cross Reference: See also Office of Management and Budget notice 
published at 54 FR 52306, December 20, 1989.

    Source: 55 FR 6737, 6750, Feb. 26, 1990, unless otherwise noted.



                            Subpart A_General



Sec.  712.100  Conditions on use of funds.

    (a) No appropriated funds may be expended by the recipient of a 
Federal contract, grant, loan, or cooperative ageement to pay any person 
for influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with any of the following 
covered Federal actions: the awarding of any Federal

[[Page 238]]

contract, the making of any Federal grant, the making of any Federal 
loan, the entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (b) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or cooperative agreement shall file with that 
agency a certification, set forth in appendix A, that the person has not 
made, and will not make, any payment prohibited by paragraph (a) of this 
section.
    (c) Each person who requests or receives from an agency a Federal 
contract, grant, loan, or a cooperative agreement shall file with that 
agency a disclosure form, set forth in appendix B, if such person has 
made or has agreed to make any payment using nonappropriated funds (to 
include profits from any covered Federal action), which would be 
prohibited under paragraph (a) of this section if paid for with 
appropriated funds.
    (d) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a statement, set forth in appendix A, whether that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.
    (e) Each person who requests or receives from an agency a commitment 
providing for the United States to insure or guarantee a loan shall file 
with that agency a disclosure form, set forth in appendix B, if that 
person has made or has agreed to make any payment to influence or 
attempt to influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with that loan insurance or guarantee.



Sec.  712.105  Definitions.

    For purposes of this part:
    (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal 
executive departments and agencies as well as independent regulatory 
commissions and Government corporations, as defined in 31 U.S.C. 
9101(1).
    (b) Covered Federal action means any of the following Federal 
actions:
    (1) The awarding of any Federal contract;
    (2) The making of any Federal grant;
    (3) The making of any Federal loan;
    (4) The entering into of any cooperative agreement; and,
    (5) The extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.


Covered Federal action does not include receiving from an agency a 
commitment providing for the United States to insure or guarantee a 
loan. Loan guarantees and loan insurance are addressed independently 
within this part.
    (c) Federal contract means an acquisition contract awarded by an 
agency, including those subject to the Federal Acquisition Regulation 
(FAR), and any other acquisition contract for real or personal property 
or services not subject to the FAR.
    (d) Federal cooperative agreement means a cooperative agreement 
entered into by an agency.
    (e) Federal grant means an award of financial assistance in the form 
of money, or property in lieu of money, by the Federal Government or a 
direct appropriation made by law to any person. The term does not 
include technical assistance which provides services instead of money, 
or other assistance in the form of revenue sharing, loans, loan 
guarantees, loan insurance, interest subsidies, insurance, or direct 
United States cash assistance to an individual.
    (f) Federal loan means a loan made by an agency. The term does not 
include loan guarantee or loan insurance.
    (g) Indian tribe and tribal organization have the meaning provided 
in section 4 of the Indian Self-Determination and Education Assistance 
Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions 
of Indian tribes in that Act.
    (h) Influencing or attempting to influence means making, with the 
intent to

[[Page 239]]

influence, any communication to or appearance before an officer or 
employee or any agency, a Member of Congress, an officer or employee of 
Congress, or an employee of a Member of Congress in connection with any 
covered Federal action.
    (i) Loan guarantee and loan insurance means an agency's guarantee or 
insurance of a loan made by a person.
    (j) Local government means a unit of government in a State and, if 
chartered, established, or otherwise recognized by a State for the 
performance of a governmental duty, including a local public authority, 
a special district, an intrastate district, a council of governments, a 
sponsor group representative organization, and any other instrumentality 
of a local government.
    (k) Officer or employee of an agency includes the following 
individuals who are employed by an agency:
    (1) An individual who is appointed to a position in the Government 
under title 5, U.S. Code, including a position under a temporary 
appointment;
    (2) A member of the uniformed services as defined in section 101(3), 
title 37, U.S. Code;
    (3) A special Government employee as defined in section 202, title 
18, U.S. Code; and,
    (4) An individual who is a member of a Federal advisory committee, 
as defined by the Federal Advisory Committee Act, title 5, U.S. Code 
appendix 2.
    (l) Person means an individual, corporation, company, association, 
authority, firm, partnership, society, State, and local government, 
regardless of whether such entity is operated for profit or not for 
profit. This term excludes an Indian tribe, tribal organization, or any 
other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (m) Reasonable compensation means, with respect to a regularly 
employed officer or employee of any person, compensation that is 
consistent with the normal compensation for such officer or employee for 
work that is not furnished to, not funded by, or not furnished in 
cooperation with the Federal Government.
    (n) Reasonable payment means, with respect to perfessional and other 
technical services, a payment in an amount that is consistent with the 
amount normally paid for such services in the private sector.
    (o) Recipient includes all contractors, subcontractors at any tier, 
and subgrantees at any tier of the recipient of funds received in 
connection with a Federal contract, grant, loan, or cooperative 
agreement. The term excludes an Indian tribe, tribal organization, or 
any other Indian organization with respect to expenditures specifically 
permitted by other Federal law.
    (p) Regularly employed means, with respect to an officer or employee 
of a person requesting or receiving a Federal contract, grant, loan, or 
cooperative agreement or a commitment providing for the United States to 
insure or guarantee a loan, an officer or employee who is employed by 
such person for at least 130 working days within one year immediately 
preceding the date of the submission that initiates agency consideration 
of such person for receipt of such contract, grant, loan, cooperative 
agreement, loan insurance commitment, or loan guarantee commitment. An 
officer or employee who is employed by such person for less than 130 
working days within one year immediately preceding the date of the 
submission that initiates agency consideration of such person shall be 
considered to be regularly employed as soon as he or she is employed by 
such person for 130 working days.
    (q) State means a State of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, a territory or possession of 
the United States, an agency or instrumentality of a State, and a multi-
State, regional, or interstate entity having governmental duties and 
powers.



Sec.  712.110  Certification and disclosure.

    (a) Each person shall file a certification, and a disclosure form, 
if required, with each submission that initiates agency consideration of 
such person for:
    (1) Award of a Federal contract, grant, or cooperative agreement 
exceeding $100,000; or

[[Page 240]]

    (2) An award of a Federal loan or a commitment providing for the 
United States to insure or guarantee a loan exceeding $150,000.
    (b) Each person shall file a certification, and a disclosure form, 
if required, upon receipt by such person of:
    (1) A Federal contract, grant, or cooperative agreement exceeding 
$100,000; or
    (2) A Federal loan or a commitment providing for the United States 
to insure or guarantee a loan exceeding $150,000,


Unless such person previously filed a certification, and a disclosure 
form, if required, under paragraph (a) of this section.
    (c) Each person shall file a disclosure form at the end of each 
calendar quarter in which there occurs any event that requires 
disclosure or that materially affects the accuracy of the information 
contained in any disclosure form previously filed by such person under 
paragraphs (a) or (b) of this section. An event that materially affects 
the accuracy of the information reported includes:
    (1) A cumulative increase of $25,000 or more in the amount paid or 
expected to be paid for influencing or attempting to influence a covered 
Federal action; or
    (2) A change in the person(s) or individual(s) influencing or 
attempting to influence a covered Federal action; or,
    (3) A change in the officer(s), employee(s), or Member(s) contacted 
to influence or attempt to influence a covered Federal action.
    (d) Any person who requests or receives from a person referred to in 
paragraphs (a) or (b) of this section:
    (1) A subcontract exceeding $100,000 at any tier under a Federal 
contract;
    (2) A subgrant, contract, or subcontract exceeding $100,000 at any 
tier under a Federal grant;
    (3) A contract or subcontract exceeding $100,000 at any tier under a 
Federal loan exceeding $150,000; or,
    (4) A contract or subcontract exceeding $100,000 at any tier under a 
Federal cooperative agreement,


Shall file a certification, and a disclosure form, if required, to the 
next tier above.
    (e) All disclosure forms, but not certifications, shall be forwarded 
from tier to tier until received by the person referred to in paragraphs 
(a) or (b) of this section. That person shall forward all disclosure 
forms to the agency.
    (f) Any certification or disclosure form filed under paragraph (e) 
of this section shall be treated as a material representation of fact 
upon which all receiving tiers shall rely. All liability arising from an 
erroneous representation shall be borne solely by the tier filing that 
representation and shall not be shared by any tier to which the 
erroneous representation is forwarded. Submitting an erroneous 
certification or disclosure constitutes a failure to file the required 
certification or disclosure, respectively. If a person fails to file a 
required certification or disclosure, the United States may pursue all 
available remedies, including those authorized by section 1352, title 
31, U.S. Code.
    (g) For awards and commitments in process prior to December 23, 
1989, but not made before that date, certifications shall be required at 
award or commitment, covering activities occurring between December 23, 
1989, and the date of award or commitment. However, for awards and 
commitments in process prior to the December 23, 1989 effective date of 
these provisions, but not made before December 23, 1989, disclosure 
forms shall not be required at time of award or commitment but shall be 
filed within 30 days.
    (h) No reporting is required for an activity paid for with 
appropriated funds if that activity is allowable under either subpart B 
or C.



                  Subpart B_Activities by Own Employees



Sec.  712.200  Agency and legislative liaison.

    (a) The prohibition on the use of appropriated funds, in Sec.  
712.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement if 
the payment is for agency and legislative liaison activities not 
directly related to a covered Federal action.

[[Page 241]]

    (b) For purposes of paragraph (a) of this section, providing any 
information specifically requested by an agency or Congress is allowable 
at any time.
    (c) For purposes of paragraph (a) of this section, the following 
agency and legislative liaison activities are allowable at any time only 
where they are not related to a specific solicitation for any covered 
Federal action:
    (1) Discussing with an agency (including individual demonstrations) 
the qualities and characteristics of the person's products or services, 
conditions or terms of sale, and service capabilities; and,
    (2) Technical discussions and other activities regarding the 
application or adaptation of the person's products or services for an 
agency's use.
    (d) For purposes of paragraph (a) of this section, the following 
agencies and legislative liaison activities are allowable only where 
they are prior to formal solicitation of any covered Federal action:
    (1) Providing any information not specifically requested but 
necessary for an agency to make an informed decision about initiation of 
a covered Federal action;
    (2) Technical discussions regarding the preparation of an 
unsolicited proposal prior to its official submission; and,
    (3) Capability presentations by persons seeking awards from an 
agency pursuant to the provisions of the Small Business Act, as amended 
by Public Law 95-507 and other subsequent amendments.
    (e) Only those activities expressly authorized by this section are 
allowable under this section.



Sec.  712.205  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
712.100 (a), does not apply in the case of a payment of reasonable 
compensation made to an officer or employee of a person requesting or 
receiving a Federal contract, grant, loan, or cooperative agreement or 
an extension, continuation, renewal, amendment, or modification of a 
Federal contract, grant, loan, or cooperative agreement if payment is 
for professional or technical services rendered directly in the 
preparation, submission, or negotiation of any bid, proposal, or 
application for that Federal contract, grant, loan, or cooperative 
agreement or for meeting requirements imposed by or pursuant to law as a 
condition for receiving that Federal contract, grant, loan, or 
cooperative agreement.
    (b) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting of a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (c) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by

[[Page 242]]

law or regulation, and any other requirements in the actual award 
documents.
    (d) Only those services expressly authorized by this section are 
allowable under this section.



Sec.  712.210  Reporting.

    No reporting is required with respect to payments of reasonable 
compensation made to regularly employed officers or employees of a 
person.



            Subpart C_Activities by Other Than Own Employees



Sec.  712.300  Professional and technical services.

    (a) The prohibition on the use of appropriated funds, in Sec.  
712.100 (a), does not apply in the case of any reasonable payment to a 
person, other than an officer or employee of a person requesting or 
receiving a covered Federal action, if the payment is for professional 
or technical services rendered directly in the preparation, submission, 
or negotiation of any bid, proposal, or application for that Federal 
contract, grant, loan, or cooperative agreement or for meeting 
requirements imposed by or pursuant to law as a condition for receiving 
that Federal contract, grant, loan, or cooperative agreement.
    (b) The reporting requirements in Sec.  712.110 (a) and (b) 
regarding filing a disclosure form by each person, if required, shall 
not apply with respect to professional or technical services rendered 
directly in the preparation, submission, or negotiation of any 
commitment providing for the United States to insure or guarantee a 
loan.
    (c) For purposes of paragraph (a) of this section, ``professional 
and technical services'' shall be limited to advice and analysis 
directly applying any professional or technical discipline. For example, 
drafting or a legal document accompanying a bid or proposal by a lawyer 
is allowable. Similarly, technical advice provided by an engineer on the 
performance or operational capability of a piece of equipment rendered 
directly in the negotiation of a contract is allowable. However, 
communications with the intent to influence made by a professional (such 
as a licensed lawyer) or a technical person (such as a licensed 
accountant) are not allowable under this section unless they provide 
advice and analysis directly applying their professional or technical 
expertise and unless the advice or analysis is rendered directly and 
solely in the preparation, submission or negotiation of a covered 
Federal action. Thus, for example, communications with the intent to 
influence made by a lawyer that do not provide legal advice or analysis 
directly and solely related to the legal aspects of his or her client's 
proposal, but generally advocate one proposal over another are not 
allowable under this section because the lawyer is not providing 
professional legal services. Similarly, communications with the intent 
to influence made by an engineer providing an engineering analysis prior 
to the preparation or submission of a bid or proposal are not allowable 
under this section since the engineer is providing technical services 
but not directly in the preparation, submission or negotiation of a 
covered Federal action.
    (d) Requirements imposed by or pursuant to law as a condition for 
receiving a covered Federal award include those required by law or 
regulation, or reasonably expected to be required by law or regulation, 
and any other requirements in the actual award documents.
    (e) Persons other than officers or employees of a person requesting 
or receiving a covered Federal action include consultants and trade 
associations.
    (f) Only those services expressly authorized by this section are 
allowable under this section.



                   Subpart D_Penalties and Enforcement



Sec.  712.400  Penalties.

    (a) Any person who makes an expenditure prohibited herein shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such expenditure.
    (b) Any person who fails to file or amend the disclosure form (see 
appendix B) to be filed or amended if required herein, shall be subject 
to a civil penalty of not less than $10,000 and not

[[Page 243]]

more than $100,000 for each such failure.
    (c) A filing or amended filing on or after the date on which an 
administrative action for the imposition of a civil penalty is commenced 
does not prevent the imposition of such civil penalty for a failure 
occurring before that date. An administrative action is commenced with 
respect to a failure when an investigating official determines in 
writing to commence an investigation of an allegation of such failure.
    (d) In determining whether to impose a civil penalty, and the amount 
of any such penalty, by reason of a violation by any person, the agency 
shall consider the nature, circumstances, extent, and gravity of the 
violation, the effect on the ability of such person to continue in 
business, any prior violations by such person, the degree of culpability 
of such person, the ability of the person to pay the penalty, and such 
other matters as may be appropriate.
    (e) First offenders under paragraphs (a) or (b) of this section 
shall be subject to a civil penalty of $10,000, absent aggravating 
circumstances. Second and subsequent offenses by persons shall be 
subject to an appropriate civil penalty between $10,000 and $100,000, as 
determined by the agency head or his or her designee.
    (f) An imposition of a civil penalty under this section does not 
prevent the United States from seeking any other remedy that may apply 
to the same conduct that is the basis for the imposition of such civil 
penalty.



Sec.  712.405  Penalty procedures.

    Agencies shall impose and collect civil penalties pursuant to the 
provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. 
sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 
3812, insofar as these provisions are not inconsistent with the 
requirements herein.



Sec.  712.410  Enforcement.

    The head of each agency shall take such actions as are necessary to 
ensure that the provisions herein are vigorously implemented and 
enforced in that agency.



                          Subpart E_Exemptions



Sec.  712.500  Secretary of Defense.

    (a) The Secretary of Defense may exempt, on a case-by-case basis, a 
covered Federal action from the prohibition whenever the Secretary 
determines, in writing, that such an exemption is in the national 
interest. The Secretary shall transmit a copy of each such written 
exemption to Congress immediately after making such a determination.
    (b) The Department of Defense may issue supplemental regulations to 
implement paragraph (a) of this section.



                        Subpart F_Agency Reports



Sec.  712.600  Semi-annual compilation.

    (a) The head of each agency shall collect and compile the disclosure 
reports (see appendix B) and, on May 31 and November 30 of each year, 
submit to the Secretary of the Senate and the Clerk of the House of 
Representatives a report containing a compilation of the information 
contained in the disclosure reports received during the six-month period 
ending on March 31 or September 30, respectively, of that year.
    (b) The report, including the compilation, shall be available for 
public inspection 30 days after receipt of the report by the Secretary 
and the Clerk.
    (c) Information that involves intelligence matters shall be reported 
only to the Select Committee on Intelligence of the Senate, the 
Permanent Select Committee on Intelligence of the House of 
Representatives, and the Committees on Appropriations of the Senate and 
the House of Representatives in accordance with procedures agreed to by 
such committees. Such information shall not be available for public 
inspection.
    (d) Information that is classified under Executive Order 12356 or 
any successor order shall be reported only to the Committee on Foreign 
Relations of the Senate and the Committee on Foreign Affairs of the 
House of Representatives or the Committees on Armed Services of the 
Senate and the House of Representatives (whichever such committees have 
jurisdiction of matters involving such information) and to the

[[Page 244]]

Committees on Appropriations of the Senate and the House of 
Representatives in accordance with procedures agreed to by such 
committees. Such information shall not be available for public 
inspection.
    (e) The first semi-annual compilation shall be submitted on May 31, 
1990, and shall contain a compilation of the disclosure reports received 
from December 23, 1989 to March 31, 1990.
    (f) Major agencies, designated by the Office of Management and 
Budget (OMB), are required to provide machine-readable compilations to 
the Secretary of the Senate and the Clerk of the House of 
Representatives no later than with the compilations due on May 31, 1991. 
OMB shall provide detailed specifications in a memorandum to these 
agencies.
    (g) Non-major agencies are requested to provide machine-readable 
compilations to the Secretary of the Senate and the Clerk of the House 
of Representatives.
    (h) Agencies shall keep the originals of all disclosure reports in 
the official files of the agency.



Sec.  712.605  Inspector General report.

    (a) The Inspector General, or other official as specified in 
paragraph (b) of this section, of each agency shall prepare and submit 
to Congress each year, commencing with submission of the President's 
Budget in 1991, an evaluation of the compliance of that agency with, and 
the effectiveness of, the requirements herein. The evaluation may 
include any recommended changes that may be necessary to strengthen or 
improve the requirements.
    (b) In the case of an agency that does not have an Inspector 
General, the agency official comparable to an Inspector General shall 
prepare and submit the annual report, or, if there is no such comparable 
official, the head of the agency shall prepare and submit the annual 
report.
    (c) The annual report shall be submitted at the same time the agency 
submits its annual budget justifications to Congress.
    (d) The annual report shall include the following: All alleged 
violations relating to the agency's covered Federal actions during the 
year covered by the report, the actions taken by the head of the agency 
in the year covered by the report with respect to those alleged 
violations and alleged violations in previous years, and the amounts of 
civil penalties imposed by the agency in the year covered by the report.



      Sec. Appendix A to Part 712--Certification Regarding Lobbying

 Certification for Contracts, Grants, Loans, and Cooperative Agreements

    The undersigned certifies, to the best of his or her knowledge and 
belief, that:
    (1) No Federal appropriated funds have been paid or will be paid, by 
or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of an agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a Member 
of Congress in connection with the awarding of any Federal contract, the 
making of any Federal grant, the making of any Federal loan, the 
entering into of any cooperative agreement, and the extension, 
continuation, renewal, amendment, or modification of any Federal 
contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, an 
officer or employee of Congress, or an employee of a Member of Congress 
in connection with this Federal contract, grant, loan, or cooperative 
agreement, the undersigned shall complete and submit Standard Form-LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards at 
all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

            Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting

[[Page 245]]

to influence an officer or employee of any agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with this commitment providing for the United 
States to insure or guarantee a loan, the undersigned shall complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required statement shall be 
subject to a civil penalty of not less than $10,000 and not more than 
$100,000 for each such failure.

[[Page 246]]



     Sec. Appendix B to Part 712--Disclosure Form To Report Lobbying
[GRAPHIC] [TIFF OMITTED] TC13OC91.006


[[Page 247]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.007


[[Page 248]]


[GRAPHIC] [TIFF OMITTED] TC13OC91.008


[[Page 249]]





PART 713_PRODUCTION OF NONPUBLIC RECORDS AND TESTIMONY OF 
EMPLOYEES IN LEGAL PROCEEDINGS--Table of Contents



Sec.
713.1 What does this part prohibit?
713.2 When does this part apply?
713.3 How do I request nonpublic records or testimony?
713.4 What must my written request contain?
713.5 When should I make my request?
713.6 Where should I send my request?
713.7 What will OPIC do with my request?
713.8 If my request is granted, what fees apply?
713.9 If my request is granted, what restrictions may apply?
713.10 Definitions.

    Authority: 5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C. 702; 
18 U.S.C. 207; 18 U.S.C. 641; 22 U.S.C. 2199(d); 28 U.S.C. 1821; Pub. L. 
115-254, sections 1401-1470.

    Source: 64 FR 8241, Feb. 19, 1999, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 713 appear at 84 FR 
37752, Aug. 2, 2019.



Sec.  713.1  What does this part prohibit?

    This part prohibits the release of nonpublic records for legal 
proceedings or the appearance of an DFC employee to testify in legal 
proceedings except as provided in this part. Any person possessing 
nonpublic records may release them or permit their disclosure or release 
only as provided in this part.
    (a) Duty of DFC employees. (1) If you are an DFC employee and you 
are served with a subpoena requiring you to appear as a witness or to 
produce records, you must promptly notify the Vice-president/General 
Counsel in the Department of Legal Affairs. The Vice-President/General 
Counsel has the authority to instruct DFC employees to refuse to appear 
as a witness or to withhold nonpublic records. The Vice-President/
General Counsel may let an DFC employee provide testimony, including 
expert or opinion testimony, if the Vice-President/General Counsel 
determines that the need for the testimony clearly outweighs contrary 
considerations.
    (2) If a court or other appropriate authority orders or demands from 
you expert or opinion testimony or testimony beyond authorized subjects 
contrary to the Vice-President/General Counsel's instructions, you must 
immediately notify the Vice-President/General Counsel of the order and 
then respectfully decline to comply with the order. You must decline to 
answer questions on the grounds that this part forbids such disclosure. 
You should produce a copy of this part, request an opportunity to 
consult with the Vice-President/General Counsel, and explain that 
providing such testimony without approval may expose you to disciplinary 
or other adverse action.
    (b) Duty of persons who are not DFC employees. (1) If you are not an 
DFC employee but have custody of nonpublic records, as defined at Sec.  
713.10, and you are served with a subpoena requiring you to produce 
records or to testify as a witness, you must promptly notify DFC of the 
subpoena. Also, you must notify the issuing court or authority and the 
person or entity for whom the subpoena was issued of the contents of 
this part. Provide notice to DFC by sending a copy of the subpoena to 
the Vice-President/General Counsel, DFC, 1100 New York Avenue, NW, 
Washington, DC 20527. After reviewing notice, DFC may advise the issuing 
court or authority and the person or entity for whom the subpoena was 
issued that this part applies and, in addition, may intervene, attempt 
to have the subpoena quashed or withdrawn, or register appropriate 
objections.
    (2) After you notify the Vice-President/General Counsel of the 
subpoena, respond to the subpoena by appearing at the time and place 
stated in the subpoena, unless otherwise directed by the Vice President/
General Counsel. Unless otherwise authorized by the Vice-President/
General Counsel, decline to produce any records or give any testimony, 
basing your refusal on this part. If the issuing court or authority 
orders the disclosure of records or orders you to testify, decline to 
produce records or testify and advise the Vice-President/General 
Counsel.
    (c) Penalties. Anyone who discloses nonpublic records or gives 
testimony related to those records, except as expressly authorized by 
DFC or as ordered by a federal court after DFC has had the opportunity 
to be heard, may face the penalties provided in 18 U.S.C.

[[Page 250]]

641 and other applicable laws. Also, former DFC employees, in addition 
to the prohibition contained in this part, are subject to the 
restrictions and penalties of 18 U.S.C. 207.



Sec.  713.2  When does this part apply?

    This part applies if you want to obtain nonpublic records or 
testimony of an DFC employee for a legal proceeding. It does not apply 
to records that DFC is required to release, records which DFC 
discretionarily releases under the Freedom of Information Act (FOIA), 
records that DFC releases to federal or state investigatory agencies, 
records that DFC is required to release pursuant to the Privacy Act, 5 
U.S.C. 552a, or records that DFC releases under any other applicable 
authority.

[79 FR 8619, Feb. 13, 2014]



Sec.  713.3  How do I request nonpublic records or testimony?

    To request nonpublic records or the testimony of an DFC employee, 
you must submit a written request as described in Sec.  713.4 to the 
Vice-President/General Counsel of DFC. If you serve a subpoena on DFC or 
an DFC employee before submitting a written request and receiving a 
final determination, DFC will oppose the subpoena on the grounds that 
you failed to follow the requirements of this part.

[79 FR 8619, Feb. 13, 2014]



Sec.  713.4  What must my written request contain?

    Your written request for records or testimony must include:
    (a) The caption of the legal proceeding, docket number, and name of 
the court or other authority involved.
    (b) A copy of the complaint or equivalent document setting forth the 
assertions in the case and any other pleading or document necessary to 
show relevance.
    (c) A list of categories of records sought, a detailed description 
of how the information sought is relevant to the issues in the legal 
proceeding, and a specific description of the substance of the testimony 
or records sought.
    (d) A statement as to how the need for the information outweighs the 
need to maintain the confidentiality of the information and outweighs 
the burden on DFC to produce the records or provide testimony.
    (e) A statement indicating that the information sought is not 
available from another source, such as the requestor's own books and 
records, other persons or entities, or the testimony of someone other 
than an DFC employee, such as retained experts.
    (f) A description of all prior decisions, orders, or pending motions 
in the case that bear upon the relevance of the records or testimony you 
want.
    (g) The name, address, and telephone number of counsel to each party 
in the case.
    (h) An estimate of the amount of time you anticipate that you and 
other parties will need with each DFC employee for interviews, 
depositions, and/or testimony.



Sec.  713.5  When should I make my request?

    Submit your request at least 45 days before the date you need the 
records or testimony. If you want your request processed in a shorter 
time, you must explain why you could not submit the request earlier and 
why you need such expedited processing. DFC retains full discretion to 
grant, deny, or propose a new completion date on any request for 
expedited processing. If you are requesting the testimony of an DFC 
employee, DFC expects you to anticipate your need for the testimony in 
sufficient time to obtain it by deposition. The Vice-President/General 
Counsel may well deny a request for testimony at a legal proceeding 
unless you explain why you could not have used deposition testimony 
instead. The Vice-President/General Counsel will determine the location 
of a deposition, taking into consideration DFC's interest in minimizing 
the disruption for an DFC employee's work schedule and the costs and 
convenience of other persons attending the deposition.

[79 FR 8619, Feb. 13, 2014]



Sec.  713.6  Where should I send my request?

    Send your request or subpoena for records or testimony to the 
attention of the Vice-President/General Counsel,

[[Page 251]]

DFC, 1100 New York Avenue NW, Washington, DC 20527.



Sec.  713.7  What will DFC do with my request?

    (a) Factors DFC will consider. DFC may consider various factors in 
reviewing a request for nonpublic records or testimony of DFC employees, 
including:
    (1) Whether disclosure would assist or hinder DFC in performing its 
statutory duties or use DFC resources unreasonably, including whether 
responding to the request will interfere with DFC employees' ability to 
do their work.
    (2) Whether disclosure is necessary to prevent the perpetration of a 
fraud or other injustice in the matter.
    (3) Whether you can get the records or testimony you want from 
sources other than DFC.
    (4) Whether the request is unduly burdensome.
    (5) Whether disclosure would violate a statute, executive order, or 
regulation, such as the Privacy Act, 5 U.S.C. 552a.
    (6) Whether disclosure would reveal confidential, sensitive or 
privileged information, trade secrets or similar, confidential 
commercial or financial information, or would otherwise be inappropriate 
for release and, if so, whether a confidentiality agreement or 
protective order as provided in Sec.  713.9(a) can adequately limit the 
disclosure.
    (7) Whether the disclosure would interfere with law enforcement 
proceedings, compromise constitutional rights, or hamper DFC programs or 
other DFC operations.
    (8) Whether the disclosure could result in DFC's appearing to favor 
one litigant over another.
    (9) Any other factors DFC determines to be relevant to the interests 
of DFC.
    (b) Review of your request. DFC will process your request in the 
order it is received. DFC will try to respond to your request within 45 
days, but this may vary, depending on the scope of your request.
    (c) Final determination. the Vice-President/General Counsel makes 
the final determination on requests for nonpublic records or DFC 
employee testimony. All final determinations are in the sole discretion 
of the Vice-President/General Counsel. The Vice-President/General 
Counsel will notify you and the court or other authority of the final 
determination of your request. In considering your request, the Vice-
President/General Counsel may contact you to inform you of the 
requirements of this part, ask that the request or subpoena be modified 
or withdrawn, or may try to resolve the request or subpoena informally 
without issuing a final determination.



Sec.  713.8  If my request is granted, what fees apply?

    (a) Generally. You must pay any fees associated with complying with 
your request, including copying fees for records and witness fees for 
testimony. The Vice-President/General Counsel may condition the 
production of records or appearance for testimony upon advance payment 
of a reasonable estimate of the fees.
    (b) Fees for records. You must pay all fees for searching, reviewing 
and duplicating records produced in response to your request. The fees 
will be the same as those charged by DFC under its Freedom of 
Information Act regulations, 22 CFR Part 706, Subpart B, Sec.  706.26.
    (c) Witness fees. Your must pay the fees, expenses, and allowances 
prescribed by the court's rules for attendance by a witness. If no such 
fees are prescribed, the local federal district court rule concerning 
witness fees, for the federal district court closest to where the 
witness appears, will apply. For testimony by current DFC employees, you 
must pay witness fees, allowances, and expenses to the Vice-President/
General Counsel by check made payable to the ``US International 
Development Finance Corporation'' within 30 days from receipt of DFC's 
billing statement. For the testimony of a former DFC employee, you must 
pay witness fees, allowances, and expenses directly to the former 
employee, in accordance with 28 U.S.C. 1821 or other applicable 
statutes.
    (d) Certification of records. DFC may authenticate or certify 
records to facilitate their use as evidence. If you require 
authenticated records, you must request certified copies at least 45 
days before the date they will be needed.

[[Page 252]]

Send your request to the Vice-President/General Counsel. DFC will charge 
you a certification fee of $5.00 per document.
    (e) Waiver of fees. A waiver or reduction of any fees in connection 
with the testimony, production, or certification or authentication of 
records may be granted in the discretion of the Vice-President/General 
Counsel. Waivers will not be granted routinely. If you request a waiver, 
your request for records or testimony must state the reasons why a 
waiver should be granted.



Sec.  713.9  If my request is granted, what restrictions may apply?

    (a) Records. The Vice-President/General Counsel may impose 
conditions or restrictions on the release of nonpublic records, 
including a requirement that you obtain a protective order or execute a 
confidentiality agreement with the other parties in the legal proceeding 
that limits access to and any further disclosure of the nonpublic 
records. The terms of a confidentiality agreement or protective order 
must be acceptable to the Vice-President/General Counsel. In cases where 
protective orders or confidentiality agreements have already been 
executed, DFC may condition the release of nonpublic records on an 
amendment to the existing protective order or confidentiality agreement.
    (b) Testimony. The Vice-President/General Counsel may impose 
conditions or restrictions on the testimony of DFC employees, including, 
for example, limiting the areas of testimony or requiring you and the 
other parties to the legal proceeding to agree that the transcript of 
the testimony will be kept under seal or will only be used or made 
available in the particular legal proceeding for which you requested the 
testimony. The Vice-President/General Counsel may also require you to 
provide a copy of the transcript of the testimony to DFC at your 
expense.



Sec.  713.10  Definitions.

    For purposes of this part:
    Legal proceedings means any matter before any federal, state or 
foreign administrative or judicial authority, including courts, 
agencies, commissions, boards, grand juries, or other tribunals, 
involving such proceedings as lawsuits, licensing matters, hearings, 
trials, discovery, investigations, mediation or arbitration. When DFC is 
a party to a legal proceeding, it will be subject to the applicable 
rules of civil procedure governing production of documents and 
witnesses; however testimony and/or production of documents by DFC 
employees, as defined, will still be subject to this part.
    Nonpublic records means any DFC records which are exempt from 
disclosure by statute or under Part 706, DFC's regulations implementing 
the provisions of the Freedom of Information Act. For example, this may 
include records created in connection with DFC's receipt, evaluation and 
action on actual and proposed DFC finance projects and insurance 
policies (whether such projects or policies were cancelled or not), 
including all reports, internal memoranda, opinions, interpretations, 
and correspondence, whether prepared by DFC employees or by persons 
under contract, as well as confidential business information submitted 
by parties seeking to do business with DFC. Whether DFC has actually 
chosen in practice to apply any exemption to specific documents is 
irrelevant to the question of whether they are ``nonpublic'' for the 
purposes of this Part.
    DFC employee means current and former officials, members of the 
Board of Directors, officers, directors, employees and agents of the US 
International Development Finance Corporation, including contract 
employees, consultants and their employees. This definition does not 
include persons who are no longer employed by DFC and are retained or 
hired as expert witnesses or agree to testify about general matters, 
matters available to the public, or matters with which they had no 
specific involvement or responsibility during their employment.
    Subpoena means any order, subpoena for records or other tangible 
things or for testimony, summons, notice or legal process issued in a 
legal proceeding.
    Testimony means any written or oral statements made by an individual 
in

[[Page 253]]

connection with a legal proceeding, including personal appearances in 
court or at depositions, interviews in person or by telephone, responses 
to written interrogatories or other written statements such as reports, 
declarations, affidavits, or certifications or any response involving 
more than the delivery of records.

                        PARTS 714	799 [RESERVED]

[[Page 255]]



               CHAPTER IX--FOREIGN SERVICE GRIEVANCE BOARD




  --------------------------------------------------------------------
Part                                                                Page
900

[Reserved]

901             General.....................................         257
902             Organization................................         259
903             Initiation and documentation of cases.......         259
904             Jurisdiction and preliminary determinations.         261
905             Burden of proof.............................         263
906             Hearings....................................         263
907             Procedure when hearing is not held..........         265
908             Remedies....................................         265
909             Decisionmaking..............................         267
910             Miscellaneous...............................         267
911             Implementation disputes.....................         268
912-999

[Reserved]

[[Page 257]]

                           PART 900 [RESERVED]



PART 901_GENERAL--Table of Contents



                       Subpart A_Purpose and Scope

Sec.
901.1 Purpose and scope.

           Subpart B_Meanings of Terms as Used in This Chapter

901.10 Act.
901.11 Agency.
901.12 Board.
901.13 Executive secretary.
901.14 Service.
901.15 Exclusive representative.
901.16 Grievant.
901.17 Charged employee.
901.18 Grievance.
901.19 Labor organization.
901.20 Party.
901.21 Record of proceedings.
901.22 Representative.

    Authority: Secs. 610, 1101, 1102, 1105, and 1106 of the Foreign 
Service Act of 1980, Pub. L. 96-465 (22 U.S.C. 4131, 4132, 4135, and 
4136), as amended.

    Source: 50 FR 31353, Aug. 2, 1985, unless otherwise noted.



                       Subpart A_Purpose and Scope



Sec.  901.1  Purpose and scope.

    The regulations contained in this chapter establish the internal 
organization of the Foreign Service Grievance Board and prescribe its 
procedures in:
    (a) Determining its jurisdiction in cases involving grievances and 
separation for cause proceedings;
    (b) Compiling a record in such cases;
    (c) Conducting hearings in such cases, when required or deemed 
necessary; and
    (d) Deciding such cases, or otherwise disposing of them, so as to 
ensure the fullest measure of due process for the members of the Foreign 
Service.



           Subpart B_Meanings of Terms As Used in This Chapter



Sec.  901.10  Act.

    Act means the Foreign Service Act of 1980 (Pub. L. 96-465, October 
17, 1980), as amended.

[56 FR 55458, Oct. 28, 1991]



Sec.  901.11  Agency.

    Agency means the Department of State, the Agency for International 
Development, the U.S. Information Agency, the Department of Agriculture, 
or the Department of Commerce, if the Agency employs the individual 
appearing in a case before the Board and/or has control over the act, 
omission, or condition forming the subject matter of such case.



Sec.  901.12  Board.

    Board means the Foreign Service Grievance Board, including any 
designated panel or member thereof.



Sec.  901.13  Executive secretary.

    Executive secretary means the executive secretary of the Board or 
his or her designee.



Sec.  901.14  Service.

    Service means the Foreign Service of the United States.



Sec.  901.15  Exclusive representative.

    Exclusive representative means any labor organization which is 
certified as the exclusive representative of the bargaining unit of 
which the grievant or charged employee is a member.



Sec.  901.16  Grievant.

    Grievant means anyone who has filed a grievance and who is a member 
of the Service and is a citizen of the United States, or for the 
purposes of Sec.  901.18(a)(7) a former member of the Service, or in the 
case of death of the member, the surviving spouse or, if none, another 
member of the family.



Sec.  901.17  Charged employee.

    Charged employee means a member of the Senior Foreign Service or a 
member of the Service assigned to a salary class who has been proposed 
for separation for cause under section 610(a)(2) of the Act.



Sec.  901.18  Grievance.

    (a) Grievance means any act, omission, or condition subject to the 
control of an Agency which is alleged to deprive a member of the Service 
who is a citizen of the United States of a right

[[Page 258]]

or benefit authorized by law or regulation or is otherwise a source of 
concern or dissatisfaction to the member, including but not limited to:
    (1) Complaints against separation of a member allegedly contrary to 
law or regulation or predicated upon alleged inaccuracy, omission, error 
or falsely prejudicial character of information in any part of the 
official personnel record of the member;
    (2) Other alleged violation, misinterpretation or misapplication of 
applicable law, regulation, collective bargaining agreement or published 
post or agency policy affecting the terms and conditions of the 
employment or career status of the member;
    (3) Allegedly wrongful disciplinary action against the member;
    (4) Dissatisfaction with respect to the working environment of the 
member;
    (5) Alleged inaccuracy, omission, error, or falsely prejudicial 
character of information in the official personnel record of the member 
which is or could be prejudicial to the member;
    (6) Action alleged to be in the nature of reprisal or other 
interference with freedom of action in connection with participation by 
a member in a grievance; and
    (7) Alleged denial of an allowance, premium pay or other financial 
benefit to which the member claims entitlement under applicable laws or 
regulations.
    (b) The scope of grievances described above may be modified by 
written agreement between an Agency and its exclusive representative.
    (c) The term grievance does not include:
    (1) Complaints against an individual assignment of a member under 
chapter 5 of the Act, other than an assignment which is alleged to be 
contrary to law or regulation;
    (2) The judgment of a selection board (established under section 602 
of the Act) or a tenure board (established under section 306(b) of the 
Act) or any other equivalent body established by laws or regulations 
which similarly evaluates the performance of members of the Service on a 
comparative basis, including a merit promotion selecting official, 
except that alleged procedural violations of law, regulation or 
collective bargaining agreement or prohibited personnel practice(s) 
arising under these procedures are grievable;
    (3) The expiration of a limited appointment, termination of a 
limited appointment under section 611 of the Act, or the denial of a 
limited career extension or denial of a renewal of a limited career 
extension under section 607(b) of the Act; or
    (4) Pursuant to section 1109 of the Act, any complaint or appeal 
where a specific statutory hearing procedure exists other than 
procedures for considering prohibited personnel practice charges before 
the Merit Systems Protection Board or Special Counsel (5 U.S.C. 1206).
    (5) Non-adoption of a member suggestion or disapproval of a quality 
salary increase, performance award, or any other kind of honorary 
discretionary award, except where such action is alleged to be contrary 
to law, regulation or collective bargaining agreement; and
    (6) The content of published agency policy which is not contrary to 
law, regulation or collective bargaining agreement.
    (d) For the purposes of these regulations, the written complaint 
concerning any act, omission, or condition specified above may be 
referred to as the ``grievance''.

[50 FR 31353, Aug. 2, 1985, as amended at 56 FR 55458, Oct. 28, 1991]



Sec.  901.19  Labor organization.

    Labor organization means any employee organization accorded 
recognition as the exclusive employee representative under section 
1002(11) of the Act. For the Department of State and the Agency for 
International Development (AID), the exclusive employee representative 
is the American Foreign Service Association; for the U.S. Information 
Agency (USIA), the exclusive employee representative is the American 
Federation of Government Employees, Local 1812 (AFL-CIO).



Sec.  901.20  Party.

    Party means--
    (a) The grievant/charged employee;
    (b) The Agency or Agencies employing the grievant/charged employee 
and/

[[Page 259]]

or having control over the act, omission, or condition leading to 
appearance before the Board; or
    (c) The exclusive representative if it has achieved party status 
under Sec.  903.4.


A Party may act through its duly designated representative.

[50 FR 31353, Aug. 2, 1985, as amended at 56 FR 55458, Oct. 28, 1991]



Sec.  901.21  Record of proceedings.

    Record of proceedings means the case file maintained by the Board on 
each grievance case, or separation for cause proceeding.



Sec.  901.22  Representative.

    Representative means the person(s) identified in writing to the 
Board as assisting the party or parties in the presentation of the case.



PART 902_ORGANIZATION--Table of Contents



Sec.
902.1 Chairperson and deputy chairperson.
902.2 Board operations.
902.3 Board staff.

    Authority: Secs. 1105 and 1106 of the Foreign Service Act of 1980, 
Pub. L. 96-465 (22 U.S.C. 4135 and 4136), as amended.



Sec.  902.1  Chairperson and deputy chairperson.

    The chairperson presides over meetings of the Board. The chairperson 
shall select one of the Board members as deputy. In the absence of the 
chairperson, the deputy chairperson, or in his or her absence, another 
member designated by the chairperson, may act for him or her.

[50 FR 31354, Aug. 2, 1985]



Sec.  902.2  Board operations.

    (a) The Board may operate either as a whole, or through panels or 
individual members designated by the chairperson.
    (b) When operating as a whole, the Board may not act in the absence 
of a quorum. A majority of the members shall constitute a quorum. The 
Board will act by a majority vote of those present. Amendments to these 
regulations and Board policies adopted pursuant to Sec.  910.3 shall be 
adopted by the Board operating as a whole.
    (c) Board panels and presiding members of panels shall be designated 
by the chairperson subject only to the provisions of Sec.  906.4.

[50 FR 31354, Aug. 2, 1985, as amended at 56 FR 55459, Oct. 28, 1991]



Sec.  902.3  Board staff.

    The chairperson shall select the Board's executive secretary and 
other staff provided for in the Act. The executive secretary and staff 
shall be responsible only to the Board through the chairperson.

[50 FR 31354, Aug. 2, 1985]



PART 903_INITIATION AND DOCUMENTATION OF CASES--Table of Contents



Sec.
903.1 Initiation of cases.
903.2 Record of proceedings.
903.3 Rulings on materials.
903.4 Participation of exclusive representative.
903.5 Service of documents.
903.6 Interrogatories.
903.7 Acknowledgment.
903.8 Withdrawal.
903.9 Access to records.
903.10 Access to witnesses.

    Authority: Secs. 610, 1104, and 1106-1109 of the Foreign Service Act 
of 1980, Pub. L. 96-465 (22 U.S.C. 4010, 4134, and 4136-4139), as 
amended.

    Source: 50 FR 31354, Aug. 2, 1985, unless otherwise noted.



Sec.  903.1  Initiation of cases.

    (a) Grievances submitted to the Board shall be in writing, and shall 
explain the nature of the grievance, and the remedy sought; shall 
contain all the documentation furnished to the Agency and the Agency's 
final review; and shall be timely filed in accordance with applicable 
regulations.
    (b) A member whose grievance is not resolved satisfactorily under 
Agency procedures, the representative of the grievant, or the exclusive 
representative (on behalf of a grievant who is a member of the 
bargaining unit), shall be entitled to file a grievance with the Board 
no later than 60 days after receiving the Agency decision. In the event 
that an Agency has not provided its decision within 90 days of filing

[[Page 260]]

with the Agency, the grievant, the representative of the grievant, or 
the exclusive representative (on the grievant's behalf) shall be 
entitled to file a grievance with the Board no later than 150 days after 
the date of filing with the Agency. The Board may extend or waive for 
good cause shown the time limits stated in this section, and may permit 
or request the views of the parties with respect to whether good cause 
has been shown for such an extension.
    (c) Separation for cause proceedings against a charged employee 
shall be initiated before the Board by submission of a statement of the 
acts or behavior considered by the Agency to warrant separation.



Sec.  903.2  Record of proceedings.

    Upon receipt of initial documents relating to a case, a record of 
proceedings shall be established, and all material received or obtained 
by the Board in connection with the case shall be placed in it unless 
the Board excludes such material under Sec.  903.3. The parties and the 
exclusive representative, if any, shall have access to the record of 
proceedings. Classified portions of the record of proceedings may be 
reviewed by the parties and the exclusive representative, if any, under 
conditions prescribed by the Board to ensure appropriate security.



Sec.  903.3  Rulings on materials.

    The Board may at any stage of the proceedings exclude materials from 
the record of proceedings at the request of a party or on its own 
initiative, on the grounds that such materials are irrelevant, 
immaterial or unduly repetitive.



Sec.  903.4  Participation of exclusive representative.

    (a) Upon the initiation of a case, the executive secretary shall 
ascertain from the Agency, the grievant/charged employee and any labor 
organization which has been certified as the exclusive representative of 
employees of the Agency, whether the relevant position occupied by the 
grievant/charged employee is part of the bargaining unit for which the 
labor organization is the exclusive representative. If a substantial 
dispute exists as to whether that position is part of the bargaining 
unit, and if the Board determines that resolution of that dispute is 
necessary for determining the status of the labor organization in a 
case, the Board shall notify the parties and the labor organization, who 
may request the Foreign Service Labor Relations Board to make a final 
determination of that dispute. If the Foreign Service Labor Relations 
Board determines that the grievant or charged employee is a member of a 
bargaining unit represented by an exclusive representative, the 
executive secretary shall promptly send a copy of the papers filed with 
the Board to the exclusive representative.
    (b) The exclusive representative has the right to intervene as a 
party to the case if such exclusive representative gives timely notice 
to the Board in writing of its decision to intervene as a party. Notice 
shall be considered to be timely if given prior to or at the prehearing 
conference, or, in a case to be decided under part 907 of this chapter, 
if given within 10 days of receipt of a notice from the Board of the 
Board's intent to close the record of proceedings.
    (c) An exclusive representative which has not intervened under 
paragraph (b) of this section may be permitted to intervene as a party 
upon written application. In ruling upon the application, the Board 
shall consider whether granting the application will unduly delay or 
prejudice the adjudication of the rights of the original parties, and 
may place conditions on the exclusive representative's participation to 
avoid such delay or prejudice.



Sec.  903.5  Service of documents.

    Any party submitting documents to the Board in connection with a 
case shall send a copy to the other parties and to the exclusive 
representative, if any. The Board shall send copies of its 
correspondence concerning the case to the parties and the exclusive 
representative, if any.



Sec.  903.6  Interrogatories.

    Each party shall be entitled to serve interrogatories upon another 
party, and have such interrogatories answered by the other party unless 
the Board finds such interrogatories irrelevant,

[[Page 261]]

immaterial, or unduly repetitive. Parties shall follow procedures 
established by the Board concerning the use of interrogatories.



Sec.  903.7  Acknowledgment.

    Each case received shall be acknowledged in writing by the executive 
secretary of the Board. If in the judgment of the executive secretary 
additional documentation or information is needed, he or she may request 
such materials.



Sec.  903.8  Withdrawal.

    A case may be withdrawn at any time by written notification to the 
Board from the party initiating the case. A case may be determined by 
the Board to have lapsed when the grievant fails to respond in writing 
to two successive written Board inquiries within any deadline fixed for 
such response. The Board may permit the reopening of lapsed cases upon a 
showing of good cause and may permit or request the views of the parties 
as to whether good cause has been shown.



Sec.  903.9  Access to records.

    (a) If a party is denied access to any Agency record prior to or 
during the consideration of a case by the Agency, the party may protest 
such denial before the Board in connection with the case.
    (b) In considering a case, the Board shall have access to any Agency 
record as follows:
    (1) the Board shall request access to any Agency record which the 
grievant/charged employee requests to substantiate his or her grievance 
or defense to a charge if the Board determines that such record may be 
relevant and material to the case.
    (2) the Board may request access to any other Agency record which 
the Board determines may be relevant and material to the case.
    (3) An Agency shall make available to the Board any Agency record 
requested under paragraphs (b)(1) and (2) of this section unless the 
head or deputy head or such Agency personally certifies in writing to 
the Board that disclosure of the record to the Board and the parties 
would adversely affect the foreign policy or national security of the 
United States or that such disclosure is prohibited by law. If such a 
certification is made with respect to any record, the Agency shall 
supply to the Board a summary or extract of such record unless the 
reasons specified in the preceding sentence preclude such a summary or 
extract.
    (c) If the Board determines that an Agency record, or a summary or 
extract of a record, made available to the Board under paragraph (b) of 
this section is relevant and material to the case, the Agency concerned 
shall make such record, summary, or extract, as the case may be, 
available to the parties.
    (d) In considering a case, the Board may take into account the fact 
that the parties or the Board were denied access to any Agency record 
which the Board determines is or may be relevant and material to the 
case.
    (e) The parties in any case decided by the Board shall have access 
to the record of proceedings and the decision of the Board.



Sec.  903.10  Access to witnesses.

    The grievant or grievant's representative, or charged employee or 
his representative, shall be given access to witnesses employed by the 
foreign affairs agencies. In the event that the agency of the grievant 
determines that the requests for access are excessive, it may so notify 
the Board, which shall rule on the relevance and materiality of the 
potential testimony and may order that access be granted to any or all 
of the potential witnesses. It shall be the responsibility of the 
grievant to advise the agency of the agency witnesses to be interviewed 
and to request administrative leave.



PART 904_JURISDICTION AND PRELIMINARY DETERMINATIONS--Table of Contents



Sec.
904.1 General.
904.2 Preliminary determinations.
904.3 Relationship to other remedies.
904.4 Suspension of agency actions.

    Authority: Secs. 1101, 1104, 1108, and 1109 of the Foreign Service 
Act of 1980, Pub. L. 96-465 (22 U.S.C. 4131, 4134, 4138, and 4139), as 
amended.

[[Page 262]]



Sec.  904.1  General.

    The Board's jurisdiction extends to any grievance, and to any 
separation for cause proceeding initiated pursuant to section 610(a)(2) 
of the Act.

[50 FR 31355, Aug. 2, 1985]



Sec.  904.2  Preliminary determinations.

    (a) If an Agency, in its final review, has questioned whether a 
complaint constitutes a grievance, the Board will make a preliminary 
determination of its jurisdiction unless the Board concludes that 
resolution of the question of jurisdiction should be deferred until the 
Board has compiled a record of proceedings or held a hearing on the 
merits of the case.
    (b) The Board may also make a preliminary determination on any 
question raised by a Party concerning the timeliness of a grievance, the 
election of other remedies under Sec.  904.3, or any other issue whose 
resolution might avoid the necessity of further proceedings.
    (c) Before making a preliminary determination under this section, 
the Board shall obtain the views of the other parties and transmit those 
views to all parties.
    (d) Where an issue presented for preliminary determination under 
this section is contested by a party or would result in the termination 
of a case, a panel of three members of the Board shall decide the issue.

[50 FR 31355, Aug. 2, 1985, as amended at 56 FR 55459, Oct. 28, 1991]



Sec.  904.3  Relationship to other remedies.

    (a) A grievant may not file a grievance with the Board if the 
grievant has formally requested, prior to filing a grievance, that the 
matter or matters which are the basis of the grievance be considered or 
resolved and relief provided under another provision of law, regulation, 
or executive order, and the matter has been carried to final decision 
under such provision on its merits or is still under consideration. This 
provision shall not apply to grievants who have filed a prohibited 
personnel practice charge before the Special Counsel for the Merit 
Systems Protection Board.
    (b) If a grievant is not prohibited from filing a grievance under 
paragraph (a) of this section, the grievant may file with the Board a 
grievance which is also eligible for consideration, resolution, and 
relief as a prohibited personnel practice complaint under the provisions 
of law relating to the Merit Systems Protection Board or Special 
Counsel, or under a regulation or executive order. An election of 
remedies under this section shall be final upon the acceptance of 
jurisdiction by the Board.

[50 FR 31355, Aug. 2, 1985]



Sec.  904.4  Suspension of agency actions.

    (a) If the Board determines that the agency is considering 
involuntary separation of the Grievant, disciplinary action against the 
Grievant, or recovery from the Grievant of alleged overpayment of 
salary, expenses, or allowances, which is related to a grievance pending 
before the Board, and that such action should be suspended, the agency 
shall suspend such action until the Board has ruled on the grievance. 
Notwithstanding such suspension of action, the head of the agency 
concerned or a chief of mission or principal officer may exclude the 
Grievant from official premises or from the performance of specified 
functions when such exclusion is determined in writing to be essential 
to the functioning of the post or office to which the Grievant is 
assigned.
    (b) Notwithstanding paragraph (a) of this section, the Board shall 
not determine that action to suspend without pay a Grievant shall be 
suspended if the head of an agency or his designee has determined that 
there is reasonable cause to believe that a Grievant has committed a 
job-related crime for which a sentence of imprisonment may be imposed 
and has taken action to suspend the Grievant without pay pending a final 
resolution of the underlying matter. For this purpose, reasonable cause 
to believe that a member has committed a crime for which a sentence of 
imprisonment may be imposed shall be defined as a member of the Service 
having been convicted of, and sentence of imprisonment having been 
imposed for a job-related crime.

[[Page 263]]

    (c) The Board shall expedite its decisions on requested suspensions 
of proposed Agency actions. The Board may permit or require argument 
with respect to such requests by the Parties and Exclusive 
Representative, if any.

[56 FR 55459, Oct. 28, 1991]



PART 905_BURDEN OF PROOF--Table of Contents



Sec.
905.1 Grievances other than disciplinary actions.
905.2 Disciplinary grievances.
905.3 Separation for cause.

    Authority: Secs. 610 and 1106 of the Foreign Service Act of 1980, 
Pub. L. 96-465 (22 U.S.C. 4010 and 4136), as amended.



Sec.  905.1  Grievances other than disciplinary actions.

    (a) In all grievances other than those concerning disciplinary 
actions, the grievant has the burden of establishing, by a preponderance 
of the evidence, that the grievance is meritorious.
    (b) Where a grievant establishes that an evaluation contained 
falsely prejudicial material which may have been a substantial factor in 
an agency action, and the question is presented whether the agency would 
have taken the same action had the evaluation not contained that 
material, the burden will shift to the agency to establish, by a 
preponderance of the evidence, that it would have done so.
    (c) Where a grievant establishes that a procedural error occurred 
which is of such a nature that it may have been a substantial factor in 
an agency action with respect to the grievant, and the question is 
presented whether the agency would have taken the same action had the 
procedural error not occurred, the burden will shift to the agency to 
establish, by a preponderance of the evidence, that it would have done 
so.

[50 FR 31356, Aug. 2, 1985]



Sec.  905.2  Disciplinary grievances.

    In grievances over disciplinary actions, the agency has the burden 
of establishing by a preponderance of the evidence that the disciplinary 
action was justified, provided, however, that in a grievance concerning 
suspension without pay pursuant to section 610(a)(3) of the Act, the 
Board's determination of the grievance shall be limited to:
    (a) Whether the required procedures have been followed; and
    (b) Whether there exists reasonable cause to believe a crime has 
been committed for which a sentence of imprisonment may be imposed and 
there is a nexus between the conduct and the efficiency of the Service.
    For this purpose, reasonable cause to believe that a member has 
committed a crime for which a sentence of imprisonment may be imposed 
shall be defined as a member of the Service having been convicted of, 
and sentence of imprisonment having been imposed for, a job-related 
crime.

[56 FR 55459, Oct. 28, 1991]



Sec.  905.3  Separation for cause.

    In separation for cause cases, the agency has the burden of 
establishing, by a preponderance of the evidence, that the proposed 
separation is for such cause as will promote the efficiency of the 
service.

[50 FR 31356, Aug. 2, 1985]



PART 906_HEARINGS--Table of Contents



Sec.
906.1 Decision whether to hold a hearing.
906.2 Mandatory hearing.
906.3 Notification.
906.4 Hearing panels and members.
906.5 Prehearing conferences.
906.6 Powers of presiding member.
906.7 Conduct of hearing.
906.8 Witnesses.
906.9 Failure of party to appear.

    Authority: Secs. 610 and 1106 of the Foreign Service Act of 1980, 
Pub. L. 96-465 (22 U.S.C. 4010 and 4136), as amended.

    Source: 50 FR 31356, Aug. 2, 1985, unless otherwise noted.



Sec.  906.1  Decision whether to hold a hearing.

    After deciding either to accept jurisdiction over a grievance or to 
postpone decision of that question under Sec.  904.2(a) of this chapter, 
the Board will make an initial determination of whether a hearing shall 
be held in accordance with part 906 of this chapter,

[[Page 264]]

or whether the grievance shall be resolved without a hearing in 
accordance with part 907 of this chapter. The Board may reconsider its 
decision as to holding a hearing upon the written request of any party 
or on its own initiative.



Sec.  906.2  Mandatory hearing.

    The Board shall conduct a hearing--(a) At the request of the 
grievant in any case which involves disciplinary action or a grievant's 
retirement from the Service for expiration of time-in-class or based on 
relative performance, or (b) In any case which in the judgment of the 
Board can best be resolved by a hearing or presentation of oral 
argument. The Board shall also conduct a hearing in separation for cause 
proceedings unless the charged employee waives in writing his or her 
right to such hearing.



Sec.  906.3  Notification.

    When the Board orders a hearing, the executive secretary shall so 
notify the parties in writing. The parties shall be given reasonable 
notice of the date and place selected by the Board for the hearing.



Sec.  906.4  Hearing panels and members.

    Unless the Board and the parties agree otherwise, all hearings shall 
be held before a panel of at least three members.



Sec.  906.5  Prehearing conferences.

    (a) The Board may in its discretion order a prehearing conference of 
the parties (which may be presided over by any member) for the purpose 
of considering:
    (1) Simplification or clarification of the issues;
    (2) Serving of interrogatories;
    (3) Stipulations, admissions, agreements on documents, matters 
already on record, or similar agreements which will avoid the necessity 
of proving facts or issues not in dispute;
    (4) Identification of witnesses the parties may wish to call and the 
intended scope of their testimony; limitation on the number of 
witnesses; and arrangement for the appearance of witnesses;
    (5) Avoidance of irrelevant, immaterial, or unduly repetitive 
testimony;
    (6) The possibility of disposition of the case through agreement;
    (7) The order of presentation at the hearing and the allocation of 
the burden of proof; and
    (8) Such other matters as may aid in the disposition of the case.
    (b) The parties authorized to attend the hearing may attend the 
prehearing conference.
    (c) The results of the conference shall be summarized in writing by 
the Board and made a part of the record of proceedings. Copies of the 
summary shall be sent to the parties. The parties may submit comments or 
corrections on the summary.



Sec.  906.6  Powers of presiding member.

    In connection with the hearing, the presiding member shall, as 
appropriate:
    (a) Fix the time and place of the hearing;
    (b) Order further conferences;
    (c) Regulate the course of the hearing;
    (d) Administer oaths and affirmations;
    (e) Dispose of procedural requests and similar matters;
    (f) Rule on admissibility of testimony and exhibits;
    (g) Exclude any person from the hearing for behavior that obstructs 
the hearing;
    (h) Authorize and set the time for the filing of briefs or other 
documents;
    (i) Grant continuances and extensions of time;
    (j) Reopen the record;
    (k) Take any other action in the course of the proceedings 
consistent with the purpose of this part.



Sec.  906.7  Conduct of hearing.

    (a) Authorized attendance. The parties and, as determined by the 
Board, a reasonable number of representatives of the parties are 
entitled to be present at the hearing. The Board may, after considering 
the views of the parties and of any other individuals connected with the 
grievance, decide that a hearing should be open to others. No person 
shall be permitted to attend the hearing when classified material is 
being discussed unless that person possesses the appropriate security 
clearance.

[[Page 265]]

    (b) Procedure. Hearings shall be conducted by the presiding member 
so as to assure a full and fair proceeding. The Board shall not be 
limited by the legal rules of evidence. However, the presiding member 
shall exclude irrelevant, immaterial, or unduly repetitive evidence. The 
Board may require the parties to designate one of their representatives 
as principal spokesperson.
    (c) Order of presentation. In cases involving disciplinary action, 
including separation for cause cases, the Agency will ordinarily present 
its case first and will retain that order of precedence throughout the 
hearing. In other cases the grievant will ordinarily present his or her 
case first and will retain that order of precedence throughout the 
hearing.
    (d) Evidence. Subject to the presiding member's rulings on the 
relevancy, materiality, and repetitious nature of evidence, the parties 
may offer such evidence, including interrogatories, depositions and 
Agency records as they desire. The shall produce such additional 
evidence as the presiding member shall consider relevant and material. 
Where deemed appropriate by the Board, the parties may be supplied only 
with a summary or extract of classified material (also see Sec.  903.9 
of this chapter).
    (e) Testimony. Testimony at a hearing shall be given under oath or 
affirmation.
    (f) Transcript. A verbatim transcript shall be made of any hearing 
and shall be part of the record of proceedings.



Sec.  906.8  Witnesses.

    (a) General. Each party shall be entitled to examine and cross-
examine witnesses at the hearing or by deposition. A party wishing to 
take the deposition of a witness shall give the other parties reasonable 
notice of the time and place of the deposition and of the identity of 
the witness.
    (b) Availability. Upon request of the Board or upon request of the 
grievant/charged employee deemed relevant and material by the Board, an 
Agency shall promptly make available at the hearing or by deposition any 
witness under its control, supervision or responsibility. If the Board 
determines that the actual presence of such witness at the hearing is 
required for just resolution of the case, the witness shall be made 
available at the hearing, with necessary costs and travel expenses paid 
by the Agency which is a party to the hearing.
    (c) Notice. The parties are responsible for notifying their 
witnesses and for arranging for their appearance at the time and place 
set for the hearing. The Board may preclude a witness from testifying 
because of the failure of the party responsible for witness' appearance 
to comply with this section.



Sec.  906.9  Failure of party to appear.

    The hearing may proceed in the absence of any party who, after due 
notice and without good cause, fails to be present or obtain an 
adjournment.



PART 907_PROCEDURE WHEN HEARING IS NOT HELD--Table of Contents



    Authority: Sec. 1106 of the Foreign Service Act of 1980, Pub. L. 96-
465 (22 U.S.C. 4136), as amended.



Sec.  907.1  General.

    (a) In a case in which a hearing is not required under Sec.  906.1 
of this chapter, the Board may request in writing that specified 
documents or other evidence be furnished to it and/or may authorize the 
executive secretary to obtain such additional documents or other 
evidence as may be necessary to understand and decide the case.
    (b) Each party will be offered the opportunity to review and to 
supplement, by written submissions, the record of proceedings, prior to 
the date fixed by the Board for closing of the Record. The Board shall 
then consider the case and make a decision based on that Record. This 
may include the ordering of a hearing in accordance with part 906.

[50 FR 31357, Aug. 2, 1985]



PART 908_REMEDIES--Table of Contents



Sec.
908.1 Board orders.
908.2 Attorney fees.
908.3 Board recommendations.

    Authority: Secs. 1106 and 1107 of the Foreign Service Act of 1980, 
Pub. L. 96-465 (22 U.S.C. 610, 4010, 4136, and 4137).

[[Page 266]]



Sec.  908.1  Board orders.

    If the Board finds that a grievance is meritorious, the Board shall 
have the authority to direct the Agency:
    (a) To correct any official personnel record relating to the 
grievant which the Board finds to be inaccurate or erroneous, to have an 
omission, or to contain information of a falsely prejudicial character;
    (b) To reverse a decision denying the grievant compensation or any 
other perquisite of employment authorized by laws or regulations when 
the Board finds that such decision was arbitrary, capricious, or 
contrary to laws or regulations;
    (c) To retain in the Service a member whose separation would be in 
consequence of the matter by which the member is aggrieved;
    (d) To reinstate the grievant, and to grant the grievant back pay, 
where it is established that the separation or suspension without pay of 
the employee was unjustified or unwarranted under the Back Pay Act (5 
U.S.C. 5596(b)(1));
    (e) To take any corrective action deemed appropriate by the Board 
provided it is not contrary to law or collective bargaining agreement.

[50 FR 31357, Aug. 2, 1985, as amended at 56 FR 55459, Oct. 28, 1991]



Sec.  908.2  Attorney fees.

    (a) If the Board finds that a grievance is meritorious or that an 
Agency has not established the cause for separation of a charged 
employee in a hearing before the Board pursuant to section 610 of the 
Act, the Board shall have the authority to direct the Agency to pay 
reasonable attorney fees to the same extent and in the same manner as 
such fees may be required by the Merit Systems Protection Board under 5 
U.S.C. 7701(g).
    (b) Requests for attorney fees, accompanied by supporting 
documentation, must be filed with the Board within thirty (30) days of 
the date of the Board's decision.

[56 FR 55459, Oct. 28, 1991]



Sec.  908.3  Board recommendations.

    (a) If the Board finds that the grievance is meritorious and that 
remedial action should be taken that relates directly to promotion, 
tenure, or assignment of the Grievant or to other remedial action not 
otherwise provided for in this section, or if the Board finds that the 
evidence in a grievance proceeding warrants disciplinary action against 
any employee of an Agency, it shall make an appropriate recommendation 
to the head of the concerned Agency.
    (b) The head of the Agency shall make a written decision on the 
recommendation of the Board within 30 days after receiving the 
recommendation and shall implement the recommendation of the Board 
except to the extent that the head of the Agency rejects the 
recommendation in whole or in part on the basis of a determination that 
implementation of the recommendation would be contrary to law or would 
adversely affect the foreign policy or national security of the United 
States. If the head of the Agency rejects the recommendation in whole or 
in part, the decision shall specify the reasons for such action. Copies 
of the decision shall be served on the other parties. Pending the 
decision of the head of the Agency, there shall be no ex parte 
communication concerning the grievance between the head of the Agency 
and any person involved in the proceedings of the Board. The head of the 
Agency shall, however, have access to the entire Record of the 
Proceedings of the Board.
    (c) A recommendation under this section shall, for the purposes of 
section 1110 of the Act, be considered a final action upon the 
expiration of a 30-day period referred to in paragraph (b) of this 
section, except to the extent that it is rejected by the head of the 
Agency by an appropriate written decision.
    (d)(1) If the head of the Agency makes a written decision under 
paragraph (b) of this section rejecting a recommendation in whole or in 
part on the basis of a determination that implementing such 
recommendation would be contrary to law, the head of the Agency shall, 
within the 30-day period referred to in paragraph (b) of this section:
    (i) Submit a copy of such decision to the Board; and

[[Page 267]]

    (ii) Request that the Board reconsider its recommendation or, if 
less than the entirety is rejected, that the Board reconsider the 
portion rejected.
    (2) Within 30 days after receiving such a request, the Board shall, 
after reviewing the head of the Agency's decision, make a recommendation 
to the head of the agency confirming, modifying, or vacating its 
original recommendation or, if less than the entirety was rejected, the 
portion involved. Reconsideration shall be limited to the question of 
whether implementing the Board's original recommendation, either in 
whole or in part, as applicable, would be contrary to law.
    (e) A Board recommendation made under the preceding paragraph (d)(2) 
of this section shall be considered a final action for the purpose of 
section 1110 of the Act, and shall be implemented by the head of the 
Agency.
    (f) The provisions of paragraphs (c), (d), and (e) of this section 
shall not apply with respect to any grievance in which the Board has 
issued a final decision pursuant to section 1107 of the Act before 
December 22, 1987.

[50 FR 31357, Aug. 2, 1985. Redesignated and amended at 56 FR 55459, 
Oct. 28, 1991]



PART 909_DECISIONMAKING--Table of Contents



Sec.
909.1 Basis.
909.2 Board order.
909.3 Board recommendation.
909.4 Other decision.
909.5 Time limits for compliance.
909.6 Summaries of Board decisions.

    Authority: Secs. 1106 and 1107, Foreign Service Act of 1980 (Pub. L. 
96-465; 22 U.S.C. 4136 and 4137).

    Source: 50 FR 31358, Aug. 2, 1985, unless otherwise noted.



Sec.  909.1  Basis.

    Decisions of the Board shall be based upon the record of 
proceedings, shall be in writing, shall include findings of fact, and 
shall include a statement of the reasons for the decision.



Sec.  909.2  Board order.

    Where the Board's decision imposes action on an Agency the decision 
shall be in the form of a remedial order addressed to the designated 
official of the Agency. A copy of the decision shall be supplied to each 
party.



Sec.  909.3  Board recommendation.

    Where the Board's decision is a recommendation, it shall be directed 
to the head of the Agency. A copy of the decision shall be supplied to 
each party.



Sec.  909.4  Other decision.

    Where the Board's decision requires no action by an Agency, the 
decision shall be forwarded to the grievant. A copy of the decision 
shall be supplied to each party.



Sec.  909.5  Time limits for compliance.

    Orders of the Board and recommendations which are not rejected in 
accordance with Sec.  908.2 of this chapter shall be complied with 
within any time limits for compliance established by the Board's 
decision, unless the Board extends the time limit on a showing of good 
cause.



Sec.  909.6  Summaries of Board decisions.

    The Board may, from time to time, issue such summaries and 
expurgated versions of its decisions as it may consider necessary to 
permit the Agencies, the exclusive representative organization(s), and 
the members of the Service to become aware of the general nature of the 
cases it has received and their manner of disposition, without invading 
the privacy of the grievants.



PART 910_MISCELLANEOUS--Table of Contents



Sec.
910.1 Requests to reopen cases.
910.2 Ex parte communications.
910.3 Board policy statements.
910.4 Confidentiality; Record of grievances awarded.
910.5 Judicial review.
910.6 Pending grievances.

    Authority: Secs. 1106, 1107, 1110, and 2401 of the Foreign Service 
Act of 1980, Pub. L. 96-465 (22 U.S.C. 4136, 4137, 4140, and 4172).



Sec.  910.1  Requests to reopen cases.

    The Board may reconsider any decision upon the presentation of newly

[[Page 268]]

discovered or previously unavailable material evidence.

[50 FR 31358, Aug. 2, 1985. Redesignated at 56 FR 55460, Oct. 28, 1991]



Sec.  910.2  Ex parte communications.

    (a) ``Ex parte communications'' are oral or written communications 
between the Board or its staff and an interested party to a proceeding 
which are made without providing the other parties a chance to 
participate.
    (b) Ex parte communications concerning the merits of any matter 
which has or may come before the Board for adjudication or which would 
otherwise contravene the rules regarding written submissions are 
prohibited until the Board renders a final decision. Any communication 
made in contravention of this rule shall be made a part of the record 
and an opportunty for rebuttal allowed. If the communication was oral, a 
memorandum stating the substance of the discussion shall be placed in 
the record.
    (c) This rule does not apply to communications concerning such 
matters as the status of a case, the methods for transmitting evidence 
to the Board, and other procedural matters which do not concern the 
merits of any matter before the Board for adjudication and which do not 
otherwise contravene the rules regarding written submissions.

[50 FR 31358, Aug. 2, 1985. Redesignated at 56 FR 55460, Oct. 28, 1991]



Sec.  910.3  Board policy statements.

    The Board may publish statements regarding policies it has 
established as to its operations and procedures.

[50 FR 31358, Aug. 2, 1985. Redesignated at 56 FR 55460, Oct. 28, 1991]



Sec.  910.4  Confidentiality; Record of grievances awarded.

    (a) To the maximum extent practicable, the Board will make every 
effort to preserve the confidentiality of the identity of the grievant 
or charged employee.
    (b) The records of the Board shall be maintained by the Board under 
appropriate safeguards to preserve confidentiality and shall be separate 
from all records of the Agencies; provided, however, that records of all 
grievances awarded in favor of the Grievant in which the grievance 
concerns gross misconduct by a supervisor shall be separately maintained 
by the Board and the procedures regarding confidentiality and disclosure 
of such records shall be as provided in section 1107(e) of the Foreign 
Service Act of 1980, as amended; and provided further, that the Board 
shall not make a finding of gross misconduct without first providing the 
supervisor whose conduct is at issue notice and an opportunity to 
respond.

[50 FR 31358, Aug. 2, 1985. Redesignated and amended at 56 FR 55460, 
Oct. 28, 1991]



Sec.  910.5  Judicial review.

    Any aggrieved party may obtain judicial review of a final action of 
an Agency head or the Board on any grievance in the district courts of 
the United States in accordance with the standards set forth in chapter 
7 of title 5 of the United States Code. 5 U.S.C. 706 shall apply without 
limitation or exception.

[50 FR 31358, Aug. 2, 1985. Redesignated at 56 FR 55460, Oct. 28, 1991]



Sec.  910.6  Pending grievances.

    Any grievance pending before the Board prior to February 15, 1981 
shall be resolved under the provisions of the Foreign Service Act of 
1946 as amended, and the regulations promulgated thereunder.

[50 FR 31358, Aug. 2, 1985. Redesignated at 56 FR 55460, Oct. 28, 1991]



PART 911_IMPLEMENTATION DISPUTES--Table of Contents



Sec.
911.1 Definition.
911.2 Filing complaint.
911.3 Procedure.
911.4 Effect of Board decision.
911.5 Arbitrability of determination.
911.6 Finality of choice.
911.7 Review.

    Authority: Sec. 1014 of the Foreign Service Act of 1980, Pub. L. 96-
465 (22 U.S.C. 4114), as amended.

    Source: 50 FR 31359, Aug. 2, 1985, unless otherwise noted.

[[Page 269]]



Sec.  911.1  Definition.

    An implementation dispute is any dispute between the agency and the 
exclusive representative, as provided in regulations adopted as a result 
of collective bargaining between the agencies and the employee 
representatives. Such a dispute, also referred to as an institutional 
dispute, is one which directly concerns the rights and obligations of an 
agency and an exclusive representative toward each other or the rights 
or obligations between an agency and one or more employees as set forth 
in a collective bargaining agreement.



Sec.  911.2  Filing complaint.

    If the dispute is not satisfactorily resolved at the agency level, 
the moving party may file a complaint within 45 calendar days from the 
date of the response (or in any case must file within 90 days of filing 
the implementation dispute) with the Board in writing and with 
specificity as to the nature of the violation.



Sec.  911.3  Procedure.

    Implementation disputes shall be handled by the Board in accordance 
with the procedures set forth in parts 901-910 of this chapter.



Sec.  911.4  Effect of Board decision.

    The action of the Board shall be final and binding and shall be 
implemented by the parties, unless an exception is filed with the 
Foreign Service Labor Relations Board within 30 days after receipt of 
the Grievance Board action.



Sec.  911.5  Arbitrability of determination.

    Questions that cannot be resolved by the parties as to whether a 
complaint is subject to this procedure may be referred by either party 
to the Grievance Board for a threshold determination.



Sec.  911.6  Finality of choice.

    An alleged violation of an institutional right as reflected in a 
collective bargaining agreement may be filed under these procedures or 
as an unfair labor practice, but not both.



Sec.  911.7  Review.

    Resolution of disputes under this section shall not be subject to 
judicial review.

                        PARTS 912	999 [RESERVED]

[[Page 271]]



                  CHAPTER X--INTER-AMERICAN FOUNDATION




  --------------------------------------------------------------------
Part                                                                Page
1000

[Reserved]

1001            Employee responsibilities and conduct.......         273
1002            Availability of records.....................         273
1003            Rules safeguarding personal information in 
                    IAF records.............................         275
1004            Rules for implementing open meetings within 
                    the Inter-American Foundation...........         281
1005            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Inter-
                    American Foundation.....................         284
1006            Governmentwide debarment and suspension 
                    (nonprocurement)........................         290
1007            Salary offset...............................         313
1008            Governmentwide requirements for drug-free 
                    workplace (financial assistance)........         317
1009-1099

 [Reserved]

[[Page 273]]

                          PART 1000 [RESERVED]



PART 1001_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents



    Authority: 5 U.S.C. 7301.



Sec.  1001.1  Cross-references to employee ethical conduct standards
and financial disclosure regulations.

    Directors and other employees of the Inter-American Foundation 
should refer to the Standards of Ethical Conduct for Employees of the 
Executive Branch at 5 CFR part 2635, the Inter-American Foundation 
regulations at 5 CFR part 7301 which supplement the executive branch 
standards, and the executive branch financial disclosure regulations at 
5 CFR part 2634.

[59 FR 3772, Jan. 27, 1994]



PART 1002_AVAILABILITY OF RECORDS--Table of Contents



Sec.
1002.1 Introduction.
1002.2 Definitions.
1002.3 Access to Foundation records.
1002.4 Written requests.
1002.5 Records available at the Foundation.
1002.6 Records of other Departments and Agencies.
1002.7 Fees.
1002.8 Exemptions.
1002.9 Denial of records; review.

    Authority: 5 U.S.C. 552, and 31 U.S.C. 483(a).

    Source: 37 FR 8375, Apr. 26, 1972, unless otherwise noted.



Sec.  1002.1  Introduction.

    (a) It is the policy of the Inter-American Foundation that 
information about its operations, procedures, and records be freely 
available to the public in accordance with the provisions of the Freedom 
of Information Act.
    (b) The Foundation will make the fullest possible disclosure of its 
information and identifiable records consistent with the provisions of 
this Act and the regulations in this part.



Sec.  1002.2  Definitions.

    As used in this part, the following words have the meaning set forth 
below:
    Act. ``Act'' means the Act of June 5, 1967, sometimes referred to as 
the ``Freedom of Information Act'' or the Public Information Section of 
the Administrative Procedure Act, as amended, Pub. L. 90-23, 81 Stat. 
54, and codified at 5 U.S.C. 552.
    Foundation. ``Foundation'' means the Inter-American Foundation.
    President. ``President'' means the President of the Foundation.
    Records. The word ``records'' includes all books, papers, or other 
documentary materials made or received by the Foundation in connection 
with the transaction of its business which have been preserved or are 
appropriate for preservation by the Foundation as evidence of the 
organization, functions, policies, decisions, procedures, operations, or 
other activities, or because of the informational value of data 
contained therein. Library or other material acquired and preserved 
solely for reference or exhibition purposes, and stocks of publications 
and processed documents are not included within the definition of the 
word ``records.''



Sec.  1002.3  Access to Foundation records.

    Any person desiring to have access to Foundation records should call 
or apply in person between the hours of 9 a.m. and 5 p.m. on weekdays 
(holidays excluded) at the Foundation offices at 901 N. Stuart St., 10th 
Floor, Arlington, VA 22203. Requests for access should be made to the 
General Counsel, Office of the General Counsel () at the Foundation 
offices. If request is made for copies of any record, the General 
Counsel's Office will assist the person making such request in seeing 
that such copies are provided according to the rules in this part.

[37 FR 8375, Apr. 26, 1972, as amended at 71 FR 63235, Oct. 30, 2006]



Sec.  1002.4  Written requests.

    In order to facilitate the processing of written requests, every 
petitioner should:
    (a) Address his request to:

General Counsel, Inter-American Foundation, 901 N. Stuart St., 10th 
Floor, Arlington, VA 22203.

    (b) Identify the desired record by name or brief description, or 
number,

[[Page 274]]

and date, as applicable. The identification should be specific enough so 
that a record can be readily identified and found;
    (c) Include a check or money order to the order of the ``Inter-
American Foundation'' covering the appropriate search and copying fees, 
or request a determination of fee;
    (d) Allow a reasonable amount of time for reply. Furnishing the 
requested information will involve search and retrieval of records, 
copying and mailing;
    (e) Blanket requests or requests for ``the entire file of'' or ``all 
matters relating to'' a specified subject will not be accepted.

[37 FR 8375, Apr. 26, 1972, as amended at 71 FR 63236, Oct. 30, 2006]



Sec.  1002.5  Records available at the Foundation.

    The General Counsel's Office will make available, to the extent not 
authorized to be withheld, the following works or classes of 
information:
    (a) A copy of Agency regulations, including a copy of title 22 of 
the Code of Federal Regulations, or of any other title of the Code in 
which Agency regulations may have been published;
    (b) Final unclassified reports;
    (c) Copies of grants, loans, or other agreements in force;
    (d) Personnel information affecting the public;
    (e) Procurement information affecting the public;
    (f) Contracts;
    (g) Reimbursable agreements with other agencies.

[37 FR 8375, Apr. 26, 1972, as amended at 71 FR 63236, Oct. 30, 2006]



Sec.  1002.6  Records of other Departments and Agencies.

    Requests for records that have been originated by or are primarily 
the concern of another U.S. Department or Agency will be forwarded to 
the particular Department of Agency involved, and the petitioner 
notified. In response to requests for records or publications published 
by the Government Printing Office or other Government printing activity, 
the Foundation will refer the petitioner to the appropriate sales office 
and refund any fee payments therefor which accompany the request.



Sec.  1002.7  Fees.

    Except as otherwise specifically provided by the Foundation, a fee 
will be levied for all searches for, or copies of, records. These fees 
will be computed so as to recover the full cost of searching and 
copying.
    (a) Advance payment and deposits. When the amount of a fee can be 
readily computed (as, for example, when a specified number of copy pages 
are requested) advance payment will be required. When the amount cannot 
be readily computed (as, for example, when an unknown amount of 
stafftime must be used in complying with a request), the General Counsel 
may require payment of a reasonable deposit before undertaking to 
collect the requested records. At the earliest practicable time, the 
General Counsel will determine the full amount of the fee and, before 
complying fully with the request, will require payment of any balance 
due or refund any overpayment.
    (b) Schedule of fees. The following fees apply for services rendered 
to the public:

(1) Searching for records and collateral assistance, per hour or   $5.00
 fraction thereof...............................................
(2) Making copies (Xerox or comparable) per page................    0.40
 


Should a situation arise which is not covered by the above schedule, the 
fee to be charged will include all direct and indirect costs of the 
service, including but not limited to materials, labor, and the like. 
The amount of the fee including charges, if any, for records printed by 
contractors or grantees will be determined by the A&F Director.
    (c) Revision of schedule. The fee schedule will be revised from time 
to time, without notice, to assure recovery of the cost of rendering 
information services to any person. The revised schedule will be 
available without charge.

[37 FR 8375, Apr. 26, 1972, as amended at 71 FR 63236, Oct. 30, 2006]



Sec.  1002.8  Exemptions.

    The Act authorizes exemption from disclosure of records and 
information concerning matters that are:

[[Page 275]]

    (a) Specifically required by Executive order to be exempt from 
disclosure in the interest of the national defense or foreign policy;
    (b) Related solely to the internal personnel rules and practices by 
the Foundation;
    (c) Specifically exempted from disclosure by statute;
    (d) Trade secrets and commercial or financial information obtained 
from any person which is privileged or confidential;
    (e) Interagency or intra-agency memoranda or letters which would not 
be available by law to a private party in litigation with the 
Foundation;
    (f) Personnel and medical files and similar files the disclosure of 
which would constitute an unwarranted invasion of personal privacy;
    (g) Investigatory files (including security investigation files and 
files concerning the conduct of employees) compiled for law enforcement 
purposes except to the extent available by law to a private party.


The Foundation will not honor requests for exempt records or 
information.



Sec.  1002.9  Denial of records; review.

    If a request for records is denied, the person who made the request 
is entitled to have the denial reviewed by the Foundation President as 
promptly as circumstances permit. If the President determines that the 
withholding is improper, he will direct in writing that the requested 
records be made available in accordance with these regulations. If he 
determines that the withholding is proper, he will so notify such person 
in writing, and his determination will constitute the final Foundation 
decision.



PART 1003_RULES SAFEGUARDING PERSONAL INFORMATION IN IAF RECORDS-
-Table of Contents



Sec.
1003.1 General policies, conditions of disclosure, accounting of certain 
          disclosures, and definitions.
1003.2 Definitions.
1003.3 Access to records.
1003.4 Inter-American Foundation system of records requirements.
1003.5 Access to personal information from Inter-American Foundation 
          records.
1003.6 Administrative review.
1003.7 Judicial review.
1003.8 Exemptions.
1003.9 Mailing lists.
1003.10 Reports.

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

    Source: 41 FR 19211, May 11, 1976, unless otherwise noted.



Sec.  1003.1  General policies, conditions of disclosure, accounting
of certain disclosures, and definitions.

    (a) The Inter-American Foundation will safeguard an individual 
against an invasion of personal privacy. Except as otherwise provided by 
law or regulation its officials and employees will:
    (1) Permit an individual to determine what records pertaining to him 
or her will be collected, maintained, used, or disseminated by the 
Inter-American Foundation.
    (2) Permit an individual to prevent records pertaining to him or 
her, obtained by the Inter-American Foundation for a particular purpose, 
from being used or made available for another purpose without his or her 
consent.
    (3) Permit an individual to gain access to information pertaining to 
him or her in the Inter-American Foundation records, to have a copy made 
of all or any portion thereof, and to correct or amend such records.
    (4) Collect, maintain, use or disseminate any record of identifiable 
personal information in a manner that assures that such action is for a 
necessary and lawful purpose, that the information is correct and 
accurate for its intended use, and that adequate safeguards are provided 
to prevent misuse of such information.
    (5) Permit exemptions from records requirements provided in 5 U.S.C. 
552a only where an important public policy need for such exemption has 
been determined pursuant to specific statutory authority.
    (b) The Inter-American Foundation will not disclose any record 
contained in a system of records by any means of communication to any 
person or any other agency except by written request of or prior written 
consent of the individual to whom the record pertains unless such 
disclosure is:

[[Page 276]]

    (1) To those officers and employees of the agency which maintains 
the record and who have a need for the record in the performance of 
their duties;
    (2) Required under 5 U.S.C. 552;
    (3) For a routine use of the record compatible with the purpose for 
which it was collected;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to title 13, United 
States Code;
    (5) To a recipient who has provided the Inter-American Foundation 
with advance adequate written assurance that the record will be used 
solely as a statistical research or reporting record, and the record is 
to be transferred in a form that is not individually identifiable;
    (6) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the U.S. Government, or for evaluation by the 
Administrator of General Services or designee to determine whether the 
record has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authority 
by law, and if the head of the agency or instrumentality has made a 
written request to the Inter-American foundation specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought;
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (9) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (10) To the Comptroller General, or any authorized representatives 
in the course of the performance of the duties of the General Accounting 
Office; or
    (11) Pursuant to the order of a court of competent jurisdiction.
    (c) With respect to each system of records (i.e., a group of records 
from which information is retrieved by the name of the individual or by 
some identifying number, symbol, or other identifying particular 
assigned to the individual) under Inter-American foundation control the 
Inter-American Foundation will (except for disclosures made under 
paragraph (b) (1) or (2) of this section) keep an accurate accounting as 
follows:
    (1) For each disclosure of a record to any person or to another 
agency made under paragraph (b) of this section, maintain information 
consisting of the date, nature, and purpose of each disclosure, and the 
name and address of the person or agency to whom the disclosure is made;
    (2) Retain the accounting made under paragraph (c)(1) of this 
section for at least 5 years or the life of the record, whichever is 
longer, after the disclosures for which the accounting is made;
    (3) Except for disclosures made under paragraph (b)(7) of this 
section, make the accounting under paragraph (c)(1) of this section 
available to the individual named in the record at his or her request; 
and
    (4) Inform any person or other agency about any correction or 
notation of dispute made by the agency of any record that has been 
disclosed to the person or agency if an accounting of the disclosure was 
made.
    (d) The parent of any minor, or the legal guardian of any individual 
who has been declared incompetent due to physical or mental incapacity 
or age by a court of competent jurisdiction, may act on behalf of the 
individual.
    (e) Section 552a(e), title 5, United States Code, provided that:
    (1) Any officer or employee of the Inter-American Foundation, who by 
virtue of his or her employment or official position, has possession of, 
or access to, Inter-American Foundation records which contain 
individually identifiable information the disclosure of which is 
prohibited by 5 U.S.C. 552a and who knowing that disclosure of the 
specific material is so prohibied, willfully discloses the material in 
any manner to any person or agency not entitled to receive it, shall be 
guilty of

[[Page 277]]

a misdemeanor and fined not more than $5,000.
    (2) Any officer or employee of the Inter-American Foundation who 
willfully maintains a system of records without meeting the notice 
requirements of 5 U.S.C. 552a(e)(4) shall be guilty of a misdemeanor and 
fined not more than $5,000.
    (3) Any person who knowingly and willfully requests or obtains any 
record concerning an individual from the Inter-American Foundation under 
false pretenses shall be guilty of a misdemeanor and fined not more than 
$5,000.



Sec.  1003.2  Definitions.

    The following definitions apply:
    (a) The term agency includes any executive department, military 
department, Government corporation, Government controlled corporation, 
or other establishment in the executive branch of the government 
(including the Executive Office of the President), or any independent 
regulatory agency.
    (b) The term individual means a citizen of the United States or an 
alien lawfully admitted for permanent residence.
    (c) The term maintain includes maintain, collect, use, or 
disseminate.
    (d) The term record means any item, collection, or grouping of 
information about an individual that is maintained by an agency, 
including, but not limited to, his or her educational, financial 
transactions, medical history, and criminal or employment history and 
that contains his or her name, or the identifying number, symbol, or 
other identifying particular assigned to the individual, such as a 
finger or voice print or a photograph.
    (e) The term system of records means a group of any records under 
the control of any agency from which information is retrieved by the 
name of the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.
    (f) The term statistical record means a record in a system of 
records maintained for statistical research or reporting purposes only 
and not used in whole or in part in making any determination about an 
identifiable individual except as provided by section 8 of title 13, 
United States Code.
    (g) The term routine use means, with respect to the disclosure or a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.



Sec.  1003.3  Access to records.

    (a) Except as otherwise provided by law or regulation any individual 
upon request may gain access to his or her record or to any information 
pertaining to him or her which is contained in any system or records 
maintained by the Inter-American Foundation. The individual will be 
permitted, and upon his or her request, a person of his or her own 
choosing permitted 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. The Inter-American foundation will require, however, a 
written statement from the individual authorizing discussion of that 
individual's record in the accompanying person's presence.
    (b) Any individual may request amendment of any Inter-American 
Foundation record pertaining to him or her. Not later than 10 days 
(excluding Saturdays, Sundays, and legal public holidays) after the date 
of receipt of such request, the Inter-American Foundation will 
acknowledge in writing such receipt. The Inter-American Foundation will 
also promptly either:
    (1) Correct any part thereof which the individual believes is not 
accurate, relevant, timely, or complete; or
    (2) Inform the individual of the Inter-American Foundation's refusal 
to amend the record in accordance with his or her request, the reason 
for the refusal, the procedures by which the individual may request a 
review of that refusal by the Administrator or designee, and the name 
and address of such official.
    (c) Any individual who disagrees with the Inter-American 
Foundation's refusal to amend his or her record may request a review of 
such refusal. The Inter-American Foundation will complete such review 
not later than 30 days (excluding Saturdays, Sundays, and legal public 
holidays) from the date on which the individual requests

[[Page 278]]

such review and make a final determination unless, for good cause shown, 
the Administrator extends such 30-day period. If, after review, the 
Administrator or designee also refuses to amend the record in accordance 
with the request the individual will be advised of the right to file 
with the Inter-American Foundation a concise statement setting forth the 
reasons for his or her disagreement with the Inter-American Foundation's 
refusal, and also advised of the provisions for judicial review of the 
reviewing official's determination (5 U.S.C. 552a(g)(1)(A)).
    (d) In any disclosure, containing information about which the 
individual has filed a statement of disagreement, occurring after the 
filing of the statement under paragraph (c) of this section, the Inter-
American Foundation will clearly note any part of the record which is 
disputed and provide copies of the statement (and, if the Inter-American 
Foundation deems it appropriate, copies also of a concise statement of 
the Inter-American Foundation's reasons for not making the amendments 
requested) to persons or other agencies to whom the disputed record has 
been disclosed.
    (e) Nothing in 5 U.S.C. 552a, however, allows an individual access 
to any information compiled in reasonable anticipation of a civil action 
or proceeding.

[41 FR 19211, May 11, 1976, as amended at 42 FR 37368, July 21, 1977]



Sec.  1003.4  Inter-American Foundation system of records requirements.

    (a) The Inter-American Foundation will maintain in its records any 
such information about an individual as is relevant and necessary to 
accomplish a purpose of the Inter-American Foundation required to be 
accomplished by statute or Executive order of the President.
    (b) The Inter-American Foundation will collect information to the 
greatest extent practicable directly from the subject individual when 
the information may result in adverse determinations about an 
individual's rights, benefits, and privileges under Federal programs.
    (c) The Inter-American Foundation will inform each individual whom 
it asks to supply information, 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 (whether granted by statute or Executive order of 
the President) which authorizes 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 on him or her, if any, of not providing all or any 
part of the requested information.
    (d) Subject to the provisions of paragraph (k) of this section, the 
Inter-American Foundation will publish in the Federal Register at least 
annually a notice of the existence and character of its system of 
records. This notice will include:
    (1) The name and location of the system or systems;
    (2) The categories of individuals on whom records are maintained in 
the system or systems;
    (3) The categories of records maintained in the system or systems;
    (4) Each routine use of the records contained in the system or 
systems, including the categories of users and the purpose of such use;
    (5) The policies and practices of the Inter-American Foundation 
regarding storage, retrievability, access controls, retention, and 
disposal of the records;
    (6) The title and business address of the Inter-American Foundation 
official or officials responsible for the system or systems of records;
    (7) The Inter-American Foundation procedures whereby an individual 
can be notified at his or her request if the system or systems of 
records contain a record pertaining to him or her;
    (8) The Inter-American Foundation procedures whereby an individual 
can be notified at his or her request how he or she can gain access to 
any record pertaining to him or her contained in the system or systems 
of records, and how he or she can contest its content; and

[[Page 279]]

    (9) The categories of sources of records in the system or systems.
    (e) All records used by the Inter-American Foundation in making any 
determination about any individual will be maintained with the accuracy, 
relevance, timeliness, and completeness reasonably necessary to assure 
fairness to the individual in the determination.
    (f) Before disseminating any record about any individual to any 
person other than an agency the Inter-American Foundation will make 
reasonable efforts to assure that such records are accurate, complete, 
timely, and relevant for Inter-American Foundation purposes unless the 
dissemination is required pursuant to 5 U.S.C. 552.
    (g) The Inter-American Foundation will maintain no record describing 
how any individual exercises rights guaranteed by the First Amendment 
unless expressly authorized by statute or by the individual about whom 
the record is maintained or unless pertinent to and within the scope of 
an authorized law enforcement activity.
    (h) The Inter-American Foundation will make reasonable efforts to 
serve notice on an individual when any record on such individuals is 
made available to any person under compulsory legal process when such 
process becomes a matter of public record.
    (i) The Inter-American Foundation will establish rules of conduct 
for persons involved in the design, development, operation, or 
maintenance of any system of records, or in maintaining any record. Each 
such person will be instructed regarding such rules and the requirements 
of 5 U.S.C. 552a. The instruction will include any other rules and 
procedures adopted pursuant to 5 U.S.C. 552a, and the penalties it 
provides for noncompliance.
    (j) The Inter-American Foundation will establish appropriate 
administrative, technical, and physical safeguards to insure the 
security and confidentiality of records and to protect against any 
anticipated threats or hazards to their security or integrity which 
could result in substantial harm, embarrassment, inconvenience, or 
unfairness to any individual on whom information is maintained.
    (k) At least 30 days prior to the publication of a notice in the 
Federal Register at least annually regarding the routine use of the 
records contained in the Inter-American Foundation system or systems of 
records including the categories of users and the purpose of such use, 
pursuant to paragraph (d)(4) of this section, the Inter-American 
Foundation will also:
    (1) Publish a notice in the Federal Register of any new use or 
intended use of the information in the system or systems; and
    (2) Provide an opportunity for interested persons to submit written 
data, views, or arguments to the Inter-American Foundation.



Sec.  1003.5  Access to personal information from Inter-American
Foundation records.

    (a) The Inter-American Foundation will promulgate regulations, as 
necessary, to insure compliance with the provisions of 5 U.S.C. 552a, 
developed in accordance with the provisions of 5 U.S.C. 553, as 
applicable.
    (b) Any individual will be notified upon request if any Inter-
American Foundation system of records named contains a record pertaining 
to him or her. Such request must be in writing over the signature of the 
requester. The request must contain a reasonable description of the 
Inter-American Foundation system or systems of records meant, as 
described at least annually by notice published in the Federal Register 
describing the existence and character of the Inter-American 
Foundation's system or systems of records. The request should be made to 
the Executive Officer, Inter-American Foundation, 1515 Wilson Boulevard, 
Rosslyn, Virginia 22209. Personal contacts should normally be made 
during the regular duty hours of the office concerned, which are 8:30 
a.m. to 4:00 p.m. Monday through Friday. Identification of the 
individual requesting the information will be required consisting of 
name, signature, address, and claim, insurance or other identifying file 
number, if any, as a minimum.
    (c) The department or staff office having jurisdiction over the 
records involved will establish appropriate disclosure procedures and 
will notify the

[[Page 280]]

individual requesting disclosure of his or her record or information 
pertaining to him or her of the time, place and conditions under which 
the Inter-American Foundation will comply to the extent permitted by law 
and Inter-American Foundation regulation. Special procedures will be 
established by the department or staff office concerned governing the 
disclosure to an individual of medical records, including psychological 
records pertaining to him or her.
    (d) The department or staff office having jurisdiction over the 
records involved will also establish procedures for reviewing a request 
from an individual concerning the amendment of any record or information 
pertaining to the individual for making a determination on the request, 
for an appeal within the Inter-American Foundation of an initial adverse 
Inter-American Foundation determination, and for whatever additional 
means may be necessary for each individual to be able to exercise fully 
his or her rights under 5 U.S.C. 552a.
    (e) Fees to be charged, if any, to any individual for making copies 
of his or her record, excluding the cost of any search for and review of 
the record, will be as follows:
    (1) Photocopy reproductions from all types of copying processes, 
each reproduction image, $0.05.
    (2) Where the Inter-American Foundation undertakes to perform for a 
requester or for any other person services which are very clearly not 
required to be performed under section 552a, title 5, United States 
Code, either voluntarily or because such services are required by some 
other law (e.g., the formal certification of records as true copies, 
attestation under the seal of the Inter-American Foundation, etc.), the 
question of charging fees for such services will be determined by the 
official or designee authorized to release the information under Sec.  
1.556, in the light of the Federal user charge statute, 31 U.S.C. 483a, 
and any other applicable law.



