[Title 41 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2021 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          
          
          Title 41

Public Contracts and Property Management


________________________

Chapters 1 to 100

                         Revised as of July 1, 2021

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2021
          With Ancillaries
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



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

  Title 41:
    SUBTITLE A--Federal Procurement Regulations System [Note]
    SUBTITLE B--Other Provisions Relating to Public Contracts
          Chapter 50--Public Contracts, Department of Labor          7
          Chapter 51--Committee for Purchase From People Who 
          are Blind or Severely Disabled                            43
          Chapter 60--Office of Federal Contract Compliance 
          Programs, Equal Employment Opportunity, Department 
          of Labor                                                  99
          Chapter 61--Office of the Assistant Secretary for 
          Veterans' Employment and Training Service, 
          Department of Labor                                      261
          Chapters 62-100 [Reserved]
  Finding Aids:
      Table of CFR Titles and Chapters........................     271
      Alphabetical List of Agencies Appearing in the CFR......     291
      List of CFR Sections Affected...........................     301

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

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

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

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
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 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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OMB CONTROL NUMBERS

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

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

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not dropped in error.

INCORPORATION BY REFERENCE

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established by statute and allows Federal agencies to meet the 
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This material, like any other properly issued regulation, has the force 
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that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
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the revision dates of the 50 CFR titles.

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







[[Page ix]]



                               THIS TITLE

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

    As of July 1, 1985, the text of subtitle A is no longer published in 
the Code of Federal Regulations. For an explanation of the status of 
subtitle A, see 41 CFR chapters 1-100 (page 3).

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

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

    The Federal Travel Regulation System in chapters 300-304 of subtitle 
F is issued by the General Services Administration.

    Title 41 is composed of four volumes. The chapters in these volumes 
are arranged as follows: chapters 1-100, chapter 101, chapters 102-200, 
and chapter 201 to end. These volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2021.

    For this volume, Cheryl E. Sirofchuck 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 41--PUBLIC CONTRACTS AND PROPERTY MANAGEMENT




                 (This book contains chapters 1 to 100)

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

        SUBTITLE A--Federal Procurement Regulations System [Note]

        SUBTITLE B--Other Provisions Relating to Public Contracts

                                                                    Part

chapter 50--Public Contracts, Department of Labor...........      50-201

chapter 51--Committee for Purchase From People Who Are Blind 
  or Severely Disabled......................................        51-1

chapter 60--Office of Federal Contract Compliance Programs, 
  Equal Employment Opportunity, Department of Labor.........        60-1

chapter 61--Office of the Assistant Secretary for Veterans' 
  Employment and Training, Department of Labor..............      61-250
chapters 62-100 [Reserved]

[[Page 3]]

        Subtitle A--Federal Procurement Regulations System [Note]

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






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

[[Page 5]]

        Subtitle B--Other Provisions Relating to Public Contracts

[[Page 7]]



            CHAPTER 50--PUBLIC CONTRACTS, DEPARTMENT OF LABOR




  --------------------------------------------------------------------
Part                                                                Page
50-1--50-200

 [Reserved]

50-201          General regulations.........................           9
50-202          Minimum wage determinations.................          16
50-203          Rules of practice...........................          16
50-204          Safety and health standards for Federal 
                    supply contracts........................          24
50-205          Enforcement of safety and health standards 
                    by State officers and employees.........          39
50-210          Statements of general policy and 
                    interpretation not directly related to 
                    regulations.............................          41
50-211-50-999

 [Reserved]

[[Page 9]]

                      PARTS 50	1_50	200 [RESERVED]



PART 50	201_GENERAL REGULATIONS--Table of Contents



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

    Authority: Sec. 4, 49 Stat. 2038; 41 U.S.C. 38. Interpret or apply 
sec. 6, 49 Stat. 2038, as amended; 41 U.S.C. 40; 108 Stat. 7201; 28 
U.S.C. 2461 note (Federal Civil Penalties Inflation Adjustment Act of 
1990); Pub. L. 114-74 at Sec.  701, 129 Stat 584.



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

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

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



Sec.  50-201.2  Administration of the Act.

    (a) The Secretary of Labor is authorized and directed to administer 
the provisions of the Act, to make investigations, findings, and 
decisions thereunder, and to make, amend, and rescind rules and 
regulations with respect to its application (see sections 4

[[Page 10]]

and 5). The Supreme Court has recognized that the Secretary may issue 
rulings defining the coverage of the Act. (``Endicott Johnson Corp. v. 
Perkins, supra''.) According to the Court (ibid.), in the statute as 
originally enacted ``Congress submitted the administration of the Act to 
the judgment of the Secretary of Labor, not to the judgment of the 
courts.'' An amendment to the Act in 1952 added specific provisions for 
judicial review (see section 10). The Secretary has promulgated 
regulations to carry out provisions of the Act, which are set forth 
elsewhere in this chapter (Part 50-201 (General Regulations); Part 50-
202 (Minimum Wage Determinations); Part 50-203 (Rules of Practice); and 
Part 50-204 (Safety and Health Standards)). The Secretary of Labor has 
delegated to the Administrator of the Wage and Hour Division through the 
Assistant Secretary for Employment Standards the authority to promulgate 
regulations and to issue official rulings and interpretations. So long 
as such regulations, rulings, and interpretations are not modified, 
amended, rescinded, or determined by judicial authority to be incorrect, 
they may be relied upon as provided in section 10 of the Portal-to-
Portal Act of 1947 (61 Stat. 84, 29 U.S.C. 251, et seq., discussed in 29 
CFR part 790). Furthermore, these interpretations are intended to 
indicate the construction of the law which the Department of Labor 
believes to be correct and which will be followed in the administration 
of the Act unless and until directed otherwise by Act of Congress or by 
authoritative rulings of the courts. (``Skidmore v. Swift & Co.'', 323 
U.S. 134 (1944), ``Roland Co. v. Walling'', 326 U.S. 657 (1946); 
``Endicott Johnson Corp. v. Perkins, supra'', and ``Perkins v. Lukens 
Steel Co., supra''.)
    (b) The courts have held that the ``interpretations of the Walsh-
Healey Act and the regulations adopted thereunder, as made by the 
Secretary of Labor acting through his Administrator, are both correct 
and reasonable.'' (``Jno. McCall Coal Company v. United States,'' 374 F. 
2d 689, 692 (C.A. 4, 1967); see also ``United States v. Davison Fuel and 
Dock Company,'' 371 F. 2d 705, 711-714 (C.A. 4, 1967).) These policies 
are designed to protect not only employees but also the competitive 
interest of all firms qualified to compete for covered contracts.

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



Sec.  50-201.3  Insertion of stipulations.

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

   Representations and Stipulations Pursuant to Public Law 846, 74th 
                          Congress, as Amended

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

[[Page 11]]

that week at the applicable overtime rate set by the Secretary of Labor 
for hours in excess of 40 in any 1 week.
    (c) No person under 16 years of age and no convict labor will be 
employed by the contractor in the manufacture or production or 
furnishing of any of the materials, supplies, articles, or equipment 
included in the contract.
    (d) No part of the contract will be performed nor will any of the 
materials, supplies, articles, or equipment to be manufactured or 
furnished under said contract be manufactured or fabricated in any 
plants, factories, buildings, or surroundings or under working 
conditions which are unsanitary or hazardous or dangerous to the health 
and safety of employees engaged in the performance of the contract. 
Compliance with the safety, sanitary, and factory inspection laws of the 
State in which the work or part thereof is to be performed shall be 
prima facie evidence of compliance with this paragraph.
    (e) Any breach or violation of any of the foregoing representations 
and stipulations shall render the party responsible therefor liable to 
the United States of America for liquidated damages, in addition to 
damages for any other breach of the contract, in the sum of $27 per day 
for each person under 16 years of age, or each convict laborer knowingly 
employed in the performance of the contract, and a sum equal to the 
amount of any deductions, rebates, refunds, or underpayment of wages due 
to any employee engaged in the performance of the contract; and, in 
addition, the agency of the United States entering into the contract 
shall have the right to cancel same and to make open-market purchases or 
enter into other contracts for the completion of the original contract, 
charging any additional cost to the original contractor. Any sums of 
money due to the United States of America by reason of any violation of 
any of the representations and stipulations of the contract as set forth 
herein may be withheld from any amounts due on the contract or may be 
recovered in a suit brought in the name of the United States of America 
by the Attorney General thereof. All sums withheld or recovered as 
deductions, rebates, refunds, or underpayments of wages shall be held in 
a special deposit account and shall be paid, on order of the Secretary 
of Labor, directly to the employees who have been paid less than minimum 
rates of pay as set forth in such contracts and on whose account such 
sums were withheld or recovered: Provided, That no claims by employees 
for such payments shall be entertained unless made within 1 year from 
the date of actual notice to the contractor of the withholding or 
recovery of such sums by the United States of America.
    (f) The contractor shall post a copy of the stipulations in a 
prominent and readily accessible place at the site of the contract work 
and shall keep such employment records as are required in the 
regulations under the act available for inspection by authorized 
representatives of the Secretary of Labor.
    (g) The contractor is not a person who is ineligible to be awarded 
Government contracts by virtue of sanctions imposed pursuant to the 
provisions of section 3 of the act.
    (h) No part of the contract shall be performed and none of the 
materials, articles, supplies or equipment manufactured or furnished 
under the contract shall be manufactured or furnished by any person 
found by the Secretary of Labor to be ineligible to be awarded 
Government contracts pursuant to section 3 of the act.
    (i) The foregoing stipulations shall be deemed inoperative if this 
contract is for a definite amount not in excess of $10,000.

[7 FR 4494, June 16, 1942, as amended at 7 FR 11086, Dec. 30, 1942; 11 
FR 6238, June 8, 1946. Redesignated at 24 FR 10952, Dec. 30, 1959, and 
amended at 27 FR 306, Jan. 11, 1962; 27 FR 4556, May 12, 1962; 34 FR 
6687, Apr. 19, 1969; 34 FR 7451, May 8, 1969; 51 FR 12266, Apr. 9, 1986. 
Redesignated and amended at 61 FR 40716, Aug. 5, 1996; 81 FR 43452, July 
1, 2016; 83 FR 15, Jan. 2, 2018; 84 FR 220, Jan. 23, 2019]



Sec.  50-201.4  Statutory exemptions.

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

[[Page 12]]

truck, express, or railway line, where published tariff rates are in 
effect;
    (f) Where the contract is for the furnishing of service by radio, 
telephone, telegraph, or cable companies, subject to the Federal 
Communications Act of 1934 (48 Stat. 1064 as amended; 47 U.S.C. chapter 
5).

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



Sec.  50-201.101  Employees affected.

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

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



Sec.  50-201.102  Overtime.

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

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



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

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

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



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

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

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

[[Page 13]]



Sec.  50-201.105  Hours worked.

    In determining the hours for which an employee is employed, there 
shall be excluded any time which is excluded by section 3(o) of the Fair 
Labor Standards Act of 1938, as amended, from the computation of hours 
worked for purposes of sections 6 and 7 of that act.

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



Sec.  50-201.201  Breach of stipulations.

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

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



Sec.  50-201.301  Agency regulations.

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

[43 FR 22977, May 30, 1978]



Sec.  50-201.501  Records of employment.

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

[[Page 14]]

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

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

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



Sec.  50-201.502  Record of injuries.

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

[36 FR 20676, Oct. 28, 1971]



Sec.  50-201.601  Requests for exceptions and exemptions.

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

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



Sec.  50-201.602  Decisions concerning exceptions and exemptions.

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

[52 FR 6147, Mar. 2, 1987]



Sec.  50-201.603  Full administrative exemptions.

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

[[Page 15]]

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

[25 FR 12553, Dec. 8, 1960]



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

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

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



Sec.  50-201.1101  Minimum wages.

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

[52 FR 6147, Mar. 2, 1987]



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

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

[28 FR 9529, Aug. 30, 1963, as amended at 52 FR 6147, Mar. 2, 1987]



Sec.  50-201.1201  [Reserved]



Sec.  50-201.1202  Complaints.

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

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

[[Page 16]]



Sec.  50-201.1203  Other contracts.

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

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



PART 50	202_MINIMUM WAGE DETERMINATIONS--Table of Contents



                     Subpart A_Application and Scope

Sec.
50-202.1 Application and scope.

                     Subpart B_Groups of Industries

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

Subpart C [Reserved]

    Cross Reference: For regulations relative to employment of learners, 
see 29 CFR part 522.

    Authority: Secs. 1, 4, and 6, 49 Stat. 2036, 2038; 41 U.S.C. 35, 38, 
40. Sec. 10, 66 Stat. 308; 41 U.S.C. 43a.



                     Subpart A_Application and Scope



Sec.  50-202.1  Application and scope.

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

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

[26 FR 9043, Sept. 26, 1961]



                     Subpart B_Groups of Industries



Sec.  50-202.2  Minimum wage in all industries.

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

[56 FR 32258, July 15, 1991]



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

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

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

[43 FR 28495, June 30, 1978]

Subpart C [Reserved]



PART 50	203_RULES OF PRACTICE--Table of Contents



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

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

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

50-203.13 Requests for exceptions and exemptions.

[[Page 17]]

50-203.14 Decisions concerning exceptions and exemptions.

  Subpart C_Minimum Wage Determinations Under the Walsh-Healey Public 
                              Contracts Act

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

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



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

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



Sec.  50-203.1  Reports of breach or violation.

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

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

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



Sec.  50-203.2  Issuance of a formal complaint.

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

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



Sec.  50-203.3  Answer.

    (a) The respondent shall have the right, unless otherwise specified 
in the complaint and notice, within twenty (20) days after date of 
issuance of the formal complaint, to file an answer thereto. Such answer 
shall not be limited to a mere denial of the charges. It shall 
specifically deny or admit each of the charges, and, if the answer is in 
denial of any one of the charges, it shall contain a concise statement 
of the facts relied upon in support of the denial. Any charges not 
specifically denied in the answer shall be deemed to be admitted and may 
be so found by the administrative law judge, unless

[[Page 18]]

the respondent disclaims knowledge upon which to make a denial. If the 
answer should admit any charge but the respondent believes there are 
reasons or circumstances warranting special consideration, such reasons 
and circumstances should be fully but concisely stated.
    (b) Such answer shall be in writing, and signed by the respondent or 
his attorney or by any other duly authorized agent with power of 
attorney affixed.
    (c) If no answer is filed, or if the answer as filed does not 
warrant a postponement of the hearing, such hearing will be held as 
scheduled.
    (d) The original and two copies of the answer shall be filed with 
the Chief administrative law judge, Department of Labor, Washington, 
D.C.
    (e) In any case where formal complaints have been amended, the 
respondent shall have the right to amend his answer within such time as 
may be fixed by the administrative law judge.

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



Sec.  50-203.4  Motions.

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

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



Sec.  50-203.5  Intervention.

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

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



Sec.  50-203.6  Witnesses and subpoenas.

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

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



Sec.  50-203.7  Prehearing conferences.

    (a) At any time prior to the hearing the administrative law judge 
may, on

[[Page 19]]

motion of the parties or on his own motion, whenever it appears that the 
public interest will be served thereby, direct the parties to appear 
before him for a conference at a designated time and place to consider, 
among other things:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amending the pleadings for 
purposes of clarification, amplification or limitation;
    (3) Obtaining stipulations of fact or admissions of undisputed facts 
or the authenticity of documents;
    (4) The procedure at the hearing;
    (5) Limiting the number of witnesses;
    (6) The propriety of mutual exchange among parties of prepared 
testimony or exhibits; or
    (7) Any other matters which would tend to expedite the disposition 
of the proceeding.
    (b) The action taken at the conference may be recorded, in summary 
form or otherwise, for use at the hearing. Such record, when agreed to 
by the parties and approved by the administrative law judge, shall be 
conclusive as to the action embodied therein. Stipulations and 
admissions of fact and amendments to pleadings shall be made a part of 
the record of the proceeding.

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



Sec.  50-203.8  Hearing.

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

[[Page 20]]

by further participation in the proceeding.
    (j) Unless the administrative law judge otherwise directs, any party 
to the proceeding shall be entitled to a reasonable period at the close 
of the hearing for oral argument, which shall not be included in the 
stenographic report of the hearing unless the administrative law judge 
directs.
    (k) In the discretion of the administrative law judge, the hearing 
may be continued from day to day, or adjourned to a later date, or to a 
different place, by announcement thereof at the hearing by the 
administrative law judge, or by other appropriate notice.
    (l) Contemptuous conduct at any hearing before an administrative law 
judge shall be ground for exclusion from the hearing. The failure or 
refusal of a witness to appear at any such hearing or to answer any 
question which has been ruled to be proper shall be ground for the 
action provided in section 5 of the Walsh-Healey Public Contracts Act of 
June 30, 1936 (sec. 5, 49 Stat. 2039; 41 U.S.C. 39), and in the 
discretion of the administrative law judge may be ground for the 
striking out of all testimony which may have been previously given by 
such witness on related matters.

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



Sec.  50-203.9  Briefs.

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

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



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

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

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



Sec.  50-203.11  Review.

    (a) Within twenty (20) days after service of the decision of the 
administrative law judge any interested party to the proceeding may file 
with the Chief administrative law judge an original and four copies of a 
petition for review of the decision. The petition shall set out 
separately and particularly each error assigned. The request for review 
and the record will then be

[[Page 21]]

certified to the Administrative Review Board.
    (b) The petitioner may file a brief (original and four copies) in 
support of his petition within the period allowed for the filing of the 
petition. Any interested person upon whom the decision has been served 
may file within ten (10) days after the expiration of the period within 
which the petition is required to be filed a brief in support of or in 
opposition to the administrative law judge's decision.
    (c) The petition and the briefs filed under this section shall make 
specific reference to the pages of the transcript or of the exhibits 
which are relevant to the errors asserted with respect to findings of 
fact, and objections to such findings which are not so supported will 
not be considered.
    (d) No matter properly subject to objection before the 
administrative law judge will be considered by the Administrative Review 
Board unless it shall have been raised before the administrative law 
judge or unless there were reasonable grounds for failure so to do; nor 
will any matter be considered by the Administrative Review Board unless 
included in the assignment or errors. In the discretion of the 
Administrative Review Board, review may be denied if the petition and 
brief in support thereof fail to show adequate cause for such review.
    (e) The order denying review, or the decision of the Administrative 
Review Board, whichever is entered, will be made a part of the record, 
and a copy of such order or decision will be served upon the parties who 
were served with a copy of the administrative law judge's decision.
    (f) If the respondent is found to have violated the Act, the 
Administrative Review Board shall determine whether respondent shall be 
relieved from the application of the ineligible list provisions of 
section 3 of the Walsh-Healey Public Contracts Act (sec. 4, 49 Stat. 
2039; 41 U.S.C. 37).

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



Sec.  50-203.12  Effective date.

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

[61 FR 19988, May 3, 1996]



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



Sec.  50-203.13  Requests for exceptions and exemptions.

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

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

[[Page 22]]



Sec.  50-203.14  Decisions concerning exceptions and exemptions.

    Decisions concerning exceptions and exemptions shall be in writing 
and approved by the Secretary of Labor or officer prescribed by him, 
originals being filed in the Department of Labor, and certified copies 
shall be transferred to the department or agency originating the request 
and to the Comptroller General. All such decisions shall be promulgated 
to all contracting agencies by the Office of Government Contracts Wage 
Standards, WSA of the Department of Labor.

[36 FR 289, Jan. 8, 1971]



  Subpart C_Minimum Wage Determinations Under the Walsh-Healey Public 
                              Contracts Act

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



Sec.  50-203.15  Initiation of proceeding.

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



Sec.  50-203.16  Industry panel meetings.

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



Sec.  50-203.17  Hearings.

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

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



Sec.  50-203.18  Evidence.

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

[[Page 23]]

policy to exclude irrelevant, immaterial, or unduly repetitious 
evidence.

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



Sec.  50-203.19  Subpoenas and witness fees.

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

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



Sec.  50-203.20  Examination of witnesses.

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

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



Sec.  50-203.21  Decisions

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

[26 FR 8945, Sept. 22, 1961, as amended at 61 FR 19988, May 3, 1996; 85 
FR 13041, Mar. 6, 2020; 85 FR 30627, May 20, 2020]



Sec.  50-203.22  Effective date of determinations.

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

[[Page 24]]



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



                     Subpart A_Scope and Application

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

              Subpart B_General Safety and Health Standards

50-204.2 General safety and health standards.
50-204.3 Material handling and storage.
50-204.4 Tools and equipment.
50-204.5 Machine guarding.
50-204.6 Medical services and first aid.
50-204.7 Personal protective equipment.
50-204.8 Use of compressed air.
50-204.10 Occupational noise exposure.

                      Subpart C_Radiation Standards

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

            Subpart D_Gases, Vapors, Fumes, Dusts, and Mists

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

                     Subpart E_Transportation Safety

50-204.75 Transportation safety.

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

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



                     Subpart A_Scope and Application



Sec.  50-204.1  Scope and application.

    (a) The Walsh-Healey Public Contracts Act requires that contracts 
entered into by any agency of the United States for the manufacture or 
furnishing of materials, supplies, articles, and equipment in any amount 
exceeding $10,000 must contain, among other provisions, a stipulation 
that ``no part of such contract will be performed nor will any of the 
materials, supplies, articles, or equipment to be manufactured or 
furnished under said contract be manufactured or fabricated in any 
plants, factories, buildings, or surroundings or under working 
conditions which are unsanitary or hazardous or dangerous to the health 
and safety of employees engaged in the performance of said contract. 
Compliance with the safety, sanitary, and factory inspection laws of the 
State in which the work or part thereof is to be performed shall be 
prima-facie evidence of compliance with this subsection.'' (sec. 1(e)), 
49 Stat. 2036, 41 U.S.C. 35(e)). This part 50-204 expresses the 
Secretary of Labor's interpretation and application of this provision 
with regard to certain particular working conditions. In addition, 
Sec. Sec.  50-204.27, 50-204.30, 50-204.31, 50-204.32, 50-204.33, and 
50-204.36 contain requirements concerning the instruction of personnel, 
notification of incidents, reports of exposures, and maintenance and 
disclosure of records.
    (b)(1) Every investigator conducting investigations and every 
officer of the Department of Labor determining whether there are or have 
been violations of the safety and health requirements of the Walsh-
Healey Public Contracts Act and of any contract subject thereto; and 
whether a settlement of

[[Page 25]]

the resulting issues should be made without resort to administrative or 
court litigation, shall treat a failure to comply with, or violation of, 
any of the safety and health measures contained in this part 50-204 as 
resulting in working conditions which are ``unsanitary or hazardous or 
dangerous to the health and safety of employees'' within the meaning of 
section 1(e) of the Act and the contract stipulation it requires. 
Evidence of compliance with the safety, sanitary, and factory inspection 
laws of a State in which the work, or part thereof, is performed will be 
considered prima facie evidence of compliance with the safety and health 
requirements of the Act and of any contract subject thereto, and it 
shall be sufficient unless rebutted or overcome by a preponderance of 
evidence of a failure to comply with any applicable safety and health 
rules contained in this part.
    (2) Every investigator shall have technical competence in safety, 
industrial hygiene, or both as may be appropriate, in the matters under 
investigation.
    (c) [Reserved]
    (d) The standards expressed in this part 50-204 are for application 
to ordinary employment situations; compliance with them shall not 
relieve anyone from the obligation to provide protection for the health 
and safety of his employees in unusual employment situations. Neither do 
such standards purport to describe all of the working conditions which 
are unsanitary or hazardous or dangerous to the health and safety of 
employees. Where such other working conditions may be found to be 
unsanitary or hazardous or dangerous to the health and safety of 
employees, professionally accepted safety and health practices will be 
used.
    (e) Compliance with the standards expressed in this part 50-204 is 
not intended, and shall not be deemed to relieve anyone from any other 
obligation he may have to protect the health and safety of his 
employees, arising from sources other than the Walsh-Healey Public 
Contracts Act, such as State, local law or collective bargaining 
agreement.

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



Sec.  50-204.1a  Variances.

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

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



              Subpart B_General Safety and Health Standards



Sec.  50-204.2  General safety and health standards.

    (a) Every contractor shall protect the safety and health of his 
employees by complying with the standards described in the subparagraphs 
of this paragraph whenever a standard deals with an occupational safety 
or health subject or issue involved in the performance of the contract.

[[Page 26]]

    (1) U.S. Department of Labor--Title 29 CFR--

Part 1501--Safety and Health Regulations for Ship Repairing.
Part 1502--Safety and Health Regulations for Shipbuilding.
Part 1503--Safety and Health Regulations for Shipbreaking.
Part 1504--Safety and Health Regulations for Longshoring.
Part 1910--Subpart C through Subpart S (national consensus standards).

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

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

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

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

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

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



Sec.  50-204.3  Material handling and storage.

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

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



Sec.  50-204.4  Tools and equipment.

    Each employer shall be responsible for the safe condition of tools 
and

[[Page 27]]

equipment used by employees, including tools and equipment which may be 
furnished by employees.



Sec.  50-204.5  Machine guarding.

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

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

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



Sec.  50-204.6  Medical services and first aid.

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

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



Sec.  50-204.7  Personal protective equipment.

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

[[Page 28]]

equipment, the employer shall be responsible to assure its adequacy, 
including proper maintenance and sanitation of such equipment. All 
personal protective equipment shall be of safe design and construction 
for the work to be performed.

[35 FR 1015, Jan. 24, 1970]



Sec.  50-204.8  Use of compressed air.

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



Sec.  50-204.10  Occupational noise exposure.

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


Equivalent sound level contours. Octave band sound pressure levels may 
be converted to the equivalent A-weighted sound level by plotting them 
on this graph and noting the A-weighted sound level corresponding to the 
point of highest penetration into the sound level contours. This 
equivalent A-weighted sound level, which may differ from the actual A-
weighted sound level of the noise, is used to determine exposure limits 
from Table I.
    (b) When employees are subject to sound exceeding those listed in 
Table I of this section, feasible administrative

[[Page 29]]

or engineering controls shall be utilized. If such controls fail to 
reduce sound levels within the levels of the table, personal protective 
equipment shall be provided and used to reduce sound levels within the 
levels of the table.
    (c) If the variations in noise level involve maxima at intervals of 
1 second or less, it is to be considered continuous.
    (d) In all cases where the sound levels exceed the values shown 
herein, a continuing, effective hearing conservation program shall be 
administered.

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


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

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



                      Subpart C_Radiation Standards



Sec.  50-204.20  Radiation--definitions.

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

[[Page 30]]

approximate distribution in energy of the neutrons, the incident number 
of neutrons per square centimeter equivalent to 1 rem may be estimated 
from the following table:

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

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



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

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

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

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

[[Page 31]]

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



Sec.  50-204.22  Exposure to airborne radioactive material.

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



Sec.  50-204.23  Precautionary procedures and personnel monitoring.

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

[[Page 32]]

major portion of the body could receive in any one hour a dose in excess 
of 5 millirem, or in any 5 consecutive days a dose in excess of 100 
millirem; and
    (3) ``High radiation area'' means any area, accessible to personnel, 
in which there exists radiation at such levels that a major portion of 
the body could receive in any one hour a dose in excess of 100 millirem.



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

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

                            Radiation Symbol

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

                               Caution \2\
---------------------------------------------------------------------------

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

                             Radiation Area

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

                               Caution \2\

                           High Radiation Area

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

[[Page 33]]

                               Caution \2\

                       Airborne Radioactivity Area

    (e) Additional requirements. (1) Each area or room in which 
radioactive material is used or stored and which contains any 
radioactive material (other than natural uranium or thorium) in any 
amount exceeding 10 times the quantity of such material specified in 
appendix C to 10 CFR part 20 shall be conspiciously posted with a sign 
or signs bearing the radiation caution symbol and the words:

                               Caution \2\

                          Radioactive Materials

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

                               Caution \2\

                          Radioactive Materials

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

                               Caution \2\

                          Radioactive Materials

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

                               Caution \2\
---------------------------------------------------------------------------

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

                          Radioactive Materials

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



Sec.  50-204.25  Exceptions from posting requirements.

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

[[Page 34]]



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

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



Sec.  50-204.27  Instruction of personnel posting.

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



Sec.  50-204.28  Storage of radioactive materials.

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



Sec.  50-204.29  Waste disposal.

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



Sec.  50-204.30  Notification of incidents.

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

[[Page 35]]

    (1) Exposure of the whole body of any individual to 5 rems or more 
of radiation; exposure of the skin of the whole body of any individual 
to 30 rems or more of radiation; or exposure of the feet, ankles, hands, 
or forearms to 75 rems or more of radiation; or
    (2) A loss of 1 day or more of the operation of any facilities; or
    (3) Damage to property in excess of $10,000.



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

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



Sec.  50-204.32  Records.

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



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

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



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

    (a) Any employer who possesses or uses source material, byproduct 
material, or special nuclear material, as defined in the Atomic Energy 
Act of 1954, as amended, under a license issued by the Atomic Energy 
Commission and in accordance with the requirements of 10 CFR part 20 
shall be deemed to be in compliance with the requirements of this 
subpart with respect to such possession and use.
    (b) AEC contractors operating AEC plants and facilities: Any 
employer who possesses or uses source material, byproduct material, 
special nuclear material, or other radiation sources under a contract 
with the Atomic Energy Commission for the operation of

[[Page 36]]

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



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

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



Sec.  50-204.36  Radiation standards for mining.

    (a) For the purpose of this section, a ``working level'' is defined 
as any combination of radon daughters in 1 liter of air which will 
result in the ultimate emission of 1.3 x 10\5\ million electron volts of 
potential alpha energy. The numerical value of the ``working level'' is 
derived from the alpha energy released by the total decay of short-lived 
radon daughter products in equilibrium with 100 pico-curies of radon 222 
per liter of air. A working level month is

[[Page 37]]

defined as the exposure received by a worker breathing air at one 
working level concentration for 4\1/3\ weeks of 40 hours each.
    (b)(1) Occupational exposure to radon daughters in mines shall be 
controlled so that no individual will receive an exposure of more than 2 
working level months in any calendar quarter and no more than 4 working 
level months in any calendar year. Actual exposures shall be kept as far 
below these values as practicable.
    (2) In enforcing this section, the Director of the Bureau of Labor 
Standards may at any stage approve variations in individual cases from 
the limitation set forth in paragraph (b)(1) of this section to comply 
with the requirements of the Act upon a showing to the satisfaction of 
the Director by an employer having a mine with conditions resulting in 
an exposure of more than 4 working level months but not more than 12 
working level months in any 12 consecutive months that (i) under the 
particular facts and circumstances involved the working conditions of 
the employees so exposed are such that their health and safety are 
protected, and (ii) the employer has a bona fide plan to reduce the 
levels of exposure to those specified in paragraph (b)(1) of this 
section as soon as practicable, but in no event later than January 1, 
1971.
    (3) Whenever a variation under paragraph (b)(2) of this section is 
sought, a request therefor should be submitted in writing to the 
Director of the Bureau of Labor Standards, U.S. Department of Labor, 
Washington, DC 20210, within 90 days following the end of the calendar 
quarter or year, as the case may be.
    (c)(1) For uranium mines, records of environmental concentrations in 
the occupied parts of the mine, and of the time spent in each area by 
each person involved in underground work shall be established and 
maintained. These records shall be in sufficient detail to permit 
calculations of the exposures, in units of working level months, of the 
individuals and shall be available for inspection by the Secretary of 
Labor or his authorized agents.
    (2) For other than uranium mines and for surface workers in all 
mines, paragraph (c)(1) of this section will be applicable: Provided, 
however, That if no environmental sample shows a concentration greater 
than 0.33 working level in any occupied part of the mine, the 
maintenance of individual occupancy records and the calculation of 
individual exposures will not be required.
    (d)(1) At the request of an employee (or former employee) a report 
of the employee's exposure to radiation as shown in records maintained 
by the employer pursuant to paragraph (c) of this section, shall be 
furnished to him. The report shall be in writing and contain the 
following statement:

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

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



            Subpart D_Gases, Vapors, Fumes, Dusts, and Mists



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

    (a) (1) Exposures by inhalation, ingestion, skin absorption, or 
contact to any material or substance (i) at a concentration above those 
specified in the ``Threshold Limit Values of Airborne Contaminants for 
1968'' of the American Conference of Governmental Industrial Hygienists, 
except for the ANSI Standards listed in Table I of this section and 
except for the values of mineral dusts listed in Table II of this 
section, and (ii) concentrations above those specified in Tables I and 
II of this section, shall be avoided, or protective equipment shall be 
provided and used.
    (2) The requirements of this section do not apply to exposures to 
airborne asbestos dust. Exposures of employees to airborne asbestos dust 
shall be subject to the requirements of 29 CFR 1910.93a.
    (b) To achieve compliance with paragraph (a) of this section, 
feasible administrative or engineering controls

[[Page 38]]

must first be determined and implemented in all cases. In cases where 
protective equipment in addition to other measures is used as the method 
of protecting the employee, such protection must be approved for each 
specific application by a competent industrial hygienist or other 
technically qualified source.

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


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


[36 FR 23217, Dec. 7, 1971]



Sec.  50-204.65  Inspection of compressed gas cylinders.

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



Sec.  50-204.66  Acetylene.

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



Sec.  50-204.67  Oxygen.

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



Sec.  50-204.68  Hydrogen.

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

[[Page 39]]



Sec.  50-204.69  Nitrous oxide.

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



Sec.  50-204.70  Compressed gases.

    The in-plant handling, storage, and utilization of all compressed 
gases in cylinders, portable tanks, rail tankcars, or motor vehicle 
cargo tanks shall be in accordance with Compressed Gas Association 
Pamphlet P-1-1965.

[35 FR 1015, Jan. 24, 1970]



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

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



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

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

[35 FR 1015, Jan. 24, 1970]



                     Subpart E_Transportation Safety



Sec.  50-204.75  Transportation safety.

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

[35 FR 1016, Jan. 24, 1970]



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



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

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

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



Sec.  50-205.1  Purpose and scope.

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

[[Page 40]]



Sec.  50-205.2  Definitions.

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

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

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



Sec.  50-205.3  Agreement with a State agency.

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



Sec.  50-205.4  Plan of cooperation.

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



Sec.  50-205.5  Inspections by State agency.

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



Sec.  50-205.6  Complaints.

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



Sec.  50-205.7  Manual of instructions.

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

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

[32 FR 7704, May 26, 1967]



Sec.  50-205.8  Reports of inspections.

    The State agency shall furnish the Department of Labor with a report 
of its inspection when the following circumstances exist:
    (a) The inspection was requested by the Department of Labor;
    (b) The inspection discloses serious violations of the safety and 
health requirements of part 50-204 of this chapter by an employer 
apparently subject to the Act;
    (c) The inspection discloses minor violations of the safety and 
health requirements of part 50-204 of this chapter by an employer 
apparently subject to the Act which are not corrected

[[Page 41]]

promptly when such apparent violations are brought to the attention of 
the employer or as to which fully reliable assurances of future 
compliance are not or cannot be obtained.



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

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

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

[32 FR 7704, May 26, 1967]



Sec.  50-205.10  Modification or termination of agreement.

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



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



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

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



Sec.  50-210.0  General enforcement policy.

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

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

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



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

    (a) The Division of Public Contracts returns to the interpretation 
contained in Rulings and Interpretations No. 2 \1\ with respect to 
coverage under the Walsh-Healey Public Contracts Act of truck drivers 
employed by oil dealers, by amending section 40(e)(1) of Rulings and 
Interpretations No. 3 \1\ to read as follows:
---------------------------------------------------------------------------

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

    (1) Where the contractor is a dealer, the act applies to employees 
at the central distributing plant, including warehousemen, compounders, 
and chemists testing the lot out of which the Government order is 
filled, the crews engaged in loading the materials in vessels, tank cars 
or tank wagons

[[Page 42]]

for shipment, and truck drivers engaged in the activities described in 
section 37(m) above. \2\ However, the contractor is not required to show 
that the employees at the bulk stations, including truck drivers, are 
employed in accordance with the standards of the act. (Bulk stations as 
the term is used herein are intermediate points of storage between a 
central distributing plant and service stations.)
---------------------------------------------------------------------------

    \2\ Refers to Rulings and Interpretation No. 3.

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

                     PARTS 50	211_50	999 [RESERVED]

[[Page 43]]



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




  --------------------------------------------------------------------
Part                                                                Page
51-1            General.....................................          45
51-2            Committee for Purchase From People Who Are 
                    Blind or Severely Disabled..............          47
51-3            Central nonprofit agencies..................          51
51-4            Nonprofit agencies..........................          53
51-5            Contracting requirements....................          56
51-6            Procurement procedures......................          59
51-7            Procedures for environmental analysis.......          64
51-8            Public availability of agency materials.....          66
51-9            Privacy Act rules...........................          78
51-10           Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Committee 
                    for Purchase From People Who Are Blind 
                    or Severely Disabled....................          87
51-11           Production or disclosure in Federal and 
                    State proceedings.......................          93
51-12--51-99

 [Reserved]

[[Page 45]]



PART 51	1_GENERAL--Table of Contents



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

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

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



Sec.  51-1.1  Policy.

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

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



Sec.  51-1.2  Mandatory source priorities.

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



Sec.  51-1.3  Definitions.

    As used in this chapter:
    AbilityOne Program means the program authorized by the JWOD Act to 
increase employment and training opportunities for persons who are blind 
or

[[Page 46]]

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

[[Page 47]]

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

[56 FR 48976, Sept. 26, 1991, as amended at 59 FR 16777, Apr. 8, 1994; 
71 FR 68493, Nov. 27, 2006; 77 FR 58500, Sept. 21, 2012]



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



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

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

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



Sec.  51-2.1  Membership.

    Under the JWOD Act, the Committee is composed of 15 members 
appointed by the President. There is one representative from each of the 
following departments or agencies of the Government: The Department of 
Agriculture, the Department of Defense, the Department of the Army, the 
Department of the Navy, the Department of the Air Force, the Department 
of Education, the Department of Commerce, the Department of Justice, the 
Department of

[[Page 48]]

Labor, the Department of Veterans Affairs, and the General Services 
Administration. Four members are private citizens: One who is conversant 
with the problems incident to the employment of blind individuals; one 
who is conversant with the problems incident to the employment of 
persons with other severe disabilities; one who represents blind 
individuals employed in qualified nonprofit agencies for the blind; and 
one who represents persons with severe disabilities (other than 
blindness) employed in qualified nonprofit agencies employing persons 
with severe disabilities.



Sec.  51-2.2  Powers and responsibilities.

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

[56 FR 48977, Sept. 26, 1991, as amended at 59 FR 59341, Nov. 16, 1994; 
71 FR 68493, Nov. 27, 2006]



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

    At least 30 days prior to the Committee's consideration of the 
addition or deletion of a commodity or service to or from the 
Procurement List, the Committee publishes a notice in the

[[Page 49]]

Federal Register announcing the proposed addition or deletion and 
providing interested persons an opportunity to submit written data or 
comments on the proposal. Interested persons submitting comments in 
bound form should also submit an unbound copy that is capable of being 
legibly photocopied.

[59 FR 59341, Nov. 16, 1994]



Sec.  51-2.4  Determination of suitability.

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

[56 FR 48977, Sept. 26, 1991, as amended at 59 FR 59341, Nov. 16, 1994; 
62 FR 66529, Dec. 19, 1997]



Sec.  51-2.5  Committee decision.

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

[59 FR 59342, Nov. 16, 1994]

[[Page 50]]



Sec.  51-2.6  Reconsideration of Committee decision.

    (a) The Committee may reconsider its decision to add items to the 
Procurement List if it receives pertinent information which was not 
before it when it initially made the decision. Unless otherwise provided 
by the Committee, requests for reconsideration from interested persons 
must be received by the Committee within 60 days following the effective 
date of the addition in question. A request for reconsideration must 
include the specific facts believed by the interested person to justify 
a decision by the Committee to modify or reverse its earlier action.
    (b) In reconsidering its decision, the Committee will balance the 
harm to the party requesting reconsideration if the item remains on the 
Procurement List against the harm which the nonprofit agency or its 
employees who are blind or have other severe disabilities would suffer 
if the item were deleted from the Procurement List. The Committee may 
also consider information bringing into question its conclusions on the 
suitability criteria on which it based its original decision as factors 
weighing toward a decision to delete the item, and information 
concerning possible harm to the Government and the JWOD Program as 
factors weighing toward confirmation of the original decision.

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



Sec.  51-2.7  Fair market price.

    (a) The Committee is responsible for determining fair market prices, 
and changes thereto, for commodities and services on the Procurement 
List. The Committee establishes an initial fair market price at the time 
a commodity or service is added to the Procurement List. This initial 
price is based on Committee procedures, which permit negotiations 
between the contracting activity and the nonprofit agency which will 
produce or provide the commodity or service to the Government, assisted 
by the appropriate central nonprofit agency. If agreed to by the 
negotiating parties, the initial price may be developed using other 
methodologies specified in Committee pricing procedures.
    (b) Prices are revised in accordance with changing market conditions 
under Committee procedures, which include negotiations between 
contracting activities and producing nonprofit agencies, assisted by 
central nonprofit agencies, or the use of economic indices, changes in 
nonprofit agency costs, or other methodologies permitted under these 
procedures.
    (c) Recommendations for initial fair market prices, or changes 
thereto, shall be submitted jointly by the contracting activities and 
nonprofit agencies concerned to the appropriate central nonprofit 
agency. After review and analysis, the central nonprofit agency shall 
submit the recommended prices and methods by which prices shall be 
changed to the Committee, along with the information required by 
Committee pricing procedures to support each recommendation. The 
Committee will review the recommendations, revise the recommended prices 
where appropriate, and establish a fair market price, or change thereto, 
for each commodity or service which is the subject of a recommendation.

[64 FR 55842, Oct. 15, 1999]



Sec.  51-2.8  Procurement list.

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

[[Page 51]]

the Federal Register as they are approved by the Committee.



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

    (a) Upon written request from an interested person, that person may, 
at the discretion of the Committee Chair, be permitted to appear before 
the Committee to present views orally. Generally, only those persons who 
have raised significant issues which, if valid, could influence the 
Committee's decision in the matter under consideration will be permitted 
to appear.
    (b) When the Chair has approved the appearance before the Committee 
of an interested person who has made a written request:
    (1) The name of the spokesperson and the names of any other persons 
planning to appear shall be provided to the Committee staff by telephone 
at least three working days before the meeting.
    (2) In the absence of prior authorization by the Chair, only one 
person representing a particular agency or organization will be 
permitted to speak.
    (3) Oral statements to the Committee and written material provided 
in conjunction with the oral statements shall be limited to issues 
addressed in written comments which have previously been submitted to 
the Committee as the result of notice of proposed rulemaking in the 
Federal Register.
    (4) Written material to be provided in conjunction with the oral 
presentation and an outline of the presentation shall be submitted to 
the Committee staff at least three working days before the meeting.
    (c) The Committee may also invite other interested persons to make 
oral presentations at Committee meetings when it determines that these 
persons can provide information which will assist the Committee in 
making a decision on a proposed addition to the Procurement List. Terms 
of appearance of such persons shall be determined by the Chair.



PART 51	3_CENTRAL NONPROFIT AGENCIES--Table of Contents



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

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

    Source: 56 FR 48979, Sept. 26, 1991, unless otherwise noted.



Sec.  51-3.1  General.

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



Sec.  51-3.2  Responsibilities under the AbilityOne Program.

    Each central nonprofit agency shall:
    (a) Represent its participating nonprofit agencies in dealing with 
the Committee under the JWOD Act.
    (b) Evaluate the qualifications and capabilities of its nonprofit 
agencies and provide the Committee with pertinent data concerning its 
nonprofit agencies, their status as qualified nonprofit agencies, their 
manufacturing or service capabilities, and other information concerning 
them required by the Committee.
    (c) Obtain from Federal contracting activities such procurement 
information as is required by the Committee to:
    (1) Determine the suitability of a commodity or service being 
recommended to the Committee for addition to the Procurement List; or
    (2) Establish an initial fair market price for a commodity or 
service or make changes in the fair market price.
    (d) Recommend to the Committee, with the supporting information 
required by Committee procedures, suitable commodities or services for 
procurement from its nonprofit agencies.
    (e) Recommend to the Committee, with the supporting information 
required by Committee procedures, initial fair market prices for 
commodities or services proposed for addition to the Procurement List.