Sec.  1003.6  Administrative review.

    (a) Upon denial of a request, the responsible Inter-American 
Foundation official or designated employee will inform the requester in 
writing of the denial, cite the reason or reasons and the Inter-American 
Foundation regulations upon which the denial is based, and advise that 
the denial may be appealed to the Administrator.
    (b) The final agency decision in such appeals will be made by the 
Administrator or Deputy Administrator.



Sec.  1003.7  Judicial review.

    Any person may file a complaint against the Inter-American 
Foundation in the appropriate U.S. district court, as provided in 5 
U.S.C. 552a(g), whenever the Inter-American Foundation:
    (a) Makes a determination not to amend an individual's record in 
accordance with his or her request, or fails to make such review in 
conformity with that section;
    (b) Refuses to comply with an individual request;
    (c) Fails to maintain any record concerning any individual with such 
accuracy, relevance, timeliness, and completeness as is necessary to 
assure fairness in any determination relating to the qualifications, 
character, rights, or opportunities of, or benefits to the individual 
that may be made on the basis of such record, and consequently a 
determination is made which is adverse to the individual; or
    (d) Fails to comply under any other provision of 5 U.S.C. 552a, or 
any Inter-American Foundation regulation promulgated thereunder, in such 
a way as to have an adverse effect on an individual.



Sec.  1003.8  Exemptions.

    No Inter-American Foundation records system or systems as such are 
exempted from the provisions of 5 U.S.C. 552a as permitted under certain 
conditions by 5 U.S.C. 552a (j) and (k).



Sec.  1003.9  Mailing lists.

    An individual's name and address may not be sold or rented by the 
Inter-American Foundation unless such action is specifically authorized 
by law. This section does not require the withholding of names and 
addresses otherwise permitted to be made public.

[[Page 281]]



Sec.  1003.10  Reports.

    (a) The Administrator or designee will provide adequate advance 
notice to Congress and the Office of Management and Budget of any 
proposal to establish or alter any Inter-American Foundation system or 
systems of records, as required by 5 U.S.C. 552a(o). This will permit an 
evaluation of the probable or potential effect of such proposal on the 
privacy and other personal or property rights of individuals or the 
disclosure of information relating to such individuals, and its effect 
on the preservation of the constitutional principles of federalism and 
separation of powers.
    (b) If at any time an Inter-American Foundation system or systems of 
records is determined to be exempt from the application of 5 U.S.C. 552a 
in accordance with the provisions of 5 U.S.C. 552a (j) and (k), the 
number of records contained in such system or systems will be separately 
listed and reported to the Office of Management and Budget in accordance 
with the then prevailing guidelines and instructions of that agency.



PART 1004_RULES FOR IMPLEMENTING OPEN MEETINGS WITHIN THE INTER-AMERICAN
FOUNDATION--Table of Contents



Sec.
1004.1 General policies.
1004.2 Definitions.
1004.3 Requirement of open meetings.
1004.4 Grounds on which meetings may be closed.
1004.5 Procedures for announcing meetings.
1004.6 Procedures for closing meetings.
1004.7 Reconsideration of opening or closing of meeting.
1004.8 Transcripts, recording of closed meeting.

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

    Source: 71 FR 63237, Oct. 30, 2006, unless otherwise noted.



Sec.  1004.1  General policies.

    The Inter-American Foundation (IAF) will, in accordance with the 
Government in the Sunshine Act, 5 U.S.C. 552b, provide the public with 
the fullest practical information regarding its decisionmaking processes 
while protecting the rights of individuals and its ability to carry out 
its responsibilities.



Sec.  1004.2  Definitions.

    The following definitions apply:
    (a) Agency includes any executive department, military department, 
government corporation, government controlled corporation other 
establishment in the executive branch of the government (including the 
Executive Office of the President) or any independent regulatory agency, 
and is headed by a collegial body composed of two or more individual 
members, a majority of whom are appointed to such position by the 
President with the advice and consent of the Senate, and any subdivision 
thereof authorized to act on behalf of the agency. The Inter-American 
Foundation is a government corporation headed by a nine-member Board of 
Directors, all of whom are appointed by the President with the advice 
and consent of the Senate, and is therefore an ``agency'' under these 
terms.
    (b) Meeting means the deliberation of this Board of Directors where 
such deliberation determines or results in the joint conduct or 
disposition of official IAF business, but does not include deliberations 
required or permitted by subsection 1004.6 or 1004.7.
    (c) Member means an individual who belongs to the IAF Board of 
Directors.
    (d) Public Observation means attendance at any meeting but does not 
include participation, or attempted participation, in such meeting in 
any matter.



Sec.  1004.3  Requirement of open meetings.

    Members shall not jointly conduct or dispose of agency business 
other than in accordance with this section. Except as provided in Sec.  
1004.4 every portion of every meeting of the agency shall be open to 
public observation.



Sec.  1004.4  Grounds on which meetings may be closed.

    The IAF shall open every portion of every meeting of the agency for 
public observation. Except in a case where the agency finds that the 
public interest requires otherwise, this requirement

[[Page 282]]

does not apply where the agency determines that such portion or portions 
of its meeting or the disclosure of such information is likely to:
    (a) Disclose matters that are:
    (1) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interests of national defense 
or foreign policy, and
    (2) In fact, properly classified pursuant to such Executive order;
    (b) Relate solely to the internal personnel rules and practice of 
the agency;
    (c) Disclose matters specifically exempted from disclosure by 
statute, provided that such statute:
    (1) Requires that the matters be withheld from the public in such 
manner as to have no discretion on the issue, or
    (2) Establishes practical criteria for withholding or refers to 
particular types of matters to be withheld;
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (e) Involve accusing any person of a crime, or formally censuring 
any person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings,
    (2) Deprive a person of a right to a fair trial of an impartial 
adjudication,
    (3) Constitute an unwarranted invasion of personal privacy,
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, information furnished by a 
confidential source,
    (5) Disclose investigative techniques and procedures, or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Disclose information 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) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed agency 
action. This shall not apply in any instance where the IAF has already 
disclosed to the public the content or nature of its proposed action or 
where the IAF is required by law to make such disclosure of its own 
initiative prior to taking final IAF action on such proposal;
    (j) Specifically concern the IAF's issuance of subpoena, or the 
IAF's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the IAF of a particular case of 
formal agency adjudication pursuant to the procedures in section 554 of 
this title or otherwise involving a determination on the record after 
opportunity for a hearing.

    Note to Sec.  1004.4: The requirements of Sec. Sec.  1004.5 and 
1004.6 shall not apply to any information pertaining to those meetings 
exempted under this section.



Sec.  1004.5  Procedures for announcing meetings.

    (a) In the case of each meeting, the IAF shall make public, at least 
one week before the meeting, of the time, place and subject matter of 
the meeting, whether it is to be open or closed to the public, and the 
name and phone number of the official designated by the IAF to respond 
to requests for information about the meeting. Such announcement shall 
be made unless a majority of the Board of Directors of the IAF 
determines by a recorded vote that the IAF requires that such a meeting 
be called at an earlier date, in which case the IAF shall make public 
announcement of the time, place and subject matter of such meeting and 
whether open or closed to the public, at the earliest practical time.
    (b) Immediately following the public announcement, the IAF will 
submit notice for publication in the Federal Register.

[[Page 283]]

    (c) The IAF shall also make public the announcement by other 
reasonable means, accessible to the public.



Sec.  1004.6  Procedures for closing meetings.

    (a) The closing of a meeting or a portion of a meeting shall occur 
only when:
    (1) A majority of the membership of the IAF Board votes to take such 
action. That vote shall determine whether or not any portion or portions 
of a meeting or portions of a series of meetings may be closed to public 
observation for any of the reasons provided in Sec.  1004.4 and whether 
or not the public interest nevertheless requires that portion of the 
meeting or meetings remain open. A single vote may be taken with respect 
to a series of meetings, a portion or portions of which are proposed to 
be closed to the public, or with respect to any information concerning 
such series of meetings, so long as each meeting in such series involves 
the same particular matters and is scheduled to be held no more than 
thirty days after the initial meeting in such series. The vote of each 
Board member participating in such vote shall be recorded and no proxies 
shall be allowed.
    (2) Whenever any person whose interests may be directly affected by 
a portion of a meeting requests that the IAF close such portion to the 
public for any of the reasons referred to in Sec.  1004.4 the IAF, upon 
request of any one of its Board members, shall take a recorded vote, 
whether to close such portion of the meeting.
    (b) Within one day of any vote taken pursuant to this Section, the 
IAF shall make publicly available a written copy of such vote reflecting 
the vote of each member on the question and full written explanation of 
its action closing the entire or portion of the meeting together with a 
list of persons expecting to attend the meeting and their affiliation.
    (c) The IAF shall, subject to change, announce the time, place and 
subject matter of the meeting at least 7 days before the meeting.
    (d) For every closed meeting pursuant to Sec.  1004.4, the General 
Counsel of the IAF shall publicly certify prior to a Board of Directors' 
vote on closing the meeting, that, in his or her opinion, the meeting 
may be closed to the public and shall state each relevant exemptive 
provision. A copy of such certification, together with a statement from 
the presiding officer of the meeting setting forth the time and place of 
the meeting, and the persons present, shall be retained by the IAF.



Sec.  1004.7  Reconsideration of opening or closing of meeting.

    The time or place of a Board meeting may be changed, without vote, 
following public announcement. The IAF will announce any such change at 
the earliest practicable time. The subject matter of a meeting, or the 
determination of the agency to open or close a meeting, or portion of a 
meeting, to the public, may be changed only if a majority of the Board 
of Directors determines by a recorded vote that IAF business so requires 
and that no earlier announcement of the change was possible, and the IAF 
publicly announces such change and the vote of each member upon such 
change at the earliest practicable time.



Sec.  1004.8  Transcripts, recording of closed meetings.

    (a) The IAF shall maintain a complete transcript or electronic 
recording adequate to record fully the proceedings of each meeting, or 
portion of a meeting, closed to the public, except that in the case of a 
meeting, or portion of a meeting, closed to the public pursuant to 
paragraph (d), (h), or (j) of Sec.  1004.4, the IAF shall maintain 
either such a transcript or recording, or a set of minutes. Such records 
shall fully and clearly describe all matters discussed and shall provide 
a full and accurate summary of any actions taken, and the reasons 
therefore, including a description of each of the views expressed on any 
item and the record of any roll call vote (reflecting the vote of each 
member on the question). All documents considered in connection with any 
action shall be identified in such records.
    (b) The IAF, after review by the General Counsel shall make promptly

[[Page 284]]

available to the public, in a place easily accessible to the public, the 
transcript or electronic recording or minutes of the discussion of any 
time on the agenda, or any item of the testimony of any witness received 
at the Board meeting, except for such item or items of such discussion 
or testimony as the IAF determines to contain information which may be 
withheld under Sec.  1004.4. Copies of such transcript, or a 
transcription of such recording disclosing the identity of each speaker, 
shall be furnished to any person at the actual cost of duplication or 
transcription. The IAF shall maintain a complete verbatim copy of the 
transcript, a complete copy of the minutes or a complete electronic 
recording of each meeting, or portion of a meeting, closed to the 
public, for a period of at least two years after such meeting, or until 
one year after the conclusion or any IAF proceedings with respect to 
which the meeting or portion was held, whichever occurs later.



PART 1005_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE INTER-AMERICAN FOUNDATION-
-Table of Contents



Sec.
1005.101 Purpose.
1005.102 Application.
1005.103 Definitions.
1005.104-1005.109 [Reserved]
1005.110 Self-evaluation.
1005.111 Notice.
1005.112-1005.129 [Reserved]
1005.130 General prohibitions against discrimination.
1005.131-1005.139 [Reserved]
1005.140 Employment.
1005.141-1005.148 [Reserved]
1005.149 Program accessibility: Discrimination prohibited.
1005.150 Program accessibility: Existing facilities.
1005.151 Program accessibility: New construction and alterations.
1005.152-1005.159 [Reserved]
1005.160 Communications.
1005.161-1005.169 [Reserved]
1005.170 Compliance procedures.
1005.171-1005.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22890, 22896, June 23, 1986, unless otherwise noted.



Sec.  1005.101  Purpose.

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



Sec.  1005.102  Application.

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



Sec.  1005.103  Definitions.

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

[[Page 285]]

    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can acheive the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.  1005.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.

[[Page 286]]



Sec. Sec.  1005.104-1005.109  [Reserved]



Sec.  1005.110  Self-evaluation.

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



Sec.  1005.111  Notice.

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



Sec. Sec.  1005.112-1005.129  [Reserved]



Sec.  1005.130  General prohibitions against discrimination.

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

[[Page 287]]

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



Sec. Sec.  1005.131-1005.139  [Reserved]



Sec.  1005.140  Employment.

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



Sec. Sec.  1005.141-1005.148  [Reserved]



Sec.  1005.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1005.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1005.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1005.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens

[[Page 288]]

but would nevertheless ensure that handicapped persons receive the 
benefits and services of the program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  1005.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to handicapped 
persons. In cases where a physical alteration to an historic property is 
not required because of Sec.  1005.150(a)(2) or (a)(3), alternative 
methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  1005.151  Program accessibility: New construction and alterations.

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

[[Page 289]]



Sec. Sec.  1005.152-1005.159  [Reserved]



Sec.  1005.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1005.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.  1005.161-1005.169  [Reserved]



Sec.  1005.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The General Counsel, Inter-American Foundation, shall be 
responsible for coordinating implementation of this section. Complaints 
may be sent to 901 N. Stuart St., 10th Floor, Arlington, VA 22203.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of

[[Page 290]]

the Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not 
readily accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1005.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 22890, 22896, June 23, 1986, as amended at 51 FR 22891, June 23, 
1986; 71 FR 63236, Oct. 30, 2006]



Sec. Sec.  1005.171-1005.999  [Reserved]



PART 1006_GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)-
-Table of Contents



Sec.
1006.25 How is this part organized?
1006.50 How is this part written?
1006.75 Do terms in this part have special meanings?

                            Subpart A_General

1006.100 What does this part do?
1006.105 Does this part apply to me?
1006.110 What is the purpose of the nonprocurement debarment and 
          suspension system?
1006.115 How does an exclusion restrict a person's involvement in 
          covered transactions?
1006.120 May we grant an exception to let an excluded person participate 
          in a covered transaction?
1006.125 Does an exclusion under the nonprocurement system affect a 
          person's eligibility for Federal procurement contracts?
1006.130 Does exclusion under the Federal procurement system affect a 
          person's eligibility to participate in nonprocurement 
          transactions?
1006.135 May the Inter-American Foundation exclude a person who is not 
          currently participating in a nonprocurement transaction?
1006.140 How do I know if a person is excluded?
1006.145 Does this part address persons who are disqualified, as well as 
          those who are excluded from nonprocurement transactions?

                     Subpart B_Covered Transactions

1006.200 What is a covered transaction?
1006.205 Why is it important to know if a particular transaction is a 
          covered transaction?
1006.210 Which nonprocurement transactions are covered transactions?
1006.215 Which nonprocurement transactions are not covered transactions?
1006.220 Are any procurement contracts included as covered transactions?
1006.225 How do I know if a transaction in which I may participate is a 
          covered transaction?

    Subpart C_Responsibilities of Participants Regarding Transactions

                    Doing Business With Other Persons

1006.300 What must I do before I enter into a covered transaction with 
          another person at the next lower tier?
1006.305 May I enter into a covered transaction with an excluded or 
          disqualified person?
1006.310 What Must I do if a Federal agency excludes a person with whom 
          I am already doing business in a covered transaction?
1006.315 May I use the services of an excluded person as a principal 
          under a covered transaction?

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1006.320 I verify that principals of my covered transactions are 
          eligible to participate?
1006.325 What happens if I do business with an excluded person in a 
          covered transaction?
1006.330 What requirements must I pass down to persons at lower tiers 
          with whom I intend to do business?

            Disclosing Information--Primary Tier Participants

1006.335 What information must I provide before a covered transaction 
          with the Inter-American Foundation?
1006.340 If I disclose unfavorable information required under Sec.  
          1006.335, will I be prevented from participating in the 
          transaction?
1006.345 What happens if I fail to disclose the information required 
          under Sec.  1006.335?
1006.350 What must I do if I learn of the information required under 
          Sec.  1006.335 after entering into a covered transaction with 
          the Inter-American Foundation?

             Disclosing Information--Lower Tier Participants

1006.355 What information must I provide to a higher tier participant 
          before entering into a covered transaction with that 
          participant?
1006.360 What happens if I fail to disclose the information required 
          under Sec.  1006.355?
1006.365 What must I do if I learn of information required under Sec.  
          1006.355 after entering into a covered transaction with a 
          higher tier participant?

   Subpart D_Responsibilities of Inter-American Foundation Officials 
                         Regarding Transactions

1006.400 May I enter into a transaction with an excluded or disqualified 
          person?
1006.405 May I enter into a covered transaction with a participant if a 
          principal of the transaction is excluded?
1006.410 May I approve a participant's use of the services of an 
          excluded person?
1006.415 What must I do if a Federal agency excludes the participant or 
          a principal after I enter into a covered transaction?
1006.420 May I approve a transaction with an excluded or disqualified 
          person at a lower tier?
1006.425 When do I check to see if a person is excluded or disqualified?
1006.430 How do I check to see if a person is excluded or disqualified?
1006.435 What must I require of a primary tier participant?
1006.440 What method do I use to communicate those requirements to 
          participants?
1006.445 What action may I take if a primary tier participant knowingly 
          does business with an excluded or disqualified person?
1006.450 What action may I take if a primary tier participant fails to 
          disclose the information required under Sec.  1006.335?
1006.455 What may I do if a lower tier participant fails to disclose the 
          information required under Sec.  1006.355 to the next higher 
          tier?

                 Subpart E_Excluded Parties List System

1006.500 What is the purpose of the Excluded Parties List System (EPLS)?
1006.505 Who uses the EPLS?
1006.510 Who maintains the EPLS?
1006.515 What specific information is in the EPLS?
1006.520 Who places the information into the EPLS?
1006.525 Whom do I ask if I have questions about a person in the EPLS?
1006.530 Where can I find the EPLS?

   Subpart F_General Principles Relating to Suspension and Debarment 
                                 Actions

1006.600 How do suspension and debarment actions start?
1006.605 How does suspension differ from debarment?
1006.610 What procedures does the Inter-American Foundation use in 
          suspension and debarment actions?
1006.615 How does the Inter-American Foundation notify a person of a 
          suspension and debarment action?
1006.620 Do Federal agencies coordinate suspension and debarment 
          actions?
1006.625 What is the scope of a suspension or debarment action?
1006.630 May the Inter-American Foundation impute the conduct of one 
          person to another?
1006.635 May the Inter-American Foundation settle a debarment or 
          suspension action?
1006.640 May a settlement include a voluntary exclusion?
1006.645 Do other Federal agencies know if the Inter-American Foundation 
          agrees to a voluntary exclusion?

                          Subpart G_Suspension

1006.700 When may the suspending official issue a suspension?
1006.705 What does the suspending official consider in issuing a 
          suspension?
1006.710 When does a suspension take effect?
1006.715 What notice does the suspending official give me if I am 
          suspended?
1006.720 How may I contest a suspension?
1006.725 How much time do I have to contest a suspension?

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1006.730 What information must I provide to the suspending official if I 
          contest a suspension?
1006.735 Under what conditions do I get an additional opportunity to 
          challenge the facts on which the suspension is based?
1006.740 Are suspension proceedings formal?
1006.745 How is fact-finding conducted?
1006.750 What does the suspending official consider in deciding whether 
          to continue or terminate my suspension?
1006.755 When will I know whether the suspension is continued or 
          terminated?
1006.760 How long may my suspension last?

                           Subpart H_Debarment

1006.800 What are the causes for debarment?
1006.805 What notice does the debarring official give me if I am 
          proposed for debarment?
1006.810 When does a debarment take effect?
1006.815 How may I contest a proposed debarment?
1006.820 How much time do I have to contest a proposed debarment?
1006.825 What information must I provide to the debarring official if I 
          contest a proposed debarment?
1006.830 Under what conditions do I get an additional opportunity to 
          challenge the fact on which the proposed debarment is based?
1006.835 Are debarment proceedings formal?
1006.840 How is fact-finding conducted?
1006.845 What does the debarring official consider in deciding whether 
          to debar me?
1006.850 What is the standard of proof in a debarment action?
1006.855 Who has the burden of proof in a debarment action?
1006.860 What factors may influence the debarring official's decision?
1006.865 How long may my debarment last?
1006.870 When do I know if the debarring official debars me?
1006.875 May I ask the debarring official to reconsider a decision to 
          debar me?
1006.880 What factors may influence the debarring official during 
          reconsideration?
1006.885 May the debarring official extend a debarment?

                          Subpart I_Definitions

1006.900 Adequate evidence.
1006.905 Affiliate.
1006.910 Agency.
1006.915 Agent or representative.
1006.920 Civil judgment.
1006.925 Conviction.
1006.930 Debarment.
1006.935 Debarring official.
1006.940 Disqualified.
1006.945 Excluded or exclusion.
1006.950 Excluded Parties List System.
1006.955 Indictment.
1006.960 Ineligible or ineligibility.
1006.965 Legal proceedings.
1006.970 Nonprocurement transaction.
1006.975 Notice.
1006.980 Participant.
1006.985 Person.
1006.990 Preponderance of the evidence.
1006.995 Principal.
1006.1000 Respondent.
1006.1005 State.
1006.1010 Suspending official.
1006.1015 Suspension.
1006.1020 Voluntary exclusion or voluntarily excluded

Subpart J [Reserved]

Appendix to Part 1006--Covered Transactions

    Authority: Sec. 2455, Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C. 
6101 note); E.O. 12549, 3 CFR, 1986 Comp., p. 189; E.O. 12689, 3 CFR, 
1989 Comp., p. 235.



Sec.  1006.25  How is this part organized?

    (a) This part is subdivided into ten subparts. Each subpart contains 
information related to a broad topic or specific audience with special 
responsibilities, as shown in the following table:

------------------------------------------------------------------------
       In subpart . . .        You will find provisions related to . . .
------------------------------------------------------------------------
A............................  general information about this rule.
B............................  the types of Inter-American Foundation
                                transactions that are covered by the
                                Governmentwide nonprocurement suspension
                                and debarment system.
C............................  the responsibilities of persons who
                                participate in covered transactions.
D............................  the responsibilities of Inter-American
                                Foundation officials who are authorized
                                to enter into covered transactions.
E............................  the responsibilities of Federal agencies
                                for the Excluded Parties List System
                                (Disseminated by the General Services
                                Administration).
F............................  the general principles governing
                                suspension, debarment, voluntary
                                exclusion and settlement.
G............................  suspension actions.
H............................  debarment actions.
I............................  definitions of terms used in this part.
J............................  [Reserved]
------------------------------------------------------------------------


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    (b) The following table shows which subparts may be of special 
interest to you, depending on who you are:

------------------------------------------------------------------------
             If you are . . .                   See subpart(s) . . .
------------------------------------------------------------------------
(1) a participant or principal in a         A, B, C, and I.
 nonprocurement transaction.
(2) a respondent in a suspension action...  A, B, F, G and I.
(3) a respondent in a debarment action....  A, B, F, H and I.
(4) a suspending official.................  A, B, D, E, F, G and I.
(5) a debarring official..................  A, B, D, E, F, H and I.
(6) a (n) Inter-American Foundation         A, B, D, E and I.
 official authorized to enter into a
 covered transaction.
(7) Reserved..............................  J.
------------------------------------------------------------------------



Sec.  1006.50  How is this part written?

    (a) This part uses a ``plain language'' format to make it easier for 
the general public and business community to use. The section headings 
and text, often in the form of questions and answers, must be read 
together.
    (b) Pronouns used within this part, such as ``I'' and ``you,'' 
change from subpart to subpart depending on the audience being 
addressed. The pronoun ``we'' always is the Inter-American Foundation.
    (c) The ``Covered Transactions'' diagram in the appendix to this 
part shows the levels or ``tiers'' at which the Inter-American 
Foundation enforces an exclusion under this part.



Sec.  1006.75  Do terms in this part have special meanings?

    This part uses terms throughout the text that have special meaning. 
Those terms are defined in Subpart I of this part. For example, three 
important terms are--
    (a) Exclusion or excluded, which refers only to discretionary 
actions taken by a suspending or debarring official under this part or 
the Federal Acquisition Regulation (48 CFR part 9, subpart 9.4);
    (b) Disqualification or disqualified, which refers to prohibitions 
under specific statutes, executive orders (other than Executive Order 
12549 and Executive Order 12689), or other authorities. 
Disqualifications frequently are not subject to the discretion of an 
agency official, may have a different scope than exclusions, or have 
special conditions that apply to the disqualification; and
    (c) Ineligibility or ineligible, which generally refers to a person 
who is either excluded or disqualified.



                            Subpart A_General



Sec.  1006.100  What does this part do?

    This part adopts a governmentwide system of debarment and suspension 
for Inter-American Foundation nonprocurement activities. It also 
provides for reciprocal exclusion of persons who have been excluded 
under the Federal Acquisition Regulation, and provides for the 
consolidated listing of all persons who are excluded, or disqualified by 
statute, executive order, or other legal authority. This part satisfies 
the requirements in section 3 of Executive Order 12549, ``Debarment and 
Suspension'' (3 CFR 1986 Comp., p. 189), Executive Order 12689, 
``Debarment and Suspension'' (3 CFR 1989 Comp., p. 235) and 31 U.S.C. 
6101 note (Section 2455, Public Law 103-355, 108 Stat. 3327).



Sec.  1006.105  Does this part apply to me?

    Portions of this part (see table at Sec.  1006.25(b)) apply to you 
if you are a(n)--
    (a) Person who has been, is, or may reasonably be expected to be, a 
participant or principal in a covered transaction;
    (b) Respondent (a person against whom the Inter-American Foundation 
has initiated a debarment or suspension action);
    (c) Inter-American Foundation debarring or suspending official; or
    (d) Inter-American Foundation official who is authorized to enter 
into covered transactions with non-Federal parties.



Sec.  1006.110  What is the purpose of the nonprocurement debarment and
suspension system?

    (a) To protect the public interest, the Federal Government ensures 
the integrity of Federal programs by conducting business only with 
responsible persons.
    (b) A Federal agency uses the nonprocurement debarment and 
suspension system to exclude from Federal programs persons who are not 
presently responsible.
    (c) An exclusion is a serious action that a Federal agency may take 
only

[[Page 294]]

to protect the public interest. A Federal agency may not exclude a 
person or commodity for the purposes of punishment.



Sec.  1006.115  How does an exclusion restrict a person's involvement
in covered transactions?

    With the exceptions stated in Sec. Sec.  1006.120, 1006.315, and 
1006.420, a person who is excluded by the Inter-American Foundation or 
any other Federal agency may not:
    (a) Be a participant in a(n) Inter-American Foundation transaction 
that is a covered transaction under subpart B of this part;
    (b) Be a participant in a transaction of any other Federal agency 
that is a covered transaction under that agency's regulation for 
debarment and suspension; or
    (c) Act as a principal of a person participating in one of those 
covered transactions.



Sec.  1006.120  May we grant an exception to let an excluded person 
participate in a covered transaction?

    (a) The Inter-American Foundation Debarring Official may grant an 
exception permitting an excluded person to participate in a particular 
covered transaction. If the Inter-American Foundation Debarring Official 
grants an exception, the exception must be in writing and state the 
reason(s) for deviating from the governmentwide policy in Executive 
Order 12549.
    (b) An exception granted by one agency for an excluded person does 
not extend to the covered transactions of another agency.



Sec.  1006.125  Does an exclusion under the nonprocurement system
affect a person's eligibility for Federal procurement contracts?

    If any Federal agency excludes a person under its nonprocurement 
common rule on or after August 25, 1995, the excluded person is also 
ineligible to participate in Federal procurement transactions under the 
FAR. Therefore, an exclusion under this part has reciprocal effect in 
Federal procurement transactions.



Sec.  1006.130  Does exclusion under the Federal procurement system
affect a person's eligibility to participate in nonprocurement 
transactions?

    If any Federal agency excludes a person under the FAR on or after 
August 25, 1995, the excluded person is also ineligible to participate 
in nonprocurement covered transactions under this part. Therefore, an 
exclusion under the FAR has reciprocal effect in Federal nonprocurement 
transactions.



Sec.  1006.135  May the Inter-American Foundation exclude a person who
is not currently participating in a nonprocurement transaction?

    Given a cause that justifies an exclusion under this part, we may 
exclude any person who has been involved, is currently involved, or may 
reasonably be expected to be involved in a covered transaction.



Sec.  1006.140  How do I know if a person is excluded?

    Check the Excluded Parties List System (EPLS) to determine whether a 
person is excluded. The General Services Administration (GSA) maintains 
the EPLS and makes it available, as detailed in subpart E of this part. 
When a Federal agency takes an action to exclude a person under the 
nonprocurement or procurement debarment and suspension system, the 
agency enters the information about the excluded person into the EPLS.



Sec.  1006.145  Does this part address persons who are disqualified,
as well as those who are excluded from nonprocurement transactions?

    Except if provided for in Subpart J of this part, this part--
    (a) Addresses disqualified persons only to--
    (1) Provide for their inclusion in the EPLS; and
    (2) State responsibilities of Federal agencies and participants to 
check for disqualified persons before entering into covered 
transactions.
    (b) Does not specify the--
    (1) Inter-American Foundation transactions for which a disqualified 
person is ineligible. Those transactions vary on a case-by-case basis, 
because they depend on the language of the specific

[[Page 295]]

statute, Executive order, or regulation that caused the 
disqualification;
    (2) Entities to which the disqualification applies; or
    (3) Process that the agency uses to disqualify a person. Unlike 
exclusion, disqualification is frequently not a discretionary action 
that a Federal agency takes.



                     Subpart B_Covered Transactions



Sec.  1006.200  What is a covered transaction?

    A covered transaction is a nonprocurement or procurement transaction 
that is subject to the prohibitions of this part. It may be a 
transaction at--
    (a) The primary tier, between a Federal agency and a person (see 
appendix to this part); or
    (b) A lower tier, between a participant in a covered transaction and 
another person.



Sec.  1006.205  Why is it important if a particular transaction is a 
covered transaction?

    The importance of a covered transaction depends upon who you are.
    (a) As a participant in the transaction, you have the 
responsibilities laid out in Subpart C of this part. Those include 
responsibilities to the person or Federal agency at the next higher tier 
from whom you received the transaction, if any. They also include 
responsibilities if you subsequently enter into other covered 
transactions with persons at the next lower tier.
    (b) As a Federal official who enters into a primary tier 
transaction, you have the responsibilities laid out in subpart D of this 
part.
    (c) As an excluded person, you may not be a participant or principal 
in the transaction unless--
    (1) The person who entered into the transaction with you allows you 
to continue your involvement in a transaction that predates your 
exclusion, as permitted under Sec.  1006.310 or Sec.  1006.415; or
    (2) A(n) Inter-American Foundation official obtains an exception 
from the Inter-American Foundation Debarring Official to allow you to be 
involved in the transaction, as permitted under Sec.  1006.120.



Sec.  1006.210  Which nonprocurement transactions are covered 
transactions?

    All nonprocurement transactions, as defined in Sec.  1006.970, are 
covered transactions unless listed in Sec.  1006.215. (See appendix to 
this part.)



Sec.  1006.215  Which nonprocurement transactions are not covered 
transactions?

    The following types of nonprocurement transactions are not covered 
transactions:
    (a) A direct award to--
    (1) A foreign government or foreign governmental entity;
    (2) A public international organization;
    (3) An entity owned (in whole or in part) or controlled by a foreign 
government; or
    (4) Any other entity consisting wholly or partially of one or more 
foreign governments or foreign governmental entities.
    (b) A benefit to an individual as a personal entitlement without 
regard to the individual's present responsibility (but benefits received 
in an individual's business capacity are not excepted). For example, if 
a person receives social security benefits under the Supplemental 
Security Income provisions of the Social Security Act, 42 U.S.C. 1301 et 
seq., those benefits are not covered transactions and, therefore, are 
not affected if the person is excluded.
    (c) Federal employment.
    (d) A transaction that the Inter-American Foundation needs to 
respond to a national or agency-recognized emergency or disaster.
    (e) A permit, license, certificate, or similar instrument issued as 
a means to regulate public health, safety, or the environment, unless 
the Inter-American Foundation specifically designates it to be a covered 
transaction.
    (f) An incidental benefit that results from ordinary governmental 
operations.
    (g) Any other transaction if the application of an exclusion to the 
transaction is prohibited by law.

[[Page 296]]



Sec.  1006.220  Are any procurement contracts included as covered
transactions?

    (a) Covered transactions under this part--
    (1) Do not include any procurement contracts awarded directly by a 
Federal agency; but
    (2) Do include some procurement contracts awarded by non-Federal 
participants in nonprocurement covered transactions (see appendix to 
this part).
    (b) Specifically, a contract for goods or services is a covered 
transaction if any of the following applies:
    (1) The contract is awarded by a participant in a nonprocurement 
transaction that is covered under Sec.  1006.210, and the amount of the 
contract is expected to equal or exceed $25,000.
    (2) The contract requires the consent of a(n) Inter-American 
Foundation official. In that case, the contract, regardless of the 
amount, always is a covered transaction, and it does not matter who 
awarded it. For example, it could be a subcontract awarded by a 
contractor at a tier below a nonprocurement transaction, as shown in the 
appendix to this part.
    (3) The contract is for federally-required audit services.



Sec.  1006.225  How do I know if a transaction in which I may participate
is a covered transaction?

    As a participant in a transaction, you will know that it is a 
covered transaction because the agency regulations governing the 
transaction, the appropriate agency official, or participant at the next 
higher tier who enters into the transaction with you, will tell you that 
you must comply with applicable portions of this part.



    Subpart C_Responsibilities of Participants Regarding Transactions

                    Doing Business With Other Persons



Sec.  1006.300  What must I do before I enter into a covered transaction 
with another person at the next lower tier?

    When you enter into a covered transaction with another person at the 
next lower tier, you must verify that the person with whom you intend to 
do business is not excluded or disqualified. You do this by:
    (a) Checking the EPLS; or
    (b) Collecting a certification from that person if allowed by this 
rule; or
    (c) Adding a clause or condition to the covered transaction with 
that person.



Sec.  1006.305  May I enter into a covered transaction with an excluded
or disqualified person?

    (a) You as a participant may not enter into a covered transaction 
with an excluded person, unless the Inter-American Foundation grants an 
exception under Sec.  1006.120.
    (b) You may not enter into any transaction with a person who is 
disqualified from that transaction, unless you have obtained an 
exception under the disqualifying statute, Executive order, or 
regulation.



Sec.  1006.310  What must I do if a Federal agency excludes a person with
whom I am already doing business in a covered transaction?

    (a) You as a participant may continue covered transactions with an 
excluded person if the transactions were in existence when the agency 
excluded the person. However, you are not required to continue the 
transactions, and you may consider termination. You should make a 
decision about whether to terminate and the type of termination action, 
if any, only after a thorough review to ensure that the action is proper 
and appropriate.
    (b) You may not renew or extend covered transactions (other than no-
cost time extensions) with any excluded person, unless the Inter-
American Foundation grants an exception under Sec.  1006.120.



Sec.  1006.315  May I use the services of an excluded person as a principal
under a covered transaction?

    (a) You as a participant may continue to use the services of an 
excluded person as a principal under a covered transaction if you were 
using the services of that person in the transaction before the person 
was excluded. However, you are not required to continue

[[Page 297]]

using that person's services as a principal. You should make a decision 
about whether to discontinue that person's services only after a 
thorough review to ensure that the action is proper and appropriate.
    (b) You may not begin to use the services of an excluded person as a 
principal under a covered transaction unless the Inter-American 
Foundation grants an exception under Sec.  1006.120.



Sec.  1006.320  Must I verify that principals of my covered transactions
are eligible to participate?

    Yes, you as a participant are responsible for determining whether 
any of your principals of your covered transactions is excluded or 
disqualified from participating in the transaction. You may decide the 
method and frequency by which you do so. You may, but you are not 
required to, check the EPLS.



Sec.  1006.325  What happens if I do business with an excluded person
in a covered transaction?

    If as a participant you knowingly do business with an excluded 
person, we may disallow costs, annul or terminate the transaction, issue 
a stop work order, debar or suspend you, or take other remedies as 
appropriate.



Sec.  1006.330  What requirements must I pass down to persons at lower
tiers with whom I intend to do business?

    Before entering into a covered transaction with a participant at the 
next lower tier, you must require that participant to--
    (a) Comply with this subpart as a condition of participation in the 
transaction. You may do so using any method(s), unless Sec.  1006.440 
requires you to use specific methods.
    (b) Pass the requirement to comply with this subpart to each person 
with whom the participant enters into a covered transaction at the next 
lower tier.

            Disclosing Information--Primary Tier Participants



Sec.  1006.335  What information must I provide before entering into a 
covered transaction with the Inter-American Foundation?

    Before you enter into a covered transaction at the primary tier, you 
as the participant must notify the Inter-American Foundation office that 
is entering into the transaction with you, if you know that you or any 
of the principals for that covered transaction:
    (a) Are presently excluded or disqualified;
    (b) Have been convicted within the preceding three years of any of 
the offenses listed in Sec.  1006.800(a) or had a civil judgment 
rendered against you for one of those offenses within that time period;
    (c) Are presently indicted for or otherwise criminally or civilly 
charged by a governmental entity (Federal, State or local) with 
commission of any of the offenses listed in Sec.  1006.800(a); or
    (d) Have had one or more public transactions (Federal, State, or 
local) terminated within the preceding three years for cause or default.



Sec.  1006.340  If I disclose unfavorable information required under
Sec.  1006.335, will I be prevented from participating in the transaction?

    As a primary tier participant, your disclosure of unfavorable 
information about yourself or a principal under Sec.  1006.335 will not 
necessarily cause us to deny your participation in the covered 
transaction. We will consider the information when we determine whether 
to enter into the covered transaction. We also will consider any 
additional information or explanation that you elect to submit with the 
disclosed information.



Sec.  1006.345  What happens if I fail to disclose information required
under Sec.  1006.335?

    If we later determine that you failed to disclose information under 
Sec.  1006.335 that you knew at the time you entered into the covered 
transaction, we may--
    (a) Terminate the transaction for material failure to comply with 
the terms and conditions of the transaction; or

[[Page 298]]

    (b) Pursue any other available remedies, including suspension and 
debarment.



Sec.  1006.350  What must I do if I learn of information required under
Sec.  1006.335 after entering into a covered transaction with the 
Inter-American Foundation?

    At any time after you enter into a covered transaction, you must 
give immediate written notice to the Inter-American Foundation office 
with which you entered into the transaction if you learn either that--
    (a) You failed to disclose information earlier, as required by Sec.  
1006.335; or
    (b) Due to changed circumstances, you or any of the principals for 
the transaction now meet any of the criteria in Sec.  1006.335.

             Disclosing Information--Lower Tier Participants



Sec.  1006.355  What information must I provide to a higher tier
participant before entering into a covered transaction with that 
participant?

    Before you enter into a covered transaction with a person at the 
next higher tier, you as a lower tier participant must notify that 
person if you know that you or any of the principals are presently 
excluded or disqualified.



Sec.  1006.360  What happens if I fail to disclose the information
required under Sec.  1006.355?

    If we later determine that you failed to tell the person at the 
higher tier that you were excluded or disqualified at the time you 
entered into the covered transaction with that person, we may pursue any 
available remedies, including suspension and debarment.



Sec.  1006.365  What must I do if I learn of information required under
Sec.  1006.355 after entering into a covered transaction with a higher 
tier participant?

    At any time after you enter into a lower tier covered transaction 
with a person at a higher tier, you must provide immediate written 
notice to that person if you learn either that--
    (a) You failed to disclose information earlier, as required by Sec.  
1006.355; or
    (b) Due to changed circumstances, you or any of the principals for 
the transaction now meet any of the criteria in Sec.  1006.355.



   Subpart D_Responsibilities of Inter-American Foundation Officials 
                         Regarding Transactions



Sec.  1006.400  May I enter into a transaction with an excluded or
disqualified person?

    (a) You as an agency official may not enter into a covered 
transaction with an excluded person unless you obtain an exception under 
Sec.  1006.120.
    (b) You may not enter into any transaction with a person who is 
disqualified from that transaction, unless you obtain a waiver or 
exception under the statute, Executive order, or regulation that is the 
basis for the person's disqualification.



Sec.  1006.405  May I enter into a covered transaction with a participant
if a principal of the transaction is excluded?

    As an agency official, you may not enter into a covered transaction 
with a participant if you know that a principal of the transaction is 
excluded, unless you obtain an exception under Sec.  1006.120.



Sec.  1006.410  May I approve a participant's use of the services of an
excluded person?

    After entering into a covered transaction with a participant, you as 
an agency official may not approve a participant's use of an excluded 
person as a principal under that transaction, unless you obtain an 
exception under Sec.  1006.120.



Sec.  1006.415  What must I do if a Federal agency excludes the participant
or a principal after I enter into a covered transaction?

    (a) You as an agency official may continue covered transactions with 
an excluded person, or under which an excluded person is a principal, if 
the transactions were in existence when the person was excluded. You are 
not required to continue the transactions,

[[Page 299]]

however, and you may consider termination. You should make a decision 
about whether to terminate and the type of termination action, if any, 
only after a thorough review to ensure that the action is proper.
    (b) You may not renew or extend covered transactions (other than no-
cost time extensions) with any excluded person, or under which an 
excluded person is a principal, unless you obtain an exception under 
Sec.  1006.120.



Sec.  1006.420  May I approve a transaction with an excluded or disqualified
person at a lower tier?

    If a transaction at a lower tier is subject to your approval, you as 
an agency official may not approve--
    (a) A covered transaction with a person who is currently excluded, 
unless you obtain an exception under Sec.  1006.120; or
    (b) A transaction with a person who is disqualified from that 
transaction, unless you obtain a waiver or exception under the statute, 
Executive order, or regulation that is the basis for the person's 
disqualification.



Sec.  1006.425  When do I check to see if a person is excluded or
disqualified?

    As an agency official, you must check to see if a person is excluded 
or disqualified before you--
    (a) Enter into a primary tier covered transaction;
    (b) Approve a principal in a primary tier covered transaction;
    (c) Approve a lower tier participant if agency approval of the lower 
tier participant is required; or
    (d) Approve a principal in connection with a lower tier transaction 
if agency approval of the principal is required.



Sec.  1006.430  How do I check to see if a person is excluded or disqualified?

    You check to see if a person is excluded or disqualified in two 
ways:
    (a) You as an agency official must check the EPLS when you take any 
action listed in Sec.  1006.425.
    (b) You must review information that a participant gives you, as 
required by Sec.  1006.335, about its status or the status of the 
principals of a transaction.



Sec.  1006.435  What must I require of a primary tier participant?

    You as an agency official must require each participant in a primary 
tier covered transaction to--
    (a) Comply with subpart C of this part as a condition of 
participation in the transaction; and
    (b) Communicate the requirement to comply with Subpart C of this 
part to persons at the next lower tier with whom the primary tier 
participant enters into covered transactions.



Sec.  1006.440  What method do I use to communicate those requirements
to participants?

    To communicate the requirements to participants, you must include a 
term or condition in the transaction requiring the participant's 
compliance with Subpart C of this part and requiring them to include a 
similar term or condition in lower tier covered transactions.



Sec.  1006.445  What action may I take if a primary tier participant 
knowingly does business with an excluded or disqualified person?

    If a participant knowingly does business with an excluded or 
disqualified person, you as an agency official may refer the matter for 
suspension and debarment consideration. You may also disallow costs, 
annul or terminate the transaction, issue a stop work order, or take any 
other appropriate remedy.



Sec.  1006.450  What action may I take if a primary tier participant
fails to disclose the information required under Sec.  1006.335?

    If you as an agency official determine that a participant failed to 
disclose information, as required by Sec.  1006.335, at the time it 
entered into a covered transaction with you, you may--
    (a) Terminate the transaction for material failure to comply with 
the terms and conditions of the transaction; or
    (b) Pursue any other available remedies, including suspension and 
debarment.

[[Page 300]]



Sec.  1006.455  What may I do if a lower tier participant fails to disclose
the information required under Sec.  1006.355 to the next higher tier?

    If you as an agency official determine that a lower tier participant 
failed to disclose information, as required by Sec.  1006.355, at the 
time it entered into a covered transaction with a participant at the 
next higher tier, you may pursue any remedies available to you, 
including the initiation of a suspension or debarment action.



                 Subpart E_Excluded Parties List System



Sec.  1006.500  What is the purpose of the Excluded Parties List System
(EPLS)?

    The EPLS is a widely available source of the most current 
information about persons who are excluded or disqualified from covered 
transactions.



Sec.  1006.505  Who uses the EPLS?

    (a) Federal agency officials use the EPLS to determine whether to 
enter into a transaction with a person, as required under Sec.  
1006.430.
    (b) Participants also may, but are not required to, use the EPLS to 
determine if--
    (1) Principals of their transactions are excluded or disqualified, 
as required under Sec.  1006.320; or
    (2) Persons with whom they are entering into covered transactions at 
the next lower tier are excluded or disqualified.
    (c) The EPLS is available to the general public.



Sec.  1006.510  Who maintains the EPLS?

    In accordance with the OMB guidelines, the General Services 
Administration (GSA) maintains the EPLS. When a Federal agency takes an 
action to exclude a person under the nonprocurement or procurement 
debarment and suspension system, the agency enters the information about 
the excluded person into the EPLS.



Sec.  1006.515  What specific information is in the EPLS?

    (a) At a minimum, the EPLS indicates--
    (1) The full name (where available) and address of each excluded or 
disqualified person, in alphabetical order, with cross references if 
more than one name is involved in a single action;
    (2) The type of action;
    (3) The cause for the action;
    (4) The scope of the action;
    (5) Any termination date for the action;
    (6) The agency and name and telephone number of the agency point of 
contact for the action; and
    (7) The Dun and Bradstreet Number (DUNS), or other similar code 
approved by the GSA, of the excluded or disqualified person, if 
available.
    (b)(1) The database for the EPLS includes a field for the Taxpayer 
Identification Number (TIN) (the social security number (SSN) for an 
individual) of an excluded or disqualified person.
    (2) Agencies disclose the SSN of an individual to verify the 
identity of an individual, only if permitted under the Privacy Act of 
1974 and, if appropriate, the Computer Matching and Privacy Protection 
Act of 1988, as codified in 5 U.S.C. 552(a).



Sec.  1006.520  Who places the information into the EPLS?

    Federal officials who take actions to exclude persons under this 
part or officials who are responsible for identifying disqualified 
persons must enter the following information about those persons into 
the EPLS:
    (a) Information required by Sec.  1006.515(a);
    (b) The Taxpayer Identification Number (TIN) of the excluded or 
disqualified person, including the social security number (SSN) for an 
individual, if the number is available and may be disclosed under law;
    (c) Information about an excluded or disqualified person, generally 
within five working days, after--
    (1) Taking an exclusion action;
    (2) Modifying or rescinding an exclusion action;
    (3) Finding that a person is disqualified; or
    (4) Finding that there has been a change in the status of a person 
who is listed as disqualified.

[[Page 301]]



Sec.  1006.525  Whom do I ask if I have questions about a person in 
the EPLS?

    If you have questions about a person in the EPLS, ask the point of 
contact for the Federal agency that placed the person's name into the 
EPLS. You may find the agency point of contact from the EPLS.



Sec.  1006.530  Where can I find the EPLS?

    (a) You may access the EPLS through the Internet, currently at 
http://epls.arnet.gov.
    (b) As of November 26, 2003, you may also subscribe to a printed 
version. However, we anticipate discontinuing the printed version. Until 
it is discontinued, you may obtain the printed version by purchasing a 
yearly subscription from the Superintendent of Documents, U.S. 
Government Printing Office, Washington, DC 20402, or by calling the 
Government Printing Office Inquiry and Order Desk at (202) 783-3238.



   Subpart F_General Principles Relating to Suspension and Debarment 
                                 Actions



Sec.  1006.600  How do suspension and debarment actions start?

    When we receive information from any source concerning a cause for 
suspension or debarment, we will promptly report and investigate it. We 
refer the question of whether to suspend or debar you to our suspending 
or debarring official for consideration, if appropriate.



Sec.  1006.605  How does suspension differ from debarment?

    Suspension differs from debarment in that--

------------------------------------------------------------------------
      A suspending official . . .           A debarring official . . .
------------------------------------------------------------------------
(a) Imposes suspension as a temporary    Imposes debarment for a
 status of ineligibility for              specified period as a final
 procurement and nonprocurement           determination that a person is
 transactions, pending completion of an   not presently responsible.
 investigation or legal proceedings.
(b) Must--.............................  Must conclude, based on a
(1) Have adequate evidence that there     preponderance of the evidence,
 may be a cause for debarment of a        that the person has engaged in
 person; and.                             conduct that warrants
(2) Conclude that immediate action is     debarment.
 necessary to protect the Federal
 interest.
(c) Usually imposes the suspension       Imposes debarment after giving
 first, and then promptly notifies the    the respondent notice of the
 suspended person, giving the person an   action and an opportunity to
 opportunity to contest the suspension    contest the proposed
 and have it lifted.                      debarment.
------------------------------------------------------------------------



Sec.  1006.610  What procedures does the Inter-American Foundation use
in suspension and debarment actions?

    In deciding whether to suspend or debar you, we handle the actions 
as informally as practicable, consistent with principles of fundamental 
fairness.
    (a) For suspension actions, we use the procedures in this subpart 
and subpart G of this part.
    (b) For debarment actions, we use the procedures in this subpart and 
subpart H of this part.



Sec.  1006.615  How does the Inter-American Foundation notify a person of
a suspension or debarment action?

    (a) The suspending or debarring official sends a written notice to 
the last known street address, facsimile number, or e-mail address of--
    (1) You or your identified counsel; or
    (2) Your agent for service of process, or any of your partners, 
officers, directors, owners, or joint venturers.
    (b) The notice is effective if sent to any of these persons.



Sec.  1006.620  Do Federal agencies coordinate suspension and debarment
actions?

    Yes, when more than one Federal agency has an interest in a 
suspension or debarment, the agencies may consider designating one 
agency as the lead agency for making the decision. Agencies are 
encouraged to establish methods and procedures for coordinating their 
suspension and debarment actions.

[[Page 302]]



Sec.  1006.625  What is the scope of a suspension or debarment?

    If you are suspended or debarred, the suspension or debarment is 
effective as follows:
    (a) Your suspension or debarment constitutes suspension or debarment 
of all of your divisions and other organizational elements from all 
covered transactions, unless the suspension or debarment decision is 
limited--
    (1) By its terms to one or more specifically identified individuals, 
divisions, or other organizational elements; or
    (2) To specific types of transactions.
    (b) Any affiliate of a participant may be included in a suspension 
or debarment action if the suspending or debarring official--
    (1) Officially names the affiliate in the notice; and
    (2) Gives the affiliate an opportunity to contest the action.



Sec.  1006.630  May the Inter-American Foundation impute conduct of one
person to another?

    For purposes of actions taken under this rule, we may impute conduct 
as follows:
    (a) Conduct imputed from an individual to an organization. We may 
impute the fraudulent, criminal, or other improper conduct of any 
officer, director, shareholder, partner, employee, or other individual 
associated with an organization, to that organization when the improper 
conduct occurred in connection with the individual's performance of 
duties for or on behalf of that organization, or with the organization's 
knowledge, approval or acquiescence. The organization's acceptance of 
the benefits derived from the conduct is evidence of knowledge, approval 
or acquiescence.
    (b) Conduct imputed from an organization to an individual, or 
between individuals. We may impute the fraudulent, criminal, or other 
improper conduct of any organization to an individual, or from one 
individual to another individual, if the individual to whom the improper 
conduct is imputed either participated in, had knowledge of, or reason 
to know of the improper conduct.
    (c) Conduct imputed from one organization to another organization. 
We may impute the fraudulent, criminal, or other improper conduct of one 
organization to another organization when the improper conduct occurred 
in connection with a partnership, joint venture, joint application, 
association or similar arrangement, or when the organization to whom the 
improper conduct is imputed has the power to direct, manage, control or 
influence the activities of the organization responsible for the 
improper conduct. Acceptance of the benefits derived from the conduct is 
evidence of knowledge, approval or acquiescence.



Sec.  1006.635  May the Inter-American Foundation settle a debarment or
suspension action?

    Yes, we may settle a debarment or suspension action at any time if 
it is in the best interest of the Federal Government.



Sec.  1006.640  May a settlement include a voluntary exclusion?

    Yes, if we enter into a settlement with you in which you agree to be 
excluded, it is called a voluntary exclusion and has governmentwide 
effect.



Sec.  1006.645  Do other Federal agencies know if the Inter-American
Foundation agrees to a voluntary exclusion?

    (a) Yes, we enter information regarding a voluntary exclusion into 
the EPLS.
    (b) Also, any agency or person may contact us to find out the 
details of a voluntary exclusion.



                          Subpart G_Suspension



Sec.  1006.700  When may the suspending official issue a suspension?

    Suspension is a serious action. Using the procedures of this subpart 
and subpart F of this part, the suspending official may impose 
suspension only when that official determines that--
    (a) There exists an indictment for, or other adequate evidence to 
suspect, an offense listed under Sec.  1006.800(a), or
    (b) There exists adequate evidence to suspect any other cause for 
debarment listed under Sec.  1006.800(b) through (d); and

[[Page 303]]

    (c) Immediate action is necessary to protect the public interest.



Sec.  1006.705  What does the suspending official consider in issuing 
a suspension?

    (a) In determining the adequacy of the evidence to support the 
suspension, the suspending official considers how much information is 
available, how credible it is given the circumstances, whether or not 
important allegations are corroborated, and what inferences can 
reasonably be drawn as a result. During this assessment, the suspending 
official may examine the basic documents, including grants, cooperative 
agreements, loan authorizations, contracts, and other relevant 
documents.
    (b) An indictment, conviction, civil judgment, or other official 
findings by Federal, State, or local bodies that determine factual and/
or legal matters, constitutes adequate evidence for purposes of 
suspension actions.
    (c) In deciding whether immediate action is needed to protect the 
public interest, the suspending official has wide discretion. For 
example, the suspending official may infer the necessity for immediate 
action to protect the public interest either from the nature of the 
circumstances giving rise to a cause for suspension or from potential 
business relationships or involvement with a program of the Federal 
Government.



Sec.  1006.710  When does a suspension take effect?

    A suspension is effective when the suspending official signs the 
decision to suspend.



Sec.  1006.715  What notice does the suspending official give me if
I am suspended?

    After deciding to suspend you, the suspending official promptly 
sends you a Notice of Suspension advising you--
    (a) That you have been suspended;
    (b) That your suspension is based on--
    (1) An indictment;
    (2) A conviction;
    (3) Other adequate evidence that you have committed irregularities 
which seriously reflect on the propriety of further Federal Government 
dealings with you; or
    (4) Conduct of another person that has been imputed to you, or your 
affiliation with a suspended or debarred person;
    (c) Of any other irregularities in terms sufficient to put you on 
notice without disclosing the Federal Government's evidence;
    (d) Of the cause(s) upon which we relied under Sec.  1006.700 for 
imposing suspension;
    (e) That your suspension is for a temporary period pending the 
completion of an investigation or resulting legal or debarment 
proceedings;
    (f) Of the applicable provisions of this subpart, Subpart F of this 
part, and any other Inter-American Foundation procedures governing 
suspension decision making; and
    (g) Of the governmentwide effect of your suspension from procurement 
and nonprocurement programs and activities.



Sec.  1006.720  How may I contest a suspension?

    If you as a respondent wish to contest a suspension, you or your 
representative must provide the suspending official with information in 
opposition to the suspension. You may do this orally or in writing, but 
any information provided orally that you consider important must also be 
submitted in writing for the official record.



Sec.  1006.725  How much time do I have to contest a suspension?

    (a) As a respondent you or your representative must either send, or 
make rrangements to appear and present, the information and argument to 
the suspending official within 30 days after you receive the Notice of 
Suspension.
    (b) We consider the notice to be received by you--
    (1) When delivered, if we mail the notice to the last known street 
address, or five days after we send it if the letter is undeliverable;
    (2) When sent, if we send the notice by facsimile or five days after 
we send it if the facsimile is undeliverable; or

[[Page 304]]

    (3) When delivered, if we send the notice by e-mail or five days 
after we send it if the e-mail is undeliverable.



Sec.  1006.730  What information must I provide to the suspending official
if I contest a suspension?

    (a) In addition to any information and argument in opposition, as a 
respondent your submission to the suspending official must identify--
    (1) Specific facts that contradict the statements contained in the 
Notice of Suspension. A general denial is insufficient to raise a 
genuine dispute over facts material to the suspension;
    (2) All existing, proposed, or prior exclusions under regulations 
implementing E.O. 12549 and all similar actions taken by Federal, state, 
or local agencies, including administrative agreements that affect only 
those agencies;
    (3) All criminal and civil proceedings not included in the Notice of 
Suspension that grew out of facts relevant to the cause(s) stated in the 
notice; and
    (4) All of your affiliates.
    (b) If you fail to disclose this information, or provide false 
information, the Inter-American Foundation may seek further criminal, 
civil or administrative action against you, as appropriate.



Sec.  1006.735  Under what conditions do I get an additional opportunity
to challenge the facts on which the suspension is based?

    (a) You as a respondent will not have an additional opportunity to 
challenge the facts if the suspending official determines that--
    (1) Your suspension is based upon an indictment, conviction, civil 
judgment, or other finding by a Federal, State, or local body for which 
an opportunity to contest the facts was provided;
    (2) Your presentation in opposition contains only general denials to 
information contained in the Notice of Suspension;
    (3) The issues raised in your presentation in opposition to the 
suspension are not factual in nature, or are not material to the 
suspending official's initial decision to suspend, or the official's 
decision whether to continue the suspension; or
    (4) On the basis of advice from the Department of Justice, an office 
of the United States Attorney, a State attorney general's office, or a 
State or local prosecutor's office, that substantial interests of the 
government in pending or contemplated legal proceedings based on the 
same facts as the suspension would be prejudiced by conducting fact-
finding.
    (b) You will have an opportunity to challenge the facts if the 
suspending official determines that--
    (1) The conditions in paragraph (a) of this section do not exist; 
and
    (2) Your presentation in opposition raises a genuine dispute over 
facts material to the suspension.
    (c) If you have an opportunity to challenge disputed material facts 
under this section, the suspending official or designee must conduct 
additional proceedings to resolve those facts.



Sec.  1006.740  Are suspension proceedings formal?

    (a) Suspension proceedings are conducted in a fair and informal 
manner. The suspending official may use flexible procedures to allow you 
to present matters in opposition. In so doing, the suspending official 
is not required to follow formal rules of evidence or procedure in 
creating an official record upon which the official will base a final 
suspension decision.
    (b) You as a respondent or your representative must submit any 
documentary evidence you want the suspending official to consider.



Sec.  1006.745  How is fact-finding conducted?

    (a) If fact-finding is conducted--
    (1) You may present witnesses and other evidence, and confront any 
witness presented; and
    (2) The fact-finder must prepare written findings of fact for the 
record.
    (b) A transcribed record of fact-finding proceedings must be made, 
unless you as a respondent and the Inter-American Foundation agree to 
waive it in advance. If you want a copy of the transcribed record, you 
may purchase it.

[[Page 305]]



Sec.  1006.750  What does the suspending official consider in deciding
whether to continue or terminate my suspension?

    (a) The suspending official bases the decision on all information 
contained in the official record. The record includes--
    (1) All information in support of the suspending official's initial 
decision to suspend you;
    (2) Any further information and argument presented in support of, or 
opposition to, the suspension; and
    (3) Any transcribed record of fact-finding proceedings.
    (b) The suspending official may refer disputed material facts to 
another official for findings of fact. The suspending official may 
reject any resulting findings, in whole or in part, only after 
specifically determining them to be arbitrary, capricious, or clearly 
erroneous.



Sec.  1006.755  When will I know whether the suspension is continued
or terminated?

    The suspending official must make a written decision whether to 
continue, modify, or terminate your suspension within 45 days of closing 
the official record. The official record closes upon the suspending 
official's receipt of final submissions, information and findings of 
fact, if any. The suspending official may extend that period for good 
cause.



Sec.  1006.760  How long may my suspension last?

    (a) If legal or debarment proceedings are initiated at the time of, 
or during your suspension, the suspension may continue until the 
conclusion of those proceedings. However, if proceedings are not 
initiated, a suspension may not exceed 12 months.
    (b) The suspending official may extend the 12 month limit under 
paragraph (a) of this section for an additional 6 months if an office of 
a U.S. Assistant Attorney General, U.S. Attorney, or other responsible 
prosecuting official requests an extension in writing. In no event may a 
suspension exceed 18 months without initiating proceedings under 
paragraph (a) of this section.
    (c) The suspending official must notify the appropriate officials 
under paragraph (b) of this section of an impending termination of a 
suspension at least 30 days before the 12 month period expires to allow 
the officials an opportunity to request an extension.



                           Subpart H_Debarment



Sec.  1006.800  What are the causes for debarment?

    We may debar a person for--
    (a) Conviction of or civil judgment for--
    (1) Commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public or private 
agreement or transaction;
    (2) Violation of Federal or State antitrust statutes, including 
those proscribing price fixing between competitors, allocation of 
customers between competitors, and bid rigging;
    (3) Commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, tax 
evasion, receiving stolen property, making false claims, or obstruction 
of justice; or
    (4) Commission of any other offense indicating a lack of business 
integrity or business honesty that seriously and directly affects your 
present responsibility;
    (b) Violation of the terms of a public agreement or transaction so 
serious as to affect the integrity of an agency program, such as--
    (1) A willful failure to perform in accordance with the terms of one 
or more public agreements or transactions;
    (2) A history of failure to perform or of unsatisfactory performance 
of one or more public agreements or transactions; or
    (3) A willful violation of a statutory or regulatory provision or 
requirement applicable to a public agreement or transaction;
    (c) Any of the following causes:
    (1) A nonprocurement debarment by any Federal agency taken before 
October 1, 1988, or a procurement debarment by any Federal agency taken 
pursuant to 48 CFR part 9, subpart 9.4, before August 25, 1995;

[[Page 306]]

    (2) Knowingly doing business with an ineligible person, except as 
permitted under Sec.  1006.120;
    (3) Failure to pay a single substantial debt, or a number of 
outstanding debts (including disallowed costs and overpayments, but not 
including sums owed the Federal Government under the Internal Revenue 
Code) owed to any Federal agency or instrumentality, provided the debt 
is uncontested by the debtor or, if contested, provided that the 
debtor's legal and administrative remedies have been exhausted;
    (4) Violation of a material provision of a voluntary exclusion 
agreement entered into under Sec.  1006.640 or of any settlement of a 
debarment or suspension action; or
    (5) Violation of the provisions of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701); or
    (d) Any other cause of so serious or compelling a nature that it 
affects your present responsibility.



Sec.  1006.805  What notice does the debarring official give me if I
am proposed for debarment?

    After consideration of the causes in Sec.  1006.800 of this subpart, 
if the debarring official proposes to debar you, the official sends you 
a Notice of Proposed Debarment, pursuant to Sec.  1006.615, advising 
you--
    (a) That the debarring official is considering debarring you;
    (b) Of the reasons for proposing to debar you in terms sufficient to 
put you on notice of the conduct or transactions upon which the proposed 
debarment is based;
    (c) Of the cause(s) under Sec.  1006.800 upon which the debarring 
official relied for proposing your debarment;
    (d) Of the applicable provisions of this subpart, Subpart F of this 
part, and any other Inter-American Foundation procedures governing 
debarment; and
    (e) Of the governmentwide effect of a debarment from procurement and 
nonprocurement programs and activities.



Sec.  1006.810  When does a debarment take effect?

    A debarment is not effective until the debarring official issues a 
decision. The debarring official does not issue a decision until the 
respondent has had an opportunity to contest the proposed debarment.



Sec.  1006.815  How may I contest a proposed debarment?

    If you as a respondent wish to contest a proposed debarment, you or 
your representative must provide the debarring official with information 
in opposition to the proposed debarment. You may do this orally or in 
writing, but any information provided orally that you consider important 
must also be submitted in writing for the official record.



Sec.  1006.820  How much time do I have to contest a proposed debarment?

    (a) As a respondent you or your representative must either send, or 
make arrangements to appear and present, the information and argument to 
the debarring official within 30 days after you receive the Notice of 
Proposed Debarment.
    (b) We consider the Notice of Proposed Debarment to be received by 
you--
    (1) When delivered, if we mail the notice to the last known street 
address, or five days after we send it if the letter is undeliverable;
    (2) When sent, if we send the notice by facsimile or five days after 
we send it if the facsimile is undeliverable; or
    (3) When delivered, if we send the notice by e-mail or five days 
after we send it if the e-mail is undeliverable.



Sec.  1006.825  What information must I provide to the debarring official
if I contest a proposed debarment?

    (a) In addition to any information and argument in opposition, as a 
respondent your submission to the debarring official must identify--
    (1) Specific facts that contradict the statements contained in the 
Notice of Proposed Debarment. Include any information about any of the 
factors listed in Sec.  1006.860. A general denial is insufficient to 
raise a genuine dispute over facts material to the debarment;
    (2) All existing, proposed, or prior exclusions under regulations 
implementing E.O. 12549 and all similar actions taken by Federal, State, 
or local agencies, including administrative

[[Page 307]]

agreements that affect only those agencies;
    (3) All criminal and civil proceedings not included in the Notice of 
Proposed Debarment that grew out of facts relevant to the cause(s) 
stated in the notice; and
    (4) All of your affiliates.
    (b) If you fail to disclose this information, or provide false 
information, the Inter-American Foundation may seek further criminal, 
civil or administrative action against you, as appropriate.



Sec.  1006.830  Under what conditions do I get an additional opportunity
to challenge the facts on which a proposed debarment is based?

    (a) You as a respondent will not have an additional opportunity to 
challenge the facts if the debarring official determines that--
    (1) Your debarment is based upon a conviction or civil judgment;
    (2) Your presentation in opposition contains only general denials to 
information contained in the Notice of Proposed Debarment; or
    (3) The issues raised in your presentation in opposition to the 
proposed debarment are not factual in nature, or are not material to the 
debarring official's decision whether to debar.
    (b) You will have an additional opportunity to challenge the facts 
if the debarring official determines that--
    (1) The conditions in paragraph (a) of this section do not exist; 
and
    (2) Your presentation in opposition raises a genuine dispute over 
facts material to the proposed debarment.
    (c) If you have an opportunity to challenge disputed material facts 
under this section, the debarring official or designee must conduct 
additional proceedings to resolve those facts.



Sec.  1006.835  Are debarment proceedings formal?

    (a) Debarment proceedings are conducted in a fair and informal 
manner. The debarring official may use flexible procedures to allow you 
as a respondent to present matters in opposition. In so doing, the 
debarring official is not required to follow formal rules of evidence or 
procedure in creating an official record upon which the official will 
base the decision whether to debar.
    (b) You or your representative must submit any documentary evidence 
you want the debarring official to consider.



Sec.  1006.840  How is fact-finding conducted?

    (a) If fact-finding is conducted--
    (1) You may present witnesses and other evidence, and confront any 
witness presented; and
    (2) The fact-finder must prepare written findings of fact for the 
record.
    (b) A transcribed record of fact-finding proceedings must be made, 
unless you as a respondent and the Inter-American Foundation agree to 
waive it in advance. If you want a copy of the transcribed record, you 
may purchase it.



Sec.  1006.845  What does the debarring official consider in deciding
whether to debar me?

    (a) The debarring official may debar you for any of the causes in 
Sec.  1006.800. However, the official need not debar you even if a cause 
for debarment exists. The official may consider the seriousness of your 
acts or omissions and the mitigating or aggravating factors set forth at 
Sec.  1006.860.
    (b) The debarring official bases the decision on all information 
contained in the official record. The record includes--
    (1) All information in support of the debarring official's proposed 
debarment;
    (2) Any further information and argument presented in support of, or 
in opposition to, the proposed debarment; and
    (3) Any transcribed record of fact-finding proceedings.
    (c) The debarring official may refer disputed material facts to 
another official for findings of fact. The debarring official may reject 
any resultant findings, in whole or in part, only after specifically 
determining them to be arbitrary, capricious, or clearly erroneous.

[[Page 308]]



Sec.  1006.850  What is the standard of proof in a debarment action?

    (a) In any debarment action, we must establish the cause for 
debarment by a preponderance of the evidence.
    (b) If the proposed debarment is based upon a conviction or civil 
judgment, the standard of proof is met.



Sec.  1006.855  Who has the burden of proof in a debarment action?

    (a) We have the burden to prove that a cause for debarment exists.
    (b) Once a cause for debarment is established, you as a respondent 
have the burden of demonstrating to the satisfaction of the debarring 
official that you are presently responsible and that debarment is not 
necessary.



Sec.  1006.860  What factors may influence the debarring official's 
decision?

    This section lists the mitigating and aggravating factors that the 
debarring official may consider in determining whether to debar you and 
the length of your debarment period. The debarring official may consider 
other factors if appropriate in light of the circumstances of a 
particular case. The existence or nonexistence of any factor, such as 
one of those set forth in this section, is not necessarily determinative 
of your present responsibility. In making a debarment decision, the 
debarring official may consider the following factors:
    (a) The actual or potential harm or impact that results or may 
result from the wrongdoing.
    (b) The frequency of incidents and/or duration of the wrongdoing.
    (c) Whether there is a pattern or prior history of wrongdoing. For 
example, if you have been found by another Federal agency or a State 
agency to have engaged in wrongdoing similar to that found in the 
debarment action, the existence of this fact may be used by the 
debarring official in determining that you have a pattern or prior 
history of wrongdoing.
    (d) Whether you are or have been excluded or disqualified by an 
agency of the Federal Government or have not been allowed to participate 
in State or local contracts or assistance agreements on a basis of 
conduct similar to one or more of the causes for debarment specified in 
this part.
    (e) Whether you have entered into an administrative agreement with a 
Federal agency or a State or local government that is not governmentwide 
but is based on conduct similar to one or more of the causes for 
debarment specified in this part.
    (f) Whether and to what extent you planned, initiated, or carried 
out the wrongdoing.
    (g) Whether you have accepted responsibility for the wrongdoing and 
recognize the seriousness of the misconduct that led to the cause for 
debarment.
    (h) Whether you have paid or agreed to pay all criminal, civil and 
administrative liabilities for the improper activity, including any 
investigative or administrative costs incurred by the government, and 
have made or agreed to make full restitution.
    (i) Whether you have cooperated fully with the government agencies 
during the investigation and any court or administrative action. In 
determining the extent of cooperation, the debarring official may 
consider when the cooperation began and whether you disclosed all 
pertinent information known to you.
    (j) Whether the wrongdoing was pervasive within your organization.
    (k) The kind of positions held by the individuals involved in the 
wrongdoing.
    (l) Whether your organization took appropriate corrective action or 
remedial measures, such as establishing ethics training and implementing 
programs to prevent recurrence.
    (m) Whether your principals tolerated the offense.
    (n) Whether you brought the activity cited as a basis for the 
debarment to the attention of the appropriate government agency in a 
timely manner.
    (o) Whether you have fully investigated the circumstances 
surrounding the cause for debarment and, if so, made the result of the 
investigation available to the debarring official.
    (p) Whether you had effective standards of conduct and internal 
control systems in place at the time the questioned conduct occurred.
    (q) Whether you have taken appropriate disciplinary action against 
the

[[Page 309]]

individuals responsible for the activity which constitutes the cause for 
debarment.
    (r) Whether you have had adequate time to eliminate the 
circumstances within your organization that led to the cause for the 
debarment.
    (s) Other factors that are appropriate to the circumstances of a 
particular case.



Sec.  1006.865  How long may my debarment last?

    (a) If the debarring official decides to debar you, your period of 
debarment will be based on the seriousness of the cause(s) upon which 
your debarment is based. Generally, debarment should not exceed three 
years. However, if circumstances warrant, the debarring official may 
impose a longer period of debarment.
    (b) In determining the period of debarment, the debarring official 
may consider the factors in Sec.  1006.860. If a suspension has preceded 
your debarment, the debarring official must consider the time you were 
suspended.
    (c) If the debarment is for a violation of the provisions of the 
Drug-Free Workplace Act of 1988, your period of debarment may not exceed 
five years.



Sec.  1006.870  When do I know if the debarring official debars me?

    (a) The debarring official must make a written decision whether to 
debar within 45 days of closing the official record. The official record 
closes upon the debarring official's receipt of final submissions, 
information and findings of fact, if any. The debarring official may 
extend that period for good cause.
    (b) The debarring official sends you written notice, pursuant to 
Sec.  1006.615 that the official decided, either--
    (1) Not to debar you; or
    (2) To debar you. In this event, the notice:
    (i) Refers to the Notice of Proposed Debarment;
    (ii) Specifies the reasons for your debarment;
    (iii) States the period of your debarment, including the effective 
dates; and
    (iv) Advises you that your debarment is effective for covered 
transactions and contracts that are subject to the Federal Acquisition 
Regulation (48 CFR chapter 1), throughout the executive branch of the 
Federal Government unless an agency head or an authorized designee 
grants an exception.



Sec.  1006.875  May I ask the debarring official to reconsider a
decision to debar me?

    Yes, as a debarred person you may ask the debarring official to 
reconsider the debarment decision or to reduce the time period or scope 
of the debarment. However, you must put your request in writing and 
support it with documentation.



Sec.  1006.880  What factors may influence the debarring official
during reconsideration?

    The debarring official may reduce or terminate your debarment based 
on--
    (a) Newly discovered material evidence;
    (b) A reversal of the conviction or civil judgment upon which your 
debarment was based;
    (c) A bona fide change in ownership or management;
    (d) Elimination of other causes for which the debarment was imposed; 
or
    (e) Other reasons the debarring official finds appropriate.



Sec.  1006.885  May the debarring official extend a debarment?

    (a) Yes, the debarring official may extend a debarment for an 
additional period, if that official determines that an extension is 
necessary to protect the public interest.
    (b) However, the debarring official may not extend a debarment 
solely on the basis of the facts and circumstances upon which the 
initial debarment action was based.
    (c) If the debarring official decides that a debarment for an 
additional period is necessary, the debarring official must follow the 
applicable procedures in this subpart, and subpart F of this part, to 
extend the debarment.

[[Page 310]]



                          Subpart I_Definitions



Sec.  1006.900  Adequate evidence.

    Adequate evidence means information sufficient to support the 
reasonable belief that a particular act or omission has occurred.



Sec.  1006.905  Affiliate.

    Persons are affiliates of each other if, directly or indirectly, 
either one controls or has the power to control the other or a third 
person controls or has the power to control both. The ways we use to 
determine control include, but are not limited to--
    (a) Interlocking management or ownership;
    (b) Identity of interests among family members;
    (c) Shared facilities and equipment;
    (d) Common use of employees; or
    (e) A business entity which has been organized following the 
exclusion of a person which has the same or similar management, 
ownership, or principal employees as the excluded person.



Sec.  1006.910  Agency.

    Agency means any United States executive department, military 
department, defense agency, or any other agency of the executive branch. 
Other agencies of the Federal government are not considered ``agencies'' 
for the purposes of this part unless they issue regulations adopting the 
governmentwide Debarment and Suspension system under Executive orders 
12549 and 12689.



Sec.  1006.915  Agent or representative.

    Agent or representative means any person who acts on behalf of, or 
who is authorized to commit, a participant in a covered transaction.



Sec.  1006.920  Civil judgment.

    Civil judgment means the disposition of a civil action by any court 
of competent jurisdiction, whether by verdict, decision, settlement, 
stipulation, other disposition which creates a civil liability for the 
complained of wrongful acts, or a final determination of liability under 
the Program Fraud Civil Remedies Act of 1988 (31 U.S.C. 3801-3812).



Sec.  1006.925  Conviction.

    Conviction means--
    (a) A judgment or any other determination of guilt of a criminal 
offense by any court of competent jurisdiction, whether entered upon a 
verdict or plea, including a plea of nolo contendere; or
    (b) Any other resolution that is the functional equivalent of a 
judgment, including probation before judgment and deferred prosecution. 
A disposition without the participation of the court is the functional 
equivalent of a judgment only if it includes an admission of guilt.



Sec.  1006.930  Debarment.

    Debarment means an action taken by a debarring official under 
subpart H of this part to exclude a person from participating in covered 
transactions and transactions covered under the Federal Acquisition 
Regulation (48 CFR chapter 1). A person so excluded is debarred.



Sec.  1006.935  Debarring official.

    (a) Debarring official means an agency official who is authorized to 
impose debarment. A debarring official is either--
    (1) The agency head; or
    (2) An official designated by the agency head.
    (b) [Reserved]



Sec.  1006.940  Disqualified.

    Disqualified means that a person is prohibited from participating in 
specified Federal procurement or nonprocurement transactions as required 
under a statute, Executive order (other than Executive Orders 12549 and 
12689) or other authority. Examples of disqualifications include persons 
prohibited under--
    (a) The Davis-Bacon Act (40 U.S.C. 276(a));
    (b) The equal employment opportunity acts and Executive orders; or
    (c) The Clean Air Act (42 U.S.C. 7606), Clean Water Act (33 U.S.C. 
1368) and Executive Order 11738 (3 CFR, 1973 Comp., p. 799).



Sec.  1006.945  Excluded or exclusion.

    Excluded or exclusion means--
    (a) That a person or commodity is prohibited from being a 
participant in

[[Page 311]]

covered transactions, whether the person has been suspended; debarred; 
proposed for debarment under 48 CFR part 9, subpart 9.4; voluntarily 
excluded; or
    (b) The act of excluding a person.



Sec.  1006.950  Excluded Parties List System

    Excluded Parties List System (EPLS) means the list maintained and 
disseminated by the General Services Administration (GSA) containing the 
names and other information about persons who are ineligible. The EPLS 
system includes the printed version entitled, ``List of Parties Excluded 
or Disqualified from Federal Procurement and Nonprocurement Programs,'' 
so long as published.



Sec.  1006.955  Indictment.

    Indictment means an indictment for a criminal offense. A 
presentment, information, or other filing by a competent authority 
charging a criminal offense shall be given the same effect as an 
indictment.



Sec.  1006.960  Ineligible or ineligibility.

    Ineligible or ineligibility means that a person or commodity is 
prohibited from covered transactions because of an exclusion or 
disqualification.



Sec.  1006.965  Legal proceedings.

    Legal proceedings means any criminal proceeding or any civil 
judicial proceeding, including a proceeding under the Program Fraud 
Civil Remedies Act (31 U.S.C. 3801-3812), to which the Federal 
Government or a State or local government or quasi-governmental 
authority is a party. The term also includes appeals from those 
proceedings.



Sec.  1006.970  Nonprocurement transaction.

    (a) Nonprocurement transaction means any transaction, regardless of 
type (except procurement contracts), including, but not limited to the 
following:
    (1) Grants.
    (2) Cooperative agreements.
    (3) Scholarships.
    (4) Fellowships.
    (5) Contracts of assistance.
    (6) Loans.
    (7) Loan guarantees.
    (8) Subsidies.
    (9) Insurances.
    (10) Payments for specified uses.
    (11) Donation agreements.
    (b) A nonprocurement transaction at any tier does not require the 
transfer of Federal funds.



Sec.  1006.975  Notice.

    Notice means a written communication served in person, sent by 
certified mail or its equivalent, or sent electronically by e-mail or 
facsimile. (See Sec.  1006.615.)



Sec.  1006.980  Participant.

    Participant means any person who submits a proposal for or who 
enters into a covered transaction, including an agent or representative 
of a participant.



Sec.  1006.985  Person.

    Person means any individual, corporation, partnership, association, 
unit of government, or legal entity, however organized.



Sec.  1006.990  Preponderance of the evidence.

    Preponderance of the evidence means proof by information that, 
compared with information opposing it, leads to the conclusion that the 
fact at issue is more probably true than not.



Sec.  1006.995  Principal.

    Principal means--
    (a) An officer, director, owner, partner, principal investigator, or 
other person within a participant with management or supervisory 
responsibilities related to a covered transaction; or
    (b) A consultant or other person, whether or not employed by the 
participant or paid with Federal funds, who--
    (1) Is in a position to handle Federal funds;
    (2) Is in a position to influence or control the use of those funds; 
or,
    (3) Occupies a technical or professional position capable of 
substantially influencing the development or outcome of an activity 
required to perform the covered transaction.



Sec.  1006.1000  Respondent.

    Respondent means a person against whom an agency has initiated a 
debarment or suspension action.

[[Page 312]]



Sec.  1006.1005  State.

    (a) State means--
    (1) Any of the states of the United States;
    (2) The District of Columbia;
    (3) The Commonwealth of Puerto Rico;
    (4) Any territory or possession of the United States; or
    (5) Any agency or instrumentality of a state.
    (b) For purposes of this part, State does not include institutions 
of higher education, hospitals, or units of local government.



Sec.  1006.1010  Suspending official.

    (a) Suspending official means an agency official who is authorized 
to impose suspension. The suspending official is either:
    (1) The agency head; or
    (2) An official designated by the agency head.
    (b) [Reserved]



Sec.  1006.1015  Suspension.

    Suspension is an action taken by a suspending official under subpart 
G of this part that immediately prohibits a person from participating in 
covered transactions and transactions covered under the Federal 
Acquisition Regulation (48 CFR chapter 1) for a temporary period, 
pending completion of an agency investigation and any judicial or 
administrative proceedings that may ensue. A person so excluded is 
suspended.



Sec.  1006.1020  Voluntary exclusion or voluntarily excluded.

    (a) Voluntary exclusion means a person's agreement to be excluded 
under the terms of a settlement between the person and one or more 
agencies. Voluntary exclusion must have governmentwide effect.
    (b) Voluntarily excluded means the status of a person who has agreed 
to a voluntary exclusion.

Subpart J [Reserved]

[[Page 313]]



            Sec. Appendix to Part 1006--Covered Transactions
[GRAPHIC] [TIFF OMITTED] TR26NO03.000



PART 1007_SALARY OFFSET--Table of Contents



Sec.
1007.1 Purpose and scope.
1007.2 Definitions.
1007.3 Applicability.
1007.4 Notice requirements.
1007.5 Hearing.
1007.6 Written decision.
1007.7 Coordinating offset with another Federal agency.
1007.8 Procedures for salary offset.
1007.9 Refunds.
1007.10 Statute of limitations.
1007.11 Non-waiver of rights.
1007.12 Interest, penalties, and administrative costs.

    Authority: 5 U.S.C. 5514, E.O. 12107, 3 CFR, 1978 Comp., p. 264; 5 
CFR part 550, subpart K, and 22 U.S.C. 290f(e)(11).

    Source: 57 FR 2837, Jan. 24, 1992, unless otherwise noted.



Sec.  1007.1  Purpose and scope.

    (a) This regulation provides procedures for the collection by 
administrative offset of a federal employee's salary without his/her 
consent to satisfy certain debts owed to the federal government. These 
regulations apply to all federal employees who owe debts to the Inter-
American Foundation (IAF) and to current employees of the Inter-American 
Foundation who owe debts to other federal agencies. This regulation does 
not apply when the employee consents to recovery from his/her current 
pay account.
    (b) This regulation does not apply to debts or claims arising under:

[[Page 314]]

    (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et 
seq.;
    (2) The Social Security Act, 42 U.S.C. 301 et seq.;
    (3) The tariff laws of the United States; or
    (4) Any case where a collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute.
    (c) This regulation does not apply to any adjustment to pay arising 
out of an employee's selection of coverage or a change in coverage under 
a federal benefits program requiring periodic deductions from pay if the 
amount to be recovered was accumulated over four pay periods or less.
    (d) This regulation does not preclude the compromise, suspension, or 
termination of collection action where appropriate under the standards 
implementing the Federal Claims Collection Act, 31 U.S.C. 3711 et seq., 
4 CFR parts 101 through 105, 45 CFR part 1177.
    (e) This regulation does not preclude an employee from requesting 
waiver of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774 or 32 
U.S.C. 716 or in any way questioning the amount or validity of the debt 
by submitting a subsequent claim to the General Accounting Office. This 
regulation does not preclude an employee from requesting a waiver 
pursuant to other statutory provisions applicable to the particular debt 
being collected.
    (f) Matters not addressed in these regulations should be reviewed in 
accordance with the Federal Claims Collection Standards at 4 CFR 101.1 
et seq.



Sec.  1007.2  Definitions.

    For the purposes of the part, the following definitions will apply:
    Agency means an executive agency as defined at 5 U.S.C. 105 
including the U.S. Postal Service, the U.S. Postal Commission, a 
military department as defined at 5 U.S.C. 102, an agency or court in 
the judicial branch, an agency of the legislative branch including the 
U.S. Senate and House of Representatives and other independent 
establishments that are entities of the Federal government.
    Creditor Agency means the agency to which the debt is owed.
    Debt means an amount owed to the United States from sources which 
include loans insured or guaranteed by the United States and all other 
amounts due the United States from fees, leases, rents, royalties, 
services, sales of real or personal property, overpayments, penalties, 
damages, interests, fines, forfeitures (except those arising under the 
Uniform Code of Military Justice), and all other similar sources.
    Disposable pay means the amount that remains from an employee's 
federal pay after the required deductions for social security, federal, 
state or local income tax, health insurance premiums, retirement 
contributions, life insurance premiums, federal employment taxes, and 
any other deductions that are required to be withheld by law.
    Hearing official means an individual responsible for conducting any 
hearing with respect to the existence or amount of a debt claimed and 
who renders a decision on the basis of such hearing. A hearing official 
may not be under the supervision or control of the President of the 
Inter-American Foundation.
    Paying Agency means the agency that employs the individual who owes 
the debt and authorizes the payment of his/her current pay.
    President means the President of the Inter-American Foundation or 
the President's designee.
    Salary offset means an administrative offset to collect a debt 
pursuant to 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of an employee 
without his/her consent.



Sec.  1007.3  Applicability.

    (a) These regulations are to be followed when:
    (1) The Inter-American Foundation is owed a debt by an individual 
currently employed by another federal agency;
    (2) The Inter-American Foundation is owed a debt by an individual 
who is a current employee of the Inter-American Foundation; or
    (3) The Inter-American Foundation employs an individual who owes a 
debt to another federal agency.

[[Page 315]]



Sec.  1007.4  Notice requirements.

    (a) Deductions shall not be made unless the employee is provided 
with written notice, signed by the President, of the debt at least 30 
days before salary offset commences.
    (b) The written notice shall contain:
    (1) A statement that the debt is owed and an explanation of its 
nature and amount;
    (2) The agency's intention to collect the debt by deducting from the 
employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date, and duration of 
the intended deduction(s);
    (4) An explanation of interest, penalties, and administrative 
charges, including a statement that such charges will be assessed unless 
excused in accordance with the Federal Claims Collections Standards at 4 
CFR 101.1 et seq.;
    (5) The employee's right to inspect, request, and receive a copy of 
government records relating to the debt;
    (6) The opportunity to establish a written schedule for the 
voluntary repayment of the debt;
    (7) The right to a hearing conducted by an impartial hearing 
official;
    (8) The methods and time period for petitioning for hearings;
    (9) A statement that the timely filing of a petition for a hearing 
will stay the commencement of collection proceedings;
    (10) A statement that a final decision on the hearing will be issued 
not later than 60 days after the filing of the petition requesting the 
hearing unless the employee requests and the hearing official grants a 
delay in the proceedings;
    (11) A statement that knowingly false or frivolous statements, 
representations, or evidence may subject the employee to appropriate 
disciplinary procedures;
    (12) A statement of other rights and remedies available to the 
employee under statutes or regulations governing the program for which 
the collection is being made; and
    (13) Unless there are contractual or statutory provisions to the 
contrary, a statement that amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee.



Sec.  1007.5  Hearing.

    (a) Request for hearing. (1) An employee must file a petition for a 
hearing in accordance with the instructions outlined in the agency's 
notice to offset.
    (2) A hearing may be requested by filing a written petition 
addressed to the President of the Inter-American Foundation stating why 
the employee disputes the existence or amount of the debt. The petition 
for a hearing must be received by the President no later than fifteen 
(15) calendar days after the date of the notice to offset unless the 
employee can show good cause for failing to meet the deadline date.
    (b) Hearing procedures. (1) The hearing will be presided over by an 
impartial hearing official.
    (2) The hearing shall conform to procedures contained in the Federal 
Claims Collection Standards, 4 CFR 102.3(c). The burden shall be on the 
employee to demonstrate that the existence or the amount of the debt is 
in error.



Sec.  1007.6  Written decision.

    (a) The hearing official shall issue a written opinion no later than 
60 days after the hearing.
    (b) The written opinion will include: a statement of the facts 
presented to demonstrate the nature and origin of the alleged debt; the 
hearing official's analysis, findings and conclusions; the amount and 
validity of the debt, and the repayment schedule.



Sec.  1007.7  Coordinating offset with another Federal agency.

    (a) The Inter-American Foundation as the creditor agency. (1) When 
the President determines that an employee of another federal agency owes 
a delinquent debt to the Inter-American Foundation, the President shall 
as appropriate:
    (i) Arrange for a hearing upon the proper petitioning by the 
employee;
    (ii) Certify to the paying agency in writing that the employee owes 
the debt, the amount and basis of the debt, the date on which payment is 
due, the date the Government's right to collect

[[Page 316]]

the debt accrued, and that Foundation regulations for salary offset have 
been approved by the Office of Personnel Management;
    (iii) If collection must be made in installments, the President must 
advise the paying agency of the amount or percentage of disposable pay 
to be collected in each installment;
    (iv) Advise the paying agency of the actions taken under 5 U.S.C. 
5514(b) and provide the dates on which action was taken unless the 
employee has consented to salary offset in writing or signed a statement 
acknowledging receipt of procedures required by law. The written consent 
or acknowledgment must be sent to the paying agency;
    (v) If the employee is in the process of separating, the Foundation 
must submit its debt claim to the paying agency as provided in this 
part. The paying agency must certify any amounts already collected, 
notify the employee, and send a copy of the certification and notice of 
the employee's separation to the Inter-American Foundation. If the 
paying agency is aware that the employee is entitled to payments from 
the Civil Service Retirement and Disability Fund or similar payments, it 
must certify to the agency responsible for making such payments the 
amount of the debt and that the provisions of 5 CFR 550.1108 have been 
followed; and
    (vi) If the employee has already separated and all the payments due 
from the paying agency have been paid, the President may request unless 
otherwise prohibited, that money payable to the employee from the Civil 
Service Retirement and Disability Fund or other similar funds be 
collected by administrative offset.
    (b) The Foundation as the paying agency. (1) Upon receipt of a 
properly certified debt claim from another agency, deductions will be 
scheduled to begin at the next established pay interval. The employee 
must receive written notice that the Inter-American Foundation has 
received a certified debt claim from the creditor agency, the amount of 
the debt, the date salary offset will begin, and the amount of the 
deduction(s). The Inter-American Foundation shall not review the merits 
of the creditor agency's determination of the validity or the amount of 
the certified claim.
    (2) If the employee transfers to another agency after the creditor 
agency has submitted its debt claim to the Inter-American Foundation and 
before the debt is collected completely, the Inter-American Foundation 
must certify the total amount collected. One copy of the certification 
must be furnished to the employee. A copy must be furnished to the 
creditor agency with notice of the employee's transfer.



Sec.  1007.8  Procedures for salary offset.

    (a) Deductions to liquidate an employee's debt will be by the method 
and in the amount stated in the President's notice of intention to 
offset as provided in Sec.  1007.4. Debts will be collected in one lump 
sum where possible. If the employee is financially unable to pay in one 
lump sum, collection must be made in installments.
    (b) Debts will be collected by deduction at officially established 
pay intervals from an employee's current pay account unless alternative 
arrangements for repayment are made.
    (c) Installment deductions will be made over a period not greater 
than the anticipated period of employment. The size of installment 
deductions must bear a reasonable relationship to the size of the debt 
and the employee's ability to pay. The deduction for the pay interval 
for any period must not exceed 15% of disposable pay unless the employee 
has agreed in writing to a deduction of a greater amount.
    (d) Unliquidated debts may be offset against any financial payment 
due to a separated employee including but not limited to final salary or 
leave payments in accordance with 31 U.S.C. 3716.



Sec.  1007.9  Refunds.

    (a) The Inter-American Foundation will refund promptly any amounts 
deducted to satisfy debts owed to the IAF when the debt is waived, found 
not owed to the IAF, or when directed by an administrative or judicial 
order.
    (b) The creditor agency will promptly return any amounts deducted by 
IAF to satisfy debts owed to the creditor agency when the debt is 
waived, found

[[Page 317]]

not owed, or when directed by an administrative or judicial order.
    (c) Unless required by law, refunds under this subsection shall not 
bear interest.



Sec.  1007.10  Statute of limitations.

    If a debt has been outstanding for more than 10 years after the 
agency's right to collect the debt first accrued, the agency may not 
collect by salary offset unless facts material to the Government's right 
to collect were not known and could not reasonably have been known by 
the official or officials who were charged with the responsibility for 
discovery and collection of such debts.



Sec.  1007.11  Non-waiver of rights.

    An employee's involuntary payment of all or any part of a debt 
collected under these regulations will not be construed as a waiver of 
any rights that employee may have under 5 U.S.C. 5514 or any other 
provision of contract or law unless there are statutes or contract(s) to 
the contrary.



Sec.  1007.12  Interest, penalties, and administrative costs.

    Charges may be assessed for interest, penalties, and administrative 
costs in accordance with the Federal Claims Collection Standards, 4 CFR 
102.13.



PART 1008_GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE 
(FINANCIAL ASSISTANCE)--Table of Contents



                     Subpart A_Purpose and Coverage

Sec.
1008.100 What does this part do?
1008.105 Does this part apply to me?
1008.110 Are any of my Federal assistance awards exempt from this part?
1008.115 Does this part affect the Federal contracts that I receive?

      Subpart B_Requirements for Recipients Other Than Individuals

1008.200 What must I do to comply with this part?
1008.205 What must I include in my drug-free workplace statement?
1008.210 To whom must I distribute my drug-free workplace statement?
1008.215 What must I include in my drug-free awareness program?
1008.220 By when must I publish my drug-free workplace statement and 
          establish my drug-free awareness program?
1008.225 What actions must I take concerning employees who are convicted 
          of drug violations in the workplace?
1008.230 How and when must I identify workplaces?

        Subpart C_Requirements for Recipients Who Are Individuals

1008.300 What must I do to comply with this part if I am an individual 
          recipient?
1008.301 [Reserved]

    Subpart D_Responsibilities of Inter-American Foundation Awarding 
                                Officials

1008.400 What are my responsibilities as an Inter-American Foundation 
          awarding official?

           Subpart E_Violations of This Part and Consequences

1008.500 How are violations of this part determined for recipients other 
          than individuals?
1008.505 How are violations of this part determined for recipients who 
          are individuals?
1008.510 What actions will the Federal Government take against a 
          recipient determined to have violated this part?
1008.515 Are there any exceptions to those actions?

                          Subpart F_Definitions

1008.605 Award.
1008.610 Controlled substance.
1008.615 Conviction.
1008.620 Cooperative agreement.
1008.625 Criminal drug statute.
1008.630 Debarment.
1008.635 Drug-free workplace.
1008.640 Employee.
1008.645 Federal agency or agency.
1008.650 Grant.
1008.655 Individual.
1008.660 Recipient.
1008.665 State.
1008.670 Suspension.

    Authority: 41 U.S.C. 701 et seq.

    Source: 68 FR 66590, Nov. 26, 2003, unless otherwise noted.

[[Page 318]]



                     Subpart A_Purpose and Coverage



Sec.  1008.100  What does this part do?

    This part carries out the portion of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701 et seq., as amended) that applies to grants. It also 
applies the provisions of the Act to cooperative agreements and other 
financial assistance awards, as a matter of Federal Government policy.



Sec.  1008.105  Does this part apply to me?

    (a) Portions of this part apply to you if you are either--
    (1) A recipient of an assistance award from the Inter-American 
Foundation; or
    (2) A(n) Inter-American Foundation awarding official. (See 
definitions of award and recipient in Sec. Sec.  1008.605 and 1008.660, 
respectively.)
    (b) The following table shows the subparts that apply to you:

------------------------------------------------------------------------
            If you are . . .                    see subparts . . .
------------------------------------------------------------------------
(1) A recipient who is not an            A, B and E.
 individual.
(2) A recipient who is an individual...  A, C and E.
(3) A(n) Inter-American Foundation       A, D and E.
 awarding official.
------------------------------------------------------------------------



Sec.  1008.110  Are any of my Federal assistance awards exempt from
this part?

    This part does not apply to any award that the Inter-American 
Foundation President or designee determines that the application of this 
part would be inconsistent with the international obligations of the 
United States or the laws or regulations of a foreign government.



Sec.  1008.115  Does this part affect the Federal contracts that
I receive?

    It will affect future contract awards indirectly if you are debarred 
or suspended for a violation of the requirements of this part, as 
described in Sec.  1008.510(c). However, this part does not apply 
directly to procurement contracts. The portion of the Drug-Free 
Workplace Act of 1988 that applies to Federal procurement contracts is 
carried out through the Federal Acquisition Regulation in chapter 1 of 
Title 48 of the Code of Federal Regulations (the drug-free workplace 
coverage currently is in 48 CFR part 23, subpart 23.5).



      Subpart B_Requirements for Recipients Other Than Individuals



Sec.  1008.200  What must I do to comply with this part?

    There are two general requirements if you are a recipient other than 
an individual.
    (a) First, you must make a good faith effort, on a continuing basis, 
to maintain a drug-free workplace. You must agree to do so as a 
condition for receiving any award covered by this part. The specific 
measures that you must take in this regard are described in more detail 
in subsequent sections of this subpart. Briefly, those measures are to--
    (1) Publish a drug-free workplace statement and establish a drug-
free awareness program for your employees (see Sec. Sec.  1008.205 
through 1008.220); and
    (2) Take actions concerning employees who are convicted of violating 
drug statutes in the workplace (see Sec.  1008.225).
    (b) Second, you must identify all known workplaces under your 
Federal awards (see Sec.  1008.230).



Sec.  1008.205  What must I include in my drug-free workplace 
statement?

    You must publish a statement that--
    (a) Tells your employees that the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance 
is prohibited in your workplace;
    (b) Specifies the actions that you will take against employees for 
violating that prohibition; and
    (c) Lets each employee know that, as a condition of employment under 
any award, he or she:
    (1) Will abide by the terms of the statement; and
    (2) Must notify you in writing if he or she is convicted for a 
violation of a criminal drug statute occurring in the workplace and must 
do so no more

[[Page 319]]

than five calendar days after the conviction.



Sec.  1008.210  To whom must I distribute my drug-free workplace 
statement?

    You must require that a copy of the statement described in Sec.  
1008.205 be given to each employee who will be engaged in the 
performance of any Federal award.



Sec.  1008.215  What must I include in my drug-free awareness program?

    You must establish an ongoing drug-free awareness program to inform 
employees about--
    (a) The dangers of drug abuse in the workplace;
    (b) Your policy of maintaining a drug-free workplace;
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (d) The penalties that you may impose upon them for drug abuse 
violations occurring in the workplace.



Sec.  1008.220  By when must I publish my drug-free workplace statement
and establish my drug-free awareness program?

    If you are a new recipient that does not already have a policy 
statement as described in Sec.  1008.205 and an ongoing awareness 
program as described in Sec.  1008.215, you must publish the statement 
and establish the program by the time given in the following table:

------------------------------------------------------------------------
                If . . .                          then you . . .
------------------------------------------------------------------------
(a) The performance period of the award  must have the policy statement
 is less than 30 days.                    and program in place as soon
                                          as possible, but before the
                                          date on which performance is
                                          expected to be completed.
(b) The performance period of the award  must have the policy statement
 is 30 days or more.                      and program in place within 30
                                          days after award.
(c) You believe there are extraordinary  may ask the Inter-American
 circumstances that will require more     Foundation awarding official
 than 30 days for you to publish the      to give you more time to do
 policy statement and establish the       so. The amount of additional
 awareness program.                       time, if any, to be given is
                                          at the discretion of the
                                          awarding official.
------------------------------------------------------------------------



Sec.  1008.225  What actions must I take concerning employees who are
convicted of drug violations in the workplace?

    There are two actions you must take if an employee is convicted of a 
drug violation in the workplace:
    (a) First, you must notify Federal agencies if an employee who is 
engaged in the performance of an award informs you about a conviction, 
as required by Sec.  1008.205(c)(2), or you otherwise learn of the 
conviction. Your notification to the Federal agencies must--
    (1) Be in writing;
    (2) Include the employee's position title;
    (3) Include the identification number(s) of each affected award;
    (4) Be sent within ten calendar days after you learn of the 
conviction; and
    (5) Be sent to every Federal agency on whose award the convicted 
employee was working. It must be sent to every awarding official or his 
or her official designee, unless the Federal agency has specified a 
central point for the receipt of the notices.
    (b) Second, within 30 calendar days of learning about an employee's 
conviction, you must either--
    (1) Take appropriate personnel action against the employee, up to 
and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or
    (2) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for these purposes 
by a Federal, State or local health, law enforcement, or other 
appropriate agency.



Sec.  1008.230  How and when must I identify workplaces?

    (a) You must identify all known workplaces under each Inter-American 
Foundation award. A failure to do so is a violation of your drug-free 
workplace requirements. You may identify the workplaces--
    (1) To the Inter-American Foundation official that is making the 
award, either at the time of application or upon award; or

[[Page 320]]

    (2) In documents that you keep on file in your offices during the 
performance of the award, in which case you must make the information 
available for inspection upon request by Inter-American Foundation 
officials or their designated representatives.
    (b) Your workplace identification for an award must include the 
actual address of buildings (or parts of buildings) or other sites where 
work under the award takes place. Categorical descriptions may be used 
(e.g., all vehicles of a mass transit authority or State highway 
department while in operation, State employees in each local 
unemployment office, performers in concert halls or radio studios).
    (c) If you identified workplaces to the Inter-American Foundation 
awarding official at the time of application or award, as described in 
paragraph (a)(1) of this section, and any workplace that you identified 
changes during the performance of the award, you must inform the Inter-
American Foundation awarding official.



        Subpart C_Requirements for Recipients Who Are Individuals



Sec.  1008.300  What must I do to comply with this part if I am an 
individual recipient?

    As a condition of receiving a(n) Inter-American Foundation award, if 
you are an individual recipient, you must agree that--
    (a) You will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity related to the award; and
    (b) If you are convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any award activity, you will 
report the conviction:
    (1) In writing.
    (2) Within 10 calendar days of the conviction.
    (3) To the Inter-American Foundation awarding official or other 
designee for each award that you currently have, unless Sec.  1008.301 
or the award document designates a central point for the receipt of the 
notices. When notice is made to a central point, it must include the 
identification number(s) of each affected award.



Sec.  1008.301  [Reserved]



    Subpart D_Responsibilities of Inter-American Foundation Awarding 
                                Officials



Sec.  1008.400  What are my responsibilities as a(n) Inter-American
Foundation awarding official?

    As a(n) Inter-American Foundation awarding official, you must obtain 
each recipient's agreement, as a condition of the award, to comply with 
the requirements in--
    (a) Subpart B of this part, if the recipient is not an individual; 
or
    (b) Subpart C of this part, if the recipient is an individual.



           Subpart E_Violations of this Part and Consequences



Sec.  1008.500  How are violations of this part determined for recipients
other than individuals?

    A recipient other than an individual is in violation of the 
requirements of this part if the Inter-American Foundation President or 
designee determines, in writing, that--
    (a) The recipient has violated the requirements of subpart B of this 
part; or
    (b) The number of convictions of the recipient's employees for 
violating criminal drug statutes in the workplace is large enough to 
indicate that the recipient has failed to make a good faith effort to 
provide a drug-free workplace.



Sec.  1008.505  How are violations of this part determined for recipients
who are individuals?

    An individual recipient is in violation of the requirements of this 
part if the Inter-American Foundation President or designee determines, 
in writing, that--
    (a) The recipient has violated the requirements of subpart C of this 
part; or
    (b) The recipient is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any award activity.

[[Page 321]]



Sec.  1008.510  What actions will the Federal Government take against a
recipient determined to have violated this part?

    If a recipient is determined to have violated this part, as 
described in Sec.  1008.500 or Sec.  1008.505, the Inter-American 
Foundation may take one or more of the following actions--
    (a) Suspension of payments under the award;
    (b) Suspension or termination of the award; and
    (c) Suspension or debarment of the recipient under 22 CFR part 1006, 
for a period not to exceed five years.



Sec.  1008.515  Are there any exceptions to those actions?

    The Inter-American Foundation may waive with respect to a particular 
award, in writing, a suspension of payments under an award, suspension 
or termination of an award, or suspension or debarment of a recipient if 
the Inter-American Foundation determines that such a waiver would be in 
the public interest. This exception authority cannot be delegated to any 
other official.



                          Subpart F_Definitions



Sec.  1008.605  Award.

    Award means an award of financial assistance by the Inter-American 
Foundation or other Federal agency directly to a recipient.
    (a) The term award includes:
    (1) A Federal grant or cooperative agreement, in the form of money 
or property in lieu of money.
    (2) A block grant or a grant in an entitlement program, whether or 
not the grant is exempted from coverage under the Governmentwide rule 
[Agency-specific CFR citation] that implements OMB Circular A-102 (for 
availability, see 5 CFR 1310.3) and specifies uniform administrative 
requirements.
    (b) The term award does not include:
    (1) Technical assistance that provides services instead of money.
    (2) Loans.
    (3) Loan guarantees.
    (4) Interest subsidies.
    (5) Insurance.
    (6) Direct appropriations.
    (7) Veterans' benefits to individuals (i.e., any benefit to 
veterans, their families, or survivors by virtue of the service of a 
veteran in the Armed Forces of the United States).
    (c) Notwithstanding paragraph (a)(2) of this section, this paragraph 
is not applicable for the Inter-American Foundation.



Sec.  1008.610  Controlled substance.

    Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15.



Sec.  1008.615  Conviction.

    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes.



Sec.  1008.620  Cooperative agreement.

    Cooperative agreement means an award of financial assistance that, 
consistent with 31 U.S.C. 6305, is used to enter into the same kind of 
relationship as a grant (see definition of grant in Sec.  1008.650), 
except that substantial involvement is expected between the Federal 
agency and the recipient when carrying out the activity contemplated by 
the award. The term does not include cooperative research and 
development agreements as defined in 15 U.S.C. 3710a.



Sec.  1008.625  Criminal drug statute.

    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance.



Sec.  1008.630  Debarment.

    Debarment means an action taken by a Federal agency to prohibit a 
recipient from participating in Federal Government procurement contracts 
and covered nonprocurement transactions. A recipient so prohibited is 
debarred, in accordance with the Federal Acquisition Regulation for 
procurement contracts (48 CFR part 9, subpart 9.4) and

[[Page 322]]

the common rule, Government-wide Debarment and Suspension 
(Nonprocurement), that implements Executive Order 12549 and Executive 
Order 12689.



Sec.  1008.635  Drug-free workplace.

    Drug-free workplace means a site for the performance of work done in 
connection with a specific award at which employees of the recipient are 
prohibited from engaging in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance.



Sec.  1008.640  Employee.

    (a) Employee means the employee of a recipient directly engaged in 
the performance of work under the award, including--
    (1) All direct charge employees;
    (2) All indirect charge employees, unless their impact or 
involvement in the performance of work under the award is insignificant 
to the performance of the award; and
    (3) Temporary personnel and consultants who are directly engaged in 
the performance of work under the award and who are on the recipient's 
payroll.
    (b) This definition does not include workers not on the payroll of 
the recipient (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the payroll; 
or employees of subrecipients or subcontractors in covered workplaces).



Sec.  1008.645  Federal agency or agency.

    Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency.



Sec.  1008.650  Grant.

    Grant means an award of financial assistance that, consistent with 
31 U.S.C. 6304, is used to enter into a relationship--
    (a) The principal purpose of which is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Federal Government's direct benefit or use; 
and
    (b) In which substantial involvement is not expected between the 
Federal agency and the recipient when carrying out the activity 
contemplated by the award.



Sec.  1008.655  Individual.

    Individual means a natural person.



Sec.  1008.660  Recipient.

    Recipient means any individual, corporation, partnership, 
association, unit of government (except a Federal agency) or legal 
entity, however organized, that receives an award directly from a 
Federal agency.



Sec.  1008.665  State.

    State means any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, or any territory or 
possession of the United States.



Sec.  1008.670  Suspension.

    Suspension means an action taken by a Federal agency that 
immediately prohibits a recipient from participating in Federal 
Government procurement contracts and covered nonprocurement transactions 
for a temporary period, pending completion of an investigation and any 
judicial or administrative proceedings that may ensue. A recipient so 
prohibited is suspended, in accordance with the Federal Acquisition 
Regulation for procurement contracts (48 CFR part 9, subpart 9.4) and 
the common rule, Government-wide Debarment and Suspension 
(Nonprocurement), that implements Executive Order 12549 and Executive 
Order 12689. Suspension of a recipient is a distinct and separate action 
from suspension of an award or suspension of payments under an award.

                       PARTS 1009	1099 [RESERVED]

[[Page 323]]



 CHAPTER XI--INTERNATIONAL BOUNDARY AND WATER COMMISSION, UNITED STATES 
                    AND MEXICO, UNITED STATES SECTION




  --------------------------------------------------------------------
Part                                                                Page
1100            Employee responsibilities and conduct.......         325
1101            Privacy Act of 1974.........................         325
1102            Freedom of Information Act..................         336
1103            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by International 
                    Boundary and Water Commission, United 
                    States and Mexico, United States Section         345
1104            Protection of archaeological resources......         351
1105-1199

 [Reserved]

[[Page 325]]



PART 1100_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents



    Authority: 5 U.S.C. 7301.

    Source: 71 FR 25934, May 3, 2006, unless otherwise noted.



Sec.  1100.1  Cross-references to employee ethical conduct standards, 
financial disclosure and financial interests regulations and other
conduct rules.

    Employees of the United States Section of the International Boundary 
and Water Commission are subject to the executive branch standards of 
ethical conduct contained in 5 CFR part 2635, the executive branch 
financial disclosure regulations contained in 5 CFR part 2634, and the 
executive branch financial interests regulations contained in 5 CFR part 
2640, as well as the executive branch employee responsibilities and 
conduct regulations contained in 5 CFR part 735.



PART 1101_PRIVACY ACT OF 1974--Table of Contents



Sec.
1101.1 Purpose and scope.
1101.2 Definitions.
1101.3 General policy: Collection and use of personal information.
1101.4 Reports on new systems of records; computer matching programs.
1101.5 Security, confidentiality and protection of records.
1101.6 Requests for access to records.
1101.7 Disclosure of records to individuals who are subjects of those 
          records.
1101.8 Disclosure of records to third parties.
1101.9 Exemptions.
1101.10 Accounting for disclosures.
1101.11 Fees.
1101.12 Request to correct or amend a record.
1101.13 Agency review of request to correct or amend a record.
1101.14 Appeal of Agency decision not to correct or amend a record.
1101.15 Judicial review.
1101.16 Criminal penalties.
1101.17 Annual Report to Congress.

    Authority: Privacy Act of 1974 (Pub. L. 93-579, as amended, 5 U.S.C. 
552a).

    Source: 57 FR 24945, June 12, 1992, unless otherwise noted.



Sec.  1101.1  Purpose and scope.

    The purpose of these regulations is to prescribe responsibilities, 
rules, guidelines, and policies and procedures to implement the Privacy 
Act of 1974 (Pub. L. 93-579, as amended; 5 U.S.C. 552a) to assure that 
personal information about individuals collected by the United States 
Section is limited to that which is legally authorized and necessary and 
is maintained in a manner which precludes unwarranted intrusions upon 
individual privacy. Further, these regulations establish procedures by 
which an individual can: (a) Determine if the United States Section 
maintains records or a system of records which includes a record 
pertaining to the individual and (b) gain access to a record pertaining 
to him or her for the purpose of review, amendment or correction.



Sec.  1101.2  Definitions.

    For the purpose of these regulations:
    (a) Act means the Privacy Act of 1974.
    (b) Agency is defined to include any executive department, military 
department, Government corporation, Government controlled corporation or 
other establishment in the executive branch of the Government (including 
the Executive Office of the President, or any independent regulatory 
agency) (5 U.S.C. 552)).
    (c) Commission means the International Boundary and Water 
Commission, United States and Mexico.
    (d) Commissioner means head of the United States Section, 
International Boundary and Water Commission, United States and Mexico.
    (e) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence.
    (f) Maintain includes maintain, collect, use, or disseminate.
    (g) Record means any item, collection, or grouping of information 
about an individual that is maintained by an agency, including, but not 
limited to, his education, financial transactions, medical history, and 
criminal or employment history and that contains his name, or the 
identifying number, symbol, or other identifying particular assigned to 
the individual, such as a finger or voice print or a photograph.
    (h) Routine use means, with respect to the disclosure of a record, 
the use of

[[Page 326]]

such record for a purpose which is compatible with the purpose for which 
it is collected.
    (i) Section means the United States Section, International Boundary 
and Water Commission, United States and Mexico.
    (j) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by 13 U.S.C. 8 (Census 
data).
    (k) System of records means a group of any records under the control 
of any agency from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual.



Sec.  1101.3  General policy: Collection and use of personal information.

    (a) Heads of Divisions, Branches, and the projects shall ensure that 
all Section personnel subject to their supervision are advised of the 
provisions of the Act, including the criminal penalties and civil 
liabilities provided therein, and that Section personnel are made aware 
of their responsibilities to protect the security of personal 
information, to assure its accuracy, relevance, timeliness and 
completeness, to avoid unauthorized disclosure either orally or in 
writing, and to ensure that no system of records concerning individuals, 
no matter how small or specialized, is maintained without public notice.
    (b) Section personnel shall:
    (1) Collect no information of a personal nature from individuals 
unless authorized to collect it to achieve a function or carry out a 
responsibility or function of the Section.
    (2) Collect from individuals only that information which is 
necessary to Section responsibilities or functions;
    (3) Collect information, wherever possible, directly from the 
individual to whom it relates;
    (4) Inform individuals from whom information is collected of the 
authority for collection, the purpose thereof, the uses that will be 
made of the information, and the effects, both legal and practical, of 
not furnishing the information;
    (5) Neither collect, maintain, use nor disseminate information 
concerning an individual's religious or political beliefs or activities 
or his membership in associations or organizations, unless (i) the 
individual has volunteered such information for his own benefit; (ii) 
the information is expressly authorized by statute to be collected, 
maintained, used or disseminated; or (iii) the activities involved are 
pertinent to and within the scope of an authorized investigation or 
adjudication activity;
    (6) Advise an individual's supervisors of the existence or 
contemplated development of any system of records which retrieves 
information about individuals by individual identified;
    (7) Maintain an accounting of all disclosures of information to 
other than Section personnel;
    (8) Disclose no information concerning individuals to other than 
Section personnel except when authorized by the Act or pursuant to a 
routine use published in the Federal Register;
    (9) Maintain and process information concerning individuals with 
care in order to ensure that no inadvertent disclosure of the 
information is made to other than Section personnel; and
    (10) Call to the attention of the PA Officer any information in a 
system maintained by the Section which is not authorized to be 
maintained under the provisions of the Act, including information on 
First Amendment activities, information that is inaccurate, irrelevant 
or so incomplete as to risk unfairness to the individual concerned.
    (c) The system of records maintained by the Section shall be 
reviewed annually by the PA Officer to ensure compliance with the 
provisions of the Act.
    (d) Information which may be used in making determinations about an 
individual's rights, benefits, and privileges shall, to the greatest 
extent practicable, be collected directly from that individual. In 
deciding whether collection of information from an individual, as 
opposed to a third party source, is practicable, the following criteria, 
among others, may be considered:
    (1) Whether the nature of the information sought is such that it can 
only be obtained from a third party;

[[Page 327]]

    (2) Whether the cost of collecting the information from the 
individual is unreasonable when compared with the cost of collecting it 
from a third party;
    (3) Whether there is a risk that information requested from the 
third parties, if inaccurate, could result in an adverse determination 
to the individual concerned;
    (4) Whether the information, if supplied by the individual, would 
have to be verified by a third party; or
    (5) Whether provisions can be made for verification by the 
individual of information collected from third parties.
    (e) Employees whose duties require handling of records subject to 
the Act shall, at all times, take care to protect the integrity, 
security and confidentiality of these records.
    (f) No employee of the section may alter or destroy a record subject 
to the Act unless (1) such alteration or destruction is properly 
undertaken in the course of the employee's regular duties or (2) such 
alteration or destruction is required by a decision of the Commissioner 
or the decision of a court of competent jurisdiction.



Sec.  1101.4  Reports on new systems of records; computer matching
programs.

    (a) Before establishing any new systems of records, or making any 
significant change in a system of records, the Section shall provide 
adequate advance notice to:
    (1) The Committee on Government Operations of the House of 
Representatives;
    (2) The Committee on Governmental Affairs of the Senate; and
    (3) The Office of Management and Budget.
    (b) Before participating in any computerized information ``matching 
program,'' as that term is defined by 5 U.S.C. 552a(a)(8) the Section 
will comply with the provisions of 5 U.S.C. 552a(o), and will provide 
adequate advance notice as described in Sec.  1101.4(a) above.



Sec.  1101.5  Security, confidentiality and protection of records.

    (a) The Act requires that records subject to the Act be maintained 
with appropriate administrative, technical and physical safeguards to 
ensure the security and confidentiality of records and to protect 
against any anticipated threats or hazards to their security or 
integrity which could result in substantial harm, embarrassment, 
inconvenience or unfairness to any individual on whom information is 
maintained.
    (b) When maintained in manual form (typed, printed, handwritten, 
etc.) records shall be maintained, at a minimum, subject to the 
following safeguards, or safeguards affording comparable protection:
    (1) Areas in which the records are maintained or regularly used 
shall be posted with an appropriate warning stating that access to the 
records is limited to authorized persons. The warning shall also 
summarize the requirements of Sec.  1101.3 and state that the Act 
contains a criminal penalty for the unauthorized dislosure of records to 
which it applies.
    (2) During working hours: (i) The area in which the records are 
maintained or regularly used shall be occupied by authorized personnel 
or (ii) access to the records shall be restricted by their storage in 
locked metal file cabinets or a locked room.
    (3) During non-working hours, access to the records shall be 
restricted by their storage in locked metal file cabinets or a locked 
room.
    (4) Where a locked room is the method of security provided for a 
system, that security shall be supplemented by: (i) Providing lockable 
file cabinets or containers for the records or (ii) changing the lock or 
locks for the room so that they may not be opened with a master key. For 
purposes of this paragraph, a master key is a key which may be used to 
open rooms other than the room containing records subject to the Act, 
unless those rooms are utilized by officials or employees authorized to 
have access to the records subject to the Act.
    (5) Personnel handling personal information during routine use will 
ensure that the information is properly controlled to prevent 
unintentional or unauthorized disclosure. Such information will be used, 
held, or stored only

[[Page 328]]

where facilities or conditions are adequate to prevent unauthorized or 
unintentional disclosure.
    (c) When the records subject to the Act are maintained in 
computerized form, safeguards shall be utilized based on those 
recommended in the National Bureau of Standard's booklet ``Computer 
Security Guidelines for Implementing the Privacy Act of 1974'' (May 30, 
1975), and any supplements thereto, which are adequate and appropriate 
to assuring the integrity of the records.



Sec.  1101.6  Requests for access to records.

    (a) Any individual may submit an inquiry to the Section to ascertain 
whether a system of records contains a record pertaining to him or her.
    (b) The inquiry should be made either in person or by mail addressed 
to the PA Officer, United States Section, International Boundary and 
Water Commission, 4171 North Mesa, Suite C-310, El Paso, TX 79902-1422. 
The PA Officer shall provide assistance to the individual making the 
inquiry to assure the timely identification of the appropriate systems 
of records. The office of the PA Officer is located in Suite C-316 and 
is open to an individual between the hours of 8 a.m. and 4:30 p.m., 
Monday through Friday (excluding holidays).
    (c) Inquiries submitted by mail should be marked ``PRIVACY ACT 
REQUEST'' on the bottom left-hand corner of the envelope.
    (d) The letter should state that the request is being made under the 
Privacy Act.
    (e) Inquiries concerning whether a system of records contains a 
record pertaining to an individual should contain the following:
    (1) Name, address and telephone number (optional) of the individual 
making the inquiry;
    (2) Name, address and telephone number (optional) of the individual 
to whom the record pertains, if the inquiring individual is either the 
parent of a minor or the legal guardian of the individual to whom a 
record pertains;
    (3) A certified or authenticated copy of documents establishing 
parentage or guardianship;
    (4) Whether the individual to whom the record pertains is a citizen 
of the United States or an alien lawfully admitted for permanent 
residence into the United States;
    (5) Name of the system of records, as published in the Federal 
Register;
    (6) Location of the system of records, as published in the Federal 
Register;
    (7) Such additional information as the individual believes will or 
might assist the Section in responding to the inquiry and in verifying 
the individual's identity (for example: date of birth, place of birth, 
names of parents, place of work, dates of employment, position title, 
etc.);
    (8) Date of inquiry; and
    (9) Signature of the requester.


The Section reserves the right to require compliance with the 
identification procedures appearing at paragraph (f) of this section 
where conditions warrant.
    (f) The requirement for identification of individuals seeking access 
to records are as follows:
    (1) In person: Each individual making a request in person shall be 
required to present satisfactory proof of identity. The means of proof, 
in the order of preference and priority, are:
    (i) A document bearing the individual's photograph (for example, 
driver's license, passport or military or civilian identification card);
    (ii) A document bearing the individual's signature, preferably 
issued for participation in a federally sponsored program (for example, 
Social Security card, unemployment insurance book, employer's 
identification card, national credit card and professional, craft or 
union membership card); and
    (iii) A document bearing either the photograph or the signature of 
the individual, preferably issued for participation in a federally 
sponsored program (for example, Medicaid card). In the event the 
individual can provide no suitable documentation of identity, the 
Section will require a signed statement asserting the individual's 
identity and stipulating that the individual understands the penalty 
provision of 5 U.S.C. 552a(i)(3).
    (2) Not in person: If the individual making a request does not 
appear in person before the PA Officer, a certificate of a notary public 
or equivalent

[[Page 329]]

officer empowered to administer oaths must accompany the request.
    (3) Parents of minors and legal guardians: An individual acting as 
the parent of a minor or the legal guardian of the individual or an heir 
or legal representative of a deceased person to whom a record pertains 
shall establish his or her personal identity in the manner prescribed in 
either paragraph (f)(1) or (2) of this section. In addition, such 
individual shall establish his or her identity in the representative 
capacity of parent or legal guardian. In the case of the parent of a 
minor, the proof of identity shall be a certified or authenticated copy 
of the minor's birth certificate. In the case of a legal guardian of an 
individual who has been declared incompetent due to physical or mental 
incapacity or age by a court of competent jurisdiction, the proof of 
identity shall be a certified or authenticated copy of the court's 
order. A parent or legal guardian may act only for a living individual, 
not for a decedent. A parent or legal guardian may be accompanied during 
personal access to a record by another individual, provided the 
requirements of paragraph (f) of Sec.  1101.7 are satisfied. In the case 
of an heir or legal representative of a deceased person the proof of 
identity shall be a certified copy of the Will, if any; the order of a 
court of competent jurisdiction admitting the Will to probate; the order 
of a court of competent jurisdiction appointing an executor, executrix, 
or administrator; a letter of administration; or any other documentary 
evidence which establishes the identity of the individual as an heir or 
legal representative of a deceased person.
    (g) When the provisions of this part are alleged to have the effect 
of impeding an individual in exercising his or her right to access, the 
Section will consider, from an individual making a request, alternative 
suggestions regarding proof of identity and access to records.
    (h) An inquiry which is not addressed as specified in paragraph (b) 
of this section or which is not marked as specified in paragraph (c) of 
this section will be so addressed and marked by the Section's personnel 
and forwarded immediately to the PA Officer. An inquiry which is not 
properly addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring time periods for response until 
forwarding of the inquiry to the PA Officer has been effected. In each 
instance when an inquiry so forwarded is received, the PA Officer shall 
notify the individual that his or her inquiry was improperly addressed 
and the date when the inquiry was received at the proper address.
    (i) Each inquiry received shall be acted upon promptly by the PA 
Officer. Although there is no fixed time when an agency must respond to 
a request for access to records under the Act, every effort will be made 
to respond within ten (10) days (excluding Saturdays, Sundays and 
holidays) of the date of receipt. If a response cannot be made within 
ten (10) days, the PA Officer shall send an acknowledgment during that 
period providing information on the status of the inquiry and asking for 
such further information as may be necessary to process the inquiry. 
Every effort will be made to provide the requested records within thirty 
(30) days.
    (j) An individual shall not be required to state a reason or 
otherwise justify his or her inquiry.



Sec.  1101.7  Disclosure of records to individuals who are subjects
of those records.

    (a) Each request received shall be acted upon promptly by the PA 
Officer. Every effort will be made to respond within ten (10) days 
(excluding Saturdays, Sundays, and holidays) of the date of receipt. If 
a response cannot be made within ten (10) days due to unusual 
circumstances, the PA Officer shall send an acknowledgment during that 
period providing information on the status of the request and asking for 
such further information as may be necessary to process the request. 
Every effort will be made to provide the requested records within thirty 
(30) days. ``Unusual circumstances'' shall include circumstances where a 
search for and collection of requested records from inactive storage, 
field facilities or other establishments are required, cases where a 
voluminous amount of data is involved, instances where information on 
other individuals must be separated

[[Page 330]]

or expunged from the particular record, and cases where consultations 
with other agencies having a substantial interest in the determination 
of the request are necessary.
    (b) Grant of access:
    (1) Notification.
    (i) An individual shall be granted access to a record pertaining to 
him or her except where the record is subject to an exemption under the 
Act and these rules.
    (ii) The PA Officer shall notify the individual of such 
determination and provide the following information:
    (A) The methods of access, as set forth in paragraph (b)(2) of this 
section;
    (B) The place at which the records may be inspected;
    (C) The earliest date on which the record may be inspected and the 
period of time that the records will remain available for inspection. In 
no event shall the earliest date be later than thirty (30) days from the 
date of notification;
    (D) The estimated date by which a copy of the record could be mailed 
and the estimate of fees pursuant to Sec.  1101.11. In no event shall be 
estimated date be later than thirty (30) days from the date of 
notification;
    (E) The fact that the individual, if he or she wishes, may be 
accompanied by another individual during the personal access, subject to 
the procedures set forth in paragraph (f) of this section; and
    (F) Any additional requirements needed to grant access to a specific 
record.
    (2) Method of access: The following methods of access to records by 
an individual may be available depending on the circumstances of a given 
situation:
    (i) Inspection in person may be made in the office specified by the 
PA Officer, between the hours of 8 a.m. and 4:30 p.m., Monday through 
Friday (excluding holidays);
    (ii) Transfer of records to a Federal facility more convenient to 
the individual may be arranged, but only if the PA Officer determines 
that a suitable facility is available, that the individual's access can 
be properly supervised at that facility, and that transmittal of the 
records to that facility will not unduly interfere with operations of 
the section or involve unreasonable costs, in terms of both money and 
manpower; and
    (iii) Copies may be mailed at the request of the individual, subject 
to payment of the fees prescribed in Sec.  1101.11. The Section, at its 
own initiative, may elect to provide a copy by mail, in which case no 
fee will be charged to the individual.
    (c) Access to medical records: Upon advice by a physician that 
release of medical information directly to the requester could have an 
adverse effect on the requester, the Section may attempt to arrange an 
acceptable alternative. This will normally involve release of such 
information to a physician named by the requester, with the requester's 
written consent. (Note that release to any third party, including a 
physician or family member, must comply with the provisions of Sec.  
1101.8 of this part.)
    (d) The Section shall supply such other information and assistance 
at the time of access to make the record intelligible to the individual.
    (e) The Section reserves the right to limit access to copies and 
abstracts of original records, rather than the original records. This 
election would be appropriate, for example, when the record is in an 
automated data media such as tape of disc, when the record contains 
information on other individuals, and when deletion of information is 
permissible under exemptions (for example 5, U.S.C. 552(k)(1)). In no 
event shall original records of the Section be made available to the 
individual except under the immediate supervision of the PA Officer or 
his designee. Title 18 U.S.C. 2701(a) makes it a crime to conceal, 
mutilate, obliterate, or destroy a record filed in a public office, or 
to attempt to do any of the foregoing.
    (f) Any individual who requests access to a record pertaining to 
that individual may be accompanied by another individual of his or her 
choice. ``Accompanied'' includes discussion of the record in the 
presence of the other individual. The individual to whom the record 
pertains shall authorize the presence of the other individual in writing 
and shall include the name of the other individual, a specific 
description of the record to which access is

[[Page 331]]

sought, and the date and the signature of the individual to whom the 
record pertains. The other individual shall sign the authorization in 
the presence of the PA Officer or his designee. An individual shall not 
be required to state a reason or otherwise justify his or her decision 
to be accompanied by another individual during the personal access to a 
record.
    (g) Initial denial of access:
    (1) Grounds. Access by an individual to a record which pertains to 
that individual will be denied only upon a determination by the PA 
Officer that:
    (i) The record is subject to an exemption under the Act and these 
rules;
    (ii) The record is information compiled in reasonable anticipation 
of a civil action or proceeding;
    (iii) The provisions of Sec.  1101.7(c) pertaining to medical 
records have been temporarily invoked; or
    (iv) The individual unreasonably has failed to comply with the 
procedural requirements of these rules.
    (2) Notification. The PA Officer shall give notice of denial of 
access of records to the individual in writing and shall include the 
following information:
    (i) The PA Officer's name and title or position;
    (ii) The date of denial;
    (iii) The reasons for the denial, including citation to the 
appropriate section of the Act and these rules;
    (iv) The individual's opportunities for further administrative 
consideration, including the identity and address of the responsible 
official;
    (v) If stated to be administratively final within the Section, the 
individual's right to judicial review under 5 U.S.C. 552a(g) (1) and 
(5).
    (3) Administrative review: When an initial denial of a request is 
issued by the PA Officer, the individual's opportunities for further 
consideration shall be as follows:
    (i) As to denial under paragraph (g)(1)(i) of this section, the sole 
procedure is a petition for the issuance, amendment, or repeal of a rule 
under 5 U.S.C. 553(e). Such petition shall be filed with the 
Commissioner, United States Section, International Boundary and Water 
Commission, 4171 North Mesa, Suite C-310, El Paso, TX 79902-1422. If the 
exception was determined by another agency, the PA Officer will provide 
the individual with the name and address of the other agency and any 
relief sought by the individual shall be that provided by the 
regulations of the other agency. Within the Section, no such denial is 
administratively final until such a petition has been filed by the 
individual and disposed of on the merits by the Commissioner.
    (ii) As to denial under paragraphs (g)(1), (ii), (iii) or (iv) of 
this section, the individual may file for review with the Commissioner, 
as indicated in the PA Officer's initital denial notification.
    (h) If a request is partially granted and partially denied, the PA 
Officer shall follow the appropriate procedures of this section as to 
the records within the grant and the records within the denial.



Sec.  1101.8  Disclosure of records to third-parties.

    (a) The Section will not disclose any information about an 
individual to any person other than the individual except in the 
following instances:
    (1) Upon written request by the individual about whom the 
information is maintained;
    (2) With prior written consent of the individual about whom the 
information is maintained;
    (3) To the parent(s) of a minor child, or the legal guardian of an 
incompetent person, when said parent(s) or legal guardian act(s) on 
behalf of said minor or incompetent person.
    (4) When permitted under 5 U.S.C. 552a(b) (1) through (11) which 
provides as follows:
    (i) To those officers and employees of the agency which maintains 
the record who have a need for the record in the performance of their 
duties;
    (ii) Required under 5 U.S.C. 552 of the U.S. Code;
    (iii) For a routine use as defined in the Act at 5 U.S.C. 
552a(a)(7);
    (iv) 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 of the U.S. Code;

[[Page 332]]

    (v) To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (vi) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Administrator of General Services or his designee to determine whether 
the record has such value;
    (vii) 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, if the head of the agency or instrumentality has made a written 
request to the agency which maintains the record specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought;
    (viii) 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;
    (ix) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee, and 
to a Congressman who is acting on behalf of his constituent;
    (x) To the Comptroller General, or any of his authorized 
representatives, in the course of the performance of the duties of the 
General Accounting Office; or
    (xi) Pursuant to the order of a court of competent jurisdiction;
    (5) When required by the Act and not covered explicitly by the 
provisions of 5 U.S.C. 552a(b). These situations include the following:
    (i) Dissemination of a corrected or amended record or notation of a 
disagreement statement (5 U.S.C. 552a(c)(4));
    (ii) Disclosure of records to an individual to whom they pertain (5 
U.S.C. 552a(d));
    (iii) Civil actions by an individual (5 U.S.C. 552a(g));
    (iv) Release of records or information to the Privacy Protection 
Study Commission (Section 5 of Pub. L. 93-579);
    (v) Fulfill the needs of Office of Management and Budget to provide 
continuing oversight and assistance to the section in implementation of 
the Act (Section 6 of Pub. L. 93-579).



Sec.  1101.9  Exemptions.

    The following are exempt from disclosure under 5 U.S.C. 552a (j) and 
(k):
    (a) Any record originated by another agency which has determined 
that the record is exempt. If a request encompasses such a record, the 
Section will advise the requester of its existence, and of the name and 
address of the source agency.
    (b) Records specifically authorized under criteria established by an 
executive order to be kept secret in the interest of national defense or 
foreign policy, and which are, in fact, properly classified pursuant to 
such executive order.
    (c) Those systems of records listed as exempt in the Notice of 
Records of the Federal Register, including: Certificates of Medical 
Examination; Occupational Health and Injury Files; and Investigative 
Records.



Sec.  1101.10  Accounting for disclosures.

    (a) Each system manager shall establish a system of accounting for 
all disclosures of records, either orally or in writing made outside the 
Section, unless otherwise exempted under this section. Accounting 
procedures may be established in the least expensive and most convenient 
form that will permit the PA Officer to advise individuals promptly upon 
request of the persons or agencies to which records concerning them have 
been disclosed. Accounting of disclosures made under 5 U.S.C. 552a(b)(7) 
relating to civil or criminal law enforcement activities shall not be 
made available to the individual named in the record.
    (b) Accounting records, at a minimum, shall include the date, 
nature, and purpose of each disclosure of a

[[Page 333]]

record and the name and address of the person or agency to whom the 
disclosure was made. Accounting records shall be maintained for at least 
five years or the life of the record, whichever is longer.
    (c) Accounting is not required to be kept for disclosure made within 
the Section or disclosures made pursuant to the Freedom of Information 
Act.
    (d) If an accounting of the disclosure was made, the PA Officer 
shall inform any person or other agency about any correction or notation 
of dispute made by the Section in accordance with 5 U.S.C. 552a(d) of 
any record that has been disclosed to the person or agency.



Sec.  1101.11  Fees.

    (a) Under the Act, fees can only be charged for the cost of copying 
records. No fees may be charged for the time it takes to search for the 
records or for the time it takes to determine if any exemptions apply. 
The Section will not charge a fee for the first copy of an individual's 
personnel record.
    (b) The Section will charge a fee of $0.10 per page for copies of 
documents which are identified by an individual and reproduced at the 
individual's request for retention, except that there will be no charge 
for requests involving costs of $1.00 or less, but the copying fees for 
contemporaneous request by the same individual shall be aggregated to 
determine the total fee.
    (c) Special and additional services provided at the request of the 
individual, such as certification or authentication, will be charged to 
the individual in accordance with other published regulations of the 
Section pursuant to statute (for example, 22 CFR part 1102--Freedom of 
Information Act.)
    (d) Remittances shall be in the form of either a personal check or 
bank draft drawn on a bank in the United States, a postal money order, 
or cash. Remittance shall be made payable to the order of the U.S. 
Section, International Boundary and Water Commission, and delivered to 
or mailed to the PA Officer, United States Section, International 
Boundary and Water Commission, 4171 North Mesa, Suite C-310, El Paso, TX 
79902-1422. The Section will assume no responsibility for cash sent by 
mail.
    (e) A receipt for fees paid will be given only upon request.



Sec.  1101.12  Request to correct or amend a record.

    (a) Any individual may submit a request for correction of or 
amendment to a record to the Section. The request should be made either 
in person or by mail addressed to the PA Officer who processed the 
individual's request for access to the record, and to whom is delegated 
authority to make initial determinations on requests for correction or 
amendment.
    (b) Since the request, in all cases, will follow a request for 
access under Sec.  1101.6, the individual's identity will be established 
by his or her signature on the request.
    (c) A request for correction or amendment should be in writing. The 
envelope containing the request should be marked ``Privacy Act Amendment 
Request'' on the lower left hand corner. The request should include the 
following:
    (1) First, the letter should state that it is a request to amend a 
record under the Privacy Act of 1974.
    (2) Second, the request should identify the specific record and the 
specific information in the record for which an amendment is being 
sought.
    (3) Third, the request should state why the information is not 
accurate, relevant, timely, or complete. Supporting evidence may be 
included with the request.
    (4) Fourth, the request should state what new or additional 
information, if any, should be included in place of the erroneous 
information. Evidence of the validity of new or additional information 
should be included. If the information in the file is wrong and needs to 
be removed rather than supplemented or corrected, the request should 
make this clear.
    (5) Fifth, the request should include the name, address, and 
telephone number (optional) of the requester.



Sec.  1101.13  Agency review of request to correct or amend a record.

    (a) (1) Not later than ten (10) days (excluding Saturdays, Sundays 
and

[[Page 334]]

holidays) after receipt of a request to correct or amend a record, the 
PA Officer shall send an acknowledgment providing an estimate of time 
within which action will be taken on the request and asking for such 
further information as may be necessary to process the request. The 
estimate of time may take into account unusual circumstances as 
described in Sec.  1101.7(a). No acknowledgment will be sent if the 
request can be reviewed, processed and the individual notified of the 
results of review (either compliance or denial) within ten (10) days 
(excluding Saturdays, Sundays and holidays). Requests filed in person 
will be acknowledged in writing at the time submitted.
    (2) Promptly after acknowledging receipt of a request, or after 
receiving such further information as might have been requested, or 
after arriving at a decision within ten (10) days, the PA Officer shall 
either:
    (i) Make the requested correction or amendment and advise the 
individual in writing of such action, providing either a copy of the 
corrected or amended record or a statement as to the means whereby the 
correction or amendment was effected in cases where a copy cannot be 
provided (for example, erasure of information from a record maintained 
only in an electronic data bank); or
    (ii) Inform the individual in writing that his or her request is 
denied and provide the following information:
    (A) The PA Officer's name, title and position;
    (B) The date of denial;
    (C) The reasons for the denial, including citation to the 
appropriate sections of the Act and these rules;
    (D) The procedures for appeal of the denial as set forth in Sec.  
1101.14.


The term promptly in this paragraph means within thirty (30) days 
(excluding Saturdays, Sundays and holidays). If the PA Officer cannot 
make the determination within thirty (30) days, the individual will be 
advised in writing of the reason therefor and of the estimated date by 
which the determination will be made.
    (b) Whenever an individual's record is corrected or amended pursuant 
to a request by that individual, the PA Officer shall notify all persons 
and agencies to which copies of the record had been disclosed prior to 
its correction or amendment, if an accounting of such disclosure 
required by the Act was made. The notification shall require a receipt 
agency maintaining the record to acknowledge receipt of the 
notification, to correct or amend the record, and to apprise any agency 
or person to which it has disclosed the record of the substance of the 
correction or amendment.
    (c) The following criteria will be considered by the PA Officer in 
reviewing a request for correction or amendment.
    (1) The sufficiency of the evidence submitted by the individual;
    (2) The factual accuracy of the information;
    (3) The relevance and necessity of the information in terms of 
purpose for which it was collected.
    (4) The timeliness and currency of the information in light of the 
purpose for which it was collected;
    (5) The completeness of the information in terms of the purpose for 
which it was collected;
    (6) The degree of possibility that denial of the request could 
unfairly result in determinations adverse to the individual;
    (7) The character of the record sought to be corrected or amended; 
and
    (8) The propriety and feasibility of complying with the specific 
means of correction or amendment requested by the individual.
    (d) The Section will not undertake to gather evidence for the 
individual, but does reserve the right to verify the evidence which the 
individual submits.
    (e) Correction or amendment of a record requested by an individual 
will be denied only upon a determination by the PA Officer that:
    (1) The individual has failed to establish, by a preponderance of 
the evidence, the propriety of the correction or amendment in light of 
the criteria set forth in paragraph (c) of this section;
    (2) The record sought to be corrected or amended was compiled in a 
terminated judicial, quasi-judicial or quasi-legislative proceeding to 
which the individual was a party or participant;
    (3) The record sought to be corrected or amended is the subject of a 
pending

[[Page 335]]

judicial, quasi-judicial or quasi-legislative proceeding to which the 
individual is a party or participant;
    (4) The correction or amendment would violate a duly enacted statute 
or promulgated regulation; or
    (5) The individual unreasonably has failed to comply with the 
procedural requirements of these rules.
    (f) If a request is partially granted and partially denied, the PA 
Officer shall follow the appropriate procedures of this section as to 
the records within the grant and the records within the denial.



Sec.  1101.14  Appeal of agency decision not to correct or amend a record.

    (a) An appeal of the initial refusal to amend a record under Sec.  
1101.13 may be requested by the individual who submitted the request. 
The appeal must be requested in writing, and state that the appeal is 
being made under the Privacy Act of 1974, it should identify the denial 
that is being appealed and the records that were withheld, it should 
include the requester's name and address and telephone number 
(optional), and it should be signed by the individual making the 
request. It should be received by the Section within sixty (60) calendar 
days of the date the individual is informed of the PA Officer's refusal 
to amend a record in whole or in part. The request should be addressed 
and sent via certified mail to the Commissioner, United States Section, 
International Boundary and Water Commission, 4171 North Mesa, suite C-
310, El Paso, TX 79902-1422. The processing of appeals will be 
facilitated if the words ``PRIVACY APPEAL'' appear in capital letters on 
both the envelope and the top of the appeal papers. An appeal not 
addressed and marked as provided herein will be marked by Section 
personnel when it is so identified and will be forwarded immediately to 
the Commissioner.
    (b) The time for decision on the appeal begins on the date the 
appeal is received by the Commissioner. The appeal should include any 
documentation, information or statements advanced for the amendment of 
the record.
    (c) There shall be a written record of the reason for the final 
determination. The final determination will be made not later than 
thirty (30) days (excluding Saturdays, Sundays and holidays) from the 
date the Commissioner receives the appeal; unless, for good cause shown, 
the Commissioner extends such determination beyond the thirty (30) day 
period.
    (d) When the final determination is that the record should be 
amended in accordance with the individual's request, the Commissioner 
shall direct the office responsible for the record to comply. The office 
responsible for the record shall:
    (1) Amend the record as directed;
    (2) If a distribution of the record has been made, advise all 
previous recipients of the record of the amendment and its substance;
    (3) So advise the individual in writing.
    (e) When the final decision is that the request of the individual to 
amend the record is refused, the Commissioner shall advise the 
individual:
    (1) Of the refusal and the reasons for it;
    (2) Of his or her right to file a concise statement of the reasons 
for disagreeing with the decision of the Section;
    (3) Of the procedures for filing the statement of disagreement;
    (4) That the statement which is filed will be made available to 
anyone to whom the record is subsequently disclosed together with, at 
the discretion of the Section, a brief statement by the Section 
summarizing its reasons for refusing to amend the record;
    (5) That prior recipients of the disputed record will be provided a 
copy of any statement of dispute to the extent that an accounting of 
disclosures was maintained; and
    (6) Of his or her right to seek judicial review of the Section's 
refusal to amend the record.
    (f) When the final determination is to refuse to amend a record and 
the individual has filed a statement under paragraph (e)(2) of this 
section, the Section will clearly annotate the record so that the fact 
that the record is disputed is apparent to anyone who may subsequently 
have access to use or disclose it. When information that is the subject 
of a statement of dispute

[[Page 336]]

filed by an individual is subsequently disclosed, the Section will note 
that the information is disputed and provide a copy of the individual's 
statement. The Section may also include a brief summary of the reasons 
for not making a correction when disclosing disputed information. Such 
statements will normally be limited to the reasons given to the 
individual for not amending the record. Copies of the Section's 
statement shall be treated as part of the individual's record for 
granting access; however, it will not be subject to amendment by the 
individual under these rules.
    (g) An appeal will be decided on the basis of the individual's 
appeal papers and the record submitted by the PA officer. No personal 
appearance or hearings on appeals will be allowed.



Sec.  1101.15  Judicial review.

    After having exhausted all administrative remedies set forth in 
Sec.  1101.7(g)(3) or Sec.  1101.14, a requester may bring a civil 
action against the Section, in a United States District Court of proper 
venue, within two years of the final administrative decision which the 
requester seeks to challenge.



Sec.  1101.16  Criminal penalties.

    (a) Under the provisions of the Act, it is a Federal crime for any 
person to knowingly and willfully request or obtain information from a 
Federal agency, including this Section, by false pretenses.
    (b) It is also a crime for any officer or employee of the Section to 
knowingly and willfully:
    (1) Make an unauthorized disclosure; or
    (2) Fail to publish public notice of a system of records as required 
by 5 U.S.C. 552a(e)(4).



Sec.  1101.17  Annual report to Congress.

    (a) On or before August 1 of each calendar year the Commissioner 
shall submit a report covering the preceding calendar year to the 
Speaker of the House of Representatives and the President of the Senate 
for referral to the appropriate committees of the Congress. The report 
shall include:
    (1) The U.S. Section's point of contact responsible for implementing 
the Privacy Act of 1974;
    (2) The number of active systems, new systems published, systems 
deleted, systems automated, either in whole or part, number of existing 
systems for which new routine uses were established, number of existing 
systems for which new exemptions were claimed, number of existing 
systems from which exemptions were deleted, and number of public 
comments received by the agency of publication of rules or notices;
    (3) Total number of requests for access, number of requests wholly 
or partially granted, number of requests totally denied, number of 
requests for which no record was found, number of appeals of denials of 
access, number of appeals in which denial was upheld, number of appeals 
in which denial was overturned either in whole or part, number of 
requests to amend records in system, number of amendment requests wholly 
or partially granted, number of amendment requests totally denied, 
number of appeals of denials of amendment requests, number of appeals in 
which denial was upheld, number in which denial was overturned either in 
whole or in part, whether the U.S. Section denied an individual access 
to his or her records in a system of record on any basis other than a 
Privacy Act exemption under 5 U.S.C. 552(j) or (k), and the legal 
justification for the denial, number of instances in which individuals 
litigated the results of appeals of access or amendment, and the results 
of such litigation, and a statement of our involvement in matching 
programs;
    (4) Any other information which will indicate the U.S. Section's 
effort to comply with the objectives of the Act, to include any problems 
encountered, with recommendations for solving thereof;
    (5) And, a copy of these regulations.



PART 1102_FREEDOM OF INFORMATION ACT--Table of Contents



Sec.
1102.1 Purpose.
1102.2 Definitions.

[[Page 337]]

1102.3 Procedures for requesting access to records or information.
1102.4 Fees.
1102.5 Categories of requesters for fee purposes.
1102.6 Fee waivers and appeals.
1102.7 The Section's determination and appeal procedures.
1102.8 Exemptions.
1102.9 Annual report to Congress.
1102.10 Examination of records.

    Authority: 5 U.S.C. 552 (Pub. L. 90-23, as amended by Pub. L. 93-502 
and 99-570).

    Source: 55 FR 35898, Sept. 4, 1990, unless otherwise noted.



Sec.  1102.1  Purpose.

    The purpose of this part is to prescribe rules, guidelines and 
procedures to implement the Freedom of Information Act (FOIA), 5 U.S.C. 
552, as amended on November 21, 1974, by Public Law 93-502, and on 
October 27, 1986, by Public Law 99-570.



Sec.  1102.2  Definitions.

    Act means the Freedom of Information Act, 5 U.S.C. 552, as amended.
    Commercial-use request refers to a request from or on behalf of one 
who seeks information for a cause or purpose that furthers the 
commercial, trade, or profit interests of the requester or person on 
whose behalf the request is made. In determining whether a requester 
properly belongs in this category, the Section will consider how the 
requester will use the documents.
    Commissioner means head of the United States Section, International 
Boundary and Water Commission, United States and Mexico.
    Direct costs means those expenditures which the Section actually 
incurs in searching for and duplicating (and in the case of commercial 
requesters, reviewing) documents to respond to a FOIA request. Direct 
costs include, for example, the salary of the employee performing work 
(the basic rate of pay for the employee plus 16 percent of that rate to 
cover benefits) and the cost of operating duplicating machinery. Not 
included in direct costs are overhead expenses such as costs of space, 
and heating or lighting the facility where the records are stored.
    Disclose or disclosure means making records available, on request 
for examination and copying, or furnishing a copy of records.
    Duplication refers to the process of making a copy of a document in 
response to a FOIA request. Such copies can take the form of paper, 
microform, audiovisual materials, or machine-readable documentation. The 
Section will provide a copy of the material in a form that is usable by 
the requester unless it is administratively burdensome to do so.
    Educational institution refers to a preschool, a public or private 
elementary or secondary school, an institution of graduate higher 
education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, which operates a program or programs of scholarly research.
    Noncommercial scientific institution refers to an institution that 
is not operated on a ``commercial'' basis as that term is referenced 
above, and which is operated solely for the purpose of conducting 
scientific research the results of which are not intended to promote any 
particular product or industry.
    Person or Requester includes any individual, firm, corporation, 
organization or other entity.
    Records and/or information are defined as all books, papers, 
manuals, maps, photographs, or other documentary materials, regardless 
of physical form or characteristics, made or received by the Section 
under Federal law or in connection with the transaction of public 
business or in carrying out its treaty responsibilities and obligations, 
and preserved or appropriate for preservation by the Section as evidence 
of the organization, functions, policies, decisions, procedures, 
operations, or other activities of the Government or because of the 
information value of the data in them, but does not include books, 
magazines or other material acquired solely for library purposes and 
through other sources, and does not include analyses, computations, or 
compilations of information not extant at the time of the request. The 
term ``records'' does not include objects or articles such as 
structures, furniture, paintings, sculptures, three-dimensional models, 
vehicles, and equipment.

[[Page 338]]

    Representative of the news media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term ``news'' means information 
that is about current events or that would be of current interest to the 
public. Examples of news media include television or radio stations 
broadcasting to the public at large, and publishers of periodicals (but 
only those instances when they can qualify as disseminators of ``news'') 
who make their products available for purchase or subscription by the 
general public. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstate a 
solid basis for expecting publication through that organization even 
though not actually employed by it.
    Request means a letter or other written communication seeking 
records or information under the Freedom of Information Act.
    Review refers to the process of examining documents located in 
response to a request that is for commercial use to determine if any 
portion of that document is permitted to be withheld, and processing any 
document for disclosure (i.e., doing all that is necessary to excise 
them and otherwise prepare them for release). It does not include time 
spent resolving general legal or policy issues regarding the application 
of exemptions.
    Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within documents. Searches should be 
performed in the most efficient and least expensive manner so as to 
minimize costs for both the Section and the requester; for example, 
line-by-line searches should not be undertaken when it would be more 
efficient to duplicate the entire document. Note that such activity 
should be distinguished from ``review'' of material in determining 
whether the material is exempt from disclosure. Searches may be done 
manually or by computer using existing programming.
    The Section means United States Section, International Boundary and 
Water Commission, United States and Mexico.


All terms used in this part which are defined in 5 U.S.C. 552 shall have 
the same meaning herein.



Sec.  1102.3  Procedures for requesting access to records or information.

    (a) A request for any information or records shall be addressed to 
the FOIA Officer, United States Section, International Boundary and 
Water Commission, 4171 North Mesa, suite C-310, El Paso, TX 79902-1422. 
The envelope and the letter shall be clearly marked ``Freedom of 
Information Request'' or ``Request for Records,'' or the equivalent, to 
distinguish it from other mail to the Section. If the request is not so 
marked and addressed, the 10-day time limit described in the Act will 
not begin to run until the request has been received by the FOIA Officer 
in the normal course of business. In each instance where a request is 
received in the normal course of business, the FOIA Officer shall notify 
the requester that its request was improperly addressed and the date the 
request was received.
    (b) In order for the Section to locate records or information and 
make them available, it is necessary that it be able to identify the 
specific record or information sought. Persons wishing to inspect or 
obtain copies of records or information should, therefore, seek to 
identify them as fully and accurately as possible. In cases where 
requests are submitted which are not sufficient to permit 
identification, the FOIA Officer will endeavor to assist the persons 
seeking the records or information in filling in necessary details. In 
most cases, however, persons seeking records or information will find 
that time taken in trying to identify materials in the beginning is well 
worth their while in enabling the Section to respond promptly to their 
request.
    (c) A person submitting a request should--
    (1) Indicate the specific event or action, if any or if known, to 
which the request has reference.
    (2) Designate the Division, Branch, or Project Office of the Section 
which may be responsible for or may have

[[Page 339]]

produced the record or information requested.
    (3) Furnish the date of the record or information or the date or 
period to which it refers or relates, if known.
    (4) Name the character of record or information, such as a contract, 
an application, or a report.
    (5) List the Section's personnel who may have prepared or have 
knowledge of the record or information.
    (6) Furnish the reference material such as newspapers or 
publications which are known to have made a reference to the record or 
information desired.
    (7) If the request relates to a matter in pending litigation or one 
which has been litigated, supply the Court location and case style and 
number.
    (8) Describe, when the request includes more than one record or 
source of information, specifically each record or information so that 
availability may be separately determined.
    (9) Clearly indicate whether the request is an initial request or an 
appeal from a denial of a record or information previously requested.
    (10) Identify, when the request concerns a matter about the 
Section's personnel, the person as follows: First name, middle name or 
initial, and surname; date and place of birth; and social security 
account number, if known.
    (d) No particular format is needed for the request, except that it:
    (1) Must be in writing;
    (2) Must describe the records or information sought with sufficient 
detail to permit identification;
    (3) Should state a limitation of the fees the requester is willing 
to pay, if any; and
    (4) Must include the name, address, and telephone number (optional) 
of the person submitting the request.



Sec.  1102.4  Fees.

    (a) The following shall be applicable with respect to services 
rendered to members of the public under this subpart:
    (1) Fee schedule.
    (i) Searching for records, per hour or fraction thereof per 
individual:

Professional......................................................$18.00
Clerical...........................................................$9.00

Includes the salary of the category of employee who actually performs 
the search, plus an additional 16% of that rate to cover benefits.

    (ii) The cost for computer searches will be calculated based on the 
salary of the category of employee who actually performs the computer 
search, plus 16% of that rate to cover benefits, plus the direct costs 
of the central processing unit, input-output devices, and memory 
capacity of the actual computer configuration.
    (iii) Reproduction fees:

    Pages no larger than 8\1/2\ by 14 inches when reproduced by routine 
electrostatic copying: $0.10 per page.
    Pages requiring reduction, enlargement, or other special services 
will be billed at direct cost to the Section.
    Reproduction by other than routine electrostatic copying will be 
billed at direct cost to the Section.

    (iv) Certification of each record as a true copy--$1.00
    (v) Certification of each record as a true copy under official 
seal--$1.50
    (vi) For each signed statement of negative result of search for 
record--$1.00
    (vii) For each signed statement of nonavailability of record--$1.00
    (viii) Duplication of architectural photographs and drawings:

Available tracing or reproducible, per square foot.................$0.10
If intermediate nagative and reproducible required................$2.00;
Plus tracing per square foot.......................................$1.00

    (ix) Postage and handling. It will be up to the person requesting 
the records or information to designate how the material will be mailed 
or shipped. In the absence of such instructions no records or 
information will be sent to a foreign address, and records and 
information will be sent to domestic addresses utilizing first class 
certified mail, return receipt requested and will be billed at direct 
cost to the Section.
    (2) Only requesters who are seeking documents for commercial use 
will be charged for time spent reviewing records to determine whether 
thay are exempt from mandatory disclosure. The cost for review will be 
calculated based on the salary of the category of the employee who 
actually performed the review plus 16% of the rate to cover

[[Page 340]]

benefits. Charges will be assessed only for the initial review (i.e., 
review undertaken the first time in order to analyze the applicability 
of specific exemption(s) to a particular record or portion of record) 
and not review at the administrative appeal level of the exemption(s) 
already applied.
    (3) If records requested under this part are stored elsewhere than 
the headquarters of the U.S. Section, IBWC, 4171 North Mesa, EL Paso, 
TX, the special cost of returning such records to the headquarters shall 
be include in the search costs. These costs will be computed at the 
actual costs of transportation of either a person or the requested 
record between the place where the record is stored and the Section 
headquarters when, for time or other reasons, it is not feasible to rely 
on Government mail service.
    (4) When no specific fee has been established for a service, or the 
request for a service does not fall under one of the above categories 
due to the amount or size or type thereof, the FOIA Officer is 
authorized to establish an appropriate fee, pursuant to the criteria 
established in Office of Management and Budget Circular No. A-25, 
entitled ``User Charges.''
    (b) Where it is anticipated that the fees chargeable under this part 
will amount to more than $25 and the requester has not indicated in 
advance her/his willingness to pay fees as high as anticipated, the 
requester shall be promptly notified of the amount of the anticipated 
fees or such portion thereof as can readily be estimated. The notice or 
request for an advance deposit shall extend an offer to the requester to 
confer with knowledgeable Section personnel in an attempt to reformulate 
the request in a manner which will reduce the fees and meet the needs of 
the requester. Dispatch of such notice or request shall suspend the 
running of the period for response by the Section until a reply is 
received from the requester.
    (c) Search costs are due and payable even if the record which was 
requested cannot be located after all reasonable efforts have been made, 
or if the Section determines that a record which has been requested, but 
which is exempt from disclosure under this part, is to be withheld.
    (d) The Section will begin assessing interest charges on an unpaid 
bill starting the 31st day following the day on which the billing was 
sent. The accrual of interest will be stayed upon receipt of the fee, 
rather than upon its processing by the Section. Interest will at the 
rate precribed in section 3717 of title 31 U.S.C.
    (e) A requester may not file multiple requests at the same time, 
each seeking portions of a document or documents, solely in order to 
avoid payment of fees. When the Section reasonably believes that a 
requester or a group of requesters acting in concert is attempting to 
break a request down into a series of requests for the purpose of 
evading the assessment of fees, the Section will aggregate any such 
requests and charge accordingly.
    (f) The Section will not require a requester to make an advance 
payment, i.e., payment before work is commenced or continued on a 
request, unless:
    (1) The Section estimates or determines that allowable charges that 
a requester may be required to pay are likely to exceed $250. Then the 
Section will notify the requester of the likely costs and obtain 
satisfactory assurance of full payment where the requester has a history 
of prompt payment of FOIA fees, or require an advance payment of an 
amount up to the full estimated charges in the case of requesters with 
no history of payment; or
    (2) Requesters who have previously failed to pay fees charged in a 
timely fashion (i.e., within 30 days of the date of the billing), the 
Section will require such requesters to pay the full amount owed plus 
any applicable interest as provided above or demonstrate that they have, 
in fact, paid the fee, and to make an advance payment of the full amount 
of the estimated fee before the agency begins to process new requests or 
pending requests from such requesters.


When the Section acts under paragraph (f) (1) or (2) of this section, 
the administrative time limit prescribed in subsection (a)(6) of the 
FOIA (i.e., 10 working days from receipt of initial requests plus 
permissible extensions of

[[Page 341]]

that time limit) will begin only after the Section has received payments 
described above.
    (g) In accordance with the provisions and authorities of the Debt 
Collection Act of 1982 (Pub. L. 97-365), the Section reserves the right 
to disclose information to consumer reporting agencies and to use 
collection agencies, where appropriate, to encourage repayment.
    (h) No fees under $10 will be billed by the Section because the cost 
of collection would be greater than the fee.
    (i) Requester should pay fees by check or money order made out to 
the U.S. Section, International Boundary and Water Commission, and 
mailed to the Finance and Accounting Office, United States Section, 
International Boundary and Water Commission, 4171 North Mesa, suite C-
310, El Paso, TX 79902-1422.



Sec.  1102.5  Categories of requesters for fee purposes.

    There are four categories of requesters: Commercial use requesters; 
educational and non-commercial scientific institutions; representatives 
of the news media; and all other requesters. The Act prescribes specific 
levels of fees for each of these categories. The Section will take into 
account information provided by requesters in determining their 
eligibility for inclusion in one of these categories is as defined in 
Sec.  1102.2. It is in the requester's best interest to provide as much 
information as possible to demonstrate inclusion within a non-commercial 
category of fee treatment.
    (a) The Section will assess charges which recover the full direct 
costs of searching for, reviewing for release, and duplicating the 
records sought for commercial use. Commercial use requesters are 
entitled to neither two hours of free search time nor 100 free pages of 
reproduction of documents.
    (b) The Section will provide documents to educational and non-
commercial scientific institutions for the cost of reproduction alone, 
excluding charges for the first 100 pages. To be eligible for inclusion 
in this category, requesters must show that the request being made is 
authorized by, and under the auspices of, a qualifying institution and 
that the records are not sought for a commercial use, but are sought in 
furtherance of scholarly (if the request is from an educational 
institution) or scientific (if the request is from a non-commercial 
scientific institution) research.
    (c) The Section will provide documents to representatives of the 
news media for the cost of reproduction alone, excluding charges for the 
first 100 pages. To be eligible for inclusion in this category; a 
requester must meet the criteria in Sec.  1102.2(m), and the request 
must not be made for a commercial use. In reference to this class of 
requesters, a request for records supporting the news dissemination 
function of the requester shall not be considered to be a request that 
is for a commercial use.
    (d) The Section will charge requesters who do not fit into any of 
the categories above fees which recover the full reasonable direct cost 
of searching for and reproducing records that are responsive to the 
request, except that the first 100 pages of reproduction and the first 
two hours of search time shall be furnished without charge. Moreover, 
requests from record subjects for records about themselves will continue 
to be treated under the fee provisions of the Privacy Act of 1974 which 
permit fees only for reproduction.
    (e) In making determinations under this section, the Section may 
take into account whether requesters who previously were granted (b), 
(c), or (d) status under the Act did in fact use the requested records 
for purposes compatible with the status accorded them.



Sec.  1102.6  Fee waivers and appeals.

    (a) Waiver or reduction of any fee provided for in Sec.  1102.4 may 
be made upon a determination by the FOIA Officer, United States Section, 
International Boundary and Water Commission, 4171 North Mesa, suite C-
310, El Paso, TX 79902-1422. The Section shall furnish documents without 
charge or at a reduced charge provided that: Disclosure of the 
information is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the Government, and is not primarily in the commercial interest of the 
requester. Requests for a waiver or

[[Page 342]]

reduction of fees shall be considered on a case-by-case basis.
    (1) In order to determine whether disclosure of the information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations or activities of the 
Government, the Section will consider the following four factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns the operations or activities of the Government;
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is likely to contribute to an understanding of 
Government operations or activities;
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure: Whether disclosure of 
the requested information will contribute to public understanding; and
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute significantly to public 
understanding of Government operations or activities.
    (2) In order to determine whether disclosure of the information is 
not primarily in the commercial interest of the requester, the Section 
will consider the following two factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure; and, if so
    (ii) The primary interest in disclosure: Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is primarily in the commercial interest of the requester.
    (b) The Section will not consider waiver or reduction of fees for 
requesters (persons or organizations) from whom unpaid fees remain due 
to the Section for another information access request.
    (c)(1) The Section's decision to refuse to waive or reduce fees as 
requested under paragraph (a) of this section may be appealed to the 
Commissioner, United States Section, International Boundary and Water 
Commission, 4171 North Mesa, Suite C-310, El Paso, TX 79902-1422. 
Appeals should contain as much information and documentation as possible 
to support the request for a waiver or reduction of fees.
    (2) Appeals will be reviewed by the Commissioner, who may consult 
with other officials of the Section as appropriate. The requester will 
be notified within thirty working days from the date on which the 
Section received the appeal.



Sec.  1102.7  The Section's determination and appeal procedures.

    Upon receipt of any request for records of information under the Act 
the following guidelines shall be followed:
    (a) The FOIA Officer will determine within 10 days (excepting 
Saturdays, Sundays, and legal holidays) after receipt of any such 
request whether to comply with such request and will immediately notify 
the person making such request of such determination, the reasons 
therefore, and of the right to such person to appeal to the Commissioner 
any adverse determination.
    (b) All appeals should be addressed to the Commissioner, United 
States Section, International Boundary and Water Commission, 4171 North 
Mesa, Suite, C-310, El Paso, TX 79902-1422, and should be clearly 
identified as such on the envelope and in the letter of appeal by using 
the marking ``Freedom of Information Appeal'' or ``Appeal for Records'' 
or the equivalent. Failure to properly address an appeal may defer the 
date of receipt by the Section to take into account the time reasonably 
required to forward the appeal to the Commissioner. In each instance 
when an appeal is incorrectly addressed to the Commissioner, he shall 
notify the person making the appeal that his appeal was improperly 
addressed and of the date the appeal was received by the Commissioner. 
The Commissioner will make a determination with respect to any appeal 
within 20 days (excepting Saturdays, Sundays, and legal holidays) after 
the receipt of an appeal. If on appeal the denial or the request is in 
whole or in part upheld, the Commissioner will notify the person making 
such request of the provisions for

[[Page 343]]

judicial review under the Act. An appeal must be in writing and filed 
within 30 days from receipt of the initial determination (in cases of 
denials of an entire request), or from receipt of any records being made 
available pursuant to the initial determination (in case of partial 
denials). In those cases where a request or appeal is not addressed to 
the proper official, the time limitations stated above will be computed 
from the receipt of the request or appeal by the proper official.
    (c) In unusual circumstances, as set forth in paragraph (d) of this 
section, the time limits for responding to the original request or the 
appeal may be extended by not more than an additional 10 working days by 
written notice to the person making a request. This notice must be sent 
within either 10- or 20-day time limit and will specify the reason for 
the extension and the date on which determination is expected to be 
dispatched. The extension may be invoked only once during the 
consideration of a request either during the initial consideration 
period or during the consideration of an appeal, but not both.
    (d) The unusual circumstances are:
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request.
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the requestor among two or more components of the 
agency having substantial subject-matter interest therein.
    (e) If the FOIA Officer receives a request which is of proper 
concern to an agency or entity outside the Section, it will be returned 
to the person making the request, advising the requester to refer it to 
the appropriate agency or entity if requester desires, and providing the 
requester with the name or title, address and other appropriate 
information. An information copy of the request and the letter of 
referral will be forwarded promptly to the agency or entity outside the 
Section that may expect the request. In the event the FOIA Officer 
receives a request to make available a record or provide information 
which is of interest to more than one agency (Federal, State, municipal, 
or legal entity created thereby), the FOIA Officer will retain and act 
upon the request if the Section is one of the interest agencies and if 
its interest in the record is paramount.
    (f) The Commissioner's determination on an appeal shall be in 
writing and when it denies records in whole or in part, the letter to 
the person making a request shall include:
    (1) Notation of the specific exemption or exemptions of the Act 
authorizing the withholding.
    (2) A statement that the decision is final for the Section.
    (3) Advice that judicial review of the denial is available in the 
district in which the person making the request resides or has his 
principal place of business, the district in which the Section's records 
are situated, or the District of Columbia.
    (4) The names and titles or positions of each official responsible 
for the denial of a request.


When appropriate, the written determination may also state how an 
exemption applied in that particular case, and, when relevant, why a 
discretionary rebase is not appropriate.
    (g) In those cases where it is necessary to find and examine records 
before the legality or appropriateness of their disclosure can be 
determined, and where after diligent effort this has not been achieved 
within the required period, the FOIA Officer may advise the person 
making the request that a determination to presently deny the request 
has been made because the records or information have not been found or 
examined, that the determination will be considered when the search or 
examination is completed and the time within which completion is 
expected, but that the person making the request may immediately file an 
administrative appeal to the Commissioner.

[[Page 344]]



Sec.  1102.8  Exemptions.

    (a) 5 U.S.C. 552(b) provides that the requirements of the FOIA do 
not apply to matters that are:
    (1) Classified documents. Specifically authorized under criteria 
established by an Executive order to be kept secret in the interest of 
national defense or foreign policy and that are, in fact, properly 
classified under the Executive order.
    (2) Internal personnel rules and practices. Related solely to the 
internal personnel rules and practices of an agency.
    (3) Information exempt under other laws. Specifically exempted from 
disclosure by statute, provided that the statute--
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld.
    (4) Confidential business information. Trade secrets and commercial 
or financial information obtained from a person and privileged or 
confidential.
    (5) Internal government communications. Interagency or intra-agency 
memorandums or letters which would not be available by law to a party 
other than an agency in litigation with the agency.
    (6) Personal privacy. Personnel, medical, and similar files the 
disclosure of which would constitute a clearly unwarranted invasion of 
personal privacy.
    (7) Law enforcement. Records or information compiled for law 
enforcement purposes, but only to the extent that the production of such 
law enforcement records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting a lawful national security 
intelligence investigation information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Financial institutions. 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.
    (9) Geological information. Geological and geophysical information 
and data, including maps, concerning wells.
    (b) The Section will provide any reasonably segregable portion of a 
record to a requester after deletion of the portions that are exempt 
under this section.
    (c) The section will invoke no exemption under this section if the 
requested records are available to the requester under the Privacy Act 
of 1974 and its implementing regulations.
    (d) Whenever a request is made which involves access to records 
described in paragraph (a)(7)(i) of this section and
    (1) The investigation or proceeding involves a possible violation of 
criminal law, and
    (2) There is reason to believe that the subject of the investigation 
or proceeding is not aware of its pendency, and disclosure of the 
existence of the records could reasonably be expected to interfere with 
enforcement proceedings, the agency may, during only such time as that 
circumstance continues, treat the records as not subject to the 
requirements of this section.



Sec.  1102.9  Annual report to Congress.

    (a) On or before March 1 of each calendar year the Commissioner 
shall submit a report covering the preceding calendar year to the 
Speaker of the

[[Page 345]]

House of Representatives and President of the Senate for referral to the 
appropriate committees of the Congress. The report shall include:
    (1) The number of determinations made by the section not to comply 
with request for records made to the section under the Act and this part 
and the reasons for each such determination.
    (2) The number of appeals made by persons under the Act and this 
part, the result of such appeals, and the reason for the action upon 
each appeal that results in a denial of information.
    (3) The names and titles or positions of each person responsible for 
the denial of records requested under the Act, and the number of 
instances of participation for each.
    (4) The results of each proceeding conducted pursuant to 
552(1)(4)(F) of the Act, including a report of the disciplinary action 
taken against the officer or employee who was primarily responsible for 
improperly withholding records or an explanation of why disciplinary 
action was not taken.
    (5) A copy of this part.
    (6) A copy of the fee schedule and the total amount of fees 
collected by the section for making records available under the Act.
    (7) Such other information as indicates efforts to administer fully 
the Act.
    (b) A copy of each such report to the Congress made pursuant to 
paragraph (a) of this section will be made available for public 
inspection and copying in the office of the FOIA Officer, United States 
Section, International Boundary and Water Commission, 4171 North Mesa, 
Suite C-310, El Paso, TX 79902-1422.



Sec.  1102.10  Examination of records.

    When a request to examine records is approved by the FOIA Officer, 
every reasonable effort will be made to provide facilities for the 
purpose of such examination. ``On the spot'' copying will be available 
if the FOIA Officer decides there will be no interference with ordinary 
activities or routine business of the section.



 PART 1103_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY INTERNATIONAL BOUNDARY AND WATER COMMISSION, UNITED 
STATES AND MEXICO, UNITED STATES SECTION--Table of Contents



Sec.
1103.101 Purpose.
1103.102 Application.
1103.103 Definitions.
1103.104-1103.109 [Reserved]
1103.110 Self-evaluation.
1103.111 Notice.
1103.112-1103.1103 [Reserved]
1103.130 General prohibitions against discrimination.
1103.131-1103.139 [Reserved]
1103.140 Employment.
1103.141-1103.148 [Reserved]
1103.149 Program accessibility: Discrimination prohibited.
1103.150 Program accessibility: Existing facilities.
1103.151 Program accessibility: New construction and alterations.
1103.152-1103.159 [Reserved]
1103.160 Communications.
1103.161-1103.169 [Reserved]
1103.170 Compliance procedures.
1103.171-1103.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 4577, Feb. 5, 1986, unless otherwise noted.



Sec.  1103.101  Purpose.

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



Sec.  1103.102  Application.

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



Sec.  1103.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.

[[Page 346]]

    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one of more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addition and 
alcholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature; or
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    (3) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.  1103.140.

[[Page 347]]

    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.

[51 FR 4577, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. Sec.  1103.104-1103.109  [Reserved]



Sec.  1103.110  Self-evaluation.

    (a) The agency shall, by April 9, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspections:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec.  1103.111  Notice.

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



Sec. Sec.  1103.112-1103.129  [Reserved]



Sec.  1103.130  General prohibitions against discrimination.

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

[[Page 348]]

administration the purpose or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec.  1103.131-1103.139  [Reserved]



Sec.  1103.140  Employment.

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



Sec. Sec.  1103.141-1103.148  [Reserved]



Sec.  1103.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1103.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1103.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1103.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods. The agency may comply with the requirements of this 
section

[[Page 349]]

through such means as redesign of equipment, reassignment of services to 
accessible buildings, assignment of aides to beneficiaries, home visits, 
delivery of services at alternate accessible sites, alteration of 
existing facilities and construction of new facilities, use of 
accessible rolling stock, or any other methods that result in making its 
programs or activities readily accessible to and usable by handicapped 
persons. The agency is not required to make structural changes in 
existing facilities where other methods are effective in achieving 
compliance with this section. The agency, in making alterations to 
existing buildings, shall meet accessibility requirements to the extent 
compelled by the Architectural Barriers Act of 1968, as amended (42 
U.S.C. 4151-4157), and any regulations implementing it. In choosing 
among available methods for meeting the requirements of this section, 
the agency shall give priority to those methods that offer programs and 
activities to qualified handicapped persons in the most integrated 
setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by June 6, 1986, except that 
where structural changes in facilities are undertaken, such changes 
shall be made by April 7, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by October 7, 1986, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.

[51 FR 4577, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec.  1103.151  Program accessibility: New construction and alterations.

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



Sec. Sec.  1103.152-1103.159  [Reserved]



Sec.  1103.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons

[[Page 350]]

with impaired vision or hearing, can obtain information as to the 
existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1103.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.  1103.161-1103.169  [Reserved]



Sec.  1103.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) Director, Equal Employment Opportunity shall be responsible for 
coordinating implementation of this section. Complaints may be sent to 
Director, Equal Employment Opportunity, International Boundary and Water 
Commission, United States and Mexico, United States Section, The 
Commons, Building C, Suite 310, 4171 North Mesa, El Paso, Texas 79902.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found;
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1103.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt

[[Page 351]]

of the request. If the head of the agency determines that additional 
information is needed from the complainant, he or she shall have 60 days 
from the date of receipt of the additional information to make his or 
her determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 4577, Feb. 5, 1986, as amended at 51 FR 4577, Feb. 5, 1986]



Sec. Sec.  1103.171-1103.999  [Reserved]



PART 1104_PROTECTION OF ARCHAEOLOGICAL RESOURCES--Table of Contents



Sec.
1104.1 Purpose.
1104.2 Definitions.
1104.3 Prohibited acts.
1104.4 Permit requirements and exceptions.
1104.5 Application for permits and information collection.
1104.6 Notification to Indian tribes of possible harm to, or destruction 
          of, sites on public lands having religious or cultural 
          importance.
1104.7 Issuance of permits.
1104.8 Terms and conditions of permits.
1104.9 Suspension and revocation of permits.
1104.10 Appeals relating to permits.
1104.11 Relationship to section 106 of the National Historic 
          Preservation Act.
1104.12 Custody of archaeological resources.
1104.13 Determination of archaeological or commercial value and cost of 
          restoration and repair.
1104.14 Assessment of civil penalties.
1104.15 Civil penalty amounts.
1104.16 Other penalties and rewards.
1104.17 Confidentiality of archaeological resource information.
1104.18 Report to the Secretary of the Interior.

    Authority: Pub. L. 96-95, 93 Stat. 721 (16 U.S.C. 470aa-11) (Sec. 
10(a).) Related Authority: Pub. L. 59-209, 34 Stat. 225 (16 U.S.C. 432, 
433); Pub. L. 86-523, 74 Stat. 220, 221 (16 U.S.C. 469), as amended, 88 
Stat. 174 (1974); Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470a-t), as 
amended, 84 Stat. 204 (1970), 87 Stat. 139 (1973), 90 Stat. 1320 (1976), 
92 Stat. 3467 (1978), 94 Stat. 2987 (1980); Pub. L. 95-341, 92 Stat. 469 
(42 U.S.C. 1996).

    Source: 56 FR 21590, May 10, 1991, unless otherwise noted.



Sec.  1104.1  Purpose.

    (a) The regulations in this part implement provisions of the 
Archaeological Resources Protection Act of 1979 (16 U.S.C. 470aa-11) by 
establishing the definitions, standards, and procedures to be followed 
by the Commissioner in providing protection for archaeological 
resources, located on public lands through permits authorizing 
excavation and/or removal of archaeological resources, through civil 
penalties for unauthorized excavation and/or removal, through provisions 
for the preservation of archaeological resource collections and data, 
and through provisions for ensuring confidentiality of information about 
archaeological resources when disclosure would threaten the 
archaeological resources.
    (b) The regulations in this part do not impose any new restrictions 
on activities permitted under other laws, authorities, and regulations 
relating to mining, mineral leasing, reclamation, and other multiple 
uses of the public lands.



Sec.  1104.2  Definitions.

    As used for purposes of this part:
    (a) Archaeological resource means any material remains of human life 
or activities which are at least 100 years of age, and which are of 
archaeological interest.
    (1) Of archaeological interest means capable of providing scientific 
or humanistic understandings of past human behavior, cultural 
adaptation, and related topics through the application of scientific or 
scholarly techniques such as controlled observation, contextual 
measurement, controlled collection, analysis, interpretation and 
explanation.
    (2) Material remains means physical evidence of human habitation, 
occupation, use, or activity, including the site, location, or context 
in which such evidence is situated.
    (3) The following classes of material remains (and illustrative 
examples), if they are at least 100 years of age, are of archaeological 
interest and shall be

[[Page 352]]

considered archaeological resources unless determined otherwise pursuant 
to paragraph (a)(4) or (a)(5) of this section:
    (i) Surface or subsurface structures, shelters, facilities, or 
features (including, but not limited to, domestic structures, storage 
structures, cooking structures, ceremonial structures, artificial 
mounds, earthworks, fortifications, canals, reservoirs, horticultural/
agricultural gardens or fields, bedrock mortars or grinding surfaces, 
rock alignments, cairns, trails, borrow pits, cooking pits, refuse pits, 
burial pits or graves, hearths, kilns, post molds, wall trenches, 
middens);
    (ii) Surface or subsurface artifact concentrations or scatters;
    (iii) Whole or fragmentary tools, implements, containers, weapons 
and weapon projectiles, clothing, and ornaments (including, but not 
limited to, pottery and other ceramics, cordage, basketry and other 
weaving, bottles and other glassware, bone, ivory, shell, metal, wood, 
hide, feathers, pigments, and flaked, ground, or pecked stone);
    (iv) By-products, waste products, or debris resulting from 
manufacture or use of human-made or natural materials;
    (v) Organic waste (including but not limited to, vegetable and 
animal remains, coprolites);
    (vi) Human remains (including, but not limited to, bone, teeth, 
mummified flesh, burials, cremations);
    (vii) Rock carvings, rock paintings, intaglios and other works of 
artistic or symbolic representation;
    (viii) Rockshelters and caves or portions thereof containing any of 
the above material remains;
    (ix) All portions of shipwrecks (including but not limited to, 
armaments, apparel, tackle, cargo);
    (x) Any portion or piece of any of the foregoing.
    (4) The following material remains shall not be considered of 
archaeological interest, and shall not be considered to be 
archaeological resources for purposes of the Act and this part, unless 
found in a direct physical relationship with archaeological resources as 
defined in this section:
    (i) Paleontological remains;
    (ii) Coins, bullets, and unworked minerals and rocks.
    (5) The Commissioner may determine that certain material remains, in 
specified areas under the Commissioner's jurisdiction, and under 
specified circumstances, are not or are no longer of archaeological 
interest and are not to be considered archaeological resources under 
this part. Any determination made pursuant to this subparagraph shall be 
documented. Such Determination shall in no way affect the Commissioner's 
obligations under other applicable laws or regulations.
    (b) Arrowhead means any projectile point which appears to have been 
designed for use with an arrow.
    (c) Commissioner means the head of the United States Section, 
International Boundary and Water Commission, United States and Mexico, 
and his delegate.
    (d) Public lands means lands to which the United States of America 
holds fee title, and which are under the control of the U.S. Section, 
International Boundary and Water Commission, United States and Mexico.
    (e) Indian tribe as defined in the Act means any Indian tribe, band, 
nation, or other organized group or community. In order to clarify this 
statutory definition for purposes of this part, Indian tribe means:
    (1) Any tribal entity which is included in the annual list of 
recognized tribes published in the Federal Register by the Secretary of 
the Interior pursuant to 25 CFR part 54;
    (2) Any other tribal entity acknowledged by the Secretary of the 
Interior pursuant to 25 CFR part 54 since the most recent publication of 
the annual list;
    (f) Person means an individual, corporation, partnership, trust, 
institution, association, or any other private entity, or any officer, 
employee, agent, department, or instrumentality of the United States, or 
of any Indian tribe, or of any State or political subdivision thereof.
    (g) State means any of the fifty states, the District of Columbia, 
Puerto Rico, Guam, and the Virgin Islands.
    (h) Act means the Archaeological Resources Protection Act of 1979 
(16 U.S.C. 470aa-11.), as amended.

[[Page 353]]



Sec.  1104.3  Prohibited acts.

    (a) No person may excavate, remove, damage, or otherwise alter or 
deface any archaeological resource located on public lands unless such 
activity is pursuant to a permit issued under Sec.  1104.7 or exempted 
by Sec.  1104.4(b) of this part.
    (b) No person may sell, purchase, exchange, transport, or receive 
any archaeological resource, if such resource was excavated or removed 
in violation of:
    (1) The prohibitions contained in paragraph (a) of this section; or
    (2) Any provision, rule, regulation, ordinance, or permit in effect 
under any other provision of Federal law.



Sec.  1104.4  Permit requirements and exceptions.

    (a) Any person proposing to excavate and/or remove archaeological 
resources from public lands, and to carry out activities associated with 
such excavation and/or removal, shall apply to the Commissioner for a 
permit for the proposed work, and shall not begin the proposed work 
until a permit has been issued. The Commissioner may issue a permit to 
any qualified person, subject to appropriate terms and conditions, 
provided that the person applying for a permit meets conditions in Sec.  
1104.7(a) of this part.
    (b) Exceptions:
    (1) No permit shall be required under this part for any person 
conducting activities on the public lands under other permits, leases, 
licenses, or entitlements for use, when those activities are exclusively 
for purposes other than the excavation and/or removal of archaeological 
resources, even though those activities might incidentally result in the 
disturbance of archaeological resources. General earth-moving excavation 
conducted under a permit or other authorization shall not be construed 
to mean excavation and/or removal as used in this part. This exception 
does not, however, affect the Commissioner's responsibility to comply 
with other authorities which protect archaeological resources prior to 
approving permits, leases, licenses, or entitlements for use; any 
excavation and/or removal of archaeological resources required for 
compliance with those authorities shall be conducted in accordance with 
the permit requirements of this part.
    (2) No permit shall be required under this part for any person 
collecting for private purposes any rock, coin, bullet, or mineral which 
is not an archaeological resource as defined in this part, provided that 
such collecting does not result in disturbance of any archaeological 
resource.
    (3) No permit shall be required under section 3 of the Act of June 
8, 1906 (16 U.S.C. 432) for any archaeological work for which a permit 
is issued under this part.
    (c) Persons carrying out official agency duties under the 
Commissioner's direction, associated with the management of 
archaeological resources, need not follow the permit application 
procedures of Sec.  1104.5. However, the Commissioner shall insure that 
provisions of Sec. Sec.  1104.7 and 1104.8 have been met by other 
documented means, and that any official duties which might result in 
harm to or destruction of any Indian tribal religious or cultural site, 
as determined by the Commissioner, have been the subject of 
consideration under Sec.  1104.6.
    (d) Upon the written request of the Governor of any State, on behalf 
of the State or its educational institutions, the Commissioner shall 
issue a permit, subject to the provisions of Sec. Sec.  1104.4(b)(5), 
1104.6, 1104.7(a) (3), (4), (5), (6), and (7), 1104.8, 1104.9, 1104.11, 
and 1104.12(a) to such Governor or to such designee as the Governor 
deems qualified to carry out the intent of the Act, for purposes of 
conducting archaeological research, excavating and/or removing 
archaeological resources, and safeguarding and preserving any materials 
and data collected in a university, museum, or other scientific or 
educational institution approved by the Commissioner.
    (e) Under other statutory, regulatory, or administrative authorities 
governing the use of public lands, authorizations may be required for 
activities which do not require a permit under this part. Any person 
wishing to conduct on public lands any activities related to but 
believed to fall outside the scope of this part should consult with the 
Commissioner, for the purpose

[[Page 354]]

of determining whether any authorization is required, prior to beginning 
such activities.



Sec.  1104.5  Application for permits and information collection.

    (a) Any person may apply to the Commissioner for a permit to 
excavate and/or remove archaeological resources from public lands and to 
carry out activities associated with such excavation and/or removal.
    (b) Each application for a permit shall include:
    (1) The nature and extent of the work proposed, including how and 
why it is proposed to be conducted, proposed time of performance, 
locational maps, and proposed outlet for public written dissemination of 
the results.
    (2) The name and address of the individual(s) proposed to be 
responsible for conducting the work, institutional affiliation, if any, 
and evidence of education, training, and experience in accord with the 
minimal qualifications listed in Sec.  1104.7(a).
    (3) The name and address of the individual(s), if different from the 
individual(s) named in paragraph (b)(2) of this section, proposed to be 
responsible for carrying out the terms and conditions of the permit.
    (4) Evidence of the applicant's ability to initiate, conduct, and 
complete the proposed work, including evidence of logistical support and 
laboratory facilities.
    (5) Where the application is for the excavation and/or removal of 
archaeological resources on public lands, the names of the university, 
museum, or other scientific or educational institution in which the 
applicant proposes to store all collections, and copies of records, 
data, photographs, and other documents derived from the proposed work. 
Applicants shall submit written certification, signed by an authorized 
official of the institution, of willingness to assume curatorial 
responsibility for the collections, records, data, photographs and other 
documents and to safeguard and preserve these materials as property of 
the United States.
    (c) The Commissioner may require additional information, pertinent 
to land management responsibilities, to be included in the application 
for permit and shall so inform the applicant.
    (d) Paperwork Reduction Act. The information collection requirement 
contained in Sec.  1104.5 of these regulations has been approved by the 
Office of Management and Budget under 44 U.S.C. 3501 et seq. and 
assigned clearance number 1024-0037. The purpose of the information 
collection is to meet statutory and administrative requirements in the 
public interest. The information will be used to assist the Commissioner 
in determining that applicants for permits are qualified, that the work 
proposed would further archaeological knowledge, that archaeological 
resources and associated records and data will be properly preserved, 
and that the permitted activity would not conflict with the management 
of the public lands involved. Response to the information requirement is 
necessary in order for an applicant to obtain a benefit.



Sec.  1104.6  Notification to Indian tribes of possible harm to, or
destruction of, sites on public lands having religious or cultural 
importance.

    (a) If the issuance of a permit under this part may result in harm 
to, or destruction of, any Indian tribal religious or cultural site on 
public lands, as determined by the Commissioner, at least 30 days before 
issuing such a permit the Commissioner shall notify any Indian tribe 
which may consider the site as having religious or cultural importance. 
Such notice shall not be deemed a disclosure to the public for purposes 
of section 9 of the Act.
    (1) Notice by the Commissioner to any Indian tribe shall be sent to 
the chief executive officer or other designated official of the tribe. 
Indian tribes are encouraged to designate a tribal official to be the 
focal point for any notification and discussion between the tribe and 
the Commissioner.
    (2) The Commissioner may provide notice to any other Native American 
group that is known by the Commissioner to consider sites potentially 
affected as being of religious or cultural importance.
    (3) Upon request during the 30-day period, the Commissioner may meet 
with official representatives of any Indian

[[Page 355]]

tribe or group to discuss their interests, including ways to avoid or 
mitigate potential harm or destruction such as excluding sites from the 
permit area. Any mitigation measures which are adopted shall be 
incorporated into the terms and conditions of the permit under Sec.  
1104.8.
    (4) When the Commissioner determines that a permit applied for under 
this part must be issued immediately because of an imminent threat of 
loss or destruction of an archaeological resource, the Commissioner 
shall so notify the appropriate tribe.
    (b)(1) In order to identify sites of religious or cultural 
importance, the Commissioner shall seek to identify all Indian tribes 
having aboriginal or historic ties to the lands under the Commissioner's 
jurisdiction and seek to determine, from the chief executive officer or 
other designated official of any such tribe, the location and nature of 
specific sites of religious or cultural importance so that such 
information may be on file for land management purposes. Information on 
site eligible for or included in the National Register of Historic 
Places may be withheld from public disclosure pursuant to section 304 of 
the Act of October 15, 1966, as amended (16 U.S.C. 470w-3).
    (2) If the Commissioner becomes aware of a Native American group 
that is not an Indian tribe as defined in this part but has aboriginal 
or historic ties to public lands under the Commissioner's jurisdiction, 
the Commissioner may seek to communicate with official representatives 
of that group to obtain information on sites they may consider to be of 
religious or cultural importance.
    (3) The Commissioner may enter into agreement with any Indian tribe 
or other Native American group for determining locations for which such 
tribe or group wishes to receive notice under this section.



Sec.  1104.7  Issuance of permits.

    (a) The Commissioner may issue a permit, for a specified period of 
time appropriate to the work to be conducted, upon determining that:
    (1) The applicant is appropriately qualified, as evidenced by 
training, education, and/or experience, and possesses demonstrable 
competence in archaeological theory and methods, and in collecting, 
handling, analyzing, evaluating, and reporting archaeological data, 
relative to the type and scope of the work proposed, and also meets the 
following minimum qualifications:
    (i) A graduate degree in anthropology or archaeology, or equivalent 
training and experience;
    (ii) The demonstrated ability to plan, equip, staff, organize, and 
supervise activity of the type and scope proposed;
    (iii) The demonstrated ability to carry research to completion, as 
evidenced by timely completion of theses, research reports, or similar 
documents;
    (iv) Completion of at least 16 months of professional experience 
and/or specialized training in archaeological field, laboratory, or 
library research, administration, or management, including at least 4 
months experience and/or specialized training in the kind of activity 
the individual proposes to conduct under authority of a permit; and
    (v) Applicants proposing to engage in historical archaeology should 
have had at least one year of experience in research concerning 
archaeological resources of the prehistoric period.
    (2) The proposed work is to be undertaken for the purpose of 
furthering archaeological knowledge in the public interest, which may 
include but need not be limited to, scientific or scholarly research, 
and preservation of archaeological data;
    (3) The proposed work, including time, scope, location, and purpose, 
is not inconsistent with any management plan or established policy, 
objectives, or requirements applicable to the management of the public 
lands concerned;
    (4) Where the proposed work consists of archaeological survey and/or 
data recovery undertaken in accordance with other approved uses of the 
public lands, and the proposed work has been agreed to in writing by the 
Commissioner pursuant to section 106 of the National Historic 
Preservation Act (16 U.S.C. 470f), paragraphs (a)(2) and (a)(3) of this 
section shall be deemed satisfied by the prior approval;

[[Page 356]]

    (5) Evidence is submitted to the Commissioner that any university, 
museum, or other scientific or educational institution proposed in the 
application as the repository possesses adequate curatorial capability 
for safeguarding and preserving the archaeological resources and all 
associated records; and
    (6) The applicant has certified that, not later than 90 days after 
the date the final report is submitted to the Commissioner, the 
following will be delivered to the appropriate official of the approved 
university, museum, or other scientific or educational institution, 
which shall be named in the permit:
    (i) All artifacts, samples, collections, and copies of records, 
data, photographs, and other documents resulting from work conducted 
under the requested permit where the permit is for the excavation and/or 
removal of archaeological resources from public lands.
    (b) When the area of the proposed work would cross jurisdictional 
boundaries, so that permit applications must be submitted to more than 
one Federal agency, the Commissioner shall coordinate the review and 
evaluation of applications and the issuance of permits.



Sec.  1104.8  Terms and conditions of permits.

    (a) In all permits issued, the Commissioner shall specify:
    (1) The nature and extent of work allowed and required under the 
permit, including the time, duration, scope, location, and purpose of 
the work;
    (2) The name of the individual(s) responsible for conducting the 
work and, if different, the name of the individual(s) responsible for 
carrying out the terms and conditions of the permit;
    (3) The name of any university, museum, or other scientific or 
educational institutions in which any collected materials and data shall 
be deposited; and
    (4) Reporting requirements.
    (b) The Commissioner may specify such terms and conditions as deemed 
necessary, consistent with this part, to protect public safety and other 
values and/or resources, to secure work areas, to safeguard other 
legitimate land uses, and to limit activities incidental to work 
authorized under a permit.
    (c) Initiation of work or other activities under the authority of a 
permit signifies the permittee's acceptance of the terms and conditions 
of the permit.
    (d) The permittee shall not be released from requirements of a 
permit until all outstanding obligations have been satisifed, whether or 
not the term of the permit has expired.
    (e) The permittee may request that the Commissioner extend or modify 
a permit.
    (f) The permittee's performance under any permit issued for a period 
greater than 1 year shall be subject to review by the Commissioner, at 
least annually.



Sec.  1104.9  Suspension and revocation of permits.

    (a) Suspension or revocation for cause. (1) The Commissioner may 
suspend a permit issued pursuant to this part upon determining that the 
permittee has failed to meet any of the terms and conditions of the 
permit or has violated any prohibition of the Act or Sec.  1104.3. The 
Commissioner shall provide written notice to the permittee of the 
suspension, the cause thereof, and the requirements which must be met 
before the suspension will be removed.
    (2) The Commissioner may revoke a permit upon assessment of a civil 
penalty under Sec.  1104.14 upon the permittee's conviction under 
section 6 of the Act, or upon determining that the permittee has failed 
after notice under this section to correct the situation which led to 
suspension of the permit.
    (b) Suspension or revocation for management purposes. The 
Commissioner may suspend or revoke a permit, without liability to the 
United States, its agents, or employees, when continuation of work under 
the permit would be in conflict with management requirements not in 
effect when the permit was issued. The Commissioner shall provide 
written notice to the permittee stating the nature of and basis for the 
suspension or revocation.



Sec.  1104.10  Appeals relating to permits.

    Any affected person may appeal permit issuance, denial of permit 
issuance, suspension, revocation, and terms and conditions of a permit.

[[Page 357]]



Sec.  1104.11  Relationship to section 106 of the National Historic 
Preservation Act.

    Issuance of a permit in accordance with the Act and this part does 
not constitute an undertaking requiring compliance with section 106 of 
the Act of October 15, 1966 (16 U.S.C. 470f). However, the mere issuance 
of such a permit does not excuse the Commissioner from compliance with 
section 106 where otherwise required.



Sec.  1104.12  Custody of archaeological resources.

    (a) Archaeological resources excavated or removed from the public 
lands remain the property of the United States.
    (b) The Commissioner may provide for the exchange of archaeological 
resources among suitable universities, museums, or other scientific or 
educational institutions, when such resources have been excavated or 
removed from public lands under the authority of a permit issued by the 
Commissioner.