[[Page 52]]

    (f) Distribute within the policy guidelines of the Committee (by 
direct allocation, subcontract, or any other means) orders from 
Government activities among its nonprofit agencies.
    (g) Maintain the necessary records and data on its nonprofit 
agencies to enable it to allocate orders equitably.
    (h) Oversee and assist its nonprofit agencies to insure contract 
compliance in furnishing a commodity or a service.
    (i) As market conditions change, recommend price changes with 
appropriate justification for assigned commodities or services on the 
Procurement List.
    (j) Monitor and assist its nonprofit agencies to meet the statutory 
and regulatory requirements to fully participate in the program. Conduct 
assistance visits with its nonprofits as necessary and provide the 
Committee with the results and recommendations of such visits.
    (k) When authorized by the Committee, enter into contracts with 
Federal contracting activities for the furnishing of commodities or 
services provided by its nonprofit agencies.
    (l) At the time designated by the Committee, submit a completed, 
original copy of the appropriate Initial Certification (Committee Form 
401 or 402) for the nonprofit agency concerned. This requirement does 
not apply to a nonprofit agency that is already authorized to furnish a 
commodity or service under the JWOD Act.
    (m) Review and forward to the Committee by December 1 of each year a 
completed original copy of the appropriate Annual Certification 
(Committee Form 403 or 404) for each of its participating nonprofit 
agencies covering the fiscal year ending the preceding September 30.
    (n) Perform other JWOD administrative functions, including 
activities to increase Government and public awareness of the JWOD Act 
subject to the oversight of the Committee.

[56 FR 48979, Sept. 26, 1991, as amended at 59 FR 59342, Nov. 16, 1994; 
62 FR 32237, June 13, 1997; 68 FR 53684, Sept. 12, 2003; 73 FR 28043, 
May 15, 2008]



Sec.  51-3.3  Assignment of commodity or service.

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

[[Page 53]]

shall refer a disagreement over an extension to the Committee for 
resolution with Federal Prison Industries.
    (e) The central nonprofit agency shall provide the Committee the 
decision of Federal Prison Industries on the waiver or exercise of its 
priority when it requests the addition of the commodity to the 
Procurement List. NISH shall also provide the decision of National 
Industries for the Blind waiving its priority.

[59 FR 59342, Nov. 16, 1994]



Sec.  51-3.4  Distribution of orders.

    Central nonprofit agencies shall distribute orders from the 
Government only to nonprofit agencies which the Committee has approved 
to furnish the specific commodity or service. When the Committee has 
approved two or more nonprofit agencies to furnish a specific commodity 
or service, the central nonprofit agency shall distribute orders among 
those nonprofit agencies in a fair and equitable manner.

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



Sec.  51-3.5  Fees.

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

[56 FR 48979, Sept. 26, 1991, as amended at 71 FR 68494, Nov. 27, 2006]



Sec.  51-3.6  Reports to central nonprofit agencies.

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



PART 51	4_NONPROFIT AGENCIES--Table of Contents



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

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

    Source: 56 FR 48980, Sept. 26, 1991, unless otherwise noted.



Sec.  51-4.1  General.

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

[56 FR 48980, Sept. 26, 1991, as amended at 71 FR 68494, Nov. 27, 2006]



Sec.  51-4.2  Initial qualification.

    (a) To qualify for participation in the JWOD Program:
    (1) A privately incorporated nonprofit agency shall submit to the 
Committee through its central nonprofit agency the following documents, 
transmitted by a letter signed by an officer of the corporation or chief 
executive:
    (i) A legible copy (preferably a photocopy) of the articles of 
incorporation showing the date of filing and the signature of an 
appropriate State official.
    (ii) A copy of the bylaws certified by an officer of the 
corporation.
    (iii) If the articles of incorporation or bylaws do not include a 
statement to the effect that no part of the net income of the nonprofit 
agency may inure to the benefit of any shareholder or other individual, 
one of the following shall be submitted:
    (A) A certified true copy of the State statute under which the 
nonprofit agency was incorporated which includes wording to the effect 
that no part of the net income of the nonprofit agency may inure to the 
benefit of any shareholder or other individual.
    (B) A copy of a resolution approved by the governing body of the 
corporation, certified by an officer of the corporation, to the effect 
that no part of the net income of the nonprofit agency

[[Page 54]]

may inure to the benefit of any shareholder or other individual.
    (2) A State-owned or State-operated nonprofit agency, or a nonprofit 
agency established or authorized by a State statute other than the State 
corporation laws and not privately incorporated, shall submit to the 
Committee through its central nonprofit agency the following documents, 
transmitted by a letter signed by an officer of the wholly-owned State 
corporation or an official of the agency that directs the operations of 
the nonprofit agency, as applicable:
    (i) A certified true copy of the State statute establishing or 
authorizing the establishment of nonprofit agency(ies) for persons who 
are blind or have other severe disabilities.
    (ii) In the case of a wholly-owned State corporation, a certified 
true copy of the corporation bylaws; and, in the case of a State or 
local government agency, a certified true copy of implementing 
regulations, operating procedures, notice of establishment of the 
nonprofit agency, or other similar documents.
    (b) The Committee shall review the documents submitted and, if they 
are acceptable, notify the nonprofit agency by letter, with a copy to 
its central nonprofit agency, that the Committee has verified its 
nonprofit status under the JWOD Act.
    (c) A nonprofit agency shall submit two completed copies of the 
appropriate Initial Certification (Committee Form 401 or 402) to its 
central nonprofit agency at the time designated by the Committee. This 
requirement does not apply if a nonprofit agency is already authorized 
to furnish a commodity or service under the JWOD Act.

[56 FR 48980, Sept. 26, 1991, as amended at 59 FR 59342, Nov. 16, 1994]



Sec.  51-4.3  Maintaining qualification.

    (a) To maintain its qualification under the JWOD Act, each nonprofit 
agency authorized to furnish a commodity or a service shall continue to 
comply with the requirements of a ``nonprofit agency for other severely 
handicapped'' or a ``nonprofit agency for the blind'' as defined in 
Sec.  51-1.3 of this chapter. In addition, each such nonprofit agency 
must submit to its central nonprofit agency by November 1 of each year, 
two completed copies of the appropriate Annual Certification (Committee 
Form 403 or 404) covering the fiscal year ending the preceding September 
30.
    (b) In addition to paragraph (a) of this section, each nonprofit 
agency participating in the Ability One Program shall:
    (1) Furnish commodities or services in strict accordance with 
Government orders.
    (2) Comply with the applicable compensation, employment, and 
occupational health and safety standards prescribed by the Secretary of 
Labor, including procedures to encourage filling of vacancies within the 
nonprofit agency by promotion of qualified employees who are blind or 
have other severe disabilities.
    (3) Comply with directives or requests issued by the Committee in 
furtherance of the objectives of the JWOD Act or its implementing 
regulations.
    (4) Make its records available for review at any reasonable time to 
representatives of the Committee or the central nonprofit agency 
representing the nonprofit agency.
    (5) Maintain records of direct labor hours performed in the 
nonprofit agency by each worker.
    (6) Maintain a file for each blind individual performing direct 
labor which contains a written report reflecting visual acuity and field 
of vision of each eye, with best correction, signed by a person licensed 
to make such an evaluation, or a certification of blindness by a State 
or local governmental entity.
    (7) Maintain in the file for each blind individual performing direct 
labor annual reviews of ability to engage in normal competitive 
employment. These reviews must be signed by an individual qualified by 
training and/or experience to make this determination.
    (8) Maintain an ongoing placement program operated by or for the 
nonprofit agency to include liaison with appropriate community services 
such as the State employment service, employer groups and others. Those 
individuals determined capable and desirous of normal competitive 
employment

[[Page 55]]

shall be assisted in obtaining such employment.
    (9) Upon receipt of payment by the Government for commodities or 
services furnished under the Ability One Program, pay to the central 
nonprofit agency a fee which meets the requirements of Sec.  51-3.5 of 
this chapter.
    (c) Each nonprofit agency employing persons with severe disabilities 
participating in the AbilityOne Program shall, in addition to the 
requirements of paragraphs (a) and (b) of this section, maintain in each 
individual with a severe disability's file:
    (1) A written report signed by a licensed physician, psychiatrist, 
or qualified psychologist, reflecting the nature and extent of the 
disability or disabilities that cause such person to qualify as a person 
with a severe disability, or a certification of the disability or 
disabilities by a State or local governmental entity.
    (2) Reports which state whether that individual is capable of 
engaging in normal competitive employment. These reports shall be signed 
by a person or persons qualified by training and experience to evaluate 
the work potential, interests, aptitudes, and abilities of persons with 
disabilities and shall normally consist of preadmission evaluations and 
reevaluations prepared at least annually. The file on individuals who 
have been in the nonprofit agency for less than two years shall contain 
the preadmission report and, where appropriate, the next annual 
reevaluation. The file on individuals who have been in the nonprofit 
agency for two or more years shall contain, as a minimum, the reports of 
the two most recent annual reevaluations.
    (d) The information collection requirements of Sec. Sec.  51-4.2 and 
51-4.3 and the recordkeeping requirements of Sec.  51-4.3 have been 
approved by the Office of Management and Budget (OMB) under the 
provisions of the Paperwork Reduction Act of 1980 (Public Law 96-511). 
The information collection requirements have been assigned the following 
OMB control numbers:

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


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

[56 FR 48980, Sept. 26, 1991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 62 FR 32237, June 13, 1997; 62 FR 66529, 
Dec. 19, 1997; 68 FR 53685, Sept. 12, 2003; 71 FR 68494, Nov. 27, 2006; 
73 FR 28043, May 15, 2008]



Sec.  51-4.4  Subcontracting.

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

[56 FR 48980, Sept. 26, 1991, as amended at 62 FR 66529, Dec. 19, 1997]

[[Page 56]]



Sec.  51-4.5  Violations by nonprofit agencies.

    (a) Any alleged violations of these regulations by a nonprofit 
agency shall be investigated by the Committee which shall notify the 
nonprofit agency concerned and afford it an opportunity to submit a 
statement of facts and evidence. Pending a decision by the Committee, 
the central nonprofit agency concerned may be directed by the Committee 
to temporarily suspend allocations to the nonprofit agency.
    (b) If a nonprofit agency fails to correct its violations of these 
regulations, the Committee, after affording the nonprofit agency an 
opportunity to address the Committee on the matter, may terminate the 
nonprofit agency's eligibility to participate in the JWOD Program.

[56 FR 48979, Sept. 26, 1991, as amended at 59 FR 59343, Nov. 16, 1994; 
73 FR 28043, May 15, 2008]



PART 51	5_CONTRACTING REQUIREMENTS--Table of Contents



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

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

    Source: 56 FR 48981, Sept. 26, 1991, unless otherwise noted.



Sec.  51-5.1  General.

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



Sec.  51-5.2  Mandatory source requirement.

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

[[Page 57]]

List to entities of the Government by contract to order these 
commodities from the sources authorized by the Committee.
    (d) Procedures for obtaining military resale commodities are 
contained in Sec.  51-6.4 of this chapter.
    (e) Contracting activities procuring services which have included 
within them services on the Procurement List shall require their 
contractors for the larger service requirement to procure the included 
Procurement List services from nonprofit agencies designated by the 
Committee.

[56 FR 48981, Sept. 26, 1991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 60 FR 54200, Oct. 20, 1995; 63 FR 16439, 
Apr. 3, 1998]



Sec.  51-5.3  Scope of requirement.

    (a) When a commodity is included on the Procurement List, the 
mandatory source requirement covers the National Stock Number or item 
designation listed and commodities that are essentially the same as the 
listed item. In some instances, only a portion of the Government 
requirement for a National Stock Number or item designation is specified 
by the Procurement List. Where geographic areas, quantities, percentages 
or specific supply locations for a commodity are listed, the mandatory 
provisions of the JWOD Act apply only to the portion or portions of the 
commodity indicated by the Procurement List.
    (b) For services, where an agency and location or geographic area 
are listed on the Procurement List, only the service for the location or 
geographic area listed must be procured from the nonprofit agency, 
except as provided in Sec.  51-6.14 of this chapter. Where no location 
or geographic area is indicated by the Procurement List, it is mandatory 
that the total Government requirement for that service be procured from 
a nonprofit agency.
    (c) When a commodity or service is added to the Procurement List, 
the addition does not affect contracts for the commodity or service 
awarded prior to the effective date of the Procurement List addition or 
options exercised under those contracts.

[56 FR 48981, Sept. 26, 1991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 63 FR 16439, Apr. 3, 1998]



Sec.  51-5.4  Purchase exceptions.

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

[[Page 58]]

appropriate central nonprofit agency at the time it is issued, and a 
copy of the annotated bid abstract upon awarding of the commercial 
contract.
    (g) Any decision by a central nonprofit agency regarding a purchase 
exception may be appealed to the Committee by the contracting activity.

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



Sec.  51-5.5  Prices.

    (a) The prices for items on the Procurement List are fair market 
prices established by the Committee under authority of the Javits-
Wagner-O'Day Act (41 U.S.C. 47(b)).
    (b) Prices for commodities include applicable packaging, packing, 
and marking. Prices include transportation to point of delivery as 
specified in Sec.  51-5.6.
    (c) Price changes for commodities and services shall usually apply 
to orders received by the nonprofit agency on or after the effective 
date of the change. In special cases, after considering the views of the 
contracting activity, the Committee may make price changes applicable to 
orders received by the nonprofit agency prior to the effective date of 
the change.
    (d) To assist the Committee in revising the fair market prices for 
services on the Procurement List, upon request from the central 
nonprofit agency, the contracting activity should take the following 
actions:
    (1) Submit to the Department of Labor in a timely fashion a request 
for wage determination rate.
    (2) Provide a copy of the new wage determination rate or the 
Department of Labor document stating that the wage determination rate is 
unchanged to the central nonprofit agency at least 60 days before the 
beginning of the new service period.
    (3) Provide to the central nonprofit agency at least 90 days before 
the beginning of the new service period a copy of the statement of work 
applicable to the new service period.
    (e) If a contracting activity desires packing, packaging, or marking 
of products other than the standard pack or as provided in the 
Procurement List, any difference in cost shall be negotiated with the 
nonprofit agency.

[56 FR 48981, Sept. 26, 1991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59343, Nov. 16, 1994; 64 FR 55842, Oct. 15, 1999]



Sec.  51-5.6  Shipping.

    (a) Except as provided in paragraph (b) of this section, commodities 
are sold to the Government on an ``F.O.B. destination'' basis, with 
delivery being accomplished when the shipment reaches the facility 
designated by the contracting activity. Time of delivery is when the 
shipment is released by the carrier and accepted by the contracting 
activity or its agent. In this delivery method, the nonprofit agency 
will normally use commercial bills of lading and will be responsible for 
any loss or damage to the goods occurring before the commodities reach 
the designated delivery point. The nonprofit agency will prepare and 
distribute commercial bills of lading, furnish delivery schedules, 
designate the carriers, and pay all shipping charges to specified 
delivery points.
    (b) The Committee may determine that certain commodities are to be 
sold to the Government on an ``F.O.B. origin'' basis, with delivery 
being accomplished when a shipment is placed aboard the vehicle of the 
initial carrier. Time of delivery is when the shipment is released to 
and accepted by the initial carrier. In this delivery method, the 
nonprofit agency will normally use Government bills of lading, and 
responsibility for loss or damage to the goods while in transit passes 
to the Government at the time the initial carrier accepts a shipment. If 
the contracting activity fails to furnish a Government bill of lading 
promptly, such failure shall be considered an excusable delay in 
delivery.

[64 FR 55842, Oct. 15, 1999]



Sec.  51-5.7  Payments.

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

[[Page 59]]



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

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

[56 FR 48981, Sept. 26, 1991, as amended at 59 FR 59343, Nov. 16, 1994]



PART 51	6_PROCUREMENT PROCEDURES--Table of Contents



Sec.
51-6.1 Direct order process.
51-6.2 Allocation process.
51-6.3 Long-term procurements.
51-6.4 Military resale commodities.
51-6.5 Adjustment and cancellation of orders.
51-6.6 Request for waiver of specification requirement.
51-6.7 Orders in excess of nonprofit agency capability.
51-6.8 Deletion of items from the Procurement List.
51-6.9 Correspondence and inquiries.
51-6.10 Quality of merchandise.
51-6.11 Quality complaints.
51-6.12 Specification changes and similar actions.
51-6.13 Replacement and similar commodities.
51-6.14 Replacement services.
51-6.15 Disputes.

    Authority: 41 U.S.C. 8501-8506.

    Source: 56 FR 48983, Sept. 26, 1991, unless otherwise noted.



Sec.  51-6.1  Direct order process.

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



Sec.  51-6.2  Allocation process.

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

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

    (b) Requests for allocations shall contain, as a minimum:
    (1) For commodities. Name, stock number, latest specification, 
quantity, unit price, and place and time of delivery.
    (2) For services. Type and location of service required, latest 
specification,

[[Page 60]]

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

[56 FR 48983, Sept. 26, 1991, as amended at 59 FR 59343, Nov. 16, 1994]



Sec.  51-6.3  Long-term procurements.

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

[56 FR 48983, Sept. 26, 1991, as amended at 62 FR 32237, June 13, 1997; 
71 FR 68494, Nov. 27, 2006]

[[Page 61]]



Sec.  51-6.4  Military resale commodities.

    (a) Purchase procedures for ordering military resale commodities are 
available from the central nonprofit agencies. Authorized resale outlets 
(military commissary stores, Armed Forces exchanges and like activities 
of other Government departments and agencies) shall request the central 
nonprofit agency responsible for the military resale commodity being 
ordered to designate the nonprofit agency or its agent to which the 
outlets shall forward orders.
    (b) Authorized resale outlets shall stock military resale 
commodities in as broad a range as practicable. Authorized resale 
outlets may stock commercial items comparable to military resale 
commodities they stock, except that military commissary stores shall 
stock military resale commodities in the 300-800-, 900-, 1000-, 1100-, 
10000- (10000-10999); 13000 (13000-13999); 14000 (14000-14999); 15000 
(15000-15999); and 16000 (16000-16999) series exclusively, unless an 
exception has been granted on an individual store basis for the stocking 
of comparable commercial items for which there is a significant customer 
demand.
    (c) The Defense Commissary Agency shall, after consultation with the 
Committee:
    (1) Establish mandatory lists of military resale commodities to be 
stocked in commissary stores.
    (2) Require the stocking in commissary stores of military resale 
commodities in the 0- (0-99), 200-, 300-, 400-, 500-, 600-, 700-, 800-, 
900-, 1000-, 1100-, 1200- (1200-9999), 10000- (10000-10999), 11000 
(11000-11999); 12000 (12000-12999); 13000 (13000-13999); 14000 (14000-
14999); 15000 (15000-15999); and 16000 (16000-16999) series in as broad 
a range as is practicable.
    (3) Issue guidance requiring commissary store personnel to maximize 
sales potential of military resale commodities.
    (4) Establish policies and procedures which reserve to its agency 
headquarters the authority to grant exceptions to the exclusive stocking 
of 300-, 800-, 900-, 1000-, 1100-, 10000- (10000-10999); 13000 (13000-
13999); 14000 (14000-14999); 15000 (15000-15999); and 16000 (16000-
16999) series military resale commodities.
    (d) The Defense Commissary Agency shall provide the Committee a copy 
of each directive which relates to the stocking of military resale 
commodities in commissary stores, including exceptions authorizing the 
stocking of commercial items in competition with 300-, 800-, 900-, 1000-
, 1100-, 10000- (10000-10999); 13000 (13000-13999); 14000 (14000-14999); 
15000 (15000-15999); and 16000 (16000-16999) series military resale 
commodities.
    (e) The prices of military resale commodities include delivery to 
destination or, in the case of destinations overseas, to designated 
depots at ports of embarkation. Zone pricing is used for delivery to 
Alaska and Hawaii.

[56 FR 48983, Sept. 26, 1991, as amended at 59 FR 59343, Nov. 16, 1994; 
62 FR 32237, June 13, 1997; 71 FR 67312, Nov. 21, 2006; 80 FR 32039, 
June 5, 2015; 80 FR 35848, June 23, 2015]



Sec.  51-6.5  Adjustment and cancellation of orders.

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



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

    (a) Nonprofit agencies and central nonprofit agencies are encouraged 
to recommend changes to specification requirements or request waivers 
where there are opportunities to provide equal or improved products at a 
lower cost to the Government.
    (b) A nonprofit agency shall not request a waiver of a specification 
requirement except when it is not possible to obtain the material 
meeting the specification or when other requirements contained in the 
specification cannot be met.

[[Page 62]]

    (c) Requests for waiver of specification shall be transmitted by the 
nonprofit agency to its central nonprofit agency.
    (d) The central nonprofit agency shall review the request and the 
specification to determine if the request is valid and shall submit to 
the contracting activity only those requests which it has determined are 
necessary to enable the nonprofit agency to furnish the item.
    (e) The central nonprofit agency request for waiver shall be 
transmitted in writing to the contracting activity. In addition, a copy 
of the request shall be transmitted to the Committee, annotated to 
include a statement concerning the impact on the cost of producing the 
item if the waiver is approved.



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

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



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

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

[56 FR 48983, Sept. 26, 1991; 56 FR 64002, Dec. 6, 1991, as amended at 
59 FR 59344, Nov. 16, 1994; 71 FR 68494, Nov. 27, 2006]



Sec.  51-6.9  Correspondence and inquiries.

    Routine contracting activity correspondence or inquiries concerning 
deliveries of commodities being shipped from or performance of services 
by

[[Page 63]]

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



Sec.  51-6.10  Quality of merchandise.

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



Sec.  51-6.11  Quality complaints.

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



Sec.  51-6.12  Specification changes and similar actions.

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

[[Page 64]]

it cannot meet the 90-day notice requirement when it places the order or 
change notice.
    (e) Nonprofit agencies shall recommend changes in specifications, 
item descriptions, and statements of work that will improve the 
commodity or service being provided, reduce costs, or improve overall 
value to the Government. Contracting activities shall respond promptly 
to these recommendations and work with the nonprofit agencies to 
implement them when appropriate.

[56 FR 48983, Sept. 26, 1991, as amended at 59 FR 59344, Nov. 16, 1994; 
62 FR 66529, Dec. 19, 1998]



Sec.  51-6.13  Replacement and similar commodities.

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

[59 FR 59344, Nov. 16, 1994]



Sec.  51-6.14  Replacement services.

    If a service is on the Procurement List to meet the needs of a 
Government entity at a specific location and the entity moves to another 
location, the service at the new location is automatically considered to 
be on the Procurement List if a qualified nonprofit agency is available 
to provide the service at the new location, unless the service at that 
location is already being provided by another contractor. If the service 
at the new location is being provided by another contractor, the service 
will not be on the Procurement List unless the Committee adds it as 
prescribed in part 51-2 of this chapter. If another Government entity 
moves into the old location, the service at that location will remain on 
the Procurement List to meet the needs of the new Government entity.

[63 FR 16439, Apr. 3, 1998]



Sec.  51-6.15  Disputes.

    Disputes between a nonprofit agency and a contracting activity 
arising out of matters covered by parts 51-5 and 51-6 of this chapter 
shall be resolved, where possible, by the contracting activity and the 
nonprofit agency, with assistance from the appropriate central nonprofit 
agency. Disputes which cannot be resolved by these parties shall be 
referred to the Committee for resolution.

[62 FR 66529, Dec. 19, 1997. Redesignated at 63 FR 16439, Apr. 3, 1998.]



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



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

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

    Source: 56 FR 48986, Sept. 26, 1991, unless otherwise noted.



Sec.  51-7.1  Purpose and scope.

    (a) Purpose. This part implements the National Environmental Policy 
Act of

[[Page 65]]

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

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



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

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

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



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

    (a) 40 CFR 1505.1 of the NEPA regulations contains requirements to 
ensure adequate consideration of environmental documents in agency 
decision-making. To implement these requirements, the Committee staff 
shall:
    (1) Consider all relevant environmental documents in evaluating 
proposals for agency action;
    (2) Ensure that all relevant environmental documents, comments and 
responses accompany the proposal through the agency review processes;
    (3) Consider only those alternatives discussed in the relevant 
environmental documents when evaluating proposals for agency action; and
    (4) Where an EIS has been prepared, consider the specific 
alternative analysis in the EIS when evaluating the proposal which is 
the subject of the EIS.
    (b) For each of the Committee's actions authorized by the JWOD Act, 
the following list identifies the point at which the NEPA process 
begins, the point at which it ends, and the key agency official or 
office required to consider the relevant environmental

[[Page 66]]

documents as a part of their decision-making:
    (1) Action: Request.
    (2) Start of NEPA process: Upon receipt of request.
    (3) Completion of NEPA process: When the deciding official reviews 
the proposal and makes a determination.
    (4) Key official or office required to consider environmental 
document: When a positive determination is made under Sec.  51-7.2(b), 
the applicant in conjunction with the Committee staff will prepare the 
necessary papers.



Sec.  51-7.4  Typical classes of action.

    (a) 40 CFR 1507.3(b)(2) in conjunction with 40 CFR 1508.4 requires 
agencies to establish three typical classes of action for similar 
treatment under NEPA. These typical classes of action are set forth 
below:
    (1) Actions normally requiring EIS: None.
    (2) Actions normally requiring assessments but not necessarily EISs: 
Requests for actions for which determinations under Sec.  51-7.2(b) are 
found to be affirmative.
    (3) Actions normally not requiring assessments or EISs: Request for 
actions by nonprofit agencies through the central nonprofit agencies to 
add a commodity or service to the Committee's Procurement List.
    (b) The Committee shall independently determine, by referring to 40 
CFR 1508.27, whether an EIS or an environmental assessment is required 
where:
    (1) A proposal for agency action is not covered by one of the 
typical classes of action above; or
    (2) For actions which are covered, but where the presence of 
extraordinary circumstances indicates that some other level of 
environmental review may be appropriate.



Sec.  51-7.5  Environmental information.

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

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



PART 51	8_PUBLIC AVAILABILTY OF AGENCY MATERIALS--Table of Contents



Sec.
51-8.1 General.
51-8.2 Proactive Disclosures.
51-8.3 Requirements for Making Requests.
51-8.4 Responsibility for Responding to Requests.
51-8.5 Timing of Responses to Requests.
51-8.6 Responses to Requests.
51-8.7 Confidential Commercial Information.
51-8.8 Administrative Appeals.
51-8.9 Preservation of Records.
51-8.10 Fees.
51-8.11 Other Rights and Services.

    Authority: 5 U.S.C. 552.

    Source: 85 FR 37778, June 24, 2020, unless otherwise noted.



Sec.  51-8.1  General.

    (a) This part contains the rules that the Committee for Purchase 
From People Who Are Blind or Severely Disabled (Committee) 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 Fee Schedule and Guidelines published by the Office of 
Management and Budget (``OMB Guidelines''). Requests made by individuals 
for records about themselves under the Privacy Act of 1974, 5 U.S.C. 
552a, are processed under part 51-9 as well as under this part. As a 
matter of policy, the Committee makes discretionary disclosures of 
records or information 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.
    (b) The Committee has a centralized system for processing requests, 
all requests are handled by the FOIA Officer.



Sec.  51-8.2  Proactive Disclosures.

    Records that the Committee is required to make available for public 
inspection in an electronic format may be accessed through the 
Committee's public website: www.abilityone.gov. The Committee is 
responsible for determining which of its records must be made publicly 
available, for identifying

[[Page 67]]

additional records of interest to the public that are appropriate for 
public disclosure, and for posting and indexing such records. The 
Committee shall ensure that its website of posted records and indices is 
reviewed and updated on an ongoing basis. The Committee's FOIA Public 
Liaison contact information is available at https://www.abilityone.gov/
laws,_regulations_and_policy/foia.html.



Sec.  51-8.3  Requirements for Making Requests.

    (a) General Information. (1) The Committee has designated a FOIA 
office to process and respond to all FOIA requests. All Committee 
departments have the capability to receive requests electronically 
either through email or a web portal. A request will receive the 
quickest possible response if it is addressed to the FOIA office. To 
make a request for records, a requester should write directly to the 
FOIA office.
    (2) A requester may submit a request for records to the Executive 
Director at the Committee's offices, 1401 S Clark Street, Suite 715, 
Arlington, Virginia 22202-3259, or via email to [email protected], or 
via facsimile to (703) 603-0655. The request must be in writing and 
should indicate that it is being made under the FOIA. Failure to submit 
a request in accordance with these procedures may delay the processing 
of the request.
    (3) A requester who is making a request for records about himself or 
herself must comply with the verification of identity provision set 
forth in part 51-9.
    (4) Where a request for records pertains to a third party, a 
requester may receive greater access by submitting either a notarized 
authorization signed by that individual or a declaration made in 
compliance with the requirements set forth in 28 U.S.C. 1746 by that 
individual authorizing disclosure of the records to the requester, or by 
submitting proof that the individual has deceased (e.g., a copy of a 
death certificate or an obituary). As an exercise of administrative 
discretion, the Committee can 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 records 
sought in sufficient detail to enable Committee personnel to locate them 
with a reasonable amount of effort. To the extent possible, requesters 
should include specific information that may assist in identifying the 
requested records, such as the date, title or name, author, recipient, 
subject matter of the record, case number, file designation, or 
reference number. In general, requesters should include as much detail 
as possible about the specific records or the types of records that they 
are seeking. Before submitting their requests, requesters may contact 
the FOIA office or FOIA Public Liaison to discuss the records they are 
seeking and to receive assistance in describing the records. If after 
receiving a request the FOIA office determines that it does not 
reasonably describe the records sought, the FOIA office shall 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, each of whom is available to assist the requester 
in reasonably describing the records sought. If a request does not 
reasonably describe the records sought, the agency's response to the 
request may be delayed.
    (c) If the Committee determines that a request does not reasonably 
describe the records, it shall inform the requester of this fact and 
extend to the requester an opportunity to clarify the request or to 
confer promptly with knowledgeable Committee personnel to attempt to 
identify the records being sought or to reformulate a request. The 
Committee may offer assistance in identifying records and reformulating 
a request where: The description is deemed insufficient, the production 
of voluminous records is required, or a considerable number of work 
hours would be required to complete the request that would interfere 
with the business of the Committee.

[[Page 68]]



 Sec.  51-8.4  Responsibility for Responding to Requests.

    (a) In general. Except in the instances described in paragraphs (c) 
of this section, the Committee is responsible for responding to a record 
request it received. In determining which records are responsive to a 
request, the Committee ordinarily will include only records in its 
possession as of the date that it begins its search. If any other date 
is used, the Committee shall 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. The Committee has no 
obligation to create a record solely for the purpose of making it 
available under the FOIA.
    (b) Authority to grant or deny requests. The Executive Director, or 
designee, is authorized to grant or deny any request for records that 
are maintained by the Committee.
    (c) Consultation, referral, and coordination. When reviewing records 
located by the Committee in response to a request, the Committee shall 
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, the Committee shall proceed in one of the 
following ways:
    (1) Consultation. When records originated with the Committee 
processing the request, but contain information of interest to another 
agency, or other Federal Government office, the Committee should 
typically consult with that other agency prior to making a release 
determination.
    (2) Referral. (i) When upon the receipt of the request the Committee 
determines that a different agency, or other Federal Government office 
is best able to determine whether to disclose the record, the Committee 
should refer the responsibility for responding to the request to the 
other agency, as long as that agency is subject to the FOIA. Ordinarily, 
the agency that originated the record will be presumed to be best able 
to make the disclosure determination. However, if the Committee 
processing the request and the originating agency jointly agree that the 
former is in the best position to respond regarding the record, then the 
record may be handled as a consultation.
    (ii) Whenever the Committee refers any part of the responsibility 
for responding to a request to another agency, it shall document the 
referral, maintain a copy of the record that it refers, and notify the 
requester of the referral and inform 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 the Committee responding to 
a request for records on a living third party 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 publically 
known, then to disclose that law enforcement interest could cause an 
unwarranted invasion of the personal privacy of the third party. 
Similarly, if the Committee 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, the Committee, upon receipt of the request, should 
coordinate with the originating component or 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 the Committee.
    (d) Classified information. Whenever a request involves 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, the Committee shall 
refer the responsibility for responding to the request regarding

[[Page 69]]

that information to the agency that classified the information, or that 
should consider the information for classification. Whenever a 
component's record contains information that has been derivatively 
classified (e.g., when it contains information classified by another 
agency), the Committee shall refer the responsibility for responding to 
that portion of the request to the agency that classified the underlying 
information.
    (e) Timing of responses to consultations and referrals. All 
consultations and referrals received by the Committee will be handled 
according to the date that the FOIA request was received by the first 
agency.
    (f) Agreements regarding consultations and referrals. The Committee 
may establish agreements with other agencies to eliminate the need for 
consultations or referrals with respect to particular types of records.



Sec.  51-8.5  Timing of Responses to Requests.

    (a) In general. (1) The Committee ordinarily will respond to 
requests according to their order of receipt. The time limits prescribed 
in the FOIA will begin only after the Committee identifies a request as 
being made under the FOIA and deemed received by the Committee.
    (2) An initial determination whether, and to what extent, to grant 
each request for records or a fee waiver shall be made within 10 
business days after receipt of that request. The requester shall be 
notified as soon as the determination is made.
    (3) When a requester complies with the procedures established in 
this part for obtaining records under the FOIA, the request shall 
receive prompt attention, and a response will be made within 20 business 
days.
    (b) Unusual circumstances. Whenever the Committee cannot meet the 
statutory time limit for processing a request because of ``unusual 
circumstances,'' as defined in the FOIA, and the Committee extends the 
time limit on that basis, the Committee shall, before expiration of the 
20-day period to respond, notify the requester in writing of the unusual 
circumstances involved and of the date by which processing of the 
request can be expected to be completed. Where the extension exceeds 10 
working days, the Committee will, as described by the FOIA, provide the 
requester with an opportunity to modify the request or arrange an 
alternative time period for processing the original or modified request. 
The Committee shall make available its FOIA office and its FOIA Public 
Liaison for this purpose. The agency must also alert requesters to the 
availability of the Office of Government Information Services to provide 
dispute resolution services.
    (c) Aggregating requests. For the purposes of satisfying unusual 
circumstances under the FOIA, the Committee 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. The Committee shall not aggregate multiple requests that 
involve unrelated matters.
    (d) Multitrack processing. (1) The Committee may use two or more 
processing tracks by distinguishing between simple, complex, and 
expedited requests based on the amount of work and/or time needed to 
process a request or the number of pages involved. Expedited processing 
shall be in accordance with the standards set forth in paragraph (g) of 
this section. Among the factors a component may consider are the number 
of pages involved in processing the request and the need for 
consultations or referrals. The Committee shall advise requesters of the 
track into which their request falls and, when appropriate, shall offer 
the requesters an opportunity to narrow their request so that it can be 
placed in a different processing track.
    (e) Expedited processing. (1) Requests and appeals may be taken out 
of order and given expedited treatment 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

[[Page 70]]

who is 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 government's integrity that 
affect public confidence.
    (2) A request for expedited processing may be made at any time. 
Requests based on paragraphs (e)(1)(i) through (iv) of this section must 
be submitted to the Committee's FOIA office.
    (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 (e)(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 professional 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 
topic. As a matter of administrative discretion, the Committee may waive 
the formal certification requirement.
    (4) The Committee shall notify the requester within 10 calendar days 
of the receipt of a request for expedited processing of its decision 
whether to grant or deny expedited processing. If expedited processing 
is granted, the request will be given priority and processed as soon as 
practicable. If a request for expedited processing is denied, any appeal 
of that decision shall be acted on expeditiously.



Sec.  51-8.6  Responses to Requests.

    (a) In general. The Committee should, to the extent practicable, 
communicate with requesters having access to the internet using 
electronic means, such as email or web portal.
    (b) Acknowledgment of requests. The Committee shall acknowledge the 
request and assign it an individualized tracking number if it will take 
longer than 10 working days to process. The Committee shall include in 
the acknowledgement a brief description of the records sought to allow 
requesters to more easily keep track of their requests.
    (c) Grants of requests. When the Committee makes a determination to 
grant a request in full or in part, it shall notify the requester in 
writing. The Committee shall inform the requester of any fees charged 
under subpart 51-8.10 of this part and shall disclose the requested 
records to the requester promptly upon payment of any applicable fees. 
The Committee must inform the requester of the availability of the FOIA 
Public Liaison to offer assistance.
    (d) Adverse determinations of requests. If the Committee makes an 
adverse determination denying a request in any respect, the requester 
will be notified in writing. 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. The denial will be signed by the Executive 
Director or designee and 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 exemption applied in denying the request;
    (3) An estimate of the volume of any records or information 
withheld, such as the number of pages or some other reasonable form of 
estimation, although such an estimate is not required if the volume is 
otherwise indicated by deletions marked on records

[[Page 71]]

that are disclosed in part or if providing an estimate would harm an 
interest protected by an applicable exemption;
    (4) A statement that the denial may be appealed under subpart 51-8.8 
of this part, and a description of the appeal requirements set forth 
therein; and
    (5) A statement notifying the requester of the assistance available 
from the Committee's FOIA Public Liaison and the dispute resolution 
services offered by Office of Government Information Services (OGIS).



Sec.  51-8.7  Confidential Commercial Information.

    (a) Definitions.
    (1) Confidential commercial information means commercial or 
financial information obtained by the Committee from a submitter that 
may be protected from disclosure under Exemption 4 of the FOIA, 5 U.S.C. 
552(b)(4).
    (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, 
either directly or indirectly to the Federal Government.
    (b) 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 submission or 
within a reasonable time thereafter, any portion of its submission that 
it considers to be protected from disclosure under Exemption 4. These 
designations expire 10 years after the date of the submission unless the 
submitter requests and provides justification for a longer designation 
period.
    (c) When notice to submitters is required. (1) The Committee will 
promptly provide written notice to the 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, the Committee determines that 
it may be required to disclose the records, provided:
    (i) The requested information has been designated in good faith by 
the submitter as information considered protected from disclosure under 
Exemption 4; or
    (ii) The Committee has a 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 
under that exemption or any other applicable exemption.
    (2) The notice must either describe the commercial information 
requested or include a copy 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 accomplish 
notification.
    (d) Exceptions to submitter notice requirements. The notice 
requirements of this section do not apply if:
    (1) The Committee determines that the information is exempt under 
the FOIA;
    (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, except that, in such a case, 
the Committee shall give the submitter written notice of any final 
decision to disclose the information and shall provide that notice 
within a reasonable number of days prior to a specified disclosure date.
    (e) Opportunity to object to disclosure. (1) The Committee will 
specify a reasonable time period within which the submitter must respond 
to the notice referenced above. If a submitter has any objections to 
disclosure, it should provide the Committee a detailed written statement 
that specifies all grounds for withholding the particular information 
under any exemption of the FOIA. In order to rely on Exemption 4 as 
basis for nondisclosure, the submitter must explain why the information 
constitutes a trade secret or

[[Page 72]]

commercial or financial information that is privileged or confidential.
    (2) A submitter who fails to respond within the time period 
specified in the notice shall be considered to have no objection to 
disclosure of the information. Information received by the Committee 
after the date of any disclosure decision shall not be considered by the 
Committee. Any information provided by a submitter under this subpart 
may itself be subject to disclosure under the FOIA.
    (f) Analysis of objections. The Committee will consider a 
submitter's objections and specific grounds for nondisclosure in 
deciding whether to disclose the requested information.
    (g) Notice of intent to disclose. (1) Whenever the Committee decides 
to disclose information over the objection of a submitter, the Committee 
will provide the submitter written notice, which will include:
    (i) A statement of the reasons why each of the submitter's 
disclosure objections was not sustained;
    (ii) A description of the information to be disclosed; and
    (iii) A specified disclosure date, which must be a reasonable time 
after the notice, and not less than 10 business days after the date of 
the notice submission.
    (iv) A statement that the submitter must notify the Committee 
immediately if the submitter intends to seek injunctive relief.
    (2) Notwithstanding paragraph (e)(2) of this section, even if the 
submitter fails to respond to Committee's notice specified in paragraph 
(c) of this section, whenever the Committee decides to disclose the 
commercial information, the Committee will provide the submitter written 
notice of disclosure, as specified in paragraph (g)(1) of this section.
    (h) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of confidential commercial information, 
the Committee will promptly notify the submitter.
    (i) Requester notification. The Committee will notify the 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.  51-8.8  Administrative Appeals.

    (a) Requirements for making an appeal. A requester may appeal any 
adverse determinations to the Committee's Chief FOIA Officer. The 
contact information for the FOIA Officer is available at the Committee's 
website, at https://www.abilityone.gov/laws,_regulations_and_policy/
foia.html. Appeals can be submitted through email or the web portal 
accessible on the FOIA web page. Examples of adverse determinations are 
provided in Sec.  51-8.6(d). The requester must make the appeal in 
writing and to be considered timely it must be postmarked, or in the 
case of electronic submissions, transmitted, within 90 calendar days 
after the date of the response. The appeal should clearly identify the 
Committee's determination that is being appealed and the assigned 
request 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) Adjudication of appeals. (1) The Committee Executive Director or 
designee will act on behalf of the Committee on all appeals under this 
section.
    (2) An appeal ordinarily will not be adjudicated if the request 
becomes a matter of FOIA litigation.
    (3) On receipt of any appeal involving classified information, the 
Committee's Chief FOIA Officer shall take appropriate action to ensure 
compliance with
    (c) Decisions on appeals. A decision on an appeal must be made in 
writing. A decision that upholds a Committee determination will contain 
a statement that identifies the reasons for the affirmance, 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 mediation services offered by the Office of 
Government Information Services (OGIS) of the National Archives and

[[Page 73]]

Records Administration as a non-exclusive alternative to litigation. If 
a Committee's decision is remanded or modified on appeal, the requester 
will be notified of that determination in writing. The Committee will 
thereafter further process the request in accordance with that appeal 
determination and respond directly to the requester.
    (d) Engaging in dispute resolution services provided by OGIS. 
Mediation is a voluntary process. If the Committee agrees to participate 
in the mediation services provided by the Office of Government 
Information Services, it will actively engage as a partner to the 
process in an attempt to resolve the dispute.
    (e) When appeal is required. Before seeking review by a court of a 
Committee's adverse determination, a requester generally must first 
submit a timely administrative appeal.



Sec.  51-8.9  Preservation of Records.

    The Committee will preserve all correspondence pertaining to the 
requests it receives under this subpart, 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 will not be destroyed while they are the subject of a pending 
request, appeal, or lawsuit under the Act.



Sec.  51-8.10  Fees.

    (a) In general. The Committee will charge for processing requests 
under the FOIA in accordance with the provisions of this section and 
with the OMB Guidelines. In order to resolve any fee issues that arise 
under this section, the Committee may contact a requester for additional 
information. The Committee shall ensure that searches, review, and 
duplication are conducted in the most efficient and the least expensive 
manner. The Committee will ordinarily collect all applicable fees before 
sending copies of records to a requester. Requesters must pay fees by 
check or money order payable to the United States Department of 
Treasury.
    (b) Definitions. For purposes of this section:
    (1) 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. The Committee'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.
    (2) Direct costs are those expenses that an agency incurs 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, such as photocopiers and scanners. Direct 
costs do not include overhead expenses such as the costs of space, and 
of heating or lighting a facility.
    (3) 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.
    (4) Educational institution is any school that operates a program of 
scholarly research. A requester in this fee category must show that the 
request is made in connection with the requester's role at the 
educational institution. The Committee may seek assurance from the 
requester that the request is in furtherance of scholarly research and 
agencies will advise requesters of their placement in this category.

    Example 1 to paragraph (b)(4). 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.
    Example 2 to paragraph (b)(4). 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 stationary.

[[Page 74]]

    Example 3 to paragraph (b)(4). A student who makes a request in 
furtherance of the student's 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.