Sec.  1104.13  Determination of archaeological or commercial value and
cost of restoration and repair.

    (a) Archaeological value. For purposes of this part, the 
archaeological value of any archaeological resource involved in a 
violation of the prohibitions in Sec.  1104.3 of this part or conditions 
of a permit issued pursuant to this part shall be the value of the 
information associated with the archaeological resource. This value 
shall be appraised in terms of the costs of the retrieval of the 
scientific information which would have been obtainable prior to the 
violation. These costs may include, but need not be limited to, the cost 
of preparing a research design, conducting field work, carrying out 
laboratory analysis, and preparing reports as would be necessary to 
realize the information potential.
    (b) Commercial value. For purposes of this part, the commercial 
value of any archaeological resource involved in a violation of the 
prohibitions in Sec.  1104.3 of this part or conditions of a permit 
issued pursuant to this part shall be its fair market value. Where the 
violation has resulted in damage to the archaeological resource, the 
fair market value should be determined using the condition of the 
archaeological resource prior to the violation, to the extent that its 
prior condition can be ascertained.
    (c) Cost of restoration and repair. For purposes of this part, the 
cost of restoration and repair of archaeological resources damaged as a 
result of a violation of prohibitions or conditions pursuant to this 
part, shall be the sum of the costs already incurred for emergency 
restoration or repair work, plus those costs projected to be necessary 
to complete restoration and repair, which may include, but need not be 
limited to, the costs of the following:
    (1) Reconstruction of the archaeological resource;
    (2) Stabilization of the archaeological resource;
    (3) Ground contour reconstruction and surface stabilization;
    (4) Research necessary to carry out reconstruction or stabilization;
    (5) Physical barriers or other protective devices, necessitated by 
the disturbance of the archaeological resource, to protect it from 
further disturbance;
    (6) Examination and analysis of the archaeological resource 
including recording remaining archaeological information, where 
necessitated by disturbance, in order to salvage remaining values which 
cannot be otherwise conserved;
    (7) Reinterment of human remains in accordance with religious custom 
and State, local, or tribal law, where appropriate, as determined by the 
Commissioner;
    (8) Preparation of reports relating to any of the above activities.



Sec.  1104.14  Assessment of civil penalties.

    (a) The Commissioner may assess a civil penalty against any person 
who has violated any prohibition contained in Sec.  1104.3 or who has 
violated any term or condition included in a permit issued in accordance 
with the Act and this part.
    (b) Notice of violation. The Commissioner shall serve a notice of 
violation upon any person believed to be subject to a civil penalty, 
either in person or by registered or certified mail (return

[[Page 358]]

receipt requested). The Commissioner shall include in the notice:
    (1) A concise statement of the facts believed to show a violation;
    (2) A specific reference to the provision(s) of this part or to a 
permit issued pursuant to this part allegedly violated;
    (3) The amount of penalty proposed to be assessed, including any 
initial proposal to mitigate or remit where appropriate, or a statement 
that notice of a proposed penalty amount will be served after the 
damages associated with the alleged violation have been ascertained;
    (4) Notification of the right to file a petition for relief pursuant 
to paragraph (d) of this section, or to await the Commissioner's notice 
of assessment, and to request a hearing in accordance with paragraph (g) 
of this section. The notice shall also inform the person of the right to 
seek judicial review of any final administrative decision assessing a 
civil penalty.
    (c) The person served with a notice of violation shall have 45 
calendar days from the date of its service (or the date of service of a 
proposed penalty amount, if later) in which to respond. During this time 
the person may:
    (1) Seek informal discussions with the Commissioner;
    (2) File a petition for relief in accordance with paragraph (d) of 
this section;
    (3) Take no action and await the Commissioner's notice of 
assessment;
    (4) Accept in writing or by payment the proposed penalty, or any 
mitigation or remission offered in the notice. Acceptance of the 
proposed penalty or mitigation or remission shall be deemed a waiver of 
the notice of assessment and of the right to request a hearing under 
paragraph (g) of this section.
    (d) Petition for relief. The person served with a notice of 
violation may request that no penalty be assessed or that the amount be 
reduced, by filing a petition for relief with the Commissioner within 45 
calendar days of the date of service of the notice of violation (or of a 
proposed penalty amount, if later). The petition shall be in writing and 
signed by the person served with the notice of violation. If the person 
is a corporation, the petition must be signed by an officer authorized 
to sign such documents. The petition shall set forth in full the legal 
or factual basis for the requested relief.
    (e) Assessment of penalty. (1) The Commissioner shall assess a civil 
penalty upon expiration of the period for filing a petition for relief, 
upon completion of review of any petition filed, or upon completion of 
informal discussions, whichever is later.
    (2) The Commissioner shall take into consideration all available 
information, including information provided pursuant to paragraphs (c) 
and (d) of this section or furnished upon further request by the 
Commissioner.
    (3) If the facts warrant a conclusion that no violation has 
occurred, the Commissioner shall so notify the person served with a 
notice of violation, and no penalty shall be assessed.
    (4) Where the facts warrant a conclusion that a violation has 
occurred, the Commissioner shall determine a penalty amount in 
accordance with Sec.  1104.15.
    (f) Notice of assessment. The Commissioner shall notify the person 
served with a notice of violation of the penalty amount assessed by 
serving a written notice of assessment, either in person or by 
registered or certified mail (return receipt requested). The 
Commissioner shall include in the notice of assessment:
    (1) The facts and conclusions from which it was determined that a 
violation did occur;
    (2) The basis in Sec.  1104.15 for determining the penalty amount 
assessed and/or any offer to mitigate or remit the penalty; and
    (3) Notification of the right to request a hearing, including the 
procedures to be followed, and to seek judicial review of any final 
administrative decision assessing a civil penalty.
    (g) Hearings. (1) Except where the right to request a hearing is 
deemed to have been waived as provided in paragraph (c)(4) of this 
section, the person served with a notice of assessment may file a 
written request for a hearing with the adjudicatory body specified in 
the notice. The person shall enclose with the request for hearing a copy 
of

[[Page 359]]

the notice of assessment, and shall deliver the request as specified in 
the notice of assessment, personally or by registered or certified mail 
(return receipt requested).
    (2) Failure to deliver a written request for a hearing within 45 
days of the date of service of the notice of assessment shall be deemed 
a waiver of the right to a hearing.
    (3) Any hearing conducted pursuant to this section shall be held in 
accordance with 5 U.S.C. 554. In any such hearing, the amount of civil 
penalty assessed shall be determined in accordance with this part, and 
shall not be limited by the amount assessed by the Commissioner under 
paragraph (f) of this section or any offer of mitigation or remission 
made by the Commissioner.
    (h) Final administrative decision. (1) Where the person served with 
a notice of violation has accepted the penalty pursuant to paragraph 
(c)(4) of this section, the notice of violation shall constitute the 
final administrative decision;
    (2) Where the person served with a notice of assessment has not 
filed a timely request for a hearing pursuant to paragraph (g)(1) of 
this section, the notice of assessment shall constitute the final 
administrative decision;
    (3) Where the person served with a notice of assessment has filed a 
timely request for a hearing pursuant to paragraph (g)(1) of this 
section, the decision resulting from the hearing or any applicable 
administrative appeal therefrom shall constitute the final 
administrative decision.
    (i) Payment of penalty. (1) The person assessed a civil penalty 
shall have 45 calendar days from the date of issuance of the final 
administrative decision in which to make full payment of the penalty 
assessed, unless a timely request for appeal has been filed with a 
United States District Court as provided in section 7(b)(1) of the Act.
    (2) Upon failure to pay the penalty, the Commissioner may request 
the Attorney General to institute a civil action to collect the penalty 
in a United States District Court for any district in which the person 
assessed a civil penalty is found, resides, or transacts business. Where 
the Commissioner is not represented by the Attorney General, a civil 
action may be initiated directly by the Commissioner.
    (j) Other remedies not waived. Assessment of a penalty under this 
section shall not be deemed a waiver of the right to pursue other 
available legal or administrative remedies.



Sec.  1104.15  Civil penalty amounts.

    (a) Maximum amount of penalty. (1) Where the person being assessed a 
civil penalty has not committed any previous violation of any 
prohibition in Sec.  1104.3 or of any term or condition included in a 
permit issued pursuant to this part, the maximum amount of the penalty 
shall be the full cost of restoration and repair of archaeological 
resources damaged plus the archaeological or commercial value of 
archaeological resources destroyed or not recovered.
    (2) Where the person being assessed a civil penalty has committed 
any previous violation of any prohibition in Sec.  1104.3 or of any term 
or condition included in a permit issued pursuant to this part, the 
maximum amount of the penalty shall be double the cost of restoration 
and repair plus double the archaeological or commercial value of 
archaeological resources destroyed or not recovered.
    (3) Violations limited to the removal of arrowheads located on the 
surface of the ground shall not be subject to the penalties prescribed 
in this section.
    (b) Determination of penalty amount, mitigation, and remission. The 
Commissioner may assess a penalty amount less than the maximum amount of 
penalty and may offer to mitigate or remit the penalty.
    (1) Determination of the penalty amount and/or a proposal to 
mitigate or remit the penalty may be based upon any of the following 
factors:
    (i) Agreement by the person being assessed a civil penalty to return 
to the Commissioner archaeological resources removed from public lands;
    (ii) Agreement by the person being assessed a civil penalty to 
assist the Commissioner in activity to preserve, restore, or otherwise 
contribute to the protection and study of archaeological resources on 
public lands;

[[Page 360]]

    (iii) Agreement by the person being assessed a civil penalty to 
provide information which will assist in the detection, prevention, or 
prosecution of violations of the Act or this part;
    (iv) Demonstration of hardship or inability to pay, provided that 
this factor shall only be considered when the person being assessed a 
civil penalty has not been found to have previously violated the 
regulations in this part;
    (v) Determination that the person being assessed a civil penalty did 
not willfully commit the violation;
    (vi) Determination that the proposed penalty would constitute 
excessive punishment under the circumstances;
    (vii) Determination of other mitigating circumstances appropriate to 
consideration in reaching a fair and expeditious assessment.
    (2) When the penalty is for a violation which may have had an effect 
on a known Indian tribal religious or cultural site on public lands, the 
Commissioner should consult with and consider the interests of the 
affected tribe(s) prior to proposing to mitigate or remit the penalty.



Sec.  1104.16  Other penalties and rewards.

    (a) Section 6 of the Act contains criminal prohibitions and 
provisions for criminal penalties. Section 8(b) of the Act provides that 
archaeological resources, vehicles, or equipment involved in a violation 
may be subject to forfeiture.
    (b) Section 8(a) of the Act provides for rewards to be made to 
persons who furnish information which leads to conviction for a criminal 
violation or to assessment of a civil penalty. The Commissioner may 
certify to the Secretary of the Treasury that a person is eligible to 
receive payment. Officers and employees of Federal, State, or local 
government who furnish information or render service in the performance 
of their official duties, and persons who have provided information 
under Sec.  1104.15(b)(1)(iii) shall not be certified eligible to 
receive payment of rewards.



Sec.  1104.17  Confidentiality of archaeological resource information.

    (a) The Commissioner shall not make available to the public, under 
subchapter II of chapter 5 of title 5 of the United States Code or any 
other provision of law, information concerning the nature and location 
of any archaeological resource, with the following exceptions:
    (1) The Commissioner may make information available, provided that 
the disclosure will further the purposes of the Act and this part, or 
the Act of June 27, 1960, as amended (16 U.S.C. 469-469c), without 
risking harm to the archaeological resource or to the site in which it 
is located.
    (2) The Commissioner shall make information available, when the 
Governor of any State has submitted to the Commissioner a written 
request for information, concerning the archaeological resources within 
the requesting Governor's State, provided that the request includes:
    (i) The specific archaeological resource or area about which 
information is sought;
    (ii) The purpose for which the information is sought; and
    (iii) The Governor's written commitment to adequately protect the 
confidentiality of the information.



Sec.  1104.18  Report to the Secretary of the Interior.

    The Commissioner, when requested by the Secretary of the Interior, 
shall submit such information as is necessary to enable the Secretary to 
comply with section 13 of the Act.

                       PARTS 1105	1199 [RESERVED]

[[Page 361]]



 CHAPTER XII--UNITED STATES INTERNATIONAL DEVELOPMENT COOPERATION AGENCY




  --------------------------------------------------------------------
Part                                                                Page
1200

[Reserved]

1201            Public information..........................         363
1202            Regulations to implement the Privacy Act of 
                    1974....................................         363
1203            Employee responsibilities and conduct.......         363
1204-1299

 [Reserved]

[[Page 363]]

                          PART 1200 [RESERVED]



PART 1201_PUBLIC INFORMATION--Table of Contents



    Authority: Sec. 621, 22 U.S.C. 2381, as amended; 5 U.S.C. 552.

    Cross Reference: The regulations establishing procedures under the 
Freedom of Information Act for the United States International 
Development Cooperation Agency are codified in 22 CFR 212.1 through 
212.51, prescribed jointly by the United States International 
Development Cooperation Agency and the Agency for International 
Development.

[45 FR 20790, Mar. 31, 1980]



PART 1202_REGULATIONS TO IMPLEMENT THE PRIVACY ACT OF 1974--Table of Contents



    Authority: Sec. 621, 22 U.S.C. 2381, as amended; 5 U.S.C. 552a.

    Cross Reference-- The regulations establishing procedures by which 
an individual may obtain notification of the existence of agency records 
pertaining to that individual, gain access to those records, request an 
amendment to those records, and appeal adverse decisions to requests for 
amendment or correction of agency records are codified as 22 CFR 215.1 
through 215.14, prescribed jointly by the United States International 
Development Cooperation Agency and the Agency for International 
Development.

[45 FR 20791, Mar. 31, 1980]



PART 1203_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents



                      Subpart A_General Provisions

Sec.
1203.735-101 Purpose.
1203.735-102 Definitions.
1203.735-103 Interpretation and advisory service.
1203.735-104 Applicability to detailed employees.
1203.735-105 Disciplinary action.

  Subpart B_Ethical and Other Conduct and Responsibilities of Employees

1203.735-201 General.
1203.735-202 Gifts, entertainment, and favors.
1203.735-203 Gifts from foreign governments.
1203.735-204 Outside employment and other activity.
1203.735-205 Financial interests.
1203.735-206 Economic and financial activities of employees abroad.
1203.735-207 Use of Government property.
1203.735-208 Misuse of information.
1203.735-209 Indebtedness.
1203.735-210 Gambling, betting, and lotteries.
1203.735-211 Activities relating to private organizations and politics.
1203.735-212 Wearing of uniforms.
1203.735-213 Recommendations for employment.
1203.735-214 Transmitting communications and gifts.
1203.735-215 General conduct prejudicial to the Government.
1203.735-216 Miscellaneous statutory provisions.
1203.735-217 Requesting exceptions from certain statutory prohibitions.

  Subpart C_Ethical and Other Conduct and Responsibilities of Special 
                          Government Employees

1203.735-301 Conflicts of interest.
1203.735-302 Use of Government employment.
1203.735-303 Use of inside information.
1203.735-304 Coercion.
1203.735-305 Gifts, entertainment, and favors.
1203.735-306 Miscellaneous statutory provisions.

       Subpart D_Statements of Employment and Financial Interests

1203.735-401 Employees required to submit statements.
1203.735-402 Employees not required to submit statements.
1203.735-403 Employee's complaint on filing requirement.
1203.735-404 Time and place of submission, and forms.
1203.735-405 Information required.
1203.735-406 Submission of position description.
1203.735-407 Supplementary statements.
1203.735-408 Review of statements and determination as to conflicts of 
          interest.
1203.735-409 Confidentiality of employees' statements.
1203.735-410 Effect of employees' statements on other requirements.
1203.735-411 Disqualification procedures.

    Authority: E.O. 11222 of May 8, 1965, as amended; 5 CFR 735.104.

    Source: 43 FR 18976, May 2, 1978; 45 FR 18922, Mar. 24, 1980, unless 
otherwise noted.

[[Page 364]]



                      Subpart A_General Provisions



Sec.  1203.735-101  Purpose.

    The maintenance of the highest standards of honesty, integrity, 
impartiality, and conduct by Government employees and special Government 
employees is essential to assure the proper performance of the 
Government business and the maintenance of confidence by citizens in 
their Government. The avoidance of misconduct and conflicts of interest 
on the part of Government employees and special Government employees 
through informed judgment is indispensable to the maintenance of these 
standards. To accord with these concepts the regulations in this part 
prescribe standards of conduct and responsibilities for employees and 
special Government employees and require statements reporting employment 
and financial interests.

    Note: These regulations are codified in State 3 FAM 620, AID 
Handbook 24, and ICA MOA V-A 550.



Sec.  1203.735-102  Definitions.

    (a) Agency means the United States International Development 
Cooperation Agency (IDCA).
    (b) Employee means an officer or employee at home or abroad, of an 
agency named in paragraph (a) of this section, but does not include a 
special Government employee or a member of the Army, Navy, Air Force, 
Marine Corps, Coast Guard, National Oceanic and Atmospheric 
Administration, or Public Health Service.
    (c) Executive order means Executive Order 11222 of May 8, 1965, as 
amended.
    (d) Person means an individual, a corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, or 
any other organization or institution.
    (e) Special Government employee means an officer or employee of an 
agency who is retained, designated, appointed, or employed to perform, 
with or without compensation, for not to exceed 130 days during any 
period of 365 consecutive days, temporary duties either on a full-time 
or intermittent basis.
    (f) Member of an employee's family means a spouse, minor child, or 
other member of an employee's immediate household. For the purpose of 
these regulations member of an employee's immediate or in-law household 
means those blood relations who are residents of the employee's 
household.
    (g) Counselor means the agency's Counselor on Ethical Conduct and 
Conflicts of Interest.



Sec.  1203.735-103  Interpretation and advisory service.

    (a) Counseling services on employee responsibilities and conduct are 
available in each agency. These services are to be coordinated by a 
Counselor appointed by the agency head. The Counselor for IDCA is the 
General Counsel. The Counselor serves as the agency's designee to the 
Civil Service Commission on matters covered by the regulations in this 
part and is responsible for coordination of the agency's counseling 
services under paragraph (b) of this section and for assuring that 
counseling and interpretations on questions of conflicts of interest and 
other matters covered by these sections are available to deputy 
counselors designated under paragraph (b) of this section.
    (b) Each agency head may designate deputy counselors for the 
agency's employees and special Government employees. Deputy Counselors 
designated under this section must be qualified and in a position to 
give authoritative advice and guidance to each employee and special 
Government employee who seeks advice and guidance on questions of 
conflicts of interest and on other matters covered by the regulations in 
this part. A Washington employee or special Government employee should 
address any inquiries concerning the regulations in this part to the 
Counselor. At missions abroad the chief of each agency's establishment 
designates an officer, preferably the legal officer where one is 
available, to provide counseling services under the guidance of the 
Counselor; a single officer may serve all agencies. An employee or 
special Government employee serving abroad should submit inquiries to 
the officer designated.
    (c) Each agency shall periodically notify its employees and special 
Government employees of the availability of counseling services and how 
and when

[[Page 365]]

these services are available. A new employee or special Government 
employee shall be notified at the time of entrance on duty.



Sec.  1203.735-104  Applicability to detailed employees.

    All the regulations of subparts A, B, and D of this part are 
applicable to an employee of another U.S. Government agency who may be 
serving on detail or assignment, formally or informally, on a 
reimbursable or nonreimbursable basis through a Participating Agency 
Service Agreement or otherwise, with an agency named in Sec.  1203.735-
102(a). However, disciplinary action shall be taken against such an 
employee only by the employing agency.



Sec.  1203.735-105  Disciplinary action.

    A violation of the regulations in this part by an employee or 
special Government employee may be cause for appropriate disciplinary 
action, including separation for cause, which may be in addition to any 
penalty prescribed by law.



  Subpart B_Ethical and Other Conduct and Responsibilities of Employees



Sec.  1203.735-201  General.

    (a) Proscribed actions. An employee shall avoid any action, whether 
or not specifically prohibited by the regulations in this part, which 
might result in, or create the appearance of:
    (1) Using public office for private gain;
    (2) Giving preferential treatment to any person;
    (3) Impeding Government efficiency or economy;
    (4) Losing independence or impartiality;
    (5) Making a Government decision outside official channels; or
    (6) Affecting adversely the confidence of the public in the 
integrity of the Government.
    (b) Applicability to members of families of employees. A U.S. 
citizen employee shall take care that certain responsibilities placed on 
the employee are also observed by members of the employee's family. 
These are the restrictions in regard to: Acceptance of gifts (Sec. Sec.  
1203.735-202 and 1203.735-203); economic and financial activities abroad 
(Sec.  1203.735-206); teaching, lecturing, and writing (Sec.  1203.735-
204(c)); participation in activities of private organizations (Sec.  
1203.735-211(c)); and political activities abroad (Sec.  1203.735-
211(g)).



Sec.  1203.735-202  Gifts, entertainment, and favors.

    (a) Acceptance prohibited. Except as provided in paragraphs (b), 
(c), and (d) of this section, an employee shall not solicit or accept, 
directly or indirectly, any gift, gratuity, favor, entertainment, loan, 
or any other thing of monetary value, from a person who:
    (1) Has, or is seeking to obtain, contractual or other business or 
financial relations with the employee's agency;
    (2) Conducts operations or activities that are regulated by the 
employee's agency;
    (3) Has interests that may be substantially affected by the 
performance or nonperformance of the employee's official duty; or
    (4) Appears to be offering the gift with the hope or expectation of 
obtaining advantage or preferment in dealing with the U.S. Government 
for any purpose.
    (b) Acceptance permitted. The provisions of paragraph (a) of this 
section do not apply to:
    (1) Gifts, gratuities, favors, entertainments, loans, or any other 
thing of monetary value received on account of close family or personal 
relationships when the circumstances make it clear that it is that 
relationship rather than the business of the persons concerned which is 
the motivating factor;
    (2) Acceptance of loans from banks or other financial institutions 
on customary terms to finance proper and usual activities of employees, 
such as home mortgage loans;
    (3) Acceptance of unsolicited advertising or promotional material, 
such as pens, pencils, note pads, calendars, and other items of nominal 
intrinsic value;
    (4) Acceptance of rates and discounts offered to employees as a 
class.
    (c) Acceptance permitted for IDCA employees. For IDCA employees the 
provisions of paragraph (a) of this section do not apply to: Acceptance 
of food and

[[Page 366]]

refreshments of nominal value on infrequent occasions in the ordinary 
course of a luncheon or dinner meeting or other meeting or on an 
inspection tour where an employee may properly be in attendance.
    (d) Acceptance permitted for AID employees. For AID employees the 
provisions of paragraph (a) of this section do not apply in the 
following situations:
    (1) Acceptance of food, refreshments, or entertainment of nominal 
value on infrequent occasions offered in the ordinary course of 
luncheons, dinners, or other meetings and gatherings hosted by foreign 
governments or agencies and officials thereof, embassies, and 
international organizations, where the primary purpose of the function 
is representational or social, rather than the transaction of business. 
Where the primary purpose of the function is the transaction of 
business, acceptance is not permitted, except if there is justification 
and reporting in accordance with paragraph (d)(4) of this section.
    (2) Participation in widely attended lunches, dinners, and similar 
gatherings sponsored by industrial, technical, and professional 
associations for the discussion of matters of mutual interest to 
Government and industry.
    (3) Acceptance of food, refreshments, or entertainment in the 
unusual situation where the employee, by virtue of the location of the 
person, firm, corporation, or other entity, or the regulations governing 
its dining facilities, finds it inconvenient or impracticable not to 
accept the offer. Each case of acceptance shall be reported in 
accordance with the requirement of paragraph (d)(4) of this section. In 
no other case shall employees accept food, refreshments, or 
entertainment from private corporations, entities, firms, or individual 
contractors at occasions which are other than widely attended functions 
whose purposes are unrelated to Agency business.
    (4) In exceptional circumstances where acceptance of food, 
refreshments, or entertainment is not authorized by paragraphs (d) (1), 
(2), and (3) of this section, but where, in the judgment of the 
individual concerned, the Government's interest would be served by such 
acceptance directly or indirectly from any foreign government, agency, 
or official thereof or a private person, firm, corporation, or other 
entity which is engaged or is endeavoring to engage in business 
transactions of any sort with AID, an employee may accept the offer: 
Provided, That a report of the circumstances, together with the 
employee's statement as to how the Government's interests were served, 
will be made within 48 hours to the employee's supervisor, or, if the 
employee is serving abroad, or on temporary duty abroad, to the Mission 
Director.
    (e) Gifts to superiors. An employee shall for a gift to an official 
superior, make a donation as a gift to an official superior, or accept a 
gift from an employee receiving less pay than the employee (5 U.S.C. 
7351). However, this paragraph does not prohibit a voluntary gift of 
nominal value or donation in a nominal amount made on a special occasion 
such as marriage, illness, or retirement.
    (f) Neither this section nor Sec.  1203.735-204 precludes an 
employee from receipt of bona fide reimbursement, unless prohibited by 
law, for expenses of travel and such other necessary subsistence as is 
compatible with this part for which no Government payment or 
reimbursement is made. However, this paragraph does not allow an 
employee to be reimbursed, or payment to be made on the employee's 
behalf, for excessive personal living expenses, gifts, entertainment, or 
other personal benefits, nor does it allow an employee to be reimbursed 
by a person for travel on official business under agency orders when 
reimbursement is proscribed by Decision B-128527 of the Comptroller 
General dated March 7, 1967.



Sec.  1203.735-203  Gifts from foreign governments.

    An employee shall not accept a gift, present, decoration, or other 
thing from a foreign government unless authorized by Congress as 
provided by the Constitution and in 5 U.S.C. 7342, and the regulations 
promulgated thereunder pursuant to E.O. 11320, 31 FR 15789. These 
regulations are set forth in part 3 of this title (as added, 32 FR 6569, 
Apr. 28, 1967), and in 3 FAM 621.

[[Page 367]]



Sec.  1203.735-204  Outside employment and other activity.

    (a) An employee shall not engage in outside employment or other 
outside activity not compatible with the full and proper discharge of 
the duties and responsibilities of Government employment. Incompatible 
activities include but are not limited to:
    (1) Acceptance of a fee, compensation, gift, payment of expense, or 
any other thing of monetary value in circumstances in which acceptance 
may result in, or create the appearance of, conflicts of interest; or
    (2) Outside employment which tends to impair the employee's mental 
or physical capacity to perform Government duties and responsibilities 
in an acceptable manner.
    (b) An employee shall not receive any salary or anything of monetary 
value from a private source as compensation for the employee's services 
to the Government (18 U.S.C. 209).
    (c) Employees are encouraged to engage in teaching, lecturing, and 
writing that is not prohibited by law, the Executive order, this part, 
or the agency regulations. However, an employee shall not, either for or 
without compensation, engage in teaching, lecturing, or writing 
including teaching, lecturing, or writing for the purpose of the special 
preparation of a person or class of persons for an examination of the 
Civil Service Commission or Board of Examiners for the Foreign Service, 
that is dependent on information obtained as a result of Government 
employment, except when that information has been made available to the 
general public or will be made available on request or when the agency 
head gives written authorization for use of nonpublic information on the 
basis that the use is in the public interest. In addition, an employee 
who is a Presidential appointee covered by section 401(a) of the 
Executive order shall not receive compensation or anything of monetary 
value for any consultation, lecture, discussion, writing, or appearance 
the subject matter of which is devoted substantially to the 
responsibilities, programs, or operations of the employee's agency, or 
which draws substantially on official data or ideas which have not 
become part of the body of public information. Employees are referred to 
the detailed rules of their agency with respect to clearance and 
acceptance of compensation (See AID Handbook 18)
    (d) [Reserved]
    (e) An employee shall not render any services, whether or not 
compensated, to any foreign government, state, province, or 
semigovernmental agency, or municipality of any foreign government, or 
to any international organization of states. However, this shall not 
prevent the rendering of such services by employees acting on behalf of 
the United States. Nor shall this provision prevent the rendering of 
services to an international organization of states when otherwise 
consistent with law and when authorized by the appropriate officer. The 
appropriate officer for IDCA is the Assistant Director for 
Administration.
    (f) [Reserved]
    (g) This section does not preclude an employee from:
    (1) Participation in the activities of national or State political 
parties not proscribed by law.
    (2) Participation in the affairs of or acceptance of an award for a 
meritorious public contribution or achievement given by a charitable, 
religious, professional, social, fraternal, nonprofit educational and 
recreational, public service, or civic organization.



Sec.  1203.735-205  Financial interests.

    (a) An employee shall not: (1) Have a direct or indirect financial 
interest that conflicts substantially, or appears to conflict 
substantially with the employee's Government duties and 
responsibilities; or
    (2) Engage in, directly or indirectly, a financial transaction as a 
result of, or primarily relying on, information obtained through 
Government employment.
    (b) This section does not preclude an employee from having a 
financial interest or engaging in financial transactions to the same 
extent as a private citizen not employed by the Government so long as it 
is not prohibited by law or the regulations in this part.
    (c) Pursuant to the provision of 18 U.S.C. 208(b) the following 
described financial interests of an employee are

[[Page 368]]

hereby exempted from the requirements of 18 U.S.C. 208(a) and 208(b)(1) 
as being too remote or too inconsequential to affect the integrity of 
the services of an employee. The exemption applies to the financial 
interests held directly by an employee, by the employee's spouse or 
minor child whether individually or jointly with the employee, or by an 
employee and any partner or partners as joint assets of the partnership:
    (1) Investments in State and local government bonds; and stocks, 
bonds, or policies in a mutual fund, investment company, bank or 
insurance company, provided that in the case of a mutual fund, 
investment company, or bank, the fair value of such stock or bond 
holding does not exceed one percent of the value of the reported assets 
of the mutual fund, investment company, or bank. In the case of a mutual 
fund or investment company, this exemption applies only where the assets 
of the fund or company are diversified; it does not apply where the fund 
or company specializes in a particular industry or commodity.
    (2) Interest in an investment club or other group organized for the 
purpose of investing in equity or debt securities: Provided, That the 
fair value of the interest involved does not exceed $10,000 and that the 
interest does not exceed one-fourth of the total assets of the 
investment club or group. Where an employee covered by this exemption is 
a member of a group organized for the purpose of investing in equity or 
debt securities, the interest of the employee in any enterprise in which 
the group holds securities shall be based upon the employee's equity 
share of the holdings of the group in that enterprise.
    (3) If an employee, or the employee's spouse or minor child has a 
present beneficial interest or a vested remainder interest under a 
trust, the ownership of stocks, bonds, or other corporate securities 
under the trust will be exempt to the same extent as provided in 
paragraphs (c)(1) and (2) of this section for the direct ownership of 
such securities. The ownership of bonds other than corporate bonds, or 
of shares in a mutual fund or regulated investment company, under the 
trust will be equally exempt and to the same extent as under paragraphs 
(c) (1) and (2) of this section.
    (4) If an employee is an officer, director, trustee, or employee of 
an educational institution, or if the employee is negotiating for, or 
has an arrangement concerning prospective employment with such an 
institution, a direct financial interest which the institution has in 
any matter will not itself be exempt, but any financial interest that 
the institution may have in the matter through its holdings of 
securities issued by business entities will be exempt: Provided, The 
employee is not serving as a member of the investment committee of the 
institution or is not otherwise advising it on its investment portfolio.
    (5) An employee may continue to participate in a bona fide pension, 
retirement, group life, health or accident insurance plan, or other 
employee welfare or benefit plan that is maintained by a business or 
nonprofit organization by which the employee was formerly employed. Such 
financial interest in that organization will be exempt, except to the 
extent that the welfare or benefit plan is a profit-sharing or stock-
bonus plan and the employee's financial interest thereunder exceeds 
$10,000. This exemption extends also to any financial interests that the 
organization may have in other business activities.
    (d) Nothing in this part shall be deemed to prohibit an employee 
from acting, with or without compensation, as agent or attorney for the 
employee's parents, spouse, child, or any person for whom, or for any 
estate for which, the employee is serving as guardian, executor, 
administrator, trustee, or other personal fiduciary, except in those 
matters in which the employee has participated personally and 
substantially as a Government employee, through decision, approval, 
disapproval, recommendation, the rendering of advice, investigation, or 
otherwise, or which are the subject of the employee's official 
responsibility, as defined in 18 U.S.C. 202(b): Provided, The head of 
the employee's division approves in writing.

[[Page 369]]



Sec.  1203.735-206  Economic and financial activities of employees abroad.

    (a) Prohibitions in any foreign country. A U.S. citizen employee 
abroad is specifically prohibited from engaging in the activities listed 
below in any foreign country.
    (1) Speculation in currency exchange.
    (2) Transactions at exchange rates differing from local legally 
available rates, unless such transactions are duly authorized in advance 
by the agency.
    (3) Sales to unauthorized persons (whether at cost or for profit) of 
currency acquired at preferential rates through diplomatic or other 
restricted arrangements.
    (4) Transactions which entail the use, without official sanction, of 
the diplomatic pouch.
    (5) Transfers of funds on behalf of blocked nationals, or otherwise 
in violation of U.S. foreign funds and assets control.
    (6) Independent and unsanctioned private transactions which involve 
an employee as an individual in violation of applicable control 
regulations of foreign governments.
    (7) Acting as an intermediary in the transfer of private funds from 
persons in one country to persons in another country, including the 
United States.
    (8) Permitting use of one's official title in any private business 
transactions or in advertisements for business purposes.
    (b)-(c) [Reserved]
    (d) Business activities of non-U.S. citizen employees. A non-U.S 
citizen employee abroad may engage in outside business activities with 
the prior approval of the head of the overseas establishment on the 
basis of the standards expressed in Sec.  1203.735-204(a).



Sec.  1203.735-207  Use of Government property.

    An employee shall not directly or indirectly use, or allow the use 
of Government property of any kind, including property leased to the 
Government, for other than officially approved activities. An employee 
has a positive duty to protect and conserve Government property, 
including equipment, supplies, and other property entrusted or issued to 
the employee.



Sec.  1203.735-208  Misuse of information.

    For the purpose of furthering a private interest, an employee shall 
not, except as provided in Sec.  1203.735-204(c) directly or indirectly 
use, or allow the use of, official information obtained through or in 
connection with Government employment which has not been made available 
to the general public.



Sec.  1203.735-209  Indebtedness.

    An employee shall pay each just financial obligation in a proper and 
timely manner, especially one imposed by law such as Federal, State, or 
local taxes. For the purpose of this section, a just financial 
obligation means one acknowledged by the employee or reduced to 
judgement by a court or one imposed by law such as Federal, State, or 
local taxes, and ``in a proper and timely manner'' means in a manner 
which the agency determines does not, under the circumstances, reflect 
adversely on the Government as the employer. In the event of dispute 
between an employee and an alleged creditor, this section does not 
require an agency to determine the validity or amount of the disputed 
debt.



Sec.  1203.735-210  Gambling, betting, and lotteries.

    An employee shall not participate, while on Government-owned or 
leased property or while on duty for the Government, in any gambling 
activity including the operation of a gambling device, in conducting a 
lottery or pool, in a game for money or property, or in selling or 
purchasing a numbers slip or ticket. However, this section does not 
preclude activities:
    (a) Necessitated by an employee's law enforcement duties; or
    (b) Under section 3 of Executive Order 10927 and similar agency-
approved activities.



Sec.  1203.735-211  Activities relating to private organizations and politics.

    (a) Definition. For the purpose of this section, the term private 
organization denotes any group of persons or associations organized for 
any purpose whatever, except an organization established by the 
Government of the United States, or officially participated in by IDCA.

[[Page 370]]

    (b) Participation in activities of employee organizations. An 
employee may join or refrain from joining employee organizations or 
associations without interference, coercion, restraint, or fear of 
discrimination or reprisal.
    (c) Participation in activities of private organizations. In 
participating in the program and activities of any private organization, 
an employee shall make clear that the employee's agency has no official 
connection with such organization and does not necessarily sponsor or 
sanction the viewpoints which it may express.
    (d) Legal restrictions on membership in certain organizations. An 
employee shall not have membership in any organization that advocates 
the overthrow of our constitutional form of Government in the United 
States, knowing that such organization so advocates (5 U.S.C. 7311, 18 
U.S.C. 1918).
    (e) Private organizations concerned with foreign policy or other 
matters of concern to agencies. (1) Limitation on participation. When a 
private organization is concerned primarily with foreign policy or 
international relations or other matters of concern to an employee's 
agency, an employee shall limit connection therewith as follows: Unless 
specifically permitted to do so, the employee may not serve as advisor, 
officer, director, teacher, sponsor, committee chairman, or in any other 
official capacity or permit the employee's name to be used on a 
letterhead, in a publication, in an announcement or news story, or at a 
public meeting, regardless of whether the employee's official title or 
connection is mentioned. The provisions of this section are not intended 
to prohibit the normal and active participation of an employee in 
professional organizations such as the American Political Science 
Association, the American Economic Association, the American Foreign 
Service Association, and similar organizations, since such participation 
is in the interest of both the employee and the Government. Employees 
are expected, however, to exercise discretion in such activities and are 
held personally accountable for any improper use of their relationship 
with IDCA.
    (2) Request for special permission. Special permission to assume or 
continue a connection prohibited by paragraph (e)(1) of this section may 
be granted in cases where the public interest will not be adversely 
affected. To request such permission, or to determine whether the 
provisions are applicable to a particular case, the employee shall 
address a memorandum setting forth all of the circumstances to the 
appropriate officer. The appropriate officer for IDCA is the Assistant 
Director for Administration.
    (3) Application to senior officers. Because of the prominence 
resulting from their official positions, chiefs of mission and other 
senior officers should recognize the particular bearing of the 
provisions of paragraph (e)(1) of this section upon their activities. 
They should restrict association with any organizations involving 
foreign nations and the United States to simple membership and should 
not accept even honorary office in such organizations except with the 
specific prior approval as provided in paragraph (e)(2) of this section.
    (f) Private organizations not concerned with foreign policy. When 
the purpose and program of the organization do not fall primarily within 
the field of foreign policy or international relations, the employee's 
activity is limited only to the following extent:
    (1) The employee's official title or connection may be used to 
identify the employee, as in a civic association election, but may not 
be used on a letterhead, in a publication, or otherwise so as to employ 
the prestige of the U.S. Government to enhance that of the organization 
or to imply official sponsorship.
    (2) When the employee is a representative of an association 
consisting of IDCA employees, or of a group of such employees, the 
employee's connection with the agency may be freely used so long as 
there is no implication of official sponsorship beyond that which may 
have been officially approved.
    (g) Political activities abroad. A U.S. citizen employee shall not 
engage in any form of political activity in any foreign country.
    (h) Activities relating to U.S. politics. The law (5 U.S.C. 7324, 
formerly the Hatch Act) provides in summary that it is unlawful for any 
Federal employee

[[Page 371]]

of the executive branch to use the employee's official authority or 
influence for the purpose of interfering with an election or affecting 
the result thereof, or to take any active part in political management 
or in political campaigns. These restrictions do not in any way affect 
the right of a Federal employee (1) to vote as the employee chooses; (2) 
to express personal political opinions, except as part of a campaign; 
(3) to make or refrain from making contributions to political 
organizations, provided contributions are not made in a Federal building 
or to another Federal officer or employee (see 18 U.S.C. 602, 603, 607, 
and 608); (4) to participate in local, nonpartisan activities.



Sec.  1203.735-212  Wearing of uniforms.

    (a) An employee of the Foreign Service may not wear any uniform 
except as may be authorized by law or as a military commander may 
require civilians to wear in a theater of military operations (22 U.S.C. 
803). When an employee is authorized by law or required by a military 
commander of the United States to wear a uniform, care shall be taken 
that the uniform is worn only at authorized times and for authorized 
purposes.
    (b) Conventional attire worn by chauffeurs, elevator operators, and 
other miscellaneous employees are not considered uniforms within the 
meaning of this section except that, for ICA, MOA VII 917.2b prohibits 
the purchase from Agency funds of uniforms or any item of personal 
wearing apparel other than special protective clothing.



Sec.  1203.735-213  Recommendations for employment.

    (a) Making recommendations in official capacity. In general, an 
employee shall not, in the employee's official capacity, make any 
recommendations in connection with the employment of persons unless the 
position concerned are with the Government of the United States and the 
recommendations are made in response to an inquiry from a Government 
official authorized to employ persons or to investigate applicants for 
employment. A principal officer in answer to a letter of inquiry from 
outside the U.S. Government concerning a former employee assigned to the 
post, may state the length of time the person was employed at the post 
and the fact that the former employee performed duties in a satisfactory 
manner, if such is the case. Also, an AID Mission Director may provide 
names of persons or firms from which a cooperating government may select 
an employee or firm to be used in some phase of the AID program.
    (b) Making personal recommendations. An employee may make a personal 
recommendation in connection with the employment of any person, 
including present or former employees, their spouses and/or members of 
their families, except for employment in a position of trust or profit 
under the government of the country to which the employee is accredited 
or assigned (22 U.S.C. 806(b)): Provided, That the employee does not 
divulge any information concerning the person derived from official 
sources. When a letter of introduction or recommendation is written by 
an employee, precautionary measures should be taken to prevent its being 
construed as official correspondence and used by an unscrupulous 
individual to impress American or foreign officials. Accordingly, 
official stationery should not be used for this purpose. The letter may, 
however, show the recommending employee's status as an employee of the 
U. S. Government. Every personal letter of recommendation shall contain 
a statement clearly indicating that the letter constitutes a personal 
recommendation and is not to be construed as an official recommendation 
by the Government of the United States.



Sec.  1203.735-214  Transmitting communications and gifts.

    (a) Correspondence. In corresponding with anyone other than the 
proper official of the United States with regard to the public affairs 
of a foreign government, an employee shall use discretion and judgment 
to ensure that neither the United States nor the employee will be 
embarrassed or placed in a compromising position (22 U.S.C. 806(a)).
    (b) Communications. An employee shall not act as an agent for the 
transmission of communications from private persons or organizations in 
foreign countries to the President or to

[[Page 372]]

Federal, State, or municipal officials in the United States. A chief of 
mission may, however, accept communications of this nature and forward 
them to the Department of State for such further action as may be 
appropriate, whenever the chief of mission determines it to be clearly 
in the public interest to do so.
    (c) Gifts. An employee shall not act as an agent for the 
transmission of gifts from persons or organizations in foreign countries 
to the President or to Federal, State, or municipal officials of the 
United States. However, principal officers may, according to regulations 
prescribed by the President, accept, and forward to the Office of 
Protocol of the Department of State, gifts made to the United States or 
to any political subdivision thereof by the Government to which they are 
accredited or from which they hold exequaturs. Employees shall not, 
without the approval of the Secretary of State, transmit gifts from 
persons or organizations in the United States to heads or other 
officials of foreign states.



Sec.  1203.735-215  General conduct prejudicial to the Government.

    (a) An employee shall not engage in criminal, infamous, dishonest, 
immoral, or notoriously disgraceful conduct, or other conduct 
prejudicial to the Government.
    (b) An employee abroad is also obligated to obey the laws of the 
country in which the employee is present.
    (c) An employee shall observe the requirements of courtesy, 
consideration, and promptness in dealing with or serving the public.



Sec.  1203.735-216  Miscellaneous statutory provisions.

    Each employee shall become acquainted with each statute that relates 
to the employee's ethical and other conduct as an agency employee of and 
of the Government.
    (a) The attention of employees is directed to the following 
statutory provisions:
    (1) House Concurrent Resolution 175, 85th Congress, 2d session, 72 
Stat. B12, the ``Code of Ethics for Government Service.''
    (2) Chapter 11 of title 18, United States Code, relating to bribery, 
graft, and conflicts of interest, as appropriate to the employees 
concerned.
    (3) The prohibition against lobbying with appropriated funds (18 
U.S.C. 1913).
    (4) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 
18 U.S.C. 1918). \1\
---------------------------------------------------------------------------

    \1\ The Courts have stricken from the Code any prohibition against 
assertion of the right to strike on the basis that such an assertion is 
a protected right under the First Amendment to the Constitution.
---------------------------------------------------------------------------

    (5) The prohibitions against (i) the disclosure of classified 
information (18 U.S.C. 798, 50 U.S.C. 783); and (ii) the disclosure of 
confidential information (18 U.S.C. 1905).
    (6) The provision relating to the habitual use of intoxicants to 
excess (5 U.S.C. 7352).
    (7) The prohibition against the misuse of a Government vehicle (31 
U.S.C. 638a(c)).
    (8) The prohibition against the misuse of the franking privilege (18 
U.S.C. 1719).
    (9) The prohibition against the use of deceit in an examination or 
personnel action in connection with Government employment (18 U.S.C. 
1917).
    (10) The prohibition against fraud or false statements in a 
Government matter (18 U.S.C. 1001).
    (11) The prohibition against mutilating or destroying a public 
record (18 U.S.C. 2071).
    (12) The prohibition against counterfeiting and forging 
transportation requests (18 U.S.C. 508).
    (13) The prohibition against (i) embezzlement of Government money or 
property (18 U.S.C. 641); (ii) failing to account for public money (18 
U.S.C. 643); and (iii) embezzlement of the money or property of another 
person in the possession of an employee by reason of the employee's 
employment (18 U.S.C. 654).
    (14) The prohibition against unauthorized use of documents relating 
to claims from or by the Government (18 U.S.C. 285).
    (15) The prohibition against political activities in subchapter III 
of chapter 73 of title 5, United States Code and 18 U.S.C. 602, 603, 
607, and 608.

[[Page 373]]

    (16) The prohibition against an employee acting as the agent of a 
foreign principal registered under the Foreign Agents Registration Act 
(18 U.S.C. 219).
    (17) The prohibition against discrimination because of politics, 
race, religion, or color (22 U.S.C. 807).
    (18) The prohibition against officers or employees accepting any 
honorarium in excess of $2,000 or honoraria aggregating more than 
$25,000 in any calendar year (sec. 112, Pub. L. 94-283, 90 Stat. 494 (2 
U.S.C. 441i)).
    (b) The attention of consular officers is directed to the following 
statutory provisions:
    (1) The provisions relating to the duty to account for fees received 
(22 U.S.C. 9, 812, 1194), liability for exaction of excessive fees (22 
U.S.C. 1182, 1189), and liability for failure to collect proper fees (22 
U.S.C. 1190).
    (2) The provisions relating to liability for failure to give bond 
and for embezzlement (22 U.S.C. 1179), liability for embezzlement of 
fees or effects of American citizens (22 U.S.C. 1198), and liability for 
falsely certifying as to the ownership of property (22 U.S.C. 1200).
    (3) The prohibition against profiting from dealings with discharged 
seamen (22 U.S.C. 1187).
    (4) The provision relating to liability for failure to collect the 
wages of discharged seamen (46 U.S.C. 683).



Sec.  1203.735-217  Requesting exceptions from certain statutory 
prohibitions.

    (a) Any employee desiring a written advance determination that the 
prohibitions of 18 U.S.C. 208(a) do not apply will prepare a written 
request addressed to an appropriate agency official. For purposes of 
this section, the appropriate agency official is: The Deputy Under 
Secretary for Management for State, the Administrator for AID, and the 
Director for ICA. The request will describe the particular matter giving 
rise to the conflict of interest, the nature and extent of the 
employee's anticipated participation in the particular matter, and the 
exact nature and amount of the financial interest related to the 
particular matter.
    (b) The employee will forward the request to the appropriate agency 
official through the immediate supervisor and the assistant agency head 
in charge of the organizational agency component to which the employee 
is assigned, or will be assigned in the case of a new employee. The 
assistant agency head will forward the written request to the 
appropriate agency official through the agency's Counselor. The 
Counselor shall attach a written opinion to the request, prepare a 
recommended written determination in final form for signature by the 
appropriate agency official, and shall forward all documents to that 
official.
    (c) The determination of the appropriate agency official will be 
sent to the employee by the Counselor. If the appropriate agency 
official grants the requested exception, the original written advance 
determination will be sent to the employee. A duplicate original shall 
be retained among the appropriate agency records under the control of 
the Counselor.



  Subpart C_Ethical and Other Conduct and Responsibilities of Special 
                          Government Employees



Sec.  1203.735-301  Conflicts of interest.

    Special Government employees are subject to the conflicts of 
interest statutes (18 U.S.C. 202). An explanation of these conflicts of 
interest statutes their effects upon special Government employees and 
guidelines for obtaining and utilizing the services of special 
Government employees are in appendix C of chapter 735 of the Federal 
Personnel Manual. A special Government employee shall not have a direct 
or indirect financial interest that conflicts substantially, or appears 
to conflict substantially, with Government duties and responsibilities.



Sec.  1203.735-302  Use of Government employment.

    A special Government employee shall not use Government employment 
for a purpose that is, or gives the appearance of being, motivated by 
the desire for private gain for the employee or another person, 
particularly one with whom the employee has family, business, or 
financial ties.

[[Page 374]]



Sec.  1203.735-303  Use of inside information.

    (a) A special Government employee shall not use inside information 
obtained as a result of Government employment for private gain for the 
employee or another person either by direct action on the employee's 
part or by counsel, recommendation, or suggestion to another person, 
particularly one with whom the employee has family, business, or 
financial ties. For the purpose of this section, ``inside information'' 
means information obtained under Government authority which has not 
become part of the body of public information.
    (b) A special Government employee may engage in teaching, lecturing, 
or writing that is not prohibited by law, Executive Order 11222 or the 
restrictions in this part; however, a special Government employee shall 
not, either for or without compensation, engage in teaching, lecturing, 
or writing that is dependent on information obtained as a result of his 
Government employment, except when that information has been made 
available to the general public or will be made available, or when the 
head of the agency gives written authoritzation for the use of nonpublic 
information on the basis that the use is in the public interest. A 
special Government employee who wishes to request the agency head to 
authorize the use of nonpublic information should submit such request 
through the Counselor. The request should contain complete information 
concerning the nonpublic information which the employee wishes to 
disclose and should contain in addition an indication of the intended 
use of such information and how disclosure of it would be in the public 
interest.



Sec.  1203.735-304  Coercion.

    A special Government employee shall not use Government employment to 
coerce, or give the appearance of coercing, a person to provide 
financial benefit to the employee or another person, particularly one 
with whom the employee has family, business, or financial ties.



Sec.  1203.735-305  Gifts, entertainment, and favors.

    (a) Except as provided in paragraph (b) of this section, a special 
Government employee, while so employed or in connection with Government 
employment, shall not receive or solicit from a person having business 
with the employee's agency anything of value as a gift, gratuity, loan, 
entertainment, or favor for the employee or another person, particularly 
one with whom the employee has family, business or financial ties.
    (b) The exceptions to the prohibition against the acceptance of 
gifts which have been granted to employees in Sec.  1203.735-202 (b), 
(c), and (d) are also applicable to special Government employees.
    (c) A special Government employee shall not accept a gift, present, 
decoration, or other thing from a foreign government unless authorized 
by Congress as provided by the Constitution and in 5 U.S.C. 7342, and 
the regulations promulgated thereunder pursuant to E.O. 11320; 31 FR 
15789. These regulations are set forth in part 3 of this title (as 
added, 32 FR 6569, April 28, 1967), and in 3 FAM 621.
    (d) A special Government employee shall avoid any action, whether or 
not specifically prohibited by these sections on special Government 
employees, which might result in, or create the appearance of:
    (1) Using public office for private gain;
    (2) Giving preferential treatment to any person;
    (3) Impeding Government efficiency or economy;
    (4) Losing independence or impartiality;
    (5) Making a Government decision outside official channels; or
    (6) Affecting adversely the confidence of the public in the 
integrity of the Government.



Sec.  1203.735-306  Miscellaneous statutory provisions.

    Each special Government employee shall become acquainted with each 
statute that relates to the employee's ethical and other conduct as a 
special Government employee of an agency and of the Government. The 
attention

[[Page 375]]

of special Government employees is directed to the statutes listed in 
Sec.  1203.735-216.



       Subpart D_Statements of Employment and Financial Interests



Sec.  1203.735-401  Employees required to submit statements.

    The following employees of IDCA shall submit statements of 
employment and financial interests:
    (a) All special Government employees including experts or 
consultants serving on a full-time or intermittent basis, except when 
waived under Sec.  1203.735-402(c).
    (b) Employees paid at a level of the Executive Schedule in 
subchapter II of chapter 53 of title 5, United States Code, except as 
provided in Sec.  1203.735-402(b).
    (c) Except as provided in Sec.  1203.735-402, employees classified 
at GS-13, FSO-4, FSR-5, FSS-2, AD-13, FC-5, or above, who are in 
positions hereby identified either as positions the basic duties of 
which impose upon the incumbent the responsibility for a Government 
decision or taking a Government action in regard to:
    (1) Contracting or procurement;
    (2) Administering or monitoring grants or subsidies;
    (3) Regulating or auditing private or other non-Federal enterprise;
    (4) Other activities where the decision or action has an economic 
impact on the interests of any non-Federal enterprise, or as positions 
which have duties and responsibilities which require the incumbent to 
report employment and financial interests in order to avoid involvement 
in a possible conflict of interest situation and carry out the purpose 
of law, Executive order, and the agency's regulations:

                                  State

    Director General; of the Foreign Service and the Director of 
Personnel; Director of the Policy Planning Staff; Inspector General; 
Director, FSI; Special Assistant to Secretary; Deputy Secretary, Under 
Secretaries, or Deputy Under Secretary; Deputy Assistant Secretary and 
others at this level or above; Assistant Legal Adviser for Management; 
Director, Office of Operations; Office Director; Country Director; 
Division Chief in Bureau of Economic and Business Affairs, in the Office 
of Operations, (O/OPR), or in the Office of Foreign Buildings; Executive 
Director; Deputy Chief of Mission; Principal Officer; Economic 
Counselor; Commercial Counselor; Administrative Counselor; Civil Air 
Attache; Petroleum Officer; Minerals Officer; Contracting Specialist; 
Procurement Specialist; Despatch Agent; Traffic Manager; and Traffic 
Management Specialist.

                                   ICA

    Deputy Director, Associate Directors, Directors and Deputy Directors 
of Offices or Services, Executive or Special Assistants to the Director; 
Chief Inspector; Associate Chief Inspector; Commissioner General, Deputy 
Commissioner General, Staff Director (Advisory Commission), Director of 
Engineering and Technical Operations; Director of Audio-Visual 
Procurement and Production; Country Public Affairs Officer, Deputy 
Country Public Affairs Officer, Public Affairs Counselor, Deputy Public 
Affairs Counselor, Director or Manager of Regional Service Center, Radio 
Relay Station, Radio Program Center or Radio Relay Station Construction 
Site, Administrative Officer or Executive Officer at a post abroad, 
Administrative Officer, Executive Officer and Business Manager 
(occupational codes 301, 340, 341, and 1101, or FAS code 200); 
Contracting Specialist and Procurement Specialist (occupational code 
1102, or FAS codes 210 and 211); Auditor and Accountant (occupational 
code 510, or FAS code 207); General Counsel, Deputy General Counsel, or 
Attorney (occupational code 905, or FAS code 512).

                                   AID

    (1) AID/W: Deputy Assistant Administrators, Associate Assistant 
Administrators, Deputy Associate Assistant Administrators; Heads and 
Deputy Heads of Offices, Staffs, and Divisions; Desk Officers and Deputy 
Desk Officers.
    (2) Overseas: Mission Directors, Deputy Directors, Assistant 
Directors, AID Representatives, Aid Affairs Officers, Chairman, 
Development Assistance Committee; U.S. Representative to Development 
Assistance Committee; Development Coordination Officer.
    (3) Any person serving as chief of an operational branch responsible 
for housing, loans, guarantees, or other commercial type transactions 
with the public.
    (4) In addition, employees in AID/W or overseas whose positions fall 
within the following series or position titles (occupational code given 
in parenthesis): Economist Series (0110); International Cooperation 
Series (0136); Auditor General (0301.21); Supervisory Housing 
Development Officer (0301.31); Chief, Housing and Urban Development 
(0301.35);

[[Page 376]]

Contract Compliance Specialist (0301.48); Director for Regional 
Activities (0340.08); Development Officer (0340.09); Regional 
Development Officer (0340.10); Executive Officer (0341.01); Deputy 
Executive Officer (0341.02); Regional Executive Officer (0341.03); 
Administrative Officer (0341.05); Executive Officer--Administrative 
Support (0341.15); Executive Officer, Operations (0341.16); Executive 
Officer, Real Property (0341.18); Executive Officer, Personnel 
(0341.19); General Services Officer (0342.01); Assistant General 
Services Officer (0342.03); Assistant General Services Officer, Property 
and Supply (0342.20); Assistant General Services Officer, Procurement 
(0342.23); Assistant General Services Officer, Housing (0342.25); 
Program Officer (0345.01); Deputy Program Officer (0345.02); Food and 
Agriculture Officer (0401.01); Deputy Food and Agriculture Officer 
(0401.02); Budget and Accounting Series (0504); Financial Management 
Series (0505); Accounting Series (0510); Budget Administration Series 
(0560); General Attorney Series (0905); General Business and Industry 
Series (1101); Contract and Procurement Series (1102); Property Disposal 
Series (1104); Purchasing Series (1105); Trade Specialist Series (1140); 
Private Resources Development Series (1150); Financial Analysis Series 
(1160); General Investigating Series (1810); Criminal Investigating 
Series (1811); Import Specialist Series (1889); General Supply Series 
(2001); Supply Program Management Series (2003).



Sec.  1203.735-402  Employees not required to submit statements.

    (a) Employees in positions that meet the criteria in paragraph (c) 
of Sec.  1203.735-401 may be excluded from the reporting requirement 
when the agency head or designee determines that:
    (1) The duties of the position are such that the likelihood of the 
incumbent's involvement in a conflict-of-interest situation is remote;
    (2) The duties of the position are at such a level of responsibility 
that the submission of a statement of employment and financial interests 
is not necessary because of the degree of supervision and review over 
incumbent or the inconsequential effect on the integrity of the 
Government.
    (b) A statement of employment and financial interests is not 
required by the regulations in this part from an agency head, or a full-
time member of a committee, board, or commission appointed by the 
President. These employees are subject to separate reporting 
requirements under section 401 of Exective Order 11222.
    (c) Special Government employees not required to submit statements. 
An agency head may waive the requirement of this section for the 
submission of a statement of employment and financial interest in the 
case of a special Government employee who is not a consultant or an 
expert when the agency finds that the duties of the position held by 
that special Government employee are of a nature and at such a level of 
responsibility that the submission of the statement by the incumbent is 
not necessary to protect the integrity of the Government. For the 
purpose of this paragraph, ``consultant'' and ``expert'' have the 
meanings given those terms by chapter 304 of the Federal Personnel 
Manual, but do not include a physician, dentist, or allied medical 
specialist whose services are procured to provide care and service to 
patients.



Sec.  1203.735-403  Employee's complaint on filing requirement.

    Each employee shall have the opportunity for review through agency 
grievance procedure of the employee's complaint that the employee's 
position has been improperly included within Sec.  1203.735-401 as one 
requiring the submission of a statement of employment and financial 
interests. Employees are reminded that they may obtain counseling 
pursuant to Sec.  1203.735-103 prior to filing a complaint.



Sec.  1203.735-404  Time and place of submission, and forms.

    (a) An employee or special Government employee shall submit a 
statement to the Counselor (in the case of a State employee, through the 
employee's Bureau) no later than:
    (1) Ninety days after the effective date of this part if the 
employee has entered on duty on or before that effective date; or
    (2) At least 10 days prior to entrance on duty, if the employee 
enters on duty after that effective date; except that an employee or 
special Government employee who enters on duty within 90 days of the 
effective date of this part may submit such statement within 90 days 
after entrance on duty.
    (b) Only the original of the statement or supplement thereto 
required by this

[[Page 377]]

part shall be submitted. The individual submitting a statement should 
retain a copy for the individual's own records.



Sec.  1203.735-405  Information required.

    (a) Employees. Employees' statement of employment and financial 
interests required by the regulations in this part shall be submitted on 
the form, ``Confidential Statement of Employment and Financial Interests 
(for use by Government Employees)'', Form OF-106, and shall contain all 
the information therein required.
    (b) Special Government employees. All special Government employees 
shall submit statements of employment and financial interest on the 
form, ``Confidential Statement of Employment and Financial Interests 
(for use by Special Government Employees)'', Form AID 4-450 for IDCA, 
and shall contain all the information therein required.
    (c) Interests of employee's relatives. The interest of a member of 
an employee's family is considered to be an interest of the employee. 
The term ``member of an employee's family'' is defined in Sec.  
1203.735-102(f).
    (d) Information not known by employees. If any information required 
to be included on a statement of employment and financial interests or 
supplementary statement, including holdings placed in trust, is not 
known to the employee but is known to another person, the employee shall 
request that other person to submit information in the employee's 
behalf.
    (e) Interests not required to be reported. An employee need not 
disclose those financial interests described in Sec.  1203.735-205(c) as 
being too remote or too inconsequential to affect the integrity of 
employees' services.
    (f) Information not required. The regulations in this part do not 
require an employee to submit on a statement of employment and financial 
interests or supplementary statement any information relating to the 
employee's connection with, or interest in, a professional society or a 
charitable, religious, social, fraternal, recreational, public service, 
civic, or political organization or a similar organization not conducted 
as a business enterprise. For the purpose of this section, educational 
and other institutions doing research and development or related work 
involving grants or money from or contracts with the Government are 
deemed ``business enterprises'' and are required to be included in an 
employee's statement of employment and financial interests.



Sec.  1203.735-406  Submission of position description.

    Each Statement of Employment and Financial Interests or annual 
supplement thereto must be accompanied by a full description of the 
employee's principal governmental duties. The description should be 
particularly detailed in regard to those duties which might possibly be 
an element in a conflict of interest. If the statement indicates that 
the employee has no outside employment or financial interests, the 
employee need not submit a description of duties. For a special 
Government employee, the employing office shall submit the description.



Sec.  1203.735-407  Supplementary statements.

    (a) Employees, as defined in paragraphs (b) and (c) of Sec.  
1203.735-401, shall report changes in, or additions to, the information 
contained in their statements of employment and financial interests in 
supplementary statements as of June 30 each year. If no changes or 
additions occur, a negative report is required.
    (b) All special Government employees, as defined in paragraph (a) of 
Sec.  1203.735-401, shall submit a current statement at the time their 
appointments are extended. A supplementary report indicating any changes 
in, or additions to the information already submitted will be accepted 
in lieu of a full submission. If there are no changes or additions, a 
negative report is required.
    (c) Notwithstanding the filing of reports required by this section, 
each employee shall at all times avoid acquiring a financial interest 
that could result, or taking an action that would result, in a violation 
of the conflicts-of-interest provisions of section 208 of title 18, 
United States Code, or subpart B of this part.
    (d) An employee is also to keep current the employee's description 
of principal duties as to changes or additions

[[Page 378]]

which might possibly be an element in a conflict of interest. The 
employing office shall submit descriptions of changes in the principal 
duties of a special Government employee as they occur.



Sec.  1203.735-408  Review of statements and determination as to 
conflicts of interest.

    (a) On the basis of the Statement of Employment and Financial 
Interests submitted by each employee or special Government employee, or 
on the basis of information received from other sources, the Counselor 
shall determine, in the light of the duties which that employee or 
special Government employee is or will be performing, whether any 
conflicts of interest, real or apparent, are indicated. The Counselor 
shall make this determination based on the applicable statutes, the 
Executive order, and the applicable regulations of the Civil Service 
Commission, and of the agency.
    (b) Where the Counselor's determination in a particular case is that 
a conflict of interest, real or apparent, is indicated, the Counselor 
shall initiate informal discussions with the employee or special 
Government employee concerned. These discussions shall have as their 
objectives:
    (1) Providing the individual with a full opportunity to explain the 
conflict or appearance of conflict; and
    (2) Arriving at an agreement (acceptable to the Counselor, the 
individual and the individual's immediate superior) whereby the conflict 
of interest may be removed or avoided. Such an agreement may include, 
but is not limited to: (i) Changes in assigned duties; (ii) divestiture 
of the financial or employment interest creating the conflict or 
apparent conflict; or (iii) disqualification for a particular 
assignment.
    (c) Where an acceptable agreement cannot be obtained pursuant to 
paragraph (b) of this section, the Counselor shall present findings and 
recommendations to the officer designated by the agency head, who shall 
decide which remedy is most appropriate to remove or correct that 
conflict or apparent conflict. Remedial action under this paragraph may 
include disciplinary action, including separation for cause, or any of 
the actions enumerated in paragraph (b)(2) of this section and shall be 
effective in accordance with applicable laws, Executive orders, and 
regulations.
    (d) Written summaries of all agreements and decisions arrived at 
pursuant to paragraph (b) or (c) of this section shall be placed in the 
Counselor's files. Copies shall also be made available to the employee 
or special Government employee concerned.



Sec.  1203.735-409  Confidentiality of employees' statements.

    An agency shall hold each statement of employment and financial 
interests, and each supplementary statement, in confidence. To insure 
this confidentiality only the Counselor and Deputy Counselors are 
authorized to review and retain the statements. The Counselor and Deputy 
Counselors are responsible for maintaining the statements in confidence 
and shall not allow access to, or allow information to be disclosed 
from, a statement except to carry out the purpose of this part. An 
agency may not disclose information from a statement except as the Civil 
Service Commission or the agency head may determine for good cause 
shown.



Sec.  1203.735-410  Effect of employees' statements on other
requirements.

    The statements of employment and financial interests and 
supplementary statements required for employees are in addition to, and 
not in substitution for, or in derogation of, any similar requirement 
imposed by law, order, or regulation. The submission of a statement or 
supplementary statement by an employee does not permit the employee or 
any other person to participate in a matter in which the employee or the 
other person's participation is prohibited by law, order, or regulation. 
Save with respect to those financial interests excepted from the 
conflict of interest prohibitions of 18 U.S.C. 208(a) pursuant to a 
written advance determination under Sec.  1203.735-217 or exempted by 
the provisions of Sec.  1203.735-205(c), an employee must disqualify 
himself or herself from participating in any matter in which the 
employee has a financial interest.

[[Page 379]]



Sec.  1203.735-411  Disqualification procedures.

    (a) Where an employee is prohibited from participating in a matter 
because of a conflicting financial interest that is not exempt under 
Sec.  1203.735-205(c) or has not been specifically excepted by the 
appropriate agency official pursuant to Sec.  1203.735-217 in advance of 
the employee's participation in the particular matter, the employee 
shall conduct himself or herself in accordance with the following 
provisions:
    (1) The employee shall promptly disclose the financial interest in 
such matter to the employee's immediate superior. The superior will 
thereupon relieve the employee of duty and responsibility in the matter.
    (2) In foreign posts, it may be impossible or highly impracticable 
for an employee, who has a disqualifying financial interest, to assign 
the matter for official action to anyone other than a subordinate. In 
this event, the employee must instruct the subordinate to report fully 
and directly to the immediate superior to whom the employee himself or 
herself would normally report. The employee must concurrently direct 
such subordinate to take such action as may be appropriate in the 
matter, and without thereafter revealing to the disqualified employee in 
any way any aspect of the particular matter.
    (b) Nothing herein precludes the employee from disposing of such 
disqualifying financial interest, thereby wholly eliminating the 
conflict of interest. In some circumstances, where the employee may not 
obtain an exception under Sec.  1203.735-217, or may not disqualify 
himself or herself and refer or assign the matter to another employee, 
the performance of duty may even require divestiture.
    (c) Where a supervisor has reason to believe that a subordinate 
employee may have a conflicting financial interest, the supervisor 
should discuss the matter with the employee. If the supervisor finds 
that a conflict of interest does exist, the supervisor must relieve the 
subordinate employee of duty and responsibility in the particular 
matter.
    (d) The obligation to avoid conflicts of interest is upon each 
employee. It is a continuing obligation calling for alert vigilance.
    (e) Notwithstanding any other provision of this part to the 
contrary, if an employee's holdings rise in value above the amount 
exempted by Sec.  1203.735-205(c), then the statutory and regulation 
prohibitions apply in a conflict of interest situation.

                       PARTS 1204	1299 [RESERVED]

[[Page 381]]



             CHAPTER XIII--MILLENNIUM CHALLENGE CORPORATION




  --------------------------------------------------------------------
Part                                                                Page
1300            Organization and functions of the Millennium 
                    Challenge Corporation...................         383
1304            Production or disclosure of information.....         383
1305            Release of official information and 
                    testimony by MCC personnel as witnesses.         394
1306            Debt collection.............................         397
1307-1399

 [Reserved]

[[Page 383]]



PART 1300_ORGANIZATION AND FUNCTIONS OF THE MILLENNIUM CHALLENGE 
CORPORATION--Table of Contents



Sec.
1300.1 Purpose.
1300.2 Organization.
1300.3 Functions.
1300.4 Operations.
1300.5 Quorum and voting requirements.
1300.6 Office location.

    Authority: 5 U.S.C. 552, as amended.

    Source: 72 FR 49192, Aug. 28, 2007, unless otherwise noted.



Sec.  1300.1  Purpose.

    This part describes the organization, functions and operation of the 
Millennium Challenge Corporation (MCC). MCC is a government corporation 
(as defined in 5 U.S.C. 103) established by the Millennium Challenge Act 
of 2003 (Pub. L. 108-199, 118 Stat. 211.) Information about MCC is 
available from its Web site, http://www.mcc.gov.



Sec.  1300.2  Organization.

    (a) MCC's Board consists of: (1) The Secretary of State, the 
Secretary of the Treasury, the Administrator of the United States Agency 
for International Development, the United States Trade Representative; 
and the Chief Executive Officer of the Corporation; and (2) four other 
individuals with relevant international experience from the private 
sector; appointed by the President with the advice and consent of the 
Senate.
    (b) MCC's staff is comprised of the following administrative units:
    (1) The Office of the Chief Executive Officer;
    (2) The Department of Accountability;
    (3) The Department of Administration and Finance;
    (4) The Department of Congressional and Public Affairs;
    (5) The Department of Operations;
    (6) The Department of Policy and International Relations; and
    (7) The Office of the General Counsel.



Sec.  1300.3  Functions.

    (a) MCC provides United States assistance for global development; 
and
    (b) Provides such assistance in a manner that promotes economic 
growth and the elimination of extreme poverty and strengthens good 
governance, economic freedom, and investments in people.



Sec.  1300.4  Operations.

    In exercising its functions, duties, and responsibilities, MCC 
utilizes:
    (a) MCC staff, consisting of specialized offices performing 
specialized, administrative, legal and financial work for the Board.
    (b) Rules published in the Federal Register and codified in this 
title of the Code of Federal Regulations.
    (c) Meetings of the Board of Directors conducted pursuant to the 
Government in the Sunshine Act or voting by notation as provided in 
section 1300.5(b).



Sec.  1300.5  Quorum and voting requirements.

    (a) Quorum requirements. A majority of the members of the Board 
shall constitute a quorum, which shall include at least one private 
sector member of the Board.
    (b) Voting. The Board votes on items of business in meetings 
conducted pursuant to the Government in the Sunshine Act.



Sec.  1300.6  Office location.

    The principal offices of the Millennium Challenge Corporation are 
located at 875 Fifteenth Street, NW., Washington, DC 20005-2221.



PART 1304_PRODUCTION OR DISCLOSURE OF INFORMATION--Table of Contents



 Subpart A_Procedures for Requests for Disclosure of Records Under the 
                       Freedom of Information Act

Sec.
1304.1 General provisions.
1304.2 Definitions.
1304.3 Proactive disclosure of MCC records.
1304.4 Requirements for making requests.
1304.5 Responsibility for acknowledgment and initial determinations.
1304.6 Timing of responses to requests.
1304.7 Responses to requests.
1304.8 Confidential commercial information.
1304.9 Administrative appeals.
1304.10 Preservation of records.
1304.11 Fees.
1304.12 Other rights and services.

Subpart B--[Reserved]


[[Page 384]]


    Authority: 5 U.S.C. 552, as amended.

    Source: 83 FR 35544, July 27, 2018, unless otherwise noted.



 Subpart A_Procedures for Requests for Disclosure of Records Under the 
                       Freedom of Information Act



Sec.  1304.1  General provisions.

    This part contains the rules that the Millennium Challenge 
Corporation (``MCC'') follows in processing requests for records under 
the Freedom of Information Act (``FOIA'') (5 U.S.C. 552). The rules in 
this part should be read in conjunction with the text of the FOIA and 
the Uniform Freedom of Information Act Fee Schedule and Guidelines 
published by the Office of Management and Budget (``OMB Fee 
Guidelines''). In addition, the MCC FOIA web page contains information 
about the specific procedures particular to MCC with respect to making 
FOIA requests. This resource is available at www.mcc.gov/resources/foia.



Sec.  1304.2  Definitions.

    Administrative appeal. An independent review of the initial 
determination made in response to a FOIA request.
    Agency. Any executive department, military department, government 
corporation, government controlled corporation, or other establishment 
in the executive branch of the Federal Government or any independent 
regulatory agency.
    Business day or work day. A day of the week, excluding Saturday, 
Sunday, or legal public holidays.
    Calendar days. Every day within a month, including Saturday, Sunday, 
and legal public holidays. Unless identified as a ``business day'' or 
``work day,'' all timeframes and days noted in this part shall be 
calculated in calendar days.
    Chief FOIA Officer. A designated MCC employee who is a senior 
official, at the Assistant Secretary or equivalent level who, subject to 
the authority of the head of the agency, shall have agency wide 
responsibility for efficient and appropriate compliance with the FOIA. 
In addition, the Chief FOIA Officer shall monitor implementation of the 
FOIA throughout MCC and keep the head of the agency, the chief legal 
officer of the agency, and the Attorney General appropriately informed 
of the agency's performance in implementing the FOIA; recommend to the 
head of the agency such adjustments to MCC's practices, policies, 
personnel, and funding as may be necessary to improve its implementation 
of the FOIA; facilitate public understanding of the purposes of the 
statutory exemptions of the FOIA; offer training to MCC staff regarding 
their responsibilities under the FOIA, serve as the primary agency 
liaison with the Office of Government Information Services and the 
Office of Information policy; and designate one (1) or more FOIA Public 
Liaisons. The Chief FOIA Officer shall review, not less frequently than 
annually, all aspects of the administration of the FOIA by MCC to ensure 
compliance with the requirements of the FOIA, including--agency 
regulations; disclosure of records; assessment of fees and determination 
of eligibility for fee waivers; timely processing of requests for 
information; the use of exemptions; and dispute resolution services with 
the assistance of the Office of Government Information Services or the 
FOIA Public Liaison.
    Commercial requester. Any person making a request for information 
for a use or purpose that furthers a commercial, trade, or profit 
interest, which can include furthering those interests through 
litigation.
    Complex request. A FOIA request that MCC anticipates will involve a 
voluminous amount of material to review or will be time-consuming to 
process.
    Confidential commercial information. Records provided to the 
government that contain material exempt from disclosure under Exemption 
4 of the FOIA and disclosure of such records could reasonably be 
expected to cause substantial competitive harm.
    Consultation. When MCC locates a record that contains information of 
interest to another agency, MCC shall ask the interested agency for 
their views on disclosing the records before any final determination is 
made.
    Direct costs. Expenditures actually incurred by MCC for searching, 
duplicating, and in the case of commercial

[[Page 385]]

use requests, reviewing records in order to respond to a FOIA request.
    Discretionary disclosure. The release of or portions of records to a 
FOIA requester that could be withheld by MCC under one or more of the 
FOIA exemptions.
    Duplication. The process of making a copy of a record in order to 
respond to a FOIA request, including but not limited to paper copies, 
microfilm, audio-video materials, and computer diskettes or other 
electronic copies.
    Duplication fees. The estimated direct costs of making a copy of a 
record in order to respond to a FOIA request.
    Educational institution. Any school or institution that operates a 
program of scholarly research. A requester in this category must show 
that the request is made in connection with his or her role at the 
educational institution.
    Educational requester. A student who makes a request in furtherance 
of their coursework or other school-sponsored activities and provides a 
copy of a course syllabus or other reasonable documentation to indicate 
the research purpose for the request, would qualify as part of this fee 
category.
    Exemptions. Certain categories of information that are not required 
to be released in response to a FOIA request because release would be 
harmful to governmental or private interests.
    Fee waiver. The waiver or reduction of processing fees if a 
requester can demonstrate that certain statutory standards are satisfied 
including that the information is in the public interest and is not 
requested for a commercial interest.
    FOIA Appeals Officer. The MCC employee who is responsible for 
conducting an independent review of the initial determination of the 
FOIA request after the requester has requested an administrative appeal.
    FOIA Public Liaison. The MCC employee who is responsible for 
assisting in the resolution of disputes in response to FOIA requests.
    FOIA Program Officer. The MCC employee who receives and processes 
requests within the MCC FOIA Office.
    Non-commercial scientific institution. An institution that does not 
operate on a commercial basis, but operates solely for the purpose of 
conducting scientific research and the results of the scientific 
research are not intended to promote any particular product or industry.
    Record. Any item, collection, or grouping of information maintained 
by MCC in any form or format, including an electronic copy. A ``record'' 
can potentially constitute an entire document, a single page of a 
multipage document, an individual paragraph of a document, or an email 
within an email chain.
    Referral. When an agency locates a record that originated with, or 
is of otherwise primary interest to another agency, it will forward that 
record to the other agency to process the record and to provide the 
final determination directly to the requester.
    Representative of the news media. Any person or entity that gathers 
information of potential interest to a segment of the public, uses its 
editorial skills to turn the raw materials into a distinct work, and 
distributes that work to an audience. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. Examples of news media entities include 
television or radio stations that broadcast ``news'' to the public at 
large and publishers of periodicals that disseminate ``news'' and make 
their products available through a variety of means to the general 
public, including news organizations that disseminate solely on the 
internet. A request for records supporting the news-dissemination 
function of the requester will not be considered to be for a commercial 
use. ``Freelance'' journalists who demonstrate a solid basis for 
expecting publication through a news media entity will be considered as 
a representative of the news media. A publishing contract would provide 
the clearest evidence that publication is expected; however, agencies 
can also consider a requester's past publication record in making this 
determination.
    Review. The process of examining a record to determine whether all 
or part of the record may be released or withheld, and includes 
redacting or otherwise processing the record for disclosure to a 
requester. The review process does not include time spent resolving

[[Page 386]]

legal or policy issues regarding the application of exemptions to a 
record. The review process also does not include time spent reviewing 
records at the administrative appeal level unless, MCC determines that 
the exemption under which it withheld records does not apply and the 
records are reviewed again to determine whether a different exemption 
may apply.
    Requester category. One of the three categories that agencies place 
requesters in for the purpose of determining whether a requester will be 
charged fees for search, review and duplication, including commercial 
requesters; non-commercial scientific or educational institutions or 
news media requesters, and all other requesters.
    Search. The time spent locating records that may be responsive to a 
request, manually or by electronic means, including page-by-page or 
line-by-line identification of responsive material within a record.
    Search fees. Estimated direct costs of the time spent locating 
records by either manual or electronic means.
    Submitter. Any person or entity who provides information directly or 
indirectly to MCC. The term includes, but is not limited to, 
corporations, state governments, and foreign governments.



Sec.  1304.3  Proactive disclosure of MCC records.

    Records that are required by the FOIA to be made available for 
public inspection in an electronic format may be accessed through the 
MCC website. MCC is responsible for determining which of its records are 
required to be made publicly available, identifying additional records 
in the interest of the public that are appropriate for public 
disclosure, and posting such records. MCC shall ensure that its website 
of posted records is reviewed and updated on an ongoing basis. The FOIA 
Program Officer may assist individuals in locating records on the MCC 
website and FOIA reading room.



Sec.  1304.4  Requirements for making requests.

    (a) Requests for access to, or copies of, MCC records other than 
those identified in Sec.  1304.3, shall be in writing and addressed to 
the MCC Chief FOIA Officer at 1099 14th St. NW, Washington, DC 20005 or 
[email protected]. All requests for records shall be deemed to have been made 
pursuant to the FOIA, regardless of whether the request specifically 
mentions the Freedom of Information Act. To facilitate processing, the 
requester should place the phrase ``FOIA REQUEST'' in capital letters on 
the front of the envelope or subject line of the email.
    (b) Each request shall include the following:
    (1) A description of the record(s) that provides sufficient detail 
to enable MCC to locate the record(s) with a reasonable amount of 
effort; such as the date, title or name, author, recipient, subject 
matter of the record, case number, file designation, or reference 
number. Before submitting their requests, requesters may contact the MCC 
FOIA Program Officer to discuss the records the are seeking and receive 
assistance in describing the records;
    (2) The preferred format of the records;
    (3) The requestor's full name, mailing address or email address, and 
telephone number where the requester can be reached during business 
hours; and
    (4) If applicable, the maximum amount the requester is willing to 
pay or dollar limit on the fees MCC may incur to respond to the request 
for records. When this information is specified, MCC shall not exceed 
such limit.
    (c) If a request does not meet all of the requirements of paragraph 
(b) of this section, the FOIA Program Officer may advise the requester 
that additional information is needed. Requesters who are attempting to 
reformulate or modify a request may engage with the MCC Program Officer 
to clarify their request.



Sec.  1304.5  Responsibility for acknowledgment and initial
determinations.

    (a) Upon receipt of a request for records, the FOIA Program Officer 
will acknowledge receipt of the request in writing within ten (10) 
business days. In responding to a request for records, MCC shall make 
reasonable efforts to search for the records in electronic format, 
except when such efforts would

[[Page 387]]

significantly interfere with the operation of the agency's automated 
information system.
    (b) The Chief FOIA Officer shall make an initial determination, 
within twenty (20) business days, to either grant or deny, in whole or 
in part, a request for records. If the Chief FOIA Officer shall notify 
the requester making such a request of the following information:
    (1) The determination whether grant or deny the request and reasons 
for the determination;
    (2) The right of the requester to seek assistance from the FOIA 
Public Liaison; and in the case of an adverse determination;
    (3) The right of the requester to seek dispute resolution services 
via the Office of Government Information Services of the National 
Archives and Records Administration (OGIS); and
    (4) The right to file an administrative appeal to the FOIA Appeals 
Officer within 90 calendar days after the date of the adverse 
determination.



Sec.  1304.6  Timing of responses to requests.

    (a) General information. The twenty (20) business day period 
identified in Sec.  1304.5(b) shall commence on the date that the 
request is first received by the MCC FOIA office and an acknowledgment 
of the request shall be sent no later than ten (10) business days after 
receipt of the request. The twenty (20) business day period shall not be 
tolled except that MCC may make one request to the requester for 
information and toll the twenty (20) business day period while it is 
awaiting receipt of the information, or the twenty (20) business day 
period may be tolled if it is necessary to clarify issues regarding fees 
with the requester.
    (b) Unusual circumstances. If MCC cannot meet the statutory time 
limit for processing a request because of ``unusual circumstances'' as 
defined in the FOIA and MCC extends the time limit on that basis, MCC 
will, before expiration of the twenty (20) business day period, notify 
the requester in writing of the unusual circumstances involved and of 
the date by which MCC estimates processing of the request will be 
completed. Where the extension exceeds ten (10) business days, MCC will 
provide the requester with an opportunity to modify the request or 
arrange an alternative time period for processing the original or 
modified request. MCC must make its designated FOIA Program Officer or 
FOIA Public Liaison available for this purpose. To aid the requester, 
the MCC FOIA Public Liaison shall assist in the resolution of any 
disputes between the requester and MCC, and notify the requester of the 
right to seek dispute resolution services from the Office of Government 
Information Services.
    (c) Aggregating requests. MCC may aggregate requests where it 
reasonably appears that multiple requests, submitted either by a 
requester or by a group of requesters acting in concert, constitute a 
single request that would otherwise involve unusual circumstances. 
Requests that involve unrelated matters shall not be aggregated.
    (d) Multitrack processing. MCC may use multitrack processing in 
responding to requests. This process entails separating simple requests 
that require rather limited review from more lengthy and complex 
requests. Requests in each track are then processed in their respective 
track. The FOIA Program Officer may provide requesters in the slower 
track an opportunity to limit the scope of their requests in order to 
decrease the processing time required. The FOIA Program Officer may 
provide the opportunity to limit the scope of the request by contacting 
the requester by letter, email, or telephone.
    (e) Expedited processing of requests. The FOIA Program Officer must 
determine whether to grant a request for expedited processing within ten 
(10) calendar days of its receipt. Requests will receive expedited 
processing if one of the following criteria are met:
    (1) The requester can establish that failure to receive the records 
quickly could reasonably be expected to pose an imminent threat to the 
life or physical safety of an individual;
    (2) The requester is primarily engaged in disseminating information 
and can demonstrate that an urgency to inform the public concerning 
actual

[[Page 388]]

or alleged Federal Government activity exists; or
    (3) As determined by the Chief FOIA Officer.
    (f) Written expedited requests. A requester who seeks expedited 
processing must submit a written statement explaining in detail the 
basis for making the request for expedited processing. This statement 
must be certified to be true and correct. The MCC Chief FOIA Officer may 
waive the formal certification requirement.



Sec.  1304.7  Responses to requests.

    (a) General information. MCC, to the extent practicable, will 
communicate with requesters who have access to the internet via email or 
web portal.
    (b) Acknowledgment of requests. MCC shall acknowledge the request in 
writing and assign a tracking number for processing purposes.
    (c) Estimated dates of completion and interim responses. Upon 
request, MCC shall provide an estimated response date. If a request 
involves a voluminous amount of material or searches in multiple 
locations, MCC shall provide interim responses by releasing the records 
on a rolling basis.
    (d) Granting requests. MCC will notify the requestor in writing if 
it determines that it will grant a request in full or in part. MCC shall 
inform the requester of any fees charged and shall disclose the 
requested records to the requester promptly upon payment of any 
applicable fees.
    (e) Partial grant of requests. MCC shall consider whether partial 
disclosure of information is possible whenever the agency determines 
that a full disclosure of a requested record is not possible. MCC shall 
take reasonable steps necessary to segregate and release nonexempt 
information.
    (f) Denial or adverse determination of requests. Except as otherwise 
provided in this part, MCC shall withhold information only if--
    (1) It reasonably foresees that disclosure would harm an interest 
protected by an exemption under the FOIA or disclosure is prohibited by 
law;
    (2) The request does not reasonably describe the records sought;
    (3) The information sought is not a record subject to the FOIA;
    (4) The information sought does not exist, cannot be located, or has 
been destroyed; or
    (5) The records are not in the readily producible form or format 
sought by the requester.
    (g) Markings on released documents. Records disclosed in part shall 
be marked clearly to show the amount of information deleted and the 
exemption under which the deletion was made unless doing so would harm 
an interest protected by an applicable exemption.



Sec.  1304.8  Confidential commercial information.

    (a) Designation of confidential commercial information. A submitter 
of confidential commercial information must use good faith efforts to 
designate by appropriate markings, either at the time of the submission 
or within a reasonable time thereafter, any portion of its submission 
that it considers to be protected from disclosure under Exemption 4 of 
the FOIA. These designations shall expire ten (10) years after the date 
of submission unless the submitter requests and provides justification 
for a longer designation period.
    (b) Required notice. Written notice shall be provided to a submitter 
of confidential commercial information whenever records containing such 
information are requested under the FOIA if, after reviewing the 
request, the responsive records, and any appeal by the requester, it is 
determined that MCC may be required to disclose the records, provided:
    (1) The requested information has been designated in good faith by 
the submitter as information considered protected from disclosure under 
Exemption 4 of the FOIA; or
    (2) MCC has reason to believe that the requested information may be 
protected from disclosure under Exemption 4 of the FOIA, but has not yet 
determined whether the information is protected from disclosure under 
that exemption or any other applicable exemption.
    (c) Information. The notices shall either describe the commercial 
information requested or include a copy of the requested records or 
portions of records

[[Page 389]]

containing information. In cases involving a voluminous number of 
submitters, notice may be made by posting or publishing the notice in a 
place or manner reasonably likely to accomplish it.
    (d) Exceptions to notice requirements. The notices requirements of 
this section shall not apply if:
    (1) The Chief FOIA Officer determines that the information is exempt 
under the FOIA;
    (2) The information has been lawfully published or has officially 
been made available to the public;
    (3) Disclosure of the information is required by a statute other 
than the FOIA or by a regulation issued in accordance with the 
requirements of Executive Order 12600 of June 23, 1987; or
    (4) The designation made by the submitter under paragraph (b) of 
this section appears obviously frivolous, except that, in such a case, 
the component shall give the submitter written notice of any final 
decision to disclose the information and must provide that notice within 
a reasonable number of days prior to the disclosure date.
    (e) Opportunity to object to disclosure. A submitter may provide the 
Chief FOIA Officer with a detailed written statement of any objection to 
disclosure within ten (10) days of notification. The statement shall 
specify all grounds for withholding any of the information under any 
exemption of the FOIA, and if Exemption 4 applies, shall demonstrate the 
reasons the submitter believes the information to be confidential 
commercial information that is exempt from disclosure. Whenever 
possible, the submitter's claim of confidentiality shall be supported by 
a statement or certification by an officer or authorized representative 
of the submitter. In the event a submitter fails to respond to the 
notice in the time specified, the submitter will be considered to have 
no objection to the disclosure of the information. Information provided 
by the submitter that is received after the disclosure decision has been 
made will not be considered. Information provided by a submitter 
pursuant to this paragraph may itself be subject to disclosure under the 
FOIA.
    (f) Notice of intent to disclose. The Chief FOIA Officer shall 
consider a submitter's objections and specific grounds for nondisclosure 
prior to determining whether to disclose the information requested. 
Whenever the Chief FOIA Officer determines that disclosure is 
appropriate, the Chief FOIA Officer shall, within a reasonable number of 
days prior to disclosure, provide the submitter with written notice of 
the intent to disclose which shall include a statement of the reasons 
for which the submitter's objections were overruled, a description of 
the information to be disclosed, and a specific disclosure date. The 
Chief FOIA Officer shall also notify the requester that the requested 
records will be made available.
    (g) Notice of lawsuit. If the requester files a lawsuit seeking to 
compel disclosure of confidential commercial information, MCC shall 
promptly notify the submitter of this action. If a submitter files a 
lawsuit seeking to prevent disclosure of confidential commercial 
information, MCC shall promptly notify the requester.



Sec.  1304.9  Administrative appeals.

    (a) Requirements for appealing an adverse determination. A requester 
may appeal any adverse determination to MCC. The requester must submit a 
written notice of appeal and it must be postmarked or, in the case of 
electronic submissions, transmitted within ninety (90) calendar days 
after the date of the response. The appeal should clearly identify the 
determination that is being appealed and the assigned tracking number. 
To facilitate handling, the requester should mark both the appeal letter 
and envelope, or subject line of the electronic transmission, ``Freedom 
of Information Act Appeal.''
    (b) Appeals address. Requesters can submit appeals by mail by 
addressing it to Millennium Challenge Corporation, Attn.: FOIA Appeals 
Officer, 1099 14th St. NW, Washington, DC 20005 or online at 
[email protected].
    (c) Adjudication of appeals. The MCC FOIA Appeals Officer will 
adjudicate the appeal within twenty (20) business days after the receipt 
of such appeal. An appeal ordinarily will not be adjudicated if the 
request becomes a matter of the subject of litigation. On receipt of any 
appeal involving classified

[[Page 390]]

information, the MCC FOIA Appeals Officer must take appropriate action 
to ensure compliance with applicable classification rules.
    (d) Final agency determinations. The FOIA Appeals Officer shall 
issue a final written determination, stating the basis for the decision, 
within twenty (20) business days after receipt of a notice of appeal. 
Any decision that upholds MCC's determination in whole or in part must 
contain a statement that identifies the reason(s) for the decision, 
including any FOIA exemptions applied. The decision will provide the 
requester with notification of the statutory right to file a lawsuit and 
will inform the requester of the dispute resolution services offered by 
the OGIS of the National Archives and Records Administration as a non-
exclusive alternative to litigation. If the Chief FOIA Officer's 
decision is remanded or modified on appeal, the FOIA Appeals Officer 
will notify the requester of the determination in writing. MCC will then 
further process the request in accordance with the appeal determination 
and will respond directly to the requester.
    (e) Engaging in dispute resolution services provided by OGIS. 
Dispute resolution is a voluntary process. If MCC agrees to participate 
in the dispute resolution services provided by OGIS, MCC will actively 
engage as a partner to the process in an attempt to resolve the dispute.
    (f) When an appeal is required. Before seeking review by a court of 
MCC's adverse determination, a requester generally must first submit a 
timely administrative appeal.



Sec.  1304.10  Preservation of records.

    MCC shall preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized pursuant to 
Title 44 of the United States Code or the General Records Schedule 4.2 
of the National Archives and Records Administration. MCC shall not 
dispose of or destroy records while they are the subject of a pending 
request, appeal, or lawsuit under the FOIA.



Sec.  1304.11  Fees.