    (5) Noncommercial scientific institution is an institution that is 
not operated on a ``commercial'' basis, as defined in paragraph (b)(1) 
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 are not for a commercial use.
    (6) Representative of the news media is 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 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, the 
Committee shall also consider a requester's past publication record in 
making this determination.
    (7) 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.  51-8.7, 
but it does not include time spent resolving general legal or policy 
issues regarding the application of exemptions.
    (8) 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.
    (c) Charging fees. In responding to FOIA requests, the Committee 
will charge the following fees unless a waiver or reduction of fees has 
been granted under paragraph (k) of this section. Because the fee 
amounts provided below already account for the direct costs associated 
with a given fee type, the Committee 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. The Committee will charge search 
fees for all other requesters, subject to the restrictions of paragraph 
(d) of this section. The Committee may properly charge for time spent 
searching even if responsive records are not located or if the Committee 
determines that the records are 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 shall be as follows: Professional--$10.00; and 
clerical/administrative--$4.75.
    (iii) Requesters shall be charged the direct costs associated with 
conducting any search that requires the creation of a new computer 
program to locate the requested records. Requesters shall

[[Page 75]]

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.
    (iv) For requests that require the retrieval of records stored by an 
agency 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 shall be charged to all 
requesters, subject to the restrictions of paragraph (d) of this 
section. The Committee shall honor a requester's preference for 
receiving a record in a particular form or format where it is readily 
reproducible by the Committee in the form or format requested. Where 
photocopies are supplied, agencies will provide one copy per request at 
the cost of 25[cent] per page. For copies of records produced on tapes, 
disks, or other media, the Committee 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 shall also pay the 
direct costs associated with scanning those materials. For other forms 
of duplication, agencies will charge the direct costs.
    (3) Review. The Committee will charge review fees 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 the 
Committee 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 a particular exemption is deemed to no longer apply, 
any costs associated with the Committee's re-review of the 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 (c)(1)(ii) of this section.
    (d) Restrictions on charging fees. (1) No search fees will be 
charged for requests by educational institutions (unless the records are 
sought for a commercial use), noncommercial scientific institutions, or 
representatives of the news media.
    (2)(i) If the Committee fails to comply with the FOIA's 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 (d)(1) 
of this section, may not charge duplication fees, except as described in 
paragraphs (d)(2)(ii) through (iv) of this section.
    (ii) If the Committee has determined that unusual circumstances, as 
defined by the FOIA, apply and the Committee 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 10 days.
    (iii) If the Committee has determined that unusual circumstances, as 
defined by the FOIA, apply and more than 5,000 pages are necessary to 
respond to the request, the Committee may charge search fees, or, in the 
case of requesters described in paragraph (d)(1) of this section, may 
charge duplication fees if the following steps are taken. The Committee 
must have provided timely written notice of unusual circumstances to the 
requester in accordance with the FOIA and the Committee must have 
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). If this exception is satisfied, the Committee 
may charge all applicable fees incurred in the processing of the 
request.
    (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, 
Committee shall provide without charge:

[[Page 76]]

    (i) The first 100 pages of duplication (or the cost equivalent for 
other media); and
    (ii) The first two hours of search.
    (5) No fee will be charged when the total fee, after deducting the 
100 free pages (or its cost equivalent) and the first two hours of 
search, is equal to or less than $25.
    (e) Notice of anticipated fees in excess of $25.00. (1) When the 
Committee determines or estimates that the fees to be assessed in 
accordance with this section will exceed $25.00, the requesting party 
will be notified of the actual or estimated amount of the fees, 
including a breakdown of the fees for search, review or duplication, 
unless a written statement from the requester has been received 
indicating a willingness to pay fees as high as those anticipated. If 
only a portion of the fee can be readily estimated, the Committee shall 
advise the requester accordingly. If the requester is a noncommercial 
use requester, the notice shall 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 shall advise the requester whether those entitlements 
have been provided.
    (2) If the Committee 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. The Committee is not required to accept 
payments in installments.
    (3) If the requester has indicated a willingness to pay some 
designated amount of fees, but the Committee estimates that the total 
fee will exceed that amount, the Committee will 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. 
The Committee 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, the time to respond will resume from where 
it was at the date of the notification.
    (4) The Committee will make available the FOIA Public Liaison or 
other personnel to assist any requester in reformulating a request to 
meet the requester's needs at a lower cost.
    (f) Charges for other services. Although not required to provide 
special services, if the Committee 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.
    (g) Charging interest. The Committee may charge interest on any 
unpaid bill for processing FOIA requests starting on the 31st day 
following the date of billing the requester. Interest rates 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 the Committee.
    (h) Aggregating requests. When the Committee 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, the Committee may aggregate those requests and 
charge accordingly. The Committee 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, the Committee will 
aggregate them only where there is a reasonable basis for determining 
that aggregating the requests is warranted in view of all the 
circumstances involved. Multiple requests involving unrelated matters 
shall not be aggregated.
    (i) Advance payments. (1) For requests other than those described in 
paragraphs (i)(2) or (i)(3) of this section, the

[[Page 77]]

Committee shall 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 the Committee 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. The Committee 
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 within 30 calendar days of the billing date, the 
Committee may require that the requester pay the full amount due, plus 
any applicable interest on that prior request, and the Committee may 
require that the requester make an advance payment of the full amount of 
any anticipated fee before the Committee begins to process a new request 
or continues to process a pending request or any pending appeal. Where 
the Committee has a reasonable basis to believe that a requester has 
misrepresented the requester's identity in order to avoid paying 
outstanding fees, it may require that the requester provide proof of 
identity.
    (4) In cases in which the Committee 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 30 calendar days after the date of 
the Committee's fee determination, the request will be closed.
    (j) 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, the Committee shall 
inform the requester of the contact information for that program.
    (k) Requirements for waiver or reduction of fees. (1) 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 or activities of the government and is not primarily 
in the commercial interest of the requester.
    (2) The Committee 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 
(k)(2)(i) through (ii) of this section are satisfied:
    (i) 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.
    (ii) 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:
    (A) Disclosure of the requested records must be meaningfully 
informative about the Committee 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.
    (B) 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 the requester's ability and 
intention to effectively convey information to the public must be 
considered. The Committee ordinarily will presume that a representative 
of the news media will satisfy this consideration.
    (iii) The disclosure must not be primarily in the commercial 
interest of

[[Page 78]]

the requester. To determine whether disclosure of the requested 
information is primarily in the commercial interest of the requester, 
the Committee will consider the following criteria:
    (A) The Committee must identify whether the requester has any 
commercial interest that would be furthered by the requested disclosure. 
A commercial interest includes any commercial, trade, or for profit 
interest. Requesters must be given an opportunity to provide explanatory 
information regarding this consideration.
    (B) If there is an identified commercial interest, the Committee 
must determine whether that is the primary interest furthered by the 
request. A waiver or reduction of fees is justified when the 
requirements of paragraphs (k)(2)(i) through (ii) of this section are 
satisfied and any commercial interest is not the primary interest 
furthered by the request. The Committee ordinarily will presume that 
when a news media requester has satisfied the requirements of paragraphs 
(k)(2)(i) through (ii) 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.
    (3) 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.
    (4) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to the Committee and should address the 
criteria referenced above. A requester may submit a fee waiver request 
at a later time as 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.



 Sec.  51-8.11  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 FOIA.



PART 51	9_PRIVACY ACT RULES--Table of Contents



                      Subpart 51	9.1_General Policy

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

                  Subpart 51	9.2_Disclosure of Records

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

               Subpart 51	9.3_Individual Access to Records

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

                Subpart 51	9.4_Requests To Amend Records

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

 Subpart 51	9.5_Report on New Systems and Alteration of Existing Systems

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

[[Page 79]]

Subpart 51-9.6--Exceptions [Reserved]

 Subpart 51	9.7_Rules of Conduct for Disclosure of Information About an 
                               Individual

51-9.701 Committee rules of conduct.

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

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



                      Subpart 51	9.1_General Policy



Sec.  51-9.101  Maintenance of records.



Sec.  51-9.101-1  Collection and use.

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



Sec.  51-9.101-2  Standards of accuracy.

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



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

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



Sec.  51-9.101-4  Rules of conduct.

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



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

    The Executive Director shall ensure that appropriate administrative, 
technical and physical safeguards are established to ensure the security 
and confidentiality of records and to protect against any anticipated 
threats or hazards to their security or integrity which could result in 
substantial harm, embarrassment, inconvenience, or unfairness to any 
individual on whom information is maintained.



Sec.  51-9.102  Availability of records.

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

[[Page 80]]



Sec.  51-9.102-1  Specific exemptions.

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



                  Subpart 51	9.2_Disclosure of Records



Sec.  51-9.201  Conditions of disclosure.

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

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



Sec.  51-9.202  Accounting of disclosures.

    (a) Except for disclosures made pursuant to paragraphs (a) and (b) 
of Sec.  51-9.201 of this part, an accurate accounting of each 
disclosure will be made and retained for five years after the disclosure 
or for the life of the record, whichever is longer. The accounting will 
include the date, nature, and purpose of each disclosure, and the name 
and address of the person or agency to whom the disclosure is made.
    (b) The accounting will be recorded and maintained in any manner the 
Executive Director determines is satisfactory for the purposes of 
constructing a

[[Page 81]]

listing of all disclosures, and for providing a cross reference to the 
justification or basis upon which the disclosure was made, including 
written documentation required when records are released for statistical 
or law enforcement purposes and any written consents provided by the 
individual.
    (c) Except for disclosures made to agencies or instrumentalities in 
law enforcement activities in accordance with Sec.  51-9.201(e)(2) or 
for disclosures made from systems exempted from this requirement of the 
Act as outlined in subpart 51-9.6 of this part, the accounting of 
disclosures will be made available to the individual upon request. 
Procedures for requesting access to the accounting are outlined in 
subpart 51-9.3 of this part.



               Subpart 51	9.3_Individual Access to Records



Sec.  51-9.301  Notification.

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



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

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



Sec.  51-9.303  Access procedures.



Sec.  51-9.303-1  Form of requests.

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

[[Page 82]]



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

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



Sec.  51-9.303-3  Granting access.

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



Sec.  51-9.303-4  Denials of access.

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



Sec.  51-9.304  Fees.



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

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



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

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

[[Page 83]]



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

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



Sec.  51-9.304-4  Form of payment.

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

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



Sec.  51-9.304-5  Reproduction fee schedule.

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



                Subpart 51	9.4_Requests To Amend Records



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

    (a) An individual who desires to amend any record or information 
pertaining to him should direct a written request to the Executive 
Director, Committee for Purchase from People who are Blind or Severely 
Disabled, Jefferson Plaza 2, Suite 10800, 1421 Jefferson Davis Highway, 
Arlington, Virginia 22202-3259.
    (b) A request should bear the legend ``Privacy Act--Request to Amend 
Record'' prominently marked on both the face of the request letter and 
the envelope.

(5 U.S.C. 552a)

[40 FR 51168, Nov. 3, 1975. Redesignated at 56 FR 48983, Sept. 26, 1991, 
and amended at 59 FR 16777, Apr. 8, 1994; 63 FR 16440, Apr. 3, 1998: 65 
FR 35287, June 2, 2000]



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

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



Sec.  51-9.403  Approval of requests to amend.

    If the Executive Director agrees to amend a record, he promptly 
shall make the necessary corrections to the record and shall send a copy 
of the corrected record to the individual. Where an accounting of 
disclosure has been

[[Page 84]]

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



Sec.  51-9.404  Refusal of request to amend.

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



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

    (a) An individual who disagrees with the refusal to amend may appeal 
that refusal with the Committee. An individual should address a request 
for review of a refusal to amend any record, exclusive of a personnel 
record of a current Committee employee to the Chairperson, Committee for 
Purchase from People who are Blind or Severely Disabled, Jefferson Plaza 
2, Suite 10800, 1421 Jefferson Davis Highway, Arlington, Virginia 22202-
3259.
    (b) A request to review must be in writing and should include a copy 
of the initial request and refusal to amend. The request to review 
should bear the legend ``Privacy Act--Request for Review of Refusal to 
Amend'' on both the face of the letter and the envelope. The Chairperson 
shall complete the review and make a determination no later than 30 
working days after receipt of the request for review, unless a 
determination is made to extend the 30 day period. If a determination is 
made to extend the 30 day period, the Chairperson shall notify the 
requester in writing of the reasons for the delay and the date when the 
review will be completed.
    (c) Upon receipt of a request to review a refusal to amend, the 
Chairperson shall undertake an independent review of the request and 
initial determination. If, after conducting the review, the Chairperson 
agrees to amend, he shall notify the requester promptly in writing of 
the determination, amend the record, and notify previous recipients in 
accordance with Sec.  51-9.403.
    (d) If, after conducting the review, the Chairperson agrees with the 
refusal to amend the record, he shall notify the requester promptly in 
writing of the determination. The notification shall include the reasons 
for the refusal, and shall advise the individual of his right to file a 
statement of disagreement, and the procedures for doing so. The 
Chairperson also shall advise the individual that such statement of 
disagreement will be made available in any subsequent disclosures of the 
record together with a concise statement summarizing reasons for refusal 
where the responsible official deems it appropriate. The Chairperson 
also will advise the individual of his right to bring civil action 
against the agency in a district court of the United States.

(5 U.S.C. 552a)

[40 FR 51168, Nov. 3, 1975, Redesignated at 56 FR 48983, Sept. 26, 1991, 
and amended at 59 FR 16777, Apr. 8, 1994; 59 FR 59345, Nov. 16, 1994; 63 
FR 16440, Apr. 3, 1998; 65 FR 35287, June 2, 2000]



 Subpart 51	9.5_Report on New Systems and Alteration of Existing Systems



Sec.  51-9.501  Reporting requirement.

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

[[Page 85]]

Executive Director for the maintenance of that system of records shall 
submit a copy of the proposal to the President of the Senate, the 
Speaker of the House of Representatives, and the Director of the Office 
of Management and Budget for their evaluation of the probable or 
potential effect of such proposal on the privacy and other personal or 
property rights of individuals of the disclosure of information relating 
to such individuals.



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

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



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

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

Subpart 51-9.6--Exemptions [Reserved]



 Subpart 51	9.7_Rules of Conduct for Disclosure of Information About an 
                               Individual



Sec.  51-9.701  Committee rules of conduct.

    (a) Every Committee member and employee who is involved in the 
design, development, operation, or maintenance of a system of records, 
or who has access to a system of records, shall familiarize himself with 
the requirements of the Privacy Act of 1974 (5 U.S.C. 552a) and the 
Committee regulations and orders issued thereunder and apply these 
requirements to all systems of records.
    (b) No Committee member or employee shall disclose any record which 
is contained in a system of records by any means of communication to any 
person, or to another agency, except pursuant to a written request by, 
or with the prior written consent of the individual to whom the record 
pertains, unless the disclosure would be to a recipient specified in 
paragraph (c) of this section. The term ``record'' means any item, 
collection, or grouping of information about an individual that is 
maintained by an agency, including but not limited to, his education, 
financial transactions, medical history, and criminal or employment 
history and that contains his name, or the identifying number, symbol, 
or other identifying particular assigned to the individual, such as a 
finger or voice print or a photograph. The term ``system of records'' 
means a group of any records under the control of the Committee from 
which information is retrieved by the name of the individual or by some 
identifying number symbol, or other identifying particular assigned to 
the individual. The term ``routine use'' means, with respect to the 
disclosure of a record, the use of such record for a purpose which is 
compatible with the purpose for which it was collected. The term 
``individual'' means a citizen of the United States or an alien lawfully 
admitted for permanent residence. The term ``agency'' is defined in 5 
U.S.C. 552(e).
    (c) An employee may disclose any record which is contained in a 
system of records, without a written request by and without the prior 
written consent of the individual to whom the record pertains, if the 
disclosure would be:
    (1) To those Committee members and employees of the agency which 
maintains the record who have a need for the record in the performance 
of their duties;

[[Page 86]]

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

[[Page 87]]



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



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

    Authority: 29 U.S.C. 794.

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



Sec.  51-10.101  Purpose.

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



Sec.  51-10.102  Application.

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



Sec.  51-10.103  Definitions.

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

[[Page 88]]

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



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



Sec.  51-10.110  Self-evaluation.

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

[[Page 89]]

self-evaluation, maintain on file and make available for public 
inspection:
    (1) a description of areas examined and any problems identified, and
    (2) a description of any modifications made.



Sec.  51-10.111  Notice.

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



Sec. Sec.  51-10.112--51-10.129  [Reserved]



Sec.  51-10.130  General prohibitions against discrimination.

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

[[Page 90]]

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.  51-10.131--51-10.139  [Reserved]



Sec.  51-10.140  Employment.

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



Sec. Sec.  51-10.141--51-10.148  [Reserved]



Sec.  51-10.149  Program accessibility: Discrimination prohibited.

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



Sec.  51-10.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.  51-10.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of the services to accessible buildings, 
assignment of aides to beneficiaries, home visits, delivery of services 
at alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements

[[Page 91]]

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



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

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



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



Sec.  51-10.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons

[[Page 92]]

with impaired vision or hearing, can obtain information as to the 
existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.  51-10.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.  51-10.161--51-10.169  [Reserved]



Sec.  51-10.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Executive Director shall be responsible for coordinating the 
implementation of this section. Complaints may be sent to the Executive 
Director, Committee for Purchase from People who are Blind or Severely 
Disabled, Jefferson Plaza 2, Suite 10800, 1421 Jefferson Davis Highway, 
Arlington, Virginia 22202-3259.
    (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.  51-10.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt

[[Page 93]]

of the request. If the head of the agency determines that additional 
information is needed from the complainant, he or she shall have 60 days 
from the date of receipt of the additional information to make his or 
her determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[50 FR 22894, June 23, 1986. Redesignated at 56 FR 48983, Sept. 26, 
1991, and amended at 59 FR 16777, Apr. 8, 1994; 63 FR 16440, Apr. 3, 
1998; 65 FR 35287, June 2, 2000]



Sec. Sec.  51-10.171--51-10.999  [Reserved]



PART 51	11_PRODUCTION OR DISCLOSURE IN FEDERAL AND STATE PROCEEDINGS--
Table of Contents



Sec.
51-11.1 Scope and purpose.
51-11.2 Applicability.
51-11.3 Definitions.
51-11.4 General prohibition.
51-11.5 Service of demand.
51-11.6 Filing requirements for demand for documents or testimony.
51-11.7 Factors the Committee will consider.
51-11.8 Processing demands or requests.
51-11.9 Final determination.
51-11.10 Restrictions that apply to testimony.
51-11.11 Restrictions that apply to released records.
51-11.12 Procedure when a decision is not made prior to the time a 
          response is required.
51-11.13 Procedure in the event of an adverse ruling.
51-11.14 Fees.
51-11.15 Penalties.

    Authority: 41 U.S.C. 8503(d); 41 CFR Ch. 51.

    Source: 82 FR 49748, Oct. 27, 2017, unless otherwise noted.



Sec.  51-11.1  Scope and purpose.

    (a) This part sets forth policies and procedures of the Committee 
for Purchase From People Who Are Blind or Severely Disabled (Committee) 
regarding the testimony of current and former employees as witnesses and 
the production or disclosure of Committee documents or information:
    (1) In all Federal and State proceedings in which the United States 
is a party; and
    (2) In all Federal and State proceedings in which the United States 
is not a party, when a demand pursuant to a subpoena, order or request 
(collectively referred to in this part as a ``demand'') of a court or 
other authority is issued for such material, testimony, or information.
    (b) The Committee intends these provisions to:
    (1) Promote economy and efficiency in its programs and operations;
    (2) Minimize the possibility of involving the Committee in 
controversial issues not related to its functions;
    (3) Prevent the misuse of the Committee's employees as involuntary 
expert witnesses for private interests or as inappropriate expert 
witnesses as to the state of the law;
    (4) Maintain the Committee's impartiality among private litigants 
where neither the Committee nor any other Federal entity is a named 
party; and
    (5) Protect sensitive, confidential information and the deliberative 
processes of the Committee.
    (c) In providing for these requirements, the Committee does not 
waive the sovereign immunity of the United States.
    (d) This part provides guidance for the internal operations of the 
Committee. The procedures specified in this part, or the failure of any 
Committee employee to follow the procedures specified in this part, are 
not intended to, do 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.



Sec.  51-11.2  Applicability.

    This part applies to demands and requests to employees of the 
Committee in legal proceedings, for factual or expert testimony relating 
to official information or for production of official records or 
information. However, it does not apply to:
    (a) Demands for a current Committee employee to testify as to facts 
or events that are unrelated to his or her

[[Page 94]]

official duties or that are unrelated to the functions of the Committee;
    (b) Demands for a former Committee employee to testify as to matters 
in which the former employee was not directly or materially involved 
while at the Committee;
    (c) Requests for the release of non-exempt records under the Freedom 
of Information Act, 5 U.S.C. 552 (41 CFR part 51-8), or the Privacy Act, 
5 U.S.C. 552(a) (41 CFR part 51-9); and
    (d) Congressional or Government Accountability Office (GAO) demands 
and requests for testimony or records.



Sec.  51-11.3  Definitions.

    As used in this part:
    Committee means the Committee for Purchase From People Who Are Blind 
or Severely Disabled.
    Committee employee or employee means:
    (1) Any current or former officer or employee of the Committee;
    (2) Any other individual hired through contractual agreement by or 
on behalf of the Committee or who has performed or is performing 
services under such an agreement for the Committee; and
    (3) Any individual who served or is serving in any consulting or 
advisory capacity to the Committee, whether formal or informal.
    (4) Provided, that this definition does not include persons who are 
no longer employed by the Committee and who are retained or hired as 
expert witnesses or who agree to testify about general matters available 
to the public, or matters with which they had no specific involvement or 
responsibility during their employment with the Committee.
    Demand means a subpoena, request, or an order or other command of a 
court or other competent authority, for the production, disclosure, or 
release of records or information related to, for the appearance and 
testimony of a Committee employee that is issued in a legal proceeding.
    General Counsel means Committee General Counsel or Committee 
employee to whom the General Counsel has delegated authority to act 
under this part.
    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 discovery, 
litigation and informal requests by attorneys or others involved in 
legal proceedings seeking interviews or the like.
    Records or official records and information mean all documents and 
materials, however stored, that is in the custody and control of the 
Committee, relating to information in the custody and control of the 
Committee, or acquired by a Committee employee in the performance of his 
or her official duties or because of his or her official status, while 
such individual was employed.
    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.
    Testimony means any written or oral statements, including 
depositions, answers to interrogatories, affidavits, declarations, 
recorded interviews, and statements made by an individual in connection 
with a legal proceeding.



Sec.  51-11.4  General prohibition.

    (a) In any Federal or State case or matter in which the United 
States is not a party, no employee or former employee of the Committee 
shall, in response to a demand, produce any record contained in the 
files of the Committee, or disclose any information relating to or based 
upon record contained in the files of the Department, or disclose any 
information or produce any record acquired as part of the performance of 
that person's official duties or because of that person's official 
status without prior written approval of the General Counsel in 
accordance with Sec.  51-11.9.
    (1) Whenever a demand is made upon an employee or former employee as 
described in this paragraph (a), the employee shall immediately notify 
the General Counsel. The General Counsel shall follow procedures set 
forth in Sec.  51-11.8.

[[Page 95]]

    (2) If oral testimony is sought by a demand in any case or matter in 
which the United States is not a party, an affidavit, or, if that is not 
feasible, a statement by the party seeking the testimony or by his 
attorney, setting forth a summary of the testimony sought and its 
relevance to the proceeding, must be furnished to the General Counsel. 
Any authorization for testimony by a present or former employee of the 
Committee shall be limited to the scope of the demand as summarized in 
such statement.
    (3) When information other than oral testimony is sought by a 
demand, the General Counsel shall request a summary of the information 
sought and its relevance to the proceeding.
    (b) In any Federal or State case or matter in which the United 
States is a party, the General Counsel is authorized to reveal and 
furnish to any person, including an actual or prospective witness, a 
grand jury, counsel, or a court, either during or preparatory to a 
proceeding, such testimony, and relevant unclassified material, 
documents, or information secured by the employee or former employee of 
the Committee, as the General Counsel shall deem necessary or desirable 
to the discharge of the attorney's official duties: Provided, Such an 
attorney shall consider, with respect to any disclosure, the factors set 
forth in Sec.  51-11.7.
    (1) If oral testimony is sought by a demand in a case or matter in 
which the United States is a party, an affidavit, or, if that is not 
feasible, a statement by the party seeking the testimony or by the 
party's attorney setting forth a summary of the testimony sought must be 
furnished to the agency attorney handling the case or matter.
    (2) [Reserved]
    (c) In appropriate cases, the General Counsel shall notify the 
United States Department of Justice (DOJ) of the demand and coordinate 
with the DOJ to file any appropriate motions or other pleadings.



Sec.  51-11.5  Service of demand.

    (a) Written demands directed to the Committee or requests for 
official records, information or testimony shall be served in accordance 
with the requirements of the Federal Rules of Civil or Criminal 
Procedure, or applicable State procedures, as appropriate. If the demand 
is served by U.S. mail, it should be addressed to the General Counsel, 
Committee for Purchase From People Who Are Blind or Severely Disabled, 
1401 S. Clark Street, Suite 715, Arlington, VA 22202. The Committee's 
acceptance of service of a demand shall not constitute an admission or 
waiver of any objection with respect to the propriety of jurisdiction, 
service of process, venue or any other defense in law or equity 
available under applicable law.
    (b) If any doubt exists, whether a demand relates to purely personal 
matters or arises out of the performance of official duties, copies of 
the demand may be delivered to the General Counsel for such 
determination.



Sec.  51-11.6  Filing requirements for demands for documents or testimony.

    Compliance with the following requirements is required when issuing 
demands or requests for official records, information or testimony.
    (a) Requests must be in writing and must be submitted to the General 
Counsel. If a subpoena is served on the Committee or a Committee 
employee before submitting a written request and receiving a final 
determination, the Committee will object to the subpoena on grounds that 
it was not submitted in accordance with this part.
    (b) Written requests 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 the relevance of the information sought;
    (3) 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 the 
need to maintain any confidentiality of the information and outweighs 
the burden

[[Page 96]]

on the Committee 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 a Committee employee, such as a 
retained expert;
    (6) If testimony is requested, the intended use of the testimony, a 
general summary of the desired 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 with each Committee employee for time spent by the 
employee to prepare for testimony, in travel, and for attendance at the 
legal proceeding.
    (c) The Committee reserves the right to require additional 
information to complete any request where appropriate.
    (d) Requests should be submitted at least 45 calendar days before 
the date that records or testimony is required. Requests submitted in 
less than 45 calendar 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.



Sec.  51-11.7  Factors the Committee 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 
an appropriate 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) The Committee has an interest in the decision that may be 
rendered in the legal proceeding;
    (d) Allowing such testimony or production of records would assist or 
hinder the Committee in performing its statutory duties or use the 
Committee resources in a way that will interfere with the ability of the 
Committee employees to do their regular work;
    (e) Allowing such testimony or production of records would be in the 
best interest of the Committee or the United States;
    (f) The records or testimony can be obtained from other sources;
    (g) 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;
    (h) Disclosure would violate a statute, Executive order or 
regulation;
    (i) Disclosure would reveal confidential, sensitive, or privileged 
information, trade secrets or similar, confidential commercial or 
financial information, otherwise protected information, or would 
otherwise be inappropriate for release;
    (j) Disclosure would impede or interfere with an ongoing law 
enforcement investigation or proceedings, or compromise constitutional 
rights;
    (k) Disclosure would result in the Committee appearing to favor one 
private litigant over another private litigant;
    (l) Disclosure relates to documents that originate from another 
agency;
    (m) A substantial Government interest is implicated;
    (n) The demand or request is within the authority of the party 
making it;
    (o) The demand improperly seeks to compel a Committee employee to 
serve as an expert witness for a private interest;
    (p) The demand improperly seeks to compel a Committee employee to 
testify as to a matter of law; and/or
    (q) The demand or request is sufficiently specific to be answered.

[[Page 97]]



Sec.  51-11.8  Processing demands or requests.

    (a) After service of a demand or request, the General Counsel will 
review the demand or request and, in accordance with the provisions of 
this part, determine whether, or under what conditions, to authorize an 
employee to testify on matters relating to Committee records and/or 
produce records.
    (b) The Committee will process requests in the order in which they 
are received. Absent exigent or unusual circumstances, the Committee 
will respond within 45 calendar days from the date of receipt. The time 
for response will depend upon the scope of the request.
    (c) The General Counsel may grant a waiver of any procedure 
described by this part where a waiver is considered necessary to promote 
a significant interest of the Committee or the United States or for 
other good cause.



Sec.  51-11.9  Final determination.

    The General Counsel makes the final determination on demands and 
requests for production of official records 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 or request, and any conditions that 
the General Counsel may impose on the release of records or information, 
or on the testimony of a Committee employee.



Sec.  51-11.10  Restrictions that apply to testimony.

    (a) Conditions or restrictions may be imposed on the testimony of 
the Committee employees including, for example, limiting the areas of 
testimony or requiring the requester and other parties to the legal 
proceeding to agree that they will seek to file the transcript of the 
testimony under seal and that it 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 or testimony 
be provided to the Committee at the requester's expense.
    (b) The Committee 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;
    (2) Testify as to any information outside the scope of the General 
Counsel's authorization (see Sec.  51-11.7); or
    (3) For a current Committee 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 Committee unless testimony is 
being given on behalf of the United States whether or not the United 
States is a party.



Sec.  51-11.11  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 Committee 
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 Committee records 
may be presented for examination in response to a demand or request, but 
they are not to be presented as evidence or otherwise used in a manner 
by which they could lose their identity as official Committee records, 
and they are not to be marked or altered. In lieu of the original 
records, certified copies will be presented for evidentiary purposes.

[[Page 98]]



Sec.  51-11.12  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 previously referred to, 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 or request is being reviewed, and seek a stay 
of the demand or request pending a final determination.



Sec.  51-11.13  Procedure in the event of an adverse ruling.

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



Sec.  51-11.14  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 Committee.
    (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 demand or 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, 
allowance, and benefits). Fees for duplication will be the same as those 
charged by the Committee in its Freedom of Information Act regulations 
at 41 CFR part 51-8.
    (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. Such fees will include cost of time spent by the 
witness to prepare for testimony, travel time and expenses, and for 
attendance in the legal proceeding.
    (d) Payment of fees. Witness fees for current Committee employees 
and any records certification fees shall be paid by check or money order 
presented to the Committee made payable to the United States Department 
of Treasury. Applicable fees for former Committee employees' testimony 
must be paid directly to the former employee in accordance with 28 
U.S.C. 1821 or other applicable statutes.
    (e) Certification (authentication) of copies of records. The 
Committee Records Manager may certify that records are true copies in 
order to facilitate their use as evidence. Certification requests 
require 45 calendar days for processing and a fee of $15.00 for each 
document certified.
    (f) 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.
    (g) De minimis fees. Fees will not be assessed if the total charge 
would be $10.00 or less.



Sec.  51-11.15  Penalties.

    (a) An employee who discloses official records or information or 
gives testimony relating to official information, except as expressly 
authorized by the Committee, or as ordered by a Federal court after the 
Committee has had the opportunity to be heard, may face the penalties 
provided in 18 U.S.C. 641 and other applicable laws. Additionally, 
former Committee employees are subject to the restrictions and penalties 
of 18 U.S.C. 207 and 216.
    (b) A current Committee employee who testifies or produces official 
records and information in violation of this part may be subject to 
disciplinary action.

                      PARTS 51	12_51	99 [RESERVED]

[[Page 99]]



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




  --------------------------------------------------------------------
Part                                                                Page
60-1            Obligations of contractors and 
                    subcontractors..........................         101
60-2            Affirmative action programs.................         128
60-3            Uniform guidelines on employee selection 
                    procedures (1978).......................         136
60-4            Construction contractors--affirmative action 
                    requirements............................         161
60-20           Discrimination on the basis of sex..........         168
60-30           Rules of practice for administrative 
                    proceedings to enforce equal opportunity 
                    under Executive Order 11246.............         173
60-40           Examination and copying of OFCCP documents..         184
60-50           Guidelines on discrimination because of 
                    religion or national origin.............         187
60-300          Affirmative action and nondiscrimination 
                    obligations of federal contractors and 
                    subcontractors regarding disabled 
                    veterans, recently separated veterans, 
                    active duty wartime or campaign badge 
                    veterans, and Armed Forces Service Medal 
                    veterans................................         188
60-741          Affirmative action and nondiscrimination 
                    obligations of federal contractors and 
                    subcontractors regarding individuals 
                    with disabilities.......................         220
60-742          Procedures for complaints/charges of 
                    employment discrimination based on 
                    disability filed against employers 
                    holding government contracts or 
                    subcontracts............................         256
60-999          OMB control numbers for OFCCP information 
                    collection requirements.................         260

[[Page 101]]



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



  Subpart A_Preliminary Matters; Equal Opportunity Clause; Compliance 
                                 Reports

Sec.
60-1.1 Purpose and application.
60-1.2 Administrative responsibility.
60-1.3 Definitions.
60-1.4 Equal opportunity clause.
60-1.5 Exemptions.
60-1.6 [Reserved]
60-1.7 Reports and other required information.
60-1.8 Segregated facilities.
60-1.9 Compliance by labor unions and by recruiting and training 
          agencies.
60-1.10 Foreign government practices.
60-1.11 Payment or reimbursement of membership fees and other expenses 
          to private clubs.
60-1.12 Record retention.

Subpart B_General Enforcement; Compliance Review and Complaint Procedure

60-1.20 Compliance evaluations.
60-1.21 Filing complaints.
60-1.22 Where to file.
60-1.23 Contents of complaint.
60-1.24 Processing of matters.
60-1.25 Assumption of jurisdiction by or referrals to the Director.
60-1.26 Enforcement proceedings.
60-1.27 Sanctions.
60-1.28 Show cause notices.
60-1.29 Preaward notices.
60-1.30 Notification of agencies.
60-1.31 Reinstatement of ineligible contractors.
60-1.32 Intimidation and interference.
60-1.33 Conciliation agreements.
60-1.34 Violation of a Conciliation Agreement.
60-1.35 Contractor obligations and defenses to violation of the 
          nondiscrimination requirement for compensation disclosures.

                       Subpart C_Ancillary Matters

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

    Authority: Sec. 201, E.O. 11246, 30 FR 12319, 3 CFR, 1964-1965 
Comp., p. 339, as amended by E.O. 11375, 32 FR 14303, 3 CFR, 1966-1970 
Comp., p. 684, E.O. 12086, 43 FR 46501, 3 CFR, 1978 Comp., p. 230, E.O. 
13279, 67 FR 77141, 3 CFR, 2002 Comp., p. 258 and E.O. 13672, 79 FR 
42971.

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



  Subpart A_Preliminary Matters; Equal Opportunity Clause; Compliance 
                                 Reports

    Editorial Note: Nomenclature changes to subpart A appear at 85 FR 
71570, Nov. 10, 2020.



Sec.  60-1.1  Purpose and application.

    The purpose of the regulations in this part is to achieve the aims 
of parts II, III, and IV of Executive Order 11246 for the promotion and 
insuring of equal opportunity for all persons, without regard to race, 
color, religion, sex, sexual orientation, gender identity, or national 
origin, employed or seeking employment with Government contractors or 
with contractors performing under federally assisted construction 
contracts. The regulations in this part apply to all contracting 
agencies of the Government and to contractors and subcontractors who 
perform under Government contracts, to the extent set forth in this 
part. The regulations in this part also apply to all agencies of the 
Government administering programs involving Federal financial assistance 
which may include a construction contract, and to all contractors and 
subcontractors performing under construction contracts which are related 
to any such programs. The procedures set forth in the regulations in 
this part govern all disputes relative to a contractor's compliance with 
his obligations under the equal opportunity clause regardless of whether 
or not his contract contains a ``Disputes'' clause. Failure of a 
contractor or applicant to comply with any provision of the regulations 
in this part shall be grounds for the imposition of any or all of the 
sanctions authorized by the order. The regulations in this part do not 
apply to any action taken to effect compliance with respect to 
employment practices subject to title VI of the Civil Rights Act of 
1964. The rights and remedies of the Government hereunder are not 
exclusive and do not affect rights and remedies provided elsewhere by 
law,

[[Page 102]]

regulation, or contract; neither do the regulations limit the exercise 
by the Secretary or Government agencies of powers not herein 
specifically set forth, but granted to them by the order.

[79 FR 72993, Dec. 9, 2014]



Sec.  60-1.2  Administrative responsibility.

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.3  Definitions.

    Administering agency means any department, agency and establishment 
in the executive branch of the Government, including any wholly owned 
Government corporation, which administers a program involving federally 
assisted construction contracts.
    Administrative law judge means an administrative law judge appointed 
as provided in 5 U.S.C. 3105 and subpart B of part 930 of Title 5 of the 
Code of Federal Regulations (see 37 FR 16787) and qualified to preside 
at hearings under 5 U.S.C. 557.
    Agency means any contracting or any administering agency of the 
Government.
    Applicant means an applicant for Federal assistance involving a 
construction contract, or other participant in a program involving a 
construction contract as determined by regulation of an administering 
agency. The term also includes such persons after they become recipients 
of such Federal assistance.
    Compensation means any payments made to, or on behalf of, an 
employee or offered to an applicant as remuneration for employment, 
including but not limited to salary, wages, overtime pay, shift 
differentials, bonuses, commissions, vacation and holiday pay, 
allowances, insurance and other benefits, stock options and awards, 
profit sharing, and retirement.
    Compensation information means the amount and type of compensation 
provided to employees or offered to applicants, including, but not 
limited to, the desire of the contractor to attract and retain a 
particular employee for the value the employee is perceived to add to 
the contractor's profit or productivity; the availability of employees 
with like skills in the marketplace; market research about the worth of 
similar jobs in the relevant marketplace; job analysis, descriptions, 
and evaluations; salary and pay structures; salary surveys; labor union 
agreements; and contractor decisions, statements and policies related to 
setting or altering employee compensation.
    Compliance evaluation means any one or combination of actions OFCCP 
may take to examine a Federal contractor or subcontractor's compliance 
with one or more of the requirements of Executive Order 11246.
    Construction work means the construction, rehabilitation, 
alteration, conversion, extension, demolition or repair of buildings, 
highways, or other changes or improvements to real property, including 
facilities providing utility services. The term also includes the 
supervision, inspection, and other onsite functions incidental to the 
actual construction.
    Contract means any Government contract or subcontract or any 
federally assisted construction contract or subcontract.
    Contracting agency means any department, agency, establishment, or 
instrumentality in the executive branch of the Government, including any 
wholly owned Government corporation, which enters into contracts.
    Contractor means, unless otherwise indicated, a prime contractor or 
subcontractor.
    Director means the Director, Office of Federal Contract Compliance 
Programs (OFCCP) of the United States Department of Labor, or his or her 
designee.
    Equal opportunity clause means the contract provisions set forth in 
Sec.  60-1.4 (a) or (b), as appropriate.
    Essential job functions--(1) In general. The term essential job 
functions means

[[Page 103]]

the fundamental job duties of the employment position an individual 
holds.
    (2) A job function may be considered essential if:
    (i) The access to compensation information is necessary in order to 
perform that function or another routinely assigned business task; or
    (ii) The function or duties of the position include protecting and 
maintaining the privacy of employee personnel records, including 
compensation information.
    (3) The application or interpretation of the ``essential job 
functions'' definition in this part is limited to the discrimination 
claims governed by Executive Order 13665 and its implementing 
regulations.
    Federally assisted construction contract means any agreement or 
modification thereof between any applicant and a person for construction 
work which is paid for in whole or in part with funds obtained from the 
Government or borrowed on the credit of the Government pursuant to any 
Federal program involving a grant, contract, loan, insurance, or 
guarantee, or undertaken pursuant to any Federal program involving such 
grant, contract, loan, insurance, or guarantee, or any application or 
modification thereof approved by the Government for a grant, contract, 
loan, insurance, or guarantee under which the applicant itself 
participates in the construction work.
    Government means the government of the United States of America.
    Government contract means any agreement or modification thereof 
between any contracting agency and any person for the purchase, sale or 
use of personal property or nonpersonal services. The term ``personal 
property,'' as used in this section, includes supplies, and contracts 
for the use of real property (such as lease arrangements), unless the 
contract for the use of real property itself constitutes real property 
(such as easements). The term ``nonpersonal services'' as used in this 
section includes, but is not limited to, the following services: 
Utilities, construction, transportation, research, insurance, and fund 
depository. The term Government contract does not include:
    (1) Agreements in which the parties stand in the relationship of 
employer and employee; and
    (2) Federally assisted construction contracts.
    Internet Applicant. (1) Internet Applicant means any individual as 
to whom the following four criteria are satisfied:
    (i) The individual submits an expression of interest in employment 
through the Internet or related electronic data technologies;
    (ii) The contractor considers the individual for employment in a 
particular position;
    (iii) The individual's expression of interest indicates the 
individual possesses the basic qualifications for the position; and,
    (iv) The individual at no point in the contractor's selection 
process prior to receiving an offer of employment from the contractor, 
removes himself or herself from further consideration or otherwise 
indicates that he or she is no longer interested in the position.
    (2) For purposes of paragraph (1)(i) of this definition, ``submits 
an expression of interest in employment through the Internet or related 
electronic data technologies,'' includes all expressions of interest, 
regardless of the means or manner in which the expression of interest is 
made, if the contractor considers expressions of interest made through 
the Internet or related electronic data technologies in the recruiting 
or selection processes for that particular position.
    (i) Example A: Contractor A posts on its web site an opening for a 
Mechanical Engineer position and encourages potential applicants to 
complete an on-line profile if they are interested in being considered 
for that position. The web site also advises potential applicants that 
they can send a hard copy resume to the HR Manager with a cover letter 
identifying the position for which they would like to be considered. 
Because Contractor A considers both Internet and traditional expressions 
of interest for the Mechanical Engineer position, both the individuals 
who completed a personal profile and those who sent a paper resume and 
cover letter to

[[Page 104]]

Contractor A meet this part of the definition of Internet Applicant for 
this position.
    (ii) Example B: Contractor B posts on its web site an opening for 
the Accountant II position and encourages potential applicants to 
complete an on-line profile if they are interested in being considered 
for that position. Contractor B also receives a large number of 
unsolicited paper resumes in the mail each year. Contractor B scans 
these paper resumes into an internal resume database that also includes 
all the on-line profiles that individuals completed for various jobs 
(including possibly for the Accountant II position) throughout the year. 
To find potential applicants for the Accountant II position, Contractor 
B searches the internal resume database for individuals who have the 
basic qualifications for the Accountant II position. Because Contractor 
B considers both Internet and traditional expressions of interest for 
the Accountant II position, both the individuals who completed a 
personal profile and those who sent a paper resume and cover letter to 
the employer meet this part of the definition of Internet Applicant for 
this position.
    (iii) Example C: Contractor C advertises for Mechanics in a local 
newspaper and instructs interested candidates to mail their resumes to 
the employer's address. Walk-in applications also are permitted. 
Contractor C considers only paper resumes and application forms for the 
Mechanic position, therefore no individual meets this part of the 
definition of an Internet Applicant for this position.
    (3) For purposes of paragraph (1)(ii) of this definition, 
``considers the individual for employment in a particular position,'' 
means that the contractor assesses the substantive information provided 
in the expression of interest with respect to any qualifications 
involved with a particular position. A contractor may establish a 
protocol under which it refrains from considering expressions of 
interest that are not submitted in accordance with standard procedures 
the contractor establishes. Likewise, a contractor may establish a 
protocol under which it refrains from considering expressions of 
interest, such as unsolicited resumes, that are not submitted with 
respect to a particular position. If there are a large number of 
expressions of interest, the contractor does not ``consider the 
individual for employment in a particular position'' by using data 
management techniques that do not depend on assessment of 
qualifications, such as random sampling or absolute numerical limits, to 
reduce the number of expressions of interest to be considered, provided 
that the sample is appropriate in terms of the pool of those submitting 
expressions of interest.
    (4) For purposes of paragraph (1)(iii) of this definition, ``basic 
qualifications'' means qualifications--
    (i)(A) That the contractor advertises (e.g., posts on its web site a 
description of the job and the qualifications involved) to potential 
applicants that they must possess in order to be considered for the 
position, or
    (B) For which the contractor establishes criteria in advance by 
making and maintaining a record of such qualifications for the position 
prior to considering any expression of interest for that particular 
position if the contractor does not advertise for the position but 
instead uses an alternative device to find individuals for consideration 
(e.g., through an external resume database), and
    (ii) That meet all of the following three conditions:
    (A) The qualifications must be noncomparative features of a job 
seeker. For example, a qualification of three years' experience in a 
particular position is a noncomparative qualification; a qualification 
that an individual have one of the top five number of years' experience 
among a pool of job seekers is a comparative qualification.
    (B) The qualifications must be objective; they do not depend on the 
contractor's subjective judgment. For example, ``a Bachelor's degree in 
Accounting'' is objective, while ``a technical degree from a good 
school'' is not. A basic qualification is objective if a third-party, 
with the contractor's technical knowledge, would be able to evaluate 
whether the job seeker possesses the qualification without more 
information about the contractor's judgment.

[[Page 105]]

    (C) The qualifications must be relevant to performance of the 
particular position and enable the contractor to accomplish business-
related goals.
    (5) For purposes of paragraph (1)(iv) of this definition, a 
contractor may conclude that an individual has removed himself or 
herself from further consideration, or has otherwise indicated that he 
or she is no longer interested in the position for which the contractor 
has considered the individual, based on the individual's express 
statement that he or she is no longer interested in the position, or on 
the individual's passive demonstration of disinterest shown through 
repeated non-responsiveness to inquiries from the contractor about 
interest in the position. A contractor also may determine that an 
individual has removed himself or herself from further consideration or 
otherwise indicated that he or she is no longer interested in the 
position for which the contractor has considered the individual based on 
information the individual provided in the expression of interest, such 
as salary requirements or preferences as to type of work or location of 
work, provided that the contractor has a uniformly and consistently 
applied policy or procedure of not considering similarly situated job 
seekers. If a large number of individuals meet the basic qualifications 
for the position, a contractor may also use data management techniques, 
such as random sampling or absolute numerical limits, to limit the 
number of individuals who must be contacted to determine their interest 
in the position, provided that the sample is appropriate in terms of the 
pool of those meeting the basic qualifications.
    Minority group as used herein shall include, where appropriate, 
female employees and prospective female employees.
    Modification means any alteration in the terms and conditions of a 
contract, including supplemental agreements, amendments, and extensions.
    Order, Executive order, or Executive Order 11246 means parts II, 
III, and IV of the Executive Order 11246 dated September 24, 1965 (30 FR 
12319), any Executive order amending such order, and any other Executive 
order superseding such order.
    Particular religion means the religion of a particular individual, 
corporation, association, educational institution, society, school, 
college, university, or institution of learning, including acceptance of 
or adherence to sincere religious tenets as understood by the employer 
as a condition of employment, whether or not the particular religion of 
an individual employee or applicant is the same as the particular 
religion of his or her employer or prospective employer.
    Person means any natural person, corporation, partnership, 
unincorporated association, State or local government, and any agency, 
instrumentality, or subdivision of such a government.
    Prime contractor means any person holding a contract and, for the 
purposes of subpart B of this part, any person who has held a contract 
subject to the order.
    Qualitative evidence includes but is not limited to testimony, 
interview statements, and documents about biased statements, remarks, 
attitudes, or acts based upon membership in a protected class, 
particularly when made by a decision maker involved in the action under 
investigation; testimony, interview statements, and documents about 
individuals denied or given misleading or contradictory information 
about employment or compensation practices, in circumstances suggesting 
discriminatory treatment based on a protected characteristic; testimony, 
interview statements, and documents about the extent of discretion or 
subjectivity involved in making employment decisions, in conjunction 
with evidence suggesting the discretion or subjectivity has been used to 
discriminate based on a protected characteristic; or other anecdotal 
evidence relevant to determining a contractor's discriminatory or non-
discriminatory intent, the business necessity (or lack thereof) of a 
challenged policy or practice, or whether the contractor has otherwise 
complied with its non-discrimination obligations. Qualitative evidence 
may not be based solely on subjective inferences or the mere fact of 
supervisory discretion in employment decisions. The Office of Federal 
Contract Compliance Programs

[[Page 106]]

(OFCCP) may also consider qualitative evidence in the form of a 
contractor's efforts to advance equal employment opportunity beyond mere 
compliance with legal obligations in determining whether intentional 
discrimination has occurred.
    Quantitative evidence includes hypothesis testing, controlling for 
the major, measurable parameters, and variables used by the contractor 
(including, as appropriate, preferred qualifications, other demographic 
variables, test scores, geographic variables, performance evaluations, 
years of experience, quality of experience, years of service, quality 
and reputation of previous employers, years of education, years of 
training, quality and reputation of credentialing institutions, etc.), 
related to the probability of outcomes occurring by chance and/or 
analyses reflecting statements concluding that a disparity in employment 
selection rates or rates of compensation is statistically significant by 
reference to any one of these statements:
    (1) The disparity is two or more times larger than its standard 
error (i.e., a standard deviation of two or more);
    (2) The Z statistic has a value greater than two; or
    (3) The probability value is less than 0.05. It also includes 
numerical analysis of similarly situated individuals, small groups, or 
other characteristics, demographics or outcomes where hypothesis-testing 
techniques are not used.
    Recruiting and training agency means any person who refers workers 
to any contractor or subcontractor or who provides for employment by any 
contractor or subcontractor.
    Religion includes all aspects of religious observance and practice, 
as well as belief.
    Religious corporation, association, educational institution, or 
society. (1) Religious corporation, association, educational 
institution, or society means a corporation, association, educational 
institution, society, school, college, university, or institution of 
learning that:
    (i) Is organized for a religious purpose;
    (ii) Holds itself out to the public as carrying out a religious 
purpose;
    (iii) Engages in activity consistent with, and in furtherance of, 
that religious purpose; and
    (iv)(A) Operates on a not-for-profit basis; or
    (B) Presents other strong evidence that its purpose is substantially 
religious.
    (2) Whether an organization's engagement in activity is consistent 
with, and in furtherance of, its religious purpose is determined by 
reference to the organization's own sincere understanding of its 
religious tenets.
    (3) To qualify as religious a corporation, association, educational 
institution, society, school, college, university, or institution of 
learning may, or may not: Have a mosque, church, synagogue, temple, or 
other house of worship; or be supported by, be affiliated with, identify 
with, or be composed of individuals sharing, any single religion, sect, 
denomination, or other religious tradition.
    (4) The following examples apply this definition to various 
scenarios. It is assumed in each example that the employer is a federal 
contractor subject to Executive Order 11246.
    (i)(A) Example. A closely held for-profit manufacturer makes and 
sells metal candlesticks and other decorative items. The manufacturer's 
mission statement asserts that it is committed to providing high-quality 
candlesticks and similar items to all of its customers, a majority of 
which are churches and synagogues. Some of the manufacturer's items are 
also purchased by federal agencies for use during diplomatic events and 
presentations. The manufacturer regularly consults with ministers and 
rabbis regarding new designs to ensure that they conform to any 
religious specifications. The manufacturer also advertises heavily in 
predominantly religious publications and donates a portion of each sale 
to charities run by churches and synagogues.
    (B) Application. The manufacturer likely does not qualify as a 
religious organization. Although the manufacturer provides goods 
predominantly for religious communities, the manufacturer's fundamental 
purpose is secular

[[Page 107]]

and pecuniary, not religious, as evidenced by its mission statement. 
Because the manufacturer lacks a religious purpose, it cannot carry out 
activity consistent with that (nonexistent) religious purpose. And while 
the manufacturer advertises heavily in religious publications and 
consults with religious functionaries on its designs, the manufacturer 
does not identify itself, as opposed to its customers, as religious. 
Finally, given that the manufacturer is a for-profit entity, it would 
need to make a strong evidentiary showing that it is a religious 
organization, which it has not.
    (ii)(A) Example. A nonprofit organization enters government 
contracts to provide chaplaincy services to military and federal law-
enforcement organizations around the country. The contractor is 
organized as a non-profit, but it charges the military and other clients 
a fee, similar to fees charged by other staffing organizations, and its 
manager and employees all collect a market-rate salary. The 
organization's articles of incorporation state that its purpose is to 
provide religious services to members of the same faith wherever they 
may be in the world, and to educate other individuals about the faith. 
Similar statements of purpose appear on the organization's website and 
in its bid responses to government requests for proposals. All employees 
receive weekly emails, and occasionally videos, about ways to promote 
faith in the workplace. The employee handbook contains several 
requirements regarding personal and workplace conduct to ensure ``a 
Christian atmosphere where the Spirit of the Lord can guide the 
organization's work.''
    (B) Application. Under these facts, the contractor likely qualifies 
as a religious organization. The contractor's organizing documents 
expressly state that its mission is primarily religious in nature. 
Moreover, the contractor exercises religion through its business 
activities, which is providing chaplaincy services, and through its 
hiring and training practices. Through its emails and other 
communications, the contractor holds itself out as a religious 
organization to its employees, applicants, and clients. Finally, 
notwithstanding that the contractor collects a placement fee similar to 
nonreligious staffing companies, it is organized as a non-profit.
    (iii)(A) Example. A small catering company provides kosher meals 
primarily to synagogues and for various events in the Jewish community, 
but other customers, including federal agencies, sometimes hire the 
caterer to provide meals for conferences and other events. The company's 
two owners are Hasidic Jews and its six employees, while not exclusively 
Jewish, receive instruction in kosher food preparation to ensure such 
preparation comports with Jewish laws and customs. This additional work 
raises the company's operating costs higher than were it to provide non-
kosher meals. The company's mission statement, which has remained 
substantially the same since the company was organized, describes its 
purpose as fulfilling a religious mandate to strengthen the Jewish 
community and ensure Jewish persons can participate fully in public life 
by providing kosher meals. The company's ``about us'' page on its 
website states that above all else, the company seeks to ``honor G-d'' 
and maintain the strength of the Jewish religion through its kosher meal 
services. The company also donates a portion of its proceeds to 
charitable projects sponsored by local Jewish congregations. In its 
advertising and on its website, the company prominently includes 
religious symbols and text.
    (B) Application. The company likely qualifies as a religious 
organization. The company's mission statement and other materials show a 
religious purpose. Its predominant business activity of providing kosher 
meals directly furthers and is wholly consistent with that self-
identified religious purpose, as are its hiring and training practices. 
Through its advertising and website, the company holds itself out as a 
religious organization. Finally, although the company operates on a for-
profit basis, the other facts here show strong evidence that the company 
operates as a religious organization.
    (iv)(A) Example. A for-profit collector business sells a wide 
variety of artistic, cultural, religious, and archeological items. The 
government purchases some of these from time to time for research

[[Page 108]]

or aesthetic purposes. The business's mission statement provides that 
its purpose is to curate the world's treasures to perpetuate its 
historic, cultural, and religious legacy. Most of the business's 
customers are private individuals or museums interested in the items as 
display pieces or for their cultural value. The business's marketing 
materials include examples of religious iconography and artifacts from a 
variety of world religions, as well as various cultural and artistic 
items.
    (B) Application. The business likely does not qualify as a religious 
organization. Its mission statement references an arguably religious 
purpose, namely perpetuating the world's religious legacy, but in 
context that appears to have more to do with religion's historic value 
rather than evidencing a religious conviction of the business or its 
owner. Similarly, it is at best unclear whether the business is engaging 
in activities in furtherance of this purpose when most of its sales 
serve no religious purpose. Finally, while the business displays some 
religious items, these appear to be a minor part of the business's 
overall presentation and do not convey that the business has a religious 
identity. The factors to qualify as a religious organization do not 
appear to be met, especially given that the business as a for-profit 
entity would need to make a strong evidentiary showing that it is a 
religious organization.
    Rules, regulations, and relevant orders of the Secretary of Labor 
used in paragraph (4) of the equal opportunity clause means rules, 
regulations, and relevant orders of the Secretary of Labor or his 
designee issued pursuant to the order.
    Secretary means the Secretary of Labor, U.S. Department of Labor, or 
his or her designee.
    Sincere means sincere under the law applied by the courts of the 
United States when ascertaining the sincerity of a party's religious 
exercise or belief.
    Site of construction means the general physical location of any 
building, highway, or other change or improvement to real property which 
is undergoing construction, rehabilitation, alteration, conversion, 
extension, demolition, or repair and any temporary location or facility 
at which a contractor, subcontractor, or other participating party meets 
a demand or performs a function relating to the contract or subcontract.
    Subcontract. (1) Subcontract means any agreement or arrangement 
between a contractor and any person (in which the parties do not stand 
in the relationship of an employer and an employee):
    (i) For the purchase, sale or use of personal property or 
nonpersonal services which, in whole or in part, is necessary to the 
performance of any one or more contracts; or
    (ii) Under which any portion of the contractor's obligation under 
any one or more contracts is performed, undertaken, or assumed; and
    (2) Does not include an agreement between a health care provider and 
a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (i) An agreement means a relationship between a health care provider 
and a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (ii) A health care provider is a physician, hospital, or other 
individual or entity that furnishes health care services or supplies.
    (iii) A health organization is a voluntary association, corporation, 
partnership, managed care support contractor, or other nongovernmental 
organization that is lawfully engaged in providing, paying for, 
insuring, or reimbursing the cost of health care services or supplies 
under group insurance policies or contracts, medical or hospital service 
agreements, membership or subscription contracts, network agreements, 
health benefits plans duly sponsored or underwritten by an employee 
organization or association of organizations and health maintenance 
organizations, or other similar arrangements, in consideration of 
premiums or other periodic charges or payments payable to the health 
organization.

[[Page 109]]

    Subcontractor means any person holding a subcontract and, for the 
purposes of subpart B of this part, any person who has held a 
subcontract subject to the order. The term ``first-tier subcontractor'' 
refers to a subcontractor holding a subcontract with a prime contractor.
    United States as used herein shall include the several States, the 
District of Columbia, the Commonwealth of Puerto Rico, the Panama Canal 
Zone, and the possessions of the United States.
    United States, as used herein, shall include the several States, the 
District of Columbia, the Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana 
Islands, and Wake Island.
    (a) Severability. Should a court of competent jurisdiction hold any 
provision(s) of this section to be invalid, such action will not affect 
any other provision of this section.
    (b) [Reserved]

[43 FR 49240, Oct. 20, 1978, as amended at 61 FR 19988, May 3, 1996; 62 
FR 44188, Aug. 19, 1997; 62 FR 66971, Dec. 22, 1997; 70 FR 58961, Oct. 
7, 2005; 80 FR 54974, Sept. 11, 2015; 85 FR 39846, July 2, 2020; 85 FR 
71570, Nov. 10, 2020; 85 FR 79371, Dec. 9, 2020]



Sec.  60-1.4  Equal opportunity clause.

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

    During the performance of this contract, the contractor agrees as 
follows:
    (1) The contractor will not discriminate against any employee or 
applicant for employment because of race, color, religion, sex, sexual 
orientation, gender identity, or national origin. The contractor will 
take affirmative action to ensure that applicants are employed, and that 
employees are treated during employment, without regard to their race, 
color, religion, sex, sexual orientation, gender identity, or national 
origin. Such action shall include, but not be limited to the following: 
Employment, upgrading, demotion, or transfer, recruitment or recruitment 
advertising; layoff or termination; rates of pay or other forms of 
compensation; and selection for training, including apprenticeship. The 
contractor agrees to post in conspicuous places, available to employees 
and applicants for employment, notices to be provided by the contracting 
officer setting forth the provisions of this nondiscrimination clause.
    (2) The contractor will, in all solicitations or advertisements for 
employees placed by or on behalf of the contractor, state that all 
qualified applicants will receive consideration for employment without 
regard to race, color, religion, sex, sexual orientation, gender 
identity, or national origin.
    (3) The contractor will not discharge or in any other manner 
discriminate against any employee or applicant for employment because 
such employee or applicant has inquired about, discussed, or disclosed 
the compensation of the employee or applicant or another employee or 
applicant. This provision shall not apply to instances in which an 
employee who has access to the compensation information of other 
employees or applicants as a part of such employee's essential job 
functions discloses the compensation of such other employees or 
applicants to individuals who do not otherwise have access to such 
information, unless such disclosure is in response to a formal complaint 
or charge, in furtherance of an investigation, proceeding, hearing, or 
action, including an investigation conducted by the employer, or is 
consistent with the contractor's legal duty to furnish information.
    (4) The contractor will send to each labor union or representative 
of workers with which it has a collective bargaining agreement or other 
contract or understanding, a notice to be provided by the agency 
contracting officer, advising the labor union or workers' representative 
of the contractor's commitments under section 202 of Executive Order 
11246 of September 24, 1965, and shall post copies of the notice in 
conspicuous places available to employees and applicants for employment.
    (5) The contractor will comply with all provisions of Executive 
Order 11246 of September 24, 1965, and of the rules, regulations, and 
relevant orders of the Secretary of Labor.
    (6) The contractor will furnish all information and reports required 
by Executive Order 11246 of September 24, 1965, and by the rules, 
regulations, and orders of the Secretary of Labor, or pursuant thereto, 
and will permit access to his books, records, and accounts by the 
contracting agency and the Secretary of Labor for purposes of 
investigation to ascertain compliance with such rules, regulations, and 
orders.
    (7) In the event of the contractor's non-compliance with the 
nondiscrimination clauses of this contract or with any of such rules, 
regulations, or orders, this contract may be canceled, terminated or 
suspended in whole or in part and the contractor may be declared 
ineligible for further Government

[[Page 110]]

contracts in accordance with procedures authorized in Executive Order 
11246 of September 24, 1965, and such other sanctions may be imposed and 
remedies invoked as provided in Executive Order 11246 of September 24, 
1965, or by rule, regulation, or order of the Secretary of Labor, or as 
otherwise provided by law.
    (8) The contractor will include the provisions of paragraphs (1) 
through (8) in every subcontract or purchase order unless exempted by 
rules, regulations, or orders of the Secretary of Labor issued pursuant 
to section 204 of Executive Order 11246 of September 24, 1965, so that 
such provisions will be binding upon each subcontractor or vendor. The 
contractor will take such action with respect to any subcontract or 
purchase order as may be directed by the Secretary of Labor as a means 
of enforcing such provisions including sanctions for noncompliance: 
Provided, however, that in the event the contractor becomes involved in, 
or is threatened with, litigation with a subcontractor or vendor as a 
result of such direction, the contractor may request the United States 
to enter into such litigation to protect the interests of the United 
States.

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

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

[[Page 111]]

clauses of this contract or with any of the said rules, regulations, or 
orders, this contract may be canceled, terminated, or suspended in whole 
or in part and the contractor may be declared ineligible for further 
Government contracts or federally assisted construction contracts in 
accordance with procedures authorized in Executive Order 11246 of 
September 24, 1965, and such other sanctions may be imposed and remedies 
invoked as provided in Executive Order 11246 of September 24, 1965, or 
by rule, regulation, or order of the Secretary of Labor, or as otherwise 
provided by law.
    (8) The contractor will include the portion of the sentence 
immediately preceding paragraph (1) and the provisions of paragraphs (1) 
through (8) in every subcontract or purchase order unless exempted by 
rules, regulations, or orders of the Secretary of Labor issued pursuant 
to section 204 of Executive Order 11246 of September 24, 1965, so that 
such provisions will be binding upon each subcontractor or vendor. The 
contractor will take such action with respect to any subcontract or 
purchase order as the administering agency may direct as a means of 
enforcing such provisions, including sanctions for noncompliance:
    Provided, however, that in the event a contractor becomes involved 
in, or is threatened with, litigation with a subcontractor or vendor as 
a result of such direction by the administering agency, the contractor 
may request the United States to enter into such litigation to protect 
the interests of the United States.
    The applicant further agrees that it will be bound by the above 
equal opportunity clause with respect to its own employment practices 
when it participates in federally assisted construction work: Provided, 
That if the applicant so participating is a State or local government, 
the above equal opportunity clause is not applicable to any agency, 
instrumentality or subdivision of such government which does not 
participate in work on or under the contract.
    The applicant agrees that it will assist and cooperate actively with 
the administering agency and the Secretary of Labor in obtaining the 
compliance of contractors and subcontractors with the equal opportunity 
clause and the rules, regulations, and relevant orders of the Secretary 
of Labor, that it will furnish the administering agency and the 
Secretary of Labor such information as they may require for the 
supervision of such compliance, and that it will otherwise assist the 
administering agency in the discharge of the agency's primary 
responsibility for securing compliance.
    The applicant further agrees that it will refrain from entering into 
any contract or contract modification subject to Executive Order 11246 
of September 24, 1965, with a contractor debarred from, or who has not 
demonstrated eligibility for, Government contracts and federally 
assisted construction contracts pursuant to the Executive Order and will 
carry out such sanctions and penalties for violation of the equal 
opportunity clause as may be imposed upon contractors and subcontractors 
by the administering agency or the Secretary of Labor pursuant to Part 
II, Subpart D of the Executive Order. In addition, the applicant agrees 
that if it fails or refuses to comply with these undertakings, the 
administering agency may take any or all of the following actions: 
Cancel, terminate, or suspend in whole or in part this grant (contract, 
loan, insurance, guarantee); refrain from extending any further 
assistance to the applicant under the program with respect to which the 
failure or refund occurred until satisfactory assurance of future 
compliance has been received from such applicant; and refer the case to 
the Department of Justice for appropriate legal proceedings.
    (2) [Reserved]

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

[80 FR 54975, Sept. 11, 2015]

[[Page 112]]



Sec.  60-1.5  Exemptions.

    (a) General--(1) Transactions of $10,000 or under. Contracts and 
subcontracts not exceeding $10,000, other than Government bills of 
lading, and other than contracts and subcontracts with depositories of 
Federal funds in any amount and with financial institutions which are 
issuing and paying agents for U.S. savings bonds and savings notes, are 
exempt from the requirements of the equal opportunity clause. In 
determining the applicability of this exemption to any federally 
assisted construction contract, or subcontract thereunder, the amount of 
such contract or subcontract rather than the amount of the Federal 
financial assistance shall govern. No agency, contractor, or 
subcontractor shall procure supplies or services in a manner so as to 
avoid applicability of the equal opportunity clause: Provided, that 
where a contractor has contracts or subcontracts with the Government in 
any 12-month period which have an aggregate total value (or can 
reasonably be expected to have an aggregate total value) exceeding 
$10,000, the $10,000 or under exemption does not apply, and the 
contracts are subject to the order and the regulations issued pursuant 
thereto regardless of whether any single contract exceeds $10,000.
    (2) Contracts and subcontracts for indefinite quantities. With 
respect to contracts and subcontracts for indefinite quantities 
(including, but not limited to, open end contracts, requirement-type 
contracts, Federal Supply Schedule contracts, ``call-type'' contracts, 
and purchase notice agreements), the equal opportunity clause shall be 
included unless the purchaser has reason to believe that the amount to 
be ordered in any year under such contract will not exceed $10,000. The 
applicability of the equal opportunity clause shall be determined by the 
purchaser at the time of award for the first year, and annually 
thereafter for succeeding years, if any. Notwithstanding the above, the 
equal opportunity clause shall be applied to such contract whenever the 
amount of a single order exceeds $10,000. Once the equal opportunity 
clause is determined to be applicable, the contract shall continue to be 
subject to such clause for its duration, regardless of the amounts 
ordered, or reasonably expected to be ordered in any year.
    (3) Work outside the United States. Contracts and subcontracts are 
exempt from the requirements of the equal opportunity clause with regard 
to work performed outside the United States by employees who were not 
recruited within the United States.
    (4) Contracts with State or local governments. The requirements of 
the equal opportunity clause in any contract or subcontract with a State 
or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract. In addition, any agency, 
instrumentality or subdivision of such government, except for 
educational institutions and medical facilities, are exempt from the 
requirements of filing the annual compliance report provided for by 
Sec.  60-1.7(a)(1) and maintaining a written affirmative action 
compliance program prescribed by Sec.  60-1.40 and part 60-2 of this 
chapter.
    (5) Contracts with religious entities. Section 202 of Executive 
Order 11246, as amended, shall not apply to a Government contractor or 
subcontractor that is a religious corporation, association, educational 
institution, or society, with respect to the employment of individuals 
of a particular religion to perform work connected with the carrying on 
by such corporation, association, educational institution, or society of 
its activities. Such contractors and subcontractors are not exempted or 
excused from complying with the other requirements contained in this 
Order.
    (6) Contracts with certain educational institutions. It shall not be 
a violation of the equal opportunity clause for a school, college, 
university, or other educational institution or institution of learning 
to hire and employ employees of a particular religion if such school, 
college, university, or other educational institution or institution of 
learning is, in whole or in substantial part, owned, supported, 
controlled, or managed by a particular religion or by a particular 
religious corporation,

[[Page 113]]

association, or society, or if the curriculum of such school, college, 
university, or other educational institution or institution of learning 
is directed toward the propagation of a particular religion. The primary 
thrust of this provision is directed at religiously oriented church-
related colleges and universities and should be so interpreted.
    (7) Work on or near Indian reservations. It shall not be a violation 
of the equal opportunity clause for a construction or nonconstruction 
contractor to extend a publicly announced preference in employment to 
Indians living on or near an Indian reservation in connection with 
employment opportunities on or near an Indian reservation. The use of 
the word ``near'' would include all that area where a person seeking 
employment could reasonably be expected to commute to and from in the 
course of a work day. Contractors or subcontractors extending such a 
preference shall not, however, discriminate among Indians on the basis 
of religion, sex, or tribal affiliation, and the use of such a 
preference shall not excuse a contractor from complying with the other 
requirements contained in this chapter.
    (b) Specific contracts and facilities--(1) Specific contracts. The 
Director may exempt an agency or any person from requiring the inclusion 
of any or all of the equal opportunity clause in any specific contract 
or subcontract when he deems that special circumstances in the national 
interest so require. The Director may also exempt groups or categories 
of contracts or subcontracts of the same type where he finds it 
impracticable to act upon each request individually or where group 
exemptions will contribute to convenience in the administration of the 
order.
    (2) Facilities not connected with contracts. The Director may exempt 
from the requirements of the equal opportunity clause any of a prime 
contractor's or subcontractor's facilities which he finds to be in all 
respects separate and distinct from activities of the prime contractor 
or subcontractor related to the performance of the contract or 
subcontract, provided that he also finds that such an exemption will not 
interfere with or impede the effectuation of the order.
    (c) National security. Any requirement set forth in these 
regulations in this part shall not apply to any contract or subcontract 
whenever the head of an agency determines that such contract or 
subcontract is essential to the national security and that its award 
without complying with such requirement is necessary to the national 
security. Upon making such a determination, the head of the agency will 
notify the Director in writing within 30 days.
    (d) Withdrawal of exemption. When any contract or subcontract is of 
a class exempted under this section, the Director may withdraw the 
exemption for a specific contract or subcontract or group of contracts 
or subcontracts when in his judgment such action is necessary or 
appropriate to achieve the purposes of the order. Such withdrawal shall 
not apply to contracts or subcontracts awarded prior to the withdrawal, 
except that in procurements entered into by formal advertising, or the 
various forms of restricted formal advertising, such withdrawal shall 
not apply unless the withdrawal is made more than 10 calendar days 
before the date set for the opening of the bids.
    (e) Broad interpretation. This subpart shall be construed in favor 
of a broad protection of religious exercise, to the maximum extent 
permitted by the U.S. Constitution and law, including the Religious 
Freedom Restoration Act of 1993, as amended, 42 U.S.C. 2000bb et seq.
    (f) Severability. Should a court of competent jurisdiction hold any 
provision(s) of this section to be invalid, such action will not affect 
any other provision of this section.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978, as amended at 62 
FR 66971, Dec. 22, 1997; 68 FR 56393, Sept. 30, 2003; 85 FR 79372, Dec. 
9, 2020]



Sec.  60-1.6  [Reserved]



Sec.  60-1.7  Reports and other required information.

    (a) Requirements for prime contractors and subcontractors. (1) Each 
prime contractor and subcontractor shall file annually, on or before the 
September 30, complete and accurate reports on Standard Form 100 (EEO-1) 
promulgated jointly by the Office of Federal Contract Compliance 
Programs, the

[[Page 114]]

Equal Employment Opportunity Commission and Plans for Progress or such 
form as may hereafter be promulgated in its place if such prime 
contractor or subcontractor (i) is not exempt from the provisions of 
these regulations in accordance with Sec.  60-1.5; (ii) has 50 or more 
employees; (iii) is a prime contractor or first tier subcontractor; and 
(iv) has a contract, subcontract or purchase order amounting to $50,000 
or more or serves as a depository of Government funds in any amount, or 
is a financial institution which is an issuing and paying agent for U.S. 
savings bonds and savings notes: Provided, That any subcontractor below 
the first tier which performs construction work at the site of 
construction shall be required to file such a report if it meets 
requirements of paragraphs (a)(1) (i), (ii), and (iv) of this section.
    (2) Each person required by Sec.  60-1.7(a)(1) to submit reports 
shall file such a report with the contracting or administering agency 
within 30 days after the award to him of a contract or subcontract, 
unless such person has submitted such a report within 12 months 
preceding the date of the award. Subsequent reports shall be submitted 
annually in accordance with Sec.  60-1.7(a)(1), or at such other 
intervals as the Director may require. The Director may extend the time 
for filing any report.
    (3) The Director or the applicant, on their own motions, may require 
a contractor to keep employment or other records and to furnish, in the 
form requested, within reasonable limits, such information as the 
Director or the applicant deems necessary for the administration of the 
order.
    (4) Failure to file timely, complete and accurate reports as 
required constitutes noncompliance with the prime contractor's or 
subcontractor's obligations under the equal opportunity clause and is 
ground for the imposition by the Director, an applicant, prime 
contractor or subcontractor, of any sanctions as authorized by the order 
and the regulations in this part.
    (b) Requirements for bidders or prospective contractors--(1) 
Certification of compliance with part 60-2: Affirmative Action Programs. 
Each agency shall require each bidder or prospective prime contractor 
and proposed subcontractor, where appropriate, to state in the bid or in 
writing at the outset of negotiations for the contract: (i) Whether it 
has developed and has on file at each establishment affirmative action 
programs pursuant to part 60-2 of this chapter; (ii) whether it has 
participated in any previous contract or subcontract subject to the 
equal opportunity clause; (iii) whether it has filed with the Joint 
Reporting Committee, the Director or the Equal Employment Opportunity 
Commission all reports due under the applicable filing requirements.
    (2) Additional information. A bidder or prospective prime contractor 
or proposed subcontractor shall be required to submit such information 
as the Director requests prior to the award of the contract or 
subcontract. When a determination has been made to award the contract or 
subcontract to a specific contractor, such contractor shall be required, 
prior to award, or after the award, or both, to furnish such other 
information as the applicant or the Director requests.
    (c) Use of reports. Reports filed pursuant to this section shall be 
used only in connection with the administration of the order, the Civil 
Rights Act of 1964, or in furtherance of the purposes of the order and 
said Act.

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.8  Segregated facilities.

    To comply with its obligations under the Order, a contractor must 
ensure that facilities provided for employees are provided in such a 
manner that segregation on the basis of race, color, religion, sex, 
sexual orientation, gender identity, or national origin cannot result. 
The contractor may neither require such segregated use by written or 
oral policies nor tolerate such use by employee custom. The contractor's 
obligation extends further to ensuring that its employees are not 
assigned to perform their services at any location, under the 
contractor's control, where the facilities are segregated. This 
obligation extends to all contracts containing the equal opportunity 
clause regardless of the amount of the contract. The term 
``facilities,'' as used in

[[Page 115]]

this section, means waiting rooms, work areas, restaurants and other 
eating areas, time clocks, restrooms, wash rooms, locker rooms, and 
other storage or dressing areas, parking lots, drinking fountains, 
recreation or entertainment areas, transportation, and housing provided 
for employees; Provided, That separate or single-user restrooms and 
necessary dressing or sleeping areas shall be provided to assure privacy 
between the sexes.

[79 FR 72994, Dec. 9, 2014]



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

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.10  Foreign government practices.

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

[79 FR 72994, Dec. 9, 2014]



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

    (a)(1) A contractor which maintains a policy or practice of paying 
membership fees or other expenses for employee participation in private 
clubs or organizations shall ensure that the policy or practice is 
administered without regard to the race, color, religion, sex, or 
national origin of employees.
    (2) Payment or reimbursement by contractors of membership fees and 
other expenses for participation by

[[Page 116]]

their employees in a private club or organization which bars, restricts 
or limits its membership on the basis of race, color, sex, religion, or 
national origin constitutes a violation of Executive Order 11246 except 
where the contractor can provide evidence that such restrictions or 
limitations do not abridge the promotional opportunities, status, 
compensation or other terms and conditions of employment of those of its 
employees barred from membership because of their race, color, religion, 
sex, or national origin. OFCCP shall provide the contractor with the 
opportunity to present evidence in defense of its actions.
    (b) The contractor has the responsibility of determining whether the 
club or organization restricts membership on the basis of race, color, 
religion, sex, or national origin. The contractor may make separate 
determinations for different chapters of an organization, and where it 
does so, may limit any necessary corrective action to the particular 
chapters which observe discriminatory membership policies and practices.

[46 FR 3896, Jan. 16, 1981]

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



Sec.  60-1.12  Record retention.

    (a) General requirements. Any personnel or employment record made or 
kept by the contractor shall be preserved by the contractor for a period 
of not less than two years from the date of the making of the record or 
the personnel action involved, whichever occurs later. However, if the 
contractor has fewer than 150 employees or does not have a Government 
contract of at least $150,000, the minimum record retention period shall 
be one year from the date of the making of the record or the personnel 
action involved, whichever occurs later. Such records include, but are 
not necessarily limited to, records pertaining to hiring, assignment, 
promotion, demotion, transfer, lay off or termination, rates of pay or 
other terms of compensation, and selection for training or 
apprenticeship, and other records having to do with requests for 
reasonable accommodation, the results of any physical examination, job 
advertisements and postings, applications, resumes, and any and all 
expressions of interest through the Internet or related electronic data 
technologies as to which the contractor considered the individual for a 
particular position, such as on-line resumes or internal resume 
databases, records identifying job seekers contacted regarding their 
interest in a particular position (for purposes of recordkeeping with 
respect to internal resume databases, the contractor must maintain a 
record of each resume added to the database, a record of the date each 
resume was added to the database, the position for which each search of 
the database was made, and corresponding to each search, the substantive 
search criteria used and the date of the search; for purposes of 
recordkeeping with respect to external resume databases, the contractor 
must maintain a record of the position for which each search of the 
database was made, and corresponding to each search, the substantive 
search criteria used, the date of the search, and the resumes of job 
seekers who met the basic qualifications for the particular position who 
are considered by the contractor), regardless of whether the individual 
qualifies as an Internet Applicant under 41 CFR 60-1.3, tests and test 
results, and interview notes. The term ``personnel records relevant to 
the complaint,'' for example, would include personnel or employment 
records relating to the complainant and to all other employees holding 
positions similar to that held or sought by the complainant and 
application forms or test papers submitted by unsuccessful applicants 
and by all other candidates for the same position as that for which the 
complainant unsuccessfully applied. Where a compliance evaluation has 
been initiated, all personnel and employment records described above are 
relevant until OFCCP makes a final disposition of the evaluation.
    (b) Affirmative action programs. A contractor establishment required 
under Sec.  60-1.40 to develop and maintain a written affirmative action 
program (AAP) must maintain its current AAP and documentation of good 
faith effort,

[[Page 117]]

and must preserve its AAP and documentation of good faith effort for the 
immediately preceding AAP year, unless it was not then covered by the 
AAP requirement.
    (c) Contractor identification of record. (1) For any record the 
contractor maintains pursuant to this section, the contractor must be 
able to identify:
    (i) The gender, race, and ethnicity of each employee; and
    (ii) Where possible, the gender, race, and ethnicity of each 
applicant or Internet Applicant as defined in 41 CFR 60-1.3, whichever 
is applicable to the particular position.
    (2) The contractor must supply this information to the Office of 
Federal Contract Compliance Programs upon request.
    (d) Adverse impact evaluations. When evaluating whether a contractor 
has maintained information on impact and conducted an adverse impact 
analysis under part 60-3 with respect to Internet hiring procedures, 
OFCCP will require only those records relating to the analyses of the 
impact of employee selection procedures on Internet Applicants, as 
defined in 41 CFR 60-1.3, and those records relating to the analyses of 
the impact of employment tests that are used as employee selection 
procedures, without regard to whether the tests were administered to 
Internet Applicants, as defined in 41 CFR 60-1.3.
    (e) Failure to preserve records. Failure to preserve complete and 
accurate records as required by paragraphs (a) through (c) of this 
section constitutes noncompliance with the contractor's obligations 
under the Executive Order and this part. Where the contractor has 
destroyed or failed to preserve records as required by this section, 
there may be a presumption that the information destroyed or not 
preserved would have been unfavorable to the contractor: Provided, That 
this presumption shall not apply where the contractor shows that the 
destruction or failure to preserve records results from the 
circumstances that are outside of the contractor's control.

[65 FR 68042, Nov. 13, 2000, as amended at 70 FR 58962, Oct. 7, 2005]



Subpart B_General Enforcement; Compliance Review and Complaint Procedure



Sec.  60-1.20  Compliance evaluations.

    (a) OFCCP may conduct compliance evaluations to determine if the 
contractor maintains nondiscriminatory hiring and employment practices 
and is taking affirmative action to ensure that applicants are employed 
and that employees are placed, trained, upgraded, promoted, and 
otherwise treated during employment without regard to race, color, 
religion, sex, sexual orientation, gender identity, or national origin. 
A compliance evaluation may consist of any one or any combination of the 
following investigative procedures:
    (1) Compliance review. A comprehensive analysis and evaluation of 
the hiring and employment practices of the contractor, the written 
affirmative action program, and the results of the affirmative action 
efforts undertaken by the contractor. A compliance review may proceed in 
three stages:
    (i) A desk audit of the written AAP and supporting documentation to 
determine whether all elements required by the regulations in this part 
are included, whether the AAP meets agency standards of reasonableness, 
and whether the AAP and supporting documentation satisfy agency 
standards of acceptability. The desk audit is conducted at OFCCP 
offices, except in the case of preaward reviews. In a preaward review, 
the desk audit normally is conducted at the contractor's establishment.
    (ii) An on-site review, conducted at the contractor's establishment 
to investigate unresolved problem areas identified in the AAP and 
supporting documentation during the desk audit, to verify that the 
contractor has implemented the AAP and has complied with those 
regulatory obligations not required to be included in the AAP, and to 
examine potential instances or issues of discrimination. An on-site 
review normally will involve an examination of the contractor's 
personnel and employment policies, inspection and copying of documents 
related to employment actions, and interviews with

[[Page 118]]

employees, supervisors, managers, hiring officials; and
    (iii) Where necessary, an off-site analysis of information supplied 
by the contractor or otherwise gathered during or pursuant to the on-
site review.
    (2) Off-site review of records. An analysis and evaluation of the 
AAP (or any part thereof) and supporting documentation, and other 
documents related to the contractor's personnel policies and employment 
actions that may be relevant to a determination of whether the 
contractor has complied with the requirements of the Executive Order and 
regulations;
    (3) Compliance check. A determination of whether the contractor has 
maintained records consistent with Sec.  60-1.12; at the contractor's 
option the documents may be provided either on-site or off-site; or
    (4) Focused review. An on-site review restricted to one or more 
components of the contractor's organization or one or more aspects of 
the contractor's employment practices.
    (b) Where deficiencies are found to exist, reasonable efforts shall 
be made to secure compliance through conciliation and persuasion. Before 
the contractor can be found to be in compliance with the order, it must 
make a specific commitment, in writing, to correct any such 
deficiencies. The commitment must include the precise action to be taken 
and dates for completion. The time period allotted shall be no longer 
than the minimum period necessary to effect such changes. Upon approval 
of the commitment, the contractor may be considered in compliance, on 
condition that the commitments are faithfully kept. The contractor shall 
be notified that making such commitments does not preclude future 
determinations of noncompliance based on a finding that the commitments 
are not sufficient to achieve compliance.
    (c) [Reserved]
    (d) Preaward compliance evaluations. Each agency shall include in 
the invitation for bids for each formally advertised nonconstruction 
contract or state at the outset of negotiations for each negotiated 
contract, that if the award, when let, should total $10 million or more, 
the prospective contractor and its known first-tier subcontractors with 
subcontracts of $10 million or more shall be subject to a compliance 
evaluation before the award of the contract unless OFCCP has conducted 
an evaluation and found them to be in compliance with the Order within 
the preceding 24 months. The awarding agency will notify OFCCP and 
request appropriate action and findings in accordance with this 
subsection. Within 15 days of the notice OFCCP will inform the awarding 
agency of its intention to conduct a preaward compliance evaluation. If 
OFCCP does not inform the awarding agency within that period of its 
intention to conduct a preaward compliance evaluation, clearance shall 
be presumed and the awarding agency is authorized to proceed with the 
award. If OFCCP informs the awarding agency of its intention to conduct 
a preaward compliance evaluation, OFCCP shall be allowed an additional 
20 days after the date that it so informs the awarding agency to provide 
its conclusions. If OFCCP does not provide the awarding agency with its 
conclusions within that period, clearance shall be presumed and the 
awarding agency is authorized to proceed with the award.
    (e) Submission of Documents; Standard Affirmative Action Formats. 
Each prime contractor or subcontractor with 50 or more employees and a 
contract of $50,000 or more is required to develop a written affirmative 
action program for each of its establishments (Sec.  60-1.40). If a 
contractor fails to submit an affirmative action program and supporting 
documents, including the workforce analysis, within 30 days of a 
request, the enforcement procedures specified in Sec.  60-1.26(b) shall 
be applicable. Contractors may reach agreement with OFCCP on nationwide 
AAP formats or on frequency of updating statistics.
    (f) Confidentiality and relevancy of information. If the contractor 
is concerned with the confidentiality of such information as lists of 
employee names, reasons for termination, or pay data, then alphabetic or 
numeric coding or the use of an index of pay and pay ranges, consistent 
with the ranges assigned to each job group, are acceptable for purposes 
of the compliance

[[Page 119]]

evaluation. The contractor must provide full access to all relevant data 
on-site as required by Sec.  60-1.43. Where necessary, the compliance 
officer may take information made available during the on-site 
evaluation off-site for further analysis. An off-site analysis should be 
conducted where issues have arisen concerning deficiencies or an 
apparent violation which, in the judgment of the compliance officer, 
should be more thoroughly analyzed off-site before a determination of 
compliance is made. The contractor must provide all data determined by 
the compliance officer to be necessary for off-site analysis. Such data 
may only be coded if the contractor makes the key to the code available 
to the compliance officer. If the contractor believes that particular 
information which is to be taken off-site is not relevant to compliance 
with the Executive Order, the contractor may request a ruling by the 
OFCCP District/Area Director. The OFCCP District/Area Director shall 
issue a ruling within 10 days. The contractor may appeal that ruling to 
the OFCCP Regional Director within 10 days. The Regional Director shall 
issue a final ruling within 10 days. Pending a final ruling, the 
information in question must be made available to the compliance officer 
off-site, but shall be considered a part of the investigatory file and 
subject to the provisions of paragraph (g) of this section. The agency 
shall take all necessary precautions to safeguard the confidentiality of 
such information until a final determination is made. Such information 
may not be copied by OFCCP and access to the information shall be 
limited to the compliance officer and personnel involved in the 
determination of relevancy. Data determined to be not relevant to the 
investigation will be returned to the contractor immediately.
    (g) Public Access to Information. OFCCP will treat information 
obtained in the compliance evaluation as confidential to the maximum 
extent the information is exempt from public disclosure under the 
Freedom of Information Act, 5 U.S.C. 552. It is the practice of OFCCP 
not to release data where the contractor is still in business, and the 
contractor indicates, and through the Department of Labor review process 
it is determined, that the data are confidential and sensitive and that 
the release of data would subject the contractor to commercial harm.

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978, as amended at 62 
FR 44189, Aug. 19, 1997; 70 FR 36265, June 22, 2005; 79 FR 72994, Dec. 
9, 2014]



Sec.  60-1.21  Filing complaints.

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

[43 FR 49240, Oct. 20, 1978; 43 FR 51400, Nov. 3, 1978, as amended at 62 
FR 66971, Dec. 22, 1997]



Sec.  60-1.22  Where to file.

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



Sec.  60-1.23  Contents of complaint.

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.24  Processing of matters.

    (a) Complaints. OFCCP may refer appropriate complaints to the Equal 
Employment Opportunity Commission (EEOC) for processing under Title VII 
of the Civil Rights Act of 1964, as amended, rather than processing 
under

[[Page 120]]

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



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

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

[[Page 121]]

any sanction to be imposed by the agency. The agency shall take such 
action, and report the results thereof to the Director within the time 
specified.

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.26  Enforcement proceedings.