    (a) General information. (1) MCC's fee provisions are governed by 
the FOIA and by the Office of Management and Budget's Uniform FOIA Fee 
Schedule and Guidelines. For purposes of assessing fees, the FOIA 
establishes the following categories of requesters:
    (i) Commercial use;
    (ii) Non-commercial scientific or educational institutions;
    (iii) Representative of the news media; and
    (iv) All other requesters.
    (2) Fees will be assessed pursuant to the category of requester and 
detailed in paragraph (b) of this section. Requesters may seek a fee 
waiver. To resolve any fee issues that arise under this section, MCC may 
contact a requester for additional information. MCC will ensure that 
searches, review, and duplication are conducted in the most efficient 
and the least expensive manner. MCC ordinarily will collect all 
applicable fees before sending copies of records to a requester. 
Requesters must pay fees to the Treasury of the United States. All fee 
information is available at www.mcc.gov/resources/foia.
    (b) Charging fees. Because the fee amounts provided already account 
for the direct costs associated with the given fee type, MCC will not 
add any additional costs to charges calculated under this section. In 
responding to FOIA requests, MCC shall charge fees for the following 
unless a waiver or reduction of fees has been granted:
    (1) Search time fees. Search time includes page-by-page or line-by-
line identification of information within records and the reasonable 
efforts expended to locate and retrieve information from electronic 
records.
    (i) Requests made by education institutions, non-commercial 
scientific institutions, or representatives of the news media are not 
subject to search time fees. Search time fees shall be charged for all 
other requesters, subject to the restrictions identified in this 
section. MCC may properly charge for time spent searching even if no 
responsive records are located if it is determined that the records are 
entirely exempt from disclosure.
    (ii) Requesters shall be charged the direct costs associated with 
conducting

[[Page 391]]

any searches that require the creation of a new computer program to 
locate the requested records. Requesters shall be notified of the costs 
associated with creating such a program and must agree to pay the 
associated costs before the costs may be incurred.
    (iii) For requests that require the retrieval of records stored by 
an agency at the Federal Records Centers operated by the National 
Archives and Records Administration (NARA), additional costs shall be 
charged in accordance with the Transactional Billing Range Schedule 
established by NARA.
    (2) Duplication fees. Duplication fees shall be charged to all 
requesters, subject to the restrictions in this section. MCC shall honor 
a requester's preference for receiving a record in a particular form or 
format where it is readily reproducible by MCC in the form or format 
requested. Where photocopies are supplied, MCC shall provide one copy 
per request and charge fees calculated per page. For copies of records 
produced on tapes, disks, or other media, MCC shall charge the direct 
costs of producing the copy, including operator time. Where paper 
documents must be scanned in order to comply with a requester's 
preference to receive the records in an electronic format, the requester 
shall be charged direct costs associated with scanning those materials. 
For other forms of duplication, MCC shall charge the direct costs.
    (3) Review. Review fees shall be charged to requesters who make 
commercial use requests. Review fees shall be assessed in connection 
with the initial review of the record. No charge will be made for review 
at the administrative appeal state of exemptions applied at the initial 
review stage. If a particular exemption is deemed to no longer apply, 
any costs associated with MCC's subsequent review following the 
administrative appeal of the records in order to consider the use of 
other exemptions may be assessed as review fees.
    (c) Restrictions on charging fees. The following restrictions shall 
apply to MCC FOIA requests:
    (1) If MCC fails to comply with the FOIA's time limits to respond to 
a request, MCC may not charge fees, except as described in paragraphs 
(c)(3) through (5) of this section;
    (2) If MCC has determined that unusual circumstances as defined by 
the FOIA apply and the agency provided timely written notice to the 
requester in accordance with the FOIA, a failure to comply with the time 
limit shall be excused for an additional ten (10) calendar days;
    (3) If MCC has determined that unusual circumstances as defined by 
the FOIA apply, and more than five-thousand (5,000) pages are necessary 
to respond to the request, MCC may charge search time fees or 
duplication fees where applicable, if MCC has provided timely written 
notice of the unusual circumstances to the requester in accordance with 
the FOIA and has discussed with the requester via written mail, email, 
or telephone (or made a minimum of three (3) good-faith attempts to do 
so) how the requester could effectively limit the scope of the request;
    (4) If a court has determined that exceptional circumstances exist 
as defined by the FOIA, a failure to comply with the time limits shall 
be excused for the length of time provided by the court order; and
    (5) No search time or review fees will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (d) Fee exceptions. Except for requesters seeking records for 
commercial use, MCC shall provide without charge:
    (1) The first one-hundred (100) pages of duplication (or the cost 
equivalent for other media); and
    (2) The first two (2) hours of search time. When, after deducting 
the first one-hundred (100) free pages (or its cost equivalent) and the 
first two (2) hours of search time, a total fee calculated under this 
section is $25.00 or less for any request, no fee will be charged.
    (e) Notice of anticipated fees in excess of $25.00. (1) When MCC 
determines that the fees to be assessed will exceed $25.00, the 
requester shall be notified of the actual or estimated amount of the 
fees, including the breakdown of the fees for search time, review or 
duplication, unless the requester has indicated a willingness to pay 
fees as high as those anticipated. If only a portion of

[[Page 392]]

the fee can be estimated readily, MCC shall advise the requester 
accordingly. If the requester is not a commercial use requester, the 
notice shall specify that the requester is entitled to the statutory 
requirements of one-hundred (100) pages of duplication at no charge and, 
if the requester is charged search time fees, two (2) hours of search 
time at no charge, and shall advise the requester whether those 
entitlements have been provided.
    (2) In cases in which a requester has been notified that the actual 
or estimated fees are in excess of $25.00, the request shall not be 
considered received and further work will not be completed until the 
requester commits, in writing, to pay the actual or estimated total fee, 
or designates some amount of fees the requester is willing to pay, or in 
the case of a requester who is not a commercial use requester who has 
not yet been provided with the requester's statutory entitlements, 
designates that the requester seeks only that which can be provided by 
the statutory entitlements. The requester must provide the commitment or 
designation in writing, and must, when applicable designate an exact 
dollar amount the requester is willing to pay. MCC is not required to 
accept payments in installments.
    (3) If the requester has indicated a willingness to pay some 
designated amount of fees, and MCC estimates that the total fee will 
exceed that amount, MCC shall toll the processing of the request when it 
notifies the requester of the estimated fees in excess of the amount the 
requester has indicated a willingness to pay. MCC shall inquire whether 
the requester wishes to revise the amount of fees the requester is 
willing to pay or modify the request. Once the requester responds, the 
time to respond will resume from where it was at the date of the 
notification.
    (4) The FOIA Program Officer will assist any requester in 
reformulating a request to meet the requester's needs at a lower cost.
    (f) Waiver or reduction of fees. Documents shall be furnished 
without charge or at a charge below that listed in this section based 
upon information provided by a requester or otherwise made known to the 
Chief FOIA Officer that disclosure of the requested information is in 
the public interest. Disclosure is in the public interest if it is 
likely to contribute significantly to public understanding of government 
operations and is not primarily for commercial purposes. Requests for a 
waiver or reduction of fees shall be considered on a case by case basis. 
Where only some of the records to be released satisfy the requirements 
for waiver of fees, a waiver shall be granted to those records. In order 
to determine whether the fee waiver requirement is met, the Chief FOIA 
Officer shall consider the following factors:
    (1) The subject of the request. Whether the subject of the requested 
records concerns the operations or activities of the government;
    (2) The informative value of the information to be disclosed; and
    (3) The significance of the contribution to public understanding.
    (g) Fees pending a waiver request. Requests for a waiver or 
reduction of fees should be made when the request is first submitted to 
the agency and should address the criteria referenced in this section. A 
requester may submit a fee waiver request at a later time so long as the 
underlying record request is pending or on administrative appeal. When a 
requester who has committed to pay fees subsequently asks for a waiver 
of those fees and that waiver is denied, the requester must pay any 
costs incurred up to the date the fee waiver request was received.
    (h) Types of requesters. There are four categories of FOIA 
requesters: Commercial use requesters, educational and non-commercial 
scientific institutional requesters; representatives of the news media; 
and all other requesters. The following specific levels of fees are 
prescribed for each of these categories:
    (1) Commercial requesters shall be charged the full direct costs of 
searching for, reviewing, and duplicating requested records;
    (2) Educational and non-commercial scientific institution requesters 
shall be charged for document duplication only and the first one-hundred 
(100) pages of paper copies shall be provided without charge;

[[Page 393]]

    (3) Representative of the news media requesters shall be charged for 
document duplication costs only, except that the first one-hundred (100) 
pages of paper copies shall be provided without charge; and
    (4) All other requesters who do not fall into any of the categories 
in paragraphs (h)(1) through (3) of this section shall be charged fees 
which recover the full reasonable direct costs incurred for searching 
for and reproducing records if that total costs exceeds $25.00, except 
that the first one-hundred (100) pages of duplication and the first two 
hours of manual search time shall not be charged.
    (i) Charges for unsuccessful searches. If the requester has been 
notified of the estimated cost of the search time and has been advised 
specifically that the requested records may not exist or may be withheld 
as exempt, fees may be charged.
    (j) Charges for other services. Although MCC is not required to 
provide special services, if it chooses to do so as a matter of 
administrative discretion, the direct costs of providing the service 
shall be charged. Examples of such services include certifying that 
records are true copies, providing multiple copies of the same document, 
or sending records by means other than first class mail.
    (k) Charging interest. MCC may charge interest on any unpaid bill 
starting on the 31st day following the date of billing the requester. 
Interest charges shall be assessed at the rate provided in 31 U.S.C. 
3717 and will accrue from the billing date until payment is received. 
MCC shall follow the provisions of the Debt Collection Act of 1982, as 
amended, and its administrative procedures, including the use consumer 
reporting agencies, collection agencies, and offset.
    (l) Aggregating requests. The requester or a group of requesters may 
not submit multiple requests at the same time, each seeking portions of 
a document or documents solely in order to avoid payment of fees. When 
the FOIA Program Officer reasonably believes that a requester is 
attempting to divide a request into a series of requests to evade an 
assessment of fees, the FOIA Program Officer may aggregate such requests 
and charge accordingly. MCC may presume that multiple requests of this 
type made within a thirty (30) calendar day period have been made in 
order to avoid fees. For requests separated by a longer period, MCC will 
aggregate them only where there is a reasonable basis for determining 
that aggregation is warranted in view of all the circumstances involved. 
Multiple requests involving unrelated matters cannot be aggregated.
    (m) Advance payment of fees. (1) MCC may require an advanced payment 
of fees if the requestor previously failed to pay fees or if the FOIA 
Program Officer determines the total fee will exceed $250.00. When 
payment is required in advance of the processing of a request, the time 
limits prescribed in Sec.  1304.5 shall not be deemed to begin until the 
requester has paid the assessed fees.
    (2) In cases in which MCC requires advance payment, the request will 
not be considered received and further work will not be completed until 
the required payment is received. If the requester does not pay the 
advance payment within thirty (30) calendar days after the date of the 
fee determination, the request will be closed. Where it is anticipated 
that the cost of providing the requested record will exceed $25.00 but 
falls below $250.00 after the free duplication and search time has been 
calculated, MCC may, in its discretion may require either an advance 
deposit of the entire estimated charges or written confirmation of the 
requester's willingness to pay such charges.
    (3) Where the requester has previously failed to pay a properly 
charged FOIA fee within thirty (30) calendar days of the billing date, 
MCC may require the requester to pay the full amount due plus any 
applicable interest on that prior request, and/or require that the 
requester make an advance payment of the full amount of the anticipated 
fee before MCC begins a new request or continues to process a pending 
request or any pending appeal. If MCC has a reasonable basis to believe 
that a requester has misrepresented the requester's identity in order to 
avoid paying outstanding fees, MCC may require that the requester 
provide proof of identity.

[[Page 394]]



Sec.  1304.12  Other rights and services.

    Nothing in this part shall be construed to entitle any person a 
right to any service or to the disclosure of any record to which such 
person is not entitled under the FOIA.

Subpart B--[Reserved]



PART 1305_RELEASE OF OFFICIAL INFORMATION AND TESTIMONY BY MCC PERSONNEL
AS WITNESSES--Table of Contents



Sec.
1305.1 Purpose and scope.
1305.2 Definitions.
1305.3 Production prohibited unless approved.
1305.4 Factors to be considered by the General Counsel.
1305.5 Service of demands.
1305.6 Processing demands.
1305.7 Final determination.
1305.8 Restrictions that apply to testimony.
1305.9 Restrictions that apply to released documents.
1305.10 Procedure when a decision is not made prior to the time a 
          response is required.
1305.11 Procedure in the event of an adverse ruling.
1305.12 No private right of action.

    Authority: 5 U.S.C. 301.

    Source: 79 FR 44278, July 31, 2014, unless otherwise noted.



Sec.  1305.1  Purpose and scope.

    Pursuant to 5 U.S.C. 301, the head of an executive department or 
military department may prescribe regulations for the government of his/
her department, the conduct of its employees, the distribution and 
performance of its business, and the custody, use, and preservation of 
its records, papers, and property. Section 301 does not authorize 
withholding information from the public or limiting the availability of 
records to the public. This part contains the regulations of the 
Millennium Challenge Corporation (MCC) concerning procedures to be 
followed when a request, subpoena, order or other demand (hereinafter in 
this part referred to as a ``demand'') of a court or other authorities 
in any state or federal proceeding is issued for the production or 
disclosure of:
    (a) Any material contained in the files of MCC;
    (b) Any information relating to materials contained in the files of 
MCC; or
    (c) Any information or material acquired by an employee of MCC 
during the performance of the employee's official duties or because of 
the employee's official status.



Sec.  1305.2  Definitions.

    For purposes of this part:
    (a) Demand means a request, order, or subpoena for testimony or 
documents related to or for possible use in a legal proceeding.
    (b) Document means any record or other property, no matter what 
media and including copies thereof, held by MCC, including without 
limitation, official letters, telegrams, memoranda, reports, studies, 
calendar and diary entries, maps, graphs, pamphlets, notes, charts, 
tabulations, analyses, statistical or informational accumulations, any 
kind of summaries of meetings and conversations, film impressions, 
magnetic tapes and sound or mechanical reproductions.
    (c) Employee means all employees and officers of MCC, including 
contractors who have been appointed by, or are subject to the 
supervision, jurisdiction or control of MCC. The procedures established 
within this part also apply to former employees and contractors of MCC.
    (d) General Counsel means the General Counsel or MCC employee to 
whom the General Counsel has delegated authority to act under this 
subpart.



Sec.  1305.3  Production prohibited unless approved.

    No employee or former employee shall, in response to a demand of a 
court or other authority, disclose any information relating to materials 
contained in the files of MCC, or disclose any information or produce 
any material acquired as part of the performance of the person's 
official duties, or because of the person's official status, without the 
prior, written approval of the General Counsel.

[[Page 395]]



Sec.  1305.4  Factors to be considered by the General Counsel.

    (a) In deciding whether to authorize the release of official 
information or the testimony of employees concerning official 
information, the General Counsel shall consider the following factors:
    (1) Whether the demand is unduly burdensome;
    (2) MCC's ability to maintain impartiality in conducting its 
business;
    (3) Whether the time and money of the United States would be used 
for private purposes;
    (4) The extent to which the time of employees for conducting 
official business would be compromised;
    (5) Whether the public might misconstrue variances between personal 
opinions of employees and MCC policy;
    (6) Whether the demand demonstrates that the information requested 
is relevant and material to the action pending, genuinely necessary to 
the proceeding, unavailable from other sources, and reasonable in its 
scope;
    (7) Whether the number of similar demands would have a cumulative 
effect on the expenditure of agency resources;
    (8) Whether disclosure otherwise would be inappropriate under the 
circumstances; and
    (9) Any other factor that is appropriate.
    (b) Among those demands in response to which compliance will not 
ordinarily be authorized are those with respect to which any of the 
following factors exists:
    (1) The disclosure would violate a statute, Executive order, or 
regulation;
    (2) The integrity of the administrative and deliberative processes 
of MCC would be compromised;
    (3) The disclosure would not be appropriate under the rules of 
procedure governing the case or matter in which the demand arose;
    (4) The disclosure, including release in camera, is not appropriate 
or necessary under the relevant substantive law concerning privilege;
    (5) The disclosure, except when in camera and necessary to assert a 
claim of privilege, would reveal information properly classified or 
other matters exempt from unrestricted disclosure; or
    (6) The disclosure would interfere with ongoing enforcement 
proceedings, compromise constitutional rights, reveal the identity of an 
intelligence source or confidential informant, or disclose trade secrets 
or similarly confidential commercial or financial information.



Sec.  1305.5  Service of demands.

    Demands for official documents, information or testimony must be in 
writing, and served on the General Counsel, Millennium Challenge 
Corporation, 875 Fifteenth Street NW., Washington, DC 20005-2221.



Sec.  1305.6  Processing demands.

    (a) After service of a demand to produce or disclose official 
documents and information, the General Counsel will review the demand 
and, in accordance with the provisions of this subpart, determine 
whether, or under what conditions, to authorize the employee to testify 
on matters relating to official information and/or produce official 
documents.
    (b) If information or material is sought by a demand in any case or 
matter in which MCC is not a party, an affidavit or, if that is not 
feasible, a statement by the party seeking the information or material, 
or by his/her attorney setting forth a summary of the information or 
material sought and its relevance to the proceeding, must be submitted 
before a decision is made as to whether materials will be produced or 
permission to testify or otherwise provide information will be granted. 
Any authorization for testimony by a present or former employee of MCC 
shall be limited to the scope of the demand.
    (c) When necessary, the General Counsel will coordinate with the 
Department of Justice to file appropriate motions, including motions to 
remove the matter to Federal court, to quash, or to obtain a protective 
order.
    (d) If a demand fails to follow the requirements of these 
regulations, MCC will not allow the testimony or produce the documents.
    (e) MCC will process demands in the order in which they are 
received. Absent unusual circumstances, MCC will respond within 45 days 
of the date that the demand was received. The time for

[[Page 396]]

response will depend upon the scope of the demand.
    (f) The General Counsel may grant a waiver of any procedure 
described by this subpart where a waiver is considered necessary to 
promote a significant interest of MCC or the United States or for other 
good cause.



Sec.  1305.7  Final determination.

    The General Counsel makes the final determination on demands to 
employees for production of official documents and information or 
testimony. All final determinations are within the sole discretion of 
the General Counsel. The General Counsel will notify the requester and 
the Court or other authority of the final determination, the reasons for 
the grant or denial of the demand, and any conditions that the General 
Counsel may impose on the release of documents, or on the testimony of 
an employee. When in doubt about the propriety of granting or denying a 
demand for testimony or documents, the General Counsel should consult 
with the Department of Justice.



Sec.  1305.8  Restrictions that apply to testimony.

    (a) The General Counsel may impose conditions or restrictions on the 
testimony of MCC employees including, for example, limiting the areas of 
testimony or requiring the requester and other parties to the legal 
proceeding to agree that the transcript of the testimony will be kept 
under seal or will only be used or made available in the particular 
legal proceeding for which testimony was requested. The General Counsel 
may also require a copy of the transcript of testimony at the 
requester's expense.
    (b) MCC may offer the employee's declaration in lieu of testimony, 
in whatever form the court finds acceptable.
    (c) If authorized to testify pursuant to this part, an employee may 
testify to relevant unclassified materials or information within his or 
her personal knowledge, but, unless specifically authorized to do so by 
the General Counsel, the employee shall not:
    (1) Disclose confidential or privileged information; or
    (2) For a current MCC employee, testify as an expert or opinion 
witness with regard to any matter arising out of the employee's official 
duties or the functions of MCC, unless testimony is being given on 
behalf of the United States.



Sec.  1305.9  Restrictions that apply to released documents.

    (a) The General Counsel may impose conditions or restrictions on the 
release of official documents and information, including the requirement 
that parties to the proceeding obtain a protective order or execute a 
confidentiality agreement to limit access and any further disclosure. 
The terms of the protective order or of the confidentiality agreement 
must be acceptable to the General Counsel. In cases where protective 
orders or confidentiality agreements have already been executed, MCC may 
condition the release of official documents and information on an 
amendment to the existing protective order or confidentiality agreement.
    (b) If the General Counsel so determines, original MCC documents may 
be presented in response to a demand, but they are not to be presented 
as evidence or otherwise used in a manner by which they could lose their 
identity as official MCC documents nor are they to be marked or altered. 
In lieu of original records, certified copies will be presented for 
evidentiary purposes. (See 28 U.S.C. 1733).



Sec.  1305.10  Procedure when a decision is not made prior to the time
a response is required.

    If a response to a demand is required before the General Counsel can 
make the determination referred to above, the General Counsel, when 
necessary, will provide the court or other competent authority with a 
copy of this part, inform the court or other competent authority that 
the demand is being reviewed, and respectfully seek a stay of the demand 
pending a final determination.



Sec.  1305.11  Procedure in the event of an adverse ruling.

    If the court or other competent authority declines to stay the 
demand in

[[Page 397]]

response to a request made in accordance with Sec.  1305.10, or if the 
court or other competent authority rules that the demand must be 
complied with irrespective of the instructions from the General Counsel 
not to produce the material or disclose the information sought, the 
employee or former employee upon whom the demand has been made shall 
respectfully decline to comply with the demand (United States ex rel. 
Touhy v. Ragen, 340 U.S. 462 (1951)).



Sec.  1305.12  No private right of action.

    This part is intended only to provide guidance for the internal 
operations of MCC, and is not intended to, and does not, and may not be 
relied upon, to create a right or benefit, substantive or procedural, 
enforceable at law by a party against the United States.



PART 1306_DEBT COLLECTION--Table of Contents



                      Subpart A_General Provisions

Sec.
1306.1 Purpose.
1306.2 Scope.
1306.3 Definitions.
1306.4 Other procedures or actions.
1306.5 Interest, penalties, and administrative costs.
1306.6 Collection in installments.
1306.7 Designation.
1306.8 Application.

                Subpart B_Administrative Wage Garnishment

1306.9 Administrative wage garnishment.

                         Subpart C_Salary Offset

1306.10 Scope.
1306.11 Coordinating offset with another Federal agency.
1306.12 Notice requirements before offset.
1306.13 Employee response.
1306.14 Request for a hearing for certain debts.
1306.15 Hearings.
1306.16 Procedures for salary offset.
1306.17 Non-waiver of rights by payment.
1306.18 Waiver of indebtedness.
1306.19 Compromise.
1306.20 Suspension.
1306.21 Termination.
1306.22 Discharge.
1306.23 Bankruptcy.
1306.24 Refunds.

    Authority: 31 U.S.C. 3701-3719; 5 U.S.C. 5514; 31 CFR part 285; 31 
CFR parts 900-904; 5 CFR part 550 subpart K.

    Source: 81 FR 59441, Aug. 30, 2016, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  1306.1  Purpose.

    The regulations in this part prescribe the procedures to be used by 
the Millennium Challenge Corporation (MCC) in the collection and/or 
disposal of non-tax debts owed to MCC and to the United States.



Sec.  1306.2  Scope.

    (a) Applicability of Federal Claims Collection Standards (FCCS). MCC 
hereby adopts the provisions of the Federal Claims Collections Standards 
(31 CFR parts 900-904) and, except as set forth in this part or 
otherwise provided by law, MCC will conduct administrative actions to 
collect claims (including offset, compromise, suspension, termination, 
disclosure and referral) in accordance with the FCCS.
    (b) This part is not applicable to any debt or claim for which 
collection is explicitly provided for or prohibited under other 
statutory authorities. This includes, but is not limited to:
    (1) MCC claims against another Federal agency, any foreign country 
or any political subdivision thereof, or any public international 
organization.
    (2) Debts arising out of acquisitions subject to the Federal 
Acquisition Regulation (FAR) which shall be determined, collected, 
compromised, terminated, or settled in accordance with the regulations 
published at 48 CFR part 32.
    (3) Debts arising from the audit of transportation accounts pursuant 
to 31 U.S.C. 3726 which shall be determined, collected, compromised, 
terminated, or settled in accordance with the regulations published at 
41 CFR parts 102-118.
    (4) Debts based in whole or in part on conduct in violation of the 
antitrust laws, or in regard to which there is an indication of fraud, 
presentation of a false claim, or misrepresentation on the part of the 
debtor or any other party having an interest in the claim,

[[Page 398]]

which shall be referred to the Department of Justice for compromise, 
suspension, or termination of collection action.
    (5) Tax debts.



Sec.  1306.3  Definitions.

    For purposes of this part:
    (a) Administrative offset means withholding funds payable by the 
United States to, or held by the United States for, a person to satisfy 
a debt owed by the person to the United States.
    (b) Administrative wage garnishment means the process by which a 
Federal agency orders a non-Federal employer to withhold amounts from a 
debtor's wages to satisfy a debt owed to the United States.
    (c) Compromise means that the creditor agency accepts less than the 
full amount of an outstanding debt in full satisfaction of the entire 
amount of the debt.
    (d) Creditor agency means the Federal agency to which a debt is owed 
including a debt collection center when acting in behalf of a creditor 
agency in matters pertaining to the collection of a debt (as provided in 
5 CFR 550.1110).
    (e) Debt or claim means an amount of money which has been determined 
to be owed to the United States from any person. A debtor's liability 
arising from a particular contract or transaction shall be considered a 
single claim for purposes of the monetary ceilings of the FCCS.
    (f) Debtor means a person who owes the Federal government money.
    (g) Delinquent debt means a debt that has not been paid by the date 
specified in MCC's written notification or applicable contractual 
agreement, unless other satisfactory arrangements have been made by that 
date, or that has not been paid in accordance with a payment agreement 
with MCC.
    (h) Discharge means the release of a debtor from personal liability 
for a debt. Further collection action is prohibited.
    (i) Disposable pay means the amount that remains from an employee's 
current basic pay, special pay, incentive pay, retired pay, retainer 
pay, or in the case of an employee not entitled to basic pay, other 
authorized pay remaining after required deductions for Federal, State 
and local income taxes; Social Security taxes, including Medicare taxes; 
Federal retirement programs; normal premiums for life and health 
insurance benefits and such other deductions that are required by law to 
be withheld, excluding garnishments.
    (j) FCCS means the Federal Claims Collection Standards published 
jointly by the Departments of the Treasury and Justice and codified at 
31 CFR parts 900-904.
    (k) Person means an individual, corporation, partnership, 
association, organization, State or local government, or any other type 
of entity other than a Federal agency, Foreign Government, or public 
international organization.
    (l) Salary offset means an administrative offset to collect a debt 
under 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of a Federal 
employee without his or her consent to satisfy a debt owed by that 
employee to the United States.
    (m) Suspension means the temporary cessation of active debt 
collection pending the occurrence of an anticipated event.
    (n) Termination means the cessation of all active debt collection 
action for the foreseeable future.
    (o) Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 5522, 5 U.S.C. 5584, 5 U.S.C. 5922, 5 
U.S.C. 8346(b), or any other law.



Sec.  1306.4  Other procedures or actions.

    (a) Nothing contained in this part is intended to require MCC to 
duplicate administrative proceedings required by contract or other laws 
or regulations.
    (b) Nothing in this part is intended to preclude utilization of 
informal administrative actions or remedies which may be available.
    (c) Nothing contained in this part is intended to deter MCC from 
demanding the return of specific property or from demanding the return 
of the property or the payment of its value.
    (d) The failure of MCC to comply with any provision in this part 
shall not serve as defense to the debt.

[[Page 399]]



Sec.  1306.5  Interest, penalties, and administrative costs.

    Except as otherwise provided by statute, contract or excluded in 
accordance with the FCCS, MCC will assess:
    (a) Interest on delinquent debts in accordance with 31 CFR 901.9.
    (b) Penalties at the rate of 6 percent a year or such other rate as 
authorized by law on any portion of a debt that is delinquent for more 
than 90 days.
    (c) Administrative costs to cover the costs of processing and 
calculating delinquent debts.
    (d) Late payment charges under paragraphs (a) and (b) of this 
section shall be computed from the date of delinquency.
    (e) When a debt is paid in partial or installment payments, amounts 
received shall be applied first to outstanding penalty and 
administrative cost charges, second to accrued interest, and then to 
outstanding principal.
    (f) MCC shall consider waiver of interest, penalties and/or 
administrative costs in accordance with the FCCS, 31 CFR 901.9(g).



Sec.  1306.6  Collection in installments.

    (a) Whenever feasible, and except as required otherwise by law, 
debts owed to the United States, together with interest, penalties, and 
administrative costs as required by this part, should be collected in 
one lump sum. This is true whether the debt is being collected under 
administrative offset, including salary offset, or by another method, 
including voluntary payment. However, if the debtor is financially 
unable to pay the indebtedness in one lump sum or the amount of debt 
exceeds 15 percent of disposable pay for an officially established pay 
interval collection must be made in regular installments. If possible, 
the installment payments should be sufficient in size and frequency to 
liquidate the Government's claim within three years, and in the case of 
a current MCC employee, installment repayment plans must be made over a 
period not greater than the anticipated period of employment, except as 
provided in paragraph (b) in this section. However, the amount deducted 
for any period under this section and Sec.  1306.16 may not exceed 15 
percent of the disposable pay from which the deduction is made, unless 
the employee has agreed in writing to the deduction of a greater amount 
or a higher deduction has been ordered by a court.
    (b) If the employee retires or resigns or if his or her employment 
ends before collection of the debt is completed, MCC may collect the 
debt from subsequent payments of any nature (e.g., final salary payment, 
lump-sum leave, etc.) due the employee from the paying agency as of the 
date of separation to the extent necessary to liquidate the debt. 
Following the employee's separation, MCC may collect any later payments 
of any kind that are due to the former employee from the United States 
to the extent necessary to liquidate the debt.



Sec.  1306.7  Designation.

    The Chief Financial Officer is delegated authority and designated to 
perform all the duties for which head of the agency is responsible under 
the forgoing statutes and joint regulations. The authority delegated 
hereunder may be further delegated by the Chief Financial Officer 
subject to applicable laws, regulations and MCC policies.



Sec.  1306.8  Application.

    (a) MCC shall aggressively collect claims and debts in accordance 
with this part and applicable law.
    (b) In accordance with the FCCS:
    (1) MCC will transfer to the Department of the Treasury, Financial 
Management Service (FMS) any past due, legally enforceable non-tax debt 
that has been delinquent for 180 days or more so that FMS may take 
appropriate action to collect the debt or take other appropriate action 
in accordance with applicable law and regulation; and
    (2) MCC may transfer any past due, legally enforceable debt that has 
been delinquent for fewer than 180 days to FMS for collection in 
accordance with applicable law and regulation. (See 31 CFR part 285).



Sec.  1306.9  Administrative wage garnishment.

    MCC hereby adopts the administrative wage garnishment rules issued 
by

[[Page 400]]

the Department of the Treasury at 31 CFR 285.11.



Sec.  1306.10  Scope.

    (a) This subpart sets forth MCC's procedures for the collection of a 
Federal employee's current pay by salary offset to satisfy certain debts 
owed to the United States.
    (b) This subpart applies to:
    (1) Current employees of MCC and other agencies who owe debts to 
MCC;
    (2) Current employees of MCC who owe debts to other agencies.
    (c) This subpart does not apply to:
    (1) Debts or claims arising under the Internal Revenue Code of 1954 
(26 U.S.C. 1 et seq.); the Social Security Act (42 U.S.C. 301 et seq.); 
the tariff laws of the United States.
    (2) Any case where collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute (e.g., travel 
advances in 5 U.S.C. 5705 and employee training expenses in 5 U.S.C. 
4108); or
    (3) Any other debts excluded by the Federal Claims Collections 
Standards (31 CFR parts 900-904) or 31 CFR part 285.
    (d) This part does not preclude an employee from requesting waiver 
of the debt, if waiver is available under subpart C of this part or by 
other regulation or statute.
    (e) Nothing in this part precludes the compromise, suspension or 
termination of collection actions where appropriate under Sec.  1306.18 
or other regulations or statutes.



Sec.  1306.11  Coordinating offset with another Federal agency.

    (a) When MCC is owed a debt by an employee of another agency, MCC 
shall provide the agency with a written certification that the debtor 
owes MCC a debt (including the amount and basis of the debt and the due 
date of payment) and that MCC has complied with this part.
    (b) When another agency is owed the debt, MCC may use salary offset 
against one of its employees who is indebted to another agency, if 
requested to do so by that agency. Such request must be accompanied by a 
certification that the person owes the debt (including the amount and 
basis of the debt and the due date of payment) and that the agency has 
complied with its regulations as required by 5 U.S.C. 5514 and 5 CFR 
part 550, subpart K.



Sec.  1306.12  Notice requirements before offset.

    (a) Deductions under the authority of 5 U.S.C. 5514 shall not be 
made unless the creditor agency first provides the employee with written 
notice that he/she owes a debt to the Federal Government at least 30 
calendar days before salary offset is to be initiated. When MCC is the 
creditor agency this notice of intent to offset an employee's salary 
shall be hand-delivered or sent by certified mail to the most current 
address that is available. The written notice will state:
    (1) That MCC has reviewed the records relating to the claim and has 
determined that a debt is owed, its origin and nature, and the amount of 
the debt;
    (2) The intention of MCC to collect the debt by means of deduction 
from the employee's current disposable pay account until the debt, all 
accumulated interest, penalties and administrative costs are paid in 
full;
    (3) The amount, frequency, approximate beginning date, and duration 
of the intended deductions;
    (4) An explanation of MCC's policy concerning interest, penalties 
and administrative costs, including a statement that such assessments 
must be made unless excused in accordance with the FCCS;
    (5) The employee's right to inspect and copy all records of MCC 
pertaining to the debt claimed or to receive copies of such records if 
personal inspection is impractical;
    (6) If not previously provided, the opportunity (under terms 
agreeable to MCC) to establish a schedule for the voluntary repayment of 
the debt or to enter into a written agreement to establish a schedule 
for repayment of the debt in lieu of offset. The agreement must be in 
writing, signed by both the employee and MCC, and documented in MCC's 
files;
    (7) The employee's right to a hearing conducted by a hearing 
official (an administrative law judge, or alternatively, an individual 
not under the

[[Page 401]]

supervision or control of MCC, but in each case arranged by MCC) with 
respect to the existence and amount of the debt claimed, or the 
repayment schedule, so long as a petition is filed by the employee in 
accordance with this part;
    (8) The name, address and telephone number of an official to whom 
questions and correspondence regarding this notice may be directed;
    (9) The method and time period for requesting a hearing;
    (10) That the timely filing of a petition for a hearing as 
prescribed by this part will stay the commencement of collection 
proceedings;
    (11) The name and address of the office to which the petition for 
hearing should be sent;
    (12) That MCC will initiate certification procedures to implement a 
salary offset, as appropriate, (which may not exceed 15 percent of the 
employee's disposable pay) not less than 30 calendar days from the date 
of delivery of the notice of debt, unless the employee files a timely 
petition for a hearing;
    (13) That a final decision on the hearing (if one is requested) will 
be issued at the earliest practical date, but not later than 60 calendar 
days after the filing of the petition requesting the hearing, unless the 
employee requests and the hearing official grants a delay in the 
proceedings;
    (14) That any knowingly false or frivolous statements, 
representation, or evidence may subject the employee to disciplinary 
procedures (5 U.S.C. Chapter 75, 5 CFR part 752 or other applicable 
statutes or regulations); penalties (31 U.S.C. 3729-3731 or other 
applicable statutes or regulations); or criminal penalties (18 U.S.C. 
286, 287, 1001, and 1002 or other applicable statutes or regulations);
    (15) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made;
    (16) That unless there are applicable contractual or statutory 
provisions to the contrary, amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee; and
    (17) That proceedings with respect to such debt are governed by 5 
U.S.C. 5514.
    (b) MCC is not required to provide prior notice to an employee when 
the following adjustments are made by MCC to an MCC employee's pay:
    (1) Any adjustment to pay arising out of an employee's election of 
coverage or a change in coverage under a Federal benefits program 
requiring periodic deductions from pay if the amount to be recovered was 
accumulated over four pay periods or less;
    (2) A routine adjustment of pay that is made to correct an 
overpayment of pay attributable to clerical or administrative errors or 
delays in processing pay documents, if the overpayment occurred within 
the four pay periods preceding the adjustment, and, at the time of such 
adjustment, or as soon thereafter as practical, the individual is 
provided written notice of the nature and the amount of the adjustment 
and a point of contact for contesting the adjustment; or
    (3) Any adjustment to collect a debt of $50 or less, if, at the time 
of such adjustment, or as soon thereafter as practical, the individual 
is provided written notice of the nature of the amount of the adjustment 
and a point of contact for contesting the adjustment.



Sec.  1306.13  Employee response.

    (a) Voluntary repayment agreement. An employee may submit a request 
to enter into a written repayment agreement of the debt in lieu of 
offset. The request must be made within 7 days of receipt of notice 
under Sec.  1306.12 to the official identified in Sec.  1306.12(a)(8). 
The agreement must be in writing signed by both the employee and the 
appropriate official within MCC. Acceptance of such an agreement is 
discretionary with the Agency. An employee who enters into such an 
agreement may, nevertheless, seek a waiver under Sec.  1306.18.
    (b) Reconsideration. (1) An employee may seek a reconsideration of 
MCC's determination regarding the existence and/or amount of the debt. 
The request must be made within 7 days of receipt of notice under Sec.  
1306.12 to the official identified in 1306.12(a)(8). Within 20 days of 
receipt of this notice, the employee must submit a detailed statement of 
reasons for reconsideration

[[Page 402]]

that must be accompanied by supporting documentation.
    (2) An employee may seek a reconsideration of MCC's proposed offset 
schedule. The request must be made within 7 days of receipt of notice 
under Sec.  1306.12 to the official identified in Sec.  1306.12(a)(8). 
Within 20 days of receipt of this notice, the employee must submit an 
alternative repayment schedule accompanied by a detailed statement, 
supported by documentation, evidencing financial hardship resulting from 
MCC's proposed schedule. Acceptance of the request is at MCC's 
discretion. MCC will notify the employee in writing of its decision 
concerning the request to reduce the rate of an involuntary deduction.



Sec.  1306.14  Request for a hearing for certain debts.

    (a) Except as provided in paragraphs (d) and (e) of this section, an 
employee must file a request that is received by the official identified 
in the notice provided pursuant to Sec.  1306.12(a)(11) not later than 
15 calendar days from the date of MCC's notice if an employee wants a 
hearing concerning:
    (1) The existence or amount of the debt; or
    (2) MCC's proposed offset schedule.
    (b) The request must be signed by the employee and should identify 
and explain with reasonable specificity and brevity the facts, evidence 
and witnesses, if any, which the employee believes support his or her 
position. If the employee objects to the percentage of disposable pay to 
be deducted from each check, the request should state the objection and 
the reasons for it.
    (c) The employee must also specify whether an oral or paper hearing 
is requested. If an oral hearing is desired, the request should explain 
why the matter cannot be resolved by review of the documentary evidence 
alone.
    (d) If the employee files a request for a hearing later than the 
required 15 calendar days as described in paragraph (a) of this section, 
MCC may accept the request if the employee can show that the delay was 
because of circumstances beyond his or her control or because of failure 
to receive notice of the filing deadline (unless the employee otherwise 
has actual notice of the filing deadline).
    (e) If the employee files a timely request for reconsideration 
pursuant to Sec.  1306.13(b), the employee must file a request for a 
hearing by the official identified in the notice provided pursuant to 
Sec.  1306.12(a)(11) not later than 15 calendar days from the date of 
MCC's written decision concerning the reconsideration request.
    (f) An employee waives the right to a hearing and will have his or 
her pay offset if the employee fails to file a petition for a hearing in 
accordance with this section.



Sec.  1306.15  Hearings.

    (a) If an employee timely files a request for a hearing under Sec.  
1306.14, pursuant to 5 U.S.C. 5514(a)(2), the hearing official shall 
select the time, date, and location of the hearing.
    (b) Hearings shall be conducted by a hearing official not under the 
supervision or control of MCC or an administrative law judge.
    (c) Procedure. (1) After the employee requests a hearing, the 
hearing official shall notify the employee of the form of the hearing to 
be provided. If the hearing will be oral, notice shall set forth the 
date, time and location of the hearing. If the hearing will be paper, 
the employee shall be notified that he or she should submit arguments in 
writing to the hearing official by a specified date after which the 
record shall be closed. This date shall give the employee reasonable 
time to submit documentation.
    (2) Oral hearing. An employee who requests an oral hearing shall be 
provided an oral hearing if the hearing official determines that the 
matter cannot be resolved by review of documentary evidence alone (e.g., 
when an issue of credibility or veracity is involved). The hearing is 
not an adversarial adjudication, and need not take the form of an 
evidentiary hearing.
    (3) Paper hearing. If the hearing official determines that an oral 
hearing is not necessary, he or she will make a decision based upon a 
review of the available written record.
    (4) Record. The hearing official must maintain a summary record of 
any

[[Page 403]]

hearing provided by this subpart. Witnesses who provide testimony will 
do so under oath or affirmation.
    (5) Content of decision. The written decision shall include:
    (i) A statement of the facts presented to support the origin, 
nature, and amount of the debt;
    (ii) The hearing official's findings, analysis, and conclusions; and
    (iii) The terms of any repayment schedules, or the date salary 
offset will commence, if applicable.
    (6) Failure to appear. In the absence of good cause shown (e.g., 
excused illness), an employee who fails to appear at an oral hearing 
shall be deemed, for the purpose of this part, to admit the existence 
and amount of the debt as described in the notice of intent. The hearing 
official shall schedule a new hearing date upon the request of MCC's 
representative when good cause is shown.
    (d) A hearing official's decision is considered to be an official 
certification regarding the existence and amount of the debt for 
purposes of executing salary offset under 5 U.S.C. 5514 only.



Sec.  1306.16  Procedures for salary offset.

    Unless otherwise provided by statute, regulation, or contract, the 
following procedures apply to salary offset:
    (a) Method. Salary offset will be made by deduction at one or more 
officially established pay intervals from the current pay account of the 
employee without his or her consent.
    (b) Source. The source of salary offset is current disposable pay.
    (c) Types of collection. (1) Lump sum payment. Ordinarily debts will 
be collected by salary offset in one lump sum if possible. However, if 
the amount of the debt exceeds 15 percent of disposable pay for an 
officially established pay interval, the collection by salary offset 
must be made in installment deductions, except as provided by other laws 
or regulations or unless the employee has agreed in writing to a greater 
amount.
    (2) Installment deductions. (i) The size of installment deductions 
must bear a reasonable relation to the size of the debt and the 
employee's ability to pay. If possible, the size of the deduction will 
be that necessary to liquidate the debt in no more than 1 year. However, 
the amount deducted for any period must not exceed 15 percent of the 
disposable pay from which the deduction is made, except as provided by 
other laws or regulations or unless the employee has agreed in writing 
to a greater amount.
    (ii) Installment payments of less than $50 per pay period will be 
accepted only in unusual circumstances such as when that amount exceeds 
15% of disposable pay.
    (iii) Installment deductions should be sufficient in size and 
frequency to liquidate the Government's claim within three years and 
must be made over a period not greater than the anticipated period of 
employment.



Sec.  1306.17  Non-waiver of rights by payments.

    So long as there are no statutory or contractual provisions to the 
contrary, no employee payment (of all or a portion of a debt) collected 
under this part will be interpreted as a waiver of any rights that the 
employee may have under 5 U.S.C. 5514.



Sec.  1306.18  Waiver of indebtedness.

    (a) An employee may request a waiver of indebtedness. When an 
employee makes a request under a statutory right, further collection may 
be stayed pending an administrative determination on the request. During 
the period of any suspension, interest, penalties and administrative 
charges may be held in abeyance. MCC will not duplicate, for purposes of 
salary offset, any of the notices/procedures already provided the debtor 
prior to a request for waiver.
    (b) Waiver of indebtedness is an equitable remedy and as such must 
be based on an assessment of the facts involved in the individual case 
under consideration. The burden is on the employee to demonstrate that 
the applicable waiver standard has been met in accordance with MCC's 
Policy on Waivers of Indebtedness.
    (c) A debtor requesting a waiver shall do so in writing to the 
official identified in Sec.  1306.12(a)(8) and within the timeframe 
stated within the initial notice sent under Sec.  1306.12. The debtor's

[[Page 404]]

written response shall state the basis for the dispute and include any 
relevant documentation in support.
    (d) While a waiver request is pending, MCC may suspend collection, 
including the accrual of interest and penalties, on the debt if MCC 
determines that suspension is in the agency's best interest or would 
serve equity and good conscience.



Sec.  1306.19  Compromise.

    MCC may attempt to effect a compromise with respect to the debt in 
accordance with the process and standards set forth in the FCCS, 31 CFR 
part 902.



Sec.  1306.20  Suspension.

    Any suspension of collection action shall be made in accordance with 
the standards set forth in the FCCS, 31 CFR 903.1-903.2.



Sec.  1306.21  Termination.

    Any termination of a collection action shall be made in accordance 
with the standards set forth in the FCCS, 31 CFR 903.1 and 903.3-903.4.



Sec.  1306.22  Discharge.

    Once a debt has been closed out for accounting purposes and 
collection has been terminated, the debt is discharged. MCC must report 
discharged debt as income to the debtor to the Internal Revenue Service 
per 26 U.S.C. 6050P and 26 CFR 1.6050P-1.



Sec.  1306.23  Bankruptcy.

    A debtor should notify MCC at the contact office provided in the 
original notice of the debt, if the debtor has filed for bankruptcy. MCC 
will require documentation from the applicable court indicating the date 
of filing and type of bankruptcy. Pursuant to the laws of bankruptcy, 
MCC will suspend debt collection upon such filing unless the automatic 
stay is no longer in effect or has been lifted. In general, collection 
of a debt discharged in bankruptcy shall be terminated unless otherwise 
provided for by bankruptcy law.



Sec.  1306.24  Refunds.

    (a) MCC will refund promptly to the appropriate individual amounts 
offset under this part when:
    (1) A debt is waived or otherwise found not owing the United States 
(unless expressly prohibited by statute or regulation); or
    (2) MCC is directed by an administrative or judicial order to make a 
refund.
    (b) Refunds do not bear interest unless required or permitted by law 
or contract.

                       PARTS 1307	1399 [RESERVED]

[[Page 405]]



   CHAPTER 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




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

                         SUBCHAPTER A [RESERVED]
                    SUBCHAPTER B--GENERAL PROVISIONS
Part                                                                Page
1400-1410

 [Reserved]

1411            Availability of official information........         407
1413            Open meetings...............................         413
1414            Ex parte communications.....................         415
SUBCHAPTER C--FOREIGN SERVICE LABOR RELATIONS BOARD AND GENERAL COUNSEL 
                OF THE FEDERAL LABOR RELATIONS AUTHORITY
1420            Purpose and scope...........................         419
1421            Meaning of terms as used in this subchapter.         419
1422            Representation proceedings..................         421
1423            Unfair labor practice proceedings...........         432
1424            Expedited review of negotiability issues....         442
1425            Review of implementation dispute actions....         444
1427            General statements of policy or guidance....         444
1428            Enforcement of Assistant Secretary standards 
                    of conduct decisions and orders.........         445
1429            Miscellaneous and general requirements......         446
          SUBCHAPTER D--FOREIGN SERVICE IMPASSE DISPUTES PANEL
1470            General.....................................         452
1471            Procedures of the panel.....................         452
1472-1499

 [Reserved]

[[Page 406]]

Appendix A to Chapter XIV--Current addresses and geographic 
  jurisdictions.............................................         455
Appendix B to Chapter XIV--Memorandum describing the 
  authority and assigned responsibilities of the General 
  Counsel of the Federal Labor Relations Authority under the 
  Foreign Service Labor-Management Relations Statute........         456

[[Page 407]]



                         SUBCHAPTER A [RESERVED]





                     SUBCHAPTER B_GENERAL PROVISIONS



                       PARTS 1400	1410 [RESERVED]



PART 1411_AVAILABILITY OF OFFICIAL INFORMATION--Table of Contents



Sec.
1411.1 Purpose and scope.
1411.2 Delegation of authority.
1411.3 Information policy.
1411.4 Procedure for obtaining information.
1411.5 Identification of information requested.
1411.6 Time limits for processing requests.
1411.7 Appeal from denial of request.
1411.8 Extension of time limits.
1411.9 Effect of failure to meet time limits.
1411.10 Fees.
1411.11 Compliance with subpoenas.
1411.12 Annual report.

    Authority: 5 U.S.C. 552.

    Source: 46 FR 45854, Sept. 15, 1981, unless otherwise noted.



Sec.  1411.1  Purpose and scope.

    This part contains the regulations of the Foreign Service Labor 
Relations Board (the Board), the General Counsel of the Federal Labor 
Relations Authority (the General Counsel) and the Foreign Service 
Impasse Disputes Panel (the Panel) providing for public access to 
information from the Board, the General Counsel or the Panel. These 
regulations implement the Freedom of Information Act, as amended, 5 
U.S.C. 552, and the policy of the Board, the General Counsel and the 
Panel to disseminate information on matters of interest to the public 
and to disclose to members of the public on request such information 
contained in records insofar as is compatible with the discharge of 
their responsibilities, consistent with applicable law.



Sec.  1411.2  Delegation of authority.

    (a) Foreign Service Labor Relations Board/General Counsel of the 
Federal Labor Relations Authority. Regional Directors of the Federal 
Labor Relations Authority, the Freedom of Information Officer of the 
Office of the General Counsel, Washington, DC, and the Solicitor of the 
Federal Labor Relations Authority are delegated the exclusive authority 
to act upon all requests for information, documents and records which 
are received from any person or organization under Sec.  1411.4(a).
    (b) Foreign Service Impasse Disputes Panel. The Executive Director 
of the Federal Service Impasses Panel is delegated the exclusive 
authority to act upon all requests for information, documents and 
records which are received from any person or organization under Sec.  
1411.4(b).



Sec.  1411.3  Information policy.

    (a) Foreign Service Labor Relations Board/General Counsel of the 
Federal Labor Relations Authority. (1) It is the policy of the Foreign 
Service Labor Relations Board and the General Counsel of the Federal 
Labor Relations Authority to make available for public inspection and 
copying: (i) Final decisions and orders of the Board and administrative 
rulings of the General Counsel; (ii) statements of policy and 
interpretations which have been adopted by the Board or by the General 
Counsel and are not published in the Federal Register; and (iii) 
administrative staff manuals and instructions to staff that affect a 
member of the public (except those establishing internal operating 
rules, guidelines, and procedures for the investigation, trial, and 
settlement of cases). Any person may examine and copy items in 
paragraphs (a)(1) (i) through (iii) of this section at each regional 
office of the Authority and at the offices of the Authority and the 
General Counsel, respectively, in Washington, DC, under conditions 
prescribed by the Board and the General Counsel, respectively, and at 
reasonable times during normal working hours so long as it does not 
interfere with the efficient operations of the Authority, the Board and 
the General Counsel. To the extent required to prevent a clearly 
unwarranted invasion of personal privacy, identifying details may be 
deleted and, in each case, the justification for the deletion shall be 
fully explained in writing.

[[Page 408]]

    (2) It is the policy of the Board and the General Counsel to make 
promptly available for public inspection and copying, upon request by 
any person, other records where the request reasonably describes such 
records and otherwise conforms with the rules provided herein.
    (b) Foreign Service Impasse Disputes Panel. (1) It is the policy of 
the Foreign Service Impasse Disputes Panel to make available for public 
inspection and copying: (i) Procedural determinations of the Panel; (ii) 
factfinding and arbitration reports; (iii) final decisions and orders of 
the Panel; (iv) statements of policy and interpretations which have been 
adopted by the Panel and are not published in the Federal Register; and 
(v) administrative staff manuals and instructions to staff that affect a 
member of the public. Any person may examine and copy items in 
paragraphs (b)(1)(i) through (v) of this section at the offices of the 
Federal Service Impasses Panel in Washington, DC, under conditions 
prescribed by the Panel, and at reasonable times during normal working 
hours so long as it does not interfere with the efficient operations of 
the Federal Service Impasses Panel and the Panel. To the extent required 
to prevent a clearly unwarranted invasion of personal privacy, 
identifying details may be deleted and, in each case, the justification 
for the deletion shall be fully explained in writing.
    (2) It is the policy of the Panel to make promptly available for 
public inspection and copying, upon request by any person, other records 
where the request reasonably describes such records and otherwise 
conforms with the rules provided herein.
    (c) The Board, the General Counsel and the Panel shall maintain and 
make available for public inspection and copying the current indexes and 
supplements thereto which are required by 5 U.S.C. 552(a)(2) and, as 
appropriate, a record of the final votes of each member of the Board and 
of the Panel in every agency proceeding. Any person may examine and copy 
such document or record of the Board, the General Counsel or the Panel 
at the offices of the Authority, the General Counsel, or the Federal 
Service Impasses Panel, as appropriate, in Washington, DC, under 
conditions prescribed by the Board, the General Counsel or the Panel at 
reasonable times during normal working hours so long as it does not 
interfere with the efficient operations of the Authority, the Board, the 
General Counsel, the Federal Service Impasses Panel, or the Panel.
    (d) The Board, the General Counsel or the Panel may decline to 
disclose any matters exempted from the disclosure requirements in 5 
U.S.C. 552(b), particularly those that are:
    (1)(i) Specifically authorized under criteria established by an 
executive order to be kept secret in the interest of national defense or 
foreign policy and (ii) are in fact properly classified pursuant to such 
executive order;
    (2) Related solely to internal personnel rules and practices of the 
Authority, the General Counsel or the Federal Service Impasses Panel;
    (3) Specifically exempted from disclosure by statute (other than 5 
U.S.C. 552(b)): Provided, That such statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue; or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Interagency or intra-agency memoranda or letters which would not 
be available by law to a party other than an agency in litigation with 
the agency;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy; or
    (7) Investigatory records compiled for law enforcement purposes, but 
only to the extent that the production of such records would:
    (i) Interfere with an enforcement proceeding;
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (iii) Constitute an unwarranted invasion of personal privacy;
    (iv) Disclose the identity of a confidential source and, in the case 
of a

[[Page 409]]

record compiled by a criminal law enforcement authority in the course of 
a criminal investigation, or by an agency conducting a lawful national 
security intelligence investigation, confidential information furnished 
only by the confidential source;
    (v) Disclose investigative techniques and procedures; or
    (vi) Endanger the life or physical safety of law enforcement 
personnel.
    (e)(1) The formal documents constituting the record in a case or 
proceeding are matters of official record and, until destroyed pursuant 
to applicable statutory authority, are available to the public for 
inspection and copying at the appropriate regional office of the 
Authority, or the offices of the Authority, the General Counsel or the 
Federal Service Impasses Panel in Washington, DC, as appropriate, under 
conditions prescribed by the Authority, the General Counsel or the 
Federal Service Impasses Panel at reasonable times during normal working 
hours so long as it does not interfere with the efficient operations of 
the Authority, the General Counsel or the Federal Service Impasses 
Panel.
    (2) The Board, the General Counsel or the Panel, as appropriate, 
shall certify copies of the formal documents upon request made a 
reasonable time in advance of need and payment of lawfully prescribed 
costs.
    (f)(1) Copies of forms prescribed by the Board for the filing of 
charges and petitions may be obtained without charge from any regional 
office of the Authority.
    (2) Copies of forms prescribed by the Panel for the filing of 
requests may be obtained without charge from the offices of the Federal 
Service Impasses Panel in Washington, DC.



Sec.  1411.4  Procedure for obtaining information.

    (a) Foreign Service Labor Relations Board/General Counsel of the 
Federal Labor Relations Authority. Any person who desires to inspect or 
copy any records, documents or other information of the Board or the 
General Counsel, covered by this part, other than those specified in 
paragraphs (a) (1) and (c) of Sec.  1411.3, shall submit a written 
request to that effect as follows:
    (1) If the request is for records, documents or other information in 
a regional office of the Authority, it should be made to the appropriate 
Regional Director;
    (2) If the request is for records, documents or other information in 
the Office of the General Counsel and located in Washington, DC, it 
should be made to the Freedom of Information Officer, Office of the 
General Counsel, Washington, DC; and
    (3) If the request is for records, documents or other information in 
the offices of the Authority in Washington, DC, it should be made to the 
Solicitor of the Authority, Washington, DC.
    (b) Foreign Service Impasse Disputes Panel. Any person who desires 
to inspect or copy any records, documents or other information of the 
Panel covered by this part, other than those specified in paragraphs (b) 
(1) and (c) of Sec.  1411.3, shall submit a written request to that 
effect to the Executive Director, Federal Service Impasses Panel, 
Washington, DC.
    (c) All requests under this part should be clearly and prominently 
identified as a request for information under the Freedom of Information 
Act and, if submitted by mail or otherwise submitted in an envelope or 
other cover, should be clearly identified as such on the envelope or 
other cover. If a request does not comply with the provisions of this 
paragraph, it shall not be deemed received by the appropriate Regional 
Director, the Freedom of Information Officer of the Office of the 
General Counsel, the Solicitor of the Authority, or the Executive 
Director of the Federal Service Impasses Panel, as appropriate, until 
the time it is actually received by such person.



Sec.  1411.5  Identification of information requested.

    (a) Each request under this part should reasonbaly describe the 
records being sought in a way that they can be identified and located. A 
request should include all pertinent details that will help identify the 
records sought.
    (b) If the description is insufficient, the officer processing the 
request will

[[Page 410]]

so notify the person making the request and indicate the additional 
information needed. Every reasonable effort shall be made to assist in 
the identification and location of the record sought.
    (c) Upon receipt of a request for records, the appropriate Regional 
Director, the Freedom of Information Officer of the Office of the 
General Counsel, the Solicitor of the Authority, or the Executive 
Director of the Federal Service Impasses Panel, as appropriate, shall 
enter it in a public log. The log shall state the date and time 
received, the name and address of the person making the request, the 
nature of the records requested, the action taken on the request, the 
date of the determination letter sent pursuant to paragraphs (b) and (c) 
of Sec.  1411.6, the date(s) any records are subsequently furnished, the 
number of staff-hours and grade levels of persons who spent time 
responding to the request, and the payment requested and received.



Sec.  1411.6  Time limits for processing requests.

    (a) All time limits established pursuant to this section shall begin 
as of the time at which a request for records is logged in by the 
appropriate Regional Director, the Freedom of Information Officer of the 
Office of the General Counsel, the Solicitor of the Authority, or the 
Executive Director of the Federal Service Impasses Panel, as 
appropriate, processing the request pursuant to paragraph (c) of Sec.  
1411.5. An oral request for records shall not begin any time 
requirement. A written request for records sent to other than the 
appropriate officer will be forwarded to that officer by the receiving 
officer, but in that event the applicable time limit for response set 
forth in paragraph (b) of this section shall begin upon the request 
being logged in as required by paragraph (c) of Sec.  1411.5.
    (b) Except as provided in Sec.  1411.8, the appropriate Regional 
Director, the Freedom of Information Officer of the Office of the 
General Council, the Solicitor of the Authority, or the Executive 
Director of the Federal Service Impasses Panel, as appropriate, shall, 
within ten (10) working days following receipt of the request, respond 
in writing to the requester, determining whether, or the extent to 
which, the request shall be complied with.
    (1) If all the records requested have been located and a final 
determination has been made with respect to disclosure of all of the 
records requested, the response shall so state.
    (2) If all of the records have not been located or a final 
determination has not been made with respect to disclosure of all the 
records requested, the response shall state the extent to which the 
records involved shall be disclosed pursuant to the rules established in 
this part.
    (3) If the request is expected to involve an assessed fee in excess 
of $25.00, the response shall specify or estimate the fee involved and 
shall require prepayment of any charges in accordance with the 
provisions of paragraph (a) of Sec.  1411.10 before the records are made 
available.
    (4) Whenever possible, the response relating to a request for 
records that involves a fee of less than $25.00 shall be accompanied by 
the requested records. Where this is not possible, the records shall be 
forwarded as soon as possible thereafter, consistent with other 
obligations of the Board, the General Counsel or the Panel.
    (c) If any request for records is denied in whole or in part, the 
response required by paragraph (b) of this section shall notify the 
requester of the denial. Such denial shall specify the reason therefor, 
set forth the name and title or position of the person responsible for 
the denial, and notify the person making the request of the right to 
appeal the denial under the provisions of Sec.  1411.7.



Sec.  1411.7  Appeal from denial of request.

    (a) Foreign Service Labor Relations Board/General Counsel of the 
Federal Labor Relations Authority. (1) Whenever any request for records 
is denied, a written appeal may be filed within thirty (30) days after 
the requester receives notification that the request has been denied or 
after the requester receives any records being made available, in the 
event of partial denial. If the denial was made by a Regional Director 
or by the Freedom of Information Officer of the Office of the General

[[Page 411]]

Counsel, the appeal shall be filed with the General Counsel in 
Washington, DC. If the denial was made by the Solicitor of the 
Authority, the appeal shall be filed with the Chairperson of the Board 
in Washington, DC.
    (2) The Chairperson of the Board or the General Counsel, as 
appropriate, shall, within twenty (20) working days from the time of 
receipt of the appeal, except as provided in Sec.  1411.8, make a 
determination on the appeal and respond in writing to the requester, 
determining whether, or the extent to which, the request shall be 
complied with.
    (i) If the determination is to comply with the request and the 
request is expected to involve an assessed fee in excess of $25.00, the 
determination shall specify or estimate the fee involved and shall 
require prepayment of any charges due in accordance with the provisions 
of paragraph (a) of Sec.  1411.10 before the records are made available.
    (ii) Whenever possible, the determination relating to a request for 
records that involves a fee of less than $25.00 shall be accompanied by 
the requested records. Where this is not possible, the records shall be 
forwarded as soon as possible thereafter, consistent with other 
obligations of the Board or the General Counsel.
    (b) Foreign Service Impasse Disputes Panel. (1) Whenever any request 
for records is denied by the Executive Director of the Federal Service 
Impasses Panel, a written appeal may be filed with the Chairperson of 
the Panel within thirty (30) days after the requester receives 
notification that the request has been denied or after the requester 
receives any records being made available, in the event of partial 
denial.
    (2) The Chairperson of the Panel, within twenty (20) working days 
from the time of receipt of the appeal, except as provided in Sec.  
1411.8, shall make a determination on the appeal and respond in writing 
to the requester, determining whether, or the extent to which, the 
request shall be complied with.
    (i) If the determination is to comply with the request and the 
request is expected to involve an assessed fee in excess of $25.00, the 
determination shall specify or estimate the fee involved and shall 
require prepayment of any charges due in accordance with the provisions 
of paragraph (a) of Sec.  1411.10 before the records are made available.
    (ii) Whenever possible, the determination relating to a request for 
records that involves a fee of less than $25.00 shall be accompanied by 
the requested records. Where this is not possible, the records shall be 
forwarded as soon as possible thereafter, consistent with other 
obligations of the Panel.
    (c) If on appeal the denial of the request for records is upheld in 
whole or in part by the Chairperson of the Board, the General Counsel, 
or the Chairperson of the Panel, as appropriate, the person making the 
request shall be notified of the reasons for the determination, the name 
and title or position of the person responsible for the denial, and the 
provisions for judicial review of that determination under 5 U.S.C. 
552(a)(4). Even though no appeal is filed from a denial in whole or in 
part of a request for records by the person making the request, the 
Chairperson of the Board, the General Counsel or the Chairperson of the 
Panel, as appropriate, may, without regard to the time limit for filing 
of an appeal, sua sponte initiate consideration of a denial under this 
appeal procedure by written notification to the person making the 
request. In such event, the time limit for making the determination 
shall commence with the issuance of such notification.



Sec.  1411.8  Extension of time limits.

    In unusual circumstances as specified in this section, the time 
limits prescribed with respect to initial determinations or 
determinations on appeal may be extended by written notice from the 
officer handling the request (either initial or on appeal) to the person 
making such request setting forth the reasons for such extension and the 
date on which a determination is expected to be dispatched. No such 
notice shall specify a date that would result in a total extension of 
more than ten (10) working days. As used in this section, ``unusual 
circumstances'' means, but only to the extent reasonably necessary to 
the proper processing of the particular request:

[[Page 412]]

    (a) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request;
    (b) The need to search for, collect and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (c) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject matter interest therein.



Sec.  1411.9  Effect of failure to meet time limits.

    Failure by the Board, the General Counsel or the Federal Service 
Impasses Panel either to deny or grant any request under this part 
within the time limits prescribed by the Freedom of Information Act, as 
amended, 5 U.S.C. 552, and these regulations shall be deemed to be an 
exhaustion of the administrative remedies available to the person making 
this request.



Sec.  1411.10  Fees.

    Persons requesting records from the Board, the General Counsel or 
the Panel shall be subject to a charge of fees for the direct cost of 
document search and duplication in accordance with the following 
schedules, procedures and conditions:
    (a) The following fees shall be charged for disclosure of any record 
pursuant to this part:
    (1) Copying of records. Ten cents per copy of each page.
    (2) Clerical searches. $1.25 for each one-quarter hour spent by 
clerical personnel searching for and producing a requested record, 
including time spent copying any record.
    (3) Nonclerical searches. $2.50 for each one-quarter hour spent by 
professional or managerial personnel searching for and producing a 
requested record, including time spent copying any record.
    (4) Forwarding material to destination. Postage, insurance and 
special fees will be charged on an actual cost basis.
    (b) All charges may be waived or reduced whenever it is in the 
public interest to do so.
    (c) Requests for copies of transcripts of hearings should be made to 
the official hearing reporter. However, a person may request a copy of a 
transcript of a hearing from the Board, the Panel or the General 
Counsel, as appropriate. In such instance, the Board, the Panel or the 
General Counsel, as appropriate, may, by agreement with the person 
making the request, make arrangements with commercial firms for required 
services to be charged directly to the requester.
    (d) No charge shall be made for the time spent in resolving legal or 
policy issues or in examining records for the purpose of deleting 
nondisclosable portions thereof.
    (e) Payment of fees shall be made by check or money order payable to 
the U.S. Treasury.



Sec.  1411.11  Compliance with subpoenas.

    No member of the Board or the Panel, or the General Counsel, or 
employee of the Authority, the Federal Service Impasses Panel, or the 
General Counsel shall produce or present any files, documents, reports, 
memoranda, or records of the Board, the Panel or the General Counsel, or 
testify in behalf of any party to any cause pending in any arbitration 
or in any court or before the Board or the Panel, or any other board, 
commission, or administrative agency of the United States, territory, or 
the District of Columbia with respect to any information, facts, or 
other matter to their knowledge in their official capacity or with 
respect to the contents of any files, documents, reports, memoranda, or 
records of the Board, the Panel or the General Counsel, whether in 
answer to a subpoena, subpoena duces tecum, or otherwise, without the 
written consent of the Board, the Panel or the General Counsel, as 
appropriate. Whenever any subpoena, the purpose for which is to adduce 
testimony or require the production of records as described in this 
section, shall have been served on any member of the Board or of the 
Panel or employee of the Authority, the Federal Service Impasses Panel 
or the General

[[Page 413]]

Counsel, such person will, unless otherwise expressly directed by the 
Board, the Panel or the General Counsel, as appropriate, and as provided 
by law, move pursuant to the applicable procedure to have such subpoena 
invalidated on the ground that the evidence sought is privileged against 
disclosure by this rule.



Sec.  1411.12  Annual report.

    On or before March 1 of each calendar year, the Executive Director 
of the Authority shall submit a report of the activities of the Board, 
the General Counsel and the Panel with regard to public information 
requests during the preceding calendar year to the Speaker of the House 
of Representatives and the President of the Senate for referral to the 
appropriate committees of the Congress. The report shall include for 
such calendar year all information required by 5 U.S.C. 552(d) and such 
other information as indicates the efforts of the Board, the General 
Counsel and the Panel to administer fully the provisions of the Freedom 
of Information Act, as amended.



PART 1413_OPEN MEETINGS--Table of Contents



Sec.
1413.1 Purpose and scope.
1413.2 Public observation of meetings.
1413.3 Definition of meeting.
1413.4 Closing of meetings; reasons therefor.
1413.5 Action necessary to close meeting; record of votes.
1413.6 Notice of meetings; public announcement and publication.
1413.7 Transcripts, recordings or minutes of closed meeting; public 
          availability; retention.

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

    Source: 46 FR 45858, Sept. 15, 1981, unless otherwise noted.



Sec.  1413.1  Purpose and scope.

    This part contains the regulations of the Foreign Service Labor 
Relations Board implementing the Government in the Sunshine Act, 5 
U.S.C. 552b.



Sec.  1413.2  Public observation of meetings.

    Every portion of every meeting of the Board shall be open to public 
observation, except as provided in Sec.  1413.4, and Board members shall 
not jointly conduct or dispose of agency business other than in 
accordance with the provisions of this part.



Sec.  1413.3  Definition of meeting.

    For purposes of this part, meeting shall mean the deliberations of 
at least two (2) members of the Board where such deliberations determine 
or result in the joint conduct or disposition of official agency 
business, but does not include deliberations to determine whether a 
meeting should be closed to public observation in accordance with the 
provisions of this part.



Sec.  1413.4  Closing of meetings; reasons therefor.

    (a) Except where the Board determines that the public interest 
requires otherwise, meetings, or portions thereof, shall not be open to 
public observation where the deliberations concern the issuance of a 
subpoena, the Board participation in a civil action or proceeding or an 
arbitration, or the initiation, conduct or disposition by the Board of 
particular cases of formal agency adjudication pursuant to the 
procedures in 5 U.S.C. 554 or otherwise involving a determination on the 
record after opportunity for a hearing, or any court proceedings 
collateral or ancillary thereto.
    (b) Meetings, or portions thereof, may also be closed by the Board, 
except where it determines that the public interest requires otherwise, 
when the deliberations concern matters or information falling within the 
reasons for closing meetings specified in 5 U.S.C. 552b(c)(1) (secret 
matters concerning national defense or foreign policy); (c)(2) (internal 
personnel rules and practices); (c)(3) (matters specifically exempted 
from disclosure by statute); (c)(4) (privileged or confidential trade 
secrets and commercial or financial information); (c)(5) (matters of 
alleged criminal conduct or formal censure); (c)(6) (personal 
information where disclosure would cause a clearly unwarranted invasion 
of personal privacy); (c)(7) (certain materials or information from 
investigatory files compiled for law enforcement purposes); or (c)(9)(B) 
(disclosure would significantly frustrate implementation of a proposed 
agency action).

[[Page 414]]



Sec.  1413.5  Action necessary to close meeting; record of votes.

    A meeting shall be closed to public observation under Sec.  1413.4, 
only when a majority of the members of the Board who will participate in 
the meeting vote to take such action.
    (a) When the meeting deliberations concern matters specified in 
Sec.  1413.4(a), the Board members shall vote at the beginning of the 
meeting, or portion thereof, on whether to close such meeting, or 
portion thereof, to public observation and on whether the public 
interest requires that a meeting which may properly be closed should 
nevertheless be open to public observation. A record of such vote, 
reflecting the vote of each member of the Board, shall be kept and made 
available to the public at the earliest practicable time.
    (b) When the meeting deliberations concern matters specified in 
Sec.  1413.4(b), the Board shall vote on whether to close such meeting, 
or portion thereof, to public observation, and on whether there is a 
public interest which requires that a meeting which may properly be 
closed should nevertheless be open to public observation. The vote shall 
be taken at a time sufficient to permit inclusion of information 
concerning the open or closed status of the meeting in the public 
announcement thereof. A single vote may be taken with respect to a 
series of meetings at which the deliberations will concern the same 
particular matters where such subsequent meetings are scheduled to be 
held within thirty (30) days after the initial meeting. A record of such 
vote, reflecting the vote of each member of the Board, shall be kept and 
made available for the public within one (1) day after the vote is 
taken.
    (c) Whenever any person whose interests may be directly affected by 
deliberations during a meeting, or a portion thereof, requests that the 
Board close that meeting, or portion thereof, to public observation for 
any of the reasons specified in 5 U.S.C. 552b(c)(5) (matters of alleged 
criminal conduct or formal censure), (c)(6) (personal information where 
disclosure would cause a clearly unwarranted invasion of personal 
privacy), or (c)(7) (certain materials or information from investigatory 
files compiled for law enforcement purposes), the Board members 
participating in the meeting, upon request of any one of its members, 
shall vote on whether to close such meeting, or a portion thereof, for 
that reason. A record of such vote, reflecting the vote of each member 
of the Board participating in the meeting, shall be kept and made 
available to the public within one (1) day after the vote is taken.
    (d) After public announcement of a meeting as provided in Sec.  
1413.6, a meeting, or portion thereof, announced as closed may be 
opened, or a meeting, or portion thereof, announced as open may be 
closed only if a majority of the members of the Board who will 
participate in the meeting determine by a recorded vote that Board 
business so requires and that an earlier announcement of the change was 
not possible. The change made and the vote of each member on the change 
shall be announced publicly at the earliest practicable time.
    (e) Before a meeting may be closed pursuant to Sec.  1413.4, the 
Solicitor of the Authority shall certify that in the Solicitor's opinion 
the meeting may properly be closed to public observation. The 
certification shall set forth each applicable exemptive provision for 
such closing. Such certification shall be retained by the agency and 
made publicly available as soon as practicable.



Sec.  1413.6  Notice of meetings; public announcement and publication.

    (a) A public announcement setting forth the time, place and subject 
matter of meetings, or portions thereof, closed to public observation 
pursuant to the provisions of Sec.  1413.4(a), shall be made at the 
earliest practicable time.
    (b) Except for meetings closed to public observation pursuant to the 
provisions of Sec.  1413.4(a), the agency shall make public announcement 
of each meeting to be held at least seven (7) days before the scheduled 
date of the meeting. The announcement shall specify the time, place and 
subject matter of the meeting, whether it is to be open to public 
observation or closed, and the name, address, and phone number of an 
agency official designated to respond to requests for information about 
the meeting. The seven (7) day

[[Page 415]]

period for advance notice may be shortened only upon a determination by 
a majority of the members of the Board who will participate in the 
meeting that agency business requires that such meeting be called at an 
earlier date, in which event the public announcements shall be made at 
the earliest practicable time. A record of the vote to schedule a 
meeting at an earlier date shall be kept and made available to the 
public.
    (c) Within one (1) day after a vote to close a meeting, or any 
portion thereof, pursuant to the provisions of Sec.  1413.4(b), the 
agency shall make publicly available a full written explanation of its 
action closing the meeting, or portion thereof, together with a list of 
all persons expected to attend the meeting and their affiliation.
    (d) If after public announcement required by paragraph (b) of this 
section has been made, the time and place of the meeting are changed, a 
public announcement shall be made at the earliest practicable time. The 
subject matter of the meeting may be changed after the public 
announcement only if a majority of the members of the Board who will 
participate in the meeting determine that agency business so requires 
and that no earlier announcement of the change was possible. When such a 
change in subject matter is approved, a public announcement of the 
change shall be made at the earliest practicable time. A record of the 
vote to change the subject matter of the meeting shall be kept and made 
available to the public.
    (e) All announcements or changes thereto issued pursuant to the 
provisions of paragraphs (b) and (d) of this section or pursuant to the 
provisions of Sec.  1413.5(d) shall be submitted for publication in the 
Federal Register immediately following their release to the public.
    (f) Announcements of meetings made pursuant to the provisions of 
this section shall be made publicly available by the Executive Director 
of the Authority.



Sec.  1413.7  Transcripts, recordings or minutes of closed meeting;
public availability; retention.

    (a) For every meeting, or portion thereof, closed under the 
provisions of Sec.  1413.4, the presiding officer shall prepare a 
statement setting forth the time and place of the meeting and the 
persons present, which statement shall be retained by the agency. For 
each such meeting, or portion thereof, there shall also be maintained a 
complete transcript or electronic recording of the proceedings, except 
that for meetings closed pursuant to Sec.  1413.4(a), the Board may, in 
lieu of a transcript or electronic recording, maintain a set of minutes 
fully and accurately summarizing any action taken, the reasons therefor 
and views thereon, documents considered and the members' vote on each 
roll-call vote.
    (b) The agency shall make promptly available to the public copies of 
transcripts, recordings or minutes maintained as provided in accordance 
with paragraph (a) of this section, except to the extent the items 
therein contain information which the agency determines may be withheld 
pursuant to the provisions of 5 U.S.C. 552b(c). Copies of transcripts or 
minutes, or transcriptions of electronic recordings including the 
indentification of speakers, shall to the extent determined to be 
publicly available, be furnished to any person, subject to the payment 
of duplication costs in accordance with the schedule of fees set forth 
in Sec.  1411.10 of this subchapter and the actual cost of 
transcription.
    (c) The agency shall maintain a complete verbatim copy of the 
transcript, a complete copy of the minutes, or a complete electronic 
recording of each meeting, or portion of a meeting, closed to the 
public, for a period of at least two (2) years after such meeting or 
until one (1) year after the conclusion of any agency proceeding with 
respect to which the meeting or portion was held whichever occurs later.



PART 1414_EX PARTE COMMUNICATIONS--Table of Contents



Sec.
1414.1 Purpose and scope.
1414.2 Unauthorized communications.

[[Page 416]]

1414.3 Definitions.
1414.4 Duration of prohibition.
1414.5 Communications prohibited.
1414.6 Communications not prohibited.
1414.7 Solicitation of prohibited communications.
1414.8 Reporting of prohibited communications; penalties.
1414.9 Penalties and enforcement.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45859, Sept. 15, 1981, unless otherwise noted.



Sec.  1414.1  Purpose and scope.

    This part contains the regulations of the Foreign Service Labor 
Relations Board relating to ex parte communications.



Sec.  1414.2  Unauthorized communications.

    (a) No interested person outside this agency shall, in any Board 
proceeding subject to 5 U.S.C. 557(a), make or knowingly cause to be 
made any prohibited ex parte communication to any Board member or 
Authority employee who is or may reasonably be expected to be involved 
in the decisional process of the proceeding.
    (b) No Board member or Authority employee who is or may reasonably 
be expected to be involved in the decisional process of the proceeding 
relevant to the merits of the proceeding shall: (1) Request any 
prohibited ex parte communications; or (2) make or knowingly cause to be 
made any prohibited ex parte communications about the proceeding to any 
interested person outside this agency relevant to the merits of the 
proceeding.



Sec.  1414.3  Definitions.

    When used in this part:
    (a) The term person outside this agency, to whom the prohibitions 
apply, shall include any individual outside the Board or the Authority, 
labor organization, agency, or other entity, or an agent thereof, and 
the General Counsel or his representative when prosecuting an unfair 
labor practice proceeding before the Board pursuant to 22 U.S.C. 4116.
    (b) The term ex parte communication means an oral or written 
communication not on the public record with respect to which reasonable 
prior notice to all parties is not given, subject however, to the 
provisions of Sec. Sec.  1414.5 and 1414.6.



Sec.  1414.4  Duration of prohibition.

    Unless otherwise provided by specific order of the Board entered in 
the proceeding, the prohibition of Sec.  1414.2 shall be applicable in 
any Board proceeding subject to 5 U.S.C. 557(a) beginning at the time of 
which the proceeding is noticed for hearing, unless the person 
responsible for the communication has knowledge that it will be noticed, 
in which case the prohibitions shall apply beginning at the time of such 
person's acquisition of such knowledge.



Sec.  1414.5  Communications prohibited.

    Except as provided in Sec.  1414.6, ex parte communications 
prohibited by Sec.  1414.2 shall include:
    (a) Such communications, when written, if copies thereof are not 
contemporaneously served by the communicator on all parties to the 
proceeding in accordance with the provisions of part 1429 of this 
chapter; and
    (b) Such communications, when oral, unless advance notice thereof is 
given by the communicator to all parties in the proceeding and adequate 
opportunity afforded to them to be present.



Sec.  1414.6  Communications not prohibited.

    Ex parte communications prohibited by Sec.  1414.2 shall not 
include:
    (a) Oral or written communications which relate solely to matters 
which the Hearing Officer, Regional Director, Administrative Law Judge, 
General Counsel or member of the Board is authorized by law or Board 
rules to entertain or dispose of on an ex parte basis;
    (b) Oral or written requests for information solely with respect to 
the status of a proceeding;
    (c) Oral or written communications which all the parties to the 
proceeding agree, or which the responsible official formally rules, may 
be made on an ex parte basis;
    (d) Oral or written communications proposing settlement or an 
agreement for disposition of any or all issues in the proceeding;

[[Page 417]]

    (e) Oral or written communications which concern matters of general 
significance to the field of labor-management relations or 
administrative practice and which are not specifically related to any 
agency proceeding subject to 5 U.S.C. 557(a); or
    (f) Oral or written communications from the General Counsel to the 
Board when the General Counsel is acting on behalf of the Board under 22 
U.S.C. 4109(d).



Sec.  1414.7  Solicitation of prohibited communications.

    No person shall knowingly and willfully solicit the making of an 
unauthorized ex parte communication by any other person.



Sec.  1414.8  Reporting of prohibited communications; penalties.

    Any Board member or Authority employee who is or may reasonably be 
expected to be involved in the decisional process of the proceeding 
relevant to the merits of the proceeding to whom a prohibited oral ex 
parte communication is attempted to be made, shall refuse to listen to 
the communication, inform the communicator of this rule, and advise such 
person that if the person has anything to say it should be said in 
writing with copies to all parties. Any such Board member or Authority 
employee who is or may reasonably be expected to be involved in the 
decisional process of the proceeding relevant to the merits of the 
proceeding who receives, or who makes or knowingly causes to be made, an 
unauthorized ex parte communication, shall place or cause to be placed 
on the public record of the proceeding: (a) The communication, if it was 
written; (b) a memorandum stating the substance of the communication, if 
it was oral; (c) all written responses to the prohibited communication; 
and (d) memoranda stating the substance of all oral responses to the 
prohibited communication. The Executive Director of the Authority, if 
the proceeding is then pending before the Board, the Administrative Law 
Judge, if the proceeding is then pending before any such judge, or the 
Regional Director, if the proceeding is then pending before a Hearing 
Officer or the Regional Director, shall serve copies of all such 
materials placed on the public record of the proceeding on all other 
parties to the proceeding and on the attorneys of record for the 
parties. Within ten (10) days after the mailing of such copies, any 
party may file with the Executive Director of the Authority, 
Administrative Law Judge, or Regional Director serving the 
communication, as appropriate, and serve on all other parties, a 
statement setting forth facts or contentions to rebut those contained in 
the prohibited communication. All such responses shall be placed in the 
public record of the proceeding, and provision may be made for any 
further action, including reopening of the record, which may be required 
under the circumstances. No action taken pursuant to this provision 
shall constitute a waiver of the power of the Board to impose an 
appropriate penalty under Sec.  1414.9



Sec.  1414.9  Penalties and enforcement.

    (a) Where the nature and circumstances of a prohibited communication 
made by or caused to be made by a party to the proceeding are such that 
the interests of justice and statutory policy may require remedial 
action, the Board, Administrative Law Judge, or Regional Director, as 
appropriate, may issue to the party making the communication a notice to 
show cause, returnable before the Board, Administrative Law Judge, or 
Regional Director, within a stated period not less than seven (7) days 
from the date thereof, why the Board, Administrative Law Judge, or 
Regional Director should not determine that the interests of justice and 
statutory policy require that the claim or interest in the proceeding of 
a party who knowingly makes a prohibited communication or knowingly 
causes a prohibited communication to be made, should be dismissed, 
denied, disregarded or otherwise adversely affected on account of such 
violation.
    (b) Upon notice and hearing, the Board may censure, suspend or 
revoke the privilege of practice before the agency of any person who 
knowingly and willfully makes or solicits the making of a prohibited ex 
parte communication. However, before the Board

[[Page 418]]

institutes formal proceedings under this section, it shall first advise 
the person or persons concerned in writing that it proposes to take such 
action and that they may show cause, within a period to be stated in 
such written advice, but not less than seven (7) days from the date 
thereof, why it should not take such action.
    (c) The Board may censure, or, to the extent permitted by law, 
suspend, dismiss, or institute proceedings for the dismissal of, any 
Board agent who knowingly and willfully violates the prohibitions and 
requirements of this rule.

[[Page 419]]



 SUBCHAPTER C_FOREIGN SERVICE LABOR RELATIONS BOARD AND GENERAL COUNSEL 
                OF THE FEDERAL LABOR RELATIONS AUTHORITY





PART 1420_PURPOSE AND SCOPE--Table of Contents





Sec.  1420.1  Purpose and scope.

    The regulations contained in this subchapter are designed to 
implement the provisions of the Foreign Service Labor-Management 
Relations Statute. They prescribe the procedures and basic principles or 
criteria under which the Foreign Service Labor Relations Board or the 
General Counsel of the Federal Labor Relations Authority, as applicable, 
will:
    (a) Supervise or conduct elections and determine whether a labor 
organization has been selected as an exclusive representative by a 
majority of the employees who cast valid ballots and otherwise 
administer the provisions of the Statute relating to the according of 
exclusive recognition to a labor organization;
    (b) Resolve complaints of alleged unfair labor practices;
    (c) Resolve issues relating to the obligation to bargain in good 
faith;
    (d) Resolve disputes concerning the effects, the interpretation, or 
a claim of breach of collective bargaining agreement, in accord with 22 
U.S.C. 4114; and
    (e) Take any action considered necessary to administer effectively 
the provisions of the Foreign Service Labor-Management Relations 
Statute.

(Authority: 22 U.S.C. 4107(c))

[46 FR 45861, Sept. 15, 1981]



PART 1421_MEANING OF TERMS AS USED IN THIS SUBCHAPTER--Table of Contents



Sec.
1421.1 Foreign Service Labor-Management Relations Statute.
1421.2 Terms defined in section 1002 of the Foreign Service Act of 1980 
          (22 U.S.C. 4102).
1421.3 Exclusive recognition; Unfair labor practices.
1421.4 Department.
1421.5 Regional Director.
1421.6 Executive Director.
1421.7 Hearing Officer.
1421.8 Administrative law judge.
1421.9 Chief Administrative Law Judge.
1421.10 Secretary.
1421.11 Party.
1421.12 Intervenor.
1421.13 Certification.
1421.14 Bargaining unit.
1421.15 Secret ballot.
1421.16 Showing of interest.
1421.17 Grievance Board.
1421.18 Regular and substantially equivalent employment.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45861, Sept. 15, 1981, unless otherwise noted.



Sec.  1421.1  Foreign Service Labor-Management Relations Statute.

    The term Foreign Service Labor-Management Relations Statute means 
chapter 10 of title 1 of the Foreign Service Act of 1980, codified as 
chapter 41 of title 22 of United States Code.



Sec.  1421.2  Terms defined in section 1002 of the Foreign Service Act
of 1980 (22 U.S.C. 4102).

    (a) The terms Authority, Board, collective bargaining, collective 
bargaining agreement conditions of employment, confidential employee, 
dues, exclusive representative, General Counsel, labor organization, 
management official, Panel, and person, as used herein shall have the 
meaning set forth in 22 U.S.C. 4102.
    (b) The term Assistant Secretary means the Assistant Secretary of 
Labor for Labor-Management Relations.



Sec.  1421.3  Exclusive recognition; Unfair labor practices.

    (a) Exclusive Recognition has the meaning as set forth in 22 U.S.C. 
4111; and
    (b) Unfair labor practices has the meaning as set forth in 22 U.S.C. 
4115.



Sec.  1421.4  Department.

    Department means the Department of State, except that with reference 
to the exercise of functions under this Act

[[Page 420]]

with respect to another agency authorized by law to utilize the Foreign 
Service personnel system, such term means that other agency.



Sec.  1421.5  Regional Director.

    Regional Director means the Director of a region of the Authority 
with geographical boundaries as fixed by the Authority.



Sec.  1421.6  Executive Director.

    Executive Director means the Executive Director of the Authority.



Sec.  1421.7  Hearing Officer.

    Hearing Officer means the individual designated to conduct a hearing 
involving a question concerning the appropriateness of a unit or such 
other matters as may be assigned.



Sec.  1421.8  Administrative law judge.

    Administrative law judge means the Chief Administrative Law Judge or 
any administrative law judge designated by the Chief Administrative Law 
Judge to conduct a hearing in cases under 22 U.S.C. 4115, and such other 
matters as may be assigned.



Sec.  1421.9  Chief Administrative Law Judge.

    Chief Administrative Law Judge means the Chief Administrative Law 
Judge of the Authority.



Sec.  1421.10  Secretary.

    Secretary means the Secretary of State, except that (subject to 22 
U.S.C. 3921) with reference to the exercise of functions under the 
Foreign Service Act of 1980 with respect to any agency authorized by law 
to utilize the Foreign Service personnel system, such term means the 
head of that agency.



Sec.  1421.11  Party.

    Party means (a) any person: (1) Filing a charge, petition, or 
request; (2) named in a charge, complaint, petition, or request; (3) 
whose intervention in a proceeding has been permitted or directed by the 
Board; (4) who participated as a party (i) in a matter that was decided 
by an agency head under 22 U.S.C. 4105 or (ii) in a matter where action 
by the Grievance Board was taken; and (b) the General Counsel, or the 
General Counsel's designated representative, in appropriate proceedings.



Sec.  1421.12  Intervenor.

    Intervenor means a party in a proceeding whose intervention has been 
permitted or directed by the Authority, its agents or representatives.



Sec.  1421.13  Certification.

    Certification means the determination by the Board, its agents or 
representatives, of the results of an election.



Sec.  1421.14  Bargaining unit.

    Bargaining unit has the meaning as set forth in 22 U.S.C. 4112 for 
the purpose of exclusive recognition under 22 U.S.C. 4111, and for 
purposes of allotments to representatives under 22 U.S.C. 4118.



Sec.  1421.15  Secret ballot.

    Secret ballot means the expression by ballot, voting machine or 
otherwise, but in no event by proxy, of a choice with respect to any 
election or vote taken upon any matter, which is cast in such a manner 
that the person expressing such choice cannot be identified with the 
choice expressed, except in that instance in which any determinative 
challenged ballot is opened.



Sec.  1421.16  Showing of interest.

    Showing of interest means evidence of membership in a labor 
organization; employees' signed and dated authorization cards or 
petitions authorizing a labor organization to represent them for 
purposes of exclusive recognition; allotment of dues forms executed by 
an employee and the labor organization's authorized official; current 
dues records; and existing or recently expired agreement; current 
exclusive recognition or certification; employees' signed and dated 
petitions or cards indicating that they no longer desire to be 
represented for the purposes of exclusive recognition by the currently 
recognized or certified labor organization; or other evidence approved 
by the Authority.

[[Page 421]]



Sec.  1421.17  Grievance Board.

    Grievance Board means the Foreign Service Grievance Board 
established under 22 U.S.C. 4135.



Sec.  1421.18  Regular and substantially equivalent employment.

    Regular and substantially equivalent employment means employment 
that entails substantially the same amount of work, rate of pay, hours, 
working conditions, location of work, and seniority rights if any, of an 
employee prior to the cessation of employment in a Department because of 
any unfair labor practice under 22 U.S.C. 4115.



PART 1422_REPRESENTATION PROCEEDINGS--Table of Contents



Sec.
1422.1 Who may file petitions.
1422.2 Contents of petition; filing and service of petition; challenges 
          to petition.
1422.3 Timeliness of petition.
1422.4 Investigation of petition and posting of notice of petition; 
          action by Regional Director.
1422.5 Intervention.
1422.6 Withdrawal, dismissal or deferral of petitions; consolidation of 
          cases; denial of intervention; review of action by Regional 
          Director.
1422.7 Agreement for consent election.
1422.8 Notice of hearing; contents; attachments; procedures.
1422.9 Conduct of hearing.
1422.10 Motions.
1422.11 Rights of the parties.
1422.12 Duties and powers of the Hearing Officer.
1422.13 Objections to conduct of hearing.
1422.14 Filing of briefs.
1422.15 Transfer of case to the Board; contents of record.
1422.16 Decision.
1422.17 Election procedure; request for authorized representation 
          election observers.
1422.18 Challenged ballots.
1422.19 Tally of ballots.
1422.20 Certification; objections to election; determination on 
          objections and challenged ballots.
1422.21 Preferential voting.
1422.22 Inconclusive elections.

    Authority: 22 U.S.C. 4107.

    Source: 46 FR 45862, Sept. 15, 1981, unless otherwise noted.



Sec.  1422.1  Who may file petitions.

    (a) A petition for exclusive recognition may be filed by a labor 
organization requesting an election to determine whether it should be 
recognized as the exclusive representative of employees of the 
Department in the unit described in 22 U.S.C. 4112 or should replace 
another labor organization as the exclusive representative of employees 
in such unit.
    (b) A petition for any election to determine if a labor organization 
should cease to be the exclusive representative because it does not 
represent a majority of employees in the unit described in 22 U.S.C. 
4112 may be filed by an employee or employees or an individual acting on 
behalf of any employee(s).
    (c) A petition seeking to clarify a matter relating to 
representation may be filed by the Department where the Department has a 
good faith doubt, based on objective considerations, that the currently 
recognized or certified labor organization represents a majority of the 
employees in the unit described in 22 U.S.C. 4112.
    (d) A petition for clarification of the unit described in 22 U.S.C. 
4112 or for amendment of recognition or certification may be filed by 
the Department or by a labor organization which is currently recognized 
by the Department as the exclusive representative.
    (e) A petition for determination of eligibility for dues allotment 
may be filed by a labor organization in accordance with 22 U.S.C. 
4118(c).



Sec.  1422.2  Contents of petition; filing and service of petition; 
challenges to petition.

    (a) Petition for exclusive recognition. A petition by a labor 
organization for exclusive recognition shall be submitted on a form 
prescribed by the Board and shall contain the following:
    (1) The name of the Department, its address, telephone number, and 
the persons to contact and their titles, if known;
    (2) A description of the unit described in 22 U.S.C. 4112. Such 
description shall indicate the classifications of employees sought to be 
included and those sought to be excluded and the approximate number of 
employees in the unit;

[[Page 422]]

    (3) Name, address, and telephone number of the recognized or 
certified representative, if any, and the date of such recognition or 
certification and the expiration date of any applicable agreement, if 
known to the peititioner;
    (4) Names, addresses, and telephone numbers of any other interested 
labor organizations, if known to the petitioner;
    (5) Name and affiliation, if any, of the petitioner and its address 
and telephone number;
    (6) A statement that the petitioner has submitted to the Department 
and to the Assistant Secretary a roster of its officers and 
representatives, a copy of its constitution and bylaws, and a statement 
of its objectives;
    (7) A declaration by such person signing the petition, under the 
penalties of the Criminal Code (18 U.S.C. 1001), that its contents are 
true and correct to the best of such person's knowledge and belief;
    (8) The signature of the petitioner's representative, including such 
person's title and telephone number; and
    (9) The petition shall be accompanied by a showing of interest of 
not less than thirty percent (30%) of the employees in the unit 
described in 22 U.S.C. 4112 and an alphabetical list of names 
constituting such showing.
    (b) Department petition seeking clarification of a matter relating 
to representation; employee petition for an election to determine 
whether a labor organization should cease to be an exclusive 
representative. (1) A petition by the Department shall be submitted on a 
form prescribed by the Board and shall contain the information set forth 
in paragraph (a) of this section, except paragraphs (a) (6), and (9), 
and a statement that the Department has a good faith doubt, based on 
objective considerations, that the currently recognized or certified 
labor organization represents a majority of the employees in the unit 
described in 22 U.S.C. 4112. Attached to the petition shall be a 
detailed explanation of the reasons supporting the good faith doubt.
    (2) A petition by any employee or employees or an individual acting 
on behalf of any employee(s) shall contain the information set forth in 
paragraph (a) of this section, except paragraphs (a) (6) and (9), and it 
shall be accompanied by a showing of interest of not less than thirty 
percent (30%) of the employees in the unit indicating that the employees 
no longer desire to be represented for the purposes of exclusive 
recognition by the currently recognized or certified labor organization 
and an alphabetical list of names constituting such showing.
    (c) Petition for clarification of unit or for amendment of 
recognition or certification. A petition for clarification of unit or 
for amendment of recognition or certification shall be submitted on a 
form prescribed by the Board and shall contain the information required 
by paragraph (a) of this section, except paragraphs (a) (2), (6) and 
(9), and shall set forth:
    (1) A description of the unit and the date of recognition or 
certification;
    (2) The proposed clarification or amendment of the recognition or 
certification; and
    (3) A statement of reasons why the proposed clarification or 
amendment is requested.
    (d) Petition for determination of eligibility for dues allotment. A 
petition for determination of eligibility for dues allotment in the unit 
may be filed if there is no exclusive representative. The petition shall 
be submitted on a form prescribed by the Board and shall contain the 
information required in paragraphs (a) (1), (4), (5), (6), (7), and (8) 
of this section, and shall set forth:
    (1) A description of the unit described in 22 U.S.C. 4112. Such 
description shall indicate the classifications of employees sought to be 
included and those sought to be excluded and the approximate number of 
employees in the unit; and
    (2) The petition shall be accompanied by a showing of membership in 
the petitioner of not less than ten percent (10%) of the employees in 
the unit and an alphabetical list of names constituting such showing.
    (e) Filing and service of petition and copies. (1) A petition for 
exclusive recognition, for an election to determine if a labor 
organization should cease to be the exclusive representative, for 
clarification of unit, for amendment of

[[Page 423]]

recognition or certification, or for determination of eligibility for 
dues allotment, filed pursuant to paragraphs (a), (b), (c), or (d) of 
this section respectively, shall be filed with the Regional Director for 
the region in which the unit exists, or, if the claimed unit exists in 
two or more regions, the petition shall be filed with the Regional 
Director for the region in which the affected employees are located.
    (2) An original and four (4) copies of a petition shall be filed, 
together with a statement of any other relevant facts and of all 
correspondence relating to the question concerning representation.
    (3) Copies of the petition together with any attachments shall be 
served by the petitioner on all known interested parties, and a written 
statement of such service shall be filed with the Regional Director: 
Provided, however, That the showing of interest or the showing of 
membership submitted with a petition filed pursuant to paragraphs (a), 
(b)(2), (d), or (h) of this section shall not furnished to any other 
person.
    (f) Adequacy and validity of showing of interest or showing of 
membership. (1) The Regional Director shall determine the adequacy of 
the showing of interest or the showing of membership administratively, 
and such determination shall not be subject to collateral attack at a 
unit or representation hearing. If the petition is dismissed or the 
intervention sought pursuant to Sec.  1422.5 is denied, a request for 
review of such dismissal or denial may be filed with the Board in 
accordance with the procedures set forth in Sec.  1422.6(d).
    (2) Any party challenging the validity of any showing of interest or 
showing of membership of a petitioner, or a cross-petitioner filing 
pursuant to Sec.  1422.5(b), or of a labor organization seeking to 
intervene pursuant to Sec.  1422.5, must file its challenge with the 
Regional Director, with respect to the petitioner or a cross-petitioner, 
within twenty (20) days after the initial date of posting of the notice 
of petition as provided in Sec.  1422.4(a), and with respect to any 
labor organization seeking to intervene, within twenty (20) days of 
service of a copy of the request for intervention on the challenging 
party. The challenge shall be supported with evidence including signed 
statements of employees and any other written evidence. The Regional 
Director shall investigate the challenge and thereafter shall take such 
action as the Regional Director deems appropriate which shall be final 
and not subject to review by the Board, unless the petition is dismissed 
or the intervention is denied on the basis of the challenge. Such 
request for review shall be filed with the Board in accordance with the 
procedures set forth in Sec.  1422.6(d).
    (g) Challenge to status of a labor organization. Any party 
challenging the status of a labor organization under chapter 41 of title 
22 of the United States Code must file its challenge with the Regional 
Director and support the challenge with evidence. With respect to the 
petitioner or a cross-petitioner filing pursuant to Sec.  1422.5(b), 
such a challenge must be filed within twenty (20) days after the initial 
date of posting of the notice of petition as provided in Sec.  
1422.4(a), and with respect to a labor organization seeking to intervene 
pursuant to Sec.  1422.5, within twenty (20) days after service of a 
copy of the request for intervention on the challenging party. The 
Regional Director shall investigate the challenge and thereafter shall 
take such action as the Regional Director deems appropriate, which shall 
be subject to review by the Board. Such request for review shall be 
filed with the Board in accordance with the procedures set forth in 
Sec.  1422.6(d).



Sec.  1422.3  Timeliness of petition.

    (a) When there is no certified exclusive representative of the 
employees, a petition will be considered timely filed provided a valid 
election has not been held within the preceding twelve (12) month period 
in the unit described in 22 U.S.C. 4112.
    (b) When there is a certified exclusive representative of the 
employees, a petition will not be considered timely if filed within 
twenty-four (24) months after the certification as the exclusive 
representative of employees in unit described in 22 U.S.C. 4112, unless 
a signed and dated collective bargaining agreement covering the unit has 
been entered into in which case paragraphs

[[Page 424]]

(c) and (d) of this section shall be applicable.
    (c) When a collective bargaining agreement covering the unit 
described in 22 U.S.C. 4112 has been signed and dated by the Department 
and the incumbent exclusive representative, a petition for exclusive 
recognition or other election petition will not be considered timely if 
filed during the period of review by the Secretary as set forth in 22 
U.S.C. 4113(f), absent unusual circumstances.
    (d) A petition for exclusive recognition or other election petition 
will be considered timely when filed as follows:
    (1) Not more than one hundred and five (105) days and not less than 
(60) days prior to the expiration date of a collective bargaining 
agreement having a term of three (3) years or less from the date it 
became effective.
    (2) Not more than one hundred and five (105) days and not less than 
sixty (60) days prior to the expiration of the initial three (3) year 
period of a collective bargaining agreement having a term of more than 
three (3) years from the date it became effective, and any time after 
the expiration of the initial three (3) year period of such a collective 
bargaining agreement; and
    (3) Any time when unusual circumstances exist which substantially 
affect the unit or the majority representation.
    (e) When a collective bargaining agreement having a term of three 
(3) years or less is in effect between the Department and the incumbent 
exclusive representative, and a petition has been filed challenging the 
representation status of the incumbent exclusive representative and the 
petition is subsequently withdrawn or dismissed less than sixty (60) 
days prior to the expiration date of that collective bargaining 
agreement, or any time thereafter, the Department and incumbent 
exclusive representative shall be afforded a ninety (90) day period from 
the date the withdrawal is approved or the petition is dismissed free 
from rival claim within which to consummate a collective bargaining 
agreement: Provided, however, That the provisions of this paragraph 
shall not be applicable when any other petition is pending which has 
been filed pursuant to paragraph (d)(1) of this section.
    (f) When an extension of a collective bargaining agreement having a 
term of three (3) years or less has been signed more than sixty (60) 
days before its expiration date, such extension shall not serve as a 
basis for the denial of a petition submitted in accordance with the time 
limitations provided herein.
    (g) Collective bargaining agreements which go into effect 
automatically pursuant to 22 U.S.C. 4113(f) and which do not contain the 
date on which the agreement became effective shall not constitute a bar 
to an election petition.
    (h) A petitioner who withdraws a petition after the issuance of a 
notice of hearing or after the approval of an agreement for an election, 
shall be barred from filing another petition for the unit described in 
22 U.S.C. 4112 for six (6) months, unless a withdrawal request has been 
received by the Regional Director not later than three (3) days before 
the date of the hearing.
    (i) The time limits set forth in this section shall not apply to a 
petition for clarification of unit or for amendment of recognition or 
certification, or to a petition for dues allotment.



Sec.  1422.4  Investigation of petition and posting of notice of petition; 
action by Regional Director.

    (a) Upon the request of the Regional Director, after the filing of a 
petition, the Department shall post copies of a notice to all employees 
in places where notices are normally posted affecting the employees in 
the unit described in 22 U.S.C. 4112.
    (b) Such notice shall set forth:
    (1) The name of the petitioner;
    (2) The description of the unit;
    (3) If appropriate, the proposed clarification of unit or the 
proposed amendment of recognition or certification; and
    (4) A statement that all interested parties are to advise the 
Regional Director in writing of their interest and position within 
twenty (20) days after the date of posting of such notice: Provided, 
however, That the notice in a petition for determination of eligibility

[[Page 425]]

for dues allotment shall contain the information required in paragraphs 
(a) (1), (2), and (4) of this section.
    (c) The notice shall remain posted for a period of twenty (20) days. 
The notice shall be posted conspicuously and shall not be covered by 
other material, altered or defaced.
    (d) The Department shall furnish the Regional Director and all known 
interested parties with the following:
    (1) Names, addresses and telephone numbers of all labor 
organizations known to represent any of the employees in the unit 
described in 22 U.S.C. 4112;
    (2) A copy of all relevant correspondence;
    (3) A copy of existing or recently expired agreement(s) covering any 
of the employees described in the petition;
    (4) A current alphabetized list of employees included in the unit, 
together with their job classifications; and
    (5) A current alphabetized list of employees described in the 
petition as excluded from the unit, together with their job 
classifications.
    (e) The parties are expected to meet as soon as possible after the 
expiration of the twenty (20) day posting period of the notice of 
petition as provided in paragraph (a) of this section and use their best 
efforts to secure agreement on the unit.
    (f) The Regional Director shall make such investigation as the 
Regional Director deems necessary and thereafter shall take action which 
may consist of the following, as appropriate:
    (1) Approve an agreement for consent election in the unit as 
provided under Sec.  1422.7;
    (2) Approve a withdrawal request;
    (3) Dismiss the petition; or
    (4) Issue a notice of hearing.
    (g) In processing a petition for clarification of unit or for 
amendment of recognition or certification, or dues allotment, where 
appropriate, the Regional Director shall prepare and serve a report and 
findings upon all parties to the proceedings and shall state therein, 
among other pertinent matters, the Regional Director's conclusions and 
the action contemplated. A party may file with the Board a request for 
review of such action of the Regional Director in accordance with the 
procedures set forth in Sec.  1422.6(d). If no request for review is 
filed, or if one is filed and denied, the Regional Director shall take 
such action as may be appropriate, which may include issuing a 
clarification of unit or an amendment of recognition or certification, 
or determination of eligibility for dues allotment.
    (h) A determination by the Regional Director to issue a notice of 
hearing shall not be subject to review by the Board.



Sec.  1422.5  Intervention.

    (a) No labor organization will be permitted to intervene in any 
proceeding involving a petition filed pursuant to Sec.  1422.2 (a) or 
(b) unless it has submitted to the Regional Director a showing of 
interest of ten percent (10%) or more of the employees in the unit 
described in 22 U.S.C. 4112 together with an alphabetical list of names 
constituting such showing, or has submitted a current or recently 
expired agreement with the Department covering any of the employees 
involved, or has submitted evidence that it is currently recognized or 
certified exclusive representative of any of the employees involved: 
Provided, however, That an incumbent exclusive representative shall be 
deemed to be an intervenor in the proceeding unless it serves on the 
Regional Director a written disclaimer of any representation interest 
for the employees involved: Provided, further, That any such incumbent 
exclusive representative that declines to sign an agreement for consent 
election because of a disagreement on the matters contained in Sec.  
1422.7(c) as decided by the Regional Director, or fails to appear at a 
hearing held pursuant to Sec.  1422.9, shall be denied its status as an 
intervenor.
    (b) No labor organization may participate to any extent in any 
representation proceeding unless it has notified the Regional Director 
in writing, accompanied by its showing of interest as specified in 
paragraph (a) of this section, of its desire to intervene within twenty 
(20) days after the initial date of posting of the notice of petition as 
provided in Sec.  1422.4(a), unless good

[[Page 426]]

cause is shown for extending the period. A copy of the request for 
intervention filed with the Regional Director, excluding the showing of 
interest, shall be served on all known interested parties, and a written 
statement of such service should be filed with the Regional Director: 
Provided, however, That an incumbent exclusive representative shall be 
deemed to be an intervenor in the proceeding in accordance with 
paragraph (a) of this section.
    (c) Any labor organization seeking to intervene in a proceeding 
involving a petition for determination of eligibility for dues allotment 
filed pursuant to Sec.  1422.2(d) may intervene solely on the basis it 
claims to be the exclusive representative of some or all the employees 
specified in the petition and shall submit to the Regional Director a 
current or recently expired agreement with the Department covering any 
of the employees involved, or evidence that it is the currently 
recognized or certified exclusive representative of any of the employees 
involved.
    (d) Any labor organization seeking to intervene must submit to the 
Regional Director a statement that it has submitted to the Department 
and to the Assistant Secretary a roster of its officers and 
representatives, a copy of its constitution and bylaws, and a statement 
of its objectives.
    (e) The Regional Director may grant intervention to a labor 
organization in a proceeding involving a petition for clarification of 
unit or a petition for amendment of recognition or certification filed 
pursuant to Sec.  1422.2(c), or a petition for determination of 
eligibility for dues allotment filed pursuant to Sec.  1422.2(d), based 
on a showing that the proposed clarification, amendment or dues 
allotment affects that labor organizations's existing exclusively 
recognized unit(s) in that it would cover one or more employees who are 
included in such unit(s).



Sec.  1422.6  Withdrawal, dismissal or deferral of petitions; 
consolidation of cases; denial of intervention; review of action by
Regional Director.

    (a) If the Regional Director determines, after such investigation as 
the Regional Director deems necessary, that the petition has not been 
timely filed, the unit is not as described in 22 U.S.C. 4114, the 
petitioner has not made a sufficient showing of interest, the petition 
is not otherwise actionable, or an intervention is not appropriate, the 
Regional Director may request the petitioner or intervenor to withdraw 
the petition or the request for intervention. In the absence of such 
withdrawal within a reasonable period of time, the Regional Director may 
dismiss the petition or deny the request for intervention.
    (b) If the Regional Director determines, after investigation, that a 
valid issue has been raised by a challenge under Sec.  1422.2 (f) or 
(g), the Regional Director may take action which may consist of the 
following, as appropriate:
    (1) Request the petitioner or intervenor to withdraw the petition or 
the request for intervention;
    (2) Dismiss the petition and/or deny the request for intervention if 
a withdrawal request is not submitted within a reasonable period of 
time;
    (3) Defer action on the petition or request for intervention until 
such time as issues raised by the challenges have been resolved pursuant 
to this part; or
    (4) Consolidate such issues with the representation matter for 
resolution of all issues.
    (c) If the Regional Director dismisses the petition and/or denies 
the request for intervention, the Regional Director shall serve on the 
petitioner or the party requesting intervention a written statement of 
the grounds for the dismissal or the denial, and serve a copy of such 
statement on the Department, and on the petitioner and any intervenors, 
as appropriate.
    (d) The petitioner or party requesting intervention may obtain a 
review of such dismissal and/or denial by filing a request for review 
with the Board within twenty-five (25) days after service of the notice 
of such action. Copies of the request for review shall be served on the 
Regional Director and the other parties, and a statement of service 
shall be filed with the request for review. Requests for extensions of 
time shall be in writing and received by the Board not later than five 
(5) days before the date the request for review is due. The request for 
review shall contain a complete statement setting

[[Page 427]]

forth facts and reasons upon which the request is based. Any party may 
file an opposition to a request for review with the Board within ten 
(10) days after service of the request for review. Copies of the 
opposition to the request for review shall be served on the Regional 
Director and the other parties, and a statement of service shall be 
filed with the opposition to the request for review. The Board may issue 
a decision or ruling affirming or reversing the Regional Director in 
whole or in part or making any other disposition of the matter as it 
deems appropriate.



Sec.  1422.7  Agreement for consent election.

    (a) All parties desiring to participate in an election being 
conducted pursuant to this section or Sec.  1422.16, including 
intervenors who have met the requirements of Sec.  1422.5, must sign an 
agreement providing for such an election on a form prescribed by the 
Board. An original and one (1) copy of the agreement shall be filed with 
the Regional Director.
    (b) The Department, a petitioner, and any intervenors who have 
complied with the requirements set forth in Sec.  1422.5 may agree that 
a secret ballot election shall be conducted among the employees in the 
unit to determine whether the employees desire to be represented for 
purposes of exclusive recognition by any or none of the labor 
organizations involved.
    (c) The parties shall agree on the eligibility period for 
participation in the election, the date(s), hour(s), and place(s) of the 
election, the designations on the ballot and other related election 
procedures.
    (d) In the event that the parties cannot agree on the matters 
contained in paragraph (c) of this section, the Regional Director, 
acting on behalf of the Board, shall decide these matters without 
prejudice to the right of a party to file objections to the procedural 
conduct of the election under Sec.  1422.20(b).
    (e) If the Regional Director approves the agreement, the election 
shall be conducted by the Department, as appropriate, under the 
supervision of the Regional Director, in accordance with Sec.  1422.17.
    (f) Any qualified intervenor who refuses to sign an agreement for an 
election may express its objections to the agreement in writing to the 
Regional Director. The Regional Director, after careful consideration of 
such objections, may approve the agreement or take such other action as 
the Regional Director deems appropriate.



Sec.  1422.8  Notice of hearing; contents; attachments; procedures.

    (a) The Regional Director may cause a notice of hearing to be issued 
involving any matters related to the petition.
    (b) The notice of hearing shall be served on all interested parties 
and shall include:
    (1) The name of the Department, petitioner, and intervenors, if any;
    (2) A statement of the time and place of the hearing, which shall be 
not less than twenty (20) days after service of the notice of hearing, 
except in extraordinary circumstances;
    (3) A statement of the nature of the hearing; and
    (4) A statement of the authority and jurisdiction under which the 
hearing is to be held.
    (c) A copy of the petition shall be attached to the notice of 
hearing.
    (d) Hearings on matters related to the petition pursuant to 
paragraph (a) of this section shall be conducted by a Hearing Officer in 
accordance with Sec. Sec.  1422.9 through 1422.15.



Sec.  1422.9  Conduct of hearing.

    (a) Hearings shall be conducted by a Hearing Officer and shall be 
open to the public unless otherwise ordered by the Hearing Officer. At 
any time another Hearing Officer may be substituted for the Hearing 
Officer previously presiding. It shall be the duty of the Hearing 
Officer to inquire fully into all matters in issue and the Hearing 
Officer shall obtain a full and complete record upon which the Board can 
make an appropriate decision. An official reporter shall make the only 
official transcript of such proceedings. Copies of the official 
transcript may be examined in the appropriate regional office during 
normal working hours. Requests by parties for copies of transcripts 
should be made to the official hearing reporter.

[[Page 428]]

    (b) Hearings under this section are considered investigatory and not 
adversary. Their purpose is to develop a full and complete factual 
record. The rules of relevancy and materiality are paramount; there are 
no burdens of proof and the technical rules of evidence do not apply.



Sec.  1422.10  Motions.

    (a) General. (1) A motion shall state briefly the order or relief 
sought and the grounds for the motion: Provided, however, That a motion 
to intervene will not be entertained by the Hearing Officer. 
Intervention will be permitted only to those who have met the 
requirements of Sec.  1422.5.
    (2) A motion prior to, and after a hearing and any response thereto, 
shall be made in writing. A response shall be filed within five (5) days 
after service of the motion. An original and two (2) copies of such 
motion and any response thereto shall be filed and copies shall be 
served on the parties and the Regional Director. A statement of such 
service shall be filed with the original.
    (3) During a hearing a motion may be made and responded to orally on 
the record.
    (4) The right to make motions, or to make objections to rulings on 
motions, shall not be deemed waived by participation in the proceeding.
    (5) All motions, rulings, and orders shall become part of the 
record.
    (b) Filing of motions. (1) Motions and responses thereto prior to a 
hearing shall be filed with the Regional Director. During the hearing 
motions shall be made to the Hearing Officer.
    (2) After the transfer of the case to the Board, except as otherwise 
provided, motions and responses thereto shall be filed with the Board: 
Provided, That following the close of a hearing, motions to correct the 
transcript should be filed with the Hearing Officer within ten (10) days 
after the transcript is received in the regional office.
    (c) Rulings on motions. (1) Regional Directors may rule on all 
motions filed with them, or they may refer them to the Hearing Officer. 
A ruling by a Regional Director granting a motion to dismiss a petition 
may be reviewed by the Board upon the filing by the petitioner of a 
request for review pursuant to Sec.  1422.6(d).
    (2) Hearing Officers shall rule, either orally on the record or in 
writing, on all motions made at the hearing or referred to them, except 
that a motion to dismiss a petition shall be referred for appropriate 
action at such time as the record is considered by the Regional Director 
or the Board. Rulings by a Hearing Officer reduced to writing shall be 
served on the parties.
    (3) The Board shall consider the rulings by the Regional Director 
and the Hearing Officer when the case is transferred to it for decision.



Sec.  1422.11  Rights of the parties.

    (a) A party shall have the right to appear at any hearing in person, 
by counsel, or by other representative, and to examine and cross-examine 
witnesses, and to introduce into the record documentary or other 
relevant evidence. Two (2) copies of documentary evidence shall be 
submitted and a copy furnished to each of the other parties. 
Stipulations of fact may be introduced in evidence with respect to any 
issue.
    (b) A party shall be entitled, upon request, to a reasonable period 
at the close of the hearing for oral argument, which shall be included 
in the stenographic report of the hearing. Such oral argument shall not 
preclude a party from filing a brief under Sec.  1422.14.



Sec.  1422.12  Duties and powers of the Hearing Officer.

    It shall be the duty of Hearing Officers to inquire fully into the 
facts as they relate to the matters before them. With respect to cases 
assigned to them between the time they are designated and the transfer 
of the case to the Board, Hearing Officers shall have the authority to:
    (a) Grant requests for subpenas pursuant to Sec.  1429.7 of this 
subchapter;
    (b) Rule upon offers of proof and receive relevant evidence and 
stipulations of fact;
    (c) Take or cause depositions or interrogatories to be taken 
whenever the ends of justice would be served thereby;
    (d) Limit lines of questioning or testimony which are immaterial, 
irrelevant or unduly repetitious;

[[Page 429]]

    (e) Regulate the course of the hearing and, if appropriate, exclude 
from the hearing persons who engage in misconduct;
    (f) Strike all related testimony of witnesses refusing to answer any 
questions ruled to be proper;
    (g) Hold conferences for the settlement or simplification of the 
issues by consent of the parties or upon the Hearing Officer's own 
motion;
    (h) Dispose of procedural requests, motions, or similar matters, 
which shall be made part of the record of the proceedings, including 
motions referred to the Hearing Officer by the Regional Director and 
motions to amend petitions;
    (i) Call and examine and cross-examine witnesses and introduce into 
the record documentary or other evidence;
    (j) Request the parties at any time during the hearing to state 
their respective positions concerning any issue in the case or theory in 
support thereof;
    (k) Continue the hearing from day-to-day, or adjourn it to a later 
date or to a different place, by announcement thereof at the hearing or 
by other appropriate notice;
    (l) Rule on motions to correct the transcript which are received 
within ten (10) days after the transcript is received in the regional 
office; and
    (m) Take any other action necessary under this section and not 
prohibited by the regulations in this subchapter.



Sec.  1422.13  Objections to conduct of hearing.

    Any objection to the introduction of evidence may be stated orally 
or in writing and shall be accompanied by a short statement of the 
grounds of such objection, and be included in the record. No such 
objection shall be deemed waived by further participation in the 
hearing. Automatic exceptions will be allowed to all adverse rulings.



Sec.  1422.14  Filing of briefs.

    A party desiring to file a brief with the Board shall file the 
original and three (3) copies within thirty (30) days from the close of 
the hearing. Copies thereof shall be served on all other parties to the 
proceeding. Requests for additional time in which to file a brief under 
authority of this section shall be made to the Regional Director, in 
writing, and copies thereof shall be served on the other parties and a 
statement of such service shall be filed with the Regional Director. 
Requests for extension of time shall be in writing and received not 
later than five (5) days before the date such briefs are due. No reply 
brief may be filed in any proceeding except by special permission of the 
Board.



Sec.  1422.15  Transfer of case to the Board; contents of record.

    Upon the close of the hearing the case is transferred automatically 
to the Board. The record of the proceeding shall include the petition, 
notice of hearing, service sheet, motions, rulings, orders, official 
transcript of the hearing with any corrections thereto, stipulations, 
objections, depositions, interrogatories, exhibits, documentary 
evidence, and any briefs or other documents submitted by the parties.



Sec.  1422.16  Decision.

    The Board will issue a decision directing an election or dismissing 
the petition, or making other disposition of the matters before it.



Sec.  1422.17  Election procedure; request for authorized representation
election observers.

    This section governs all elections conducted under the supervision 
of the Regional Director pursuant to Sec.  1422.7 or Sec.  1422.16. The 
Regional Director may conduct elections in unusual circumstances in 
accordance with terms and conditions set forth in the notice of 
election.
    (a) Appropriate notices of election shall be posted by the 
Department. Such notices shall set forth the details and procedures for 
the election, the unit described in 22 U.S.C. 4112, the eligibility 
period, the date(s), hour(s) and place(s) of the election and shall 
contain a sample ballot.
    (b) The reproduction of any document purporting to be a copy of the 
official ballot, other than one completely unaltered in form and content 
and clearly marked ``sample'' on its face,

[[Page 430]]

which suggests either directly or indirectly to employees that the Board 
endorses a particular choice, may constitute grounds for setting aside 
an election upon objections properly filed.
    (c) All elections shall be by secret ballot. An exclusive 
representative shall be chosen by a majority of the valid ballots cast.
    (d) Whenever two or more labor organizations are included as choices 
in an election, any intervening labor organization may request the 
Regional Director to remove its name from the ballot. The request must 
be in writing and received not later than seven (7) days before the date 
of the election. Such request shall be subject to the approval of the 
Regional Director whose decision shall be final.
    (e) In a proceeding involving an election to determine if a labor 
organization should cease to be the exclusive representative filed by 
the Department or any employee or employees or an individual acting on 
behalf of any employee(s) under Sec.  1422.2(b), an organization 
currently recognized or certified may not have its name removed from the 
ballot without having served the written request submitted pursuant to 
paragraph (d) of this section on all parties. Such request shall contain 
an express disclaimer of any representation interest among the employees 
in the unit.
    (f) Any party may be represented at the polling place(s) by 
observers of its own selection, subject to such limitations as the 
Regional Director may prescribe.
    (g) A party's request to the Regional Director for named observers 
shall be in writing and filed with the Regional Director not less than 
fifteen (15) days prior to an election to be supervised or conducted 
pursuant to this part. The request shall name and identify the 
authorized representation election observers sought, and state the 
reasons therefor. Copies thereof shall be served on the other parties 
and a written statement of such service shall be filed with the Regional 
Director. Within five (5) days after service of a copy of the request, a 
party may file objections to the request with the Regional Director and 
state the reasons therefor. Copies thereof shall be served on the other 
parties and a written statement of such service shall be filed with the 
Regional Director. The Regional Director shall rule upon the request not 
later than five (5) days prior to the date of the election. However, for 
good cause shown by a party, or on the Regional Director's own motion, 
the Regional Director may vary the time limits prescribed in this 
paragraph.



Sec.  1422.18  Challenged ballots.

    Any party or the representative of the Board may challenge, for good 
cause, the eligibility of any person to participate in the election. The 
ballots of such challenged persons shall be impounded.



Sec.  1422.19  Tally of ballots.

    Upon the conclusion of the election, the Regional Director shall 
cause to be furnished to the parties a tally of ballots.



Sec.  1422.20  Certification; objections to election; determination on
objections and challenged ballots.

    (a) The Regional Director shall issue to the parties a certification 
of results of the election or a certification of representative, where 
appropriate: Provided, however, That no objections are filed within the 
time limit set forth below; the challenged ballots are insufficient in 
number to affect the results of the election; and no rerun election is 
to be held.
    (b) Within twenty (20) days after the tally of ballots has been 
furnished, a party may file objections to the procedural conduct of the 
election, or to conduct which may have improperly affected the results 
of the election, setting forth a clear and concise statement of the 
reasons therefor. The objecting party shall bear the burden of proof at 
all stages of the proceeding regarding all matters raised in its 
objections. An original and two (2) copies of the objections shall be 
filed with the Regional Director and copies shall be served on the 
parties. A statement of such service shall be filed with the Regional 
Director. Such filing must be timely whether or not the challenged 
ballots are sufficient in number to affect the results of the election. 
Within

[[Page 431]]

ten (10) days after the filing of the objections, unless an extension of 
time has been granted by the Regional Director, the objecting party 
shall file with the Regional Director evidence, including signed 
statements, documents and other material supporting the objections.
    (c) If objections are filed or challenged ballots are sufficient in 
number to affect the results of the election, the Regional Director 
shall investigate the objections or challenged ballots, or both.
    (d) When the Regional Director determines that no relevant question 
of fact exists, the Regional Director (1) shall find whether improper 
conduct occurred of such a nature as to warrant the setting aside of the 
election and, if so, indicate an intention to set aside the election, or 
(2) shall rule on determinative challenged ballots, if any, or both. The 
Regional Director shall issue a report and findings on objections and/or 
challenged ballots which shall be served upon all parties to the 
proceeding. Such report and findings shall state therein any additional 
pertinent matters such as an intent to rerun the election or count 
ballots at a specified date, time, and place, and if appropriate, that 
the Regional Director will cause to be issued a revised tally of 
ballots.
    (e) When the Regional Director determines that no relevant question 
of fact exists, but that a substantial question of interpretation or 
policy exists, the Regional Director shall notify the parties in the 
report and findings and transfer the case to the Board in accordance 
with of this subchapter.
    (f) Any party aggrieved by the findings of a Regional Director with 
respect to objections to an election or challenged ballots may obtain a 
review of such action by the Board by following the procedure set forth 
in Sec.  1422.6(d) of this subchapter: Provided, however, That a 
determination by the Regional Director to issue a notice of hearing 
shall not be subject to review by the Board.
    (g) Where it appears to the Regional Director that the objections or 
challenged ballots raise any relevant question of fact which may have 
affected the results of the election, the Regional Director shall cause 
to be issued a notice of hearing. Hearings shall be conducted and 
decisions issued by Administrative Law Judges and exceptions and related 
submissions filed with the Board in accordance with Sec. Sec.  1423.14 
through 1423.28 of this subchapter excluding Sec.  1423.18 and Sec.  
1423.19(j), with the following exceptions:
    (1) The Administrative Law Judge may not recommend remedial action 
to be taken or notices to be posted, as provided under Sec.  1423.26(a); 
and
    (2) Reference to ``charge, complaint'' in Sec.  1423.26(b) shall be 
read as ``report and findings of the Regional Director.''
    (h) At a hearing conducted pursuant to paragraph (g) of this section 
the party filing the objections shall have the burden of proving all 
matters alleged in its objections by a preponderance of the evidence. 
With respect to challenged ballots, no burden of proof is imposed on any 
party.
    (i) The Board shall take action which may consist of the following, 
as appropriate:
    (1) Issue a decision adopting, modifying, or rejecting the 
Administrative Law Judge's decision;
    (2) Issue a decision in any case involving a substantial question of 
interpretation or policy transferred pursuant to paragraph (e) of this 
section; or
    (3) Issue a ruling with respect to a request for review filed 
pursuant to paragraph (f) of this section affirming or reversing, in 
whole or in part, the Regional Director's findings, or make such other 
disposition as may be appropriate.



Sec.  1422.21  Preferential voting.

    In any election in which more than two choices are on the ballot and 
no choice receives a majority of first preferences the Board shall 
distribute to the two choices having the most first preferences the 
preferences as between those two of the other valid ballots cast. The 
choice receiving a majority of preferences shall be declared the winner. 
A labor organization which is declared the winner of the election shall 
be certified by the Board as the exclusive representative.

[[Page 432]]



Sec.  1422.22  Inconclusive elections.

    (a) An inconclusive election is one in which none of the choices on 
the ballot is declared the winner. If there are no challenged ballots 
that would affect the results of the election, the Regional Director may 
declare the election a nullity and may order another election providing 
for a selection from among the choices afforded in the previous ballot.
    (b) Only one further election pursuant to this section may be held.



PART 1423_UNFAIR LABOR PRACTICE PROCEEDINGS--Table of Contents



Sec.
1423.1 Applicability of this part.
1423.2 Informal proceedings.
1423.3 Who may file charges.
1423.4 Contents of the charge; supporting evidence and documents.
1423.5 Selection of the unfair labor practice procedure or the 
          negotiability procedure.
1423.6 Filing and service of copies.
1423.7 Investigation of charges.
1423.8 Amendment of charges.
1423.9 Action by the Regional Director.
1423.10 Determination not to issue complaint; review of action by the 
          Regional Director.
1423.11 Settlement or adjustment of issues.
1423.12 Issuance and contents of the complaint.
1423.13 Answer to the complaint; extension of time for filing; 
          amendment.
1423.14 Conduct of hearing.
1423.15 Intervention.
1423.16 Rights of parties.
1423.17 Rules of evidence.
1423.18 Burden of proof before the Administrative Law Judge.
1423.19 Duties and powers of the Administrative Law Judge.
1423.20 Unavailability of Administrative Law Judges.
1423.21 Objection to conduct of hearing.
1423.22 Motions.
1423.23 Waiver of objections.
1423.24 Oral argument at the hearing.
1423.25 Filing of brief.
1423.26 Transmittal of the Administrative Law Judge's decision to the 
          Board; exceptions.
1423.27 Contents of exceptions to the Administrative Law Judge's 
          decision.
1423.28 Briefs in support of exceptions; oppositions to exceptions; 
          cross-exceptions.
1423.29 Action by the Board.
1423.30 Compliance with decisions and orders of the Board.
1423.31 Backpay proceedings.

    Authority: 22 U.S.C. 4107.

    Source: 46 FR 45868, Sept. 15, 1981, unless otherwise noted.



Sec.  1423.1  Applicability of this part.

    This part is applicable to any charge of alleged unfair labor 
practices filed with the Board on or after February 15, 1981.



Sec.  1423.2  Informal proceedings.

    (a) The purposes and policies of the Foreign Service Labor-
Management Relations Statute can best be achieved by the cooperative 
efforts of all persons covered by the program. To this end, it shall be 
the policy of the Board and the General Counsel to encourage all persons 
alleging unfair labor practices and persons against whom such 
allegations are made to meet and, in good faith, attempt to resolve such 
matters prior to the filing of unfair labor practice charges with the 
Board.
    (b) In furtherance of the policy referred to in paragraph (a) of 
this section, and noting the six (6) month period of limitation set 
forth in 22 U.S.C. 4116(d), it shall be the policy of the Board and the 
General Counsel to encourage the informal resolution of unfair labor 
practice allegations subsequent to the filing of a charge and prior to 
the issuance of a complaint by the Regional Director.



Sec.  1423.3  Who may file charges.

    The Department or labor organization may be charged by any person 
with having engaged in or engaging in any unfair labor practice 
prohibited under 22 U.S.C. 4115.



Sec.  1423.4  Contents of the charge; supporting evidence and documents.

    (a) A charge alleging a violation of 22 U.S.C. 4115 shall be 
submitted on forms prescribed by the Board and shall contain the 
following:
    (1) The name, address and telephone number of the person(s) making 
the charge;
    (2) The name, address and telephone number of the Department or 
labor organization against whom the charge is made;
    (3) A clear and concise statement of the facts constituting the 
alleged unfair labor practice, a statement of the

[[Page 433]]

section(s) and subsection(s) of chapter 41 of title 22 of the United 
States Code alleged to have been violated, and the date and place of 
occurrence of the particular acts; and
    (4) A statement of any other procedure invoked involving the subject 
matter of the charge and the results, if any, including whether the 
subject matter raised in the charge (i) has been raised previously in a 
grievance procedure; (ii) has been referred to the Foreign Service 
Impasse Disputes Panel or the Foreign Service Grievance Board for 
consideration or action; or (iii) involves a negotiability issue raised 
by the charging party in a petition pending before the Board pursuant to 
part 1424 of this subchapter.
    (b) Such charge shall be in writing and signed and shall contain a 
declaration by the person signing the charge, under the penalties of the 
Criminal Code (18 U.S.C. 1001), that its contents are true and correct 
to the best of that person's knowledge and belief.
    (c) When filing a charge, the charging party shall submit to the 
Regional Director any supporting evidence and documents.



Sec.  1423.5  Selection of the unfair labor practice procedure or the
negotiability procedure.

    (a) Where a labor organization files an unfair labor practice charge 
pursuant to this part which involves a negotiability issue, and the 
labor organization also files pursuant to part 1424 of this subchapter a 
petition for review of the same negotiability issue, the Board and the 
General Counsel ordinarily will not process the unfair labor practice 
charge and the petition for review simultaneously.
    (b) Under such circumstances, the labor organization must select 
under which procedure to proceed. Upon selection of one procedure, 
further action under the other procedure will ordinarily be suspended. 
Such selection must be made regardless of whether the unfair labor 
practice charge or the petition for review of a negotiability issue is 
filed first. Notification of this selection must be made in writing at 
the time that both procedures have been invoked, and must be served on 
the Board, the appropriate Regional Director and all parties to both the 
unfair labor practice case and the negotiability case.
    (c) Cases which solely involve an agency's allegation that the duty 
to bargain in good faith does not extend to the matter proposed to be 
bargained and which do not involve actual or contemplated changes in 
conditions of employment may only be filed under part 1424 of this 
subchapter.



Sec.  1423.6  Filing and service of copies.

    (a) An original and four (4) copies of the charge together with one 
copy for each additional charged party named shall be filed with the 
Regional Director for the region in which the alleged unfair labor 
practice has occurred or is occurring. A charge alleging that an unfair 
labor practice has occurred or is occurring in two or more regions may 
be filed with the Regional Director for any such region.
    (b) Upon the filing of a charge, the charging party shall be 
responsible for the service of a copy of the charge (without the 
supporting evidence and documents) upon the person(s) against whom the 
charge is made, and for filing a written statement of such service with 
the Regional Director. The Regional Director will, as a matter of 
course, cause a copy of such charge to be served on the person(s) 
against whom the charge is made, but shall not be deemed to assume 
responsibility for such service.



Sec.  1423.7  Investigation of charges.

    (a) The Regional Director, on behalf of the General Counsel, shall 
conduct such investigation of the charge as the Regional Director deems 
necessary.
    (b) During the course of the investigation all parties involved will 
have an opportunity to present their evidence and views to the Regional 
Director.
    (c) In connection with the investigation of charges, all persons are 
expected to cooperate fully with the Regional Director.
    (d) The purposes and policies of the Foreign Service Labor-
Management Relations Statute can best be achieved by the full 
cooperation of all parties involved and the voluntary submission of all 
potentially relevant information

[[Page 434]]

from all potential sources during the course of the investigation. To 
this end, it shall be the policy of the Board and the General Counsel to 
protect the identity of individuals and the substance of the statements 
and information they submit or which is obtained during the 
investigation as a means of assuring the Board's and the General 
Counsel's continuing ability to obtain all relevant information.



Sec.  1423.8  Amendment of charges.

    Prior to the issuance of a complaint, the charging party may amend 
the charge in accordance with the requirements set forth in Sec.  
1423.6.



Sec.  1423.9  Action by the Regional Director.

    (a) The Regional Director shall take action which may consist of the 
following, as appropriate:
    (1) Approve a request to withdraw a charge;
    (2) Refuse to issue a complaint;
    (3) Approve a written settlement agreement in accordance with the 
provisions of Sec.  1423.11;
    (4) Issue a complaint;
    (5) Upon agreement of all parties, transfer to the Board for 
decision, after issuance of a complaint, a stipulation of facts in 
accordance with the provisions of Sec.  1429.1(a) this subchapter; or
    (6) Withdraw a complaint.
    (b) Parties may request the General Counsel to seek appropriate 
temporary relief (including a restraining order) under 22 U.S.C. 
4109(d). The General Counsel will initiate and prosecute injunctive 
proceedings under 22 U.S.C. 4109(d) only upon approval of the Board. A 
determination by the General Counsel not to seek approval of the Board 
for such temporary relief is final and may not be applied to the Board.
    (c) Upon a determination to issue a complaint, whenever it is deemed 
advisable by the Board to seek appropriate temporary relief (including a 
restraining order) under 22 U.S.C. 4109(d), the Regional Attorney or 
other designated agent of the Board to whom the matter has been referred 
will make application for appropriate temporary relief (including a 
restraining order) in the United States District Court for the District 
of Columbia. Such temporary relief will not be sought unless the record 
establishes probable cause that an unfair labor practice is being 
committed, or if such temporary relief will interfere with the ability 
of the Department to carry out its essential functions.
    (d) Whenever temporary relief has been obtained pursuant to 22 
U.S.C. 4109(d) and thereafter the Administrative Law Judge hearing the 
complaint, upon which the determination to seek such temporary relief 
was predicated, recommends dismissal of such complaint, in whole or in 
part, the Regional Attorney or other designated agent of the Board 
handling the case for the Board shall inform the United States District 
Court for the District of Columbia of the possible change in 
circumstances arising out of the decision of the Administrative Law 
Judge.



Sec.  1423.10  Determination not to issue complaint; review of action
by the Regional Director.

    (a) If the Regional Director determines that the charge has not been 
timely filed, that the charge fails to state an unfair labor practice, 
or for other appropriate reasons, the Regional Director may request the 
charging party to withdraw the charge, and in the absence of such 
withdrawal within a reasonable time, decline to issue a complaint.
    (b) If the Regional Director determines not to issue a complaint on 
a charge which is not withdrawn, the Regional Director shall provide the 
parties with a written statement of the reasons for not issuing a 
complaint.
    (c) The charging party may obtain a review of the Regional 
Director's decision not to issue a complaint by filing an appeal with 
the General Counsel within twenty-five (25) days after service of the 
Regional Director's decision. The appeal shall contain a complete 
statement setting forth the facts and reasons upon which it is based. A 
copy of the appeal shall also be filed with the Regional Director. In 
addition, the charging party should notify all other parties of the fact 
that an appeal has been taken, but any failure to give such notice shall 
not affect the validity of the appeal.

[[Page 435]]

    (d) A request for extension of time to file an appeal shall be in 
writing and received by the General Counsel not later than five (5) days 
before the date the appeal is due. The charging party should notify the 
Regional Director and all other parties that it has requested an 
extension of time in which to file an appeal, but any failure to give 
such notice shall not affect the validity of its request for an 
extension of time to file an appeal.
    (e) The General Counsel may sustain the Regional Director's refusal 
to issue or re-issue a complaint, stating the grounds of affirmance, or 
may direct the Regional Director to take further action. The General 
Counsel's decision shall be served on all the parties. The decision of 
the General Counsel shall be final.



Sec.  1423.11  Settlement or adjustment of issues.

                        general settlement policy

    (a) At any stage of a proceeding prior to hearing, where time, the 
nature of the proceeding, and the public interest permit, all interested 
parties shall have the opportunity to submit to the Regional Director 
with whom the charge was filed, for consideration, all facts and 
arguments concerning offers of settlement, or proposals of adjustment.

                    precomplaint informal settlements

    (b)(1) Prior to the issuance of any complaint or the taking of other 
formal action, the Regional Director will afford the charging party and 
the respondent a reasonable period of time in which to enter into an 
informal settlement agreement to be approved by the Regional Director. 
Upon approval by the Regional Director and compliance with the terms of 
the informal settlement agreement, no further action shall be taken in 
the case. If the respondent fails to perform its obligations under the 
informal settlement agreement, the Regional Director may determine to 
institute further proceedings.
    (2) In the event that the charging party fails or refuses to become 
a party to an informal settlement agreement offered by the respondent, 
if the Regional Director concludes that the offered settlement will 
effectuate the policies of the Foreign Service Labor-Management 
Relations Statute, the agreement shall be between the respondent and the 
Regional Director and the latter shall decline to issue a complaint. The 
charging party may obtain a review of the Regional Director's action by 
filing an appeal with the General Counsel in accordance with Sec.  
1423.10(c). The General Counsel shall take action on such appeal as set 
forth in Sec.  1423.10(e).

                    post complaint settlement policy

    (c) Consistent with the policy reflected in paragraph (a) of this 
section, even after the issuance of a complaint, the Board favors the 
settlement of issues. Such settlements may be either informal or formal. 
Informal settlement agreements shall be accomplished as provided in 
paragraph (b) of this section. Formal settlement agreements are subject 
to the approval of the Board. In such formal settlement agreements, the 
parties shall agree to waive their right to a hearing and agree further 
that the Board may issue an order requiring the respondent to take 
action appropriate to the terms of the settlement. Ordinarily the formal 
settlement agreement also contains the respondent's consent to the Board 
application for the entry of a decree by the United States Court of 
Appeals for the District of Columbia enforcing the Board's order.

              post complaint--prehearing formal settlements

    (d)(1) If, after issuance of a complaint but before opening of the 
hearing, the charging party and the respondent enter into a formal 
settlement agreement, and such agreement is accepted by the Regional 
Director, the formal settlement agreement shall be submitted to the 
Board for approval.
    (2) If, after issuance of a complaint but before opening of the 
hearing, the charging party fails or refuses to become a party to a 
formal settlement agreement offered by the respondent, and the Regional 
Director concludes

[[Page 436]]

that the offered settlement will effectuate the policies of the Foreign 
Service Labor-Management Relations Statute, the agreement shall be 
between the respondent and the Regional Director. The charging party 
will be so informed and provided a brief written statement by the 
Regional Director of the reasons therefor. The formal settlement 
agreement together with the charging party's objections, if any, and the 
Regional Director's written statements, shall be submitted to the Board 
for approval. The Board may approve or disapprove any formal settlement 
agreement or return the case to the Regional Director for other 
appropriate action.

             post complaint--prehearing informal settlements

    (3) After the issuance of a complaint but before opening of the 
hearing, if the Regional Director concludes that it will effectuate the 
policies of the Foreign Service Labor-Management Relations Statute, the 
Regional Director may withdraw the complaint and approve an informal 
settlement agreement pursuant to paragraph (b) of this section.

          informal settlements after the opening of the hearing

    (e)(1) After issuance of a complaint and after opening of the 
hearing, if the Regional Director concludes that it will effectuate the 
policies of the Foreign Service Labor-Management Relations Statute, the 
Regional Director may request the Administrative Law Judge for 
permission to withdraw the complaint and, having been granted such 
permission to withdraw the complaint, may approve an informal settlement 
pursuant to paragraph (b) of this section.

           formal settlements after the opening of the hearing

    (2) If, after issuance of a complaint and after opening of the 
hearing, the parties enter into a formal settlement agreement, the 
Regional Director may request the Administrative Law Judge to approve 
such formal settlement agreement, and upon such approval, to transmit 
the agreement to the Board for approval.
    (3) If the charging party fails or refuses to become a party to a 
formal settlement agreement offered by the respondent, and the Regional 
Director concludes that the offered settlement will effectuate the 
policies of the Foreign Service Labor-Management Relations Statute, the 
agreement shall be between the respondent and the Regional Director. 
After the charging party is given an opportunity to state on the record 
or in writing the reasons for opposing the formal settlement, the 
Regional Director may request the Administrative Law Judge to approve 
such formal settlement agreement, and upon such approval, to transmit 
the agreement to the Board for approval. The Board may approve or 
disapprove any formal settlement agreement or return the case to the 
Administrative Law Judge for another appropriate action.



Sec.  1423.12  Issuance and contents of the complaint.

    (a) After a charge is filed, if it appears to the Regional Director 
that formal proceedings in respect thereto should be instituted, the 
Regional Director shall issue and cause to be served on all other 
parties a formal complaint: Provided, however, That a determination by a 
Regional Director to issue a complaint shall not be subject to review.
    (b) The complaint shall include:
    (1) Notice of the charge;
    (2) Notice that a hearing will be held before an Adminsitrative Law 
Judge;
    (3) Notice of the time and place fixed for the hearing which shall 
not be earlier than five (5) days after service of the complaint;
    (4) A statement of the nature of the hearing;
    (5) A clear and concise statement of the facts upon which assertion 
of jurisdiction by the Board is predicated;
    (6) A reference to the particular sections of chapter 41 of title 22 
of the United States Code and the rules and regulations involved; and
    (7) A clear and concise description of the acts which are claimed to 
constitute unfair labor practices, including, where known, the 
approximate

[[Page 437]]

dates and places of such acts and the names of respondent's agents or 
other representatives by whom committed.
    (c) The Chief Administrative Law Judge may, upon such judge's own 
motion or upon proper cause shown by any other party, extend the date of 
the hearing or may change the place at which it is to be held.
    (d) A complaint may be amended, upon such terms as may be deemed 
just, prior to the hearing, by the Regional Director issuing the 
complaint; at the hearing and until the case has been transmitted to the 
Board pursuant to Sec.  1423.26, upon motion by the Administrative Law 
Judge designated to conduct the hearing; and after the case has been 
transmitted to the Board pursuant to Sec.  1423.26, upon motion by the 
Board at any time prior to the issuance of an order based thereon by the 
Board.
    (e) Any such complaint may be withdrawn before the hearing by the 
Regional Director.



Sec.  1423.13  Answer to the complaint; extension of time for filing;
amendment.

    (a) Except in extraordinary circumstances as determined by the 
Regional Director, within twenty (20) days after the complaint is served 
upon the respondent, the respondent shall file the original and four (4) 
copies of the answer thereto, signed by the respondent or its 
representative, with the Regional Director who issued the complaint. The 
respondent shall serve a copy of the answer on the Chief Administrative 
Law Judge and on all other parties.
    (b) The answer: (1) Shall specifically admit, deny, or explain each 
of the allegations of the complaint unless the respondent is without 
knowledge, in which case the answer shall so state; or (2) Shall state 
that the respondent admits all of the allegations in the complaint. 
Failure to file an answer or to plead specifically to or explain any 
allegation shall constitute an admission of such allegation and shall be 
so found by the Board, unless good cause to the contrary is shown.
    (c) Upon the Regional Director's own motion or upon proper cause 
shown by any other party, the Regional Director issuing the complaint 
may by written order extend the time within which the answer shall be 
filed.
    (d) The answer may be amended by the respondent at any time prior to 
the hearing. During the hearing or subsequent thereto, the answer may be 
amended in any case where the complaint has been amended, within such 
period as may be fixed by the Administrative Law Judge or the Board. 
Whether or not the complaint has been amended, the answer may, in the 
discretion of the Administrative Law Judge or the Board, upon motion, be 
amended upon such terms and within such periods as may be fixed by the 
Administrative Law Judge or the Board.



Sec.  1423.14  Conduct of hearing.

    (a) Hearings shall be conducted not earlier than five (5) days after 
the date on which the complaint is served. The hearing shall be open to 
the public unless otherwise ordered by the Administrative Law Judge. A 
substitute Administrative Law Judge may be designated at any time to 
take the place of the Administrative Law Judge previously designated to 
conduct the hearing. Such hearing shall, to the extent practicable, be 
conducted in accordance with the provisions of subchapter II of chapter 
5 of title 5 of the United States Code, except that the parties shall 
not be bound by the rules of evidence, whether statutory, common law, or 
adopted by a court.
    (b) An official reporter shall make the only official transcript of 
such proceedings. Copies of the official transcript may be examined in 
the appropriate regional office during normal working hours. Requests by 
parties for copies of transcripts should be made to the official hearing 
reporter.



Sec.  1423.15  Intervention.

    Any person involved and desiring to intervene in any proceeding 
pursuant to this part shall file a motion in accordance with the 
procedures set forth in Sec.  1423.22. The motion shall state the 
grounds upon which such person claims involvement.



Sec.  1423.16  Rights of parties.

    A party shall have the right to appear at any hearing in person, by 
counsel, or by other representative, and to

[[Page 438]]

examine and cross-examine witnesses, and to introduce into the record 
documentary or other relevant evidence, and to submit rebuttal evidence, 
except that the participation of any party shall be limited to the 
extent prescribed by the Administrative Law Judge. Two (2) copies of 
documentary evidence shall be submitted and a copy furnished to each of 
the other parties. Stipulations of fact may be introduced in evidence 
with respect to any issue.



Sec.  1423.17  Rules of evidence.

    The parties shall not be bound by the rules of evidence, whether 
statutory, common law, or adopted by court. Any evidence may be 
received, except that an Administrative Law Judge may exclude any 
evidence which is immaterial, irrelevant, unduly repetitious or 
customarily privileged.



Sec.  1423.18  Burden of proof before the Administrative Law Judge.

    The General Counsel shall have the responsibility of presenting the 
evidence in support of the complaint and shall have the burden of 
proving the allegations of the complaint by a preponderance of the 
evidence.



Sec.  1423.19  Duties and powers of the Administrative Law Judge.

    It shall be the duty of the Administrative Law Judge to inquire 
fully into the facts as they relate to the matter before such judge. 
Subject to the rules and regulations of the Board and the General 
Counsel, an Administrative Law Judge presiding at a hearing may:
    (a) Grant requests for subpoenas pursuant to Sec.  1429.7 of this 
subchapter;
    (b) Rule upon petitions to revoke subpoenas pursuant to Sec.  1429.7 
of this subchapter;
    (c) Administer oaths and affirmations;
    (d) Take or order the taking of a deposition whenever the ends of 
justice would be served thereby;
    (e) Order responses to written interrogatories whenever the ends of 
justice would be served thereby unless it would interfere with the 
Board's and the General Counsel's policy of protecting the personal 
privacy and confidentiality of sources of information as set forth in 
Sec.  1423.7(d);
    (f) Call, examine and cross-examine witnesses and introduce into the 
record documentary or other evidence;
    (g) Rule upon offers of proof and receive relevant evidence and 
stipulations of fact with respect to any issue;
    (h) Limit lines of questioning or testimony which are immaterial, 
irrelevant, unduly repetitious, or customarily privileged;
    (i) Regulate the course of the hearing and, if appropriate, exclude 
from the hearing persons who engage in contemptuous conduct and strike 
all related testimony of witnesses refusing to answer any questions 
ruled to be proper;
    (j) Hold conferences for the settlement or simplification of the 
issues by consent of the parties or upon the judge's own motion;
    (k) Dispose of procedural requests, motions, or similar matters, 
including motions referred to the Administrative Law Judge by the 
Regional Director and motions for summary judgment or to amend 
pleadings; dismiss complaints or portions thereof; order hearings 
reopened; and, upon motion, order proceedings consolidated or severed 
prior to issuance of the Administrative Law Judge's decision;
    (l) Request the parties at any time during the hearing to state 
their respective positions concerning any issue in the case or theory in 
support thereof;
    (m) Continue the hearing from day-to-day or adjourn it to a later 
date or to a different place, by announcement thereof at the hearing or 
by other appropriate notice;
    (n) Prepare, serve and transmit the decision pursuant to Sec.  
1423.26;
    (o) Take official notice of any material fact not appearing in 
evidence in the record, which is among the traditional matters of 
judicial notice: Provided, however, That the parties shall be given 
adequate notice, at the hearing or by reference in the Administrative 
Law Judge's decision of the matters so noticed, and shall be given 
adequate opportunity to show the contrary;
    (p) Approve requests for withdrawal of complaints based on informal 
settlements occurring after the opening of the hearing pursuant to Sec.  
1423.11(e)(1),

[[Page 439]]

and transmit formal settlement agreements to the Board for approval 
pursuant to Sec.  1423.11(e) (2) and (3);
    (q) Grant or deny requests made at the hearing to intervene and to 
present testimony;
    (r) Correct or approve proposed corrections of the official 
transcript when deemed necessary;
    (s) Sequester witnesses where appropriate; and
    (t) Take any other action deemed necessary under the foregoing and 
not prohibited by the regulations in this subchapter.



Sec.  1423.20  Unavailability of Administrative Law Judges.

    In the event the Administrative Law Judge designated to conduct the 
hearing becomes unavailable, the Chief Administrative Law Judge shall 
designate another Administrative Law Judge for the purpose of further 
hearing or issuance of a decision on the record as made, or both.



Sec.  1423.21  Objection to conduct of hearing.

    (a) Any objection with respect to the conduct of the hearing, 
including any objection to the introduction of evidence, may be stated 
orally or in writing accompanied by a short statement of the grounds for 
such objection, and included in the record. No such objection shall be 
deemed waived by further participation in the hearing. Such objection 
shall not stay the conduct of the hearing.
    (b) Formal exceptions to adverse rulings are unnecessary. Automatic 
exceptions will be allowed to all adverse rulings. Except by special 
permission of the Board, and in view of Sec.  1429.11 of this 
subchapter, rulings by the Administrative Law Judge shall not be 
appealed prior to the transmittal of the case to the Board, but shall be 
considered by the Board only upon the filing of exceptions to the 
Administrative Law Judge's decision in accordance with Sec.  1423.27. In 
the discretion of the Administrative Law Judge, the hearing may be 
continued or adjourned pending any such request for special permission 
to appeal.



Sec.  1423.22  Motions.

    (a) Filing of Motions. (1) Motions made prior to a hearing and any 
response thereto shall be made in writing and filed with the Regional 
Director: Provided, however, That after the issuance of a complaint by 
the Regional Director any motion to postpone the hearing should be filed 
with the Chief Administrative Law Judge at least five (5) days prior to 
the opening of the scheduled hearing. Motions made after the hearing 
opens and prior to the transmittal of the case to the Board shall be 
made in writing to the Administrative Law Judge or orally on the record. 
After the transmittal of the case to the Board, motions and any response 
thereto shall be filed in writing with the Board: Provided, however, 
That a motion to correct the transcript shall be filed with the 
Administrative Law Judge.
    (2) A response to a motion shall be filed within five (5) days after 
service of the motion, unless otherwise directed.
    (3) An original and two (2) copies of the motions and responses 
shall be filed, and copies shall be served on the parties. A statement 
of such service shall accompany the original.
    (b) Rulings on motions. (1) Regional Directors may rule on all 
motions filed with them before the hearing, or they may refer them to 
the Chief Administrative Law Judge.
    (2) Except by special permission of the Board, and in view of Sec.  
1429.11 of this subchapter, rulings by the Regional Director shall not 
be appealed prior to the transmittal of the case to the Board, but shall 
be considered by the Board when the case is transmitted to it for 
decision.
    (3) Administrative Law Judges may rule on motions referred to them 
prior to the hearing and on motions filed after the beginning of the 
hearing and before the transmittal of the case to the Board. Such 
motions may be ruled upon by the Chief Administrative Law Judge in the 
absence of an Administrative Law Judge.
    (4) Except by special permission of the Board, and in view of Sec.  
1429.11 of this subchapter, rulings by Administrative Law Judges shall 
not be appealed prior to the transmittal of the case to

[[Page 440]]

the Board, but shall be considered by the Board when the case is 
transmitted to it for decision. In the discretion of the Administrative 
Law Judge, the hearing may be continued or adjourned pending any such 
request for special permission to appeal.



Sec.  1423.23  Waiver of objections.

    Any objection not made before an Administrative Law Judge shall be 
deemed waived.



Sec.  1423.24  Oral argument at the hearing.

    Any party shall be entitled, upon request, to a reasonable period 
prior to the close of the hearing for oral argument, which shall be 
included in the official transcript of the hearing.



Sec.  1423.25  Filing of brief.

    Any party desiring to submit a brief to the Administrative Law Judge 
shall file the original and two (2) copies within a reasonable time 
fixed by the Administrative Law Judge, but not in excess of thirty (30) 
days from the close of the hearing. Copies of any brief shall be served 
on all other parties to the proceeding and a statement of such service 
shall be filed with the Administrative Law Judge. Requests for 
additional time to file a brief shall be made to the Chief 
Administrative Law Judge, in writing, and copies thereof shall be served 
on the other parties. A statement of such service shall be furnished. 
Requests for extension of time shall be received not later than five (5) 
days before the date such briefs are due. No reply brief may be filed 
except by special permission of the Administrative Law Judge.



Sec.  1423.26  Transmittal of the Administrative Law Judge's decision
to the Board; exceptions.

    (a) After the close of the hearing, and the receipt of brief, if 
any, the Administrative Law Judge shall prepare the decision 
expeditiously. The Administrative Law Judge shall prepare a decision 
even when the parties enter into a stipulation of fact at the hearing. 
The decision shall contain findings of fact, conclusions, and the 
reasons or basis therefor including credibility determinations, and 
conclusions as to the disposition of the case including, where 
appropriate, the remedial action to be taken and notices to be posted.
    (b) The Administrative Law Judge shall cause the decision to be 
served promptly on all parties to the proceeding. Thereafter, the 
Administrative Law Judge shall transmit the case to the Board including 
the judge's decision and the record. The record shall include the 
charge, complaint, service sheet, answer, motions, rulings, orders, 
official transcript of the hearing, stipulations, objections, 
depositions, interrogatories, exhibits, documentary evidence and any 
briefs or other documents submitted by the parties.
    (c) An original and three (3) copies of any exception to the 
Administrative Law Judge's decision and briefs in support of exceptions 
may be filed by any party with the Board within twenty-five (25) days 
after service of the decision: Provided, however, That the Board may for 
good cause shown extend the time for filing such exceptions. Requests 
for additional time in which to file exceptions shall be in writing, and 
copies thereof shall be served on the other parties. Requests for 
extension of time must be received no later than five (5) days before 
the date the exceptions are due. Copies of such exceptions and any 
supporting briefs shall be served on all other parties, and a statement 
of such service shall be furnished to the Board.



Sec.  1423.27  Contents of exceptions to the Administrative Law Judge's 
decision.

    (a) Exceptions to an Administrative Law Judge's decision shall:
    (1) Set forth specifically the questions upon which exceptions are 
taken;
    (2) Identify that part of the Administrative Law Judge's decision to 
which objection is made; and
    (3) Designate by precise citation of page the portions of the record 
relied on, state the grounds for the exceptions, and include the 
citation of authorities unless set forth in a supporting brief.
    (b) Any exception to a ruling, finding or conclusion which is not 
specifically urged shall be deemed to have been waived. Any exception 
which fails to

[[Page 441]]

comply with the foregoing requirements may be disregarded.



Sec.  1423.28  Briefs in support of exceptions; oppositions to exceptions;
cross-exceptions.

    (a) Any brief in support of exceptions shall contain only matters 
included within the scope of the exceptions and shall contain, in the 
order indicated, the following:
    (1) A concise statement of the case containing all that is material 
to the consideration of the questions presented;
    (2) A specification of the questions involved and to be argued; and
    (3) The argument, presenting clearly the points of fact and law 
relied on in support of the position taken on each question, with 
specific page reference to the transcript and the legal or other 
material relied on.
    (b) Any party may file an opposition to exceptions and cross-
exceptions and a supporting brief with the Board within ten (10) days 
after service of any exceptions to an Administrative Law Judge's 
decision. Copies of the opposition to exceptions and the cross-
exceptions and any supporting briefs shall be served on all other 
parties, and a statement of service shall be filed with the opposition 
to exceptions and cross-exceptions and any supporting briefs.



Sec.  1423.29  Action by the Board.

    (a) After considering the Administrative Law Judge's decision, the 
record, and any exceptions and related submissions filed, the Board 
shall issue its decision affirming or reversing the Administrative Law 
Judge, in whole, or in part, or making such other disposition of the 
matter as it deems appropriate: Provided, however, That unless 
exceptions are filed which are timely and in accordance with Sec.  
1423.27, the Board may, at its discretion, adopt without discussion the 
decision of the Administrative Law Judge, in which event the findings 
and conclusions of the Administrative Law Judge, as contained in such 
decision shall, upon appropriate notice to the parties, automatically 
become the decision of the Board.
    (b) Upon finding a violation, the Board shall issue an order:
    (1) To cease and desist from any such unfair labor practice in which 
the Department or labor organization is engaged;
    (2) Requiring the parties to renegotiate a collective bargaining 
agreement in accordance with the order of the Board and requiring that 
the agreement, as amended, be given retroactive effect;
    (3) Requiring reinstatement of an employee with backpay in 
accordance with 5 U.S.C. 5596; or
    (4) Including any combination of the actions described in paragraphs 
(b) (1) through (3) of this section or such other action as will carry 
out the purpose of the Foreign Service Labor-Management Relations 
Statute.
    (c) Upon finding no violation, the Board shall dismiss the 
complaint.



Sec.  1423.30  Compliance with decisions and orders of the Board.

    When remedial action is ordered, the respondent shall report to the 
appropriate Regional Director within a specified period that the 
required remedial action has been effected. When the General Counsel 
finds that the required remedial action has not been effected, the 
General Counsel shall take such action as may be appropriate, including 
referral to the Board for enforcement.



Sec.  1423.31  Backpay proceedings.

    After the entry of a Board order directing payment of backpay, or 
the entry of a court decree enforcing such order, if it appears to the 
Regional Director that a controversy exists between the Board and a 
respondent which cannot be resolved without a formal proceeding, the 
Regional Director may issue and serve on all parties a backpay 
specification accompanied by a notice of hearing or a notice of hearing 
without a specification. The respondent shall, within twenty (20) days 
after the service of a backpay specification accompanied by a notice of 
hearing, file an answer thereto in accordance with Sec.  1423.13 with 
the Regional Director issuing such specification. No answer need be 
filed by the respondent to a notice of hearing issued without a 
specification. After the issuance of a notice of hearing, with or 
without a backpay specification, the

[[Page 442]]

procedures provided in Sec. Sec.  1423.14 to 1423.29, inclusive, shall 
be followed insofar as applicable.



PART 1424_EXPEDITED REVIEW OF NEGOTIABILITY ISSUES--Table of Contents



Sec.
1424.1 Conditions governing review.
1424.2 Who may file a petition.
1424.3 Time limits for filing.
1424.4 Content of petition; service.
1424.5 Selection of the unfair labor practice procedure or the 
          negotiability procedure.
1424.6 Position of the Department; time limits for filing; service.
1424.7 Response of the exclusive representative; time limits for filing; 
          service.
1424.8 Additional submissions to the Board.
1424.9 Hearing.
1424.10 Board decision and order; compliance.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45873, Sept. 15, 1981, unless otherwise noted.



Sec.  1424.1  Conditions governing review.

    Pursuant to the authority contained in 22 U.S.C. 4107 (a)(3) and 
(c)(1) the Board will consider a direct appeal concerning whether a 
matter proposed to be bargained is within the obligation to bargain 
under the Foreign Service Act of 1980 as follows: If the Department is 
involved in collective bargaining with an exclusive representative and 
alleges that the duty to bargain in good faith does not extend to any 
matter proposed to be bargained because, as proposed, the matter is 
inconsistent with applicable law, rule or regulation the exclusive 
representative may appeal the allegation to the Board when it disagrees 
with Department's allegation that the matter as proposed to be bargained 
is inconsistent with applicable law, rule or regulation.



Sec.  1424.2  Who may file a petition.

    A petition for review of a negotiability issue may be filed by the 
exclusive representative which is a party to the negotiations.



Sec.  1424.3  Time limits for filing.

    (a) The time limit for filing an appeal under this part is fifteen 
(15) days from the Department's allegation, which was requested in 
writing by the exclusive representative, is served on the exclusive 
representative. The Department shall make the allegation in writing and 
serve a copy on the exclusive representative: Provided, however, That 
review of a negotiability issue may be requested by the exclusive 
representative under this part without a prior written allegation by the 
Department if a written allegation has not been served upon the 
exclusive representative within ten (10) days after the date of receipt 
by any Department bargaining representative at the negotiations of a 
written request for such allegation.



Sec.  1424.4  Content of petition; service.

    (a) A petition for review shall be dated and shall contain the 
following:
    (1) A statement setting forth the matter proposed to be bargained as 
submitted to the Department;
    (2) A copy of all pertinent material, including the Department's 
allegation in writing that the matter, as proposed, is not within the 
duty to bargain in good faith, and other relevant documentary material; 
and
    (3) Notification by the petitioning labor organization whether the 
negotiability issue is also involved in an unfair labor parctice charge 
filed by such labor organization under part 1423 of this subchapter and 
pending before the General Counsel.
    (b) A copy of the petition including all attachments thereto shall 
be served on the Secretary and on the principal Department bargaining 
representative at the negotiations.



Sec.  1424.5  Selection of the unfair labor practice procedure or
the negotiability procedure.

    Where a labor organization files an unfair labor practice charge 
pursuant to part 1423 of this subchapter which involves a negotiability 
issue, and the labor organization also files pursuant to this part a 
petition for review of the same negotiability issue, the Board and the 
General Counsel ordinarily will not process the unfair labor practice 
charge and the petition for review simultaneously. Under such 
circumstances, the labor organization must select under which procedure 
to proceed. Upon selection of one procedure, further action under the 
other

[[Page 443]]

procedure will ordinarily be suspended. Such selection must be made 
regardless of whether the unfair labor practice charge or the petition 
for review of a negotiability issue is filed first. Notification of this 
selection must be made in writing at the time that both procedures have 
been invoked, and must be served on the Board, the appropriate Regional 
Director and all parties to both the unfair labor practice case and the 
negotiability case. Cases which solely involve the Department's 
allegation that the duty bargain in good faith does not extend to the 
matter proposed to be bargained and which do not involve actual or 
contemplated changes in conditions of employment may only be filed under 
this part.



Sec.  1424.6  Position of the Department; time limits for filing; service.

    (a) Within thirty (30) days after the date of receipt by the 
Secretary of a copy of the petition for review of a negotiability issue 
the Department shall file a statement--
    (1) Withdrawing the allegation that the duty to bargain in good 
faith does not extend to the matter proposed to be bargained; or
    (2) Setting forth in full its position on any matters relevant to 
the petition which it wishes the Board to consider in reaching its 
decision, including a full and detailed statement of its reasons 
supporting the allegation. The statement shall cite the section of any 
law, rule or regulation relied upon as a basis for the allegation.
    (b) A copy of the Department's statement of position including all 
attachments thereto shall be served on the exclusive representative.



Sec.  1424.7  Response of the exclusive representative; time limits for
filing; service.

    (a) Within fifteen (15) days after the date of receipt by an 
exclusive representative of a copy of the Department's statement of 
position the exclusive representative shall file a full and detailed 
response stating its position and reasons for disagreeing with the 
Department's allegation that the matter, as proposed to be bargained, is 
inconsistent with applicable law or rule or regulation.
    (b) A copy of the response of the exclusive representative including 
all attachments thereto shall be served on the Secretary and on the 
Department's representative of record in the proceedings before the 
Board.



Sec.  1424.8  Additional submissions to the Board.

    The Board will not consider any submission filed by any party, 
whether supplemental or responsive in nature, other than those 
authorized under Sec. Sec.  1424.2 through 1424.7 unless such submission 
is requested by the Board; or unless, upon written request by any party, 
a copy of which is served on all other parties, the Board in its 
discretion grants permission to file such submission.



Sec.  1424.9  Hearing.

    A hearing may be held, in the discretion of the Board, before a 
determination is made under 22 U.S.C. 4107(a)(3). If a hearing is held, 
it shall be expedited to the extent practicable and shall not include 
the General Counsel as a party.



Sec.  1424.10  Board decision and order; compliance.

    (a) Subject to the requirements of this part the Board shall 
expedite proceedings under this part to the extent practicable and shall 
issue to the exclusive representative and to the Department a written 
decision on the allegation and specific reasons therefor at the earliest 
practicable date.
    (b) If the Board finds that the duty to bargain extends to the 
matter proposed to be bargained, the decision of the Board shall include 
an order that the Department shall upon request (or as otherwise agreed 
to by the parties) bargain concerning such matter. If the Board finds 
that the duty to bargain does not extend to the matter proposed to be 
bargained, the Board shall so state and issue an order dismissing the 
petition for review of the negotiability issue. If the Board finds that 
the duty to bargain extends to the matter proposed to be bargained only 
at the election of the Department, the Board shall so state and issue an 
order dismissing the petition for review of the negotiability issue.

[[Page 444]]

    (c) When an order is issued as provided in paragraph (b) of this 
section, the Department or exclusive representative shall report to the 
appropriate Regional Director within a specified period failure to 
comply with an order that the Department shall upon request (or as 
otherwise agreed to by the parties) bargain concerning the disputed 
matter. If the Board finds such a failure to comply with its order, the 
Board shall take whatever action it deems necessary, including 
enforcement under 22 U.S.C. 4109(b).



PART 1425_REVIEW OF IMPLEMENTATION DISPUTE ACTIONS--Table of Contents



Sec.
1425.1 Who may file an exception; time limits for filing; opposition; 
          service.
1425.2 Content of exception.
1425.3 Grounds for review.
1425.4 Board decision.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45875, Sept. 15, 1981, unless otherwise noted.



Sec.  1425.1  Who may file an exception; time limits for filing; 
opposition; service.

    (a) Either party to an appeal to the Foreign Service Grievance Board 
under the provisions of 22 U.S.C. 4114 may file an exception to the 
action of the Foreign Service Grievance Board taken pursuant to the 
appeal.
    (b) The time limit for filing an exception to a Foreign Service 
Grievance Board action is thirty (30) days after such action is 
communicated to the parties.
    (c) An opposition to the exception may be filed by a party within 
thirty (30) days after the date of service of the exception.
    (d) A copy of the exception and any opposition shall be served on 
the other party.



Sec.  1425.2  Content of exception.

    An exception must be a dated, self-contained document which sets 
forth in full:
    (a) A statement of the grounds on which review is requested;
    (b) Evidence or rulings bearing on the issues before the Board;
    (c) Arguments in support of the stated grounds, together with 
specific reference to the pertinent documents and citations of 
authorities; and
    (d) A legible copy of the decision or other document representing 
the action taken by the Foreign Service Grievance Board, together with 
legible copies of other pertinent documents pertaining to the action.



Sec.  1425.3  Grounds for review.

    The Board will review an action of the Foreign Service Grievance 
Board to which an exception has been filed to determine if it is 
deficient--
    (a) Because it is contrary to any law, rule, or regulation; or
    (b) On other grounds similar to those applied by Federal courts in 
private sector labor-management relations.



Sec.  1425.4  Board decision.

    The Board shall issue its decision taking such action and making 
such recommendations concerning the Foreign Service Grievance Board 
action as it considers necessary, consistent with applicable laws, 
rules, and regulations.



PART 1427_GENERAL STATEMENTS OF POLICY OR GUIDANCE--Table of Contents



Sec.
1427.1 Scope.
1427.2 Requests for general statements of policy or guidance.
1427.3 Content of request.
1427.4 Submissions from interested parties.
1427.5 Standards governing issuance of general statements of policy or 
          guidance.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45875, Sept. 15, 1981, unless otherwise noted.



Sec.  1427.1  Scope.

    This part sets forth procedures under which requests may be 
submitted to the Board seeking the issuance of general statements of 
policy or guidance under 22 U.S.C. 4107(c)(2)(F).



Sec.  1427.2  Requests for general statements of policy or guidance.

    (a) The head of the Department (or designee), the national president 
of a labor organization (or designee), or the president of a labor 
organization not affiliated with a national organization

[[Page 445]]

(or designee) may separately or jointly ask the Board for a general 
statement of policy or guidance. The head of any lawful association not 
qualified as a labor organization may also ask the Board for such a 
statement provided the request is not in conflict with the provisions of 
the Foreign Service Labor-Management Relations Statute.
    (b) The Board ordinarily will not consider a request related to any 
matter pending before the Board, General Counsel, Panel or Assistant 
Secretary.



Sec.  1427.3  Content of request.

    (a) A request for a general statement of policy or guidance shall be 
in writing and must contain:
    (1) A concise statement of the question with respect to which a 
general statement of policy or guidance is requested together with 
background information necessary to an understanding of the question;
    (2) A statement of the standards under Sec.  1427.5 upon which the 
request is based;
    (3) A full and detailed statement of the position or positions of 
the requesting party or parties
    (4) Identification of any cases or other proceedings known to bear 
on the question which are pending under the Foreign Service Labor-
Management Statute.
    (5) Identification of other known interested parties.
    (b) A copy of each document also shall be served on all known 
interested parties, including the General Counsel, the Panel, and the 
Assistant Secretary, where appropriate.



Sec.  1427.4  Submissions from interested parties.

    Prior to issuance of a general statement of policy or guidance the 
Board, as it deems appropriate, will afford an opportunity to interested 
parties to express their views orally or in writing.



Sec.  1427.5  Standards governing issuance of general statements of 
policy or guidance.

    In deciding whether to issue a general statement of policy or 
guidance, the Board shall consider:
    (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 involving the same or similar 
question;
    (c) Whether the resolution of the question presented would have 
general applicability under the Foreign Service Labor-Management 
Relations Statute.
    (d) Whether the question currently confronts parties in the context 
of a labor-management relationship;
    (e) Whether the question is presented jointly by the parties 
involved; and
    (f) Whether the issuance by the Board of a general statement of 
policy or guidance on the question would promote constructive and 
cooperative labor-management relationships in the Foreign Service and 
would otherwise promote the purposes of the Foreign Service Labor-
Management Relations Statute.



PART 1428_ENFORCEMENT OF ASSISTANT SECRETARY STANDARDS OF CONDUCT
DECISIONS AND ORDERS--Table of Contents



Sec.
1428.1 Scope.
1428.2 Petitions for enforcement.
1428.3 Board decision.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45875, Sept. 15, 1981, unless otherwise noted.



Sec.  1428.1  Scope.

    This part sets forth procedures under which the Board, pursuant to 
22 U.S.C. 4107(a)(5) enforce decisions and orders of the Assistant 
Secretary in standards of conduct matters arising under 5 U.S.C. 7120.



Sec.  1428.2  Petitions for enforcement.

    (a) The Assistant Secretary may petition the Board to enforce any 
Assistant Secretary decision and order in a standards of conduct case 
arising under 22 U.S.C. 4117. The Assistant Secretary shall transfer to 
the Board the record in the case, including a copy of the transcript if 
any, exhibits, briefs, and other documents filed with the Assistant 
Secretary. A copy of the petition

[[Page 446]]

for enforcement shall be served on the labor organization against which 
such order applies.
    (b) An opposition to Board enforcement of any such Assistant 
Secretary decision and order may be filed by the labor organization 
against which such order applies twenty (20) days from the date of 
service of the petition, unless the Board, upon good cause shown by the 
Assistant Secretary, sets a shorter time for filing such position. A 
copy of the opposition to enforcement shall be served on the Assistant 
Secretary.



Sec.  1428.3  Board decision.

    (a) A decision and order of the Assistant Secretary shall be 
enforced unless it is arbitrary and capricious or based upon manifest 
disregard of the law.
    (b) The Board shall issue its decision on the case enforcing, 
enforcing as modified, refusing to enforce, or remanding the decision 
and order of the Assistant Secretary.



PART 1429_MISCELLANEOUS AND GENERAL REQUIREMENTS--Table of Contents



                         Subpart A_Miscellaneous

Sec.
1429.1 Transfer of cases to the Board.
1429.2 Transfer and consolidation of cases.
1429.3 Transfer of record.
1429.4 Referral of policy questions to the Board.
1429.5 Matters not previously presented; official notice.
1429.6 Oral argument.
1429.7 Subpoenas.
1429.8 Stay of action taken by Grievance Board; requests.
1429.9 Amicus curiae.
1429.10 Advisory opinions.
1429.11 Interlocutory appeals.
1429.12 Service of process and papers by the Board.
1429.13 Official time.
1429.14 Witness fees.
1429.15 Board requests for advisory opinions.
1429.16 General remedial authority.

                     Subpart B_General Requirements

1429.21 Computation of time for filing papers.
1429.22 Additional time after service by mail.
1429.23 Extension; waiver.
1429.24 Place and method of filing; acknowledgement.
1429.25 Number of copies.
1429.26 Other documents.
1429.27 Service; statement of service.
1429.28 Petitions for amendment of regulations.

    Authority: 22 U.S.C. 4107(c).

    Source: 46 FR 45876, Sept. 15, 1981, unless otherwise noted.



                         Subpart A_Miscellaneous



Sec.  1429.1  Transfer of cases to the Board.

    (a) In any representation case under part 1422 of this subchapter in 
which the Regional Director determines, based upon a stipulation by the 
parties, that no material issue of fact exists, the Regional Director 
may transfer the case to the Board; and the Board may decide the case on 
the basis of the papers alone after having allowed twenty-five (25) days 
for the filing of briefs. In any unfair labor practice case under part 
1423 of this subchapter in which, after the issuance of a complaint, the 
Regional Director determines, based upon a stipulation by the parties, 
that no material issue of fact exists, the Regional Director may upon 
agreement of all parties transfer the case to the Board; and the Board 
shall decide the case on the basis of the case papers alone after having 
allowed twenty-five (25) days for the filing of briefs. The Board may 
remand any such case to the Regional Director if it determines that a 
material question of fact does exist. Orders of transfer and remand 
shall be served on all parties.
    (b) In any case under parts 1422 and 1423 of this subchapter in 
which it appears to the Regional Director that the proceedings raise 
questions which should be decided by the Board, the Regional Director 
may, at any time, issue an order transferring the case to the Board for 
decision or other appropriate action. Such an order shall be served on 
the parties.



Sec.  1429.2  Transfer and consolidation of cases.

    In any matter arising pursuant to parts 1422 and 1423 of this 
subchapter, whenever it appears necessary in order to effectuate the 
purposes of the Foreign Service Labor-Management Relations Statute or to 
avoid unnecessary costs or delay, Regional Directors may

[[Page 447]]

consolidate cases within their own region or may transfer such cases to 
any other region, for the purpose of investigation or consolidation with 
any proceedings which may have been instituted in, or transferred to, 
such region.



Sec.  1429.3  Transfer of record.

    In any case under part 1425 of this subchapter, upon request by the 
Board, the parties jointly shall transfer the record in the case, 
including a copy of the transcript, if any, exhibits, briefs and other 
documents filed with the Grievance Board, to the Board.



Sec.  1429.4  Referral of policy questions to the Board.

    Notwithstanding the procedures set forth in this subchapter, the 
General Counsel, the Assistant Secretary, or the Panel may refer for 
review and decision or general ruling by the Board any case involving a 
major policy issue that arises in a proceeding before any of them. Any 
such referral shall be in writing and a copy of such referral shall be 
served on all parties to the proceeding. Before decision or general 
ruling, the Board shall obtain the views of the parties and other 
interested persons, orally or in writing, as it deems necessary and 
appropriate.



Sec.  1429.5  Matters not previously presented; official notice.

    The Board will not consider evidence offered by a party, or any 
issue, which was not presented in the proceedings before the Regional 
Director, Hearing Officer, Administrative Law Judge, or Grievance Board. 
The Board may, however, take official notice of such matters as would be 
proper.



Sec.  1429.6  Oral argument.

    The Board or the General Counsel, in their discretion, may request 
or permit oral argument in any matter arising under this subchapter 
under such circumstances and conditions as they deem appropriate.



Sec.  1429.7  Subpoenas.

    (a) Any member of the Board, the General Counsel, any Administrative 
Law Judge appointed by the Board under 5 U.S.C. 3105, and any Regional 
Director, Hearing Officer, or other employee of the Board designated by 
the Board may issue subpoenas requiring the attendance and testimony of 
witnesses and the production of documentary or other evidence. However, 
no subpoena shall be issued under this section which requires the 
disclosure of intramanagement guidance, advice, counsel, or training 
within an agency or between an agency and the Office of Personnel 
Management.
    (b) Where the parties are in agreement that the appearance of 
witnesses or the production of documents is necessary, and such 
witnesses agree to appear, no such subpoena need be sought.
    (c) A request for a subpoena by any person, as defined in 22 U.S.C. 
4102 shall be in writing and filed with the Regional Director, in 
proceedings arising under parts 1422 and 1423 of this subchapter, or 
filed with the Board, in proceedings arising under parts 1424 and 1425 
of this subchapter, not less than fifteen (15) days prior to the opening 
of a hearing, or with the appropriate presiding official(s) during the 
hearing.
    (d) All requests shall name and identify the witnesses or documents 
sought, and state the reasons therefor. The Board, General Counsel, 
Administrative Law Judge, Regional Director, Hearing Officer, or any 
other employee of the Board designated by the Board, as appropriate, 
shall grant the request upon the determination that the testimony or 
documents appear to be necessary to the matters under investigation and 
the request describes with sufficient particularity the documents 
sought. Service of an approved subpoena is the responsibility of the 
party on whose behalf the subpoena was issued. The subpoena shall show 
on its face the name and address of the party on whose behalf the 
subpoena was issued.
    (e) Any person served with a subpoena who does not intend to comply, 
shall, within five (5) days after the date of service of the subpoena 
upon such person, petition in writing to revoke the subpoena. A copy of 
any petition to revoke a subpoena shall be served on the party on whose 
behalf the subpoena was issued. Such petition to revoke, if made prior 
to the hearing, and a written statement of service, shall be filed with 
the Regional Director, who may

[[Page 448]]

refer the petition to the Board, General Counsel, Administrative Law 
Judge, Hearing Officer, or any other employee of the Board designated by 
the Board, as appropriate, for ruling. A petition to revoke a subpoena 
filed during the hearing, and a written statement of service, shall be 
filed with the appropriate presiding official(s). The Regional Director, 
or the appropriate presiding official(s) will, as a matter of course, 
cause a copy of the petition to revoke to be served on the party on 
whose behalf the subpoena was issued, but shall not be deemed to assume 
responsibility for such service. The Board, General Counsel, 
Administrative Law Judge, Regional Director, Hearing Officer, or any 
other employee of the Board designated by the Board, as appropriate, 
shall revoke the subpoena if the evidence the production of which is 
required does not relate to any matter under investigation or in 
question in the proceedings, or the subpoena does not describe with 
sufficient particularity the evidence the production of which is 
required, or if for any other reason sufficient in law the subpoena is 
invalid. The Board, General Counsel, Administrative Law Judge, Regional 
Director, Hearing Officer, or any other employee of the Board designated 
by the Board, as appropriate, shall make a simple statement of 
procedural or other ground for the ruling on the petition to revoke. The 
petition to revoke, any answer thereto, and any ruling thereon shall not 
become part of the official record except upon the request of the party 
aggrieved by the ruling.
    (f) Upon the failure of any person to comply with a subpoena issued, 
upon the request of the party on whose behalf the subpoena was issued, 
the General Counsel shall, on behalf of such party, institute 
proceedings in the appropriate district court for the enforcement 
thereof, unless, in the judgment of the General Counsel, the enforcement 
of such subpoena would be inconsistent with law and the policies of the 
Foreign Service Labor-Management Relations Statute. The General Counsel 
shall not be deemed thereby to have assumed responsibility for the 
effective prosecution of the same before the court thereafter.



Sec.  1429.8  Stay of action taken by Grievance Board; requests.

    (a) A request for a stay shall be entertained only in conjunction 
with and as a part of an exception to an action taken by the Grievance 
Board under part 1425 of this subchapter. The filing of an exception 
shall not itself operate as a stay of the action involved in the 
proceedings.
    (b) A timely request for a stay of an action taken by the Grievance 
Board to which an exception has been filed shall operate as a temporary 
stay of the award. Such temporary stay shall be deemed effective from 
the date of the action and shall remain in effect until the Board issues 
its decision and order on the exception, or the Board or its designee 
otherwise acts with respect to the request for the stay.
    (c) A request for a stay of an action taken by the Grievance Board 
will be granted only where it appears, based upon the facts and 
circumstances presented, that:
    (1) There is a strong likelihood of success on the merits of the 
appeal; and
    (2) A careful balancing of all the equities, including the public 
interest, warrants issuance of a stay.



Sec.  1429.9  Amicus curiae.

    Upon petition of an interested person, a copy of which petition 
shall be served on the parties, and as the Board deems appropriate, the 
Board may grant permission for the presentation of written and/or oral 
argument at any stage of the proceedings by an amicus curiae and the 
parties shall be notified of such action by the Board.



Sec.  1429.10  Advisory opinions.

    The Board and the General Counsel will not issue advisory opinions.



Sec.  1429.11  Interlocutory appeals.

    The Board and the General Counsel ordinarily will not consider 
interlocutory appeals.



Sec.  1429.12  Service of process and papers by the Board.

    (a) Methods of service. Notices of hearings, reports and findings, 
decisions of

[[Page 449]]

Administrative Law Judges, complaints, written rulings on motions, 
decisions and orders, and all other papers required by this subchapter 
to be issued by the Board, the General Counsel, Regional Directors, 
Hearing Officers and Administrative Law Judges, shall be served 
personally or by certified mail or by telegraph.
    (b) Upon whom served. All papers required to be served under 
paragraph (a) of this section shall be served upon all counsel of record 
or other designated representative(s) of parties, and upon parties not 
so represented. Service upon such counsel or representative shall 
constitute service upon the party, but a copy also shall be transmitted 
to the party.
    (c) Proof of service. Proof of service shall be the verified return 
by the individual serving the papers setting forth the manner of such 
service, the return post office receipt, or the return telegraph 
receipt. When service is by mail, the date of service shall be the day 
when the matter served is deposited in the United States mail. When 
service is to be made to an addressee outside the United States, the 
date of service shall be the date received, as evidenced by official 
receipt.



Sec.  1429.13  Official time.

    If the participation of any employee in any phase of any proceeding 
before the Board, including the investigation of unfair labor practice 
charges and representation petitions and the participation in hearings 
and representation elections, is deemed necessary by the Board, the 
General Counsel, any Administrative Law Judge, Regional Director, 
Hearing Officer, or other agent of the Board designated by the Board, 
such employee shall be granted official time for such participation, 
including necessary travel time, as occurs during the employee's regular 
work hours and when the employee would otherwise be in a work or paid 
leave status. In addition, necessary transportation and per diem 
expenses shall be paid by the Department.



Sec.  1429.14  Witness Fees.

    (a) Witnesses (whether appearing voluntarily, or under a subpoena) 
shall be paid the fee and mileage allowances which are paid subpoenaed 
witnesses in the courts of the United States: Provided, That any witness 
who is employed by the Federal Government shall not be entitled to 
receive witness fees in addition to compensation received pursuant to 
Sec.  1429.13.
    (b) Witness fees and mileage allowances shall be paid by the party 
at whose instance the witnesses appear, except when the witness receives 
compensation pursuant to (the preceding section).



Sec.  1429.15  Board requests for advisory opinions.

    (a) Whenever the Board, pursuant to section 1007(c)(2)(f) of the 
Foreign Service Act of 1980 (22 U.S.C. 4107) requests an advisory 
opinion from the Director of the Office of Personnel Management 
concerning the proper interpretation of rules, regulations, or policy 
directives issued by that Office in connection with any matter before 
the Board, a copy of such request, and any response thereto, shall be 
served upon the parties in the matter.
    (b) The parties shall have fifteen (15) days from the date of 
service a copy of the response of the Office of Personnel Management to 
file with the Board comments on that response which the parties wish the 
Board to consider before reaching a decision in the matter. Such 
comments shall be in writing and copies shall be served upon the parties 
in the manner and upon the Office of Personnel Management.



Sec.  1429.16  General remedial authority.

    The Board shall take any actions which are necessary and appropriate 
to administer effectively the provisions of chapter 41 of title 22 of 
the United States Code.



                     Subpart B_General Requirements



Sec.  1429.21  Computation of time for filing papers.

    In computing any period of time prescribed by or allowed by this 
subchapter, except in agreement bar situations described in Sec.  
1422.3(c) of this subchapter, the day of the act, event, or default from 
or after which the designated period of time begins to run, shall not be 
included. The last day of

[[Page 450]]

the period so computed is to be included unless it is a Saturday, 
Sunday, or a Federal legal holiday in which event the period shall run 
until the end of the next day which is neither a Saturday, Sunday, or a 
Federal legal holiday: Provided, however, In agreement bar situations 
described in Sec.  1422.3 (c) and (d), if the sixtieth (60th) day prior 
to the expiration date of an agreement falls on Saturday, Sunday or a 
Federal legal holiday, a petition, to be timely, must be received by the 
close of business of the last official workday preceding the sixtieth 
(60th) day. When the period of time prescribed or allowed is seven (7) 
days or less, intermediate Saturdays, Sundays, and Federal legal 
holidays shall be excluded from the computations. When this subchapter 
requires the filing of any paper, such document must be received by the 
Board or the officer or agent designated to receive such matter before 
the close of business on the last day of the time limit, if any, for 
such filing or extension of time that may have been granted.



Sec.  1429.22  Additional time after service by mail.

    Whenever a party has the right or is required to do some act 
pursuant to this subchapter within a prescribed period after service of 
a notice or other paper upon such party, and the notice or paper is 
served on such party by mail, five (5) days shall be added to the 
prescribed period.



Sec.  1429.23  Extension; waiver.

    (a) Except as provided in paragraph (d) of this section, the Board 
or General Counsel, or their designated representatives, as appropriate, 
may extend any time limit provided in this subchapter for good cause 
shown, and shall notify the parties of any such extension. Requests for 
extensions of time shall be filed in writing no later than five (5) days 
before the established time limit for filing, shall state the position 
of the other parties on the request for extension, and shall be served 
on the other parties.
    (b) Except as provided in paragraph (d) of this section, the Board 
or General Counsel, or their designated representatives, as appropriate, 
may waive any expired time limit in this subchapter in extraordinary 
circumstances. Request for a waiver of time limits shall state the 
position of the other parties and shall be served on the other parties.
    (c) The time limits established in this subchapter may not be 
extended or waived in any manner other than that described in this 
subchapter.
    (d) The time limits prescribed by 22 U.S.C. 4114(c) may not be 
waived.



Sec.  1429.24  Place and method of filing; acknowledgement.

    (a) A document submitted to the Board pursuant to this subchapter 
shall be filed with the Board at the address set forth in appendix A to 
this chapter XIV.
    (b) A document submitted to the General Counsel pursuant to this 
subchapter shall be filed with the General Counsel at the address set 
forth in appendix A.
    (c) A document submitted to a Regional Director pursuant to this 
subchapter shall be filed with the appropriate regional office, as set 
forth in appendix A.
    (d) A document submitted to an Administrative Law Judge pursuant to 
this subchapter shall be filed with the appropriate Administrative Law 
Judge, as set forth in appendix A.
    (e) All documents filed pursuant to paragraphs (a), (b), (c) and (d) 
of this section shall be filed by certified mail or in person, or if the 
filing party is outside the United States, by the most appropriate 
available means.
    (f) All matters filed under paragraphs (a), (b), (c) and (d) of this 
section shall be printed, typed, or otherwise legibly duplicated: Carbon 
copies of typewritten matter will be accepted if they are clearly 
legible.
    (g) Documents in any proceedings under this subchapter, including 
correspondence, shall show the title of the proceeding and the case 
number, if any.
    (h) The original of each document required to be filed under this 
subchapter shall be signed by the party or by an attorney or 
representative of record for the party, or by an officer of the party, 
and shall contain the address and telephone number of the person signing 
it.

[[Page 451]]

    (i) A return postal receipt may serve as acknowledgement of receipt 
by the Board, General Counsel, Administrative Law Judge, Regional 
Director, or Hearing Officer, as appropriate. The receiving officer will 
otherwise acknowledge receipt of documents filed only when the filing 
party so requests and includes an extra copy of the document or its 
transmittal letter which the receiving office will date stamp upon 
receipt and return. If return is to be made by mail, the filing party 
shall include a self-addressed, stamped envelope for the purpose.



Sec.  1429.25  Number of copies.

    Unless otherwise provided by the Board or the General Counsel, or 
their designated representatives, as appropriate, or under this 
subchapter, any document or paper filed with the Board, General Counsel, 
Administrative Law Judge, Regional Director, or Hearing Officer, as 
appropriate, under this subchapter, together with any enclosure filed 
therewith, shall be submitted in an original and four (4) copies. A 
clean copy capable of being used as an original for purposes such as 
further reproduction may be substituted for the original.



Sec.  1429.26  Other documents.

    (a) The Board or the General Counsel, or their designated 
representatives, as appropriate, may in their discretion grant leave to 
file other documents as they deem appropriate.
    (b) A copy of such other documents shall be served on the other 
parties.



Sec.  1429.27  Service; statement of service.

    (a) Except as provided in Sec.  1423.10 (c) and (d), any party 
filing a document as provided in this subchapter is responsible for 
serving a copy upon all counsel of record or other designated 
representative(s) of parties, upon parties not so represented, and upon 
any interested person who has been granted permission by the Board 
pursuant to Sec.  1429.9 to present written and/or oral argument as 
amicus curiae. Service upon such counsel or representative shall 
constitute service upon the party, but a copy also shall be transmitted 
to the party.
    (b) Service of any document or paper under this subchapter, by any 
party, including documents and papers served by one party on another, 
shall be made by certified mail or in person. A return post office 
receipt or other written receipt executed by the party or person served 
shall be proof of service.
    (c) A signed and dated statement of service shall be submitted at 
the time of filing. The statement of service shall include the names of 
the parties and persons served, their addresses, the date of service, 
the nature of the document served, and the manner in which service was 
made.
    (d) The date of service or date served shall be in the day when the 
matter served is deposited in the U.S. mail or is delivered in person. 
When service is to be made to an addressee outside the United States, 
the date of service shall be the date received, as evidenced by official 
receipt.



Sec.  1429.28  Petitions for amendment of regulations.

    Any interested person may petition the Board or General Counsel in 
writing for amendments to any portion of these regulations. Such 
petition shall identify the portion of the regulations involved and 
provide the specific language of the proposed amendment together with a 
statement of grounds in support of such petition.

[[Page 452]]



           SUBCHAPTER D_FOREIGN SERVICE IMPASSE DISPUTES PANEL





PART 1470_GENERAL--Table of Contents



                            Subpart A_Purpose

Sec.
1470.1 Purpose.

                          Subpart B_Definitions

1470.2 Definitions.

    Authority: 22 U.S.C. 4107(c), 4110.

    Source: 46 FR 45879, Sept. 15, 1981, unless otherwise noted.



                            Subpart A_Purpose



Sec.  1470.1  Purpose.

    The regulations contained in this subchapter are intended to 
implement the provisions of section 4110 of title 22 of the United 
States Code. They prescribed procedures and methods which the Foreign 
Service Impasse Disputes Panel may utilize in the resolution of 
negotiation impasses.



                          Subpart B_Definitions



Sec.  1470.2  Definitions.

    (a) The term Department as used herein shall have the meaning set 
forth in 22 U.S.C. 3902 and 4103, and Sec.  1421.4 of subchapter C of 
these regulations.
    (b) The terms labor organization, and conditions of employment as 
used herein shall have the meanings set forth in 22 U.S.C. 4102.
    (c) The term Executive Director means the Executive Director of the 
Federal Service Impasse Panel as defined in 5 U.S.C. 7119(c).
    (d) The terms designated representative or designee of the Panel 
means a Panel member, a staff member, or other individual designated by 
the Panel to act on its behalf pursuant to 22 U.S.C. 4110(c)(1).
    (e) The term hearing means a factfinding hearing, arbitration 
hearing, or any other hearing procedure deemed necessary to accomplish 
the purposes of 22 U.S.C. 4110.
    (f) The term impasse means that point in the negotiation of a 
collective bargaining agreement at which the parties are deadlocked, 
notwithstanding their efforts to reach agreement by direct negotiations 
and other voluntary arrangements, if any.
    (g) The term Panel means the Foreign Service Impasse Disputes Panel 
described in 22 U.S.C. 4110(a) or a quorum thereof.
    (h) The term party means the Department or the labor organization 
participating in the negotiation of a collective bargaining agreement.
    (i) The term quorum means three (3) or more members of the Panel.
    (j) The term voluntary arrangements means any appropriate technique, 
not inconsistent with the provisions of 22 U.S.C. 4110, used by the 
parties to assist in the negotiation of a collective bargaining 
agreement.



PART 1471_PROCEDURES OF THE PANEL--Table of Contents



Sec.
1471.1 Request for Panel consideration.
1471.2 Content of request.
1471.3 Where to file.
1471.4 Copies and service.
1471.5 Investigation of request; Panel recommendation and assistance.
1471.6 Preliminary hearing procedures.
1471.7 Conduct of hearing and prehearing conference.
1471.8 Report and recommendations.
1471.9 Duties of each party following receipt of recommendations.
1471.10 Final action by the Panel.

Appendix A to Chapter XIV--Current Addresses and Geographic 
          Jurisdictions
Appendix B to Chapter XIV--Memorandum Describing the Authority and 
          Assigned Responsibilities of the General Counsel of the 
          Federal Labor Relations Authority Under the Foreign Service 
          Labor-Management Relations Statute

    Authority: 22 U.S.C. 4107(c), 4110.

    Source: 46 FR 45879, Sept. 15, 1981, unless otherwise noted.



Sec.  1471.1  Request for Panel consideration.

    If direct negotiations and other voluntary arrangements for 
settlement, if

[[Page 453]]

any, fail to resolve a negotiation impasse:
    (a) Either party, or the parties jointly, may request the Panel to 
consider the matter by filing a request as hereinafter provided; or
    (b) The Panel may, pursuant to 22 U.S.C. 4110(a), undertake 
consideration of the matter upon request of the Executive Director.



Sec.  1471.2  Content of request.

    A request from a party or parties to the Panel for consideration of 
an impasse must be in writing and include the following information:
    (a) Identification of the parties and individuals authorized to act 
on their behalf;
    (b) Statement of issues at impasse and the summary of positions of 
the initiating party or parties with respect to those issues; and
    (c) Number, length, and dates of negotiation sessions held, 
including the nature and extent of all other voluntary arrangements 
utilized.



Sec.  1471.3  Where to file.

    Requests to the Panel provided for in this part, and inquiries or 
correspondence on the status of impasses or other related matters, 
should be directed to the Executive Director, Federal Service Impasses 
Panel, Suite 209, 1730 K Street NW., Washington, D.C. 20006.



Sec.  1471.4  Copies and service.

    Any party submitting a request for Panel consideration of an impasse 
and any party submitting a response to such requests shall file an 
original and one copy with the Panel, shall serve a copy promptly on the 
other party to the dispute, and shall file a statement of such service 
with the Executive Director. When the Panel acts on a request from the 
Executive Director, it will notify the parties to the dispute.



Sec.  1471.5  Investigation of request; Panel recommendation and assistance.

    Upon receipt of a request for consideration of an impasse, the Panel 
or its designee will promptly conduct an investigation. After due 
consideration, the Panel shall either:
    (a) Decline to assert jurisdiction in the event that it finds that 
no impasse exists or that there is other good cause for not asserting 
jurisdiction, in whole or in part, and so advise the parties in writing, 
stating its reasons; or
    (b) Recommend to the parties procedures, including but not limited 
to arbitration, for the resolution of the impasse and/or assist them in 
resolving the impasse through whatever methods and procedures the Panel 
considers appropriate.



Sec.  1471.6  Preliminary hearing procedures.

    When the Panel determines that a hearing is necessary under Sec.  
1471.5 it will:
    (a) Appoint one or more of its designees to conduct such hearing; 
and
    (b) Issue and serve upon each of the parties a notice of hearing and 
a notice of prehearing conference, if any. The notice will state (1) the 
names of the parties to the dispute; (2) the date, time, place, type, 
and purpose of the hearing; (3) the date, time, place, and purpose of 
the prehearing conference, if any; (4) the name of the designated 
representative appointed by the Panel; and (5) the issues to be 
resolved.



Sec.  1471.7  Conduct of hearing and prehearing conference.

    (a) A designated representative of the Panel, when so appointed to 
conduct a hearing, shall have the authority on behalf of the Panel to:
    (1) Administer oaths, take the testimony or deposition of any person 
under oath, receive other evidence, and issue subpoenas;
    (2) Conduct the hearing in open or in closed session at the 
discretion of the designated representative for good cause shown;
    (3) Rule on motions and requests for appearance of witnesses and the 
production of records;
    (4) Designate the date on which posthearing briefs, if any, shall be 
submitted (an original and one (1) copy of each brief, accompanied by a 
statement of service, shall be submitted to the designated 
representative of the Panel with a copy to the other party); and
    (5) Determine all procedural matters concerning the hearing, 
including the length of sessions, conduct of persons

[[Page 454]]

in attendance, recesses, continuances, and adjournments; and take any 
other appropriated procedural action which, in the judgment of the 
designated representative, will promote the purpose and objectives of 
the hearing.
    (b) A prehearing conference may be conducted by the designated 
representative of the Panel in order to:
    (1) Inform the parties of the purpose of the hearing and the 
procedures under which it will take place;
    (2) Explore the possibilities of obtaining stipulations of fact;
    (3) Clarify the positions of the parties with respect to the issues 
to be heard; and
    (4) Discuss any other relevant matters which will assist the parties 
in the resolution of the dispute.
    (c) An official reporter shall make the only official transcript of 
a hearing. Copies of the official transcript may be examined and copied 
at the Office of the Executive Director in accordance with part 1411 of 
this chapter.



Sec.  1471.8  Report and recommendations.

    (a) When a report is issued after a hearing conducted pursuant to 
Sec. Sec.  1471.6 and 1471.7, it normally shall be in writing and, when 
authorized by the Panel, shall contain recommendations.
    (b) A report of the designated representative containing 
recommendations shall be submitted to the parties, with two (2) copies 
to the Executive Director, within a period normally not to exceed thirty 
(30) calendar days after receipt of the transcript or briefs, if any.
    (c) A report of the designated representative not containing 
recommendations shall be submitted to the Panel with a copy to each 
party within a period normally not to exceed thirty (30) calendar days 
after receipt of the transcript or briefs, if any. The Panel shall then 
take whatever action it may consider appropriate or necessary to resolve 
the impasse.



Sec.  1471.9  Duties of each party following receipt of recommendations.

    (a) Within thirty (30) days after receipt of a report containing 
recommendations of the Panel or its designated representative, each 
party shall, after conferring with the other, either:
    (1) Accept the recommendations and so notify the Executive Director; 
or
    (2) Reach a settlement of all unresolved issues and submit a written 
settlement statement to the Executive Director; or
    (3) Submit a written statement to the Executive Director setting 
forth the reasons for not accepting the recommendations and for not 
reaching a settlement of all unresolved issues.
    (b) A reasonable extension of time may be authorized by the 
Executive Director for good cause shown when requested in writing by 
either party prior to the expiration of the time limits.
    (c) All papers submitted to the Executive Director under this 
section shall be filed in duplicate, along with a statement of service 
showing that a copy has been served on the other party to the dispute.



Sec.  1471.10  Final action by the Panel.