    (a) General. (1) Violations of the Order, the equal opportunity 
clause, the regulations in this chapter, or applicable construction 
industry equal employment opportunity requirements, may result in the 
institution of administrative or judicial enforcement proceedings. 
Violations may be found based upon, inter alia, any of the following:
    (i) The results of a complaint investigation;
    (ii) The results of a compliance evaluation;
    (iii) Analysis of an affirmative action program;
    (iv) The results of an on-site review of the contractor's compliance 
with the Order and its implementing regulations;
    (v) A contractor's refusal to submit an affirmative action program;
    (vi) A contractor's refusal to allow an on-site compliance 
evaluation to be conducted;
    (vii) A contractor's refusal to provide data for off-site review or 
analysis as required by the regulations in this chapter;
    (viii) A contractor's refusal to establish, maintain and supply 
records or other information as required by the regulations in this 
chapter or applicable construction industry requirements;
    (ix) A contractor's alteration or falsification of records and 
information required to be maintained by the regulations in this 
chapter; or
    (x) Any substantial or material violation or the threat of a 
substantial or material violation of the contractural provisions of the 
Order, or of the rules or regulations in this chapter.
    (2) OFCCP may seek back pay and other make whole relief for victims 
of discrimination identified during a complaint investigation or 
compliance evaluation. Such individuals need not have filed a complaint 
as a prerequisite to OFCCP seeking such relief on their behalf. Interest 
on back pay shall be calculated from the date of the loss and compounded 
quarterly at the percentage rate established by the Internal Revenue 
Service for the under-payment of taxes.
    (b) Administrative enforcement. (1) OFCCP may refer matters to the 
Solicitor of Labor with a recommendation for the institution of 
administrative enforcement proceedings, which may be brought to enjoin 
violations, to seek appropriate relief, and to impose appropriate 
sanctions. The referral may be made when violations have not been 
corrected in accordance with the conciliation procedures in this 
chapter, or when OFCCP determines that referral for consideration of 
formal enforcement (rather than settlement) is appropriate. However, if 
a contractor refuses to submit an affirmative action program, or refuses 
to supply records or other requested information, or refuses to allow 
OFCCP access to its premises for an on-site review, and if conciliation 
efforts under this chapter are unsuccessful, OFCCP may immediately refer 
the matter to the Solicitor, notwithstanding other requirements of this 
chapter.
    (2) Administrative enforcement proceedings shall be conducted under 
the control and supervision of the Solicitor of Labor and under the 
Rules of Practice for Administrative Proceedings to Enforce Equal 
Opportunity under Executive Order 11246 contained in part 60-30 of this 
chapter and the Rules of Evidence set out in the Rules of Practice and 
Procedure for Administrative Hearings Before the Office of 
Administrative Law Judges contained in 29 CFR part 18, subpart B: 
Provided, That a Final Administrative Order shall be issued within on 
year from the date of the issuance of the recommended findings, 
conclusions and decision of the Administrative Law Judge, or the 
submission of any exceptions and responses to exceptions to such 
decision (if any), whichever is later.
    (c) Referrals to the Department of Justice. (1) The Director may 
refer matters to the Department of Justice with a recommendation for the 
institution of judicial enforcement proceedings. There are no procedural 
prerequisites

[[Page 122]]

to a referral to the Department of Justice. Such referrals may be 
accomplished without proceeding through the conciliation procedures in 
this chapter, and a referral may be made at any stage in the procedures 
under this chapter.
    (2) Whenever a matter has been referred to the Department of Justice 
for consideration of judicial enforcement, the Attorney General may 
bring a civil action in the appropriate district court of the United 
States requesting a temporary restraining order, preliminary or 
permanent injunction (including relief against noncontractors, including 
labor unions, who seek to thwart the implementation of the Order and 
regulations), and an order for such additional sanctions or relief, 
including back pay, deemed necessary or appropriate to ensure the full 
enjoyment of the rights secured by the Order, or any of the above in 
this paragraph (c)(2).
    (3) The Attorney General is authorized to conduct such investigation 
of the facts as he/she deem necessary or appropriate to carry out his/
her responsibilities under the regulations in this chapter.
    (4) Prior to the institution of any judicial proceedings, the 
Attorney General, on behalf of the Director, is authorized to make 
reasonable efforts to secure compliance with the contract provisions of 
the Order. The Attorney General may do so by providing the contractor 
and any other respondent with reasonable notice of his/her findings, 
his/her intent to file suit, and the actions he/she believes necessary 
to obtain compliance with the contract provisions of the Order without 
contested litigation, and by offering the contractor and any other 
respondent a reasonable opportunity for conference and conciliation, in 
an effort to obtain such compliance without contested litigation.
    (5) As used in the regulations in this part, the Attorney General 
shall mean the Attorney General, the Assistant Attorney General for 
Civil Rights, or any other person authorized by regulations or practice 
to act for the Attorney General with respect to the enforcement of equal 
employment opportunity laws, orders and regulations generally, or in a 
particular matter or case.
    (6) The Director or his/her designee, and representatives of the 
Attorney General may consult from time to time to determine what 
investigations should be conducted to determine whether contractors or 
groups of contractors or other persons may be engaged in patterns or 
practices in violation of the Executive Order or these regulations, or 
of resistance to or interference with the full enjoyment of any of the 
rights secured by them, warranting judicial proceedings.
    (d) Initiation of lawsuits by the Attorney General without referral 
from the Director. In addition to initiating lawsuits upon referral 
under this section, the Attorney General may, subject to approval by the 
Director, initiate independent investigations of contractors which he/
she has reason to believe may be in violation of the Order or the rules 
and regulations issued pursuant thereto. If, upon completion of such an 
investigation, the Attorney General determines that the contractor has 
in fact violated the Order or the rules and regulations issued 
thereunder, he/she shall make reasonable efforts to secure compliance 
with the contract provisions of the Order. He/she may do so by providing 
the contractor and any other respondent with reasonable notice of the 
Department of Justice's findings, its intent to file suit, and the 
actions that the Attorney General believes are necessary to obtain 
compliance with the contract provisions of the Order without contested 
litigation, and by offering the contractor and any other respondent a 
reasonable opportunity for conference and conciliation in an effort to 
obtain such compliance without contested litigation. If these efforts 
are unsuccessful, the Attorney General may, upon approval by the 
Director, bring a civil action in the appropriate district court of the 
United States requesting a temporary restraining order, preliminary or 
permanent injunction, and an order for such additional sanctions or 
equitable relief, including back pay, deemed necessary or appropriate to 
ensure the full enjoyment of the rights secured by the Order or any of 
the above in this paragraph (d).

[[Page 123]]

    (e) To the extent applicable, this section and part 60-30 of this 
chapter shall govern proceedings resulting from any Director's 
determinations under Sec.  60-2.2(b) of this chapter.

[62 FR 44190, Aug. 19, 1997, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.27  Sanctions.

    (a) General. The sanctions described in subsections (1), (5), and 
(6) of section 209(a) of the Order may be exercised only by or with the 
approval of the Director. Referral of any matter arising under the Order 
to the Department of Justice or to the Equal Employment Opportunity 
Commission shall be made by the Director.
    (b) Debarment. A contractor may be debarred from receiving future 
contracts or modifications or extensions of existing contracts, subject 
to reinstatement pursuant to Sec.  60-1.31, for any violation of 
Executive Order 11246 or the implementing rules, regulations and orders 
of the Secretary of Labor. Debarment may be imposed for an indefinite 
term or for a fixed minimum period of at least six months.

[62 FR 44191, Aug. 19, 1997]



Sec.  60-1.28  Show cause notices.

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.29  Preaward notices.

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.30  Notification of agencies.

    The Director shall ensure that the heads of all agencies are 
notified of any debarment taken against any contractor.

[62 FR 44191, Aug. 19, 1997]



Sec.  60-1.31  Reinstatement of ineligible contractors.

    A contractor debarred from further contracts for an indefinite 
period under the Order may request reinstatement in a letter filed with 
the Director at any time after the effective date of the debarment. A 
contractor debarred for a fixed period may request reinstatement in a 
letter filed with the Director 30 days prior to the expiration of the 
fixed debarment period, or at any time thereafter. The filing of a 
reinstatement request 30 days before a fixed debarment period ends will 
not result in early reinstatement. In connection with the reinstatement 
proceedings, all debarred contractors shall be required to show that 
they have established and will carry out employment policies and 
practices in compliance with the Order and implementing regulations. 
Before reaching a decision, the Director may conduct a compliance 
evaluation of the contractor and may require the contractor to supply 
additional information regarding the request for reinstatement. The 
Director shall issue a written decision on the request.

[62 FR 44192, Aug. 19, 1997]



Sec.  60-1.32  Intimidation and interference.

    (a) The contractor, subcontractor or applicant shall not harass, 
intimidate, threaten, coerce, or discriminate

[[Page 124]]

against any individual because the individual has engaged in or may 
engage in any of the following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in any manner in an investigation, 
compliance evaluation, hearing, or any other activity related to the 
administration of the Order or any other Federal, state or local law 
requiring equal opportunity;
    (3) Opposing any act or practice made unlawful by the Order or any 
other Federal, state or local law requiring equal opportunity; or
    (4) Exercising any other right protected by the Order.
    (b) The contractor, subcontractor or applicant shall ensure that all 
persons under its control do not engage in such harassment, 
intimidation, threats, coercion or discrimination. The sanctions and 
penalties contained in this part may be exercised by OFCCP against any 
contractor, subcontractor or applicant who violates this obligation.

[62 FR 44192, Aug. 19, 1997]



Sec.  60-1.33  Resolution procedures.

    (a) Predetermination Notice. If a compliance review or other review 
by OFCCP indicates evidence sufficient to support a preliminary finding 
of disparate treatment and/or disparate impact discrimination, OFCCP may 
issue a Predetermination Notice, subject to the following parameters and 
the approval of the Director or acting agency head:
    (1) For allegations included in a Predetermination Notice involving 
a disparate treatment theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate that the unexplained disparity is practically 
significant; and
    (iii) Provide qualitative evidence as defined in this part that, in 
combination with other evidence, supports both a finding of 
discriminatory intent by the contractor and a finding that the 
contractor's discriminatory intent caused the disparate treatment.
    (2) OFCCP may issue a Predetermination Notice under a disparate 
treatment theory of liability without satisfying all three components 
listed in paragraph (a)(1) of this section only if:
    (i) The qualitative evidence by itself is sufficient to support a 
preliminary finding of disparate treatment;
    (ii) The evidence of disparity between a favored and disfavored 
group is so extraordinarily compelling that by itself it is sufficient 
to support a preliminary finding of disparate treatment; or
    (iii) Paragraphs (a)(1)(i) and (ii) of this section are satisfied 
and the contractor denied OFCCP access to sources of evidence that may 
be relevant to a preliminary finding of discriminatory intent. This may 
include denying access to its employees during a compliance evaluation 
or destroying or failing to produce records the contractor is legally 
required to create and maintain.
    (3) For allegations included in a Predetermination Notice involving 
a disparate impact theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate the unexplained disparity is practically 
significant; and
    (iii) Identify the specific policy or practice of the contractor 
causing the adverse impact, unless OFCCP can demonstrate that the 
elements of the contractor's selection procedures are incapable of 
separation for analysis.
    (4) The Predetermination Notice must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Predetermination Notice; however, if the exception in paragraph 
(a)(2)(ii) of this section applies, OFCCP will disclose why, in the 
absence of qualitative evidence, the agency is issuing the 
Predetermination Notice based on evidence of an extraordinarily 
compelling disparity alone. In addition, upon the contractor's request, 
OFCCP must also provide the model and variables used in any statistical 
analysis and an explanation for why any variable proposed by the 
contractor was excluded from that analysis. However, OFCCP may

[[Page 125]]

withhold personal identifying information from the description of the 
qualitative evidence if the information is protected from disclosure 
under recognized governmental privileges, or otherwise if providing that 
information would violate confidentiality or privacy protections 
afforded by law.
    (5) Any response to a Predetermination Notice must be submitted by 
the contractor within 30 calendar days of receipt of the Notice, which 
deadline OFCCP may extend for good cause.
    (b) Notice of Violation. (1) If, following OFCCP's review of any 
response by the contractor pursuant to paragraph (a)(5) of this section, 
the agency has evidence sufficient to support a finding of disparate 
treatment and/or disparate impact discrimination, as established in the 
parameters and exceptions in paragraph (a) of this section, or that the 
contractor has committed other material violations of the equal 
opportunity clause (with the exception of violations for denying access 
or failing to submit records in response to OFCCP's Office of Management 
and Budget (OMB)-approved Scheduling Letters, for which OFCCP may 
proceed directly to issuing a Show Cause Notice), OFCCP may issue a 
Notice of Violation to the contractor requiring corrective action and 
inviting conciliation through a written agreement, subject to approval 
by the Director or acting agency head.
    (2) OFCCP may issue a Notice of Violation alleging a finding of 
discrimination following issuance of a Predetermination Notice if the 
contractor does not respond or provide a sufficient response within 30 
calendar days of receipt of the Predetermination Notice, subject to 
approval by the Director or acting agency head, unless OFCCP has 
extended the Predetermination Notice response time for good cause shown.
    (3) The Notice of Violation must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Notice of Violation, however, if the exception in paragraph (a)(2)(ii) 
of this section applies, OFCCP will disclose why, in the absence of 
qualitative evidence, the agency is issuing the Notice of Violation 
based on evidence of an extraordinarily compelling disparity alone. In 
addition, upon the contractor's request, OFCCP must also provide the 
model and variables used in any statistical analysis and an explanation 
why any variable proposed by the contractor was excluded from that 
analysis. However, OFCCP may withhold personal identifying information 
from the description of the qualitative evidence if the information is 
protected from disclosure under recognized governmental privileges, or 
otherwise if providing that information would violate confidentiality or 
privacy protections afforded by law.
    (4) The Notice of Violation must address all relevant concerns and 
defenses raised by the contractor in response to the Predetermination 
Notice.
    (c) Conciliation agreement. If a compliance review, complaint 
investigation, or other review by OFCCP or its representative indicates 
a material violation of the equal opportunity clause, and:
    (1) If the contractor, subcontractor or bidder is willing to correct 
the violations and/or deficiencies; and
    (2) If OFCCP or its representative determines that settlement 
(rather than referral for consideration of formal enforcement) is 
appropriate, a written agreement shall be required. The agreement shall 
provide for such remedial action as may be necessary to correct the 
violations and/or deficiencies noted, including, where appropriate (but 
not necessarily limited to), remedies such as back pay and retroactive 
seniority.
    (d) Expedited conciliation option. A contractor may voluntarily 
waive the procedures set forth in paragraphs (a) and/or (b) of this 
section to enter directly into a conciliation agreement. OFCCP may 
inform the contractor of this expedited conciliation option, but may not 
require or insist that the contractor avail itself of the expedited 
conciliation option.
    (e) Severability. Should a court of competent jurisdiction hold any 
provision(s) of this section to be invalid, such action will not affect 
any other provision of this section.

[85 FR 71571, Nov. 10, 2020]

[[Page 126]]



Sec.  60-1.34  Violation of a Conciliation Agreement.

    When a conciliation agreement has been violated, the following 
procedures are applicable:
    (a) A written notice shall be sent to the contractor setting forth 
the violations alleged and summarizing the supporting evidence. The 
contractor shall have 15 days from receipt of the notice to respond, 
except in those cases in which such a delay would result in irreparable 
injury to the employment rights of affected employees or applicants.
    (b) During the 15-day period the contractor may demonstrate in 
writing that it has not violated its commitments.
    (c) If the contractor is unable to demonstrate that it has not 
violated its commitments, or if the complaint alleges irreparable 
injury, enforcement proceedings may be initiated immediately without 
issuing a show cause notice or proceeding through any other requirement 
contained in this chapter.
    (d) In any proceeding involving an alleged violation of a 
conciliation agreement OFCCP may seek enforcement of the agreement 
itself and shall not be required to present proof of the underlying 
violations resolved by the agreement.

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

[44 FR 77002, Dec. 28, 1979, as amended at 62 FR 44192, Aug. 19, 1997; 
70 FR 36265, June 22, 2005]



Sec.  60-1.35  Contractor obligations and defenses to violation 
of the nondiscrimination requirement for compensation disclosures.

    (a) General defenses. A contractor may pursue a defense to an 
alleged violation of paragraph (3) of the equal opportunity clauses 
listed in Sec.  60-1.4(a) and (b) as long as the defense is not based on 
a rule, policy, practice, agreement, or other instrument that prohibits 
employees or applicants from discussing or disclosing their compensation 
or the compensation of other employees or applicants, subject to 
paragraph (3) of the equal opportunity clause. Contractors may pursue 
this defense by demonstrating, for example, that it disciplined the 
employee for violation of a consistently and uniformly applied company 
policy, and that this policy does not prohibit, or tend to prohibit, 
employees or applicants from discussing or disclosing their compensation 
or the compensation of other employees or applicants.
    (b) Essential job functions defense. Actions taken by a contractor 
which adversely affect an employee will not be deemed to be 
discriminatory if the employee has access to the compensation 
information of other employees or applicants as part of such employee's 
essential job functions and disclosed the compensation of such other 
employees or applicants to individuals who do not otherwise have access 
to such information, and the disclosure was not in response to a formal 
complaint or charge, in furtherance of an investigation, proceeding, 
hearing, or action, including an investigation conducted by the 
contractor, or is consistent with the contractor's legal duty to furnish 
information.
    (c) Dissemination of nondiscrimination provision. The contractor or 
subcontractor shall disseminate the nondiscrimination provision, using 
the language as prescribed by the Director of OFCCP, to employees and 
applicants:
    (1) The nondiscrimination provision shall be incorporated into 
existing employee manuals or handbooks; and
    (2) The nondiscrimination provision shall be disseminated to 
employees and applicants. Dissemination of the provision shall be 
executed by electronic posting or by posting a copy of the provision in 
conspicuous places available to employees and applicants for employment.

[80 FR 54977, Sept. 11, 2015]



                       Subpart C_Ancillary Matters



Sec.  60-1.40  Affirmative action programs.

    (a)(1) Each nonconstruction (supply and service) contractor must 
develop and maintain a written affirmative action program for each of 
its establishments, if it has 50 or more employees and:
    (i) Has a contract of $50,000 or more; or

[[Page 127]]

    (ii) Has Government bills of lading which in any 12-month period, 
total or can reasonably be expected to total $50,000 or more; or
    (iii) Serves as a depository of Government funds in any amount; or
    (iv) Is a financial institution which is an issuing and paying agent 
for U.S. savings bonds and savings notes in any amount.
    (2) Each contractor and subcontractor must require each 
nonconstruction subcontractor to develop and maintain a written 
affirmative action program for each of its establishments if it has 50 
or more employees and:
    (i) Has a subcontract of $50,000 or more; or
    (ii) Has Government bills of lading which in any 12-month period, 
total or can reasonably be expected to total $50,000 or more; or
    (iii) Serves as a depository of Government funds in any amount; or
    (iv) Is a financial institution which is an issuing and paying agent 
for U.S. savings bonds and savings notes in any amount.
    (b) Nonconstruction contractors should refer to part 60-2 for 
specific affirmative action requirements. Construction contractors 
should refer to part 60-4 for specific affirmative action requirements.

[65 FR 68042, Nov. 13, 2000]



Sec.  60-1.41  Solicitations or advertisements for employees.

    In solicitations or advertisements for employees placed by or on 
behalf of a prime contractor or subcontractor, the requirements of 
paragraph (2) of the equal opportunity clause in Sec.  60-1.4 shall be 
satisfied whenever the prime contractor or subcontractor complies with 
any of the following:
    (a) States expressly in the solicitations or advertising that all 
qualified applicants will receive consideration for employment without 
regard to race, color, religion, sex, sexual orientation, gender 
identity, or national origin;
    (b) Uses display or other advertising, and the advertising includes 
an appropriate insignia prescribed by the Director. The use of the 
insignia is considered subject to the provisions of 18 U.S.C. 701;
    (c) Uses a single advertisement, and the advertisement is grouped 
with other advertisements under a caption which clearly states that all 
employers in the group assure all qualified applicants equal 
consideration for employment without regard to race, color, religion, 
sex, sexual orientation, gender identity, or national origin;
    (d) Uses a single advertisement in which appears in clearly 
distinguishable type the phrase ``an equal opportunity employer.''

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997; 
79 FR 72994, Dec. 9, 2014]



Sec.  60-1.42  Notices to be posted.

    (a) Unless alternative notices are prescribed by the Director, the 
notices which contractors are required to post by paragraphs (1) and (3) 
of the equal opportunity clause in Sec.  60-1.4 will contain the 
following language and be provided by the contracting or administering 
agencies:

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

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

               The Equal Employment Opportunity Commission

Prohibits discrimination because of Race, Color, Religion, Sex, or 
National Origin by Employers with 15 or more employees, by Labor 
Organizations, by Employment Agencies, and by Apprenticeship or Training 
Programs

Any person who believes he or she has been discriminated against should 
contact

The Equal Employment Opportunity Commission, 1801 L Street NW., 
Washington, DC 20507

    Executive Order No. 11246--Administered by:

           The Office of Federal Contract Compliance Programs

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


[[Page 128]]


Any person who believes he or she has been discriminated against should 
contact

The Office of Federal Contract Compliance Programs, U.S. Department of 
Labor, Washington, DC 20210

[79 FR 72995, Dec. 9, 2014]



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

    Each contractor shall permit access during normal business hours to 
its premises for the purpose of conducting on-site compliance 
evaluations and complaint investigations. Each contractor shall permit 
the inspecting and copying of such books and accounts and records, 
including computerized records, and other material as may be relevant to 
the matter under investigation and pertinent to compliance with the 
Order, and the rules and regulations promulgated pursuant thereto by the 
agency, or the Director. Information obtained in this manner shall be 
used only in connection with the administration of the Order, the Civil 
Rights Act of 1964 (as amended), and any other law that is or may be 
enforced in whole or in part by OFCCP.

[62 FR 44192, Aug. 19, 1997]



Sec.  60-1.44  Rulings and interpretations.

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



Sec.  60-1.45  Existing contracts and subcontracts.

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



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

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

[43 FR 49240, Oct. 20, 1978, as amended at 62 FR 66971, Dec. 22, 1997]



Sec.  60-1.47  Effective date.

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



PART 60	2_AFFIRMATIVE ACTION PROGRAMS--Table of Contents



                            Subpart A_General

Sec.
60-2.1 Scope and application.
60-2.2 Agency action.

      Subpart B_Purpose and Contents of Affirmative Action Programs

60-2.10 General purpose and contents of affirmative action programs.
60-2.11 Organizational profile.
60-2.12 Job group analysis.

[[Page 129]]

60-2.13 Placement of incumbents in job groups.
60-2.14 Determining availability.
60-2.15 Comparing incumbency to availability.
60-2.16 Placement goals.
60-2.17 Additional required elements of affirmative action programs.
60-2.18 [Reserved]

                         Subpart C_Miscellaneous

60-2.30 Corporate management compliance evaluations.
60-2.31 Program summary.
60-2.32 Affirmative action records.
60-2.33 Preemption.
60-2.34 Supersedure.
60-2.35 Compliance status.

    Authority: Sec. 201, E.O. 11246, 30 FR 12319, E.O. 11375, 32 FR 
14303, as amended by E.O. 12086, 43 FR 46501, and E.O. 13672, 79 FR 
42971.

    Source: 65 FR 68042, Nov. 13, 2000, unless otherwise noted.



                            Subpart A_General



Sec.  60-2.1  Scope and application.

    (a) General. The requirements of this part apply to nonconstruction 
(supply and service) contractors. The regulations prescribe the contents 
of affirmative action programs, standards and procedures for evaluating 
the compliance of affirmative action programs implemented pursuant to 
this part, and related matters.
    (b) Who must develop affirmative action programs. (1) Each 
nonconstruction contractor must develop and maintain a written 
affirmative action program for each of its establishments if it has 50 
or more employees and:
    (i) Has a contract of $50,000 or more; or
    (ii) Has Government bills of lading which in any 12-month period, 
total or can reasonably be expected to total $50,000 or more; or
    (iii) Serves as a depository of Government funds in any amount; or
    (iv) Is a financial institution which is an issuing and paying agent 
for U.S. savings bonds and savings notes in any amount.
    (2) Each contractor and subcontractor must require each 
nonconstruction subcontractor to develop and maintain a written 
affirmative action program for each of its establishments if it has 50 
or more employees and:
    (i) Has a subcontract of $50,000 or more; or
    (ii) Has Government bills of lading which in any 12-month period, 
total or can reasonably be expected to total $50,000 or more; or
    (iii) Serves as a depository of Government funds in any amount; or
    (iv) Is a financial institution which is an issuing and paying agent 
for U.S. savings bonds and savings notes in any amount.
    (c) When affirmative action programs must be developed. The 
affirmative action programs required under paragraph (b) of this section 
must be developed within 120 days from the commencement of a contract 
and must be updated annually.
    (d) Who is included in affirmative action programs. Contractors 
subject to the affirmative action program requirements must develop and 
maintain a written affirmative action program for each of their 
establishments. Each employee in the contractor's workforce must be 
included in an affirmative action program. Each employee must be 
included in the affirmative action program of the establishment at which 
he or she works, except that:
    (1) Employees who work at establishments other than that of the 
manager to whom they report, must be included in the affirmative action 
program of their manager.
    (2) Employees who work at an establishment where the contractor 
employs fewer than 50 employees, may be included under any of the 
following three options: In an affirmative action program which covers 
just that establishment; in the affirmative action program which covers 
the location of the personnel function which supports the establishment; 
or, in the affirmative action program which covers the location of the 
official to whom they report.
    (3) Employees for whom selection decisions are made at a higher 
level establishment within the organization must be included in the 
affirmative action program of the establishment where the selection 
decision is made.
    (4) If a contractor wishes to establish an affirmative action 
program other than by establishment, the contractor may reach agreement 
with OFCCP on

[[Page 130]]

the development and use of affirmative action programs based on 
functional or business units. The Director, or his or her designee, must 
approve such agreements. Agreements allowing the use of functional or 
business unit affirmative action programs cannot be construed to limit 
or restrict how the OFCCP structures its compliance evaluations.
    (e) How to identify employees included in affirmative action 
programs other than where they are located. If pursuant to paragraphs 
(d)(1) through (3) of this section employees are included in an 
affirmative action program for an establishment other than the one in 
which the employees are located, the organizational profile and job 
group analysis of the affirmative action program in which the employees 
are included must be annotated to identify the actual location of such 
employees. If the establishment at which the employees actually are 
located maintains an affirmative action program, the organizational 
profile and job group analysis of that program must be annotated to 
identify the program in which the employees are included.

[65 FR 68042, Nov. 13, 2000, as amended at 85 FR 71572, Nov. 10, 2020]



Sec.  60-2.2  Agency action.

    (a) Any contractor required by Sec.  60-2.1 to develop and maintain 
a written affirmative action program for each of its establishments that 
has not complied with that section is not in full compliance with 
Executive Order 11246, as amended. When a contractor is required to 
submit its affirmative action program to OFCCP (e.g., for a compliance 
evaluation), the affirmative action program will be deemed to have been 
accepted by the Government at the time OFCCP notifies the contractor of 
completion of the compliance evaluation or other action, unless within 
45 days thereafter the Deputy Assistant Secretary has disapproved such 
program.
    (b) If, in determining such contractor's responsibility for an award 
of a contract it comes to the contracting officer's attention, through 
sources within his/her agency or through the OFCCP or other Government 
agencies, that the contractor does not have an affirmative action 
program at each of its establishments, or has substantially deviated 
from such an approved affirmative action program, or has failed to 
develop or implement an affirmative action program which complies with 
the regulations in this chapter, the contracting officer must declare 
the contractor/bidder nonresponsible and so notify the contractor and 
the Deputy Assistant Secretary, unless the contracting officer otherwise 
affirmatively determines that the contractor is able to comply with the 
equal employment obligations. Any contractor/bidder which has been 
declared nonresponsible in accordance with the provisions of this 
section may request the Deputy Assistant Secretary to determine that the 
responsibility of the contractor/bidder raises substantial issues of law 
or fact to the extent that a hearing is required. Such request must set 
forth the basis upon which the contractor/bidder seeks such a 
determination. If the Director, in his/her sole discretion, determines 
that substantial issues of law or fact exist, an administrative or 
judicial proceeding may be commenced in accordance with the regulations 
contained in Sec.  60-1.26; or the Deputy Assistant Secretary may 
require the investigation or compliance evaluation be developed further 
or additional conciliation be conducted: Provided, That during any pre-
award conferences, every effort will be made through the processes of 
conciliation, mediation, and persuasion to develop an acceptable 
affirmative action program meeting the standards and guidelines set 
forth in this part so that, in the performance of the contract, the 
contractor is able to meet its equal employment obligations in 
accordance with the equal opportunity clause and applicable rules, 
regulations, and orders: Provided further, That a contractor/bidder may 
not be declared nonresponsible more than twice due to past noncompliance 
with the equal opportunity clause at a particular establishment or 
facility without receiving prior notice and an opportunity for a 
hearing.
    (c)(1) Immediately upon finding that a contractor has no affirmative 
action program, or has deviated substantially from an approved 
affirmative action

[[Page 131]]

program, or has failed to develop or implement an affirmative action 
program which complies with the requirements of the regulations in this 
chapter, that fact shall be recorded in the investigation file. Except 
as provided in Sec.  60-1.26(b)(1), whenever administrative enforcement 
is contemplated, the notice to the contractor shall be issued giving the 
contractor 30 days to show cause why enforcement proceedings under 
section 209(a) of Executive Order 11246, as amended, should not be 
instituted. The notice to show cause should contain:
    (i) An itemization of the sections of the Executive Order and of the 
regulations with which the contractor has been found in apparent 
violation, and a summary of the conditions, practices, facts, or 
circumstances which give rise to each apparent violation;
    (ii) The corrective actions necessary to achieve compliance or, as 
may be appropriate, the concepts and principles of an acceptable remedy 
and/or the corrective action results anticipated;
    (iii) A request for a written response to the findings, including 
commitments to corrective action or the presentation of opposing facts 
and evidence; and
    (iv) A suggested date for the conciliation conference.
    (2) If the contractor fails to show good cause for its failure or 
fails to remedy that failure by developing and implementing an 
acceptable affirmative action program within 30 days, the case file 
shall be processed for enforcement proceedings pursuant to Sec.  60-1.26 
of this chapter. If an administrative complaint is filed, the contractor 
shall have 20 days to request a hearing. If a request for hearing has 
not been received within 20 days from the filing of the administrative 
complaint, the matter shall proceed in accordance with part 60-30 of 
this chapter.
    (3) During the ``show cause'' period of 30 days, every effort will 
be made through conciliation, mediation, and persuasion to resolve the 
deficiencies which led to the determination of nonresponsibility. If 
satisfactory adjustments designed to bring the contractor into 
compliance are not concluded, the case shall be processed for 
enforcement proceedings pursuant to Sec.  60-1.26 of this chapter.
    (d) During the ``show cause'' period and formal proceedings, each 
contracting agency must continue to determine the contractor's 
responsibility in considering whether or not to award a new or 
additional contract.

[65 FR 68042, Nov. 13, 2000, as amended at 85 FR 71572, Nov. 10, 2020]



      Subpart B_Purpose and Contents of Affirmative Action Programs



Sec.  60-2.10  General purpose and contents of affirmative action programs.

    (a) Purpose. (1) An affirmative action program is a management tool 
designed to ensure equal employment opportunity. A central premise 
underlying affirmative action is that, absent discrimination, over time 
a contractor's workforce, generally, will reflect the gender, racial and 
ethnic profile of the labor pools from which the contractor recruits and 
selects. Affirmative action programs contain a diagnostic component 
which includes a number of quantitative analyses designed to evaluate 
the composition of the workforce of the contractor and compare it to the 
composition of the relevant labor pools. Affirmative action programs 
also include action-oriented programs. If women and minorities are not 
being employed at a rate to be expected given their availability in the 
relevant labor pool, the contractor's affirmative action program 
includes specific practical steps designed to address this 
underutilization. Effective affirmative action programs also include 
internal auditing and reporting systems as a means of measuring the 
contractor's progress toward achieving the workforce that would be 
expected in the absence of discrimination.
    (2) An affirmative action program also ensures equal employment 
opportunity by institutionalizing the contractor's commitment to 
equality in every aspect of the employment process. Therefore, as part 
of its affirmative action program, a contractor monitors and examines 
its employment decisions and compensation systems to evaluate the impact 
of those systems on women and minorities.

[[Page 132]]

    (3) An affirmative action program is, thus, more than a paperwork 
exercise. An affirmative action program includes those policies, 
practices, and procedures that the contractor implements to ensure that 
all qualified applicants and employees are receiving an equal 
opportunity for recruitment, selection, advancement, and every other 
term and privilege associated with employment. Affirmative action, 
ideally, is a part of the way the contractor regularly conducts its 
business. OFCCP has found that when an affirmative action program is 
approached from this perspective, as a powerful management tool, there 
is a positive correlation between the presence of affirmative action and 
the absence of discrimination.
    (b) Contents of affirmative action programs. (1) An affirmative 
action program must include the following quantitative analyses:
    (i) Organizational profile--Sec.  60-2.11;
    (ii) Job group analysis--Sec.  60-2.12;
    (iii) Placement of incumbents in job groups--Sec.  60-2.13;
    (iv) Determining availability--Sec.  60-2.14;
    (v) Comparing incumbency to availability--Sec.  60-2.15; and
    (vi) Placement goals--Sec.  60-2.16.
    (2) In addition, an affirmative action program must include the 
following components specified in the Sec.  60-2.17 of this part:
    (i) Designation of responsibility for implementation;
    (ii) Identification of problem areas;
    (iii) Action-oriented programs; and
    (iv) Periodic internal audits.
    (c) Documentation. Contractors must maintain and make available to 
OFCCP documentation of their compliance with Sec. Sec.  60-2.11 through 
60-2.17.



Sec.  60-2.11  Organizational profile.

    (a) Purpose. An organizational profile is a depiction of the 
staffing pattern within an establishment. It is one method contractors 
use to determine whether barriers to equal employment opportunity exist 
in their organizations. The profile provides an overview of the 
workforce at the establishment that may assist in identifying 
organizational units where women or minorities are underrepresented or 
concentrated. The contractor must use either the organizational display 
or the workforce analysis as its organizational profile:
    (b) Organizational display. (1) An organizational display is a 
detailed graphical or tabular chart, text, spreadsheet or similar 
presentation of the contractor's organizational structure. The 
organizational display must identify each organizational unit in the 
establishment, and show the relationship of each organizational unit to 
the other organizational units in the establishment.
    (2) An organizational unit is any component that is part of the 
contractor's corporate structure. In a more traditional organization, an 
organizational unit might be a department, division, section, branch, 
group or similar component. In a less traditional organization, an 
organizational unit might be a project team, job family, or similar 
component. The term includes an umbrella unit (such as a department) 
that contains a number of subordinate units, and it separately includes 
each of the subordinate units (such as sections or branches).
    (3) For each organizational unit, the organizational display must 
indicate the following:
    (i) The name of the unit;
    (ii) The job title, gender, race, and ethnicity of the unit 
supervisor (if the unit has a supervisor);
    (iii) The total number of male and female incumbents; and
    (iv) the total number of male and female incumbents in each of the 
following groups: Blacks, Hispanics, Asians/Pacific Islanders, and 
American Indians/Alaskan Natives.
    (c) Workforce analysis. (1) A workforce analysis is a listing of 
each job title as appears in applicable collective bargaining agreements 
or payroll records ranked from the lowest paid to the highest paid 
within each department or other similar organizational unit including 
departmental or unit supervision.
    (2) If there are separate work units or lines of progression within 
a department, a separate list must be provided for each such work unit, 
or line, including unit supervisors. For lines of progression there must 
be indicated

[[Page 133]]

the order of jobs in the line through which an employee could move to 
the top of the line.
    (3) Where there are no formal progression lines or usual promotional 
sequences, job titles should be listed by department, job families, or 
disciplines, in order of wage rates or salary ranges.
    (4) For each job title, the total number of incumbents, the total 
number of male and female incumbents, and the total number of male and 
female incumbents in each of the following groups must be given: Blacks, 
Hispanics, Asians/Pacific Islanders, and American Indians/Alaskan 
Natives. The wage rate or salary range for each job title must be given. 
All job titles, including all managerial job titles, must be listed.



Sec.  60-2.12  Job group analysis.

    (a) Purpose: A job group analysis is a method of combining job 
titles within the contractor's establishment. This is the first step in 
the contractor's comparison of the representation of minorities and 
women in its workforce with the estimated availability of minorities and 
women qualified to be employed.
    (b) In the job group analysis, jobs at the establishment with 
similar content, wage rates, and opportunities, must be combined to form 
job groups. Similarity of content refers to the duties and 
responsibilities of the job titles which make up the job group. 
Similarity of opportunities refers to training, transfers, promotions, 
pay, mobility, and other career enhancement opportunities offered by the 
jobs within the job group.
    (c) The job group analysis must include a list of the job titles 
that comprise each job group. If, pursuant to Sec.  60-2.1(d) and (e) 
the job group analysis contains jobs that are located at another 
establishment, the job group analysis must be annotated to identify the 
actual location of those jobs. If the establishment at which the jobs 
actually are located maintains an affirmative action program, the job 
group analysis of that program must be annotated to identify the program 
in which the jobs are included.
    (d) Except as provided in Sec.  60-2.1(d), all jobs located at an 
establishment must be reported in the job group analysis of that 
establishment.
    (e) Smaller employers: If a contractor has a total workforce of 
fewer than 150 employees, the contractor may prepare a job group 
analysis that utilizes EEO-1 categories as job groups. EEO-1 categories 
refers to the nine occupational groups used in the Standard Form 100, 
the Employer Information EEO-1 Survey: Officials and managers, 
professionals, technicians, sales, office and clerical, craft workers 
(skilled), operatives (semiskilled), laborers (unskilled), and service 
workers.



Sec.  60-2.13  Placement of incumbents in job groups.

    The contractor must separately state the percentage of minorities 
and the percentage of women it employs in each job group established 
pursuant to Sec.  60-2.12.



Sec.  60-2.14  Determining availability.

    (a) Purpose: Availability is an estimate of the number of qualified 
minorities or women available for employment in a given job group, 
expressed as a percentage of all qualified persons available for 
employment in the job group. The purpose of the availability 
determination is to establish a benchmark against which the demographic 
composition of the contractor's incumbent workforce can be compared in 
order to determine whether barriers to equal employment opportunity may 
exist within particular job groups.
    (b) The contractor must separately determine the availability of 
minorities and women for each job group.
    (c) In determining availability, the contractor must consider at 
least the following factors:
    (1) The percentage of minorities or women with requisite skills in 
the reasonable recruitment area. The reasonable recruitment area is 
defined as the geographical area from which the contractor usually seeks 
or reasonably could seek workers to fill the positions in question.
    (2) The percentage of minorities or women among those promotable, 
transferable, and trainable within the contractor's organization. 
Trainable refers

[[Page 134]]

to those employees within the contractor's organization who could, with 
appropriate training which the contractor is reasonably able to provide, 
become promotable or transferable during the AAP year.
    (d) The contractor must use the most current and discrete 
statistical information available to derive availability figures. 
Examples of such information include census data, data from local job 
service offices, and data from colleges or other training institutions.
    (e) The contractor may not draw its reasonable recruitment area in 
such a way as to have the effect of excluding minorities or women. For 
each job group, the reasonable recruitment area must be identified, with 
a brief explanation of the rationale for selection of that recruitment 
area.
    (f) The contractor may not define the pool of promotable, 
transferable, and trainable employees in such a way as to have the 
effect of excluding minorities or women. For each job group, the pool of 
promotable, transferable, and trainable employees must be identified 
with a brief explanation of the rationale for the selection of that 
pool.
    (g) Where a job group is composed of job titles with different 
availability rates, a composite availability figure for the job group 
must be calculated. The contractor must separately determine the 
availability for each job title within the job group and must determine 
the proportion of job group incumbents employed in each job title. The 
contractor must weight the availability for each job title by the 
proportion of job group incumbents employed in that job group. The sum 
of the weighted availability estimates for all job titles in the job 
group must be the composite availability for the job group.



Sec.  60-2.15  Comparing incumbency to availability.

    (a) The contractor must compare the percentage of minorities and 
women in each job group determined pursuant to Sec.  60-2.13 with the 
availability for those job groups determined pursuant to Sec.  60-2.14.
    (b) When the percentage of minorities or women employed in a 
particular job group is less than would reasonably be expected given 
their availability percentage in that particular job group, the 
contractor must establish a placement goal in accordance with Sec.  60-
2.16.



Sec.  60-2.16  Placement goals.

    (a) Purpose: Placement goals serve as objectives or targets 
reasonably attainable by means of applying every good faith effort to 
make all aspects of the entire affirmative action program work. 
Placement goals also are used to measure progress toward achieving equal 
employment opportunity.
    (b) A contractor's determination under Sec.  60-2.15 that a 
placement goal is required constitutes neither a finding nor an 
admission of discrimination.
    (c) Where, pursuant to Sec.  60-2.15, a contractor is required to 
establish a placement goal for a particular job group, the contractor 
must establish a percentage annual placement goal at least equal to the 
availability figure derived for women or minorities, as appropriate, for 
that job group.
    (d) The placement goal-setting process described above contemplates 
that contractors will, where required, establish a single goal for all 
minorities. In the event of a substantial disparity in the utilization 
of a particular minority group or in the utilization of men or women of 
a particular minority group, a contractor may be required to establish 
separate goals for those groups.
    (e) In establishing placement goals, the following principles also 
apply:
    (1) Placement goals may not be rigid and inflexible quotas, which 
must be met, nor are they to be considered as either a ceiling or a 
floor for the employment of particular groups. Quotas are expressly 
forbidden.
    (2) In all employment decisions, the contractor must make selections 
in a nondiscriminatory manner. Placement goals do not provide the 
contractor with a justification to extend a preference to any 
individual, select an individual, or adversely affect an individual's 
employment status, on the basis of that person's race, color, religion, 
sex, sexual orientation, gender identity, or national origin.
    (3) Placement goals do not create set-asides for specific groups, 
nor are they

[[Page 135]]

intended to achieve proportional representation or equal results.
    (4) Placement goals may not be used to supersede merit selection 
principles. Affirmative action programs prescribed by the regulations in 
this part do not require a contractor to hire a person who lacks 
qualifications to perform the job successfully, or hire a less qualified 
person in preference to a more qualified one.
    (f) A contractor extending a publicly announced preference for 
American Indians as is authorized in 41 CFR 60-1.5(a)(6) may reflect in 
its placement goals the permissive employment preference for American 
Indians living on or near an Indian reservation.

[65 FR 68042, Nov. 13, 2000, as amended at 79 FR 72995, Dec. 9, 2014]



Sec.  60-2.17  Additional required elements of affirmative action programs.

    In addition to the elements required by Sec.  60-2.10 through Sec.  
60-2.16, an acceptable affirmative action program must include the 
following:
    (a) Designation of responsibility. The contractor must provide for 
the implementation of equal employment opportunity and the affirmative 
action program by assigning responsibility and accountability to an 
official of the organization. Depending upon the size of the contractor, 
this may be the official's sole responsibility. He or she must have the 
authority, resources, support of and access to top management to ensure 
the effective implementation of the affirmative action program.
    (b) Identification of problem areas. The contractor must perform in-
depth analyses of its total employment process to determine whether and 
where impediments to equal employment opportunity exist. At a minimum 
the contractor must evaluate:
    (1) The workforce by organizational unit and job group to determine 
whether there are problems of minority or female utilization (i.e., 
employment in the unit or group), or of minority or female distribution 
(i.e., placement in the different jobs within the unit or group);
    (2) Personnel activity (applicant flow, hires, terminations, 
promotions, and other personnel actions) to determine whether there are 
selection disparities;
    (3) Compensation system(s) to determine whether there are gender-, 
race-, or ethnicity-based disparities;
    (4) Selection, recruitment, referral, and other personnel procedures 
to determine whether they result in disparities in the employment or 
advancement of minorities or women; and
    (5) Any other areas that might impact the success of the affirmative 
action program.
    (c) Action-oriented programs. The contractor must develop and 
execute action-oriented programs designed to correct any problem areas 
identified pursuant to Sec.  60-2.17(b) and to attain established goals 
and objectives. In order for these action-oriented programs to be 
effective, the contractor must ensure that they consist of more than 
following the same procedures which have previously produced inadequate 
results. Furthermore, a contractor must demonstrate that it has made 
good faith efforts to remove identified barriers, expand employment 
opportunities, and produce measurable results.
    (d) Internal audit and reporting system. The contractor must develop 
and implement an auditing system that periodically measures the 
effectiveness of its total affirmative action program. The actions 
listed below are key to a successful affirmative action program:
    (1) Monitor records of all personnel activity, including referrals, 
placements, transfers, promotions, terminations, and compensation, at 
all levels to ensure the nondiscriminatory policy is carried out;
    (2) Require internal reporting on a scheduled basis as to the degree 
to which equal employment opportunity and organizational objectives are 
attained;
    (3) Review report results with all levels of management; and
    (4) Advise top management of program effectiveness and submit 
recommendations to improve unsatisfactory performance.

[[Page 136]]



Sec.  60-2.18  [Reserved]



                         Subpart C_Miscellaneous



Sec.  60-2.30  Corporate management compliance evaluations.

    (a) Purpose. Corporate Management Compliance Evaluations are 
designed to ascertain whether individuals are encountering artificial 
barriers to advancement into mid-level and senior corporate management, 
i.e., glass ceiling. During Corporate Management Compliance Evaluations, 
special attention is given to those components of the employment process 
that affect advancement into mid-and senior-level positions.
    (b) If, during the course of a Corporate Management Compliance 
Evaluation, it comes to the attention of OFCCP that problems exist at 
establishments outside the corporate headquarters, OFCCP may expand the 
compliance evaluation beyond the headquarters establishment. At its 
discretion, OFCCP may direct its attention to and request relevant data 
for any and all areas within the corporation to ensure compliance with 
Executive Order 11246.



Sec.  60-2.31  Program summary.

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

[65 FR 68042, Nov. 13, 2000, as amended at 85 FR 71572, Nov. 10, 2020]



Sec.  60-2.32  Affirmative action records.

    The contractor must make available to the Office of Federal Contract 
Compliance Programs, upon request, records maintained pursuant to Sec.  
60-1.12 of this chapter and written or otherwise documented portions of 
AAPs maintained pursuant to Sec.  60-2.10 for such purposes as may be 
appropriate to the fulfillment of the agency's responsibilities under 
Executive Order 11246.



Sec.  60-2.33  Preemption.

    To the extent that any state or local laws, regulations or 
ordinances, including those that grant special benefits to persons on 
account of sex, are in conflict with Executive Order 11246, as amended, 
or with the requirements of this part, they will be regarded as 
preempted under the Executive Order.



Sec.  60-2.34  Supersedure.

    All orders, instructions, regulations, and memorandums of the 
Secretary of Labor, other officials of the Department of Labor and 
contracting agencies are hereby superseded to the extent that they are 
inconsistent with this part 60-2.



Sec.  60-2.35  Compliance status.

    No contractor's compliance status will be judged alone by whether it 
reaches its goals. The composition of the contractor's workforce (i.e., 
the employment of minorities or women at a percentage rate below, or 
above, the goal level) does not, by itself, serve as a basis to impose 
any of the sanctions authorized by Executive Order 11246 and the 
regulations in this chapter. Each contractor's compliance with its 
affirmative action obligations will be determined by reviewing the 
nature and extent of the contractor's good faith affirmative action 
activities as required under Sec.  60-2.17, and the appropriateness of 
those activities to identified equal employment opportunity problems. 
Each contractor's compliance with its nondiscrimination obligations will 
be determined by analysis of statistical data and other non-statistical 
information which would indicate whether employees and applicants are 
being treated without regard to their race, color, religion, sex, sexual 
orientation, gender identity, or national origin.