    (a) If the parties do not arrive at a settlement as a result of or 
during action taken under Sec. Sec.  1471.5(a)(2), 1471.6, 1471.7, 
1471.8, and 1471.9, the Panel may take whatever action is necessary and 
not inconsistent with 22 U.S.C. 4110 to resolve the impasse, including 
but not limited to methods and procedures which the Panel considers 
appropriate, such as directing the parties to accept a factfinder's 
recommendations, ordering binding arbitration conducted according to 
whatever procedure the Panel deems suitable, and rendering a binding 
decision.
    (b) In preparation for taking such final action, the Panel may hold 
hearings, administer oaths, take the testimony or deposition of any 
person under oath, and issue subpoenas as provided in 22 U.S.C. 
4110(c)(2), or it may appoint or designate one or more individuals 
pursuant to 22 U.S.C. 4110(c)(1) to exercise such authority on its 
behalf.
    (c) When the exercise of authority under this section requires the 
holding of a hearing, the procedure contained in Sec.  1471.7 shall 
apply.
    (d) Notice of any final action of the Panel shall be promptly served 
upon the parties, and the action shall be binding on such parties during 
the

[[Page 455]]

term of the agreement, unless they agree otherwise.
    (e) All papers submitted to the Executive Director under this 
section shall be filed in duplicate, along with a statement of service 
showing that a copy has been served on the other party to the dispute.

                       PARTS 1472	1499 [RESERVED]



    Sec. Appendix A to Chapter XIV--Current Addresses and Geographic 
                              Jurisdictions

    (a) The Office address of the Board is as follows:

1900 E Street, NW., Room 7469, Washington, DC 20424. Telephone: Office 
of Executive Director, FTS--254-9595; Commercial--(202) 254-9595. Office 
of Operations, FTS--254-7362; Commercial--(202) 254-7362

    (b) The Office address of the General Counsel is as follows:

1900 E Street, NW., Room 7469, Washington, DC 20424. Telephone: FTS--
632-6264; Commercial--(202) 632-6264

    (c) The Office address of the Chief Administrative Law Judge is as 
follows:

1111 20th Street, NW., Room 416, Washington, DC 20036. Telephone: FTS--
653-7375; Commercial--(202) 653-7375

    (d) The Office addresses of Regional Directors of the Authority are 
as follows:

    (1) Boston Regional Office, 441 Stuart Street, 9th Floor, Boston, MA 
02116. Telephone: FTS--223-0920; Commercial--(617) 223-0920
    (2) New York Regional Office, 26 Federal Plaza, Room 241, New York, 
NY 10278. Telephone: FTS--264-4934; Commercial--(212) 264-4934
(i) Philadelphia Sub-Regional Office, 325 Chestnut Street, Mall 
Building, Room 5000, Philadelphia, PA 19106. Telephone: FTS--597-1527; 
Commercial--(215) 597-1527
    (3) Washington Regional Office, 1133 15th Street, NW., Suite 300, 
Washington, DC 20005. Telephone: FTS--653-8452; Commercial--(202) 653-
8452
    (4) Atlanta Regional Office, 1776 Peachtree Street, NW., Suite 501, 
North Wing, Atlanta, GA 30309. Telephone: FTS--257-2324; Commercial--
(404) 881-2324 or 881-2325
    (5) Chicago Regional Office, 175 W. Jackson Blvd., Suite 1359-A, 
Chicago, IL 60604. Telephone: FTS--886-3468 or 886-3469; Commercial--
(312) 353-6306
(i) Cleveland Sub-Regional Office, 1301 Superior Avenue, Suite 230, 
Cleveland, OH 44114. Telephone: FTS--293-2114; Commercial--(216) 522-
2114
    (6) Dallas Regional Office, Downtown Post Office Station, Bryan and 
Ervay Streets, P.O. Box 2640, Dallas, TX 75221. Telephone: FTS--729-
4996; Commercial--(214) 767-4996
    (7) Kansas City Regional Office, City Center Square, 1100 Main 
Street, Suite 680, Kansas City, MO 64105. Telephone: FTS--758-2199; 
Commercial--(816) 374-2199
(i) Denver Sub-Regional Office, 1531 Stout Street, Suite 301, Denver, CO 
80202. Telephone: FTS--327-5224; Commercial--(303) 837-5224
    (8) Los Angeles Regional Office, 350 So. Figueroa Street, 10th 
Floor, World Trade Center, Los Angeles, CA 90071. Telephone: FTS--798-
3805; Commercial--(213) 688-3805
(i) Honolulu Sub-Regional Office, Room 3206, 300 Alamoana Blvd., 
Honolulu, Hawaii 96850. Telephone: FTS--556-0220 through San Francisco 
FTS Operator; Commercial--(808) 546-8355
    (9) San Francisco Regional Office, 530 Bush Street, Room 542, San 
Francisco, CA 94108. Telephone: FTS--556-8105; Commercial--(415) 556-
8105

    (e) The Office address of the Panel is as follows:

1730 K Street, NW., Suite 209, Washington, DC 20006. Telephone: FTS--
653-7078; Commercial--(202) 653-7078

    (f) The geographic jurisdictions of the Regional Directors of the 
Authority, are as follows:

 
         State or other locality                  Regional office
 
Alabama                                    Atlanta
Alaska                                     San Francisco
Arizona                                    Los Angeles
Arkansas                                   Dallas
California                                 Los Angeles/San Francisco \1\
Colorado                                   Kansas City
Connecticut                                Boston
Delaware                                   New York
District of Columbia                       Washington, DC
Florida                                    Atlanta
Georgia                                    Atlanta
Hawaii and all land and water areas west   Los Angeles
 of the continents of North and South
 America (except coastal islands) to
 long. 90\1/4\E
Idaho                                      San Francisco
Illinois                                   Chicago
Indiana                                    Chicago
Iowa                                       Kansas City
Kansas                                     Kansas City
Kentucky                                   Atlanta
Louisiana                                  Dallas

[[Page 456]]

 
Maine                                      Boston
Maryland                                   Washington, DC
Massachusetts                              Boston
Michigan                                   Chicago
Minnesota                                  Chicago
Mississippi                                Atlanta
Missouri                                   Kansas City
Montana                                    Kansas City
Nebraska                                   Kansas City
Nevada                                     San Francisco
New Hampshire                              Boston
New Jersey                                 New York
New Mexico                                 Dallas
New York                                   Boston/New York \2\
North Carolina                             Atlanta
North Dakota                               Kansas City
Ohio                                       Chicago
Oklahoma                                   Dallas
Oregon                                     San Francisco
Pennsylvania                               New York
Puerto Rico                                New York
Rhode Island                               Boston
South Carolina                             Atlanta
South Dakota                               Kansas City
Tennessee                                  Atlanta
Texas                                      Dallas
Utah                                       Kansas City
Vermont                                    Boston
Virginia                                   Washington, DC/Atlanta \3\
Washington                                 San Francisco
West Virginia                              Washington, DC
Wisconsin                                  Chicago
Wyoming                                    Kansas City
Virgin Islands                             New York
Panama/Limited FLRA jurisdiction           Dallas
All land and water areas east of the       Washington
 continents of North and South America to
 long. 90\1/4\E, except the Virgin
 Islands, Panama (limited FLRA
 jurisdiction), Puerto Rico and coastal
 islands
 
\1\ San Francisco includes the following California counties: Monterey,
  Kings, Tulare, Inyo, and all counties north thereof. All counties in
  California south thereof are within the Los Angeles jurisdiction.
\2\ New York includes the following counties: Ulster, Sullivan, Greene,
  Columbia and all counties south thereof. All counties in New York
  state north thereof are in the jurisdiction of Boston.
\3\ Washington, DC includes the following counties in Virginia:
  Alexandria, Fairfax, Fauquier, Loudoun and Prince William. All other
  counties within Virginia are in the jurisdiction of Atlanta.


[46 FR 45881, Sept. 15, 1981]



Sec. Appendix B to Chapter XIV--Memorandum Describing the Authority and 
 Assigned Responsibilities of the General Counsel of the Federal Labor 
Relations Authority Under the Foreign Service Labor-Management Relations 
                                 Statute

    The statutory authority and responsibility of the General Counsel of 
the Federal Labor Relations Board are stated in section 4108 subsections 
(1), (2) and (3), of the Foreign Service Labor-Management Relations 
Statute as follows:

              Section 4108 Functions of the General Counsel

    The General Counsel may--
    (A) investigate alleged unfair labor practices under this chapter,
    (B) file and prosecute complaints under this chapter, and
    (C) exercise such other powers of the Board as the Board may 
prescribe.
    This memorandum is intended to describe the statutory authority and 
set forth the prescribed duties and authority of the General Counsel of 
the Federal Labor Relations Authority under the Foreign Service Statute, 
effective February 15, 1981.
    I. Case handling-- A. Unfair labor practice cases. The General 
Counsel has full and final authority and responsibility, on behalf of 
the Board, to accept and investigate charges filed, to enter into and 
approve the informal settlement of charges, to approve withdrawal 
requests, to dismiss charges, to determine matters concerning the 
consolidation and severance of cases before complaint issues, to issue 
complaints and notices of hearing, to appear before Administrative Law 
Judges in hearings on complaints and prosecute as provided in the 
Board's and the General Counsel's rules and regulations, and to initiate 
and prosecute injunction proceedings as provided for in section 4109(d) 
of the Foreign Service Statute. After issuance of the Administrative Law 
Judge's decision, the General Counsel may file exceptions and briefs and 
appear before the Board in oral argument, subject to the Board's and the 
General Counsel's rules and regulations.
    B. Compliance actions (injunction proceedings). The General Counsel 
is authorized and responsible, on behalf of the Board, to seek and 
effect compliance with the Board's orders and make such compliance 
reports to the Board as it may from time to time require.

On behalf of the Board, the General Counsel will, in full accordance 
with the directions of the Board, initiate and prosecute injunction 
proceedings as provided in section 4109(d) of the Foreign Service 
Statute: Provided however, That the General Counsel will initiate

[[Page 457]]

and conduct injunction proceedings under section 4109(d) of the Foreign 
Service Statute only upon approval of the Board.
    C. Representation cases. The General Counsel is authorized and has 
responsibility, on behalf of the Board, to receive and process, in 
accordance with the decisions of the Board and with such instructions 
and rules and regulations as may be issued by the Board from time to 
time, all petitions filed pursuant to sections 4111 and 4118(c) of the 
Foreign Service Statute. The General Counsel is also authorized and has 
responsibility to supervise or conduct elections pursuant to section 
4111 of the Foreign Service Statute and to enter into consent election 
agreements in accordance with section 4111(g) of the Foreign Service 
Statute.

The authority and responsibility of the General Counsel in 
representation cases shall extend, in accordance with the rules and 
regulations of the Board and the General Counsel, to all phases of the 
investigation through the conclusion of the hearing (if a hearing should 
be necessary to resolve disputed issues), but all matters involving 
decisional action after such hearings are reserved by the Board to 
itself. In the event a direction of election should issue by the Board, 
the authority and responsibility of the General Counsel, as herein 
prescribed, shall attach to the conduct of the ordered election, the 
initial determination of the validity of challenges and objections to 
the conduct of the election and other similar matters, except that if 
appeals shall be taken from the General Counsel's action on the validity 
of challenges and objections, such appeals will be directed to and 
decided by the Board in accordance with its procedural requirements. If 
challenged ballots would not affect the election results and if no 
objections are filed within five days after the conduct of the Board-
directed election under the provisions of section 4111 of the Foreign 
Service Statute, the General Counsel is authorized and has 
responsibility, on behalf of the Board, to certify to the parties the 
results of the election in accordance with regulations prescribed by the 
Board and the General Counsel.

Appeals from the refusal of the General Counsel to issue a notice of 
hearing, from the conclusions contained in a report and findings issued 
by the General Counsel, or from the dismissal by the General Counsel of 
any petition, will be directed to and decided by the Board, in 
accordance with its procedural requirements.

In processing election petitions filed pursuant to section 4111 of the 
Foreign Service Statute and petitions filed pursuant to section 4118(c) 
of the Foreign Service Statute, the General Counsel is authorized to 
conduct an appropriate investigation as to the authenticity of the 
prescribed showing of interest and, upon making a determination to 
proceed, where appropriate, to supervise or conduct a secret ballot 
election or certify the validity of a petition for determination of 
eligibility for dues allotment. After an election, if there are no 
challenges or objections which require a hearing by the Board, the 
General Counsel shall certify the results thereof, with appropriate 
copies lodged in the Washington, DC, files of the Board.
    II. Liaison with other governmental agencies. The General Counsel is 
authorized and has responsibility, on behalf of the Board, to maintain 
appropriate and adequate liaison and arrangements with the Office of the 
Assistant Secretary of Labor for Labor-Management Relations with 
reference to the financial and other reports required to be filed with 
the Assistant Secretary pursuant to section 4117 of the Foreign Service 
Statute and the availability to the Board and the General Counsel of the 
contents thereof. The General Counsel is authorized and has 
responsibility, on behalf of the Board, to maintain appropriate and 
adequate liaison with the Foreign Service Grievance Board with respect 
to functions which may be performed by the Foreign Service Grievance 
Board.
    III. To the extent that the above-described duties, powers and 
authority rest by statute with the Board, the foregoing statement 
constitutes a prescription and assignment of such duties, powers and 
authority, whether or not so specified.

[46 FR 45882, Sept. 15, 1981]

[[Page 459]]



               CHAPTER XV--AFRICAN DEVELOPMENT FOUNDATION




  --------------------------------------------------------------------
Part                                                                Page
1500            Sunshine regulations........................         461
1501            Organization................................         463
1502            Availability of records.....................         465
1503            Official seal...............................         467
1504            Employee responsibilities and conduct.......         469
1506            Collection of claims........................         469
1507            Rules safeguarding personal information.....         482
1508            Governmentwide debarment and suspension 
                    (nonprocurement)........................         487
1509            Governmentwide requirements for drug-free 
                    workplace (financial assistance)........         510
1510            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the African 
                    Development Foundation..................         516
1511-1599

 [Reserved]

[[Page 461]]



PART 1500_SUNSHINE REGULATIONS--Table of Contents



Sec.
1500.1 Purpose and scope.
1500.2 Policy.
1500.3 Definitions.
1500.4 Open meetings.
1500.5 Grounds on which meetings may be closed.
1500.6 Procedure for announcing meetings.
1500.7 Procedure for closing meetings.
1500.8 Changing the time and place of, and reconsideration of opening or 
          closing a meeting.
1500.9 Transcripts, recording of closed meetings.

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

    Source: 48 FR 55842, Dec. 16, 1983, unless otherwise noted.



Sec.  1500.1  Purpose and scope.

    The purpose of this part is to effectuate the provisions of the 
Government in the Sunshine Act. These procedures apply to meetings of 
the Board of Directors of the African Development Foundation.



Sec.  1500.2  Policy.

    It is the policy of the African Development Foundation to provide 
the public with the fullest practical information regarding its 
decision-making process, while protecting the rights of individuals and 
the ability of the Foundation to carry out its responsibilities.



Sec.  1500.3  Definitions.

    As used in this part:
    Board or Board of Directors means the collegial body that conducts 
the business of the African Development Foundation as specified in title 
V, section 507 of the International Security and Development Cooperation 
Act of 1980, Pub. L. 96-533 (22 U.S.C. 290 h-5).
    Meeting means the deliberations of a quorum of the Directors of the 
Foundation required to take action on behalf of the Foundation where 
such deliberations determine or result in the joint conduct or 
disposition of official Foundation business, but does not apply to 
deliberations to take action to open or close a meeting. (See Sec.  
1500.5.)
    Member means an individual who belongs to the ADF Board of 
Directors.
    Public Observation means attendance at any meeting but does not 
include participation, or attempted participation, in such meeting in 
any manner.



Sec.  1500.4  Open meetings.

    (a) Members shall not jointly conduct or dispose of Foundation 
business other than in accordance with these procedures. Every portion 
of every meeting of the Board of Directors shall be open to public 
observation, subject to the exceptions provided in Sec.  1500.5.
    (b) The Secretary of the Foundation shall be responsible for 
assuring that ample space, sufficient visibility, and adequate acoustics 
are provided for public observation of meetings of the Board of 
Directors.



Sec.  1500.5  Grounds on which meetings may be closed.

    (a) The Foundation shall open every portion of every meeting of the 
Foundation for public observation, except where the Foundation 
determines that such portion or portions of its meeting or the 
disclosure of such information is likely to:
    (1) Disclose matters that are:
    (i) Specifically authorized under criteria established by an 
executive order to be kept secret in the interests of national defense 
on foreign policy, and
    (ii) In fact properly classified pursuant to such executive order;
    (2) Relate solely to the internal personnel rules and practice of 
the Foundation;
    (3) Disclose matters specifically exempted from disclosure by 
statute, provided that such statute:
    (i) Requires that the matters be withheld from the public in such 
manner as to leave no discretion on the issue, or
    (ii) Has established practical criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Disclose trade secrets and commercial or financial information 
which has been obtained from a person and is privileged or confidential;
    (5) Involve accusing any person of a crime, or formally censuring 
any person;
    (6) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarrented invasion of personal privacy;
    (7) Disclose investigatory records compiled for law enforcement 
purposes,

[[Page 462]]

or information which if written would be contained in such records, but 
only to the extent that the production of such records or information 
would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed agency 
action. This shall not apply in any instance where the Foundation has 
already disclosed to the public the content or nature of its proposed 
action or where the Foundation is required by law to make such 
disclosure on its own initiative prior to taking final Foundation action 
on such proposal;
    (9) Specifically concern the Foundation's issuance of a subpoena; 
the Foundation's participation in a civil action or proceeding, or an 
arbitration; or an action in a foreign court or international tribunal; 
or the initiation, conduct, or disposition by the Foundation of a 
particular case of formal agency adjudication pursuant to the procedures 
in section 554 of title 5 of the United States Code, or otherwise 
involving a determination on the record after an opportunity for a 
hearing.
    (b) Meetings of the Board of Directors shall not be closed pursuant 
to paragraph (a) of this section when the Foundation finds that the 
public interest requires that they be open.



Sec.  1500.6  Procedure for announcing meetings.

    (a) In the case of each meeting of the Board of Directors, the 
Foundation shall make public, at least one week before the meeting, the 
following information:
    (1) Time of the meeting;
    (2) Place of the meeting;
    (3) Subject matter of the meeting;
    (4) Whether the meeting or parts thereof are to be open or closed to 
the public; and
    (5) The name and telephone number of the person designated by the 
Board to respond to requests for information about the meeting.
    (b) The period of one week for the public announcement required by 
paragraph (a) of this section may be reduced if a majority of the Board 
of Directors of the Foundation determines by a recorded vote that the 
Foundation requires that such a meeting be called at an earlier date, in 
which case the Foundation shall make public announcement of the time, 
place, and subject matter of such meeting, and whether open or closed to 
the public, at the earliest practicable time.
    (c) Immediately following the public announcement, the Foundation 
shall publish the announcement in the Federal Register.
    (d) The earliest practicable time, as used in this subsection, means 
as soon as possible, which should not be later than the commencement of 
the meeting or portion in question.
    (e) The Secretary of the Foundation shall use reasonable means to 
assure that the public is fully informed by the public announcements 
required by this section. Such public announcements may be made by 
posting notices in the public areas of the Foundation's headquarters and 
mailing notices to the persons on a list maintained for those who want 
to receive such announcements.



Sec.  1500.7  Procedure for closing meetings.

    (a) Action to close a meeting or a portion thereof, pursuant to the 
exemptions set forth in Sec.  1500.5, shall be taken only when:
    (1) A majority of the membership of the Foundation's Board of 
Directors votes to take such action. That vote shall determine whether 
or not any portion or portions of a meeting or portions of a series of 
meetings may be

[[Page 463]]

closed to public, obervation for any of the reasons provided in Sec.  
1500.5 and whether or not the public interest nevertheless requires that 
portion of the meeting or meetings remain open. A single vote may be 
taken with respect to a series of meetings, a portion or portions of 
which are proposed to be closed to the public, or with respect to any 
information concerning such series of meetings, so long as each meeting 
in such series involves the same particular matters and is scheduled to 
be held no more than thirty days after the initial meeting in such 
series. The vote of each Board member participating in such vote shall 
be recorded, and no proxies shall be allowed.
    (2) Whenever any person whose interests may be directly affected by 
a portion of a meeting requests that the Foundation close such portion 
to the public for any of the reasons referred to in Sec.  1500.5 (a) 
(5), (6), or (7), the Foundation, upon request of any one of its Board 
members, shall take a recorded vote whether to close such portion of the 
meeting.
    (b) Within one day of any vote taken, the Foundation shall make 
publicly available a written copy of such vote, reflecting the vote of 
each member on the question, and a full written explanation of the 
action to close a portion of or the entire meeting, together with a list 
of persons expected to attend the meeting and their affiliations.
    (c) For every closed meeting, the General Counsel of the Foundation 
shall publicly certify prior to a Board of Directors' vote on closing 
the meeting that, in his or her opinion, the meeting may be closed to 
the public, and shall state each relevant exemptive provision. A copy of 
such certification, together with a statement from the presiding officer 
of the meeting setting forth the time and place of the meeting and the 
persons present, shall be retained by the Foundation.



Sec.  1500.8  Changing the time and place of, and reconsideration of
opening or closing a meeting.

    The time or place of a Board meeting may be changed following the 
public announcement only if the Foundation publicly announces such 
change at the earliest practicable time. The subject matter of a 
meeting, or the determination of the Foundation to open or close a 
meeting, or portion of a meeting, to the public, may be changed 
following the public announcement only if a majority of the Board of 
Directors determines by a recorded vote that Foundation business so 
requires and that no earlier announcement of the change was possible, 
and the Foundation publicly announces such change and the vote of each 
member upon change at the earliest practicable time.



Sec.  1500.9  Transcripts, recording of closed meetings.

    (a) The Foundation shall maintain a complete transcript or 
electronic recording adequate to record fully the proceedings of each 
meeting, or portion of a meeting, closed to the public.
    (b) The Foundation, after review by the General Counsel, shall make 
promptly available to the public in a place easily accessible to the 
public the transcript or electronic recording of the discussion of any 
item on the agenda, or any item of the testimony of any witness received 
at the Board meeting, except for such item or items of discussion or 
testimony as the Foundation determines to contain information which may 
be withheld under Sec.  1500.5. Copies of such transcript, or a 
transcription of such recording, disclosing the identify of each 
speaker, shall be furnished to any person at the actual cost of 
duplication or transcription. The Foundation shall maintain a complete 
verbatim copy of the transcript or a complete electronic recording of 
each meeting, or portion of a meeting, closed to the public, for a 
period of at least two years after such meeting, or until one year after 
the conclusion of any Foundation proceeding with respect to which the 
meeting or portion was held, whichever occurs later.



PART 1501_ORGANIZATION--Table of Contents



                Substantive Rule of General Applicability

Sec.
1501.1 Introduction.
1501.2 Background.
1501.3 Description of central organization and location of offices.

[[Page 464]]

1501.4 Availability of information pertaining to Foundation operations.
1501.5 Substantive rules of general applicability.

    Authority: 22 U.S.C. 290h; 5 U.S.C. 552.

    Source: 50 FR 18861, May 3, 1985, unless otherwise noted.

                Substantive Rule of General Applicability



Sec.  1501.1  Introduction.

    The regulations of this part are issued pursuant to the provisions 
of the Freedom of Information Act, 5 U.S,C. 552.



Sec.  1501.2  Background.

    (a) The African Development Foundation (``ADF'') is a wholly-owned 
corporation of the United States Government, created by the African 
Development Foundation Act (title V, Pub. L. 96-533, 94 Stat. 3151 (22 
U.S.C. 290h)). It is a non-profit, non-stock issuing, tax-exempt 
corporation, and is subject to title I of the Government Corporation 
Control Act (31 U.S.C. 9101 et seq.).
    (b) The primary function of ADF is to extend financial assistance in 
the form of grants, loans and loan guarantees to African private and 
public entities to support self-help activities at the local level in 
African countries, and to fund development research by Africans. 
Priority shall be given to projects which community groups undertake to 
foster their own development and which involve maximum feasible 
participation of the poor. The maximum assistance which may be extended 
for a single project is $250,000.



Sec.  1501.3  Description of central organization and location of offices.

    (a) The management of ADF is vested in a Board of Directors 
(hereinafter referred to as the ``Board'') consisting of a Chairperson, 
a Vice Chairperson and five other members appointed by the President, by 
and with the advice and consent of the Senate. Five of the members are 
appointed from private life and two from among the officers and 
employees of agencies of the United States concerned with African 
affairs. The Board establishes policy for the Foundation and is 
responsible for its management.
    (b) The Board is required to appoint a President of the Foundation 
upon such terms as it may determine. The President has responsibility 
for directing the day to day activities of the Foundation. He is 
assisted by a Vice President, a Congressional liaison officer, a Public 
Affairs officer, a General Counsel, and the following staff units:
    (1) Office of Administration and Finance. This office is responsible 
for the management of the administrative, budgeting, financial and 
personnel activities of the Foundation.
    (2) Office of Research and Evaluation. This office is responsible 
for evaluating, or assisting grantees to evaluate, ADF funded projects; 
for monitoring evaluations and analyses of grassroots projects conducted 
by other funding or research organizations; and for identifying and 
providing assistance to indigenous researchers in Africa working in 
development projects at the local level.
    (3) Office of Program and Field Operations. This office is 
responsible for identifying, reviewing and monitoring projects funded by 
the Foundation.
    (c) The Board is also required to establish an Advisory Council made 
up of individuals knowledgeable about development activities in Africa, 
and to consult with the Council at least once each year. The Council 
shall have not more than 25 members appointed for a period of two years 
with an option to be reappointed for an additional year.
    (d) The Board of Directors and the aforementioned officers, together 
with the other employees of the Foundation, constitute the central 
organization of ADF, and are located and function at ADF headquarters, 
1724 Massachusetts Avenue NW., Suite 200, Washington, DC 20036. It is 
anticipated that in the future a field organization will be established 
with offices in selected cities in Africa, but this has not yet 
occurred.



Sec.  1501.4  Availability of information pertaining to Foundation 
operations.

    Rules of procedure and forms used for the funding of ADF projects 
may be obtained upon application to the Office of Program and Field 
Operations at ADF

[[Page 465]]

headquarters, 1724 Massachusetts Avenue NW., Suite 200, Washington, DC 
20036.



Sec.  1501.5  Substantive rules of general applicability.

    ADF's regulations published under the provisions of the 
Administrative Procedure Act are found in chapter XV of title 22 of the 
Code of Federal Regulations and the Federal Register. These regulations 
are supplemented from time to time by amendments appearing initially in 
the Federal Register.



PART 1502_AVAILABILITY OF RECORDS--Table of Contents



Sec.
1502.1 Introduction.
1502.2 Definitions.
1502.3 Access to Foundation records.
1502.4 Written requests.
1502.5 Records available at the Foundation.
1502.6 Records of other departments and agencies.
1502.7 Fees.
1502.8 Exemptions.
1502.9 Processing of requests.
1502.10 Judicial review.

    Authority: Title V of the International Security and Development 
Cooperation Act of 1980, 22 U.S.C. 290h; 5 U.S.C. 552; FOIA Improvement 
Act of 2016, Public Law 114-185.

    Source: 82 FR 9130, Feb. 3, 2017, unless otherwise noted.



Sec.  1502.1  Introduction.

    (a) The United States African Development Foundation makes 
information about its operations, procedures, and records freely 
available to the public in accordance with the provisions of the Freedom 
of Information Act (FOIA).
    (b) The Foundation will make the fullest possible disclosure of its 
information and identifiable records consistent with the provisions of 
the Act and the regulations in this part.
    (c) The Chief FOIA Officer shall be responsible for the Foundation's 
compliance with the processing requirements of the Freedom of 
Information Act.



Sec.  1502.2  Definitions.

    As used in this part, the following words have the meanings set 
forth below:
    (a) Act means the Act of June 5, 1967, sometimes referred to as the 
``Freedom of Information Act'' or the Public Information Section of the 
Administrative Procedure Act, as amended, Public Law 90-23, 81 Stat. 54, 
codified at 5 U.S.C. 552.
    (b) Foundation means the United States African Development 
Foundation.
    (c) President means the President of the Foundation.
    (d) Record(s) includes all books, papers, or other documentary 
materials made or received by the Foundation in connection with the 
transaction of its business which have been preserved or are appropriate 
for preservation by the Foundation as evidence of its organization, 
functions, policies, decisions, procedures, operations, or other 
activities, or because of the informational value of the data contained 
therein. Library or other material acquired and preserved solely for 
reference or exhibition purposes, and stocks of publications and other 
documents provided by the Foundation to the public in the normal course 
of doing business are not included within the definition of the word 
``records.'' The latter will continue to be made available to the public 
without charge.



Sec.  1502.3  Access to Foundation records.

    Any person desiring to have access to Foundation records may call or 
apply in person between the hours of 10 a.m. and 4 p.m. on weekdays 
(holidays excluded) at the Foundation offices or mail a request to the 
Foundation at 1400 I Street NW., Suite 1000, Washington, DC 20005, or 
submit a request by email to [email protected] on the Foundation's Web 
site, www.usadf.gov. Requests for access under the Freedom of 
Information Act should be made to the Chief FOIA Officer at the 
Foundation offices. If a request is made for copies of any record, the 
Chief FOIA Officer will assist the person making such request in seeing 
that such copies are provided according to the rules in this part.



Sec.  1502.4  Written requests.

    In order to facilitate the processing of written requests, every 
petitioner should:

[[Page 466]]

    (a) Address his or her request to: Chief FOIA Officer, United States 
African Development Foundation, 1400 I Street NW., Suite 1000, 
Washington, DC 20005.
    Both the envelope and the request itself, or the email, should be 
clearly marked: ``Freedom of Information Act Request.''
    (b) Identify the desired record by name, title, author, a brief 
description, or number, and date, as applicable. The identification 
should be specific enough so that a record can be identified and found 
without unreasonably burdening or disrupting the operations of the 
Foundation. If the Foundation determines that a request does not 
reasonably describe the records sought, the requestor shall be advised 
what additional information is needed or informed why the request is 
insufficient.
    (c) Include a check or money order to the order of the ``United 
States African Development Foundation'' covering the appropriate search 
and copying fees, or a request for determination of the fee, or a 
specified amount that the requestor is willing to pay in connection with 
the FOIA request.



Sec.  1502.5  Records available at the Foundation.

    Records that the FOIA requires be made available for public 
inspection in an electronic format may be accessed through the 
Foundation's Web site.



Sec.  1502.6  Records of other departments and agencies.

    Responsive records located by the Foundation which have been 
originated by, or are primarily the concerns of, another U.S. department 
or agency will be forwarded to the particular department or agency 
involved, and the requestor so notified. In response to requests for 
records or publications published by the Government Printing Office or 
other government printing activity, the Foundation will refer the 
petitioner to the appropriate sales office and refund any fee payments 
which accompanied the request.



Sec.  1502.7  Fees.

    (a) Authority. USADF charges for processing FOIA requests in 
accordance with the Uniform Freedom of Information Act Fee Schedule and 
Guidelines of the Office of Management and Budget, 52 FR 10012-10020 
(March 17, 1987).
    (b) When charged. Fees shall be charged in accordance with the 
schedules contained in paragraph (c) of this section for services 
rendered in responding to requests for Foundation records under this 
subpart. Requestors may seek a waiver of fees by submitting a written 
application demonstrating how disclosure of the requested information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations or activities of the 
government and is not primarily in the commercial interest of the 
requestor. Fees shall also not be charged where they would amount, in 
the aggregate, for a request or series of related requests, to $25 or 
less.
    (c) Services charged for and amount charged. For the services listed 
below expended in locating or making available records or copies 
thereof, the following charges shall be assessed:
    (1) Copies. For copies, $.10 per copy of each page.
    (2) Clerical searches. For each one quarter hour spent by clerical 
personnel in excess of the first quarter hour in searching for and 
producing requested records, $4.75.
    (3) Non-routine, non-clerical searches. Where the task of 
determining which records fall within a request and collecting them 
requires the time of professional or managerial personnel, and where the 
time required is substantial, for each one quarter hour spent in excess 
of the first quarter hour, $10.00. No charge shall be made for the time 
spent in resolving legal or policy issues affecting access to records of 
known contents.
    (4) Other charges. When a response to a request requires services or 
materials other than those described in paragraphs (c)(1) through (3) of 
this section, the direct cost of such services to the Foundation may be 
charged, providing the requestor has been given an estimate of such cost 
before it is incurred.

[[Page 467]]



Sec.  1502.8  Exemptions.

    The categories of records maintained by the Foundation which may be 
exempted from disclosure are described in 5 U.S.C. 552(b).



Sec.  1502.9  Processing of requests.

    (a) Processing. A person who has made a written request for records 
which meets the requirements of Sec.  1502.4 shall be informed by the 
Chief FOIA Officer within 20 working days after receipt of the request 
of the Foundation's decision whether to deny or grant access to the 
records and the right of the requestor to seek assistance from the 
Foundation's Chief Public Liaison.
    (b) Denials. If the Chief FOIA Officer, with the concurrence of the 
General Counsel, denies a request for records, the requestor will be 
informed of the name and title of the official responsible for the 
denial, the reasons for it, and the right to appeal the decision to the 
President of the Foundation within 90 calendar days of receipt of the 
denial. The President shall determine any appeal within 20 days of 
receipt and notify the requestor within the time period of the decision. 
If the decision is to uphold the denial, the requestor will be informed 
of the reasons for the decision, of the right to a judicial review of 
the decision in the federal courts, and of the dispute resolution 
services offered by the FOIA Public Liaison of the Foundation or the 
Office of Government Information Services of the National Archives and 
Records Administration as a non-exclusive alternative to litigation.
    (c) Extension of time. In unusual circumstances, as defined by the 
FOIA, to the extent reasonably necessary to the proper processing of 
requests, the time required to respond to a FOIA request or an appeal 
may be extended for an additional 10 working days upon written 
notification to the requestor providing the reasons for the extension. 
If the extension goes beyond 10 working days, USADF will notify the 
requestor of services provided by the FOIA Public Liaison and the Office 
of Government Information Services.
    (d) Expedited processing. USADF shall process requests and appeals 
on an expedited basis where the requestor demonstrates a compelling need 
for the records, as defined in 5 U.S.C. 552(a)(6)(E)(v). USADF shall 
make a determination of whether to provide expedited processing, and 
shall notify the requestor of the determination, within 10 calendar days 
after the receipt of the request. USADF shall provide expeditious 
consideration of administrative appeals of determinations of whether to 
provide expedited processing.
    (e) Confidential commercial information. Whenever records containing 
confidential commercial information are requested under the FOIA and 
USADF determines that it may be required to disclose the records, USADF 
shall promptly provide written notice to the submitter of the 
confidential commercial information, in conformity with the procedures 
set forth in Executive Order 12600, Predisclosure Notification 
Procedures for Confidential Commercial Information, 3 CFR, 1987 Comp., 
p. 235.



Sec.  1502.10  Judicial review.

    On complaint, the district court of the United States in the 
district in which the complainant resides, or has his/her principal 
place of business, or in which the agency records are situated, or in 
the District of Columbia, has jurisdiction to enjoin the Foundation from 
withholding Foundation records, and to order the production of any 
agency records improperly withheld from the complainant (5 U.S.C. 
552(a)(4)(B)).



PART 1503_OFFICIAL SEAL--Table of Contents



Sec.
1503.1 Authority.
1503.2 Description.
1503.3 Custody and authorization to affix.

    Authority: Pub. L. 95-533, 94 Stat. 3131 (22 U.S.C. 290h 4(2)(3)).

    Source: 50 FR 18634, May 2, 1985, unless otherwise noted.



Sec.  1503.1  Authority.

    Pursuant to section 506(a)(3) of Pub. L. 96-533, the African 
Development Foundation official seal and design thereof, which 
accompanies and is made part of this document, is hereby adopted, 
approved, and judicially noticed.

[[Page 468]]



Sec.  1503.2  Description.

    The official seal of the African Development Foundation is described 
as follows:
    (a) Forming an outer circle is a ring of type in dark blue capital 
letters spelling the words ``AFRICAN DEVELOPMENT FOUNDATION--UNITED 
STATES OF AMERICA;''
    (b) Within that circle is an inner circle with the stylized letters 
ADF in dark blue superimposed on a light grey background.
    (c) The official seal of the African Development Foundation when 
reproduced in black and white and when embossed, is as it appears below.
[GRAPHIC] [TIFF OMITTED] TC13OC91.009



Sec.  1503.3  Custody and authorization to affix.

    (a) The seal is the official emblem of the African Development 
Foundation and its use is therefore permitted only as provided in this 
part.
    (b) The seal shall be kept in the custody of the General Counsel, or 
any other person he authorizes, and should be affixed by him, the 
Chairman of the Board of Directors, or the President of the African 
Development Foundation to authenticate records of the Foundation and for 
other official purposes. The General Counsel may redelegate and 
authorize redelegation of this authority.
    (c) The President of the African Development Foundation shall 
designate and prescribe by internal written delegation and policies the 
use of the seal for other publication and display purposes and those 
Foundation officials authorized to affix the seal for these purposes.
    (d) Use by any person or organization outside of the Foundation may 
be made only with the Foundation's prior written approval. Such request 
must be made in writing to the General Counsel.

[[Page 469]]



PART 1504_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents



    Authority: 5 U.S.C. 7301.

    Source: 61 FR 6507, Feb. 21, 1996, unless otherwise noted.



Sec.  1504.1  Cross-references to employee ethical conduct standards
and financial disclosure regulations.

    Directors and other employees of the African Development Foundation 
are subject to the Standards of Ethical Conduct for Employees of the 
Executive Branch at 5 CFR part 2635, and the executive branch financial 
disclosure regulations at 5 CFR part 2634.



PART 1506_COLLECTION OF CLAIMS--Table of Contents



                      Subpart A_General Provisions

Sec.
1506.1 What is the purpose of this part?
1506.2 What types of claims do these standards and procedures cover?
1506.3 Do these regulations adopt the Federal Claims Collection 
          Standards (FCCS)?
1506.4 What definitions apply to the regulations in this part?
1506.5 Does the application of remedies prescribed in this part preclude 
          USADF from imposing other sanctions or remedies?
1506.6 Will USADF subdivide a claim in excess of $100,000?
1506.7 How does USADF process claims involving fraud?
1506.8 Will an omission by the Agency in complying with this part serve 
          as a debtor's defense against payment?

                          Subpart B_Collection

1506.9 What does a collection action entail?
1506.10 What information is included in a written demand for payment?
1506.11 May I request a review of the existence or amount of a claim?
1506.12 What happens if my debt becomes past due?
1506.13 How are interest, penalty, and administrative costs determined?
1506.14 Does interest accrue during the period pending waiver or review?
1506.15 Does USADF contract with other agencies for collection services?
1506.16 Does USADF report delinquent debts to consumer reporting 
          agencies?
1506.17 For what purposes may USADF use my mailing address?
1506.18 Will USADF suspend or revoke my financial assistance or other 
          privileges if I fail to pay my debt?
1506.19 May I pay my debt in installments?

                         Subpart C_Salary Offset

1506.20 When and how will USADF collect past due debt through 
          administrative offset?
1506.21 I am a USADF employee; when will the Agency offset my salary to 
          satisfy a debt against me?
1506.22 Am I entitled to notice and hearing prior to salary offset?
1506.23 Will the debt be collected in a lump sum or by installment 
          deductions from my pay account?
1506.24 Are there any limitations on the amount of salary deduction?
1506.25 When will deduction from my pay account begin?
1506.26 What happens if my employment with USADF ends prior to repaying 
          the full amount of my debt?
1506.27 How are interest, penalty, and administrative costs assessed?
1506.28 Will I receive a refund if the claim against me is found to be 
          without merit?
1506.29 Is there a time limit for initiating collection by salary 
          offset?
1506.30 Can USADF use salary offset as a means to collect a claim 
          against me if USADF is not the creditor agency?

                      Subpart D_Compromise of Debts

1506.31 May USADF reduce or negotiate a claim amount?
1506.32 If I am jointly and severally liable on a claim, will USADF 
          delay collection action against me until the other debtors pay 
          their proportional share?
1506.33 Under what circumstances will USADF compromise a claim?
1506.34 Can I pay a compromised claim in installments?
1506.35 Will USADF execute a release after full payment of a compromised 
          amount?

        Subpart E_Suspension or Termination of Collection Action

1506.36 Under what circumstances may USADF suspend collection actions?
1506.37 What are the criteria for suspension?
1506.38 Under what circumstances may USADF terminate collection actions?
1506.39 What are the criteria for termination?
1506.40 What actions by the Agency are permitted after termination of 
          collection activity?
1506.41 Can the Agency collect against a debt that has been discharged 
          in bankruptcy?

[[Page 470]]

     Subpart F_Discharge of Indebtedness and Reporting Requirements

1506.42 Under what circumstances will USADF discharge a delinquent debt?
1506.43 Will USADF report a discharge of debt to the IRS?

            Subpart G_Referrals to the Department of Justice

1506.44 When will USADF refer claims to the Department of Justice for 
          litigation?

Subpart H_Mandatory Transfer of Delinquent Debt to the Bureau of Fiscal 
              Services (BFS) of the Department of Treasury

1506.45 When is it mandatory for USADF to transfer debts to BFS?
1506.46 When is USADF not required to transfer a debt to BFS?

    Authority: Title V of the International Security and Development 
Cooperation Act of 1980, 22 U.S.C. 290h; 31 U.S.C. 3701-3719; 5 U.S.C. 
5514; 31 CFR part 285; 31 CFR 900-904; 5 CFR 550, subpart K; 31 U.S.C. 
3720A.

    Source: 81 FR 95028, Dec. 27, 2016, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  1506.1  What is the purpose of this part?

    This part prescribes the standards and procedures to be used by the 
United States African Development Foundation (USADF) in the collection 
and disposal of non-tax debts owed to USADF and the United States. It 
covers USADF's collection, compromise, suspension, termination, and 
referral of claims to the Department of Justice.



Sec.  1506.2  What types of claims do these standards and procedures 
cover?

    These standards and procedures are applicable to all claims and 
debts for which a statute, regulation or contract does not prescribe 
different standards or procedures.



Sec.  1506.3  Do these regulations adopt the Federal Claims Collection
Standards (FCCS)?

    This part adopts and incorporates all provisions of the FCCS. Except 
as otherwise provided by law, USADF will conduct administrative actions 
to collect claims (including offset, compromise, suspension termination, 
disclosure, and referral) in accordance with the FCCS.



Sec.  1506.4  What definitions apply to the regulations in this part?

    Administrative offset means the withholding of funds payable by the 
United States to, or held by the United States for, a person to satisfy 
a debt the person owes to the Government.
    Administrative wage garnishment means the process by which federal 
agencies require a private sector employer to withhold up to 15% of an 
employee's disposable pay to satisfy a delinquent debt owed to the 
Federal government. A court order is not required.
    Agency means the United States African Development Foundation 
(USADF).
    CFO means the Chief Financial Officer of USADF or the USADF official 
designated to act as the CFO.
    Claim or debt means an amount of money, funds, or property that has 
been determined by an agency official to be due the United States from 
any person, organization, or entity, except another Federal agency.
    Compromise means the creditor agency's acceptance of an amount less 
than the full amount of an outstanding debt in full satisfaction of the 
entire amount of the debt.
    Creditor agency means the Federal agency to which the debt is owed, 
including a debt collection center when acting on behalf of a creditor 
agency in matters pertaining to the collection of a debt.
    Debtor means an individual, organization, association, corporation, 
or a State or local government indebted to the United States or a person 
or entity with legal responsibility for assuming the debtor's 
obligation.
    Delinquent claim or debt means any claim or debt that has not been 
paid by the date specified in the agency's Bill for Collection or demand 
letter for payment or which has not been satisfied in accordance with a 
repayment agreement.
    Discharge means the release of a debtor from personal liability for 
the debt. Further collection action is prohibited.
    Disposable pay means that part of current basic pay, special pay, 
incentive pay, retired pay, retainer pay, or

[[Page 471]]

in the case of the employee not entitled to basic pay, other authorized 
pay remaining after the deduction of any amount required by law to be 
withheld (other than deductions to execute garnishment orders) in 
accordance with 5 CFR parts 581 and 582. Among the legally required 
deductions that must be applied first to determine disposable pay are 
levies pursuant to the Internal Revenue Code (Title 26, United States 
Code) and deductions described in 5 CFR 581.105(b) through (f). These 
deductions include, but are not limited to: Social Security 
withholdings; Federal, State, and local tax withholdings; health 
insurance premiums; retirement contributions; and life insurance 
premiums.
    Employee means a current employee of the Federal Government 
including a current member of the Armed Forces or a Reserve of the Armed 
Forces.
    Employee salary offset means the administrative collection of a debt 
by deductions at one or more officially established pay intervals from 
the current pay account of an employee without the employee's consent.
    Person means an individual, firm, partnership, corporation, 
association, organization, State or local government, or any other type 
of entity other than a Federal agency, foreign government, or public 
international organization.
    Suspension means the temporary cessation of an active debt 
collection pending the occurrence of an anticipated event.
    Termination means the cessation of all active debt collection action 
for the foreseeable future.
    Waiver means the cancellation, remission, forgiveness or non-
recovery of a debt or debt-related charge as permitted or required by 
law.
    Withholding order means any order for withholding or garnishment of 
pay issued by USADF or a judicial or administrative body. For the 
purposes of this Part, wage garnishment order and garnishment order have 
the same meaning as withholding order.



Sec.  1506.5  Does the application of remedies prescribed in this part
preclude USADF from imposing other sanctions or remedies?

    (a) The remedies and sanctions available to USADF under this part 
for collecting debts are not intended to be exhaustive. USADF may 
impose, where authorized, other appropriate formal and informal 
sanctions upon a debtor for inexcusable, prolonged or repeated failure 
to pay a debt.
    (b) Nothing in this part is intended to deter USADF from demanding 
the return of specific property or the payment of its value.
    (c) This part does not supersede or require omission or duplication 
of administrative proceedings required by contract, statute, regulation 
or other USADF procedures, e.g., resolution of audit findings under 
grants or contracts, informal grant appeals, formal grant appeals, or 
review under a procurement contract.



Sec.  1506.6  Will USADF subdivide a claim in excess of $100,000?

    USADF will not subdivide a claim to avoid the $100,000 limit on the 
Agency's authority to compromise, suspend, or terminate a debt. A 
debtor's liability arising from a particular transaction or contract is 
a single claim.



Sec.  1506.7  How does USADF process claims involving fraud?

    (a) The CFO will refer claims involving fraud, the presentation of a 
false claim, or misrepresentation on the part of the debtor or any party 
having an interest in the claim to the United States Agency for 
International Development (USAID) Office of Inspector General (OIG), 
which has statutory jurisdiction over USADF. The OIG has the 
responsibility for investigating or referring the matter, where 
appropriate, to the Department of Justice (DOJ), and/or returning it to 
USADF for further action.
    (b) The CFO will not administratively compromise, terminate, suspend 
or otherwise dispose of debts involving fraud, the presentation of a 
false claim or misrepresentation on the part of the debtor or any party 
having an interest in the claim without the approval of DOJ.

[[Page 472]]



Sec.  1506.8  Will an omission by the Agency in complying with this part
serve as a debtor's defense against payment?

    Failure by USADF to comply with any provision of this Part is not 
available to a debtor as a defense against payment of a debt.



                          Subpart B_Collection



Sec.  1506.9  What does a collection action entail?

    (a) The Agency will undertake prompt action to collect all debts 
owed to the United States arising out of USADF activities and to reduce 
debt delinquencies. A collection action may include sending a written 
notice in the form of a Bill for Collection or demand letter to the 
debtor's last known address. When necessary to protect the Government's 
interest (for example, to prevent the running of a statute of 
limitations), a written demand may be preceded by other appropriate 
actions under the Federal Claims Collection Standards, including the 
immediate referral to DOJ for litigation or collection by salary offset. 
The CFO may contact the debtor by telephone, in person and/or in writing 
to demand prompt payment, to discuss the debtor's position regarding the 
existence, amount or repayment of the debt, to inform the debtor of its 
rights (e.g., to apply for a waiver of indebtedness or to request an 
administrative review) and of the basis for the debt and the 
consequences of nonpayment or delay in payment.
    (b) The CFO will maintain an administrative file for each claim. The 
administrative file will document the basis for the debt, all 
administrative collection actions regarding the debt (including 
communications to and from the debtor) and the final disposition of the 
debt. Information on an individual debtor may be disclosed only for 
purposes consistent with this Part, the Privacy Act of 1974, and other 
applicable law.



Sec.  1506.10  What information is included in a written demand for
payment?

    (a) The Bill for Collection or demand letter shall inform the debtor 
of:
    (1) The amount, nature and basis of the debt;
    (2) The right of the debtor to inspect and copy records related to 
the debt;
    (3) The right of the debtor to discuss and propose a repayment 
agreement;
    (4) Any rights available to the debtor to dispute the validity of 
the debt or to have recovery of the debt waived (citing the available 
review or waiver authority, the conditions for review or waiver, and the 
effects of the review or waiver request on the collection of the debt);
    (5) The applicable standards for imposition of interest charges and 
penalty charges and administrative costs that may be assessed against a 
delinquent debt;
    (6) The date by which payment should be made to avoid late charges 
(i.e. interest, penalties, and administrative costs), which may be not 
more than 30 days from the date that the demand letter is mailed or 
hand-delivered;
    (7) The name, address, and telephone number of a person or office 
within USADF available to discuss the debt;
    (8) The intention of USADF to enforce collection if the debtor fails 
to pay or otherwise resolve the debt, by taking one or more of the 
following actions:
    (i) Offset from Federal payments otherwise due to the debtor, 
including income tax refunds, salary, certain benefit payments, 
retirement, vendor payments, travel reimbursement and advances, and 
other Federal payments;
    (ii) Referral to a private collection agency;
    (iii) Report to credit bureaus;
    (iv) Administrative wage garnishment;
    (v) Referral to the Department of Justice for litigation action if 
the debt cannot be collected administratively;
    (vi) Transfer of any debt delinquent for more than 180 days to the 
Department of Treasury for collection; and
    (vii) Other actions authorized by the FCCS and applicable law.
    (9) Any rights available to the debtor to dispute the validity of 
the debt or to have recovery of the debt waived (citing the available 
review or waiver authority, the conditions for review or waiver, and the 
effects of the review or

[[Page 473]]

waiver request on the collection of the debt);
    (10) The instructions for making electronic payment; and
    (11) Requirement that the debtor advise USADF of any bankruptcy 
proceeding.
    (b) USADF may omit from the written demand for payment one or more 
of the provisions contained in paragraphs (a)(8) through (11) of this 
section if USADF determines that any provision is not legally required 
given the collection remedies to be applied to a particular debt, or 
which have already been provided by prior notice, applicable agreement, 
or contract.
    (c) USADF will respond promptly to communications from the debtor. 
Responses will generally be made within 30 days of the receipt of the 
communication from the debtor.



Sec.  1506.11  May I request a review of the existence or amount of
a claim?

    (a) USADF shall provide the debtor with a reasonable opportunity for 
an internal review of the existence or amount of the debt. For offset of 
current Federal salary under 5 U.S.C. 5514, a debtor may also request a 
hearing. (See subpart C of this part).
    (b) A request for a review must be submitted in writing to the 
appropriate contact office by the payment due date indicated in the Bill 
for Collection or demand letter. The request must state the basis for 
the debtor's dispute of the claim and include any relevant documentation 
in support.
    (1) USADF will provide for an internal review of the debt by an 
appropriate official. The review may include examination of documents, 
internal discussions with relevant officials and discussions with the 
debtor, at USADF's discretion.
    (2) An oral hearing is not required when USADF determines that the 
matter can be decided on the documentary record. When an oral hearing is 
not required, USADF shall accord the debtor a ``paper hearing,'' that 
is, a determination of the request for reconsideration based upon a 
review of the written record.
    (3) Unless otherwise required by law, an oral hearing under this 
section is not required to be a formal evidentiary hearing, although 
USADF will carefully document all significant matters discussed at the 
hearing.



Sec.  1506.12  What happens if my debt becomes past due?

    USADF will transfer to the Department of Treasury's Bureau of Fiscal 
Services (BFS) any past due, legally enforceable non-tax debt that has 
been delinquent for 120 days or more for administrative offset, and 
delinquent for 180 days or more for other collections. BFS may take 
appropriate action to collect the debt in accordance with applicable law 
and regulation. USADF may transfer any past due, legally enforceable 
debt that has been delinquent for fewer than 120 days to BFS for 
collection in accordance with applicable law and regulation.



Sec.  1506.13  How are interest, penalty, and administrative costs
determined?

    (a) Interest. USADF will assess interest on all delinquent debts, 
unless prohibited by statute, regulation, or contract.
    (1) Interest begins to accrue on all debts from the payment due date 
established in the initial notice to the debtor, or as otherwise 
provided by law. USADF shall charge an annual rate of interest that is 
equal to the rate established annually by the Secretary of the Treasury 
in accordance with 31 U.S.C. 3717 unless a different rate is necessary 
to protect the rights of the United States. USADF will notify the debtor 
of the basis for its finding that a different rate is necessary to 
protect the interest of the Government.
    (2) The rate of interest, as initially assessed, shall remain fixed 
for the duration of the indebtedness. If a debtor defaults on a 
repayment agreement, interest may be set at the Treasury rate in effect 
on the date a new agreement is executed.
    (3) Interest will not be assessed on interest charges, 
administrative costs or late payment penalties. However, where a debtor 
defaults on a previous repayment agreement and interest, administrative 
costs and penalty charges that had been waived under the defaulted 
agreement may be reinstated and added to the debt principal under

[[Page 474]]

any new agreement and interest may be charged on the entire amount of 
the debt.
    (b) Administrative costs of collecting overdue debts. The costs of 
USADF's administrative processing of overdue debts, including charges 
assessed by the Department of Treasury in cross-servicing the debts 
based on either actual or average cost incurred, will be charged on all 
debts. These costs include both direct and indirect costs.
    (c) Penalties. Penalty charges will be assessed at 6 percent a year 
on any portion of a claim that is delinquent for more than 90 days.
    (d) Allocation of payments. A partial payment by a debtor will be 
applied first towards outstanding administrative costs, penalty 
assessments, accrued interest and then towards the outstanding debt 
principal.
    (e) Waivers. (1) USADF will waive the collection of interest and 
administrative charges on any portion of the debt that is paid within 30 
days after the date on which late payment charges begin to accrue. This 
30 day period may be extended on a case-by-case basis where the Agency 
determines that such action is in the best interest of the Government.
    (2) USADF may (without regard to the amount of the debt) waive 
collection of all or part of accrued interest, penalty or administrative 
costs, where it determines that:
    (i) Waiver is justified under the criteria of subpart D; or
    (ii) Collection of these charges would be against equity and good 
conscience or not in the best interest of the United States.
    (3) A decision to waive interest, penalty charges or administrative 
costs may be made at any time.



Sec.  1506.14  Does interest accrue during the period pending waiver
or review?

    During the period pending waiver or review, USADF may suspend 
accrual of interest, penalty charges, and administrative costs on any 
disputed portion of the debt if it is determined that suspension is in 
the Agency's best interest or would serve equity and good conscience. 
Interest, penalty, and administrative costs will not be assessed where a 
statute or regulation specifically prohibits collection of the debt 
during the period of the administrative appeal or the Agency review.



Sec.  1506.15  Does USADF contract with other agencies for collection
services?

    (a) USADF has entered into a cross-servicing agreement with the 
Bureau of Fiscal Services (BFS) of the Department of Treasury. BFS will 
take appropriate action to collect and/or compromise transferred debts 
in accordance with applicable statutory and regulatory requirements. BFS 
may take any of the following collection actions on behalf of USADF:
    (1) Send demand letters on U.S. Treasury letterhead and telephone 
debtors;
    (2) Refer accounts to credit bureaus;
    (3) Purchase credit reports to assist in the collection effort;
    (4) Refer accounts for offset, including tax refund, Federal 
employee salary, administrative wage garnishment, and general 
administrative offset under the Treasury Offset Program;
    (5) Refer accounts to private collection agencies;
    (6) Refer accounts to the Department of Justice for litigation;
    (7) Report written off or discharged debt to the Internal Revenue 
Service (IRS) on the appropriate Form 1099;
    (8) Take any additional steps necessary to enforce recovery; and
    (9) Terminate collection action, as appropriate.
    (b) BFS will maintain records on debt transferred to it, assure that 
accounts are updated as necessary, and modify its delinquent debt and 
debtor records with information obtained from its skip tracking and 
asset-location services as appropriate. In the event that a referred 
debtor disputes the validity of a debt or any terms and conditions 
related to any debt not reduced by judgment, BFS may return the disputed 
debt to USADF for its determination of debt validity.



Sec.  1506.16  Does USADF report delinquent debts to consumer reporting
agencies?

    USADF may report delinquent debts to appropriate credit reporting 
bureaus and other automated databases

[[Page 475]]

through the cross-servicing agreement with BFS. Any such disclosure will 
be done in accordance with 31 U.S.C. 3711(e) and the Federal Claims 
Collection Standards, 31 CFR 901.4, and in compliance with the 
Bankruptcy Code and Privacy Act 5 U.S.C. 552a.



Sec.  1506.17  For what purposes may USADF use my mailing address?

    When attempting to locate a debtor in order to collect or compromise 
a debt, USADF may obtain the debtor's mailing address from the Internal 
Revenue Service. Addresses obtained from the Internal Revenue Service 
will be used by USADF, its officers, employees, agents or contractors 
and other Federal agencies only to collect or dispose of debts, and may 
be disclosed to other agencies and to collection agencies only for 
collection purposes.



Sec.  1506.18  Will USADF suspend or revoke my financial assistance or
other privileges if I fail to pay my debt?

    Unless waived by the Head of the Agency, USADF will not extend 
financial assistance in the form of a grant, loan, or loan guarantee to 
any person delinquent on a non-tax debt owed to a Federal agency. The 
authority to waive the application of this section may be delegated to 
the Chief Financial Officer and re-delegated. USADF may also suspend or 
revoke other privileges for any inexcusable, prolonged or repeated 
failure of a debtor to pay a claim. Additionally, the Agency may suspend 
or disqualify any contractor, lender, broker, borrower, grantee or other 
debtor from doing business with USADF or engaging in programs USADF 
sponsors or funds if a debtor fails to pay its debts to the Government 
within a reasonable time. Debtors will be notified before such action is 
taken and applicable debarment procedures will be used.



Sec.  1506.19  May I pay my debt in installments?

    (a) Whenever feasible, USADF shall collect the total amount of a 
debt (including interest, penalty, and administrative cost) in one lump 
sum. If the debtor is financially unable to pay the debt in one lump 
sum, USADF may accept payment in regular installments. USADF will obtain 
financial statements from debtors who represent that they are unable to 
pay on one lump sum and independently verify such representations 
whenever possible. In addition, USADF will obtain a legally enforceable 
written agreement from the debtor that specifies all of the terms of the 
arrangement and contains a provision accelerating the debt in the event 
of a default.
    (b) The size and frequency of the installment payments will bear a 
reasonable relation to the size of the debt and the debtor's ability to 
pay. To the extent possible, the installment payments will be sufficient 
in size and frequency to liquidate the debt in three years or less.
    (c) In appropriate cases, the Agency will obtain security for 
deferred payments. However, USADF may accept installment payments 
notwithstanding the refusal of the debtor to execute a written agreement 
or to give security.



                     Subpart C_Administrative Offset



Sec.  1506.20  When and how will USADF collect past due debt through
administrative offset?

    (a) Payments otherwise due the debtor from the United States shall 
be offset from the debt in accordance with 31 CFR 901.3. These may be 
funds under the control of USADF or other Federal agencies. Collection 
may be through centralized offset by the Bureau of Fiscal Service (BFS) 
of the Department of the Treasury.
    (b) Such payments include but are not limited to vendor payments, 
salary, retirement, lump sum payments due upon Federal employment 
separation, travel reimbursements, tax refunds, loans or other 
assistance. Offset of Federal salary payments will be in accordance with 
5 U.S.C. 5514.
    (c) Before administrative offset is instituted by another Federal 
agency or the BFS, USADF shall certify in writing to that entity that 
the debt is past due and legally enforceable and that USADF has complied 
with all applicable due process and other requirements as described in 
this part and other Federal law and regulations.

[[Page 476]]



Sec.  1506.21  I am a USADF employee; when will the Agency offset my 
salary to satisfy a debt against me?

    Any amount advanced to an employee for allowable travel expenses but 
not used for such purposes is recoverable from the employee, in 
accordance with 5 U.S.C. 5705, by salary offset without regard to the 
due process provisions in Sec.  1506.22. This section does not apply to 
debts where collection by salary offset is explicitly prohibited by 
another statute. Collection of debt by salary offset will be in 
accordance with 5 U.S.C. 5514.



Sec.  1506.22  Am I entitled to notice and hearing prior to salary
offset?

    (a) Due process requirements--Notice, hearing, written response and 
decision. (1) Prior to initiating collection action through salary 
offset, the Agency will provide all employees that owe a debt to the 
Government an opportunity to repay in full the amount owed, unless such 
opportunity will compromise the Government's ultimate ability to collect 
the debt.
    (2) Except as provided otherwise, each employee from whom the Agency 
proposes to collect a debt by salary offset will receive a written 
notice 30 days prior to any deductions from pay. The notification will 
include the Agency's determination that a debt is owed, the amount of 
the debt, the Agency's intention to collect the debt by means of 
deductions from the employee's pay account, and the employee's right to 
request a hearing on the claim.
    (3) An employee facing collection of debt by salary offset is 
entitled to request a hearing on the claim. The request must be filed in 
writing and signed by the employee. It must be received by the Agency 
within 15 days of the employee's receipt of the notification of proposed 
deduction. Late request for a hearing may be accepted if the employee 
can show that the delay in filing the request was due to circumstances 
beyond the employee's control.
    (4) The Agency will make hearing arrangements that are consistent 
with law and regulations. Where a hearing is held, the employee is 
entitled to a written decision on the following:
    (i) A determination of the Agency concerning the existence and 
amount of the debt; and
    (ii) A repayment schedule.
    (b) Exceptions to the due process requirements--pay and allowances. 
The procedural requirements of paragraph (a) of this section are not 
applicable to overpayments of salary or allowances in the following 
situations:
    (1) Adjustments of pay arising out of an employee's election of 
coverage or a change in coverage under a Federal benefits program 
requiring periodic deduction from payment, if the amount to be recovered 
accumulated over four pay periods or less;
    (2) Routine intra-agency adjustments in pay or allowances that are 
made to correct overpayments of pay attributable to clerical or 
administrative errors or delays in processing pay documents, if the 
overpayments accrued over four pay periods or less; and
    (3) Any adjustment to collect a debt amounting to $50 or less.
    (c) Form of hearing, written response and final decision. (1) The 
hearing official will make a decision based upon a review of the claim 
and any additional material submitted by the debtor. Where the hearing 
official determines that the validity of the debt turns on an issue of 
veracity or credibility which cannot be resolved through a review of 
documentary evidence, the hearing official at his discretion may afford 
the debtor an opportunity for an oral hearing. An oral hearing will 
consist of an informal conference before a hearing official in which the 
employee and the Agency may present evidence, witnesses and arguments. 
The employee may be represented by an individual of his/her choosing. 
The Agency shall maintain a summary record of all oral hearings provided 
under the procedures of this section.
    (2) Written decisions rendered pursuant to a hearing will include 
the hearing official's analysis, findings and conclusions. The decision 
will be final and binding on the parties.
    (d) Request for waiver. In certain circumstances, an employee may 
have a statutory right to request a waiver of overpayment of pay or 
allowances, e.g., 5 U.S.C. 5584 or 5 U.S.C. 5724(i). When

[[Page 477]]

an employee requests a waiver consideration under a right authorized by 
statue, further collection on the debt will be suspended until a final 
administrative decision is made on the waiver request.
    (e) Non-waiver of right by payment. An employee's payment of all or 
any portion of a debt does not waive any rights that the employee may 
have under either the procedures in this section or any other provision 
of law.



Sec.  1506.23  Will the debt be collected in a lump sum or by installment
deductions from my pay account?

    A debt will be collected in a lump sum or by installment deductions 
at established pay intervals from an employee's current pay account. If 
the employee is financially unable to pay a debt in a lump sum or the 
amount of debt exceeds 15 percent of disposable pay, collection will be 
made in installments, unless the employee and the Agency agree to 
alternative arrangements for payment. Alternative payment schedules must 
be in writing, signed by both the employee and the CFO and will be 
documented in the Agency's files.



Sec.  1506.24  Are there any limitations on the amount of salary deduction?

    Installment deduction will be made over the period of active duty or 
employment. The size and frequency of the installment deductions 
generally will bear a reasonable relation to the size of the debt and 
the employee's ability to pay. However, an amount deducted for any 
period may not exceed 15 percent of the disposable pay from which the 
deduction is made, unless the employee has agreed in writing to the 
deduction of a greater amount. If possible, the installment payments 
should be in amounts sufficient to liquidate the debt within a period of 
three years or less. Installment payments of less than $50 will be 
accepted only in the most unusual circumstances.



Sec.  1506.25  When will deduction from my pay account begin?

    (a) Deductions to liquidate an employee's debt will begin on the 
date stated in the Agency's Bill for Collection or demand letter notice 
of intention to collect from the employee's current pay, unless the debt 
has been repaid in full or the employee has filed a timely request for 
hearing.
    (b) If an employee files a timely request for hearing, deductions 
will begin after the hearing official has provided the employee with a 
final written decision indicating the amount owed to the Government. 
Following the decision by the hearing official, the employee will be 
given 30 days to repay the amount owed prior to collection through 
salary offset, unless otherwise provided by the hearing official.



Sec.  1506.26  What happens if my employment with USADF ends prior
to repaying the full amount of my debt?

    If the employee retires, resigns, or the period of employment ends 
before collection of the debt is completed, the remainder of the debt 
will be offset from subsequent payments of any nature due the employee 
(e.g. final salary payment, lump-sum leave, etc.).



Sec.  1506.27  How are interest, penalty, and administrative costs 
assessed?

    USADF will assess interest, penalties and administrative costs on 
debts collected under the procedures in this section. Interest, penalty 
and administrative costs will continue to accrue during the period that 
the debtor is seeking formal or informal review of the debt or 
requesting a waiver. The following guidelines apply to the assessment of 
these costs on debts collected by salary offset:
    (a) Interest will be assessed on all debts not collected by the 
payment due date specified in the Bill for Collection or demand letter. 
USADF will waive the interest and administrative charges on the portion 
of the debt that is paid within 30 days after the date on which interest 
begins to accrue.
    (b) Administrative costs will be assessed if the debt is referred to 
Treasury for cross-servicing.
    (c) Deductions by administrative offset normally begin prior to the 
time for assessment of a penalty. Therefore, a penalty charge will not 
be assessed unless deductions occur more than 90 days from the due date 
in the Bill for Collection or demand letter.

[[Page 478]]



Sec.  1506.28  Will I receive a refund if the claim against me is 
found to be without merit?

    USADF will promptly refund to the employee any amounts paid or 
deducted pursuant to this section that are subsequently waived or found 
not owing to the United States Government. Refunds do not bear interest 
unless specifically authorized by law.



Sec.  1506.29  Is there a time limit for initiating collection by
salary offset?

    USADF will not initiate salary offset to collect a debt more than 1 
year after the Government's right to collect the debt first accrued, 
unless facts material to the right to collect the debt were not known 
and could not have been known through the exercise of reasonable care by 
the Government official responsible for discovering and collecting such 
debt.



Sec.  1506.30  Can USADF use salary offset means to collect a claim
against me if USADF is not the creditor agency?

    (a) USADF will use salary offset means of collecting debt against 
one of its employees that is indebted to another agency if requested to 
do so by that agency. The requesting agency must certify that the USADF 
employee owes a debt and that the procedural requirements of 5 U.S.C. 
5514 and 5 CFR part 550, subpart K, have been met. The creditor agency 
must also advise USADF of the amount of debt, and the number and amount 
of the installments to be collected.
    (b) Request for salary offset must be submitted to the CFO of USADF.
    (c) Processing of the claim by USADF--
    (1) Incomplete claims. A creditor agency will be required to supply 
USADF with all the required information prior to any salary offset from 
the employee's current pay account.
    (2) Complete claims. If the claim procedures in paragraph (a) of 
this section have been properly completed, deduction will begin on the 
next established pay period. USADF will not review the merits of the 
creditor agency's determinations with respect to the amount or validity 
of the debt as stated in the debt claim form. USADF will not assess a 
handling or any other related charge to cover the cost of its processing 
the claim.
    (d) Employees separating from USADF before a debt to another agency 
is collected--
    (1) Employees separating from Government service. If an employee 
begins separation action before USADF collects the total debt due the 
creditor agency, the following actions will be taken:
    (i) To the extent possible, the balance owed the creditor agency 
will be liquidated from subsequent payments of any nature due the 
employee from USADF;
    (ii) If the total amount of the debt cannot be recovered, USADF will 
certify to the creditor agency and the employee the total amount of 
USADF's collection; and
    (iii) If USADF is aware that the employee is entitled to payments 
from the Civil Service Retirement and Disability Fund, or other similar 
payments, it will provide such information to the creditor agency so 
that it can file a certified claim against the payments.
    (2) Employees who transfer to another Federal agency. If an USADF 
employee transfers to another Federal agency before USADF collects the 
total amount due the creditor agency, USADF will certify the total 
amount of the collection made on the debt. It is the responsibility of 
the creditor agency to ensure that the collection is resumed by the new 
employing agency.



                      Subpart D_Compromise of Debts



Sec.  1506.31  May USADF reduce or negotiate a claim amount?

    USADF may compromise claims for money or property where the 
principal balance of a claim, excluding interest, penalty and 
administrative costs, does not exceed $100,000. Where the claim exceeds 
$100,000, the authority to accept the compromise rests solely with DOJ. 
The CFO may reject an offer of compromise in any amount. Where the claim 
exceeds $100,000, USADF may refer the claim to DOJ for approval with a 
recommendation to accept an offer of compromise. The referral will be in 
the form of a Claims Collection

[[Page 479]]

Litigation Report (CCLR) and will outline the basis for USADF's 
recommendation.



Sec.  1506.32  If I am jointly and severally liable on a claim, will 
USADF delay collection action against me until the other debtors pay 
their proportional share?

    When two or more debtors are jointly and severally liable, 
collection action will not be withheld against one debtor until the 
other or others pay their proportionate share. The amount of a 
compromise with one debtor is not precedent in determining compromises 
from other debtors who have been determined to be jointly and severally 
liable on the claim.



Sec.  1506.33  Under what circumstances will USADF compromise a claim?

    (a) USADF may compromise a claim pursuant to this section if the 
debtor does not have the financial ability to pay the full amount of the 
debt within a reasonable time, or the debtor refuses to pay the claim in 
full and the Government does not have the ability to enforce collection 
in full within a reasonable time by collection proceedings. In 
evaluating the acceptability of a compromise offer, the CFO may 
consider, among other factors, the following:
    (1) Age and health of the debtor;
    (2) Present and potential income;
    (3) Inheritance prospects;
    (4) The possibility that assets have been concealed or improperly 
transferred by the debtor;
    (5) The availability of assets or income which may be realized by 
enforced collection proceedings; or
    (6) The applicable exemptions available to the debtor under State 
and Federal law in determining the Government's ability to enforce 
collection.
    (b) USADF may compromise a claim, or recommend acceptance of a 
compromise offer to DOJ, if:
    (1) There is significant doubt concerning the Government's ability 
to prove its case in court for the full amount of the claim, either 
because of the legal issues involved or a bona fide dispute as to the 
facts; or
    (2) The cost of collection does not justify the enforced collection 
of the full amount of the debt.
    The amount accepted in compromise in such cases will reflect the 
costs of collection, the probability of prevailing on the legal issues 
involved, and the likely amount of court costs and attorney's fees in 
litigation.
    (c) To assess the merits of a compromise offer, USADF generally will 
require a current financial statement from the debtor, executed under 
penalty of perjury, showing the debtor's assets, liabilities, income and 
expenses.
    (d) Statutory penalties, forfeitures or debt established as an aid 
to enforcement and compel compliance may be compromised where the CFO 
determines that the Agency's enforcement policy, in terms of deterrence 
and securing compliance (both present and future), will be adequately 
served by accepting the offer.



Sec.  1506.34  Can I pay a compromised claim in installments?

    The debtor may not pay a compromised claim in installments unless 
the CFO determines that payment in installments is necessary to effect 
collection.



Sec.  1506.35  Will USADF execute a release after full payment of a 
compromised amount?

    Upon receipt of a payment in full or a compromised amount of a 
claim, USADF will prepare and execute a release.



        Subpart E_Suspension or Termination of Collection Action



Sec.  1506.36  Under what circumstances may USADF suspend collection
actions?

    USADF may suspend or terminate the Agency's collection actions on a 
debt where the outstanding debt principal does not exceed $100,000. 
Unless otherwise provided by DOJ regulations, USADF must refer all 
requests for suspension of debt exceeding $100,000 to the Commercial 
Litigation Branch, Civil Division, Department of Justice, for approval. 
If prior to referral to DOJ, USADF determines that a debt is plainly 
erroneous or clearly without legal merit, the Agency may terminate 
collection activity regardless of the amount involved without obtaining

[[Page 480]]

DOJ concurrence. USADF may waive the assessment of interest, penalty 
charges and administrative costs during the period of the suspension. 
Suspension will be for an estimated time period and generally will be 
reviewed at least every six months to ensure the continued propriety of 
the suspension.



Sec.  1506.37  What are the criteria for suspension?

    (a) USADF may suspend collection action on a debt when:
    (1) The debtor cannot be located;
    (2) The debtor's financial condition is expected to improve; or
    (3) The debtor has requested a waiver or review of the debt.
    (b) Based on the current financial condition of the debtor, USADF 
may suspend collection activity on a debt when the debtor's future 
prospects justify retention of the claim for periodic review, and:
    (1) The applicable statute of limitations has not expired; or
    (2) Future collection can be effected by offset; or
    (3) The debtor agrees to pay interest on the debt and suspension is 
likely to enhance the debtor's ability to fully pay the principal amount 
of the debt with interest at a later date.
    (c) USADF will suspend collection activity during the time required 
for waiver consideration or administrative review prior to agency 
collection of a debt if the statute under which the request is sought 
prohibits the Agency from collecting the debt during that time. USADF 
will ordinarily suspend collection action during the pendency of its 
consideration of a waiver request or administrative review where statute 
and regulation preclude refund of amounts collected by the Agency should 
the debtor prevail.
    (d) USADF may suspend collection activities on debts of $100,000 or 
less during the pendency of a permissive waiver or administrative review 
when there is no statutory requirement and where it determines that:
    (1) There is a reasonable possibility that waiver will be granted 
and the debtor may be found not owing the debt (in whole or in part);
    (2) The Government's interest is protected, if suspension is 
granted, by the reasonable assurance that the debt can be recovered if 
the debtor does not prevail; or
    (3) Collection of the debt will cause undue hardship to the debtor.
    (e) USADF will decline to suspend collection where it determines 
that the request for waiver or administrative review is frivolous or was 
made primarily to delay collection.



Sec.  1506.38  Under what circumstances may USADF terminate collection
actions?

    USADF may terminate collection actions including accrued interest, 
penalty and administrative costs, where the debt principal does not 
exceed $100,000. If the debt exceeds $100,000, USADF must obtain the 
approval from DOJ to terminate further collection actions. Unless 
otherwise provided for by DOJ regulations, requests to terminate 
collection on debts in excess of $100,000 are referred to the Commercial 
Litigation Branch, Civil Division, Department of Justice, for approval.



Sec.  1506.39  What are the criteria for termination?

    A debt may be terminated where USADF determines that:
    (a) The Government cannot collect or enforce collection of any 
significant sum from the debtor, having due regard for available 
judicial remedies, the debtor's ability to pay, and the exemptions 
available to the debtor under State and Federal law;
    (b) The debtor cannot be located, there is no security remaining to 
be liquidated, and the prospects of collecting by offset are too remote 
to justify retention of the claim;
    (c) The cost of further collection action is likely to exceed the 
amount recoverable;
    (d) The claim is determined to be legally without merit or 
enforcement of the debt is barred by any applicable statute of 
limitations;
    (e) The evidence necessary to prove the claim cannot be produced or 
the necessary witnesses are unavailable and efforts to induce voluntary 
payment have failed; or
    (f) The debt against the debtor has been discharged in bankruptcy.

[[Page 481]]



Sec.  1506.40  What actions by the Agency are permitted after termination
of collection activity?

    Termination ceases active collection of a debt. However, termination 
does not preclude the Agency from retaining a record of the account for 
purposes of:
    (a) Selling the debt if the CFO determines that such sale is in the 
best interests of USADF;
    (b) Pursuing collection at a subsequent date in the event there is a 
change in the debtor's status or a new collection tool becomes 
available;
    (c) Offsetting against future income or assets not available at the 
time of termination of collection activity; or
    (d) Screening future applicants for prior indebtedness.



Sec.  1506.41  Can the Agency collect against a debt that has been
discharged in bankruptcy?

    USADF will generally terminate collection activity on a debt that 
has been discharged in bankruptcy regardless of the amount. However, 
USADF may continue collection activity subject to the provisions of the 
Bankruptcy Code for any payments provided under a plan of 
reorganization. The CFO will seek legal advice from the General 
Counsel's office if s/he believes that any claims or offsets may have 
survived the discharge of a debtor.



     Subpart F_Discharge of Indebtedness and Reporting Requirements



Sec.  1506.42  Under what circumstances will USADF discharge a delinquent
debt?

    Before discharging a delinquent debt, USADF will make a 
determination that collection action is no longer warranted and request 
that litigation counsel release any liens of record securing the debt. 
Discharge of indebtedness is distinct from termination or suspension of 
collection activity and is governed by the Internal Revenue Code. When 
collection action on a debt is suspended or terminated, the debt remains 
delinquent and further collection action may be pursued at a later date 
in accordance with the standards set forth in this part. When a debt is 
discharged in full or in part, further collection action is prohibited 
and USADF must terminate all debt collection activities.



Sec.  1506.43  Will USADF report a discharge of debt to the IRS?

    Upon discharge of a debt, USADF will report the discharge to the IRS 
in accordance with the requirements of 26 U.S.C. 6050P and 26 CFR 
1.6050P-1. USADF may request the Bureau of Fiscal Services of the 
Department of Treasury to file such a discharge report to the IRS on the 
agency's behalf.



            Subpart G_Referrals to the Department of Justice



Sec.  1506.44  When will USADF refer claims to the Department of
Justice for litigation?

    Unless otherwise provided by DOJ regulations or procedures, USADF 
will refer for litigation debts of more than $2,500 but less than 
$1,000,000 to the Department of Justice's Nationwide Central Intake 
Facility as required by the Claims Collection Litigation Report (CCLR) 
instructions. Debts of over $1,000,000 shall be referred to the Civil 
Division at the Department of Justice. Any debt involving fraud, false 
claim, and misrepresentation will be referred to the Department of 
Justice.



Subpart H_Mandatory Transfer of Delinquent Debt to the Bureau of Fiscal 
              Services (BFS) of the Department of Treasury



Sec.  1506.45  When is it mandatory for USADF to transfer debts to BFS?

    (a) USADF will transfer legally enforceable debt to BFS 90 days 
after the Bill for Collection or demand letter is issued. A debt is 
legally enforceable if there has been a final agency determination that 
the debt is due and there are no legal bars to collection action. A debt 
is not legally enforceable for purposes of mandatory transfer to BFS if 
it is the subject of a pending administrative review process required by 
statute or regulation and collection action during the review process is 
prohibited.
    (b) Except as set forth in paragraph (a) of this section, USADF will 
transfer any debt covered by this part that is

[[Page 482]]

more than 180 days delinquent to BFS for debt collection services. A 
debt is 180 days delinquent for purposes of this section if it is 180 
days past due and is legally enforceable.



Sec.  1506.46  When is USADF not required to transfer a debt to BFS?

    USADF is not required to transfer a debt to BFS pursuant to Sec.  
1506.37(b) during the period of time that the debt:
    (a) Is in litigation or foreclosure;
    (b) Is scheduled for sale;
    (c) Is at a private collection contractor;
    (d) Is at a debt collection center if the debt has been referred to 
a Treasury-designated debt collection center;
    (e) Is being collected by internal offset; or
    (f) Is covered by an exemption granted by Treasury.



PART 1507_RULES SAFEGUARDING PERSONAL INFORMATION--Table of Contents



Sec.
1507.1 Purpose.
1507.2 General policies.
1507.3 Definitions.
1507.4 Conditions of disclosure.
1507.5 Accounting for disclosure of records.
1507.6 Access to records.
1507.7 Contents of record systems.
1507.8 Fees.
1507.9 Judicial review.
1507.10 Exemptions.
1507.11 Mailing list.
1507.12 Criminal penalties.
1507.13 Reports.

    Authority: 5 U.S.C. 522a.

    Source: 53 FR 40411, Oct. 17, 1988, unless otherwise noted.



Sec.  1507.1  Purpose.

    The purpose of this part is to set forth the basic policies of the 
African Development Foundation (``the Foundation'' or ``ADF'') governing 
the maintenance of systems of records containing personal information as 
defined in the Privacy Act of 1974 (5 U.S.C. 552a).



Sec.  1507.2  General policies.

    It is the policy of the Foundation to safeguard the right of privacy 
of any individual as to whom the Foundation maintains personal 
information in any records system, and to provide such individuals with 
appropriate and complete access to such records, including adequate 
opportunity to correct any errors in said records. It is further the 
policy of the Foundation to maintain its records in such a fashion that 
the information contained therein is, and remains, material and relevant 
to the purposes for which it is collected. Information in such records 
will be collected, maintained, used or disseminated in a manner that 
assures that such action is for a necessary and lawful purpose, and that 
adequate safeguards are provided to prevent misuse of such information. 
Exemptions from records requirements provided in 5 U.S.C. 552a will be 
permitted only where an important public policy need for such exemptions 
has been determined pursuant to specific statutory authority.



Sec.  1507.3  Definitions.

    (a) Record means any document, collection, or grouping of 
information about an individual maintained by the Foundation, including 
but not limited to information regarding education, financial 
transactions, medical history, criminal or employment history, or any 
other personal information which contains the name or personal 
identification number, symbol, photograph, or other identifying 
particular assigned to such individual, such as a finger or voiceprint.
    (b) System of Records means a group of any records under the control 
of the Foundation from which information is retrieved by use of the name 
of an individual or by some identifying particular assigned to the 
individual.
    (c) Routine Use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which it was collected.
    (d) The term Foundation means the African Development Foundation or 
any component thereof.
    (e) The term individual means any citizen of the United States or an 
alien lawfully admitted to permanent residence.
    (f) The term maintain includes the maintenance, collection, use or 
dissemination of any record.

[[Page 483]]

    (g) The term Act means the Privacy Act of 1974 (5 U.S.C. 552a) as 
amended from time to time.



Sec.  1507.4  Conditions of disclosure.

    The Foundation will not disclose any record contained in a system of 
records by any means of communication to any person or any other agency 
except by written request or prior written consent of the individual to 
whom the record pertains or his or her agent or attorney, unless such 
disclosure is:
    (a) To those officers and employees of the Foundation who have a 
need for the records in the official performance of their duties;
    (b) Required under the Freedom of Information Act (5 U.S.C. 552);
    (c) For a routine use of the record compatible with the purpose for 
which it was collected;
    (d) To the Bureau of the Census for purpose of planning or carrying 
out a census or survey or related activity pursuant to title 13, United 
States Code;
    (e) To a recipient who has provided the Foundation 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 to a form that is not individually identifiable;
    (f) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the U.S. Government, or for evaluation by the 
Administrator of General Services, or designee, to determine whether the 
record has such value;
    (g) 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 Foundation specifying the particular portion 
desired and the law enforcement activity for which the record is sought;
    (h) To a person, pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual, if, promptly following 
such disclosure, notification is transmitted to the last known address 
of the individual to whom the record pertains;
    (i) 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;
    (j) To the Comptroller General, or any authorized representative, in 
the course of the performance of the duties of the General Accounting 
Office; or
    (k) Pursuant to the order of a court of competent jurisdiction. If 
any record disclosed under compulsory legal process is subsequently made 
public by the court which issued it, the Foundation must make a 
reasonable effort to notify the individual to whom the record pertains 
of such disclosure.
    (l) To consumer reporting agencies as defined in 31 U.S.C. 370(a)(3) 
in accordance with 31 U.S.C. 3711, and under contracts for collection 
services as authorized in 31 U.S.C. 3718.



Sec.  1507.5  Accounting for disclosure of records.

    (a) With respect to each system of records under ADF control, the 
Foundation will keep an accurate accounting of routine disclosures, 
except those made to employees of the Foundation in the normal course of 
duties or pursuant to the provisions of the Freedom of Information Act. 
Such accounting shall contain the following:
    (1) The date, nature and purpose of each disclosure, and the name 
and address of the person or agency to whom the disclosure is made:
    (2) Sufficient information to permit the construction of a listing 
of all disclosures at appropriate periodic intervals; and
    (3) The justification or basis upon which any release was made 
including any written documentation required.
    (b) The Foundation will retain the accounting made under this 
section for at least 5 years or the life of the record, whichever is 
longer, after the disclosure for which the accounting is made.
    (c) Except for disclosure made under paragraph (g) of Sec.  1503.3, 
the Foundation will make the accounting under paragraph (a) of this 
section available

[[Page 484]]

to the individual named in the record at his or her request.
    (d) The Foundation will inform any person or other agency about any 
correction or notation of dispute made by the agency of any record that 
has been disclosed to the person or agency if an accounting of the 
disclosure was made.



Sec.  1507.6  Access to records.

    (a) Except as otherwise provided by law or regulation, any 
individual, upon request made either in writing or in person during 
regular business hours, shall be provided access to his or her record or 
to any information pertaining to him or her which is contained in a 
system of records maintained by the Foundation. The individual will be 
permitted to review the record and have a copy made of all or any 
portion thereof in a form comprehensible to him or her. Nothing in 5 
U.S.C. 552a, however, allows an individual access to any information 
compiled in reasonable anticipation of a civil action or proceeding.
    (b) An individual will be notified, upon request, if any Foundation 
system of records contains a record pertaining to him or her. Such 
request may be made in person during regular business hours, or in 
writing over the signature of the person making the request. Individuals 
requesting the information will be required to identify themselves by 
providing their names, addresses, and a signature. If they are 
requesting disclosure in person, they are also required to show an 
identification card, such as a drivers license, containing a photo and a 
sample signature. If the request is received through the mail, the 
Foundation may request such information as may be necessary to assure 
that the requesting individual is properly identified. This may include 
a requirement that the request be notarized with a notation that the 
notary received an acknowledgement of identity from the requester.
    (c) A record may be disclosed to a representative of the person to 
whom a record relates when the representative is authorized in writing 
by such person to have access.
    (d) Requests for access to or copies of records should contain, at a 
minimum, identifying information needed to locate any given record, and 
a brief description of the item or items of information required. If the 
individual wishes access to specific documents, the request should 
identify or describe, as nearly as possible, such documents. The request 
should be made to the Director, Administration and Finance, African 
Development Foundation, 1625 Massachusetts Avenue NW., Suite 600, 
Washington, DC 20036. Personal contacts should normally be made during 
the regular duty hours of the officer concerned, which are 8:30 a.m. to 
5:00 p.m. Monday through Friday.
    (e) A request made in person will be promptly complied with if the 
records sought are in the immediate custody of the Foundation. Mail or 
personal requests for documents which are not in the immediate custody 
of ADF or which are otherwise not immediately available, will be 
acknowledged within ten working days of receipt, and the records will be 
provided as promptly thereafter as possible.
    (f) Special procedures may be established by the President of the 
Foundation governing the disclosure to an individual of his or her 
medical records, including psychological records.
    (g) Any individual may request the Director, Administration and 
Finance, to amend any Foundation record pertaining to him or her. Not 
later than 10 working days after the date of receipt of such request, 
the Director, Administration and Finance, or his/her designee, will 
acknowledge such receipt in writing. Promptly after acknowledging 
receipt of a request, the Director, Administration and Finance or his/
her designee will:
    (1) Correct any portion of the record which the individual believes 
is not accurate, relevant, timely, or complete; or
    (2) Inform the individual of the Foundation's refusal to amend the 
record in accordance with the request, the reason for the refusal, the 
procedures by which the individual may request a review of that refusal 
by the President of the Foundation, or his/her designee, and the name 
and address of such official; or
    (3) Refer the request to the agency that has control of and 
maintains the record when the record requested is not

[[Page 485]]

the property of the Foundation, but of the controlling agency.
    (h) Any individual who disagrees with the refusal of the Director, 
Administration and Finance to amend his or her record may request a 
review of that refusal. Such request for review must be made within 30 
days after receipt by the requester of the initial refusal to amend. The 
President of the Foundation, or designee, will complete such review not 
later than 30 working days from the date on which the individual 
requests such review, and make a final determination, unless for good 
cause shown, the President or designee extends such 30-day period and 
notifies the requester in writing that additional time is required to 
complete the review. If, after review, the President or designee refuses 
to amend the record in accordance with the request, the individual will 
be advised of the right to file with the Foundation a concise statement 
setting forth the reasons for his or her disagreement with the refusal, 
and also advised of the provisions in the Act for judicial review of the 
President's determination.
    (i) In any disclosure containing information about which the 
individual has filed a statement under paragraph (g) of this section, 
the Foundation will clearly note any part of the record which is 
disputed and provide copies of the statement and, if the Foundation 
deems it appropriate, copies of a concise statement of the Foundation's 
reasons for not making the amendment requested, to persons or other 
agencies to whom the disputed record has been disclosed.



Sec.  1507.7  Contents of records systems.

    (a) The Foundation will maintain in its records only such 
information about an individual as is accurate, relevant, and necessary 
to accomplish the purpose for which it was acquired as authorized by 
statute or Executive Order.
    (b) The Foundation will collect information, to the greatest extent 
practicable, directly from the individual to whom the record pertains 
when the information may result in adverse determinations about the 
individual's rights, benefits and privileges under Federal programs.
    (c) The Foundation will inform each individual whom it asks to 
supply information on any form which it uses to collect the information, 
or on a separate form that can be retained by the individual, of:
    (1) The authority which authorizes the solicitation of the 
information and whether provision of such information is mandatory or 
voluntary;
    (2) The 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) of this section; and
    (4) The effects on the individual, if any, of not providing all or 
any part of the requested information.
    (d) Subject to the provisions of paragraph (k) of this section, the 
Foundation will publish in the Federal Register, at least a notice of 
the existence and character of its sytem(s) of records upon 
establishment or revision. This notice will include:
    (1) The name and location of the system or systems;
    (2) The categories of individuals on whom records are maintained in 
the system or systems;
    (3) The categories of records maintained in the system or sytems;
    (4) Each routine use of the records contained in the system or 
systems, including the categories of users, and the purpose of such use;
    (5) The policies and practices of the Foundation regarding storage, 
retrievability, access controls, retention, and disposal of the record;
    (6) The title and business address of the Foundation official or 
officials responsible for the system or systems of records;
    (7) The Foundation's procedures whereby an individual can be 
notified at his or her request if the system or systems of records 
contains a record pertaining to him or her;
    (8) The Foundation's procedures whereby an individual can be 
notified at him or her request how he or she can gain access to any 
record pertaining to him or her contained in the system or systems of 
records, and how he or she can contest its content; and
    (9) The categories of sources of records in the system or systems.

[[Page 486]]

    (e) All records used by the Foundation in making any determination 
about any individual will be maintained with such accuracy, relevance, 
timeliness, and completeness as is reasonably necessary to assure 
fairness to the individual in the determination.
    (f) Before disseminating any record about an individual to any 
person other than an agency or pursuant to 5 U.S.C. 552, the Foundation 
will make reasonable efforts to assure that such records are accurate, 
complete, timely, and relevant for Foundation purposes.
    (g) The Foundation will maintain no record describing how any 
individual exercises rights guaranteed by the First Amendment of the 
Constitution of the United States unless expressly authorized by statute 
or by the individual about whom the record is maintained, or unless 
pertinent to, and within the scope of, an authorized law enforcement 
activity.
    (h) The Foundation will establish rules of conduct for persons 
involved in the design, development, operation, or maintenance of any 
system of records, or in maintaining any record. Each such person will 
be instructed regarding such rules and the requirements of 5 U.S.C. 
552a. The instruction will include any other rules and procedures 
adopted pursuant to 5 U.S.C. 552a, and the penalties provided for 
noncompliance.
    (i) The Foundation will establish appropriate administrative, 
technical, and physical safeguards to insure the security and 
confidentiality of records and to protect against any anticipated 
threats or hazards to their security or integrity which could result in 
substantial harm, embarrassment, inconvenience, or unfairness to any 
individual on whom information is maintained.
    (j) At least 30 days prior to the publication of the notice in the 
Federal Register regarding the routine use of the records contained in 
the Foundation's system or systems of records, including the categories 
of users and the purpose of such use pursuant to paragraph (d) of this 
section, the Foundation will also:
    (1) Publish a notice in the Federal Register of any new or revised 
use of the information in the system or systems maintained by the 
Foundation; and
    (2) Provide an opportunity for interested persons to submit written 
data, views, or arguments to the Foundation.



Sec.  1507.8  Fees.

    Fees to be charged, if any, to any individual for making copies of 
his or her record will be as follows:
    (a) Photocopy reproductions from all types of copying processes, 
each reproduction image, $0.10 per page.
    (b) Where the Foundation undertakes to perform for an individual 
making a request, or for any other person, services which are very 
clearly not required to be performed under section 552a, title 5, United 
States Code, either voluntarily or because such services are required by 
some other law (e.g., the formal certification of records as true 
copies, attestation under the seal of the Foundation, etc.), the 
question of charging fees for such services will be determined by the 
Director of Administration and Finance, in light of the Federal user 
charge statute (31 U.S.C. 483a), and any other applicable law.
    (c) No fees shall be charged for search time expended by the 
Foundation to produce a record.



Sec.  1507.9  Judicial review.

    Any person may file a complaint against the Foundation in the 
appropriate U.S. district court, as provided in 5 U.S.C. 552a(g), 
whenever the Foundation:
    (a) Makes a determination not to amend an individual's record in 
accordance with his or her request, or fails to make such review in 
conformity with that section; or
    (b) Refuses to comply with an individual's request; or
    (c) Fails to maintain any record concerning an individual with such 
accuracy, relevance, timeliness, and completeness as is necessary to 
assure fairness in any determination relating to the qualifications, 
character, rights or opportunities of, or benefits to the individual 
that may be made on the basis of such record, and consequently a 
determination is made which is adverse to the individual; or

[[Page 487]]

    (d) Fails to comply with any other provision of 5 U.S.C. 552a, or 
any Foundation regulation promulgated thereunder, in any such a way as 
to have an adverse effect on an individual.



Sec.  1507.10  Exemptions.

    No Foundation system or systems of records, as such, are exempted 
from the provisions of 5 U.S.C. 552a, as permitted under certain 
conditions by 5 U.S.C. 552a (j) and (k).



Sec.  1507.11  Mailing list.

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



Sec.  1507.12  Criminal penalties.

    Section 552a(e), title 5, United States Code, provides that:
    (a) Any officer or employee of the Foundation, who, by virtue of his 
or her employment or official position, has possession of, or access to, 
Foundation records which contain individually identifiable information, 
the disclosure of which is prohibited by 5 U.S.C. 552a, and who knowing 
that disclosure of the specific material is so prohibited, willfully 
discloses the material in any manner to any person or agency not 
entitled to receive it, shall be guilty of a misdemeanor and fined not 
more than $5,000.
    (b) Any officer or employee of the Foundation who willfully 
maintains a system of records without meeting the notice requirements of 
5 U.S.C. 552a(e)(4) shall be guilty of a misdemeanor and fined not more 
than $5,000.
    (c) Any person who knowingly and willfully requests or obtains any 
record concerning an individual from the Foundation under false 
pretenses shall be guilty of a misdemeanor and fined not more than 
$5,000.



Sec.  1507.13  Reports.

    (a) The Foundation shall provide to Congress and the Office of 
Management and Budget advance notice of any proposal to establish or 
alter any system or records as defined herein. This report will be 
submitted in accordance with guidelines provided by the Office of 
Management and Budget.
    (b) If at any time Foundation system or systems of records is 
determined to be exempt from the application of 5 U.S.C. 552a in 
accordance with the provisions of 5 U.S.C. 552a (j) and (k), the records 
contained in such system or systems will be separately listed and 
reported to the Office of Management and Budget in accordance with the 
then prevailing guidelines and instructions of that office.



PART 1508_GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)-
-Table of Contents



Sec.
1508.25 How is this part organized?
1508.50 How is this part written?
1508.75 Do terms in this part have special meanings?

                            Subpart A_General

1508.100 What does this part do?
1508.105 Does this part apply to me?
1508.110 What is the purpose of the nonprocurement debarment and 
          suspension system?
1508.115 How does an exclusion restrict a person's involvement in 
          covered transactions?
1508.120 May we grant an exception to let an excluded person participate 
          in a covered transaction?
1508.125 Does an exclusion under the nonprocurement system affect a 
          person's eligibility for Federal procurement contracts?
1508.130 Does exclusion under the Federal procurement system affect a 
          person's eligibility to participate in nonprocurement 
          transactions?
1508.135 May the African Development Foundation exclude a person who is 
          not currently participating in a nonprocurement transaction?
1508.140 How do I know if a person is excluded?
1508.145 Does this part address persons who are disqualified, as well as 
          those who are excluded from nonprocurement transactions?

                     Subpart B_Covered Transactions

1508.200 What is a covered transaction?
1508.205 Why is it important to know if a particular transaction is a 
          covered transaction?

[[Page 488]]

1508.210 Which nonprocurement transactions are covered transactions?
1508.215 Which nonprocurement transactions are not covered transactions?
1508.220 Are any procurement contracts included as covered transactions?
1508.225 How do I know if a transaction in which I may participate is a 
          covered transaction?

    Subpart C_Responsibilities of Participants Regarding Transactions

                    Doing Business With Other Persons

1508.300 What must I do before I enter into a covered transaction with 
          another person at the next lower tier?
1508.305 May I enter into a covered transaction with an excluded or 
          disqualified person?
1508.310 What must I do if a Federal agency excludes a person with whom 
          I am already doing business in a covered transaction?
1508.315 May I use the services of an excluded person as a principal 
          under a covered transaction?
1508.320 Must I verify that principals of my covered transactions are 
          eligible to participate?
1508.325 What happens if I do business with an excluded person in a 
          covered transaction?
1508.330 What requirements must I pass down to persons at lower tiers 
          with whom I intend to do business?