[79 FR 72995, Dec. 9, 2014]



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



                           General Principles

Sec.
60-3.1 Statement of purpose.
60-3.2 Scope.

[[Page 137]]

60-3.3 Discrimination defined: Relationship between use of selection 
          procedures and discrimination.
60-3.4 Information on impact.
60-3.5 General standards for validity studies.
60-3.6 Use of selection procedures which have not been validated.
60-3.7 Use of other validity studies.
60-3.8 Cooperative studies.
60-3.9 No assumption of validity.
60-3.10 Employment agencies and employment services.
60-3.11 Disparate treatment.
60-3.12 Retesting of applicants.
60-3.13 Affirmative action.

                           Technical Standards

60-3.14 Technical standards for validity studies.

              Documentation of Impact and Validity Evidence

60-3.15 Documentation of impact and validity evidence.

                               Definitions

60-3.16 Definitions.

                          Appendix to Part 60-3

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

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

    Source: 43 FR 38295, 38314, August 25, 1978, unless otherwise noted.

                           General Principles



Sec.  60-3.1  Statement of purpose.

    A. Need for uniformity--Issuing agencies. The Federal government's 
need for a uniform set of principles on the question of the use of tests 
and other selection procedures has long been recognized. The Equal 
Employment Opportunity Commission, the Civil Service Commission, the 
Department of Labor, and the Department of Justice jointly have adopted 
these uniform guidelines to meet that need, and to apply the same 
principles to the Federal Government as are applied to other employers.
    B. Purpose of guidelines. These guidelines incorporate a single set 
of principles which are designed to assist employers, labor 
organizations, employment agencies, and licensing and certification 
boards to comply with requirements of Federal law prohibiting employment 
practices which discriminate on grounds of race, color, religion, sex, 
and national origin. They are designed to provide a framework for 
determining the proper use of tests and other selection procedures. 
These guidelines do not require a user to conduct validity studies of 
selection procedures where no adverse impact results. However, all users 
are encouraged to use selection procedures which are valid, especially 
users operating under merit principles.
    C. Relation to prior guidelines. These guidelines are based upon and 
supersede previously issued guidelines on employee selection procedures. 
These guidelines have been built upon court decisions, the previously 
issued guidelines of the agencies, and the practical experience of the 
agencies, as well as the standards of the psychological profession. 
These guidelines are intended to be consistent with existing law.



Sec.  60-3.2  Scope.

    A. Application of guidelines. These guidelines will be applied by 
the Equal Employment Opportunity Commission in the enforcement of title 
VII of the Civil Rights Act of 1964, as amended by the Equal Employment 
Opportunity Act of 1972 (hereinafter ``Title VII''); by the Department 
of Labor, and the contract compliance agencies until the transfer of 
authority contemplated by the President's Reorganization Plan No. 1 of 
1978, in the administration and enforcement of Executive Order 11246, as 
amended by Executive Order 11375 (hereinafter ``Executive Order 
11246''); by the Civil Service Commission and other Federal agencies 
subject to section 717 of Title VII; by the Civil Service Commission in 
exercising its responsibilities toward State and local governments under 
section 208(b)(1) of the Intergovernmental-Personnel Act; by the 
Department of Justice in exercising its responsibilities under Federal 
law; by the Office of Revenue Sharing of the Department of the Treasury 
under the State and Local Fiscal Assistance Act of 1972, as amended; and 
by any other Federal agency which adopts them.

[[Page 138]]

    B. Employment decisions. These guidelines apply to tests and other 
selection procedures which are used as a basis for any employment 
decision. Employment decisions include but are not limited to hiring, 
promotion, demotion, membership (for example, in a labor organization), 
referral, retention, and licensing and certification, to the extent that 
licensing and certification may be covered by Federal equal employment 
opportunity law. Other selection decisions, such as selection for 
training or transfer, may also be considered employment decisions if 
they lead to any of the decisions listed above.
    C. Selection procedures. These guidelines apply only to selection 
procedures which are used as a basis for making employment decisions. 
For example, the use of recruiting procedures designed to attract 
members of a particular race, sex, or ethnic group, which were 
previously denied employment opportunities or which are currently 
underutilized, may be necessary to bring an employer into compliance 
with Federal law, and is frequently an essential element of any 
effective affirmative action program; but recruitment practices are not 
considered by these guidelines to be selection procedures. Similarly, 
these guidelines do not pertain to the question of the lawfulness of a 
seniority system within the meaning of section 703(h), Executive Order 
11246 or other provisions of Federal law or regulation, except to the 
extent that such systems utilize selection procedures to determine 
qualifications or abilities to perform the job. Nothing in these 
guidelines is intended or should be interpreted as discouraging the use 
of a selection procedure for the purpose of determining qualifications 
or for the purpose of selection on the basis of relative qualifications, 
if the selection procedure had been validated in accord with these 
guidelines for each such purpose for which it is to be used.
    D. Limitations. These guidelines apply only to persons subject to 
Title VII, Executive Order 11246, or other equal employment opportunity 
requirements of Federal law. These guidelines do not apply to 
responsibilities under the Age Discrimination in Employment Act of 1967, 
as amended, not to discriminate on the basis of age, or under sections 
501, 503, and 504 of the Rehabilitation Act of 1973, not to discriminate 
on the basis of handicap.
    E. Indian preference not affected. These guidelines do not restrict 
any obligation imposed or right granted by Federal law to users to 
extend a preference in employment to Indians living on or near an Indian 
reservation in connection with employment opportunities on or near an 
Indian reservation.



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

    A. Procedure having adverse impact constitutes discrimination unless 
justified. The use of any selection procedure which has an adverse 
impact on the hiring, promotion, or other employment or membership 
opportunities of members of any race, sex, or ethnic group will be 
considered to be discriminatory and inconsistent with these guidelines, 
unless the procedure has been validated in accordance with these 
guidelines, or the provisions of section 6 of this part are satisfied.
    B. Consideration of suitable alternative selection procedures. Where 
two or more selection procedures are available which serve the user's 
legitimate interest in efficient and trustworthy workmanship, and which 
are substantially equally valid for a given purpose, the user should use 
the procedure which has been demonstrated to have the lesser adverse 
impact. Accordingly, whenever a validity study is called for by these 
guidelines, the user should include, as a part of the validity study, an 
investigation of suitable alternative selection procedures and suitable 
alternative methods of using the selection procedure which have as 
little adverse impact as possible, to determine the appropriateness of 
using or validating them in accord with these guidelines. If a user has 
made a reasonable effort to become aware of such alternative procedures 
and validity has been demonstrated in accord with these guidelines, the 
use of the test or other selection procedure may continue until such 
time as it should reasonably be reviewed for currency. Whenever the user 
is shown an alternative selection procedure with evidence of less 
adverse

[[Page 139]]

impact and substantial evidence of validity for the same job in similar 
circumstances, the user should investigate it to determine the 
appropriateness of using or validating it in accord with these 
guidelines. This subsection is not intended to preclude the combination 
of procedures into a significantly more valid procedure, if the use of 
such a combination has been shown to be in compliance with the 
guidelines.



Sec.  60-3.4  Information on impact.

    A. Records concerning impact. Each user should maintain and have 
available for inspection records or other information which will 
disclose the impact which its tests and other selection procedures have 
upon employment opportunities of persons by identifiable race, sex, or 
ethnic group as set forth in subparagraph B of this section in order to 
determine compliance with these guidelines. Where there are large 
numbers of applicants and procedures are administered frequently, such 
information may be retained on a sample basis, provided that the sample 
is appropriate in terms of the applicant population and adequate in 
size.
    B. Applicable race, sex, and ethnic groups for recordkeeping. The 
records called for by this section are to be maintained by sex, and the 
following races and ethnic groups: Blacks (Negroes), American Indians 
(including Alaskan Natives), Asians (including Pacific Islanders), 
Hispanic (including persons of Mexican, Puerto Rican, Cuban, Central or 
South American, or other Spanish origin or culture regardless of race), 
whites (Caucasians) other than Hispanic, and totals. The race, sex, and 
ethnic classifications called for by this section are consistent with 
the Equal Employment Opportunity Standard Form 100, Employer Information 
Report EEO-1 series of reports. The user should adopt safeguards to 
insure that the records required by this paragraph are used for 
appropriate purposes such as determining adverse impact, or (where 
required) for developing and monitoring affirmative action programs, and 
that such records are not used improperly. See sections 4E and 17(4), of 
this part.
    C. Evaluation of selection rates. The ``bottom line.'' If the 
information called for by sections 4A and B of this section shows that 
the total selection process for a job has an adverse impact, the 
individual components of the selection process should be evaluated for 
adverse impact. If this information shows that the total selection 
process does not have an adverse impact, the Federal enforcement 
agencies, in the exercise of their administrative and prosecutorial 
discretion, in usual circumstances, will not expect a user to evaluate 
the individual components for adverse impact, or to validate such 
individual components, and will not take enforcement action based upon 
adverse impact of any component of that process, including the separate 
parts of a multipart selection procedure or any separate procedure that 
is used as an alternative method of selection. However, in the following 
circumstances the Federal enforcement agencies will expect a user to 
evaluate the individual components for adverse impact and may, where 
appropriate, take enforcement action with respect to the individual 
components: (1) where the selection procedure is a significant factor in 
the continuation of patterns of assignments of incumbent employees 
caused by prior discriminatory employment practices, (2) where the 
weight of court decisions or administrative interpretations hold that a 
specific procedure (such as height or weight requirements or no-arrest 
records) is not job related in the same or similar circumstances. In 
unusual circumstances, other than those listed in paragraphs (1) and (2) 
of this section, the Federal enforcement agencies may request a user to 
evaluate the individual components for adverse impact and may, where 
appropriate, take enforcement action with respect to the individual 
component.
    D. Adverse impact and the ``four-fifths rule.'' A selection rate for 
any race, sex, or ethnic group which is less than four-fifths (\4/5\) 
(or eighty percent) of the rate for the group with the highest rate will 
generally be regarded by the Federal enforcement agencies as evidence of 
adverse impact, while a greater than four-fifths rate will generally not 
be regarded by Federal enforcement agencies as evidence of adverse

[[Page 140]]

impact. Smaller differences in selection rate may nevertheless 
constitute adverse impact, where they are significant in both 
statistical and practical terms or where a user's actions have 
discouraged applicants disproportionately on grounds of race, sex, or 
ethnic group. Greater differences in selection rate may not constitute 
adverse impact where the differences are based on small numbers and are 
not statistically significant, or where special recruiting or other 
programs cause the pool of minority or female candidates to be atypical 
of the normal pool of applicants from that group. Where the user's 
evidence concerning the impact of a selection procedure indicates 
adverse impact but is based upon numbers which are too small to be 
reliable, evidence concerning the impact of the procedure over a longer 
period of time and/or evidence concerning the impact which the selection 
procedure had when used in the same manner in similar circumstances 
elsewhere may be considered in determining adverse impact. Where the 
user has not maintained data on adverse impact as required by the 
documentation section of applicable guidelines, the Federal enforcement 
agencies may draw an inference of adverse impact of the selection 
process from the failure of the user to maintain such data, if the user 
has an underutilization of a group in the job category, as compared to 
the group's representation in the relevant labor market or, in the case 
of jobs filled from within, the applicable work force.
    E. Consideration of user's equal employment opportunity posture. In 
carrying out their obligations, the Federal enforcement agencies will 
consider the general posture of the user with respect to equal 
employment opportunity for the job or group of jobs in question. Where a 
user has adopted an affirmative action program, the Federal enforcement 
agencies will consider the provisions of that program, including the 
goals and timetables which the user has adopted and the progress which 
the user has made in carrying out that program and in meeting the goals 
and timetables. While such affirmative action programs may in design and 
execution be race, color, sex, or ethnic conscious, selection procedures 
under such programs should be based upon the ability or relative ability 
to do the work.



Sec.  60-3.5  General standards for validity studies.

    A. Acceptable types of validity studies. For the purposes of 
satisfying these guidelines, users may rely upon criterion-related 
validity studies, content validity studies or construct validity 
studies, in accordance with the standards set forth in the technical 
standards of these guidelines, section 14 of this part. New strategies 
for showing the validity of selection procedures will be evaluated as 
they become accepted by the psychological profession.
    B. Criterion-related, content, and construct validity. Evidence of 
the validity of a test or other selection procedure by a criterion-
related validity study should consist of empirical data demonstrating 
that the selection procedure is predictive of or significantly 
correlated with important elements of job performance. See 14B of this 
part. Evidence of the validity of a test or other selection procedure by 
a content validity study should consist of data showing that the content 
of the selection procedure is representative of important aspects of 
performance on the job for which the candidates are to be evaluated. See 
14C of this part. Evidence of the validity of a test or other selection 
procedure through a construct validity study should consist of data 
showing that the procedure measures the degree to which candidates have 
identifiable characteristics which have been determined to be important 
in successful performance in the job for which the candidates are to be 
evaluated. See section 14D of this part.
    C. Guidelines are consistent with professional standards. The 
provisions of these guidelines relating to validation of selection 
procedures are intended to be consistent with generally accepted 
professional standards for evaluating standardized tests and other 
selection procedures, such as those described in the Standards for 
Educational and Psychological Tests prepared by a joint committee of the 
American Psychological Association, the American Educational Research 
Association, and the National Council on Measurement in

[[Page 141]]

Education (American Psychological Association, Washington, D.C., 1974) 
(hereinafter ``A.P.A. Standards'') and standard textbooks and journals 
in the field of personnel selection.
    D. Need for documentation of validity. For any selection procedure 
which is part of a selection process which has an adverse impact and 
which selection procedure has an adverse impact, each user should 
maintain and have available such documentation as is described in 
section 15 of this part.
    E. Accuracy and standardization. Validity studies should be carried 
out under conditions which assure insofar as possible the adequacy and 
accuracy of the research and the report. Selection procedures should be 
administered and scored under standardized conditions.
    F. Caution against selection on basis of knowledges, skills, or 
ability learned in brief orientation period. In general, users should 
avoid making employment decisions on the basis of measures of 
knowledges, skills, or abilities which are normally learned in a brief 
orientation period, and which have an adverse impact.
    G. Method of use of selection procedures. The evidence of both the 
validity and utility of a selection procedure should support the method 
the user chooses for operational use of the procedure, if that method of 
use has a greater adverse impact than another method of use. Evidence 
which may be sufficient to support the use of a selection procedure on a 
pass/fail (screening) basis may be insufficient to support the use of 
the same procedure on a ranking basis under these guidelines. Thus, if a 
user decides to use a selection procedure on a ranking basis, and that 
method of use has a greater adverse impact than use on an appropriate 
pass/fail basis (see section 5H of this section), the user should have 
sufficient evidence of validity and utility to support the use on a 
ranking basis. See sections 3B, 14B (5) and (6), and 14C (8) and (9).
    H. Cutoff scores. Where cutoff scores are used, they should normally 
be set so as to be reasonable and consistent with normal expectations of 
acceptable proficiency within the work force. Where applicants are 
ranked on the basis of properly validated selection procedures and those 
applicants scoring below a higher cutoff score than appropriate in light 
of such expectations have little or no chance of being selected for 
employment, the higher cutoff score may be appropriate, but the degree 
of adverse impact should be considered.
    I. Use of selection procedures for higher level jobs. If job 
progression structures are so established that employees will probably, 
within a reasonable period of time and in a majority of cases, progress 
to a higher level, it may be considered that the applicants are being 
evaluated for a job or jobs at the higher level. However, where job 
progression is not so nearly automatic, or the time span is such that 
higher level jobs or employees' potential may be expected to change in 
significant ways, it should be considered that applicants are being 
evaluated for a job at or near the entry level. A ``reasonable period of 
time'' will vary for different jobs and employment situations but will 
seldom be more than 5 years. Use of selection procedures to evaluate 
applicants for a higher level job would not be appropriate:
    (1) If the majority of those remaining employed do not progress to 
the higher level job;
    (2) If there is a reason to doubt that the higher level job will 
continue to require essentially similar skills during the progression 
period; or
    (3) If the selection procedures measure knowledges, skills, or 
abilities required for advancement which would be expected to develop 
principally from the training or experience on the job.
    J. Interim use of selection procedures. Users may continue the use 
of a selection procedure which is not at the moment fully supported by 
the required evidence of validity, provided: (1) The user has available 
substantial evidence of validity, and (2) the user has in progress, when 
technically feasible, a study which is designed to produce the 
additional evidence required by these guidelines within a reasonable 
time. If such a study is not technically feasible, see section 6B. If 
the study does not demonstrate validity, this provision of these 
guidelines for interim use shall not constitute a defense in any action,

[[Page 142]]

nor shall it relieve the user of any obligations arising under Federal 
law.
    K. Review of validity studies for currency. Whenever validity has 
been shown in accord with these guidelines for the use of a particular 
selection procedure for a job or group of jobs, additional studies need 
not be performed until such time as the validity study is subject to 
review as provided in section 3B of this part. There are no absolutes in 
the area of determining the currency of a validity study. All 
circumstances concerning the study, including the validation strategy 
used, and changes in the relevant labor market and the job should be 
considered in the determination of when a validity study is outdated.



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

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



Sec.  60-3.7  Use of other validity studies.

    A. Validity studies not conducted by the user. Users may, under 
certain circumstances, support the use of selection procedures by 
validity studies conducted by other users or conducted by test 
publishers or distributors and described in test manuals. While 
publishers of selection procedures have a professional obligation to 
provide evidence of validity which meets generally accepted professional 
standards (see section 5C of this part), users are cautioned that they 
are responsible for compliance with these guidelines. Accordingly, users 
seeking to obtain selection procedures from publishers and distributors 
should be careful to determine that, in the event the user becomes 
subject to the validity requirements of these guidelines, the necessary 
information to support validity has been determined and will be made 
available to the user.
    B. Use of criterion-related validity evidence from other sources. 
Criterion-related validity studies conducted by one test user, or 
described in test manuals and the professional literature, will be 
considered acceptable for use by another user when the following 
requirements are met:
    (1) Validity evidence. Evidence from the available studies meeting 
the standards of section 14B of this part clearly demonstrates that the 
selection procedure is valid;
    (2) Job similarity. The incumbents in the user's job and the 
incumbents in the job or group of jobs on which the validity study was 
conducted perform substantially the same major work behaviors, as shown 
by appropriate job analyses both on the job or group of jobs on which 
the validity study was performed and on the job for which the selection 
procedure is to be used; and
    (3) Fairness evidence. The studies include a study of test fairness 
for each

[[Page 143]]

race, sex, and ethnic group which constitutes a significant factor in 
the borrowing user's relevant labor market for the job or jobs in 
question. If the studies under consideration satisfy paragraphs (1) and 
(2) of this section but do not contain an investigation of test 
fairness, and it is not technically feasible for the borrowing user to 
conduct an internal study of test fairness, the borrowing user may 
utilize the study until studies conducted elsewhere meeting the 
requirements of these guidelines show test unfairness, or until such 
time as it becomes technically feasible to conduct an internal study of 
test fairness and the results of that study can be acted upon. Users 
obtaining selection procedures from publishers should consider, as one 
factor in the decision to purchase a particular selection procedure, the 
availability of evidence concerning test fairness.
    C. Validity evidence from multiunit study. if validity evidence from 
a study covering more than one unit within an organization statisfies 
the requirements of section 14B of this part, evidence of validity 
specific to each unit will not be required unless there are variables 
which are likely to affect validity significantly.
    D. Other significant variables. If there are variables in the other 
studies which are likely to affect validity significantly, the user may 
not rely upon such studies, but will be expected either to conduct an 
internal validity study or to comply with section 6 of this part.



Sec.  60-3.8  Cooperative studies.

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



Sec.  60-3.9  No assumption of validity.

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



Sec.  60-3.10  Employment agencies and employment services.

    A. Where selection procedures are devised by agency. An employment 
agency, including private employment agencies and State employment 
agencies, which agrees to a request by an employer or labor organization 
to devise and utilize a selection procedure should follow the standards 
in these guidelines for determining adverse impact. If adverse impact 
exists the agency should comply with these guidelines. An employment 
agency is not relieved of its obligation herein because the user did not 
request such validation or has requested the use of some lesser standard 
of validation than is provided in these guidelines. The use of an 
employment agency does not relieve an employer or labor organization or 
other user of its responsibilities under Federal law to provide equal 
employment opportunity or its obligations as a user under these 
guidelines.

[[Page 144]]

    B. Where selection procedures are devised elsewhere. Where an 
employment agency or service is requested to administer a selection 
procedure which has been devised elsewhere and to make referrals 
pursuant to the results, the employment agency or service should 
maintain and have available evidence of the impact of the selection and 
referral procedures which it administers. If adverse impact results the 
agency or service should comply with these guidelines. If the agency or 
service seeks to comply with these guidelines by reliance upon validity 
studies or other data in the possession of the employer, it should 
obtain and have available such information.



Sec.  60-3.11  Disparate treatment.

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



Sec.  60-3.12  Retesting of applicants.

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



Sec.  60-3.13  Affirmative action.

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

                           Technical Standards



Sec.  60-3.14  Technical standards for validity studies.

    The following minimum standards, as applicable, should be met in 
conducting a validity study. Nothing in these guidelines is intended to 
preclude

[[Page 145]]

the development and use of other professionally acceptable techniques 
with respect to validation of selection procedures. Where it is not 
technically feasible for a user to conduct a validity study, the user 
has the obligation otherwise to comply with these guidelines. See 
sections 6 and 7 of this part.
    A. Validity studies should be based on review of information about 
the job. Any validity study should be based upon a review of information 
about the job for which the selection procedure is to be used. The 
review should include a job analysis except as provided in section 
14B(3) of this section with respect to criterion-related validity. Any 
method of job analysis may be used if it provides the information 
required for the specific validation strategy used.
    B. Technical standards for criterion-related validity studies--(1) 
Technical feasibility. Users choosing to validate a selection procedure 
by a criterion-related validity strategy should determine whether it is 
technically feasible (as defined in section 16) to conduct such a study 
in the particular employment context. The determination of the number of 
persons necessary to permit the conduct of a meaningful criterion-
related study should be made by the user on the basis of all relevant 
information concerning the selection procedure, the potential sample and 
the employment situation. Where appropriate, jobs with substantially the 
same major work behaviors may be grouped together for validity studies, 
in order to obtain an adequate sample. These guidelines do not require a 
user to hire or promote persons for the purpose of making it possible to 
conduct a criterion-related study.
    (2) Analysis of the job. There should be a review of job information 
to determine measures of work behavior(s) or performance that are 
relevant to the job or group of jobs in question. These measures or 
criteria are relevant to the extent that they represent critical or 
important job duties, work behaviors or work outcomes as developed from 
the review of job information. The possibility of bias should be 
considered both in selection of the criterion measures and their 
application. In view of the possibility of bias in subjective 
evaluations, supervisory rating techniques and instructions to raters 
should be carefully developed. All criterion measures and the methods 
for gathering data need to be examined for freedom from factors which 
would unfairly alter scores of members of any group. The relevance of 
criteria and their freedom from bias are of particular concern when 
there are significant differences in measures of job performance for 
different groups.
    (3) Criterion measures. Proper safeguards should be taken to insure 
that scores on selection procedures do not enter into any judgments of 
employee adequacy that are to be used as criterion measures. Whatever 
criteria are used should represent important or critical work 
behavior(s) or work outcomes. Certain criteria may be used without a 
full job analysis if the user can show the importance of the criteria to 
the particular employment context. These criteria include but are not 
limited to production rate, error rate, tardiness, absenteeism, and 
length of service. A standardized rating of overall work performance may 
be used where a study of the job shows that it is an appropriate 
criterion. Where performance in training is used as a criterion, success 
in training should be properly measured and the relevance of the 
training should be shown either through a comparsion of the content of 
the training program with the critical or important work behavior(s) of 
the job(s), or through a demonstration of the relationship between 
measures of performance in training and measures of job performance. 
Measures of relative success in training include but are not limited to 
instructor evaluations, performance samples, or tests. Criterion 
measures consisting of paper and pencil tests will be closely reviewed 
for job relevance.
    (4) Representativeness of the sample. Whether the study is 
predictive or concurrent, the sample subjects should insofar as feasible 
be representative of the candidates normally available in the relevant 
labor market for the job or group of jobs in question, and should 
insofar as feasible include the races, sexes, and ethnic groups normally 
available in the relevant job market. In determining the 
representativeness of the sample in a concurrent validity

[[Page 146]]

study, the user should take into account the extent to which the 
specific knowledges or skills which are the primary focus of the test 
are those which employees learn on the job.

Where samples are combined or compared, attention should be given to see 
that such samples are comparable in terms of the actual job they 
perform, the length of time on the job where time on the job is likely 
to affect performance, and other relevant factors likely to affect 
validity differences; or that these factors are included in the design 
of the study and their effects identified.
    (5) Statistical relationships. The degree of relationship between 
selection procedure scores and criterion measures should be examined and 
computed, using professionally acceptable statistical procedures. 
Generally, a selection procedure is considered related to the criterion, 
for the purposes of these guidelines, when the relationship between 
performance on the procedure and performance on the criterion measure is 
statistically significant at the 0.05 level of significance, which means 
that it is sufficiently high as to have a probability of no more than 
one (1) in twenty (20) to have occurred by chance. Absence of a 
statistically significant relationship between a selection procedure and 
job performance should not necessarily discourage other investigations 
of the validity of that selection procedure.
    (6) Operational use of selection procedures. Users should evaluate 
each selection procedure to assure that it is appropriate for 
operational use, including establishment of cutoff scores or rank 
ordering. Generally, if other factors reman the same, the greater the 
magnitude of the relationship (e.g., correlation coefficent) between 
performance on a selection procedure and one or more criteria of 
performance on the job, and the greater the importance and number of 
aspects of job performance covered by the criteria, the more likely it 
is that the procedure will be appropriate for use. Reliance upon a 
selection procedure which is significantly related to a criterion 
measure, but which is based upon a study involving a large number of 
subjects and has a low correlation coefficient will be subject to close 
review if it has a large adverse impact. Sole reliance upon a single 
selection instrument which is related to only one of many job duties or 
aspects of job performance will also be subject to close review. The 
appropriateness of a selection procedure is best evaluated in each 
particular situation and there are no minimum correlation coefficients 
applicable to all employment situations. In determining whether a 
selection procedure is appropriate for operational use the following 
considerations should also be taken into account: The degree of adverse 
impact of the procedure, the availability of other selection procedures 
of greater or substantially equal validity.
    (7) Overstatement of validity findings. Users should avoid reliance 
upon techniques which tend to overestimate validity findings as a result 
of capitalization on chance unless an appropriate safeguard is taken. 
Reliance upon a few selection procedures or criteria of successful job 
performance when many selection procedures or criteria of performance 
have been studied, or the use of optimal statistical weights for 
selection procedures computed in one sample, are techniques which tend 
to inflate validity estimates as a result of chance. Use of a large 
sample is one safeguard: cross-validation is another.
    (8) Fairness. This section generally calls for studies of unfairness 
where technically feasible. The concept of fairness or unfairness of 
selection procedures is a developing concept. In addition, fairness 
studies generally require substantial numbers of employees in the job or 
group of jobs being studied. For these reasons, the Federal enforcement 
agencies recognize that the obligation to conduct studies of fairness 
imposed by the guidelines generally will be upon users or groups of 
users with a large number of persons in a job class, or test developers; 
and that small users utilizing their own selection procedures will 
generally not be obligated to conduct such studies because it will be 
technically infeasible for them to do so.
    (a) Unfairness defined. When members of one race, sex, or ethnic 
group characteristically obtain lower scores on a selection procedure 
than members of another group, and the differences in

[[Page 147]]

scores are not reflected in differences in a measure of job performance, 
use of the selection procedure may unfairly deny opportunities to 
members of the group that obtains the lower scores.
    (b) Investigation of fairness. Where a selection procedure results 
in an adverse impact on a race, sex, or ethnic group identified in 
accordance with the classifications set forth in section 4 of this part 
and that group is a significant factor in the relevant labor market, the 
user generally should investigate the possible existence of unfairness 
for that group if it is technically feasible to do so. The greater the 
severity of the adverse impact on a group, the greater the need to 
investigate the possible existence of unfairness. Where the weight of 
evidence from other studies shows that the selection procedure predicts 
fairly for the group in question and for the same or similar jobs, such 
evidence may be relied on in connection with the selection procedure at 
issue.
    (c) General considerations in fairness investigations. Users 
conducting a study of fairness should review the A.P.A. Standards 
regarding investigation of possible bias in testing. An investigation of 
fairness of a selection procedure depends on both evidence of validity 
and the manner in which the selection procedure is to be used in a 
particular employment context. Fairness of a selection procedure cannot 
necessarily be specified in advance without investigating these factors. 
Investigation of fairness of a selection procedure in samples where the 
range of scores on selection procedures or criterion measures is 
severely restricted for any subgroup sample (as compared to other 
subgroup samples) may produce misleading evidence of unfairness. That 
factor should accordingly be taken into account in conducting such 
studies and before reliance is placed on the results.
    (d) When unfairness is shown. If unfairness is demonstrated through 
a showing that members of a particular group perform better or poorer on 
the job than their scores on the selection procedure would indicate 
through comparison with how members of other groups perform, the user 
may either revise or replace the selection instrument in accordance with 
these guidelines, or may continue to use the selection instrument 
operationally with appropriate revisions in its use to assure 
compatibility between the probability of successful job performance and 
the probability of being selected.
    (e) Technical feasibility of fairness studies. In addition to the 
general conditions needed for technical feasibility for the conduct of a 
criterion-related study (see section 16, below) an investigation of 
fairness requires the following:
    (1) An adequate sample of persons in each group available for the 
study to achieve findings of statistical significance. Guidelines do not 
require a user to hire or promote persons on the basis of group 
classifications for the purpose of making it possible to conduct a study 
of fairness; but the user has the obligation otherwise to comply with 
these guidelines.
    (2) The samples for each group should be comparable in terms of the 
actual job they perform, length of time on the job where time on the job 
is likely to affect performance, and other relevant factors likely to 
affect validity differences; or such factors should be included in the 
design of the study and their effects identified.
    (f) Continued use of selection procedures when fairness studies not 
feasible. If a study of fairness should otherwise be performed, but is 
not technically feasible, a selection procedure may be used which has 
otherwise met the validity standards of these guidelines, unless the 
technical infeasibility resulted from discriminatory employment 
practices which are demonstrated by facts other than past failure to 
conform with requirements for validation of selection procedures. 
However, when it becomes technically feasible for the user to perform a 
study of fairness and such a study is otherwise called for, the user 
should conduct the study of fairness.
    C. Technical standards for content validity studies--(1) 
Appropriateness of content validity studies. Users choosing to validate 
a selection procedure by a content validity strategy should determine 
whether it is appropriate to conduct such a study in the particular 
employment context. A selection procedure can be supported by a content 
validity strategy to the extent that it is

[[Page 148]]

a representative sample of the content of the job. Selection procedures 
which purport to measure knowledges, skills, or abilities may in certain 
circumstances be justified by content validity, although they may not be 
representative samples, if the knowledge, skill, or ability measured by 
the selection procedure can be operationally defined as provided in 
paragraph 14C(4) of this section, and if that knowledge, skill, or 
ability is a necessary prerequisite to successful job performance.

A selection procedure based upon inferences about mental processes 
cannot be supported solely or primarily on the basis of content 
validity. Thus, a content strategy is not appropriate for demonstrating 
the validity of selection procedures which purport to measure traits or 
constructs, such as intelligence, aptitude, personality, commonsense, 
judgment, leadership, and spatial ability. Content validity is also not 
an appropriate strategy when the selection procedure involves 
knowledges, skills, or abilities which an employee will be expected to 
learn on the job.
    (2) Job analysis for content validity. There should be a job 
analysis which includes an analysis of the important work behavior(s) 
required for successful performance and their relative importance and, 
if the behavior results in work product(s), an analysis of the work 
product(s). Any job analysis should focus on the work behavior(s) and 
the tasks associated with them. If work behavior(s) are not observable, 
the job analysis should identify and analyze those aspects of the 
behavior(s) that can be observed and the observed work products. The 
work behavior(s) selected for measurement should be critical work 
behavior(s) and/or important work behavior(s) constituting most of the 
job.
    (3) Development of selection procedures. A selection procedure 
designed to measure the work behavior may be developed specifically from 
the job and job analysis in question, or may have been previously 
developed by the user, or by other users or by a test publisher.
    (4) Standards for demonstrating content validity. To demonstrate the 
content validity of a selection procedure, a user should show that the 
behavior(s) demonstrated in the selection procedure are a representative 
sample of the behavior(s) of the job in question or that the selection 
procedure provides a representative sample of the work product of the 
job. In the case of a selection procedure measuring a knowledge, skill, 
or ability, the knowledge, skill, or ability being measured should be 
operationally defined. In the case of a selection procedure measuring a 
knowledge, the knowledge being measured should be operationally defined 
as that body of learned information which is used in and is a necessary 
prerequisite for observable aspects of work behavior of the job. In the 
case of skills or abilities, the skill or ability being measured should 
be operationally defined in terms of observable aspects of work behavior 
of the job. For any selection procedure measuring a knowledge, skill, or 
ability the user should show that (a) the selection procedure measures 
and is a representative sample of that knowledge, skill, or ability; and 
(b) that knowledge, skill, or ability is used in and is a necessary 
prerequisite to performance of critical or important work behavior(s). 
In addition, to be content valid, a selection procedure measuring a 
skill or ability should either closely approximate an observable work 
behavior, or its product should closely approximate an observable work 
product. If a test purports to sample a work behavior or to provide a 
sample of a work product, the manner and setting of the selection 
procedure and its level and complexity should closely approximate the 
work situation. The closer the content and the context of the selection 
procedure are to work samples or work behaviors, the stronger is the 
basis for showing content validity. As the content of the selection 
procedure less resembles a work behavior, or the setting and manner of 
the administration of the selection procedure less resemble the work 
situation, or the result less resembles a work product, the less likely 
the selection procedure is to be content valid, and the greater the need 
for other evidence of validity.
    (5) Reliability. The reliability of selection procedures justified 
on the basis of content validity should be a matter of

[[Page 149]]

concern to the user. Whenever it is feasible, appropriate statistical 
estimates should be made of the reliability of the selection procedure.
    (6) Prior training or experience. A requirement for or evaluation of 
specific prior training or experience based on content validity, 
including a specification of level or amount of training or experience, 
should be justified on the basis of the relationship between the content 
of the training or experience and the content of the job for which the 
training or experience is to be required or evaluated. The critical 
consideration is the resemblance between the specific behaviors, 
products, knowledges, skills, or abilities in the experience or training 
and the specific behaviors, products, knowledges, skills, or abilities 
required on the job, whether or not there is close resemblance between 
the experience or training as a whole and the job as a whole.
    (7) Content validity of training success. Where a measure of success 
in a training program is used as a selection procedure and the content 
of a training program is justified on the basis of content validity, the 
use should be justified on the relationship between the content of the 
training program and the content of the job.
    (8) Operational use. A selection procedure which is supported on the 
basis of content validity may be used for a job if it represents a 
critical work behavior (i.e., a behavior which is necessary for 
performance of the job) or work behaviors which constitute most of the 
important parts of the job.
    (9) Ranking based on content validity studies. If a user can show, 
by a job analysis or otherwise, that a higher score on a content valid 
selection procedure is likely to result in better job performance, the 
results may be used to rank persons who score above minimum levels. 
Where a selection procedure supported solely or primarily by content 
validity is used to rank job candidates, the selection procedure should 
measure those aspects of performance which differentiate among levels of 
job performance.
    D. Technical standards for construct validity studies--(1) 
Appropriateness of construct validity studies. Construct validity is a 
more complex strategy than either criterion-related or content validity. 
Construct validation is a relatively new and developing procedure in the 
employment field, and there is at present a lack of substantial 
literature extending the concept to employment practices. The user 
should be aware that the effort to obtain sufficient empirical support 
for construct validity is both an extensive and arduous effort involving 
a series of research studies, which include criterion related validity 
studies and which may include content validity studies. Users choosing 
to justify use of a selection procedure by this strategy should 
therefore take particular care to assure that the validity study meets 
the standards set forth below.
    (2) Job analysis for construct validity studies. There should be a 
job analysis. This job analysis should show the work behavior(s) 
required for successful performance of the job, or the groups of jobs 
being studied, the critical or important work behavior(s) in the job or 
group of jobs being studied, and an identification of the construct(s) 
believed to underlie successful performance of these critical or 
important work behaviors in the job or jobs in question. Each construct 
should be named and defined, so as to distinguish it from other 
constructs. If a group of jobs is being studied the jobs should have in 
common one or more critical or important work behav- iors at a 
comparable level of complexity.
    (3) Relationship to the job. A selection procedure should then be 
identified or developed which measures the construct identified in 
accord with subparagraph (2) of this section. The user should show by 
empirical evidence that the selection procedure is validly related to 
the construct and that the construct is validly related to the 
performance of critical or important work behavior(s). The relationship 
between the construct as measured by the selection procedure and the 
related work behavior(s) should be supported by empirical evidence from 
one or more criterion-related studies involving the job or jobs in 
question which satisfy the provisions of paragraph 14B of this section.
    (4) Use of construct validity study without new criterion-related 
evidence--(a)

[[Page 150]]

Standards for use. Until such time as professional literature provides 
more guidance on the use of construct validity in employment situations, 
the Federal agencies will accept a claim of construct validity without a 
criterion-related study which satisfies paragraph 14B of this section 
only when the selection procedure has been used elsewhere in a situation 
in which a criterion-related study has been conducted and the use of a 
criterion-related validity study in this context meets the standards for 
transportability of criterion-related validity studies as set forth 
above in section 7. However, if a study pertains to a number of jobs 
having common critical or important work behaviors at a comparable level 
of complexity, and the evidence satisfies subparagraphs 14B (2) and (3) 
of this section for those jobs with criterion-related validity evidence 
for those jobs, the selection procedure may be used for all the jobs to 
which the study pertains. If construct validity is to be generalized to 
other jobs or groups of jobs not in the group studied, the Federal 
enforcement agencies will expect at a minimum additional empirical 
research evidence meeting the standards of subparagraphs section 14B (2) 
and (3) of this section for the additional jobs or groups of jobs.
    (b) Determination of common work behaviors. In determining whether 
two or more jobs have one or more work behavior(s) in common, the user 
should compare the observed work behavior(s) in each of the jobs and 
should compare the observed work product(s) in each of the jobs. If 
neither the observed work behavior(s) in each of the jobs nor the 
observed work product(s) in each of the jobs are the same, the Federal 
enforcement agencies will presume that the work behavior(s) in each job 
are different. If the work behaviors are not observable, then evidence 
of similarity of work products and any other relevant research evidence 
will be considered in determining whether the work behavior(s) in the 
two jobs are the same.

              Documentation of Impact and Validity Evidence



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

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

These records should be maintained for each race or national origin 
group (see section 4 of this part) constituting more than two percent 
(2%) of the labor force in the relevant labor area. However, it is not 
necessary to maintain records by race and/or national origin (see 
section 4 of this part) if one race or national origin group in the 
relevant labor area constitutes more than ninety-eight percent (98%) of 
the labor force in the area. If the user has reason to believe that a 
selection procedure has an adverse impact, the user should maintain any 
available evidence of validity for that procedure (see sections 7A and 
8).
    (2) Information on impact--(a) Collection of information on impact. 
Users of selection procedures other than those complying with section 
15A(1) of this

[[Page 151]]

part should maintain and have available for each job records or other 
information showing whether the total selection process for that job has 
an adverse impact on any of the groups for which records are called for 
by section 4B of this part. Adverse impact determinations should be made 
at least annually for each such group which constitutes at least 2 
percent of the labor force in the relevant labor area or 2 percent of 
the applicable workforce. Where a total selection process for a job has 
an adverse impact, the user should maintain and have available records 
or other information showing which components have an adverse impact. 
Where the total selection process for a job does not have an adverse 
impact, information need not be maintained for individual components 
except in circumstances set forth in subsection 15A(2)(b) of this 
section. If the determination of adverse impact is made using a 
procedure other than the ``four-fifths rule,'' as defined in the first 
sentence of section 4D of this part, a justification, consistent with 
section 4D of this part, for the procedure used to determine adverse 
impact should be available.
    (b) When adverse impact has been eliminated in the total selection 
process. Whenever the total selection process for a particular job has 
had an adverse impact, as defined in section 4 of this part, in any 
year, but no longer has an adverse impact, the user should maintain and 
have available the information on individual components of the selection 
process required in the preceding paragraph for the period in which 
there was adverse impact. In addition, the user should continue to 
collect such information for at least two (2) years after the adverse 
impact has been eliminated.
    (c) When data insufficient to determine impact. Where there has been 
an insufficient number of selections to determine whether there is an 
adverse impact of the total selection process for a particular job, the 
user should continue to collect, maintain and have available the 
information on individual components of the selection process required 
in paragraph 15(A)(2)(a) of this part until the information is 
sufficient to determine that the overall selection process does not have 
an adverse impact as defined in section 4 of this part, or until the job 
has changed substantially.
    (3) Documentation of validity evidence--(a) Types of evidence. Where 
a total selection process has an adverse impact (see section 4 of this 
part) the user should maintain and have available for each component of 
that process which has an adverse impact, one or more of the following 
types of documentation evidence:
    (i) Documentation evidence showing criterion-related validity of the 
selection procedure (see section 15B, of this section).
    (ii) Documentation evidence showing content validity of the 
selection procedure (see section 15C, of this section).
    (iii) Documentation evidence showing construct validity of the 
selection procedure (see section 15D, of this section).
    (iv) Documentation evidence from other studies showing validity of 
the selection procedure in the user's facility (see section 15E, of this 
section).
    (v) Documentation evidence showing why a validity study cannot or 
need not be performed and why continued use of the procedure is 
consistent with Federal law.
    (b) Form of report. This evidence should be compiled in a reasonably 
complete and organized manner to permit direct evaluation of the 
validity of the selection procedure. Previously written employer or 
consultant reports of validity, or reports describing validity studies 
completed before the issuance of these guidelines are acceptable if they 
are complete in regard to the documentation requirements contained in 
this section, or if they satisfied requirements of guidelines which were 
in effect when the validity study was completed. If they are not 
complete, the required additional documentation should be appended. If 
necessary information is not available the report of the validity study 
may still be used as documentation, but its adequacy will be evaluated 
in terms of compliance with the requirements of these guidelines.
    (c) Completeness. In the event that evidence of validity is reviewed 
by an

[[Page 152]]

enforcement agency, the validation reports completed after the effective 
date of these guidelines are expected to contain the information set 
forth below. Evidence denoted by use of the word ``(Essential)'' is 
considered critical. If information denoted essential is not included, 
the report will be considered incomplete unless the user affirmatively 
demonstrates either its unavailability due to circumstances beyond the 
user's control or special circumstances of the user's study which make 
the information irrelevant. Evidence not so denoted is desirable but its 
absence will not be a basis for considering a report incomplete. The 
user should maintain and have available the information called for under 
the heading ``Source Data'' in sections 15B(11) and 15D(11). While it is 
a necessary part of the study, it need not be submitted with the report. 
All statistical results should be organized and presented in tabular or 
graphic form to the extent feasible.
    B. Criterion-related validity studies. Reports of criterion-related 
validity for a selection procedure should include the following 
information:
    (1) User(s), location(s), and date(s) of study. Dates and 
location(s) of the job analysis or review of job information, the 
date(s) and location(s) of the administration of the selection 
procedures and collection of criterion data, and the time between 
collection of data on selection procedures and criterion measures should 
be provided (Essential). If the study was conducted at several 
locations, the address of each location, including city and State, 
should be shown.
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Job analysis or review of job information. A description of the 
procedure used to analyze the job or group of jobs, or to review the job 
information should be provided (Essential). Where a review of job 
information results in criteria which may be used without a full job 
analysis (see section 14B(3)), the basis for the selection of these 
criteria should be reported (Essential). Where a job analysis is 
required a complete description of the work behavior(s) or work 
outcome(s), and measures of their criticality or importance should be 
provided (Essential). The report should describe the basis on which the 
behavior(s) or outcome(s) were determined to be critical or important, 
such as the proportion of time spent on the respective behaviors, their 
level of difficulty, their frequency of performance, the consequences of 
error, or other appropriate factors (Essential). Where two or more jobs 
are grouped for a validity study, the information called for in this 
subsection should be provided for each of the jobs, and the 
justification for the grouping (see section 14B(1)) should be provided 
(essential).
    (4) Job titles and codes. It is desirable to provide the user's job 
title(s) for the job(s) in question and the corresponding job title(s) 
and code(s) from U.S. Employment Service's Dictionary of Occupational 
Titles.
    (5) Criterion measures. The bases for the selection of the criterion 
measures should be provided, together with references to the evidence 
considered in making the selection of criterion measures (essential). A 
full description of all criteria on which data were collected and means 
by which they were observed, recorded, evaluated, and quantified, should 
be provided (essential). If rating techniques are used as criterion 
measures, the appraisal form(s) and instructions to the rater(s) should 
be included as part of the validation evidence, or should be explicitly 
described and available (essential). All steps taken to insure that 
criterion measures are free from factors which would unfairly alter the 
scores of members of any group should be described (essential).
    (6) Sample description. A description of how the research sample was 
identified and selected should be included (essential). The race, sex, 
and ethnic composition of the sample, including those groups set forth 
in section 4A of this part, should be described (essential). This 
description should include the size of each subgroup (essential). A 
description of how the research sample compares with the relevant labor 
market or work force, the method by which the

[[Page 153]]

relevant labor market or work force was defined, and a discussion of the 
likely effects on validity of differences between the sample and the 
relevant labor market or work force, are also desirable. Descriptions of 
educational levels, length of service, and age are also desirable.
    (7) Description of selection procedures. Any measure, combination of 
measures, or procedure studied should be completely and explicitly 
described or attached (essential). If commercially available selection 
procedures are studied, they should be described by title, form, and 
publisher (essential). Reports of reliability estimates and how they 
were established are desirable.
    (8) Techniques and results. Methods used in analyzing data should be 
described (essential). Measures of central tendency (e.g., means) and 
measures of dispersion (e.g., standard deviations and ranges) for all 
selection procedures and all criteria should be reported for each race, 
sex, and ethnic group which constitutes a significant factor in the 
relevant labor market (essential). The magnitude and direction of all 
relationships between selection procedures and criterion measures 
investigated should be reported for each relevant race, sex, and ethnic 
group and for the total group (essential). Where groups are too small to 
obtain reliable evidence of the magnitude of the relationship, need not 
be reported separately. Statements regarding the statistical 
significance of results should be made (essential). Any statistical 
adjustments, such as for less then perfect reliability or for 
restriction of score range in the selection procedure or criterion 
should be described and explained; and uncorrected correlation 
coefficients should also be shown (essential). Where the statistical 
technique categorizes continuous data, such as biserial correlation and 
the phi coefficient, the categories and the bases on which they were 
determined should be described and explained (essential). Studies of 
test fairness should be included where called for by the requirements of 
section 14B(8) (essential). These studies should include the rationale 
by which a selection procedure was determined to be fair to the group(s) 
in question. Where test fairness or unfairness has been demonstrated on 
the basis of other studies, a bibliography of the relevant studies 
should be included (essential). If the bibliography includes unpublished 
studies, copies of these studies, or adequate abstracts or summaries, 
should be attached (essential). Where revisions have been made in a 
selection procedure to assure compatability between successful job 
performance and the probability of being selected, the studies 
underlying such revisions should be included (essential). All 
statistical results should be organized and presented by relevant race, 
sex, and ethnic group (essential).
    (9) Alternative procedures investigated. The selection procedures 
investigated and available evidence of their impact should be identified 
(essential). The scope, method, and findings of the investigation, and 
the conclusions reached in light of the findings, should be fully 
described (essential).
    (10) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential). 
This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If weights are assigned to different parts of the 
selection procedure, these weights and the validity of the weighted 
composite should be reported (essential). If the selection procedure is 
used with a cutoff score, the user should describe the way in which 
normal expectations of proficiency within the work force were determined 
and the way in which the cutoff score was determined (essential).
    (11) Source data. Each user should maintain records showing all 
pertinent information about individual sample members and raters where 
they are used, in studies involving the validation of selection 
procedures. These records should be made available upon request of a 
compliance agency. In the

[[Page 154]]

case of individual sample members these data should include scores on 
the selection procedure(s), scores on criterion measures, age, sex, 
race, or ethnic group status, and experience on the specific job on 
which the validation study was conducted, and may also include such 
things as education, training, and prior job experience, but should not 
include names and social security numbers. Records should be maintained 
which show the ratings given to each sample member by each rater.
    (12) Contact person. The name, mailing address, and telephone number 
of the person who may be contacted for further information about the 
validity study should be provided (essential).
    (13) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    C. Content validity studies. Reports of content validity for a 
selection procedure should include the following information:
    (1) User(s), location(s) and date(s) of study. Dates and location(s) 
of the job analysis should be shown (essential).
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Job analysis--Content of the job. A description of the method 
used to analyze the job should be provided (essential). The work 
behavior(s), the associated tasks, and, if the behavior results in a 
work product, the work products should be completely described 
(essential). Measures of criticality and/or importance of the work 
behavior(s) and the method of determining these measures should be 
provided (essential). Where the job analysis also identified the 
knowledges, skills, and abilities used in work behavior(s), an 
operational definition for each knowledge in terms of a body of learned 
information and for each skill and ability in terms of observable 
behaviors and outcomes, and the relationship between each knowledge, 
skill, or ability and each work behavior, as well as the method used to 
determine this relationship, should be provided (essential). The work 
situation should be described, including the setting in which work 
behavior(s) are performed, and where appropriate, the manner in which 
knowledges, skills, or abilities are used, and the complexity and 
difficulty of the knowledge, skill, or ability as used in the work 
behavior(s).
    (4) Selection procedure and its content. Selection procedures, 
including those constructed by or for the user, specific training 
requirements, composites of selection procedures, and any other 
procedure supported by content validity, should be completely and 
explicitly described or attached (essential). If commercially available 
selection procedures are used, they should be described by title, form, 
and publisher (essential). The behaviors measured or sampled by the 
selection procedure should be explicitly described (essential). Where 
the selection procedure purports to measure a knowledge, skill, or 
ability, evidence that the selection procedure measures and is a 
representative sample of the knowledge, skill, or ability should be 
provided (essential).
    (5) Relationship between the selection procedure and the job. The 
evidence demonstrating that the selection procedure is a representative 
work sample, a representative sample of the work behavior(s), or a 
representative sample of a knowledge, skill, or ability as used as a 
part of a work behavior and necessary for that behavior should be 
provided (essential). The user should identify the work behavior(s) 
which each item or part of the selection procedure is intended to sample 
or measure (essential). Where the selection procedure purports to sample 
a work behavior or to provide a sample of a work product, a comparison 
should be provided of the manner, setting, and the level of complexity 
of the selection procedure with those of the work situation (essential). 
If any steps were taken to reduce adverse impact on a race, sex, or 
ethnic group in the content of the procedure or in its administration, 
these steps should be described. Establishment of time limits, if any, 
and how these limits are related to the speed with which duties must be 
performed on the job,

[[Page 155]]

should be explained. Measures of central tendency (e.g., means) and 
measures of dispersion (e.g., standard deviations) and estimates of 
realibility should be reported for all selection procedures if 
available. Such reports should be made for relevant race, sex, and 
ethnic subgroups, at least on a statistically reliable sample basis.
    (6) Alternative procedures investigated. The alternative selection 
procedures investigated and available evidence of their impact should be 
identified (essential). The scope, method, and findings of the 
investigation, and the conclusions reached in light of the findings, 
should be fully described (essential).
    (7) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential). 
This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If the selection procedure is used with a cutoff 
score, the user should describe the way in which normal expectations of 
proficiency within the work force were determined and the way in which 
the cutoff score was determined (essential). In addition, if the 
selection procedure is to be used for ranking, the user should specify 
the evidence showing that a higher score on the selection procedure is 
likely to result in better job performance.
    (8) Contact person. The name, mailing address, and telephone number 
of the person who may be contacted for further information about the 
validity study should be provided (essential).
    (9) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    D. Construct validity studies. Reports of construct validity for a 
selection procedure should include the following information:
    (1) User(s), location(s), and date(s) of study. Date(s) and 
location(s) of the job analysis and the gathering of other evidence 
called for by these guidelines should be provided (essential).
    (2) Problem and setting. An explicit definition of the purpose(s) of 
the study and the circumstances in which the study was conducted should 
be provided. A description of existing selection procedures and cutoff 
scores, if any, should be provided.
    (3) Construct definition. A clear definition of the construct(s) 
which are believed to underlie successful performance of the critical or 
important work behavior(s) should be provided (essential). This 
definition should include the levels of construct performance relevant 
to the job(s) for which the selection procedure is to be used 
(essential). There should be a summary of the position of the construct 
in the psychological literature, or in the absence of such a position, a 
description of the way in which the definition and measurement of the 
construct was developed and the psychological theory underlying it 
(essential). Any quantitative data which identify or define the job 
constructs, such as factor analyses, should be provided (essential).
    (4) Job analysis. A description of the method used to analyze the 
job should be provided (essential). A complete description of the work 
behavior(s) and, to the extent appropriate, work outcomes and measures 
of their criticality and/or importance should be provided (essential). 
The report should also describe the basis on which the behavior(s) or 
outcomes were determined to be important, such as their level of 
difficulty, their frequency of performance, the consequences of error or 
other appropriate factors (essential). Where jobs are grouped or 
compared for the purposes of generalizing validity evidence, the work 
behavior(s) and work product(s) for each of the jobs should be 
described, and conclusions concerning the similarity of the jobs in 
terms of observable work behaviors or work products should be made 
(essential).
    (5) Job titles and codes. It is desirable to provide the selection 
procedure user's job title(s) for the job(s) in question and the 
corresponding job title(s)

[[Page 156]]

and code(s) from the United States Employment Service's dictionary of 
occupational titles.
    (6) Selection procedure. The selection procedure used as a measure 
of the construct should be completely and explicitly described or 
attached (essential). If commercially available selection procedures are 
used, they should be identified by title, form and publisher 
(essential). The research evidence of the relationship between the 
selection procedure and the construct, such as factor structure, should 
be included (essential). Measures of central tendency, variability and 
reliability of the selection procedure should be provided (essential). 
Whenever feasible, these measures should be provided separately for each 
relevant race, sex and ethnic group.
    (7) Relationship to job performance. The criterion-related 
study(ies) and other empirical evidence of the relationship between the 
construct measured by the selection procedure and the related work 
behavior(s) for the job or jobs in question should be provided 
(essential). Documentation of the criterion-related study(ies) should 
satisfy the provisions of paragraph 15B of this section or paragraph 
15E(1) of this section, except for studies conducted prior to the 
effective date of these guidelines (essential). Where a study pertains 
to a group of jobs, and, on the basis of the study, validity is asserted 
for a job in the group, the observed work behaviors and the observed 
work products for each of the jobs should be described (essential). Any 
other evidence used in determining whether the work behavior(s) in each 
of the jobs is the same should be fully described (essential).
    (8) Alternative procedures investigated. The alternative selection 
procedures investigated and available evidence of their impact should be 
identified (essential). The scope, method, and findings of the 
investigation, and the conclusions reached in light of the findings 
should be fully described (essential).
    (9) Uses and applications. The methods considered for use of the 
selection procedure (e.g., as a screening device with a cutoff score, 
for grouping or ranking, or combined with other procedures in a battery) 
and available evidence of their impact should be described (essential). 
This description should include the rationale for choosing the method 
for operational use, and the evidence of the validity and utility of the 
procedure as it is to be used (essential). The purpose for which the 
procedure is to be used (e.g., hiring, transfer, promotion) should be 
described (essential). If weights are assigned to different parts of the 
selection procedure, these weights and the validity of the weighted 
composite should be reported (essential). If the selection procedure is 
used with a cutoff score, the user should describe the way in which 
normal expectations of proficiency within the work force were determined 
and the way in which the cutoff score was determined (essential).
    (10) Accuracy and completeness. The report should describe the steps 
taken to assure the accuracy and completeness of the collection, 
analysis, and report of data and results.
    (11) Source data. Each user should maintain records showing all 
pertinent information relating to its study of construct validity.
    (12) Contact person. The name, mailing address, and telephone number 
of the individual who may be contacted for further information about the 
validity study should be provided (essential).
    E. Evidence of validity from other studies. When validity of a 
selection procedure is supported by studies not done by the user, the 
evidence from the original study or studies should be compiled in a 
manner similar to that required in the appropriate paragraph of this 
section 15 above. In addition, the following evidence should be 
supplied:
    (1) Evidence from criterion-related validity studies--a. Job 
information. A description of the important job behavior(s) of the 
user's job and the basis on which the behaviors were determined to be 
important should be provided (essential). A full description of the 
basis for determining that these important work behaviors are the same 
as those of the job in the original study (or studies) should be 
provided (essential).
    b. Relevance of criteria. A full description of the basis on which 
the criteria

[[Page 157]]

used in the original studies are determined to be relevant for the user 
should be provided (essential).
    c. Other variables. The similarity of important applicant pool or 
sample characteristics reported in the original studies to those of the 
user should be described (essential). A description of the comparison 
between the race, sex and ethnic composition of the user's relevant 
labor market and the sample in the original validity studies should be 
provided (essential).
    d. Use of the selection procedure. A full description should be 
provided showing that the use to be made of the selection procedure is 
consistent with the findings of the original validity studies 
(essential).
    e. Bibliography. A bibliography of reports of validity of the 
selection procedure for the job or jobs in question should be provided 
(essential). Where any of the studies included an investigation of test 
fairness, the results of this investigation should be provided 
(essential). Copies of reports published in journals that are not 
commonly available should be described in detail or attached 
(essential). Where a user is relying upon unpublished studies, a 
reasonable effort should be made to obtain these studies. If these 
unpublished studies are the sole source of validity evidence they should 
be described in detail or attached (essential). If these studies are not 
available, the name and address of the source, an adequate abstract or 
summary of the validity study and data, and a contact person in the 
source organization should be provided (essential).
    (2) Evidence from content validity studies. See sections 14C(3) and 
section 15C of this section.
    (3) Evidence from construct validity studies. See sections 14D(2) 
and 15D of this section.
    F. Evidence of validity from cooperative studies. Where a selection 
procedure has been validated through a cooperative study, evidence that 
the study satisfies the requirements of sections 7, 8 and 15E should be 
provided (essential).
    G. Selection for higher level job. If a selection procedure is used 
to evaluate candidates for jobs at a higher level than those for which 
they will initially be employed, the validity evidence should satisfy 
the documentation provisions of this section 15 for the higher level job 
or jobs, and in addition, the user should provide: (1) a description of 
the job progression structure, formal or informal; (2) the data showing 
how many employees progress to the higher level job and the length of 
time needed to make this progression; and (3) an identification of any 
anticipated changes in the higher level job. In addition, if the test 
measures a knowledge, skill or ability, the user should provide evidence 
that the knowledge, skill or ability is required for the higher level 
job and the basis for the conclusion that the knowledge, skill or 
ability is not expected to develop from the training or experience on 
the job.
    H. Interim use of selection procedures. If a selection procedure is 
being used on an interim basis because the procedure is not fully 
supported by the required evidence of validity, the user should maintain 
and have available (1) substantial evidence of validity for the 
procedure, and (2) a report showing the date on which the study to 
gather the additional evidence commenced, the estimated completion date 
of the study, and a description of the data to be collected (essential).

                               Definitions



Sec.  60-3.16  Definitions.

    The following definitions shall apply throughout these guidelines:
    A. Ability. A present competence to perform an observable behavior 
or a behavior which results in an observable product.
    B. Adverse impact. A substantially different rate of selection in 
hiring, promotion, or other employment decision which works to the 
disadvantage of members of a race, sex, or ethnic group. See section 4 
of these guidelines.
    C. Compliance with these guidelines. Use of a selection procedure is 
in compliance with these guidelines if such use has been validated in 
accord with these guidelines (as defined below), or if such use does not 
result in adverse impact on any race, sex, or ethnic group (see section 
4, of this part), or, in unusual circumstances, if use of the

[[Page 158]]

procedure is otherwise justified in accord with Federal law. See section 
6B, of this part.
    D. Content validity. Demonstrated by data showing that the content 
of a selection procedure is representative of important aspects of 
performance on the job. See section 5B and section 14C.
    E. Construct validity. Demonstrated by data showing that the 
selection procedure measures the degree to which candidates have 
identifiable characteristics which have been determined to be important 
for successful job performance. See section 5B and section 14D.
    F. Criterion-related validity. Demonstrated by empirical data 
showing that the selection procedure is predictive of or significantly 
correlated with important elements of work behavior. See sections 5B and 
14B.
    G. Employer. Any employer subject to the provisions of the Civil 
Rights Act of 1964, as amended, including State or local governments and 
any Federal agency subject to the provisions of section 717 of the Civil 
Rights Act of 1964, as amended, and any Federal contractor or 
subcontractor or federally assisted construction contractor or 
subcontactor covered by Executive Order 11246, as amended.
    H. Employment agency. Any employment agency subject to the 
provisions of the Civil Rights Act of 1964, as amended.
    I. Enforcement action. For the purposes of section 4 a proceeding by 
a Federal enforcement agency such as a lawsuit or an administrative 
proceeding leading to debarment from or withholding, suspension, or 
termination of Federal Government contracts or the suspension or 
withholding of Federal Government funds; but not a finding of reasonable 
cause or a concil- ation process or the issuance of right to sue letters 
under title VII or under Executive Order 11246 where such finding, 
conciliation, or issuance of notice of right to sue is based upon an 
individual complaint.
    J. Enforcement agency. Any agency of the executive branch of the 
Federal Government which adopts these guidelines for purposes of the 
enforcement of the equal employment opportunity laws or which has 
responsibility for securing compliance with them.
    K. Job analysis. A detailed statement of work behaviors and other 
information relevant to the job.
    L. Job description. A general statement of job duties and 
responsibilities.
    M. Knowledge. A body of information applied directly to the 
performance of a function.
    N. Labor organization. Any labor organization subject to the 
provisions of the Civil Rights Act of 1964, as amended, and any 
committee subject thereto controlling apprenticeship or other training.
    O. Observable. Able to be seen, heard, or otherwise perceived by a 
person other than the person performing the action.
    P. Race, sex, or ethnic group. Any group of persons identifiable on 
the grounds of race, color, religion, sex, or national origin.
    Q. Selection procedure. Any measure, combination of measures, or 
procedure used as a basis for any employment decision. Selection 
procedures include the full range of assessment techniques from 
traditional paper and pencil tests, performance tests, training 
programs, or probationary periods and physical, educational, and work 
experience requirements through informal or casual interviews and 
unscored application forms.
    R. Selection rate. The proportion of applicants or candidates who 
are hired, promoted, or otherwise selected.
    S. Should. The term ``should'' as used in these guidelines is 
intended to connote action which is necessary to achieve compliance with 
the guidelines, while recognizing that there are circumstances where 
alternative courses of action are open to users.
    T. Skill. A present, observable competence to perform a learned 
psychomoter act.
    U. Technical feasibility. The exist- ence of conditions permitting 
the conduct of meaningful criterion-related validity studies. These 
conditions include: (1) An adequate sample of persons available for the 
study to achieve findings of statistical significance; (2) having or 
being able to obtain a sufficient range of scores on the selection

[[Page 159]]

procedure and job performance measures to produce validity results which 
can be expected to be representative of the results if the ranges 
normally expected were utilized; and (3) having or being able to devise 
unbiased, reliable and relevant measures of job performance or other 
criteria of employee adequacy. See section 14B(2). With respect to 
investigation of possible unfairness, the same considerations are 
applicable to each group for which the study is made. See section 
14B(8).
    V. Unfairness of selection procedure. A condition in which members 
of one race, sex, or ethnic group characteristically obtain lower scores 
on a selection procedure than members of another group, and the 
differences are not reflected in differences in measures of job 
performance. See section 14B(7).
    W. User. Any employer, labor organization, employment agency, or 
licensing or certification board, to the extent it may be covered by 
Federal equal employment opportunity law, which uses a selection 
procedure as a basis for any employment decision. Whenever an employer, 
labor organization, or employment agency is required by law to restrict 
recruitment for any occupation to those applicants who have met 
licensing or certification requirements, the licensing or certifying 
authority to the extent it may be covered by Federal equal employment 
opportunity law will be considered the user with respect to those 
licensing or certification requirements. Whenever a State employment 
agency or service does no more than administer or monitor a procedure as 
permitted by Department of Labor regulations, and does so without making 
referrals or taking any other action on the basis of the results, the 
State employment agency will not be deemed to be a user.
    X. Validated in accord with these guidelines or properly validated. 
A demonstration that one or more validity study or studies meeting the 
standards of these guidelines has been conducted, including 
investigation and, where appropriate, use of suitable alternative 
selection procedures as contemplated by section 3B, and has produced 
evidence of validity sufficient to warrant use of the procedure for the 
intended purpose under the standards of these guidelines.
    Y. Work behavior. An activity performed to achieve the objectives of 
the job. Work behaviors involve observable (physical) components and 
unobservable (mental) components. A work behavior consists of the 
performance of one or more tasks. Knowledges, skills, and abilities are 
not behaviors, although they may be applied in work behaviors.

                          Appendix to Part 60-3



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

    The Equal Employment Opportunity Coordinating Council was 
established by act of Congress in 1972, and charged with responsibility 
for developing and implementing agreements and policies designed, among 
other things, to eliminate conflict and inconsistency among the agencies 
of the Federal Government responsible for administering Federal law 
prohibiting discrimination on grounds of race, color, sex, religion, and 
national origin. This statement is issued as an initial response to the 
requests of a number of State and local officials for clarification of 
the Government's policies concerning the role of affirmative action in 
the overall equal employment opportunity program. While the Coordinating 
Council's adoption of this statement expresses only the views of the 
signatory agencies concerning this important subject, the principles set 
forth below should serve as policy guidance for other Federal agencies 
as well.
    (1) Equal employment opportunity is the law of the land. In the 
public sector of our society this means that all persons, regardless of 
race, color, religion, sex, or national origin shall have equal access 
to positions in the public service limited only by their ability to do 
the job. There is ample evidence in all sectors of our society that such 
equal access frequently has been denied to members of certain groups 
because of their sex, racial, or ethnic characteristics. The remedy for 
such past and present discrimination is twofold.

[[Page 160]]

    On the one hand, vigorous enforcement of the laws against 
discrimination is essential. But equally, and perhaps even more 
important are affirmative, voluntary efforts on the part of public 
employers to assure that positions in the public service are genuinely 
and equally accessible to qualified persons, without regard to their 
sex, racial, or ethnic characteristics. Without such efforts equal 
employment opportunity is no more than a wish. The importance of 
voluntary affirmative action on the part of employers is underscored by 
title VII of the Civil Rights Act of 1964, Executive Order 11246, and 
related laws and regulations--all of which emphasize voluntary action to 
achieve equal employment opportunity.
    As with most management objectives, a systematic plan based on sound 
organizational analysis and problem identification is crucial to the 
accomplishment of affirmative action objectives. For this reason, the 
Council urges all State and local governments to develop and implement 
results oriented affirmative action plans which deal with the problems 
so identified.
    The following paragraphs are intended to assist State and local 
governments by illustrating the kinds of analyses and activities which 
may be appropriate for a public employer's voluntary affirmative action 
plan. This statement does not address remedies imposed after a finding 
of unlawful discrimination.
    (2) Voluntary affirmative action to assure equal employment 
opportunity is construction of any affirmative action plan should be an 
analysis of the employer's work force to determine whether precentages 
of sex, race, or ethnic groups in individual job classifications are 
substantially similar to the precentages of those groups available in 
the relevant job market who possess the basic job-related 
qualifications.
    When substantial disparities are found through such analyses, each 
element of the overall selection process should be examined to determine 
which elements operate to exclude persons on the basis of sex, race, or 
ethnic group. Such elements include, but are not limited to, 
recruitment, testing, ranking certification, interview, recommendations 
for selection, hiring, promotion, etc. The examination of each element 
of the selection process should at a minimum include a determination of 
its validity in predicting job performance.
    (3) When an employer has reason to believe that its selection 
procedures have the exclusionary effect described in paragraph 2 of this 
section, it should initiate affirmative steps to remedy the situation. 
Such steps, which in design and execution may be race, color, sex, or 
ethnic ``conscious,'' include, but are not limited to, the following:
    (a) The establishment of a long-term goal, and short-range, interim 
goals and timetables for the specific job classifications, all of which 
should take into account the availability of basically qualified persons 
in the relevant job market;
    (b) A recruitment program designed to attract qualified members of 
the group in question;
    (c) A systematic effort to organize work and redesign jobs in ways 
that provide opportunities for persons lacking ``journeyman'' level 
knowledge or skills to enter and, with appropriate training, to progress 
in a career field;
    (d) Revamping selection instruments or procedures which have not yet 
been validated in order to reduce or eliminate exclusionary effects on 
particular groups in particular job classifications;
    (e) The initiation of measures designed to assure that members of 
the affected group who are qualified to perform the job are included 
within the pool of persons from which the selecting official makes the 
selection;
    (f) A systematic effort to provide career advancement training, both 
classroom and on-the-job, to employees locked into dead end jobs; and
    (g) The establishment of a system for regularly monitoring the 
effectiveness of the particular affirmative action program, and 
procedures for making timely adjustments in this program where 
effectiveness is not demonstrated.
    (4) The goal of any affirmative action plan should be achievement of 
genuine equal employment opportunity for all qualified persons. 
Selection under such plans should be based upon the ability

[[Page 161]]

of the applicant(s) to do the work. Such plans should not require the 
selection of the unqualified, or the unneeded, nor should they require 
the selection of persons on the basis of race, color, sex, religion, or 
national origin. Moreover, while the Council believes that this 
statement should serve to assist State and local employers, as well as 
Federal agencies, it recognizes that affirmative action cannot be viewed 
as a standardized program which must be accomplished in the same way at 
all times in all places.
    Accordingly, the Council has not attempted to set forth here either 
the minimum or maximum voluntary steps that employers may take to deal 
with their respective situations. Rather, the Council recognizes that 
under applicable authorities, State and local employers have flexibility 
to formulate affirmative action plans that are best suited to their 
particular situations. In this manner, the Council believes that 
affirmative action programs will best serve the goal of equal employment 
opportunity.
    Respectfully submitted,

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

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

Done this 26th day of August 1976.
                                                       Richard Albrecht,
                                                       General Counsel, 
                                             Department of the Treasury.



Sec.  60-3.18  Citations.

    The official title of these guidelines is ``Uniform Guidelines on 
Employee Selection Procedures (1978)''. The Uniform Guidelines on 
Employee Selection Procedures (1978) are intended to establish a uniform 
Federal position in the area of prohibiting discrimination in employment 
practices on grounds of race, color, religion, sex, or national origin. 
These guidelines have been adopted by the Equal Employment Opportunity 
Commission, the Department of Labor, the Department of Justice, and the 
Civil Service Commission.
    The official citation is:

    ``Section 60-3, Uniform Guidelines on Employee Selection Procedure 
(1978); 43 FR 38295 (August 25, 1978).''

    The short form citation is:

    ``Section 60-3, U.G.E.S.P. (1978); 43 FR 38295 (August 25, 1978).''

    When the guidelines are cited in connection with the activities of 
one of the issuing agencies, a specific citation to the regulations of 
that agency can be added at the end of the above citation. The specific 
additional citations are as follows:

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

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



PART 60	4_CONSTRUCTION CONTRACTORS_AFFIRMATIVE ACTION REQUIREMENTS--
Table of Contents



Sec.
60-4.1 Scope and application.
60-4.2 Solicitations.
60-4.3 Equal opportunity clauses.

[[Page 162]]

60-4.4 Affirmative action requirements.
60-4.5 Hometown plans.
60-4.6 Goals and timetables.
60-4.7 Effect on other regulations.
60-4.8 Show cause notice.
60-4.9 Incorporation by operation of the Order.

    Authority: Secs. 201, 202, 205, 211, 301, 302, and 303 of E.O. 
11246, as amended, 30 FR 12319; 32 FR 14303, as amended by E.O. 12086; 
and E.O. 13672, 79 FR 42971.

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



Sec.  60-4.1  Scope and application.

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

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

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



Sec.  60-4.2  Solicitations.

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

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

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

[[Page 163]]



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

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

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



Sec.  60-4.3  Equal opportunity clauses.

    (a) The equal opportunity clause published at 41 CFR 60-1.4(a) of 
this chapter is required to be included in, and is part of, all 
nonexempt Federal contracts and subcontracts, including construction 
contracts and subcontracts. The equal opportunity clause published at 41 
CFR 60-1.4(b) is required to be included in, and is a part of, all 
nonexempt federally assisted construction contracts and subcontracts. In 
addition to the clauses described above, all Federal contracting 
officers, all applicants and all nonconstruction contractors, as 
applicable, shall include the specifications set forth in this section 
in all Federal and federally assisted construction contracts in excess 
of $10,000 to be performed in geographical areas designated by the 
Director pursuant to Sec.  60-4.6 of this part and in construction 
subcontracts in excess of $10,000 necessary in whole or in part to the 
performance of nonconstruction Federal contracts and subcontracts 
covered under the Executive order.

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

    1. As used in these specifications:
    a. ``Covered area'' means the geographical area described in the 
solicitation from which this contract resulted;
    b. ``Director'' means Director, Office of Federal Contract 
Compliance Programs, United States Department of Labor, or any person to 
whom the Director delegates authority;
    c. ``Employer identification number'' means the Federal Social 
Security number used on the Employer's Quarterly Federal Tax Return, 
U.S. Treasury Department Form 941.
    d. ``Minority'' includes:
    (i) Black (all persons having origins in any of the Black African 
racial groups not of Hispanic origin);
    (ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central 
or South American or other Spanish Culture or origin, regardless of 
race);
    (iii) Asian and Pacific Islander (all persons having origins in any 
of the original peoples of the Far East, Southeast Asia, the Indian 
Subcontinent, or the Pacific Islands); and
    (iv) American Indian or Alaskan Native (all persons having origins 
in any of the original peoples of North America and maintaining 
identifiable tribal affiliations through membership and participation or 
community identification).
    2. Whenever the Contractor, or any Subcontractor at any tier, 
subcontracts a portion of the work involving any construction

[[Page 164]]

trade, it shall physically include in each subcontract in excess of 
$10,000 the provisions of these specifications and the Notice which 
contains the applicable goals for minority and female participation and 
which is set forth in the solicitations from which this contract 
resulted.
    3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in 
a Hometown Plan approved by the U.S. Department of Labor in the covered 
area either individually or through an association, its affirmative 
action obligations on all work in the Plan area (including goals and 
timetables) shall be in accordance with that Plan for those trades which 
have unions participating in the Plan. Contractors must be able to 
demonstrate their participation in and compliance with the provisions of 
any such Hometown Plan. Each Contractor or Subcontractor participating 
in an approved Plan is individually required to comply with its 
obligations under the EEO clause, and to make a good faith effort to 
achieve each goal under the Plan in each trade in which it has 
employees. The overall good faith performance by other Contractors or 
Subcontractors toward a goal in an approved Plan does not excuse any 
covered Contractor's or Subcontractor's failure to take good faith 
efforts to achieve the Plan goals and timetables.
    4. The Contractor shall implement the specific affirmative action 
standards provided in paragraphs 7 a through p of these specifications. 
The goals set forth in the solicitation from which this contract 
resulted are expressed as percentages of the total hours of employment 
and training of minority and female utilization the Contractor should 
reasonably be able to achieve in each construction trade in which it has 
employees in the covered area. Covered Construction contractors 
performing construction work in geographical areas where they do not 
have a Federal or federally assisted constuction contract shall apply 
the minority and female goals established for the geographical area 
where the work is being performed. Goals are published periodically in 
the Federal Register in notice form, and such notices may be obtained 
from any Office of Federal Contract Compliance Programs office or from 
Federal procurement contracting officers. The Contractor is expected to 
make substantially uniform progress in meeting its goals in each craft 
during the period specified.
    5. Neither the provisions of any collective bargaining agreement, 
nor the failure by a union with whom the Contractor has a collective 
bargaining agreement, to refer either minorities or women shall excuse 
the Contractor's obligations under these specifications, Executive Order 
11246, or the regulations promulgated pursuant thereto.
    6. In order for the nonworking training hours of apprentices and 
trainees to be counted in meeting the goals, such apprentices and 
trainees must be employed by the Contractor during the training period, 
and the Contractor must have made a commitment to employ the apprentices 
and trainees at the completion of their training, subject to the 
availability of employment opportunities. Trainees must be trained 
pursuant to training programs approved by the U.S. Department of Labor.
    7. The Contractor shall take specific affirmative actions to ensure 
equal employment opportunity. The evaluation of the Contractor's 
compliance with these specifications shall be based upon its effort to 
achieve maximum results from its actions. The Contractor shall document 
these efforts fully, and shall implement affirmative action steps at 
least as extensive as the following:
    a. Ensure and maintain a working environment free of harassment, 
intimidation, and coercion at all sites, and in all facilities at which 
the Contractor's employees are assigned to work. The Contractor, where 
possible, will assign two or more women to each construction project. 
The Contractor shall specifically ensure that all foremen, 
superintendents, and other on-site supervisory personnel are aware of 
and carry out the Contractor's obligation to maintain such a working 
environment, with specific attention to minority or female individuals 
working at such sites or in such facilities.
    b. Establish and maintain a current list of minority and female 
recruitment sources, provide written notification to minority and female 
recruitment sources and to community organizations when the Contractor 
or its unions have employment opportunities available, and maintain a 
record of the organizations' responses.
    c. Maintain a current file of the names, addresses and telephone 
numbers of each minority and female off-the-street applicant and 
minority or female referral from a union, a recruitment source or 
community organization and of what action was taken with respect to each 
such individual. If such individual was sent to the union hiring hall 
for referral and was not referred back to the Contractor by the union 
or, if referred, not employed by the Contractor, this shall be 
documented in the file with the reason therefor, along with whatever 
additional actions the Contractor may have taken.
    d. Provide immediate written notification to the Director when the 
union or unions with which the Contractor has a collective bargaining 
agreement has not referred to the Contractor a minority person or woman 
sent by the Contractor, or when the Contractor has other information 
that the union referral process has impeded the Contractor's efforts to 
meet its obligations.
    e. Develop on-the-job training opportunities and/or participate in 
training programs

[[Page 165]]

for the area which expressly include minorities and women, including 
upgrading programs and apprenticeship and trainee programs relevant to 
the Contractor's employment needs, especially those programs funded or 
approved by the Department of Labor. The Contractor shall provide notice 
of these programs to the sources compiled under 7b above.
    f. Disseminate the Contractor's EEO policy by providing notice of 
the policy to unions and training programs and requesting their 
cooperation in assisting the Contractor in meeting its EEO obligations; 
by including it in any policy manual and collective bargaining 
agreement; by publicizing it in the company newpaper, annual report, 
etc.; by specific review of the policy with all management personnel and 
with all minority and female employees at least once a year; and by 
posting the company EEO policy on bulletin boards accessible to all 
employees at each location where construction work is performed.
    g. Review, at least annually, the company's EEO policy and 
affirmative action obligations under these specifications with all 
employees having any responsibility for hiring, assignment, layoff, 
termination or other employment decisions including specific review of 
these items with onsite supervisory personnel such as Superintendents, 
General Foremen, etc., prior to the initiation of construction work at 
any job site. A written record shall be made and maintained identifying 
the time and place of these meetings, persons attending, subject matter 
discussed, and disposition of the subject matter.
    h. Disseminate the Contractor's EEO policy externally by including 
it in any advertising in the news media, specifically including minority 
and female news media, and providing written notification to and 
discussing the Contractor's EEO policy with other Contractors and 
Subcontractors with whom the Contractor does or anticipates doing 
business.
    i. Direct its recruitment efforts, both oral and written, to 
minority, female and community organizations, to schools with minority 
and female students and to minority and female recruitment and training 
organizations serving the Contractor's recruitment area and employment 
needs. Not later than one month prior to the date for the acceptance of 
applications for apprenticeship or other training by any recruitment 
source, the Contractor shall send written notification to organizations 
such as the above, describing the openings, screening procedures, and 
tests to be used in the selection process.
    j. Encourage present minority and female employees to recruit other 
minority persons and women and, where reasonable, provide after school, 
summer and vacation employment to minority and female youth both on the 
site and in other areas of a Contractor's work force.
    k. Validate all tests and other selection requirements where there 
is an obligation to do so under 41 CFR part 60-3.
    l. Conduct, at least annually, an inventory and evaluation at least 
of all minority and female personnel for promotional opportunities and 
encourage these employees to seek or to prepare for, through appropriate 
training, etc., such opportunities.
    m. Ensure that seniority practices, job classifications, work 
assignments and other personnel practices, do not have a discriminatory 
effect by continually monitoring all personnel and employment related 
activities to ensure that the EEO policy and the Contractor's 
obligations under these specifications are being carried out.
    n. Ensure that all facilities and company activities are 
nonsegregated except that separate or single-user toilet and necessary 
changing facilities shall be provided to assure privacy between the 
sexes.
    o. Document and maintain a record of all solicitations of offers for 
subcontracts from minority and female construction contractors and 
suppliers, including circulation of solicitations to minority and female 
contractor associations and other business associations.
    p. Conduct a review, at least annually, of all supervisors' 
adherence to and performance under the Contractor's EEO policies and 
affirmative action obligations.
    8. Contractors are encouraged to participate in voluntary 
associations which assist in fulfilling one or more of their affirmative 
action obligations (7a through p). The efforts of a contractor 
association, joint contractor-union, contractor-community, or other 
similar group of which the contractor is a member and participant, may 
be asserted as fulfilling any one or more of its obligations under 7a 
through p of these Specifications provided that the contractor actively 
participates in the group, makes every effort to assure that the group 
has a positive impact on the employment of minorities and women in the 
industry, ensures that the concrete benefits of the program are 
reflected in the Contractor's minority and female workforce 
participation, makes a good faith effort to meet its individual goals 
and timetables, and can provide access to documentation which 
demonstrates the effectiveness of actions taken on behalf of the 
Contractor. The obligation to comply, however, is the Contractor's and 
failure of such a group to fulfill an obligation shall not be a defense 
for the Contractor's noncompliance.
    9. A single goal for minorities and a separate single goal for women 
have been established. The Contractor, however, is required to provide 
equal employment opportunity and to take affirmative action for all 
minority groups, both male and female, and all

[[Page 166]]

women, both minority and non-minority. Consequently, the Contractor may 
be in violation of the Executive Order if a particular group is employed 
in a substantially disparate manner (for example, even though the 
Contractor has achieved its goals for women generally, the Contractor 
may be in violation of the Executive Order if a specific minority group 
of women is underutilized).
    10. The Contractor shall not use the goals and timetables or 
affirmative action standards to discriminate against any person because 
of race, color, religion, sex, sexual orientation, gender identity, or 
national origin.
    11. The Contractor shall not enter into any Subcontract with any 
person or firm debarred from Government contracts pursuant to Executive 
Order 11246.
    12. The Contractor shall carry out such sanctions and penalties for 
violation of these specifications and of the Equal Opportunity Clause, 
including suspension, termination and cancellation of existing 
subcontracts as may be imposed or ordered pursuant to Executive Order 
11246, as amended, and its implementing regulations, by the Office of 
Federal Contract Compliance Programs. Any Contractor who fails to carry 
out such sanctions and penalties shall be in violation of these 
specifications and Executive Order 11246, as amended.
    13. The Contractor, in fulfilling its obligations under these 
specifications, shall implement specific affirmative action steps, at 
least as extensive as those standards prescribed in paragraph 7 of these 
specifications, so as to achieve maximum results from its efforts to 
ensure equal employment opportunity. If the Contractor fails to comply 
with the requirements of the Executive Order, the implementing 
regulations, or these specifications, the Director shall proceed in 
accordance with 41 CFR 60-4.8.
    14. The Contractor shall designate a responsible official to monitor 
all employment related activity to ensure that the company EEO policy is 
being carried out, to submit reports relating to the provisions hereof 
as may be required by the Government and to keep records. Records shall 
at least include for each employee the name, address, telephone numbers, 
construction trade, union affiliation if any, employee identification 
number when assigned, social security number, race, sex, status (e.g., 
mechanic, apprentice trainee, helper, or laborer), dates of changes in 
status, hours worked per week in the indicated trade, rate of pay, and 
locations at which the work was performed. Records shall be maintained 
in an easily understandable and retrievable form; however, to the degree 
that existing records satisfy this requirement, contractors shall not be 
required to maintain separate records.
    15. Nothing herein provided shall be construed as a limitation upon 
the application of other laws which establish different standards of 
compliance or upon the application of requirements for the hiring of 
local or other area residents (e.g., those under the Public Works 
Employment Act of 1977 and the Community Development Block Grant 
Program).

    (b) The notice set forth in 41 CFR 60-4.2 and the specifications set 
forth in 41 CFR 60-4.3 replace the New Form for Federal Equal Employment 
Opportunity Bid Conditions for Federal and Federally Assisted 
Construction published at 41 FR 32482 and commonly known as the Model 
Federal EEO Bid Conditions, and the New Form shall not be used after the 
regulations in 41 CFR part 60-4 become effective.

[43 FR 49254, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978, as amended at 45 
FR 65978, Oct. 3, 1980; 79 FR 72995, Dec. 9, 2014]



Sec.  60-4.4  Affirmative action requirements.

    (a) To implement the affirmative action requirements of Executive 
Order 11246 in the construction industry, the Office of Federal Contract 
Compliance Programs previously has approved affirmative action programs 
commonly referred to as ``Hometown Plans,'' has promulgated affirmative 
action plans referred to as ``Imposed Plans'' and has approved ``Special 
Bid Conditions'' for high impact projects constructed in areas not 
covered by a Hometown or an Imposed Plan. All solicitations for 
construction contracts made after the effective date of the regulations 
in this part shall include the notice specified in Sec.  60-4.2 of this 
part and the specifications in Sec.  60-4.3 of this part in lieu of the 
Hometown and Imposed Plans including the Philadelphia Plan and Special 
Bid Conditions. Until the Director has issued an order pursuant to Sec.  
60-4.6 of this part establishing goals and timetables for minorities in 
the appropriate geographical areas or for a project covered by Special 
Bid Conditions, the goals and timetables for minorities to be inserted 
in the Notice required by 41 CFR 60-4.2 shall be the goals and 
timetables contained in the Hometown Plan, Imposed Plan or Special Bid 
Conditions presently covering the respective geographical area or 
project involved.
    (b) Signatories to a Hometown Plan (including heavy highway 
affirmative action plans) shall have 45 days from

[[Page 167]]

the effective date of the regulations in this part to submit under such 
a Plan (for the director's approval) goals and timetables for women and 
to include female representation on the Hometown Plan Administrative 
Committee. Such goals for female representation shall be at least as 
high as the goals established for female representation in the notice 
issued pursuant to 41 CFR 60-4.6. Failure of the signatories, within the 
45-day period, to include female representation and to submit goals for 
women or a new plan, as appropriate, shall result in an automatic 
termination of the Office of Federal Contract Compliance Program's 
approval of the Hometown Plan. At any time the Office of Federal 
Contract Compliance Programs terminates or withdraws its approval of a 
Hometown Plan, or when the plan expires and another plan is not 
approved, the contractors signatory to the plan shall be covered 
automatically by the specifications set forth in Sec.  60-4.3 of this 
part and by the goals and timetables established for that geographical 
area pursuant to Sec.  60-4.6 of this part.



Sec.  60-4.5  Hometown plans.

    (a) A contractor participating, either individually or through an 
association, in an approved Hometown Plan (including heavy highway 
affirmative action plans) shall comply with its affirmative action 
obligations under Executive Order 11246 by complying with its 
obligations under the plan: Provided, That each contractor or 
subcontractor participating in an approved plan is individually required 
to comply with the equal opportunity clause set forth in 41 CFR 60-1.4; 
to make a good faith effort to achieve the goals for each trade 
participating in the plan in which it has employees; and that the 
overall good performance by other contractors or subcontractors toward a 
goal in an approved plan does not excuse any covered contractor's or 
subcontractor's failure to take good faith efforts to achieve the plan's 
goals and timetables. If a contractor is not participating in an 
approved Hometown Plan it shall comply with the specifications set forth 
in Sec.  60-4.3 of this part and with the goals and timetables for the 
appropriate area as listed in the notice required by 41 CFR 60-4.2 with 
regard to that trade. For the purposes of this part 60-4, a contractor 
is not participating in a Hometown Plan for a particular trade if it:
    (1) Ceases to be signatory to a Hometown Plan covering that trade;
    (2) Is signatory to a Hometown Plan for that trade but is not party 
to a collective bargaining agreement for that trade;
    (3) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with labor organizations which are not 
or cease to be signatories to the same Hometown Plan for that trade;
    (4) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with a labor organization for that trade 
but the two have not jointly executed a specific commitment to minority 
and female goals and timetables and incorporated the commitment in the 
Hometown Plan for that trade;
    (5) Is participating in a Hometown Plan for that trade which is no 
longer acceptable to the Office of Federal Contract Compliance Programs;
    (6) Is signatory to a Hometown Plan for that trade but is party to a 
collective bargaining agreement with a labor organization for that trade 
and the labor organization and the contractor have failed to make a good 
faith effort to comply with their obligations under the Hometown Plan 
for that trade.
    (b) Contractors participating in Hometown Plans must be able to 
demonstrate their participation and document their compliance with the 
provision of the Hometown Plan.

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



Sec.  60-4.6  Goals and timetables.