            Disclosing Information--Primary Tier Participants

1508.335 What information must I provide before entering into a covered 
          transaction with the African Development Foundation?
1508.340 If I disclose unfavorable information required under Sec.  
          1508.335, will I be prevented from participating in the 
          transaction?
1508.345 What happens if I fail to disclose the information required 
          under Sec.  1508.335?
1508.350 What must I do if I learn of the information required under 
          Sec.  1508.335 after entering into a covered transaction with 
          the African Development Foundation?

             Disclosing Information--Lower Tier Participants

1508.355 What information must I provide to a higher tier participant 
          before entering into a covered transaction with that 
          participant?
1508.360 What happens if I fail to disclose the information required 
          under Sec.  1508.355?
1508.365 What must I do if I learn of information required under Sec.  
          1508.355 after entering into a covered transaction with a 
          higher tier participant?

   Subpart D_Responsibilities of ADF Officials Regarding Transactions

1508.400 May I enter into a transaction with an excluded or disqualified 
          person?
1508.405 May I enter into a covered transaction with a participant if a 
          principal of the transaction is excluded?
1508.410 May I approve a participant's use of the services of an 
          excluded person?
1508.415 What must I do if a Federal agency excludes the participant or 
          a principal after I enter into a covered transaction?
1508.420 May I approve a transaction with an excluded or disqualified 
          person at a lower tier?
1508.425 When do I check to see if a person is excluded or disqualified?
1508.430 How do I check to see if a person is excluded or disqualified?
1508.435 What must I require of a primary tier participant?
1508.440 What method do I use to communicate those requirements to 
          participants?
1508.445 What action may I take if a primary tier participant knowingly 
          does business with an excluded or disqualified person?
1508.450 What action may I take if a primary tier participant fails to 
          disclose the information required under Sec.  1508.335?
1508.455 What may I do if a lower tier participant fails to disclose the 
          information required under Sec.  1508.355 to the next higher 
          tier?

                 Subpart E_Excluded Parties List System

1508.500 What is the purpose of the Excluded Parties List System (EPLS)?
1508.505 Who uses the EPLS?
1508.510 Who maintains the EPLS?
1508.515 What specific information is in the EPLS?
1508.520 Who places the information into the EPLS?
1508.525 Whom do I ask if I have questions about a person in the EPLS?
1508.530 Where can I find the EPLS?

   Subpart F_General Principles Relating to Suspension and Debarment 
                                 Actions

1508.600 How do suspension and debarment actions start?
1508.605 How does suspension differ from debarment?
1508.610 What procedures does the African Development Foundation use in 
          suspension and debarment actions?
1508.615 How does the African Development Foundation notify a person of 
          a suspension and debarment action?
1508.620 Do Federal agencies coordinate suspension and debarment 
          actions?

[[Page 489]]

1508.625 What is the scope of a suspension or debarment action?
1508.630 May the African Development Foundation impute the conduct of 
          one person to another?
1508.635 May the African Development Foundation settle a debarment or 
          suspension action?
1508.640 May a settlement include a voluntary exclusion?
1508.645 Do other Federal agencies know if the African Development 
          Foundation agrees to a voluntary exclusion?

                          Subpart G_Suspension

1508.700 When may the suspending official issue a suspension?
1508.705 What does the suspending official consider in issuing a 
          suspension?
1508.710 When does a suspension take effect?
1508.715 What notice does the suspending official give me if I am 
          suspended?
1508.720 How may I contest a suspension?
1508.725 How much time do I have to contest a suspension?
1508.730 What information must I provide to the suspending official if I 
          contest a suspension?
1508.735 Under what conditions do I get an additional opportunity to 
          challenge the facts on which the suspension is based?
1508.740 Are suspension proceedings formal?
1508.745 How is fact-finding conducted?
1508.750 What does the suspending official consider in deciding whether 
          to continue or terminate my suspension?
1508.755 When will I know whether the suspension is continued or 
          terminated?
1508.760 How long may my suspension last?

                           Subpart H_Debarment

1508.800 What are the causes for debarment?
1508.805 What notice does the debarring official give me if I am 
          proposed for debarment?
1508.810 When does a debarment take effect?
1508.815 How may I contest a proposed debarment?
1508.820 How much time do I have to contest a proposed debarment?
1508.825 What information must I provide to the debarring official if I 
          contest a proposed debarment?
1508.830 Under what conditions do I get an additional opportunity to 
          challenge the facts on which the proposed debarment is based?
1508.835 Are debarment proceedings formal?
1508.840 How is fact-finding conducted?
1508.845 What does the debarring official consider in deciding whether 
          to debar me?
1508.850 What is the standard of proof in a debarment action?
1508.855 Who has the burden of proof in a debarment action?
1508.860 What factors may influence the debarring official's decision?
1508.865 How long may my debarment last?
1508.870 When do I know if the debarring official debars me?
1508.875 May I ask the debarring official to reconsider a decision to 
          debar me?
1508.880 What factors may influence the debarring official during 
          reconsideration?
1508.885 May the debarring official extend a debarment?

                          Subpart I_Definitions

1508.900 Adequate evidence.
1508.905 Affiliate.
1508.910 Agency.
1508.915 Agent or representative.
1508.920 Civil judgment.
1508.925 Conviction.
1508.930 Debarment.
1508.935 Debarring official.
1508.940 Disqualified.
1508.945 Excluded or exclusion.
1508.950 Excluded Parties List System.
1508.955 Indictment.
1508.960 Ineligible or ineligibility.
1508.965 Legal proceedings.
1508.970 Nonprocurement transaction.
1508.975 Notice.
1508.980 Participant.
1508.985 Person.
1508.990 Preponderance of the evidence.
1508.995 Principal.
1508.1000 Respondent.
1508.1005 State.
1508.1010 Suspending official.
1508.1015 Suspension.
1508.1020 Voluntary exclusion or voluntarily excluded.

Subpart J [Reserved]

Appendix to Part 1508--Covered Transactions

    Authority: Sec. 2455, Pub.L. 103-355, 108 Stat. 3327; E.O. 12549, 
3CFR, 1986 Comp., p.89; E.O. 12689, 3CFR, 1989 Comp., p. 235.

    Source: 68 FR 66590, 66592, Nov. 26, 2003, unless otherwise noted.



Sec.  1508.25  How is this part organized?

    (a) This part is subdivided into ten subparts. Each subpart contains 
information related to a broad topic or specific audience with special 
responsibilities, as shown in the following table:

[[Page 490]]



------------------------------------------------------------------------
       In subpart . . .        You will find provisions related to . . .
------------------------------------------------------------------------
A............................  general information about this rule.
B............................  the types of ADF transactions that are
                                covered by the Governmentwide
                                nonprocurement suspension and debarment
                                system.
C............................  the responsibilities of persons who
                                participate in covered transactions.
D............................  the responsibilities of ADF officials who
                                are authorized to enter into covered
                                transactions.
E............................  the responsibilities of Federal agencies
                                for the Excluded Parties List System
                                (Disseminated by the General Services
                                Administration).
F............................  the general principles governing
                                suspension, debarment, voluntary
                                exclusion and settlement.
G............................  suspension actions.
H............................  debarment actions.
I............................  definitions of terms used in this part.
J............................  [Reserved]
------------------------------------------------------------------------

    (b) The following table shows which subparts may be of special 
interest to you, depending on who you are:

------------------------------------------------------------------------
             If you are . . .                   See subpart(s) . . .
------------------------------------------------------------------------
(1) a participant or principal in a         A, B, C, and I.
 nonprocurement transaction.
(2) a respondent in a suspension action...  A, B, F, G and I.
(3) a respondent in a debarment action....  A, B, F, H and I.
(4) a suspending official.................  A, B, D, E, F, G and I.
(5) a debarring official..................  A, B, D, E, F, H and I.
(6) a (n) ADF official authorized to enter  A, B, D, E and I.
 into a covered transaction.
(7) Reserved..............................  J.
------------------------------------------------------------------------



Sec.  1508.50  How is this part written?

    (a) This part uses a ``plain language'' format to make it easier for 
the general public and business community to use. The section headings 
and text, often in the form of questions and answers, must be read 
together.
    (b) Pronouns used within this part, such as ``I'' and ``you,'' 
change from subpart to subpart depending on the audience being 
addressed. The pronoun ``we'' always is the African Development 
Foundation.
    (c) The ``Covered Transactions'' diagram in the appendix to this 
part shows the levels or ``tiers'' at which the African Development 
Foundation enforces an exclusion under this part.



Sec.  1508.75  Do terms in this part have special meanings?

    This part uses terms throughout the text that have special meaning. 
Those terms are defined in Subpart I of this part. For example, three 
important terms are--
    (a) Exclusion or excluded, which refers only to discretionary 
actions taken by a suspending or debarring official under this part or 
the Federal Acquisition Regulation (48 CFR part 9, subpart 9.4);
    (b) Disqualification or disqualified, which refers to prohibitions 
under specific statutes, executive orders (other than Executive Order 
12549 and Executive Order 12689), or other authorities. 
Disqualifications frequently are not subject to the discretion of an 
agency official, may have a different scope than exclusions, or have 
special conditions that apply to the disqualification; and
    (c) Ineligibility or ineligible, which generally refers to a person 
who is either excluded or disqualified.



                            Subpart A_General



Sec.  1508.100  What does this part do?

    This part adopts a governmentwide system of debarment and suspension 
for ADF nonprocurement activities. It also provides for reciprocal 
exclusion of persons who have been excluded under the Federal 
Acquisition Regulation, and provides for the consolidated listing of all 
persons who are excluded, or disqualified by statute, executive order, 
or other legal authority. This part satisfies the requirements in 
section 3 of Executive Order 12549, ``Debarment and Suspension'' (3 CFR 
1986 Comp., p. 189), Executive Order 12689, ``Debarment and Suspension'' 
(3 CFR 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Section 2455, Public 
Law 103-355, 108 Stat. 3327).



Sec.  1508.105  Does this part apply to me?

    Portions of this part (see table at Sec.  1508.25(b)) apply to you 
if you are a(n)--

[[Page 491]]

    (a) Person who has been, is, or may reasonably be expected to be, a 
participant or principal in a covered transaction;
    (b) Respondent (a person against whom the African Development 
Foundation has initiated a debarment or suspension action);
    (c) ADF debarring or suspending official; or
    (d) ADF official who is authorized to enter into covered 
transactions with non-Federal parties.



Sec.  1508.110  What is the purpose of the nonprocurement debarment and
suspension system?

    (a) To protect the public interest, the Federal Government ensures 
the integrity of Federal programs by conducting business only with 
responsible persons.
    (b) A Federal agency uses the nonprocurement debarment and 
suspension system to exclude from Federal programs persons who are not 
presently responsible.
    (c) An exclusion is a serious action that a Federal agency may take 
only to protect the public interest. A Federal agency may not exclude a 
person or commodity for the purposes of punishment.



Sec.  1508.115  How does an exclusion restrict a person's involvement
in covered transactions?

    With the exceptions stated in Sec. Sec.  1508.120, 1508.315, and 
1508.420, a person who is excluded by the African Development Foundation 
or any other Federal agency may not:
    (a) Be a participant in a(n) ADF transaction that is a covered 
transaction under subpart B of this part;
    (b) Be a participant in a transaction of any other Federal agency 
that is a covered transaction under that agency's regulation for 
debarment and suspension; or
    (c) Act as a principal of a person participating in one of those 
covered transactions.



Sec.  1508.120  May we grant an exception to let an excluded person
participate in a covered transaction?

    (a) The ADF President may grant an exception permitting an excluded 
person to participate in a particular covered transaction. If the ADF 
President grants an exception, the exception must be in writing and 
state the reason(s) for deviating from the governmentwide policy in 
Executive Order 12549.
    (b) An exception granted by one agency for an excluded person does 
not extend to the covered transactions of another agency.



Sec.  1508.125  Does an exclusion under the nonprocurement system 
affect a person's eligibility for Federal procurement contracts?

    If any Federal agency excludes a person under its nonprocurement 
common rule on or after August 25, 1995, the excluded person is also 
ineligible to participate in Federal procurement transactions under the 
FAR. Therefore, an exclusion under this part has reciprocal effect in 
Federal procurement transactions.



Sec.  1508.130  Does exclusion under the Federal procurement system
affect a person's eligibility to participate in nonprocurement
transactions?

    If any Federal agency excludes a person under the FAR on or after 
August 25, 1995, the excluded person is also ineligible to participate 
in nonprocurement covered transactions under this part. Therefore, an 
exclusion under the FAR has reciprocal effect in Federal nonprocurement 
transactions.



Sec.  1508.135  May the African Development Foundation exclude a person
who is not currently participating in a nonprocurement transaction?

    Given a cause that justifies an exclusion under this part, we may 
exclude any person who has been involved, is currently involved, or may 
reasonably be expected to be involved in a covered transaction.



Sec.  1508.140  How do I know if a person is excluded?

    Check the Excluded Parties List System (EPLS) to determine whether a 
person is excluded. The General Services Administration (GSA) maintains 
the EPLS and makes it available, as detailed in subpart E of this part. 
When a Federal agency takes an action to exclude a person under the 
nonprocurement or procurement debarment and suspension system, the 
agency enters

[[Page 492]]

the information about the excluded person into the EPLS.



Sec.  1508.145  Does this part address persons who are disqualified,
as well as those who are excluded from nonprocurement transactions?

    Except if provided for in Subpart J of this part, this part--
    (a) Addresses disqualified persons only to--
    (1) Provide for their inclusion in the EPLS; and
    (2) State responsibilities of Federal agencies and participants to 
check for disqualified persons before entering into covered 
transactions.
    (b) Does not specify the--
    (1) ADF transactions for which a disqualified person is ineligible. 
Those transactions vary on a case-by-case basis, because they depend on 
the language of the specific statute, Executive order, or regulation 
that caused the disqualification;
    (2) Entities to which the disqualification applies; or
    (3) Process that the agency uses to disqualify a person. Unlike 
exclusion, disqualification is frequently not a discretionary action 
that a Federal agency takes.



                     Subpart B_Covered Transactions



Sec.  1508.200  What is a covered transaction?

    A covered transaction is a nonprocurement or procurement transaction 
that is subject to the prohibitions of this part. It may be a 
transaction at--
    (a) The primary tier, between a Federal agency and a person (see 
appendix to this part); or
    (b) A lower tier, between a participant in a covered transaction and 
another person.



Sec.  1508.205  Why is it important if a particular transaction is a 
covered transaction?

    The importance of a covered transaction depends upon who you are.
    (a) As a participant in the transaction, you have the 
responsibilities laid out in Subpart C of this part. Those include 
responsibilities to the person or Federal agency at the next higher tier 
from whom you received the transaction, if any. They also include 
responsibilities if you subsequently enter into other covered 
transactions with persons at the next lower tier.
    (b) As a Federal official who enters into a primary tier 
transaction, you have the responsibilities laid out in subpart D of this 
part.
    (c) As an excluded person, you may not be a participant or principal 
in the transaction unless--
    (1) The person who entered into the transaction with you allows you 
to continue your involvement in a transaction that predates your 
exclusion, as permitted under Sec.  1508.310 or Sec.  1508.415; or
    (2) A(n) ADF official obtains an exception from the ADF President to 
allow you to be involved in the transaction, as permitted under Sec.  
1508.120.



Sec.  1508.210  Which nonprocurement transactions are covered transactions?

    All nonprocurement transactions, as defined in Sec.  1508.970, are 
covered transactions unless listed in Sec.  1508.215. (See appendix to 
this part.)



Sec.  1508.215  Which nonprocurement transactions are not covered 
transactions?

    The following types of nonprocurement transactions are not covered 
transactions:
    (a) A direct award to--
    (1) A foreign government or foreign governmental entity;
    (2) A public international organization;
    (3) An entity owned (in whole or in part) or controlled by a foreign 
government; or
    (4) Any other entity consisting wholly or partially of one or more 
foreign governments or foreign governmental entities.
    (b) A benefit to an individual as a personal entitlement without 
regard to the individual's present responsibility (but benefits received 
in an individual's business capacity are not excepted). For example, if 
a person receives social security benefits under the Supplemental 
Security Income provisions of the Social Security Act, 42 U.S.C. 1301 et 
seq., those benefits are not covered

[[Page 493]]

transactions and, therefore, are not affected if the person is excluded.
    (c) Federal employment.
    (d) A transaction that the African Development Foundation needs to 
respond to a national or agency-recognized emergency or disaster.
    (e) A permit, license, certificate, or similar instrument issued as 
a means to regulate public health, safety, or the environment, unless 
the African Development Foundation specifically designates it to be a 
covered transaction.
    (f) An incidental benefit that results from ordinary governmental 
operations.
    (g) Any other transaction if the application of an exclusion to the 
transaction is prohibited by law.



Sec.  1508.220  Are any procurement contracts included as covered 
transactions?

    (a) Covered transactions under this part--
    (1) Do not include any procurement contracts awarded directly by a 
Federal agency; but
    (2) Do include some procurement contracts awarded by non-Federal 
participants in nonprocurement covered transactions (see appendix to 
this part).
    (b) Specifically, a contract for goods or services is a covered 
transaction if any of the following applies:
    (1) The contract is awarded by a participant in a nonprocurement 
transaction that is covered under Sec.  1508.210, and the amount of the 
contract is expected to equal or exceed $25,000.
    (2) The contract requires the consent of a(n) ADF official. In that 
case, the contract, regardless of the amount, always is a covered 
transaction, and it does not matter who awarded it. For example, it 
could be a subcontract awarded by a contractor at a tier below a 
nonprocurement transaction, as shown in the appendix to this part.
    (3) The contract is for federally-required audit services.



Sec.  1508.225  How do I know if a transaction in which I may participate
is a covered transaction?

    As a participant in a transaction, you will know that it is a 
covered transaction because the agency regulations governing the 
transaction, the appropriate agency official, or participant at the next 
higher tier who enters into the transaction with you, will tell you that 
you must comply with applicable portions of this part.



    Subpart C_Responsibilities of Participants Regarding Transactions

                    Doing Business With Other Persons



Sec.  1508.300  What must I do before I enter into a covered transaction
with another person at the next lower tier?

    When you enter into a covered transaction with another person at the 
next lower tier, you must verify that the person with whom you intend to 
do business is not excluded or disqualified. You do this by:
    (a) Checking the EPLS; or
    (b) Collecting a certification from that person if allowed by this 
rule; or
    (c) Adding a clause or condition to the covered transaction with 
that person.



Sec.  1508.305  May I enter into a covered transaction with an excluded
or disqualified person?

    (a) You as a participant may not enter into a covered transaction 
with an excluded person, unless the African Development Foundation 
grants an exception under Sec.  1508.120.
    (b) You may not enter into any transaction with a person who is 
disqualified from that transaction, unless you have obtained an 
exception under the disqualifying statute, Executive order, or 
regulation.



Sec.  1508.310  What must I do if a Federal agency excludes a person
with whom I am already doing business in a covered transaction?

    (a) You as a participant may continue covered transactions with an 
excluded person if the transactions were in existence when the agency 
excluded the person. However, you are not required to continue the 
transactions, and you may consider termination. You should make a 
decision about whether to terminate and the type of termination action, 
if any, only after a thorough review to ensure that the action is proper 
and appropriate.

[[Page 494]]

    (b) You may not renew or extend covered transactions (other than no-
cost time extensions) with any excluded person, unless the African 
Development Foundation grants an exception under Sec.  1508.120.



Sec.  1508.315  May I use the services of an excluded person as a
principal under a covered transaction?

    (a) You as a participant may continue to use the services of an 
excluded person as a principal under a covered transaction if you were 
using the services of that person in the transaction before the person 
was excluded. However, you are not required to continue using that 
person's services as a principal. You should make a decision about 
whether to discontinue that person's services only after a thorough 
review to ensure that the action is proper and appropriate.
    (b) You may not begin to use the services of an excluded person as a 
principal under a covered transaction unless the African Development 
Foundation grants an exception under Sec.  1508.120.



Sec.  1508.320  Must I verify that principals of my covered transactions
are eligible to participate?

    Yes, you as a participant are responsible for determining whether 
any of your principals of your covered transactions is excluded or 
disqualified from participating in the transaction. You may decide the 
method and frequency by which you do so. You may, but you are not 
required to, check the EPLS.



Sec.  1508.325  What happens if I do business with an excluded person
in a covered transaction?

    If as a participant you knowingly do business with an excluded 
person, we may disallow costs, annul or terminate the transaction, issue 
a stop work order, debar or suspend you, or take other remedies as 
appropriate.



Sec.  1508.330  What requirements must I pass down to persons at lower 
tiers with whom I intend to do business?

    Before entering into a covered transaction with a participant at the 
next lower tier, you must require that participant to--
    (a) Comply with this subpart as a condition of participation in the 
transaction. You may do so using any method(s), unless Sec.  1508.440 
requires you to use specific methods.
    (b) Pass the requirement to comply with this subpart to each person 
with whom the participant enters into a covered transaction at the next 
lower tier.

            Disclosing Information--Primary Tier Participants



Sec.  1508.335  What information must I provide before entering into a
covered transaction with the African Development Foundation?

    Before you enter into a covered transaction at the primary tier, you 
as the participant must notify the ADF office that is entering into the 
transaction with you, if you know that you or any of the principals for 
that covered transaction:
    (a) Are presently excluded or disqualified;
    (b) Have been convicted within the preceding three years of any of 
the offenses listed in Sec.  1508.800(a) or had a civil judgment 
rendered against you for one of those offenses within that time period;
    (c) Are presently indicted for or otherwise criminally or civilly 
charged by a governmental entity (Federal, State or local) with 
commission of any of the offenses listed in Sec.  1508.800(a); or
    (d) Have had one or more public transactions (Federal, State, or 
local) terminated within the preceding three years for cause or default.



Sec.  1508.340  If I disclose unfavorable information required under
Sec.  1508.335, will I be prevented from participating in the transaction?

    As a primary tier participant, your disclosure of unfavorable 
information about yourself or a principal under Sec.  1508.335 will not 
necessarily cause us to deny your participation in the covered 
transaction. We will consider the information when we determine whether 
to enter into the covered transaction. We also will consider any 
additional information or explanation that you elect to submit with the 
disclosed information.

[[Page 495]]



Sec.  1508.345  What happens if I fail to disclose information required
under Sec.  1508.335?

    If we later determine that you failed to disclose information under 
Sec.  1508.335 that you knew at the time you entered into the covered 
transaction, we may--
    (a) Terminate the transaction for material failure to comply with 
the terms and conditions of the transaction; or
    (b) Pursue any other available remedies, including suspension and 
debarment.



Sec.  1508.350  What must I do if I learn of information required under
Sec.  1508.335 after entering into a covered transaction with the 
African Development Foundation?

    At any time after you enter into a covered transaction, you must 
give immediate written notice to the ADF office with which you entered 
into the transaction if you learn either that--
    (a) You failed to disclose information earlier, as required by Sec.  
1508.335; or
    (b) Due to changed circumstances, you or any of the principals for 
the transaction now meet any of the criteria in Sec.  1508.335.

             Disclosing Information--Lower Tier Participants



Sec.  1508.355  What information must I provide to a higher tier 
participant before entering into a covered transaction with that
participant?

    Before you enter into a covered transaction with a person at the 
next higher tier, you as a lower tier participant must notify that 
person if you know that you or any of the principals are presently 
excluded or disqualified.



Sec.  1508.360  What happens if I fail to disclose the information 
required under Sec.  1508.355?

    If we later determine that you failed to tell the person at the 
higher tier that you were excluded or disqualified at the time you 
entered into the covered transaction with that person, we may pursue any 
available remedies, including suspension and debarment.



Sec.  1508.365  What must I do if I learn of information required under
Sec.  1508.355 after entering into a covered transaction with a higher
tier participant?

    At any time after you enter into a lower tier covered transaction 
with a person at a higher tier, you must provide immediate written 
notice to that person if you learn either that--
    (a) You failed to disclose information earlier, as required by Sec.  
1508.355; or
    (b) Due to changed circumstances, you or any of the principals for 
the transaction now meet any of the criteria in Sec.  1508.355.



   Subpart D_Responsibilities of ADF Officials Regarding Transactions



Sec.  1508.400  May I enter into a transaction with an excluded or
disqualified person?

    (a) You as an agency official may not enter into a covered 
transaction with an excluded person unless you obtain an exception under 
Sec.  1508.120.
    (b) You may not enter into any transaction with a person who is 
disqualified from that transaction, unless you obtain a waiver or 
exception under the statute, Executive order, or regulation that is the 
basis for the person's disqualification.



Sec.  1508.405  May I enter into a covered transaction with a participant
if a principal of the transaction is excluded?

    As an agency official, you may not enter into a covered transaction 
with a participant if you know that a principal of the transaction is 
excluded, unless you obtain an exception under Sec.  1508.120.



Sec.  1508.410  May I approve a participant's use of the services of an
excluded person?

    After entering into a covered transaction with a participant, you as 
an agency official may not approve a participant's use of an excluded 
person as a principal under that transaction, unless you obtain an 
exception under Sec.  1508.120.

[[Page 496]]



Sec.  1508.415  What must I do if a Federal agency excludes the participant
or a principal after I enter into a covered transaction?

    (a) You as an agency official may continue covered transactions with 
an excluded person, or under which an excluded person is a principal, if 
the transactions were in existence when the person was excluded. You are 
not required to continue the transactions, however, and you may consider 
termination. You should make a decision about whether to terminate and 
the type of termination action, if any, only after a thorough review to 
ensure that the action is proper.
    (b) You may not renew or extend covered transactions (other than no-
cost time extensions) with any excluded person, or under which an 
excluded person is a principal, unless you obtain an exception under 
Sec.  1508.120.



Sec.  1508.420  May I approve a transaction with an excluded or disqualified
person at a lower tier?

    If a transaction at a lower tier is subject to your approval, you as 
an agency official may not approve--
    (a) A covered transaction with a person who is currently excluded, 
unless you obtain an exception under Sec.  1508.120; or
    (b) A transaction with a person who is disqualified from that 
transaction, unless you obtain a waiver or exception under the statute, 
Executive order, or regulation that is the basis for the person's 
disqualification.



Sec.  1508.425  When do I check to see if a person is excluded or 
disqualified?

    As an agency official, you must check to see if a person is excluded 
or disqualified before you--
    (a) Enter into a primary tier covered transaction;
    (b) Approve a principal in a primary tier covered transaction;
    (c) Approve a lower tier participant if agency approval of the lower 
tier participant is required; or
    (d) Approve a principal in connection with a lower tier transaction 
if agency approval of the principal is required.



Sec.  1508.430  How do I check to see if a person is excluded or 
disqualified?

    You check to see if a person is excluded or disqualified in two 
ways:
    (a) You as an agency official must check the EPLS when you take any 
action listed in Sec.  1508.425.
    (b) You must review information that a participant gives you, as 
required by Sec.  1508.335, about its status or the status of the 
principals of a transaction.



Sec.  1508.435  What must I require of a primary tier participant?

    You as an agency official must require each participant in a primary 
tier covered transaction to--
    (a) Comply with subpart C of this part as a condition of 
participation in the transaction; and
    (b) Communicate the requirement to comply with Subpart C of this 
part to persons at the next lower tier with whom the primary tier 
participant enters into covered transactions.



Sec.  1508.440  What method do I use to communicate those requirements 
to participants?

    To communicate the requirements to participants, you must include a 
term or condition in the transaction requiring the participant's 
compliance with subpart C of this part, and requiring them to include a 
similar term or condition in lower tier covered transactions.



Sec.  1508.445  What action may I take if a primary tier participant
knowingly does business with an excluded or disqualified person?

    If a participant knowingly does business with an excluded or 
disqualified person, you as an agency official may refer the matter for 
suspension and debarment consideration. You may also disallow costs, 
annul or terminate the transaction, issue a stop work order, or take any 
other appropriate remedy.



Sec.  1508.450  What action may I take if a primary tier participant fails
to disclose the information required under Sec.  1508.335?

    If you as an agency official determine that a participant failed to 
disclose information, as required by Sec.  1508.335, at the time it 
entered into a

[[Page 497]]

covered transaction with you, you may--
    (a) Terminate the transaction for material failure to comply with 
the terms and conditions of the transaction; or
    (b) Pursue any other available remedies, including suspension and 
debarment.



Sec.  1508.455  What may I do if a lower tier participant fails to disclose
the information required under Sec.  1508.355 to the next higher tier?

    If you as an agency official determine that a lower tier participant 
failed to disclose information, as required by Sec.  1508.355, at the 
time it entered into a covered transaction with a participant at the 
next higher tier, you may pursue any remedies available to you, 
including the initiation of a suspension or debarment action.



                 Subpart E_Excluded Parties List System



Sec.  1508.500  What is the purpose of the Excluded Parties List System
(EPLS)?

    The EPLS is a widely available source of the most current 
information about persons who are excluded or disqualified from covered 
transactions.



Sec.  1508.505  Who uses the EPLS?

    (a) Federal agency officials use the EPLS to determine whether to 
enter into a transaction with a person, as required under Sec.  
1508.430.
    (b) Participants also may, but are not required to, use the EPLS to 
determine if--
    (1) Principals of their transactions are excluded or disqualified, 
as required under Sec.  1508.320; or
    (2) Persons with whom they are entering into covered transactions at 
the next lower tier are excluded or disqualified.
    (c) The EPLS is available to the general public.



Sec.  1508.510  Who maintains the EPLS?

    In accordance with the OMB guidelines, the General Services 
Administration (GSA) maintains the EPLS. When a Federal agency takes an 
action to exclude a person under the nonprocurement or procurement 
debarment and suspension system, the agency enters the information about 
the excluded person into the EPLS.



Sec.  1508.515  What specific information is in the EPLS?

    (a) At a minimum, the EPLS indicates--
    (1) The full name (where available) and address of each excluded or 
disqualified person, in alphabetical order, with cross references if 
more than one name is involved in a single action;
    (2) The type of action;
    (3) The cause for the action;
    (4) The scope of the action;
    (5) Any termination date for the action;
    (6) The agency and name and telephone number of the agency point of 
contact for the action; and
    (7) The Dun and Bradstreet Number (DUNS), or other similar code 
approved by the GSA, of the excluded or disqualified person, if 
available.
    (b)(1) The database for the EPLS includes a field for the Taxpayer 
Identification Number (TIN) (the social security number (SSN) for an 
individual) of an excluded or disqualified person.
    (2) Agencies disclose the SSN of an individual to verify the 
identity of an individual, only if permitted under the Privacy Act of 
1974 and, if appropriate, the Computer Matching and Privacy Protection 
Act of 1988, as codified in 5 U.S.C. 552(a).



Sec.  1508.520  Who places the information into the EPLS?

    Federal officials who take actions to exclude persons under this 
part or officials who are responsible for identifying disqualified 
persons must enter the following information about those persons into 
the EPLS:
    (a) Information required by Sec.  1508.515(a);
    (b) The Taxpayer Identification Number (TIN) of the excluded or 
disqualified person, including the social security number (SSN) for an 
individual, if the number is available and may be disclosed under law;
    (c) Information about an excluded or disqualified person, generally 
within five working days, after--
    (1) Taking an exclusion action;

[[Page 498]]

    (2) Modifying or rescinding an exclusion action;
    (3) Finding that a person is disqualified; or
    (4) Finding that there has been a change in the status of a person 
who is listed as disqualified.



Sec.  1508.525  Whom do I ask if I have questions about a person in
the EPLS?

    If you have questions about a person in the EPLS, ask the point of 
contact for the Federal agency that placed the person's name into the 
EPLS. You may find the agency point of contact from the EPLS.



Sec.  1508.530  Where can I find the EPLS?

    (a) You may access the EPLS through the Internet, currently at 
http://epls.arnet.gov.
    (b) As of November 26, 2003, you may also subscribe to a printed 
version. However, we anticipate discontinuing the printed version. Until 
it is discontinued, you may obtain the printed version by purchasing a 
yearly subscription from the Superintendent of Documents, U.S. 
Government Printing Office, Washington, DC 20402, or by calling the 
Government Printing Office Inquiry and Order Desk at (202) 783-3238.



   Subpart F_General Principles Relating to Suspension and Debarment 
                                 Actions



Sec.  1508.600  How do suspension and debarment actions start?

    When we receive information from any source concerning a cause for 
suspension or debarment, we will promptly report and investigate it. We 
refer the question of whether to suspend or debar you to our suspending 
or debarring official for consideration, if appropriate.



Sec.  1508.605  How does suspension differ from debarment?

    Suspension differs from debarment in that--

------------------------------------------------------------------------
      A suspending official . . .           A debarring official . . .
------------------------------------------------------------------------
(a) Imposes suspension as a temporary    Imposes debarment for a
 status of ineligibility for              specified period as a final
 procurement and nonprocurement           determination that a person is
 transactions, pending completion of an   not presently responsible.
 investigation or legal proceedings.
(b) Must--.............................  Must conclude, based on a
(1) Have adequate evidence that there     preponderance of the evidence,
 may be a cause for debarment of a        that the person has engaged in
 person; and.                             conduct that warrants
(2) Conclude that immediate action is     debarment.
 necessary to protect the Federal
 interest.
(c) Usually imposes the suspension       Imposes debarment after giving
 first, and then promptly notifies the    the respondent notice of the
 suspended person, giving the person an   action and an opportunity to
 opportunity to contest the suspension    contest the proposed
 and have it lifted.                      debarment.
------------------------------------------------------------------------



Sec.  1508.610  What procedures does the African Development Foundation 
use in suspension and debarment actions?

    In deciding whether to suspend or debar you, we handle the actions 
as informally as practicable, consistent with principles of fundamental 
fairness.
    (a) For suspension actions, we use the procedures in this subpart 
and subpart G of this part.
    (b) For debarment actions, we use the procedures in this subpart and 
subpart H of this part.



Sec.  1508.615  How does the African Development Foundation notify a person
of a suspension or debarment action?

    (a) The suspending or debarring official sends a written notice to 
the last known street address, facsimile number, or e-mail address of--
    (1) You or your identified counsel; or
    (2) Your agent for service of process, or any of your partners, 
officers, directors, owners, or joint venturers.
    (b) The notice is effective if sent to any of these persons.

[[Page 499]]



Sec.  1508.620  Do Federal agencies coordinate suspension and debarment
actions?

    Yes, when more than one Federal agency has an interest in a 
suspension or debarment, the agencies may consider designating one 
agency as the lead agency for making the decision. Agencies are 
encouraged to establish methods and procedures for coordinating their 
suspension and debarment actions.



Sec.  1508.625  What is the scope of a suspension or debarment?

    If you are suspended or debarred, the suspension or debarment is 
effective as follows:
    (a) Your suspension or debarment constitutes suspension or debarment 
of all of your divisions and other organizational elements from all 
covered transactions, unless the suspension or debarment decision is 
limited--
    (1) By its terms to one or more specifically identified individuals, 
divisions, or other organizational elements; or
    (2) To specific types of transactions.
    (b) Any affiliate of a participant may be included in a suspension 
or debarment action if the suspending or debarring official--
    (1) Officially names the affiliate in the notice; and
    (2) Gives the affiliate an opportunity to contest the action.



Sec.  1508.630  May the African Development Foundation impute conduct of
one person to another?

    For purposes of actions taken under this rule, we may impute conduct 
as follows:
    (a) Conduct imputed from an individual to an organization. We may 
impute the fraudulent, criminal, or other improper conduct of any 
officer, director, shareholder, partner, employee, or other individual 
associated with an organization, to that organization when the improper 
conduct occurred in connection with the individual's performance of 
duties for or on behalf of that organization, or with the organization's 
knowledge, approval or acquiescence. The organization's acceptance of 
the benefits derived from the conduct is evidence of knowledge, approval 
or acquiescence.
    (b) Conduct imputed from an organization to an individual, or 
between individuals. We may impute the fraudulent, criminal, or other 
improper conduct of any organization to an individual, or from one 
individual to another individual, if the individual to whom the improper 
conduct is imputed either participated in, had knowledge of, or reason 
to know of the improper conduct.
    (c) Conduct imputed from one organization to another organization. 
We may impute the fraudulent, criminal, or other improper conduct of one 
organization to another organization when the improper conduct occurred 
in connection with a partnership, joint venture, joint application, 
association or similar arrangement, or when the organization to whom the 
improper conduct is imputed has the power to direct, manage, control or 
influence the activities of the organization responsible for the 
improper conduct. Acceptance of the benefits derived from the conduct is 
evidence of knowledge, approval or acquiescence.



Sec.  1508.635  May the African Development Foundation settle a debarment
or suspension action?

    Yes, we may settle a debarment or suspension action at any time if 
it is in the best interest of the Federal Government.



Sec.  1508.640  May a settlement include a voluntary exclusion?

    Yes, if we enter into a settlement with you in which you agree to be 
excluded, it is called a voluntary exclusion and has governmentwide 
effect.



Sec.  1508.645  Do other Federal agencies know if the African Development
Foundation agrees to a voluntary exclusion?

    (a) Yes, we enter information regarding a voluntary exclusion into 
the EPLS.
    (b) Also, any agency or person may contact us to find out the 
details of a voluntary exclusion.

[[Page 500]]



                          Subpart G_Suspension



Sec.  1508.700  When may the suspending official issue a suspension?

    Suspension is a serious action. Using the procedures of this subpart 
and subpart F of this part, the suspending official may impose 
suspension only when that official determines that--
    (a) There exists an indictment for, or other adequate evidence to 
suspect, an offense listed under Sec.  1508.800(a), or
    (b) There exists adequate evidence to suspect any other cause for 
debarment listed under Sec.  1508.800(b) through (d); and
    (c) Immediate action is necessary to protect the public interest.



Sec.  1508.705  What does the suspending official consider in issuing a 
suspension?

    (a) In determining the adequacy of the evidence to support the 
suspension, the suspending official considers how much information is 
available, how credible it is given the circumstances, whether or not 
important allegations are corroborated, and what inferences can 
reasonably be drawn as a result. During this assessment, the suspending 
official may examine the basic documents, including grants, cooperative 
agreements, loan authorizations, contracts, and other relevant 
documents.
    (b) An indictment, conviction, civil judgment, or other official 
findings by Federal, State, or local bodies that determine factual and/
or legal matters, constitutes adequate evidence for purposes of 
suspension actions.
    (c) In deciding whether immediate action is needed to protect the 
public interest, the suspending official has wide discretion. For 
example, the suspending official may infer the necessity for immediate 
action to protect the public interest either from the nature of the 
circumstances giving rise to a cause for suspension or from potential 
business relationships or involvement with a program of the Federal 
Government.



Sec.  1508.710  When does a suspension take effect?

    A suspension is effective when the suspending official signs the 
decision to suspend.



Sec.  1508.715  What notice does the suspending official give me if I
am suspended?

    After deciding to suspend you, the suspending official promptly 
sends you a Notice of Suspension advising you--
    (a) That you have been suspended;
    (b) That your suspension is based on--
    (1) An indictment;
    (2) A conviction;
    (3) Other adequate evidence that you have committed irregularities 
which seriously reflect on the propriety of further Federal Government 
dealings with you; or
    (4) Conduct of another person that has been imputed to you, or your 
affiliation with a suspended or debarred person;
    (c) Of any other irregularities in terms sufficient to put you on 
notice without disclosing the Federal Government's evidence;
    (d) Of the cause(s) upon which we relied under Sec.  1508.700 for 
imposing suspension;
    (e) That your suspension is for a temporary period pending the 
completion of an investigation or resulting legal or debarment 
proceedings;
    (f) Of the applicable provisions of this subpart, Subpart F of this 
part, and any other ADF procedures governing suspension decision making; 
and
    (g) Of the governmentwide effect of your suspension from procurement 
and nonprocurement programs and activities.



Sec.  1508.720  How may I contest a suspension?

    If you as a respondent wish to contest a suspension, you or your 
representative must provide the suspending official with information in 
opposition to the suspension. You may do this orally or in writing, but 
any information provided orally that you consider important must also be 
submitted in writing for the official record.



Sec.  1508.725  How much time do I have to contest a suspension?

    (a) As a respondent you or your representative must either send, or 
make rrangements to appear and present, the

[[Page 501]]

information and argument to the suspending official within 30 days after 
you receive the Notice of Suspension.
    (b) We consider the notice to be received by you--
    (1) When delivered, if we mail the notice to the last known street 
address, or five days after we send it if the letter is undeliverable;
    (2) When sent, if we send the notice by facsimile or five days after 
we send it if the facsimile is undeliverable; or
    (3) When delivered, if we send the notice by e-mail or five days 
after we send it if the e-mail is undeliverable.



Sec.  1508.730  What information must I provide to the suspending official
if I contest a suspension?

    (a) In addition to any information and argument in opposition, as a 
respondent your submission to the suspending official must identify--
    (1) Specific facts that contradict the statements contained in the 
Notice of Suspension. A general denial is insufficient to raise a 
genuine dispute over facts material to the suspension;
    (2) All existing, proposed, or prior exclusions under regulations 
implementing E.O. 12549 and all similar actions taken by Federal, state, 
or local agencies, including administrative agreements that affect only 
those agencies;
    (3) All criminal and civil proceedings not included in the Notice of 
Suspension that grew out of facts relevant to the cause(s) stated in the 
notice; and
    (4) All of your affiliates.
    (b) If you fail to disclose this information, or provide false 
information, the African Development Foundation may seek further 
criminal, civil or administrative action against you, as appropriate.



Sec.  1508.735  Under what conditions do I get an additional opportunity
to challenge the facts on which the suspension is based?

    (a) You as a respondent will not have an additional opportunity to 
challenge the facts if the suspending official determines that--
    (1) Your suspension is based upon an indictment, conviction, civil 
judgment, or other finding by a Federal, State, or local body for which 
an opportunity to contest the facts was provided;
    (2) Your presentation in opposition contains only general denials to 
information contained in the Notice of Suspension;
    (3) The issues raised in your presentation in opposition to the 
suspension are not factual in nature, or are not material to the 
suspending official's initial decision to suspend, or the official's 
decision whether to continue the suspension; or
    (4) On the basis of advice from the Department of Justice, an office 
of the United States Attorney, a State attorney general's office, or a 
State or local prosecutor's office, that substantial interests of the 
government in pending or contemplated legal proceedings based on the 
same facts as the suspension would be prejudiced by conducting fact-
finding.
    (b) You will have an opportunity to challenge the facts if the 
suspending official determines that--
    (1) The conditions in paragraph (a) of this section do not exist; 
and
    (2) Your presentation in opposition raises a genuine dispute over 
facts material to the suspension.
    (c) If you have an opportunity to challenge disputed material facts 
under this section, the suspending official or designee must conduct 
additional proceedings to resolve those facts.



Sec.  1508.740  Are suspension proceedings formal?

    (a) Suspension proceedings are conducted in a fair and informal 
manner. The suspending official may use flexible procedures to allow you 
to present matters in opposition. In so doing, the suspending official 
is not required to follow formal rules of evidence or procedure in 
creating an official record upon which the official will base a final 
suspension decision.
    (b) You as a respondent or your representative must submit any 
documentary evidence you want the suspending official to consider.



Sec.  1508.745  How is fact-finding conducted?

    (a) If fact-finding is conducted--
    (1) You may present witnesses and other evidence, and confront any 
witness presented; and

[[Page 502]]

    (2) The fact-finder must prepare written findings of fact for the 
record.
    (b) A transcribed record of fact-finding proceedings must be made, 
unless you as a respondent and the African Development Foundation agree 
to waive it in advance. If you want a copy of the transcribed record, 
you may purchase it.



Sec.  1508.750  What does the suspending official consider in deciding
whether to continue or terminate my suspension?

    (a) The suspending official bases the decision on all information 
contained in the official record. The record includes--
    (1) All information in support of the suspending official's initial 
decision to suspend you;
    (2) Any further information and argument presented in support of, or 
opposition to, the suspension; and
    (3) Any transcribed record of fact-finding proceedings.
    (b) The suspending official may refer disputed material facts to 
another official for findings of fact. The suspending official may 
reject any resulting findings, in whole or in part, only after 
specifically determining them to be arbitrary, capricious, or clearly 
erroneous.



Sec.  1508.755  When will I know whether the suspension is continued or
terminated?

    The suspending official must make a written decision whether to 
continue, modify, or terminate your suspension within 45 days of closing 
the official record. The official record closes upon the suspending 
official's receipt of final submissions, information and findings of 
fact, if any. The suspending official may extend that period for good 
cause.



Sec.  1508.760  How long may my suspension last?

    (a) If legal or debarment proceedings are initiated at the time of, 
or during your suspension, the suspension may continue until the 
conclusion of those proceedings. However, if proceedings are not 
initiated, a suspension may not exceed 12 months.
    (b) The suspending official may extend the 12 month limit under 
paragraph (a) of this section for an additional 6 months if an office of 
a U.S. Assistant Attorney General, U.S. Attorney, or other responsible 
prosecuting official requests an extension in writing. In no event may a 
suspension exceed 18 months without initiating proceedings under 
paragraph (a) of this section.
    (c) The suspending official must notify the appropriate officials 
under paragraph (b) of this section of an impending termination of a 
suspension at least 30 days before the 12 month period expires to allow 
the officials an opportunity to request an extension.



                           Subpart H_Debarment



Sec.  1508.800  What are the causes for debarment?

    We may debar a person for--
    (a) Conviction of or civil judgment for--
    (1) Commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public or private 
agreement or transaction;
    (2) Violation of Federal or State antitrust statutes, including 
those proscribing price fixing between competitors, allocation of 
customers between competitors, and bid rigging;
    (3) Commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, tax 
evasion, receiving stolen property, making false claims, or obstruction 
of justice; or
    (4) Commission of any other offense indicating a lack of business 
integrity or business honesty that seriously and directly affects your 
present responsibility;
    (b) Violation of the terms of a public agreement or transaction so 
serious as to affect the integrity of an agency program, such as--
    (1) A willful failure to perform in accordance with the terms of one 
or more public agreements or transactions;
    (2) A history of failure to perform or of unsatisfactory performance 
of one or more public agreements or transactions; or
    (3) A willful violation of a statutory or regulatory provision or 
requirement applicable to a public agreement or transaction;

[[Page 503]]

    (c) Any of the following causes:
    (1) A nonprocurement debarment by any Federal agency taken before 
October 1, 1988, or a procurement debarment by any Federal agency taken 
pursuant to 48 CFR part 9, subpart 9.4, before August 25, 1995;
    (2) Knowingly doing business with an ineligible person, except as 
permitted under Sec.  1508.120;
    (3) Failure to pay a single substantial debt, or a number of 
outstanding debts (including disallowed costs and overpayments, but not 
including sums owed the Federal Government under the Internal Revenue 
Code) owed to any Federal agency or instrumentality, provided the debt 
is uncontested by the debtor or, if contested, provided that the 
debtor's legal and administrative remedies have been exhausted;
    (4) Violation of a material provision of a voluntary exclusion 
agreement entered into under Sec.  1508.640 or of any settlement of a 
debarment or suspension action; or
    (5) Violation of the provisions of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701); or
    (d) Any other cause of so serious or compelling a nature that it 
affects your present responsibility.



Sec.  1508.805  What notice does the debarring official give me if I 
am proposed for debarment?

    After consideration of the causes in Sec.  1508.800 of this subpart, 
if the debarring official proposes to debar you, the official sends you 
a Notice of Proposed Debarment, pursuant to Sec.  1508.615, advising 
you--
    (a) That the debarring official is considering debarring you;
    (b) Of the reasons for proposing to debar you in terms sufficient to 
put you on notice of the conduct or transactions upon which the proposed 
debarment is based;
    (c) Of the cause(s) under Sec.  1508.800 upon which the debarring 
official relied for proposing your debarment;
    (d) Of the applicable provisions of this subpart, Subpart F of this 
part, and any other ADF procedures governing debarment; and
    (e) Of the governmentwide effect of a debarment from procurement and 
nonprocurement programs and activities.



Sec.  1508.810  When does a debarment take effect?

    A debarment is not effective until the debarring official issues a 
decision. The debarring official does not issue a decision until the 
respondent has had an opportunity to contest the proposed debarment.



Sec.  1508.815  How may I contest a proposed debarment?

    If you as a respondent wish to contest a proposed debarment, you or 
your representative must provide the debarring official with information 
in opposition to the proposed debarment. You may do this orally or in 
writing, but any information provided orally that you consider important 
must also be submitted in writing for the official record.



Sec.  1508.820  How much time do I have to contest a proposed debarment?

    (a) As a respondent you or your representative must either send, or 
make arrangements to appear and present, the information and argument to 
the debarring official within 30 days after you receive the Notice of 
Proposed Debarment.
    (b) We consider the Notice of Proposed Debarment to be received by 
you--
    (1) When delivered, if we mail the notice to the last known street 
address, or five days after we send it if the letter is undeliverable;
    (2) When sent, if we send the notice by facsimile or five days after 
we send it if the facsimile is undeliverable; or
    (3) When delivered, if we send the notice by e-mail or five days 
after we send it if the e-mail is undeliverable.



Sec.  1508.825  What information must I provide to the debarring official
if I contest a proposed debarment?

    (a) In addition to any information and argument in opposition, as a 
respondent your submission to the debarring official must identify--
    (1) Specific facts that contradict the statements contained in the 
Notice of Proposed Debarment. Include any information about any of the 
factors listed in Sec.  1508.860. A general denial is insufficient to 
raise a genuine dispute over facts material to the debarment;

[[Page 504]]

    (2) All existing, proposed, or prior exclusions under regulations 
implementing E.O. 12549 and all similar actions taken by Federal, State, 
or local agencies, including administrative agreements that affect only 
those agencies;
    (3) All criminal and civil proceedings not included in the Notice of 
Proposed Debarment that grew out of facts relevant to the cause(s) 
stated in the notice; and
    (4) All of your affiliates.
    (b) If you fail to disclose this information, or provide false 
information, the African Development Foundation may seek further 
criminal, civil or administrative action against you, as appropriate.



Sec.  1508.830  Under what conditions do I get an additional opportunity
to challenge the facts on which a proposed debarment is based?

    (a) You as a respondent will not have an additional opportunity to 
challenge the facts if the debarring official determines that--
    (1) Your debarment is based upon a conviction or civil judgment;
    (2) Your presentation in opposition contains only general denials to 
information contained in the Notice of Proposed Debarment; or
    (3) The issues raised in your presentation in opposition to the 
proposed debarment are not factual in nature, or are not material to the 
debarring official's decision whether to debar.
    (b) You will have an additional opportunity to challenge the facts 
if the debarring official determines that--
    (1) The conditions in paragraph (a) of this section do not exist; 
and
    (2) Your presentation in opposition raises a genuine dispute over 
facts material to the proposed debarment.
    (c) If you have an opportunity to challenge disputed material facts 
under this section, the debarring official or designee must conduct 
additional proceedings to resolve those facts.



Sec.  1508.835  Are debarment proceedings formal?

    (a) Debarment proceedings are conducted in a fair and informal 
manner. The debarring official may use flexible procedures to allow you 
as a respondent to present matters in opposition. In so doing, the 
debarring official is not required to follow formal rules of evidence or 
procedure in creating an official record upon which the official will 
base the decision whether to debar.
    (b) You or your representative must submit any documentary evidence 
you want the debarring official to consider.



Sec.  1508.840  How is fact-finding conducted?

    (a) If fact-finding is conducted--
    (1) You may present witnesses and other evidence, and confront any 
witness presented; and
    (2) The fact-finder must prepare written findings of fact for the 
record.
    (b) A transcribed record of fact-finding proceedings must be made, 
unless you as a respondent and the African Development Foundation agree 
to waive it in advance. If you want a copy of the transcribed record, 
you may purchase it.



Sec.  1508.845  What does the debarring official consider in deciding
whether to debar me?

    (a) The debarring official may debar you for any of the causes in 
Sec.  1508.800. However, the official need not debar you even if a cause 
for debarment exists. The official may consider the seriousness of your 
acts or omissions and the mitigating or aggravating factors set forth at 
Sec.  1508.860.
    (b) The debarring official bases the decision on all information 
contained in the official record. The record includes--
    (1) All information in support of the debarring official's proposed 
debarment;
    (2) Any further information and argument presented in support of, or 
in opposition to, the proposed debarment; and
    (3) Any transcribed record of fact-finding proceedings.
    (c) The debarring official may refer disputed material facts to 
another official for findings of fact. The debarring official may reject 
any resultant findings, in whole or in part, only after specifically 
determining them to be arbitrary, capricious, or clearly erroneous.

[[Page 505]]



Sec.  1508.850  What is the standard of proof in a debarment action?

    (a) In any debarment action, we must establish the cause for 
debarment by a preponderance of the evidence.
    (b) If the proposed debarment is based upon a conviction or civil 
judgment, the standard of proof is met.



Sec.  1508.855  Who has the burden of proof in a debarment action?

    (a) We have the burden to prove that a cause for debarment exists.
    (b) Once a cause for debarment is established, you as a respondent 
have the burden of demonstrating to the satisfaction of the debarring 
official that you are presently responsible and that debarment is not 
necessary.



Sec.  1508.860  What factors may influence the debarring official's 
decision?

    This section lists the mitigating and aggravating factors that the 
debarring official may consider in determining whether to debar you and 
the length of your debarment period. The debarring official may consider 
other factors if appropriate in light of the circumstances of a 
particular case. The existence or nonexistence of any factor, such as 
one of those set forth in this section, is not necessarily determinative 
of your present responsibility. In making a debarment decision, the 
debarring official may consider the following factors:
    (a) The actual or potential harm or impact that results or may 
result from the wrongdoing.
    (b) The frequency of incidents and/or duration of the wrongdoing.
    (c) Whether there is a pattern or prior history of wrongdoing. For 
example, if you have been found by another Federal agency or a State 
agency to have engaged in wrongdoing similar to that found in the 
debarment action, the existence of this fact may be used by the 
debarring official in determining that you have a pattern or prior 
history of wrongdoing.
    (d) Whether you are or have been excluded or disqualified by an 
agency of the Federal Government or have not been allowed to participate 
in State or local contracts or assistance agreements on a basis of 
conduct similar to one or more of the causes for debarment specified in 
this part.
    (e) Whether you have entered into an administrative agreement with a 
Federal agency or a State or local government that is not governmentwide 
but is based on conduct similar to one or more of the causes for 
debarment specified in this part.
    (f) Whether and to what extent you planned, initiated, or carried 
out the wrongdoing.
    (g) Whether you have accepted responsibility for the wrongdoing and 
recognize the seriousness of the misconduct that led to the cause for 
debarment.
    (h) Whether you have paid or agreed to pay all criminal, civil and 
administrative liabilities for the improper activity, including any 
investigative or administrative costs incurred by the government, and 
have made or agreed to make full restitution.
    (i) Whether you have cooperated fully with the government agencies 
during the investigation and any court or administrative action. In 
determining the extent of cooperation, the debarring official may 
consider when the cooperation began and whether you disclosed all 
pertinent information known to you.
    (j) Whether the wrongdoing was pervasive within your organization.
    (k) The kind of positions held by the individuals involved in the 
wrongdoing.
    (l) Whether your organization took appropriate corrective action or 
remedial measures, such as establishing ethics training and implementing 
programs to prevent recurrence.
    (m) Whether your principals tolerated the offense.
    (n) Whether you brought the activity cited as a basis for the 
debarment to the attention of the appropriate government agency in a 
timely manner.
    (o) Whether you have fully investigated the circumstances 
surrounding the cause for debarment and, if so, made the result of the 
investigation available to the debarring official.
    (p) Whether you had effective standards of conduct and internal 
control systems in place at the time the questioned conduct occurred.
    (q) Whether you have taken appropriate disciplinary action against 
the

[[Page 506]]

individuals responsible for the activity which constitutes the cause for 
debarment.
    (r) Whether you have had adequate time to eliminate the 
circumstances within your organization that led to the cause for the 
debarment.
    (s) Other factors that are appropriate to the circumstances of a 
particular case.



Sec.  1508.865  How long may my debarment last?

    (a) If the debarring official decides to debar you, your period of 
debarment will be based on the seriousness of the cause(s) upon which 
your debarment is based. Generally, debarment should not exceed three 
years. However, if circumstances warrant, the debarring official may 
impose a longer period of debarment.
    (b) In determining the period of debarment, the debarring official 
may consider the factors in Sec.  1508.860. If a suspension has preceded 
your debarment, the debarring official must consider the time you were 
suspended.
    (c) If the debarment is for a violation of the provisions of the 
Drug-Free Workplace Act of 1988, your period of debarment may not exceed 
five years.



Sec.  1508.870  When do I know if the debarring official debars me?

    (a) The debarring official must make a written decision whether to 
debar within 45 days of closing the official record. The official record 
closes upon the debarring official's receipt of final submissions, 
information and findings of fact, if any. The debarring official may 
extend that period for good cause.
    (b) The debarring official sends you written notice, pursuant to 
Sec.  1508.615 that the official decided, either--
    (1) Not to debar you; or
    (2) To debar you. In this event, the notice:
    (i) Refers to the Notice of Proposed Debarment;
    (ii) Specifies the reasons for your debarment;
    (iii) States the period of your debarment, including the effective 
dates; and
    (iv) Advises you that your debarment is effective for covered 
transactions and contracts that are subject to the Federal Acquisition 
Regulation (48 CFR chapter 1), throughout the executive branch of the 
Federal Government unless an agency head or an authorized designee 
grants an exception.



Sec.  1508.875  May I ask the debarring official to reconsider a decision
to debar me?

    Yes, as a debarred person you may ask the debarring official to 
reconsider the debarment decision or to reduce the time period or scope 
of the debarment. However, you must put your request in writing and 
support it with documentation.



Sec.  1508.880  What factors may influence the debarring official during
reconsideration?

    The debarring official may reduce or terminate your debarment based 
on--
    (a) Newly discovered material evidence;
    (b) A reversal of the conviction or civil judgment upon which your 
debarment was based;
    (c) A bona fide change in ownership or management;
    (d) Elimination of other causes for which the debarment was imposed; 
or
    (e) Other reasons the debarring official finds appropriate.



Sec.  1508.885  May the debarring official extend a debarment?

    (a) Yes, the debarring official may extend a debarment for an 
additional period, if that official determines that an extension is 
necessary to protect the public interest.
    (b) However, the debarring official may not extend a debarment 
solely on the basis of the facts and circumstances upon which the 
initial debarment action was based.
    (c) If the debarring official decides that a debarment for an 
additional period is necessary, the debarring official must follow the 
applicable procedures in this subpart, and subpart F of this part, to 
extend the debarment.

[[Page 507]]



                          Subpart I_Definitions



Sec.  1508.900  Adequate evidence.

    Adequate evidence means information sufficient to support the 
reasonable belief that a particular act or omission has occurred.



Sec.  1508.905  Affiliate.

    Persons are affiliates of each other if, directly or indirectly, 
either one controls or has the power to control the other or a third 
person controls or has the power to control both. The ways we use to 
determine control include, but are not limited to--
    (a) Interlocking management or ownership;
    (b) Identity of interests among family members;
    (c) Shared facilities and equipment;
    (d) Common use of employees; or
    (e) A business entity which has been organized following the 
exclusion of a person which has the same or similar management, 
ownership, or principal employees as the excluded person.



Sec.  1508.910  Agency.

    Agency means any United States executive department, military 
department, defense agency, or any other agency of the executive branch. 
Other agencies of the Federal government are not considered ``agencies'' 
for the purposes of this part unless they issue regulations adopting the 
governmentwide Debarment and Suspension system under Executive orders 
12549 and 12689.



Sec.  1508.915  Agent or representative.

    Agent or representative means any person who acts on behalf of, or 
who is authorized to commit, a participant in a covered transaction.



Sec.  1508.920  Civil judgment.

    Civil judgment means the disposition of a civil action by any court 
of competent jurisdiction, whether by verdict, decision, settlement, 
stipulation, other disposition which creates a civil liability for the 
complained of wrongful acts, or a final determination of liability under 
the Program Fraud Civil Remedies Act of 1988 (31 U.S.C. 3801-3812).



Sec.  1508.925  Conviction.

    Conviction means--
    (a) A judgment or any other determination of guilt of a criminal 
offense by any court of competent jurisdiction, whether entered upon a 
verdict or plea, including a plea of nolo contendere; or
    (b) Any other resolution that is the functional equivalent of a 
judgment, including probation before judgment and deferred prosecution. 
A disposition without the participation of the court is the functional 
equivalent of a judgment only if it includes an admission of guilt.



Sec.  1508.930  Debarment.

    Debarment means an action taken by a debarring official under 
subpart H of this part to exclude a person from participating in covered 
transactions and transactions covered under the Federal Acquisition 
Regulation (48 CFR chapter 1). A person so excluded is debarred.



Sec.  1508.935  Debarring official.

    (a) Debarring official means an agency official who is authorized to 
impose debarment. A debarring official is either--
    (1) The agency head; or
    (2) An official designated by the agency head.
    (b) [Reserved]



Sec.  1508.940  Disqualified.

    Disqualified means that a person is prohibited from participating in 
specified Federal procurement or nonprocurement transactions as required 
under a statute, Executive order (other than Executive Orders 12549 and 
12689) or other authority. Examples of disqualifications include persons 
prohibited under--
    (a) The Davis-Bacon Act (40 U.S.C. 276(a));
    (b) The equal employment opportunity acts and Executive orders; or
    (c) The Clean Air Act (42 U.S.C. 7606), Clean Water Act (33 U.S.C. 
1368) and Executive Order 11738 (3 CFR, 1973 Comp., p. 799).



Sec.  1508.945  Excluded or exclusion.

    Excluded or exclusion means--
    (a) That a person or commodity is prohibited from being a 
participant in

[[Page 508]]

covered transactions, whether the person has been suspended; debarred; 
proposed for debarment under 48 CFR part 9, subpart 9.4; voluntarily 
excluded; or
    (b) The act of excluding a person.



Sec.  1508.950  Excluded Parties List System

    Excluded Parties List System (EPLS) means the list maintained and 
disseminated by the General Services Administration (GSA) containing the 
names and other information about persons who are ineligible. The EPLS 
system includes the printed version entitled, ``List of Parties Excluded 
or Disqualified from Federal Procurement and Nonprocurement Programs,'' 
so long as published.



Sec.  1508.955  Indictment.

    Indictment means an indictment for a criminal offense. A 
presentment, information, or other filing by a competent authority 
charging a criminal offense shall be given the same effect as an 
indictment.



Sec.  1508.960  Ineligible or ineligibility.

    Ineligible or ineligibility means that a person or commodity is 
prohibited from covered transactions because of an exclusion or 
disqualification.



Sec.  1508.965  Legal proceedings.

    Legal proceedings means any criminal proceeding or any civil 
judicial proceeding, including a proceeding under the Program Fraud 
Civil Remedies Act (31 U.S.C. 3801-3812), to which the Federal 
Government or a State or local government or quasi-governmental 
authority is a party. The term also includes appeals from those 
proceedings.



Sec.  1508.970  Nonprocurement transaction.

    (a) Nonprocurement transaction means any transaction, regardless of 
type (except procurement contracts), including, but not limited to the 
following:
    (1) Grants.
    (2) Cooperative agreements.
    (3) Scholarships.
    (4) Fellowships.
    (5) Contracts of assistance.
    (6) Loans.
    (7) Loan guarantees.
    (8) Subsidies.
    (9) Insurances.
    (10) Payments for specified uses.
    (11) Donation agreements.
    (b) A nonprocurement transaction at any tier does not require the 
transfer of Federal funds.



Sec.  1508.975  Notice.

    Notice means a written communication served in person, sent by 
certified mail or its equivalent, or sent electronically by e-mail or 
facsimile. (See Sec.  1508.615.)



Sec.  1508.980  Participant.

    Participant means any person who submits a proposal for or who 
enters into a covered transaction, including an agent or representative 
of a participant.



Sec.  1508.985  Person.

    Person means any individual, corporation, partnership, association, 
unit of government, or legal entity, however organized.



Sec.  1508.990  Preponderance of the evidence.

    Preponderance of the evidence means proof by information that, 
compared with information opposing it, leads to the conclusion that the 
fact at issue is more probably true than not.



Sec.  1508.995  Principal.

    Principal means--
    (a) An officer, director, owner, partner, principal investigator, or 
other person within a participant with management or supervisory 
responsibilities related to a covered transaction; or
    (b) A consultant or other person, whether or not employed by the 
participant or paid with Federal funds, who--
    (1) Is in a position to handle Federal funds;
    (2) Is in a position to influence or control the use of those funds; 
or,
    (3) Occupies a technical or professional position capable of 
substantially influencing the development or outcome of an activity 
required to perform the covered transaction.



Sec.  1508.1000  Respondent.

    Respondent means a person against whom an agency has initiated a 
debarment or suspension action.

[[Page 509]]



Sec.  1508.1005  State.

    (a) State means--
    (1) Any of the states of the United States;
    (2) The District of Columbia;
    (3) The Commonwealth of Puerto Rico;
    (4) Any territory or possession of the United States; or
    (5) Any agency or instrumentality of a state.
    (b) For purposes of this part, State does not include institutions 
of higher education, hospitals, or units of local government.



Sec.  1508.1010  Suspending official.

    (a) Suspending official means an agency official who is authorized 
to impose suspension. The suspending official is either:
    (1) The agency head; or
    (2) An official designated by the agency head.
    (b) [Reserved]



Sec.  1508.1015  Suspension.

    Suspension is an action taken by a suspending official under subpart 
G of this part that immediately prohibits a person from participating in 
covered transactions and transactions covered under the Federal 
Acquisition Regulation (48 CFR chapter 1) for a temporary period, 
pending completion of an agency investigation and any judicial or 
administrative proceedings that may ensue. A person so excluded is 
suspended.



Sec.  1508.1020  Voluntary exclusion or voluntarily excluded.

    (a) Voluntary exclusion means a person's agreement to be excluded 
under the terms of a settlement between the person and one or more 
agencies. Voluntary exclusion must have governmentwide effect.
    (b) Voluntarily excluded means the status of a person who has agreed 
to a voluntary exclusion.

Subpart J [Reserved]

[[Page 510]]



            Sec. Appendix to Part 1508--Covered Transactions
[GRAPHIC] [TIFF OMITTED] TR26NO03.000



PART 1509_GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE
(FINANCIAL ASSISTANCE)--Table of Contents



                     Subpart A_Purpose and Coverage

Sec.
1509.100 What does this part do?
1509.105 Does this part apply to me?
1509.110 Are any of my Federal assistance awards exempt from this part?
1509.115 Does this part affect the Federal contracts that I receive?

      Subpart B_Requirements for Recipients Other Than Individuals

1509.200 What must I do to comply with this part?
1509.205 What must I include in my drug-free workplace statement?
1509.210 To whom must I distribute my drug-free workplace statement?
1509.215 What must I include in my drug-free awareness program?
1509.220 By when must I publish my drug-free workplace statement and 
          establish my drug-free awareness program?
1509.225 What actions must I take concerning employees who are convicted 
          of drug violations in the workplace?
1509.230 How and when must I identify workplaces?

        Subpart C_Requirements for Recipients Who Are Individuals

1509.300 What must I do to comply with this part if I am an individual 
          recipient?
1509.301 [Reserved]

[[Page 511]]

          Subpart D_Responsibilities of ADF Awarding Officials

1509.400 What are my responsibilities as an ADF awarding official?

           Subpart E_Violations of This Part and Consequences

1509.500 How are violations of this part determined for recipients other 
          than individuals?
1509.505 How are violations of this part determined for recipients who 
          are individuals?
1509.510 What actions will the Federal Government take against a 
          recipient determined to have violated this part?
1509.515 Are there any exceptions to those actions?

                          Subpart F_Definitions

1509.605 Award.
1509.610 Controlled substance.
1509.615 Conviction.
1509.620 Cooperative agreement.
1509.625 Criminal drug statute.
1509.630 Debarment.
1509.635 Drug-free workplace.
1509.640 Employee.
1509.645 Federal agency or agency.
1509.650 Grant.
1509.655 Individual.
1509.660 Recipient.
1509.665 State.
1509.670 Suspension.

    Authority: 41 U.S.C. 701 et seq.

    Source: 68 FR 66592, Nov. 26, 2003, unless otherwise noted.



                     Subpart A_Purpose and Coverage



Sec.  1509.100  What does this part do?

    This part carries out the portion of the Drug-Free Workplace Act of 
1988 (41 U.S.C. 701 et seq., as amended) that applies to grants. It also 
applies the provisions of the Act to cooperative agreements and other 
financial assistance awards, as a matter of Federal Government policy.



Sec.  1509.105  Does this part apply to me?

    (a) Portions of this part apply to you if you are either--
    (1) A recipient of an assistance award from the African Development 
Foundation; or
    (2) A(n) ADF awarding official. (See definitions of award and 
recipient in Sec. Sec.  1509.605 and 1509.660, respectively.)
    (b) The following table shows the subparts that apply to you:

------------------------------------------------------------------------
            If you are . . .                    see subparts . . .
------------------------------------------------------------------------
(1) A recipient who is not an            A, B and E.
 individual.
(2) A recipient who is an individual...  A, C and E.
(3) A(n) ADF awarding official.........  A, D and E.
------------------------------------------------------------------------



Sec.  1509.110  Are any of my Federal assistance awards exempt from 
this part?

    This part does not apply to any award that the ADF President 
determines that the application of this part would be inconsistent with 
the international obligations of the United States or the laws or 
regulations of a foreign government.



Sec.  1509.115  Does this part affect the Federal contracts that I 
receive?

    It will affect future contract awards indirectly if you are debarred 
or suspended for a violation of the requirements of this part, as 
described in Sec.  1509.510(c). However, this part does not apply 
directly to procurement contracts. The portion of the Drug-Free 
Workplace Act of 1988 that applies to Federal procurement contracts is 
carried out through the Federal Acquisition Regulation in chapter 1 of 
Title 48 of the Code of Federal Regulations (the drug-free workplace 
coverage currently is in 48 CFR part 23, subpart 23.5).



      Subpart B_Requirements for Recipients Other Than Individuals



Sec.  1509.200  What must I do to comply with this part?

    There are two general requirements if you are a recipient other than 
an individual.
    (a) First, you must make a good faith effort, on a continuing basis, 
to maintain a drug-free workplace. You must agree to do so as a 
condition for receiving any award covered by this part. The specific 
measures that you must

[[Page 512]]

take in this regard are described in more detail in subsequent sections 
of this subpart. Briefly, those measures are to--
    (1) Publish a drug-free workplace statement and establish a drug-
free awareness program for your employees (see Sec. Sec.  1509.205 
through 1509.220); and
    (2) Take actions concerning employees who are convicted of violating 
drug statutes in the workplace (see Sec.  1509.225).
    (b) Second, you must identify all known workplaces under your 
Federal awards (see Sec.  1509.230).



Sec.  1509.205  What must I include in my drug-free workplace
statement?

    You must publish a statement that--
    (a) Tells your employees that the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance 
is prohibited in your workplace;
    (b) Specifies the actions that you will take against employees for 
violating that prohibition; and
    (c) Lets each employee know that, as a condition of employment under 
any award, he or she:
    (1) Will abide by the terms of the statement; and
    (2) Must notify you in writing if he or she is convicted for a 
violation of a criminal drug statute occurring in the workplace and must 
do so no more than five calendar days after the conviction.



Sec.  1509.210  To whom must I distribute my drug-free workplace
statement?

    You must require that a copy of the statement described in Sec.  
1509.205 be given to each employee who will be engaged in the 
performance of any Federal award.



Sec.  1509.215  What must I include in my drug-free awareness program?

    You must establish an ongoing drug-free awareness program to inform 
employees about--
    (a) The dangers of drug abuse in the workplace;
    (b) Your policy of maintaining a drug-free workplace;
    (c) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (d) The penalties that you may impose upon them for drug abuse 
violations occurring in the workplace.



Sec.  1509.220  By when must I publish my drug-free workplace statement
and establish my drug-free awareness program?

    If you are a new recipient that does not already have a policy 
statement as described in Sec.  1509.205 and an ongoing awareness 
program as described in Sec.  1509.215, you must publish the statement 
and establish the program by the time given in the following table:

------------------------------------------------------------------------
                If . . .                          then you . . .
------------------------------------------------------------------------
(a) The performance period of the award  must have the policy statement
 is less than 30 days.                    and program in place as soon
                                          as possible, but before the
                                          date on which performance is
                                          expected to be completed.
(b) The performance period of the award  must have the policy statement
 is 30 days or more.                      and program in place within 30
                                          days after award.
(c) You believe there are extraordinary  may ask the ADF awarding
 circumstances that will require more     official to give you more time
 than 30 days for you to publish the      to do so. The amount of
 policy statement and establish the       additional time, if any, to be
 awareness program.                       given is at the discretion of
                                          the awarding official.
------------------------------------------------------------------------



Sec.  1509.225  What actions must I take concerning employees who are 
convicted of drug violations in the workplace?

    There are two actions you must take if an employee is convicted of a 
drug violation in the workplace:
    (a) First, you must notify Federal agencies if an employee who is 
engaged in the performance of an award informs you about a conviction, 
as required by Sec.  1509.205(c)(2), or you otherwise learn of the 
conviction. Your notification to the Federal agencies must--
    (1) Be in writing;
    (2) Include the employee's position title;
    (3) Include the identification number(s) of each affected award;

[[Page 513]]

    (4) Be sent within ten calendar days after you learn of the 
conviction; and
    (5) Be sent to every Federal agency on whose award the convicted 
employee was working. It must be sent to every awarding official or his 
or her official designee, unless the Federal agency has specified a 
central point for the receipt of the notices.
    (b) Second, within 30 calendar days of learning about an employee's 
conviction, you must either--
    (1) Take appropriate personnel action against the employee, up to 
and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or
    (2) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for these purposes 
by a Federal, State or local health, law enforcement, or other 
appropriate agency.



Sec.  1509.230  How and when must I identify workplaces?

    (a) You must identify all known workplaces under each ADF award. A 
failure to do so is a violation of your drug-free workplace 
requirements. You may identify the workplaces--
    (1) To the ADF official that is making the award, either at the time 
of application or upon award; or
    (2) In documents that you keep on file in your offices during the 
performance of the award, in which case you must make the information 
available for inspection upon request by ADF officials or their 
designated representatives.
    (b) Your workplace identification for an award must include the 
actual address of buildings (or parts of buildings) or other sites where 
work under the award takes place. Categorical descriptions may be used 
(e.g., all vehicles of a mass transit authority or State highway 
department while in operation, State employees in each local 
unemployment office, performers in concert halls or radio studios).
    (c) If you identified workplaces to the ADF awarding official at the 
time of application or award, as described in paragraph (a)(1) of this 
section, and any workplace that you identified changes during the 
performance of the award, you must inform the ADF awarding official.



        Subpart C_Requirements for Recipients Who Are Individuals



Sec.  1509.300  What must I do to comply with this part if I am an 
individual recipient?

    As a condition of receiving a(n) ADF award, if you are an individual 
recipient, you must agree that--
    (a) You will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity related to the award; and
    (b) If you are convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any award activity, you will 
report the conviction:
    (1) In writing.
    (2) Within 10 calendar days of the conviction.
    (3) To the ADF awarding official or other designee for each award 
that you currently have, unless Sec.  1509.301 or the award document 
designates a central point for the receipt of the notices. When notice 
is made to a central point, it must include the identification number(s) 
of each affected award.



Sec.  1509.301  [Reserved]



          Subpart D_Responsibilities of ADF Awarding Officials



Sec.  1509.400  What are my responsibilities as a(n) ADF awarding 
official?

    As a(n) ADF awarding official, you must obtain each recipient's 
agreement, as a condition of the award, to comply with the requirements 
in--
    (a) Subpart B of this part, if the recipient is not an individual; 
or
    (b) Subpart C of this part, if the recipient is an individual.



           Subpart E_Violations of this Part and Consequences



Sec.  1509.500  How are violations of this part determined for 
recipients other than individuals?

    A recipient other than an individual is in violation of the 
requirements of

[[Page 514]]

this part if the ADF President determines, in writing, that--
    (a) The recipient has violated the requirements of subpart B of this 
part; or
    (b) The number of convictions of the recipient's employees for 
violating criminal drug statutes in the workplace is large enough to 
indicate that the recipient has failed to make a good faith effort to 
provide a drug-free workplace.



Sec.  1509.505  How are violations of this part determined for 
recipients who are individuals?

    An individual recipient is in violation of the requirements of this 
part if the ADF President determines, in writing, that--
    (a) The recipient has violated the requirements of subpart C of this 
part; or
    (b) The recipient is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any award activity.



Sec.  1509.510  What actions will the Federal Government take against 
a recipient determined to have violated this part?

    If a recipient is determined to have violated this part, as 
described in Sec.  1509.500 or Sec.  1509.505, the African Development 
Foundation may take one or more of the following actions--
    (a) Suspension of payments under the award;
    (b) Suspension or termination of the award; and
    (c) Suspension or debarment of the recipient under 22 CFR part 1508, 
for a period not to exceed five years.



Sec.  1509.515  Are there any exceptions to those actions?

    The ADF President may waive with respect to a particular award, in 
writing, a suspension of payments under an award, suspension or 
termination of an award, or suspension or debarment of a recipient if 
the ADF President determines that such a waiver would be in the public 
interest. This exception authority cannot be delegated to any other 
official.



                          Subpart F_Definitions



Sec.  1509.605  Award.

    Award means an award of financial assistance by the African 
Development Foundation or other Federal agency directly to a recipient.
    (a) The term award includes:
    (1) A Federal grant or cooperative agreement, in the form of money 
or property in lieu of money.
    (2) A block grant or a grant in an entitlement program, whether or 
not the grant is exempted from coverage under the Governmentwide rule 
[Agency-specific CFR citation] that implements OMB Circular A-102 (for 
availability, see 5 CFR 1310.3) and specifies uniform administrative 
requirements.
    (b) The term award does not include:
    (1) Technical assistance that provides services instead of money.
    (2) Loans.
    (3) Loan guarantees.
    (4) Interest subsidies.
    (5) Insurance.
    (6) Direct appropriations.
    (7) Veterans' benefits to individuals (i.e., any benefit to 
veterans, their families, or survivors by virtue of the service of a 
veteran in the Armed Forces of the United States).
    (c) Notwithstanding paragraph (a)(2) of this section, this paragraph 
is not applicable for ADF.



Sec.  1509.610  Controlled substance.

    Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15.



Sec.  1509.615  Conviction.

    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes.



Sec.  1509.620  Cooperative agreement.

    Cooperative agreement means an award of financial assistance that, 
consistent with 31 U.S.C. 6305, is used to enter into the same kind of 
relationship as a grant (see definition of grant in

[[Page 515]]

Sec.  1509.650), except that substantial involvement is expected between 
the Federal agency and the recipient when carrying out the activity 
contemplated by the award. The term does not include cooperative 
research and development agreements as defined in 15 U.S.C. 3710a.



Sec.  1509.625  Criminal drug statute.

    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance.



Sec.  1509.630  Debarment.

    Debarment means an action taken by a Federal agency to prohibit a 
recipient from participating in Federal Government procurement contracts 
and covered nonprocurement transactions. A recipient so prohibited is 
debarred, in accordance with the Federal Acquisition Regulation for 
procurement contracts (48 CFR part 9, subpart 9.4) and the common rule, 
Government-wide Debarment and Suspension (Nonprocurement), that 
implements Executive Order 12549 and Executive Order 12689.



Sec.  1509.635  Drug-free workplace.

    Drug-free workplace means a site for the performance of work done in 
connection with a specific award at which employees of the recipient are 
prohibited from engaging in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance.



Sec.  1509.640  Employee.

    (a) Employee means the employee of a recipient directly engaged in 
the performance of work under the award, including--
    (1) All direct charge employees;
    (2) All indirect charge employees, unless their impact or 
involvement in the performance of work under the award is insignificant 
to the performance of the award; and
    (3) Temporary personnel and consultants who are directly engaged in 
the performance of work under the award and who are on the recipient's 
payroll.
    (b) This definition does not include workers not on the payroll of 
the recipient (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the payroll; 
or employees of subrecipients or subcontractors in covered workplaces).



Sec.  1509.645  Federal agency or agency.

    Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency.



Sec.  1509.650  Grant.

    Grant means an award of financial assistance that, consistent with 
31 U.S.C. 6304, is used to enter into a relationship--
    (a) The principal purpose of which is to transfer a thing of value 
to the recipient to carry out a public purpose of support or stimulation 
authorized by a law of the United States, rather than to acquire 
property or services for the Federal Government's direct benefit or use; 
and
    (b) In which substantial involvement is not expected between the 
Federal agency and the recipient when carrying out the activity 
contemplated by the award.



Sec.  1509.655  Individual.

    Individual means a natural person.



Sec.  1509.660  Recipient.

    Recipient means any individual, corporation, partnership, 
association, unit of government (except a Federal agency) or legal 
entity, however organized, that receives an award directly from a 
Federal agency.



Sec.  1509.665  State.

    State means any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, or any territory or 
possession of the United States.



Sec.  1509.670  Suspension.

    Suspension means an action taken by a Federal agency that 
immediately

[[Page 516]]

prohibits a recipient from participating in Federal Government 
procurement contracts and covered nonprocurement transactions for a 
temporary period, pending completion of an investigation and any 
judicial or administrative proceedings that may ensue. A recipient so 
prohibited is suspended, in accordance with the Federal Acquisition 
Regulation for procurement contracts (48 CFR part 9, subpart 9.4) and 
the common rule, Government-wide Debarment and Suspension 
(Nonprocurement), that implements Executive Order 12549 and Executive 
Order 12689. Suspension of a recipient is a distinct and separate action 
from suspension of an award or suspension of payments under an award.



PART 1510_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP 
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE AFRICAN DEVELOPMENT FOUNDATION-
-Table of Contents



Sec.
1510.101 Purpose.
1510.102 Application.
1510.103 Definitions.
1510.104-1510.109 [Reserved]
1510.110 Self-evaluation.
1510.111 Notice.
1510.112-1510.129 [Reserved]
1510.130 General prohibitions against discrimination.
1510.131-1510.139 [Reserved]
1510.140 Employment.
1510.141-1510.148 [Reserved]
1510.149 Program accessibility: Discrimination prohibited.
1510.150 Program accessibility: Existing facilities.
1510.151 Program accessibility: New construction and alterations.
1510.152-1510.159 [Reserved]
1510.160 Communications.
1510.161-1510.169 [Reserved]
1510.170 Compliance procedures.
1510.171-1510.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 53 FR 25883, 25885, July 8, 1988, unless otherwise noted.



Sec.  1510.101  Purpose.

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



Sec.  1510.102  Application.

    This regulation (Sec. Sec.  1510.101-1510.170) applies to all 
programs or activities conducted by the agency, except for programs or 
activities conducted outside the United States that do not involve 
individuals with handicaps in the United States.



Sec.  1510.103  Definitions.

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

[[Page 517]]

    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this regulation by Sec.  1510.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this regulation, section 504 applies only to programs or 
activities conducted by Executive agencies and not to federally assisted 
programs.
    Substantial impairment means a significant loss of the integrity of 
finished

[[Page 518]]

materials, design quality, or special character resulting from a 
permanent alteration.



Sec. Sec.  1510.104-1510.109  [Reserved]



Sec.  1510.110  Self-evaluation.

    (a) The agency shall, by September 6, 1989, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this regulation and, to the extent modification 
of any such policies and practices is required, the agency shall proceed 
to make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec.  1510.111  Notice.

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



Sec. Sec.  1510.112-1510.129  [Reserved]



Sec.  1510.130  General prohibitions against discrimination.

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

[[Page 519]]

    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this regulation.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this regulation.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Sec. Sec.  1510.131-1510.139  [Reserved]



Sec.  1510.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subject to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Sec. Sec.  1510.141-1510.148  [Reserved]



Sec.  1510.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1510.150, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1510.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1510.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for

[[Page 520]]

reaching that conclusion. If an action would result in such an 
alteration or such burdens, the agency shall take any other action that 
would not result in such an alteration or such burdens but would 
nevertheless ensure that individuals with handicaps receive the benefits 
and services of the program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by individuals with handicaps. The agency is 
not required to make structural changes in existing facilities where 
other methods are effective in achieving compliance with this section. 
The agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
individuals with handicaps in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  1510.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to individuals 
with handicaps. In cases where a physical alteration to an historic 
property is not required because of Sec.  1510.150(a) (2) or (3), 
alternative methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 7, 1988, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 6, 1991, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 6, 1989, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  1510.151  Program accessibility: New construction and alterations.

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

[[Page 521]]

apply to buildings covered by this section.



Sec. Sec.  1510.152-1510.159  [Reserved]



Sec.  1510.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
individual with handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1510.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Sec. Sec.  1510.161-1510.169  [Reserved]



Sec.  1510.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Personnel Officer, Office of Administration and Finance, 
shall be responsible for coordinating implementation of this section. 
Complaints may be sent to Personnel Officer, Office of Administration 
and Finance, African Development Foundation, 1625 Massachusetts Avenue, 
NW., Suite 600, Washington, DC, 20036.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.

[[Page 522]]

    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1510.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[53 FR 25883, 25885, July 8, 1988, as amended at 53 FR 25883, July 8, 
1988]



Sec. Sec.  1510.171-1510.999  [Reserved]

                       PARTS 1511	1599 [RESERVED]

[[Page 523]]



         CHAPTER XVI--JAPAN-UNITED STATES FRIENDSHIP COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
1600            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Japan-United 
                    States Friendship Commission............         525
1601-1699

 [Reserved]

[[Page 525]]



PART 1600_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN
PROGRAMS OR ACTIVITIES CONDUCTED BY THE JAPAN-UNITED STATES FRIENDSHIP
COMMISSION--Table of Contents



Sec.
1600.101 Purpose.
1600.102 Application.
1600.103 Definitions.
1600.104-1600.109 [Reserved]
1600.110 Self-evaluation.
1600.111 Notice.
1600.112-1600.129 [Reserved]
1600.130 General prohibitions against discrimination.
1600.131-1600.139 [Reserved]
1600.140 Employment.
1600.141-1600.148 [Reserved]
1600.149 Program accessibility: Discrimination prohibited.
1600.150 Program accessibility: Existing facilities.
1600.151 Program accessibility: New construction and alterations.
1600.152-1600.159 [Reserved]
1600.160 Communications.
1600.161-1600.169 [Reserved]
1600.170 Compliance procedures.
1600.171-1600.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22891, 22896, June 23, 1986, unless otherwise noted.



Sec.  1600.101  Purpose.

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



Sec.  1600.102  Application.

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



Sec.  1600.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited

[[Page 526]]

to, such diseases and conditions as orthopedic, visual, speech, and 
hearing impairments, cerebral palsy, epilepsy, muscular dystrophy, 
multiple sclerosis, cancer, heart disease, diabetes, mental retardation, 
emotional illness, and drug addiction and alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can acheive the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.  1600.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.  1600.104-1600.109  [Reserved]



Sec.  1600.110  Self-evaluation.

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

[[Page 527]]

    (2) A description of any modifications made.



Sec.  1600.111  Notice.

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



Sec. Sec.  1600.112-1600.129  [Reserved]



Sec.  1600.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency

[[Page 528]]

are not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec.  1600.131-1600.139  [Reserved]



Sec.  1600.140  Employment.

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



Sec. Sec.  1600.141-1600.148  [Reserved]



Sec.  1600.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1600.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1600.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1600.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements

[[Page 529]]

to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In 
choosing among available methods for meeting the requirements of this 
section, the agency shall give priority to those methods that offer 
programs and activities to qualified handicapped persons in the most 
integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  1600.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to handicapped 
persons. In cases where a physical alteration to an historic property is 
not required because of Sec.  1600.150(a)(2) or (a)(3), alternative 
methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  1600.151  Program accessibility: New construction and alterations.

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



Sec. Sec.  1600.152-1600.159  [Reserved]



Sec.  1600.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons

[[Page 530]]

with impaired vision or hearing, can obtain information as to the 
existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1600.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.  1600.161-1600.169  [Reserved]



Sec.  1600.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Executive Director, Japan-U.S. Friendship Commission, shall 
be responsible for coordinating implementation of this section. 
Complaints may be sent to Executive Director, Japan-U.S. Friendship 
Commission, 1200 Pennsylvania Avenue, NW., Washington, DC 20004.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1600.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt

[[Page 531]]

of the request. If the head of the agency determines that additional 
information is needed from the complainant, he or she shall have 60 days 
from the date of receipt of the additional information to make his or 
her determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 22891, 22896, June 23, 1986, as amended at 51 FR 22891, June 23, 
1986]



Sec. Sec.  1600.171-1600.999  [Reserved]

                       PARTS 1601	1699 [RESERVED]

[[Page 533]]



             CHAPTER XVII--UNITED STATES INSTITUTE OF PEACE




  --------------------------------------------------------------------
Part                                                                Page
1700

[Reserved]

1701            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the United 
                    States Institute of Peace...............         535
1702-1799

 [Reserved]

[[Page 535]]

                          PART 1700 [RESERVED]



PART 1701_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE UNITED STATES INSTITUTE OF
PEACE--Table of Contents



Sec.
1701.101 Purpose.
1701.102 Application.
1701.103 Definitions.
1701.104-1701.109 [Reserved]
1701.110 Self-evaluation.
1701.111 Notice.
1701.112-1701.129 [Reserved]
1701.130 General prohibitions against discrimination.
1701.131-1701.139 [Reserved]
1701.140 Employment.
1701.141-1701.148 [Reserved]
1701.149 Program accessibility: Discrimination prohibited.
1701.150 Program accessibility: Existing facilities.
1701.151 Program accessibility: New construction and alterations.
1701.152-1701.159 [Reserved]
1701.160 Communications.
1701.161-1702.169 [Reserved]
1701.170 Compliance procedures.
1701.171-1701.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 58 FR 57697, 57699, Oct. 26, 1993, unless otherwise noted.



Sec.  1701.101  Purpose.

    The purpose of this part is to implement the spirit of section 119 
of the Rehabilitation, Comprehensive Services and Developmental 
Disabilities Amendments of 1978, which amended section 504 of the 
Rehabilitation Act of 1973 to prohibit discrimination on the basis of 
handicap in programs or activities conducted by various Executive 
agencies. Although the USIP does not believe that Congress contemplated 
coverage of independent Federal institutions, such as the USIP, it has 
chosen to promulgate this part.

[58 FR 57697, Oct. 26, 1993]



Sec.  1701.102  Application.

    This part (Sec. Sec.  1701.101-1701.170) applies to all programs or 
activities conducted by the agency, except for programs or activities 
conducted outside the United States that do not involve individuals with 
handicaps in the United States.



Sec.  1701.103  Definitions.

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

[[Page 536]]

record of such an impairment, or is regarded as having such an 
impairment. As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, emotional illness, 
HIV disease (whether symptomatic or asymptomatic), and drug addiction 
and alcoholism.
    (2) Major life activities include functions such as caring for one's 
self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1614.203(a)(6), which is made 
applicable to this part by Sec.  1701.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended. As used in 
this part, section 504 applies only to programs or activities conducted 
by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.  1701.104-1701.109  [Reserved]



Sec.  1701.110  Self-evaluation.

    (a) The agency shall, by November 28, 1994, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.

[[Page 537]]

    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec.  1701.111  Notice.

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



Sec. Sec.  1701.112-1701.129  [Reserved]



Sec.  1701.130  General prohibitions against discrimination.

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

[[Page 538]]

criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Sec. Sec.  1701.131-1701.139  [Reserved]



Sec.  1701.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subjected to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1614, shall apply to employment in federally conducted 
programs or activities.



Sec. Sec.  1701.141-1701.148  [Reserved]



Sec.  1701.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.  1701.150, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.  1701.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  1701.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that result in such an 
alteration or such burdens but would nevertheless ensure that 
individuals with handicaps receive the benefits and services of the 
program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing

[[Page 539]]

facilities and construction of new facilities, use of accessible rolling 
stock, or any other methods that result in making its programs or 
activities readily accessible to and usable by individuals with 
handicaps. The agency is not required to make structural changes in 
existing facilities where other methods are effective in achieving 
compliance with this section. The agency, in making alterations to 
existing buildings, shall meet accessibility requirements to the extent 
compelled by the Architectural Barriers Act of 1968, as amended (42 
U.S.C. 4151-4157), and any regulations implementing it. In choosing 
among available methods for meeting the requirements of this section, 
the agency shall give priority to those methods that offer programs and 
activities to qualified individuals with handicaps in the most 
integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.  1701.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to individuals 
with handicaps. In cases where a physical alteration to an historic 
property is not required because of Sec.  1701.150(a)(2) or (a)(3), 
alternative methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by January 24, 1994, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by November 26, 1996, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by May 26, 1994, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.  1701.151  Program accessibility: New construction and alterations.

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



Sec. Sec.  1701.152-1701.159  [Reserved]



Sec.  1701.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall

[[Page 540]]

give primary consideration to the requests of the individual with 
handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  1701.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Sec. Sec.  1701.161-1701.169  [Reserved]



Sec.  1701.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1614 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director for Administration, United States Institute of 
Peace, shall be responsible for coordinating implementation of this 
section. Complaints may be sent to Director of Administration at the 
following address: 1550 M Street, NW., suite 700, Washington, DC 20005.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.

[[Page 541]]

    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.  1701.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[58 FR 57697, 57699, Oct. 26, 1993, as amended at 58 FR 57697, Oct. 26, 
1993]



Sec. Sec.  1701.171-1701.999  [Reserved]

                       PARTS 1702	1799 [RESERVED]

[[Page 543]]



                              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 545]]



                    Table of CFR Titles and Chapters




                      (Revised as of April 1, 2021)

                      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--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    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 Guidance (Parts 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)
         X  Department of the Treasury (Parts 1000--1099)
        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  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 546]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       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)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

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

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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)
       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)

[[Page 547]]

    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  U.S. International Development Finance Corporation 
                (Parts 4300--4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    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)

[[Page 548]]

     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)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Part 10101)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 800--899)

[[Page 549]]

        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  (Parts 1600--1699) [Reserved]
      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  (Parts 2200--2299) [Reserved]
       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)

[[Page 550]]

         L  Rural Business-Cooperative Service, Rural Housing 
                Service, and Rural Utilities Service, Department 
                of Agriculture (Part 5001)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (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  Agricultural Marketing Service (Fair Trade Practices 
                Program), Department of Agriculture (Parts 200--
                299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      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  (Parts 500--599) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  (Parts 900--999) [Reserved]
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)

[[Page 551]]

        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, Department of the 
                Treasury (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)

                    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)

[[Page 552]]

      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, 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) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  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) [Reserved]

[[Page 553]]

                     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)

                      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  United States Agency for Global Media (Parts 500--599)
       VII  U.S. International Development Finance 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)

[[Page 554]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) [Reserved]
       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) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)

[[Page 555]]

      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        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)

                      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--799)

                   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)

[[Page 556]]

                            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)
     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)

[[Page 557]]

        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 Investment Security, 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
       XII  Department of Defense, 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, Department 
                of Defense (Parts 200--399)
        IV  Great Lakes St. 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

[[Page 558]]

         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 Career, Technical, and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       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)
        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  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

[[Page 559]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)
        IX  Federal Permitting Improvement Steering Council (Part 
                1900)

          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  (Parts 103-001--104-099) [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]

[[Page 560]]

            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)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        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

[[Page 561]]

        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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      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)

[[Page 562]]

       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)
         V  The First Responder Network Authority (Parts 500--599)

           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  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        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) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)

[[Page 563]]

        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [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)
        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)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [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)

[[Page 564]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 565]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of April 1, 2021)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
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, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  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
  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
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force, Department of                          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
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 566]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  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; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, 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
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense, Department of                            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

[[Page 567]]

  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy, Department of                             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
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
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 Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       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
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 Policy, National Commission for        1, IV
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
  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         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, II
  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

[[Page 568]]

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 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 Permitting Improvement Steering Council   40, IX
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 of                          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
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

[[Page 569]]

  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
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
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, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  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; 5, XXXVI; 6, I; 8, 
                                                  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
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office 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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
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

[[Page 570]]

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 of                           2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  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
  Safety and Enforcement Bureau, Bureau of        30, II
  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 Development Finance Corporation,    5, XXXIII; 22, VII
     U.S.
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 of                            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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  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

[[Page 571]]

  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  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, VI
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
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
Military Compensation and Retirement              5, XCIX
     Modernization Commission
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, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 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 Geospatial-Intelligence Agency           32, I
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 of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 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; 47, II
National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
   Administration
[[Page 572]]

National Transportation Safety Board              49, VIII
Natural Resource Revenue, Office of               30, XII
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               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
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
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, IV, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
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
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Contracts, Department of Labor             41, 50
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of, and     32, XXIV; 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
State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6

[[Page 573]]

Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  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
  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 of the                       2, X; 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
Truman, Harry S. Scholarship Foundation           45, XVIII
United States Agency for Global Media             22, V
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 575]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2016 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2016

22 CFR
                                                                   81 FR
                                                                    Page
Chapter XIII
1306 Added.........................................................59441
Chapter XV
1506 Revised.......................................................95028

                                  2017

22 CFR
                                                                   82 FR
                                                                    Page
Chapter III
305 Revised.........................................................1188
Chapter VII
706 Revised........................................................20434
Chapter XIII
1502 Revised; eff. 4-4-17...........................................9130

                                  2018

22 CFR
                                                                   83 FR
                                                                    Page
Chapter XIII
1304 Revised.......................................................35544

                                  2019

22 CFR
                                                                   84 FR
                                                                    Page
Chapter VII
Chapter VII Heading revised........................................37751
705 Authority citation revised.....................................37751
705.101 Amended....................................................37751
706 Authority citation revised.....................................37751
706 Nomenclature change............................................37751
706.10 Amended.....................................................37752
706.11 (a)(1) amended..............................................37752
706.34 (a) amended.................................................37752
707 Heading and authority citation revised.........................37752
707 Nomenclature change............................................37752
707.21 (a) amended.................................................37752
708 Authority citation revised.....................................37752
709 Removed........................................................37752
710 Authority citation revised.....................................37752
710 Nomenclature change............................................37752
711 Heading and authority citation revised.........................37752
711.170 (c) amended................................................37752
712 Authority citation revised.....................................37752
713 Heading and authority citation revised.........................37752
713 Nomenclature change............................................37752

                                  2020

22 CFR
                                                                   85 FR
                                                                    Page
Chapter III
313 Added..........................................................73419
Chapter V
Chapter V Heading revised..........................................79432
531 Added..........................................................36151
    Removed........................................................79432

[[Page 576]]

Chapter VII
708 Removed........................................................20423

                                  2021

 (No regulations published from January 1, 2021, through April 1, 2021)


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