    The Director, from time to time, shall issue goals and timetables 
for minority and female utilization which shall be based on appropriate 
workforce, demographic or other relevant data and which shall cover 
construction projects or construction contracts performed in specific 
geographical areas. The goals, which shall be applicable to each 
construction trade in a covered contractor's or subcontractor's entire 
workforce which is working in

[[Page 168]]

the area covered by the goals and timetables, shall be published as 
notices in the Federal Register, and shall be inserted by the 
contracting officers and applicants, as applicable, in the Notice 
required by 41 CFR 60-4.2. Covered construction contractors performing 
construction work in geographical areas where they do not have a Federal 
or federally assisted construction contract shall apply the minority and 
female goals established for the geographical area where the work is 
being performed.

[45 FR 65978, Oct. 3, 1980]



Sec.  60-4.7  Effect on other regulations.

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



Sec.  60-4.8  Show cause notice.

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

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



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

    By operation of the order, the equal opportunity clause contained in 
Sec.  60-1.4, the Notice of Requirement for Affirmative Action to Ensure 
Equal Employment Opportunity (Executive Order 11246) contained in Sec.  
60-4.2, and the Standard Federal Equal Employment Opportunity 
Construction Contract Specifications (Executive Order 11246) contained 
in Sec.  60-4.3 shall be deemed to be a part of every solicitation or of 
every contract and subcontract, as appropriate, required by the order 
and the regulations in this chapter to include such clauses whether or 
not they are physically incorporated in such solicitation or contract 
and whether or not the contract is written.



PART 60	20_DISCRIMINATION ON THE BASIS OF SEX--Table of Contents



Sec.
60-20.1 Purpose.
60-20.2 General prohibitions.
60-20.3 Sex as a bona fide occupational qualification.
60-20.4 Discriminatory compensation.
60-20.5 Discrimination on the basis of pregnancy, childbirth, or related 
          medical conditions.
60-20.6 Other fringe benefits.
60-20.7 Employment decisions made on the basis of sex-based stereotypes.
60-20.8 Harassment and hostile work environments.

Appendix to Part 60-20--Best Practices

    Authority: Sec. 201, E.O. 11246, 30 FR 12319, 3 CFR, 1964-1965 
Comp., p. 339 as amended by E.O. 11375, 32 FR 14303, 3 CFR 1966-1970 
Comp., p. 684; E.O. 12086, 43 FR 46501, 3 CFR 1978 Comp., p. 230; E.O. 
13279, 67 FR 77141, 3 CFR, 2002 Comp., p. 258; and E.O. 13672, 79 FR 
42971.

    Source: 81 FR 39166, June 15, 2016, unless otherwise noted.



Sec.  60-20.1  Purpose.

    The purpose of this part is to set forth specific requirements that 
covered Federal Government contractors and subcontractors, including 
those

[[Page 169]]

performing work under federally assisted construction contracts 
(``contractors''),\1\ must meet in fulfilling their obligations under 
Executive Order 11246, as amended, to ensure nondiscrimination on the 
basis of sex in employment. These regulations are to be read in 
conjunction with the other regulations implementing Executive Order 
11246, as amended, set forth in parts 60-1, 60-2, 60-3, 60-4, and 60-30 
of this chapter. For instance, under no circumstances will a 
contractor's good faith efforts to comply with the affirmative action 
requirements of part 60-2 of this chapter be considered a violation of 
this part.
---------------------------------------------------------------------------

    \1\ This part also applies to entities that are ``applicants'' for 
Federal assistance involving a construction contract as defined in part 
60-1 of this chapter.
---------------------------------------------------------------------------



Sec.  60-20.2  General prohibitions.

    (a) In general. It is unlawful for a contractor to discriminate 
against any employee or applicant for employment because of sex. The 
term sex includes, but is not limited to, pregnancy, childbirth, or 
related medical conditions; gender identity; transgender status; and sex 
stereotyping.
    (b) Disparate treatment. Unless sex is a bona fide occupational 
qualification reasonably necessary to the normal operation of a 
contractor's particular business or enterprise, the contractor may not 
make any distinction based on sex in recruitment, hiring, firing, 
promotion, compensation, hours, job assignments, training, benefits, or 
other terms, conditions, or privileges of employment. Such unlawful sex-
based discriminatory practices include, but are not limited to, the 
following:
    (1) Making a distinction between married and unmarried persons that 
is not applied equally to men and women;
    (2) Denying women with children an employment opportunity that is 
available to men with children;
    (3) Treating men and women differently with regard to the 
availability of flexible work arrangements;
    (4) Firing, or otherwise treating adversely, unmarried women, but 
not unmarried men, who become parents;
    (5) Applying different standards in hiring or promoting men and 
women on the basis of sex;
    (6) Steering women into lower-paying or less desirable jobs on the 
basis of sex;
    (7) Imposing any differences in retirement age or other terms, 
conditions, or privileges of retirement on the basis of sex;
    (8) Restricting job classifications on the basis of sex;
    (9) Maintaining seniority lines and lists on the basis of sex;
    (10) Recruiting or advertising for individuals for certain jobs on 
the basis of sex;
    (11) Distinguishing on the basis of sex in apprenticeship or other 
formal or informal training programs; in other opportunities such as on-
the-job training, networking, mentoring, sponsorship, individual 
development plans, rotational assignments, and succession planning 
programs; or in performance appraisals that may provide the basis of 
subsequent opportunities;
    (12) Making any facilities and employment-related activities 
available only to members of one sex, except that if the contractor 
provides restrooms, changing rooms, showers, or similar facilities, the 
contractor must provide same-sex or single-user facilities;
    (13) Denying transgender employees access to the restrooms, changing 
rooms, showers, or similar facilities designated for use by the gender 
with which they identify; and
    (14) Treating employees or applicants adversely because they have 
received, are receiving, or are planning to receive transition-related 
medical services designed to facilitate the adoption of a sex or gender 
other than the individual's designated sex at birth.
    (c) Disparate impact. Employment policies or practices that have an 
adverse impact on the basis of sex, and are not job-related and 
consistent with business necessity, violate Executive Order 11246, as 
amended, and this part. Examples of policies or practices that may 
violate Executive Order 11246 in terms of their disparate impact on the 
basis of sex include, but are not limited to:

[[Page 170]]

    (1) Height and/or weight qualifications that are not necessary to 
the performance of the job and that negatively impact women 
substantially more than men;
    (2) Strength, agility, or other physical requirements that exceed 
the actual requirements necessary to perform the job in question and 
that negatively impact women substantially more than men;
    (3) Conditioning entry into an apprenticeship or training program on 
performance on a written test, interview, or other selection procedure 
that has an adverse impact on women where the contractor cannot 
establish the validity of the selection procedure consistent with the 
Uniform Guidelines on Employee Selection Procedures, 41 CFR part 60-3; 
and
    (4) Relying on recruitment or promotion methods, such as ``word-of-
mouth'' recruitment or ``tap-on-the-shoulder'' promotion, that have an 
adverse impact on women where the contractor cannot establish that they 
are job-related and consistent with business necessity.



Sec.  60-20.3  Sex as a bona fide occupational qualification.

    Contractors may not hire and employ employees on the basis of sex 
unless sex is a bona fide occupational qualification (BFOQ) reasonably 
necessary to the normal operation of the contractor's particular 
business or enterprise.



Sec.  60-20.4  Discriminatory compensation.

    Compensation may not be based on sex. Contractors may not engage in 
any employment practice that discriminates in wages, benefits, or any 
other forms of compensation, or denies access to earnings opportunities, 
because of sex, on either an individual or systemic basis, including, 
but not limited to, the following:
    (a) Contractors may not pay different compensation to similarly 
situated employees on the basis of sex. For purposes of evaluating 
compensation differences, the determination of similarly situated 
employees is case-specific. Relevant factors in determining similarity 
may include tasks performed, skills, effort, levels of responsibility, 
working conditions, job difficulty, minimum qualifications, and other 
objective factors. In some cases, employees are similarly situated where 
they are comparable on some of these factors, even if they are not 
similar on others.
    (b) Contractors may not grant or deny higher-paying wage rates, 
salaries, positions, job classifications, work assignments, shifts, 
development opportunities, or other opportunities on the basis of sex. 
Contractors may not grant or deny training, apprenticeships, work 
assignments, or other opportunities that may lead to advancement to 
higher-paying positions on the basis of sex.
    (c) Contractors may not provide or deny earnings opportunities 
because of sex, for example, by denying women equal opportunity to 
obtain regularand/or overtime hours, commissions, pay increases, 
incentive compensation, or any other additions to regular earnings.
    (d) Contractors may not implement compensation practices that have 
an adverse impact on the basis of sex and are not shown to be job-
related and consistent with business necessity.
    (e) A contractor will be in violation of Executive Order 11246 and 
this part any time it pays wages, benefits, or other compensation that 
is the result in whole or in part of the application of any 
discriminatory compensation decision or other practice.



Sec.  60-20.5  Discrimination on the basis of pregnancy, childbirth, 
or related medical conditions.

    (a) In general.--(1) Discrimination on the basis of pregnancy, 
childbirth, or related medical conditions, including childbearing 
capacity, is a form of unlawful sex discrimination. Contractors must 
treat people of childbearing capacity and those affected by pregnancy, 
childbirth, or related medical conditions the same for all employment-
related purposes, including receipt of benefits under fringe-benefit 
programs, as other persons not so affected, but similar in their ability 
or inability to work.
    (2) Related medical conditions include, but are not limited to, 
lactation; disorders directly related to pregnancy,

[[Page 171]]

such as preeclampsia (pregnancy-induced high blood pressure), placenta 
previa, and gestational diabetes; symptoms such as back pain; 
complications requiring bed rest; and the after-effects of a delivery.
    (b) Examples. Examples of unlawful pregnancy discrimination include, 
but are not limited to:
    (1) Refusing to hire pregnant people or people of childbearing 
capacity, or otherwise subjecting such applicants or employees to 
adverse employment treatment, because of their pregnancy or childbearing 
capacity;
    (2) Firing female employees or requiring them to go on leave because 
they become pregnant or have a child;
    (3) Limiting pregnant employees' job duties based solely on the fact 
that they are pregnant, or requiring a doctor's note in order for a 
pregnant employee to continue working; and
    (4) Providing employees with health insurance that does not cover 
hospitalization and other medical costs for pregnancy, childbirth, or 
related medical conditions to the same extent that hospitalization and 
other medical costs are covered for other medical conditions.
    (c) Accommodations--(1) Disparate treatment. It is a violation of 
Executive Order 11246 for a contractor to deny alternative job 
assignments, modified duties, or other accommodations to employees who 
are unable to perform some of their job duties because of pregnancy, 
childbirth, or related medical conditions where:
    (i) The contractor denies such assignments, modifications, or other 
accommodations only to employees affected by pregnancy, childbirth, or 
related medical conditions;
    (ii) The contractor provides, or is required by its policy or by 
other relevant laws to provide, such assignments, modifications, or 
other accommodations to other employees whose abilities or inabilities 
to perform their job duties are similarly affected, and the denial of 
accommodations imposes a significant burden on employees affected by 
pregnancy, childbirth, or related medical conditions and the 
contractor's asserted reasons for denying accommodations to such 
employees do not justify that burden; or
    (iii) Intent to discriminate on the basis of pregnancy, childbirth, 
or related medical conditions is otherwise shown.
    (2) Disparate impact. Contractors that have policies or practices 
that deny alternative job assignments, modified duties, or other 
accommodations to employees who are unable to perform some of their job 
duties because of pregnancy, childbirth, or related medical conditions 
must ensure that such policies or practices do not have an adverse 
impact on the basis of sex unless they are shown to be job-related and 
consistent with business necessity. For example, where a contractor's 
policy of offering light duty only to employees with on-the-job injuries 
has an adverse impact on employees affected by pregnancy, childbirth, or 
related medical conditions, the policy would be impermissible unless 
shown to be job-related and consistent with business necessity.
    (d) Leave--(1) In general. To the extent that a contractor provides 
family, medical, or other leave, such leave must not be denied or 
provided differently on the basis of sex.
    (2) Disparate treatment. (i) A contractor must provide job-
guaranteed medical leave, including paid sick leave, for employees' 
pregnancy, childbirth, or related medical conditions on the same terms 
that medical or sick leave is provided for medical conditions that are 
similar in their effect on employees' ability to work.
    (ii) A contractor must provide job-guaranteed family leave, 
including any paid leave, for male employees on the same terms that 
family leave is provided for female employees.
    (3) Disparate impact. Contractors that have employment policies or 
practices under which insufficient or no medical or family leave is 
available must ensure that such policies or practices do not have an 
adverse impact on the basis of sex unless they are shown to be job-
related and consistent with business necessity.



Sec.  60-20.6  Other fringe benefits.

    (a) It shall be an unlawful employment practice for a contractor to 
discriminate on the basis of sex with regard to fringe benefits.

[[Page 172]]

    (b) As used herein, the term ``fringe benefits'' includes, but is 
not limited to, medical, hospital, accident, life insurance, and 
retirement benefits; profit-sharing and bonus plans; leave; and other 
terms, conditions, and privileges of employment.
    (c) The greater cost of providing a fringe benefit to members of one 
sex is not a defense to a contractor's failure to provide benefits 
equally to members of both sexes.



Sec.  60-20.7  Employment decisions made on the basis of sex-based stereotypes.

    Contractors must not make employment decisions on the basis of sex-
based stereotypes, such as stereotypes about how males and/or females 
are expected to look, speak, or act. Such employment decisions are a 
form of sex discrimination prohibited by Executive Order 11246, as 
amended. Examples of discrimination based on sex-based stereotyping may 
include, but are not limited to:
    (a) Adverse treatment of an employee or applicant for employment 
because of that individual's failure to comply with gender norms and 
expectations for dress, appearance, and/or behavior, such as:
    (1) Failing to promote a woman, or otherwise subjecting her to 
adverse employment treatment, based on sex stereotypes about dress, 
including wearing jewelry, make-up, or high heels;
    (2) Harassing a man because he is considered effeminate or 
insufficiently masculine; or
    (3) Treating employees or applicants adversely based on their sexual 
orientation where the evidence establishes that the discrimination is 
based on gender stereotypes;
    (b) Adverse treatment of employees or applicants because of their 
actual or perceived gender identity or transgender status;
    (c) Adverse treatment of a female employee or applicant because she 
does not conform to a sex stereotype about women working in a particular 
job, sector, or industry; and
    (d) Adverse treatment of employees or applicants based on sex-based 
stereotypes about caregiver responsibilities. For example, adverse 
treatment of a female employee because of a sex-based assumption that 
she has (or will have) family caretaking responsibilities, and that 
those responsibilities will interfere with her work performance, is 
discrimination based on sex. Other examples of such discriminatory 
treatment include, but are not limited to:
    (1) Adverse treatment of a male employee because he has taken or is 
planning to take leave to care for his newborn or recently adopted or 
foster child based on the sex-stereotyped belief that women and not men 
should care for children;
    (2) Denying opportunities to mothers of children based on the sex-
stereotyped belief that women with children should not or will not work 
long hours, regardless of whether the contractor is acting out of 
hostility or belief that it is acting in the employee's or her 
children's best interest;
    (3) Evaluating the performance of female employees who have family 
caregiving responsibilities adversely, based on the sex-based stereotype 
that women are less capable or skilled than their male counterparts who 
do not have such responsibilities; and
    (4) Adverse treatment of a male employee who is not available to 
work overtime or on weekends because he cares for his elderly father, 
based on the sex-based stereotype that men do not have family caregiving 
responsibilities that affect their availability for work, or that men 
who are not available for work without constraint are not sufficiently 
committed, ambitious, or dependable.



Sec.  60-20.8  Harassment and hostile work environments.

    (a) Harassment on the basis of sex is a violation of Executive Order 
11246, as amended. Unwelcome sexual advances, requests for sexual 
favors, offensive remarks about a person's sex, and other verbal or 
physical conduct of a sexual nature constitute sexual harassment when:
    (1) Submission to such conduct is made either explicitly or 
implicitly a term or condition of an individual's employment;

[[Page 173]]

    (2) Submission to or rejection of such conduct by an individual is 
used as the basis for employment decisions affecting such individual; or
    (3) Such conduct has the purpose or effect of unreasonably 
interfering with an individual's work performance or creating an 
intimidating, hostile, or offensive working environment.
    (b) Harassment because of sex includes sexual harassment (including 
sexual harassment based on gender identity or transgender status); 
harassment based on pregnancy, childbirth, or related medical 
conditions; and harassment that is not sexual in nature but that is 
because of sex or sex-based stereotypes.



               Sec. Appendix to Part 60-20--Best Practices

    Best practices. Although not required by this part, following are 
best practices for contractors:
    (1) Avoiding the use of gender-specific job titles such as 
``foreman'' or ``lineman'' where gender-neutral alternatives are 
available;
    (2) Designating single-user restrooms, changing rooms, showers, or 
similar single-user facilities as sex-neutral;
    (3) Providing, as part of their broader accommodations policies, 
light duty, modified job duties or assignments, or other reasonable 
accommodations to employees who are unable to perform some of their job 
duties because of pregnancy, childbirth, or related medical conditions;
    (4) Providing appropriate time off and flexible workplace policies 
for men and women;
    (5) Encouraging men and women equally to engage in caregiving-
related activities;
    (6) Fostering a climate in which women are not assumed to be more 
likely to provide family care than men; and
    (7) Fostering an environment in which all employees feel safe, 
welcome, and treated fairly, by developing and implementing procedures 
to ensure that employees are not harassed because of sex. Examples of 
such procedures include:
    (a) Communicating to all personnel that harassing conduct will not 
be tolerated;
    (b) Providing anti-harassment training to all personnel; and
    (c) Establishing and implementing procedures for handling and 
resolving complaints about harassment and intimidation based on sex.



PART 60	30_RULES OF PRACTICE FOR ADMINISTRATIVE PROCEEDINGS TO ENFORCE 
EQUAL OPPORTUNITY UNDER EXECUTIVE ORDER 11246--Table of Contents



                           General Provisions

Sec.
60-30.1 Applicability of rules.
60-30.2 Waiver, modification.
60-30.3 Computation of time.
60-30.4 Form, filing, service of pleadings and papers.

                          Prehearing Procedures

60-30.5 Administrative complaint.
60-30.6 Answer.
60-30.7 Notice of prehearing conference.
60-30.8 Motions; disposition of motions.
60-30.9 Interrogatories, and admissions as to facts and documents.
60-30.10 Production of documents and things and entry upon land for 
          inspection and other purposes.
60-30.11 Depositions upon oral examination.
60-30.12 Prehearing conferences.
60-30.13 Consent findings and order.

                      Hearings and Related Matters

60-30.14 Designation of Administrative Law Judges.
60-30.15 Authority and responsibilities of Administrative Law Judges.
60-30.16 Appearances.
60-30.17 Appearance of witnesses.
60-30.18 Rules of evidence.
60-30.19 Objections; exceptions; offer of proof.
60-30.20 Ex parte communications.
60-30.21 Oral argument.
60-30.22 Official transcript.
60-30.23 Summary judgment.
60-30.24 Participation by interested persons.

                         Post Hearing Procedures

60-30.25 Proposed findings of fact and conclusions of law.
60-30.26 Record for recommended decision.
60-30.27 Recommended decision.
60-30.28 Exceptions to recommended decisions.
60-30.29 Record.
60-30.30 Administrative Order.

                      Expedited Hearing Procedures

60-30.31 Expedited hearings--when appropriate.
60-30.32 Administrative complaint and answer.
60-30.33 Discovery.
60-30.34 Conduct of hearing.
60-30.35 Recommended decision after hearing.
60-30.36 Exceptions to recommendations.

[[Page 174]]

60-30.37 Final Administrative Order.

    Authority: Executive Order 11246, as amended, 30 FR 12319, 32 FR 
14303, as amended by E.O. 12086; 29 U.S.C. 793, as amended, and 38 
U.S.C. 4212, as amended.

    Source: 43 FR 49259, Oct. 20, 1978, unless otherwise noted.

                           General Provisions



Sec.  60-30.1  Applicability of rules.

    This part provides the rules of practice for all administrative 
proceedings, instituted by the OFCCP including but not limited to 
proceedings instituted against construction contractors or 
subcontractors, which relate to the enforcement of equal opportunity 
under Executive Order 11246, as amended. In the absence of a specific 
provision, procedures shall be in accordance with the Federal Rules of 
Civil Procedure.



Sec.  60-30.2  Waiver, modification.

    Upon notice to all parties, the Administrative Law Judge may, with 
respect to matters pending before him modify or waive any rule herein 
upon a determination that no party will be prejudiced and that the ends 
of justice will be served thereby.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.3  Computation of time.

    In computing any period of time under these rules or in an order 
issued hereunder, the time begins with the day following the act, event, 
or default, and includes the last day of the period, unless it is a 
Saturday, Sunday, or legal holiday observed by the Federal Government in 
which event it includes the next business day.



Sec.  60-30.4  Form, filing, service of pleadings and papers.

    (a) Form. The original of all pleadings and papers in a proceeding 
conducted under the regulations in this part shall be filed with the 
Administrative Law Judge assigned to the case or with the Chief 
Administrative Law Judge if the case has not been assigned. Every 
pleading and paper filed in the proceeding shall contain a caption 
setting forth the name of the agency instituting the proceeding, the 
title of the action, the case file number assigned by the Administrative 
Law Judge, and a designation of the pleading or paper (e.g., complaint, 
motion to dismiss, etc.). The pleading or papers shall be signed and 
shall contain the address and telephone number of the person 
representing the party or the person on whose behalf the pleading or 
paper was filed. Unless otherwise ordered for good cause by the 
Administrative Law Judge regarding specific papers and pleadings in a 
specific case, all such papers and pleadings are public documents.
    (b) Service. Service upon any party shall be made by the party 
filing the pleading or document in accordance with 29 CFR part 26. When 
a party is represented by an attorney, the service shall be upon the 
attorney.
    (c) Proof of service. A certificate of the person serving the 
pleading or other document, setting forth the manner of service, shall 
be proof of the service.

[43 FR 49259, Oct. 20, 1978, as amended at 86 FR 1795, Jan. 11, 2021]

                          Prehearing Procedures



Sec.  60-30.5  Administrative complaint.

    (a) Filing. The Solicitor of Labor, Associate Solicitor for Labor 
Relations and Civil Rights Regional Solicitors and Regional Attorney 
upon referral from the Office of Federal Contract Compliance Programs, 
are authorized to institute enforcement proceedings by filing a 
complaint and serving the complaint upon the contractor which shall be 
designated as the defendant. The Department of Labor, OFCCP, as shall be 
designated on plaintiff.
    (b) Contents. The complaint shall contain a concise jurisdictional 
statement, and a clear and concise statement sufficient to put the 
defendant on notice of the acts or practices it is alleged to have 
committed in violation of the order, the regulations, or its contractual 
obligations. The complaint shall also contain a prayer regarding the 
relief being sought, a statement of whatever sanctions the Government 
will seek to impose and the name and address of the attorney who will 
represent the Government.

[[Page 175]]

    (c) Amendment. The complaint may be amended once as a matter of 
course before an answer is filed, and the defendant may amend its answer 
once as a matter of course not later than 10 days after the filing of 
the original answer. Other amendments of the complaint or of the answer 
to the complaint shall be made only by leave of the Administrative Law 
Judge or by written consent of the adverse party; and leave shall be 
freely given where justice so requires. An amended complaint shall be 
answered within 14 days of its service, or within the time for filing an 
answer to the original complaint, whichever period is longer. An amended 
answer shall be responded to within 14 days of its service.

(E.O. 11246 as amended; sec. 503 of Rehabilitation Act of 1973 as 
amended)

[43 FR 49259, Oct. 20, 1978, as amended at 44 FR 49691, Aug. 24, 1979; 
63 FR 59642, Nov. 4, 1998]



Sec.  60-30.6  Answer.

    (a) Filing and service. Within 20 days after the service of the 
complaint, the defendant shall file an answer with the Chief 
Administrative Law Judge if the case has not been assigned to an 
Administrative Law Judge. The answer shall be signed by the defendant or 
its attorney, and served on the Government in accordance with Sec.  60-
30.4(b).
    (b) Contents; failure to file. The answer shall (1) contain a 
statement of the facts which constitute the grounds of defense, and 
shall specifically admit, explain, or deny, each of the allegations of 
the complaint unless the defendant is without knowledge, in which case 
the answer shall so state; or (2) state that the defendant admits all 
the allegations of the complaint. The answer may contain a waiver of 
hearing; and if not, a separate paragraph in the answer shall request a 
hearing. The answer shall contain the name and address of the defendant, 
or of the attorney representing the defendant. Failure to file an answer 
or to plead specifically to any allegation of the complaint shall 
constitute an admission of such allegation.
    (c) Procedure, upon admission of facts. The admission, in the answer 
or by failure to file an answer, of all the material allegations of fact 
contained in the complaint shall constitute a waiver of hearing. Upon 
such admission, the Administrative Law Judge, without further hearing, 
may prepare his decision in which he shall adopt as his proposed 
findings of fact the material facts alleged in the complaint. The 
parties shall be given an opportunity to file exceptions to his decision 
and to file briefs in support of the exceptions.



Sec.  60-30.7  Notice of prehearing conference.

    The Administrative Law Judge shall respond to defendant's request 
for a hearing within 15 days and shall serve a notice of prehearing 
conference on the parties. The notice shall contain the time and place 
of the conference.



Sec.  60-30.8  Motions; disposition of motions.

    (a) Motions. Motions shall state the relief sought, the authority 
relied upon and the facts alleged, and shall be filed with the 
Administrative Law Judge. If made before or after the hearing itself, 
the motions shall be in writing. If made at the hearing, motions may be 
stated orally; but the Administrative Law Judge may require that they be 
reduced to writing and filed and served on all parties in the same 
manner as a formal motion. Unless otherwise ordered by the 
Administrative Law Judge, written motions shall be accompanied by a 
supporting memorandum. Within 10 days after a written motion is served, 
or such other time period as may be fixed, any party may file a response 
to a motion.
    (b) Disposition of motions. The Administrative Law Judge may not 
grant a written motion prior to expiration of the time for filing 
responses thereto, except upon consent of the parties or following a 
hearing, but may overrule or deny such motion without awaiting response: 
Provided, That prehearing conferences, hearings, and decisions need not 
be delayed pending disposition of motions.



Sec.  60-30.9  Interrogatories, and admissions as to facts and documents.

    (a) Interrogatories. Not later than 25 days prior to the date of the 
hearing, except for good cause shown, or not later than 14 days prior to 
such earlier

[[Page 176]]

date as the Administrative Law Judge may order, any party may serve upon 
an opposing party written interrogatories. Each interrogatory shall be 
answered separately and fully in writing under oath, unless objected to. 
Answers are to be signed by the person making them and objections by the 
attorney or by whoever is representing the party. Answers and objections 
shall be filed and served within 25 days of service of the 
interrogatory.
    (b) Admissions. Not later than 14 days prior to the date of the 
hearing, except for good cause shown, or not later than 14 days prior to 
such earlier date as the Administrative Law Judge may order, any party 
may serve upon an opposing party a written request for the admission of 
the genuineness and authenticity of any relevant documents described in 
and exhibited with the request, or for the admission of the truth of any 
relevant matters of fact stated in the request. Each of the matters as 
to which an admission is requested shall be deemed admitted, unless 
within 25 days after service, the party to whom the request is directed 
serves upon the requesting party a sworn statement either (1) denying 
specifically the matter as to which an admission is requested, or (2) 
setting forth in detail the reasons why he cannot truthfully either 
admit or deny such matters.
    (c) Objections or failures to respond. The party submitting the 
interrogatory or request may move for an order with respect to any 
objection or other failure to respond.



Sec.  60-30.10  Production of documents and things and entry upon land 
for inspection and other purposes.

    (a) After commencement of the action, any party may serve on any 
other party a request to produce and/or permit the party, or someone 
acting on his behalf, to inspect and copy any unprivileged documents, 
phonorecords, and other compilations, including computer tapes and 
printouts which contain or may lead to relevant information and which 
are in the possession, custody, or control of the party upon whom the 
request is served. If necessary, translation of data compilations shall 
be done by the party furnishing the information.
    (b) After commencement of the action, any party may serve on any 
other party a request to permit entry upon designated property which may 
be relevant to the issues in the proceeding and, which is in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection, measuring, surveying or photographing, 
testing, or sampling the property or any designated object or area.
    (c) Each request shall set forth with reasonable particularity the 
items to be inspected and shall specify a reasonable time and place for 
making the inspection and performing the related acts.
    (d) The party upon whom the request is served shall respond within 
25 days after the service of the request. The response shall state, with 
respect to each item, that inspection and related activities will be 
permitted as requested, unless there are objections, in which case the 
reasons for each objection shall be stated. The party submitting the 
request may move for an order with respect to any objection or to other 
failure to respond.



Sec.  60-30.11  Depositions upon oral examination.

    (a) Depositions; notice of examination. After commencement of the 
action, any party may take the testimony of any person, including a 
party, having personal or expert knowledge of the matters in issue, by 
deposition upon oral examination. A party desiring to take a deposition 
shall give reasonable notice in writing to every other party to the 
proceeding, and may use an administrative subpoena. The notice shall 
state the time and place for taking the deposition and the name and 
address of each person to be examined, if known, and, if the name is not 
known, a general description sufficient to identify him or the 
particular class or group to which he belongs. The notice shall also set 
forth the categories of documents the witness is to bring with him to 
the deposition, if any. A copy of the notice shall be furnished to the 
person to be examined unless his name is unknown.

[[Page 177]]

    (b) Production of witnesses; obligation of parties; objections. It 
shall be the obligation of each party to produce for examination any 
person, along with such documents as may be requested, at the time and 
place, and on the date, set forth in the notice, if that party has 
control over such person. Each party shall be deemed to have control 
over its officers, agents, employees, and members. Unless the parties 
agree otherwise, depositions shall be held within the county in which 
the witness resides or works. The party or prospective witness may file 
with the Administrative Law Judge an objection within 5 days after 
notice of production of such witness is served, stating with 
particularity the reasons why the party cannot or ought not to produce a 
requested witness. The party serving the notice may move for an order 
with respect to such objection or failure to produce a witness. All 
errors or irregularities in compliance with the provisions of this 
section shall be deemed waived unless a motion to suppress the 
deposition or some part thereof is made with reasonable promptness after 
such defect is or, with due diligence, might have been ascertained.
    (c) Before whom taken; scope of examination; failure to answer. 
Depositions may be taken before any officer authorized to administer 
oaths by the laws of the United States or of the place where the 
deposition is held. At the time and place specified in the notice, each 
party shall be permitted to examine and cross-examine the witness under 
oath upon any matter which is relevant to the subject matter of the 
proceeding, or which is reasonably calculated to lead to the production 
of relevant and otherwise admissible evidence. All objections to 
questions, except as to the form thereof, and all objections to evidence 
are reserved until the hearing. A refusal or failure on the part of any 
person under the control of a party to answer a question shall operate 
to create a presumption that the answer, if given, would be unfavorable 
to the controlling party, unless the question is subsequently ruled 
improper by the Administrative Law Judge or the Administrative Law Judge 
rules that there was valid justification for the witness' failure or 
refusal to answer the question: Provided, That the examining party shall 
note on the record during the deposition the question which the deponent 
has failed, or refused to answer, and state his intention to invoke the 
presumption if no answer is forthcoming.
    (d) Subscription; certification; filing. The testimony shall be 
reduced to typewriting, either by the officer taking the deposition or 
under his direction, and shall be submitted to the witness for 
examination and signing. If the deposition is not signed by the witness 
because he is ill, dead, cannot be found, or refuses to sign it, such 
fact shall be noted in the certificate of the officer and the deposition 
may then be used as fully as though signed. The officer shall 
immediately deliver the original copy of the transcript, together with 
his certificate, in person or by mail to the Administrative Law Judge. 
Copies of the transcript and certificate shall be furnished to all 
persons desiring them, upon payment of reasonable charges, unless 
distribution is restricted by order of the Administrative Law Judge for 
good cause shown.
    (e) Rulings on admissibility; use of deposition. Subject to the 
provisions of this section, objection may be made at the hearing to 
receiving in evidence any deposition or part thereof for any reason 
which would require the exclusion of the evidence if the witness were 
then present and testifying. Any part or all of a deposition, so far as 
admissible in the discretion of the Administrative Law Judge, may be 
used against any party who was present or represented at the taking of 
the deposition or who had reasonable notice, in accordance with the 
following provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of a party or of any one who at the time of 
taking the deposition was an officer, director, or managing agent, or 
was designated to testify on behalf of a public or private corporation, 
partnership, association, or governmental agency which is a party may be 
used by the adverse party for any purpose.

[[Page 178]]

    (3) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the administrative law judge finds: (i) 
That the witness is dead; or (ii) that the witness is unable to attend 
or testify because of age, illness, infirmity, or imprisonment; or (iii) 
that the party offering the deposition has been unable to procure the 
attendance of the witness by subpoena; or (iv) upon application and 
notice, that such exceptional circumstances exist as to make it 
desirable to allow the deposition to be used.
    (4) If only part of a deposition is introduced in evidence by a 
party, any party may introduce any other parts by way of rebuttal and 
otherwise.
    (f) Stipulations. If the parties so stipulate in writing, 
depositions may be taken before any person at any time or place, upon 
any notice and in any manner, and when so taken may be used like other 
depositions.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.12  Prehearing conferences.

    (a) Upon his own motion or the motion of the parties, the 
Administrative Law Judge may direct the parties or their counsel to meet 
with him for a conference to consider:
    (1) Simplification of the issues;
    (2) Necessity or desirability of amendments to pleadings for 
purposes of clarification, simplification, or limitation;
    (3) Stipulations, admissions of fact and of contents and 
authenticity of documents;
    (4) Limitation of number of witnesses;
    (5) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (6) Such other matters as may tend to expedite the disposition of 
the proceedings.
    (b) The record shall show the matters disposed of by order and by 
agreement in such pretrial conferences. The subsequent course of the 
proceeding shall be controlled by such action.



Sec.  60-30.13  Consent findings and order.

    (a) General. At any time after the issuance of a complaint and prior 
to or during the reception of evidence in any proceeding, the parties 
may jointly move to defer the receipt of any evidence for a reasonable 
time to permit negotiation of an agreement containing consent findings 
and an order disposing of the whole or any part of the proceeding. The 
allowance of such deferment and the duration thereof shall be in the 
discretion of the Administrative Law Judge after consideration of the 
nature of the proceeding, the requirments of the public interest, the 
representations of the parties, and the probability of an agreement 
being reached which will result in a just disposition of the issues 
involved.
    (b) Content. Any agreement containing consent findings and an order 
disposing of a proceeding shall also provide:
    (1) That the order shall have the same force and effect as an order 
made after full hearing;
    (2) That the entire record on which any order may be based shall 
consist solely of the complaint and the agreement;
    (3) That any further procedural steps are waived; and
    (4) That any right to challenge or contest the validity of the 
findings and order entered into in accordance with the agreement is 
waived.
    (c) Submission. On or before the expiration of the time granted for 
negotiations, the parties or their counsel may:
    (1) Submit the proposed agreement to the Administrative Law Judge 
for his consideration;
    (2) Inform the Administrative Law Judge that agreement cannot be 
reached.
    (d) Disposition. In the event an agreement containing consent 
findings and an order is submitted within the time allowed, the 
Administrative Law Judge, within 30 days, shall accept such agreement by 
issuing his decision based upon the agreed findings, and his decision 
shall consititute the final Administrative order.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]

[[Page 179]]

                      Hearings and Related Matters



Sec.  60-30.14  Designation of Administrative Law Judges.

    Hearings shall be held before an Administrative Law Judge of the 
Department of Labor who shall be designated by the Chief Administrative 
Law Judge of the Department of Labor. After commencement of the 
proceeding but prior to the designation of an Administrative Law Judge, 
pleadings and papers shall be filed with the Chief Administrative Law 
Judge.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.15  Authority and responsibilities of Administrative Law Judges.

    The Administrative Law Judge shall propose findings and conclusions 
to the Secretary on the basis of the record. In order to do so, he shall 
have the duty to conduct a fair hearing, to take all necessary action to 
avoid delay, and to maintain order. He shall have all powers necessary 
to those ends, including, but not limited to, the power to:
    (a) Hold conferences to settle, simplify, or fix the issues in a 
proceeding, or to consider other matters that may aid in the expeditious 
disposition of the proceeding by consent of the parties or upon his own 
motion;
    (b) Require parties to state their position with respect to the 
various issues in the proceeding;
    (c) Require parties to produce for examination those relevant 
witnesses and documents under their control; and require parties to 
answer interrogatories and requests for admissions in full;
    (d) Administer oaths;
    (e) Rule on motions, and other procedural items or matters pending 
before him;
    (f) Regulate the course of the hearing and conduct of participants 
therein;
    (g) Examine and cross-examine witnesses, and introduce into the 
record documentary or other evidence;
    (h) Receive, rule on, exclude, or limit evidence and limit lines of 
questioning or testimony which are irrelevant, immaterial, or unduly 
repetitious;
    (i) Fix time limits for submission of written documents in matters 
before him and extend any time limits established by this part upon a 
determination that no party will be prejudiced and that the ends of 
justice will be served thereby;
    (j) Impose appropriate sanctions against any party or person failing 
to obey an order under these rules which may include:
    (1) Refusing to allow the disobedient party to support or oppose 
designated claims or defenses, or prohibiting it from introducing 
designated matters in evidence;
    (2) Excluding all testimony of an unresponsive or evasive witness, 
or determining that the answer of such witness, if given, would be 
unfavorable to the party having control over him; and
    (3) Expelling any party or person from further participation in the 
hearing;
    (k) Take official notice of any material fact not appearing in 
evidence in the record, which is among the traditional matters of 
judicial notice;
    (l) Recommend whether the respondent is in current violation of the 
order, regulations, or its contractual obligations, as well as the 
nature of the relief necessary to insure the full enjoyment of the 
rights secured by the order;
    (m) Issue subpoenas; and
    (n) Take any action authorized by these rules.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.16  Appearances.

    (a) Representation. The parties or other persons or organizations 
participating pursuant to this part 60-30 have the right to be 
represented by counsel.
    (b) Failure to appear. In the event that a party appears at the 
hearing and no party appears for the opposing side, the party who is 
present shall have an election to present his evidence in whole or such 
portion thereof sufficient to make a prima facie case before the 
Administrative Law Judge. Failure to appear at the hearing shall not be 
deemed to be a waiver of the right to be served with a copy of the 
Administrative Law Judge's recommended decision and to file exceptions 
to it.

[[Page 180]]



Sec.  60-30.17  Appearance of witnesses.

    (a) A party wishing to procure the appearance at the hearing of any 
person having personal or expert knowledge of the matters in issue shall 
serve on the prospective witness a notice, which may be accomplished by 
an administrative subpoena, setting forth the time, date, and place at 
which he is to appear for the purpose of giving testimony. The notice 
shall also set forth the categories of documents the witness is to bring 
with him to the hearing, if any. A copy of the notice shall be filed 
with the Administrative Law Judge and additional copies shall be served 
upon the opposing parties.
    (b) It shall be the obligation of each party to produce for 
examination any person, along with such documents as may be requested, 
at the time and place, and on the date, set forth in the notice, if that 
party has control over such person. Each party shall be deemed to have 
control over its officers, agents, employees, and members. Due regard 
shall be given to the convenience of witnesses in scheduling their 
testimony so that they will be detained no longer than reasonably 
necessary.
    (c) The party or prospective witness may file an objection within 5 
days after notice of production of such witness is served stating with 
particularity the reasons why the party cannot produce a requested 
witness. The party serving the notice may move for an order with respect 
to such objection or failure to produce a witness.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.18  Rules of evidence.

    In any hearing, decision, or administrative review conducted 
pursuant to this part, all evidentiary matters shall be governed by 
Office of Administrative Law Judges' Rules of evidence at 29 CFR part 
18, subpart B, Provided however, That the provision at 29 CFR 18.1104 
which delays the effective date of the rule with respect to certain 
investigations does not apply.

[55 FR 19069, May 8, 1990]



Sec.  60-30.19  Objections; exceptions; offer of proof.

    (a) Objections. If a party objects to the admission or rejection of 
any evidence or to the limitation of the scope of any examination or 
cross-examination or the failure to limit such scope, he shall state 
briefly the grounds for such objection. Rulings on all objections shall 
appear in the record. Only objections made on the record may be relied 
upon subsequently in the proceedings.
    (b) Exceptions. Formal exception to an adverse ruling is not 
required. Rulings by the Administrative Law Judge shall not be appealed 
prior to the transfer of the case to the Secretary, but shall be 
considered by the Secretary upon filing exceptions to the Administrative 
Law Judge's recommendations and conclusions.
    (c) Offer of proof. An offer of proof made in connection with an 
objection taken to any ruling excluding proffered oral testimony shall 
consist of a statement of the substance of the evidence which counsel 
contends would be adduced by such testimony; and, if the excluded 
evidence consists of evidence in written form or consists of reference 
to documents, a copy of such evidence shall be marked for identification 
and shall accompany the record as the offer of proof.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.20  Ex parte communications.

    The Administrative Law Judge shall not consult any person, or party, 
on any fact in issue unless upon notice and opportunity for all parties 
to participate. No employee or agent of the Federal Government engaged 
in the investigation and prosecution of this case shall participate or 
advise in the rendering of the recommended or final decision in the 
case, except as witness or counsel in the proceeding.



Sec.  60-30.21  Oral argument.

    Any party shall be entitled upon request to a reasonable period 
between the close of evidence and termination of the hearing for oral 
argument. Oral arguments shall be included in the official transcript of 
the hearing.

[[Page 181]]



Sec.  60-30.22  Official transcript.

    The official transcripts of testimony taken, together with any 
exhibits, briefs, or memorandums of law, shall be filed with the 
Administrative Law Judge. Transcripts of testimony may be obtained from 
the official reporter by the parties and the public as provided in 
section 11(a) of the Federal Advisory Committee Act (86 Stat. 770). Upon 
notice to all parties, the Administrative Law Judge may authorize such 
corrections to the transcript as are necessary to reflect accurately the 
testimony.



Sec.  60-30.23  Summary judgment.

    (a) For the Government. At any time after the expiration of 20 days 
from the commencement of the action, or after service of a motion for 
summary judgment by the respondent, the Government may move with or 
without supporting affidavits for a summary judgment upon all claims or 
any part.
    (b) For defendant. The defendant may, at any time after commencement 
of the action, move with or without supporting affidavits for summary 
judgment in its favor as to all claims or any part.
    (c) Other parties. Any other party to a formal proceeding under this 
part may support or oppose motions for summary judgment made by the 
Government or respondent, in accordance with this section, but may not 
move for a summary judgment in his own behalf.
    (d) Statement of uncontested facts. All motions for summary judgment 
shall be accompanied by a ``Statement of Uncontested Facts'' in which 
the moving party sets forth all alleged uncontested material facts which 
shall provide the basis for its motion. At least 5 days prior to the 
time fixed for hearing on the motion, any party contending that any 
material fact regarding the matter covered by the motion is in dispute, 
shall file a ``Statement of Disputed Facts.'' Failure to file a 
``Statement of Disputed Facts'' shall be deemed as an admission to the 
``Statement of Uncontested Facts.''
    (e) Motion and proceedings. The motion shall be served upon all 
parties at least 15 days before the time fixed for the hearing on the 
motion. The adverse party or parties may serve opposing affidavits prior 
to the day of hearing. The judgment sought shall be rendered forthwith 
if the complaint and answer, depositions, and admissions on file, 
together with the affidavits, if any, show that there is no genuine 
issue as to any material fact and that the moving party is entitled to a 
judgment as a matter of law. Summary judgment rendered for or against 
the Government or the respondent shall constitute the findings and 
recommendations on the issues involved. Hearings on motions made under 
this section shall be scheduled by the Administrative Law Judge.
    (f) Case not fully adjudicated on motion. If on motion under this 
section judgment is not rendered upon the whole case or for all the 
relief asked and a final hearing is necessary, the Administrative Law 
Judge at the hearing of the motion, by examining the notice and answer 
and the evidence before him and by interrogating counsel, shall, if 
practicable, ascertain what material facts exist without substantial 
controversy and what material facts are actually and in good faith 
controverted. He shall thereupon make an order specifying the facts that 
appear without substantial controversy, including the extent to which 
relief is not in controversy, and directing such further proceedings as 
are just. At the hearing on the merits, the facts so specified shall be 
deemed established, and the final hearing shall be conducted 
accordingly.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-30.24  Participation by interested persons.

    (a)(1) To the extent that proceedings hereunder involve employment 
of persons covered by a collective bargaining agreement, and compliance 
may necessitate a revision of such agreement, any labor organization 
which is a signatory to the agreement shall have the right to 
participate as a party.
    (2) Other persons or organizations shall have the right to 
participate as parties if the final Administrative order could adversely 
affect them or the class they represent, and such participation may 
contribute materially to the proper disposition of the proceedings.

[[Page 182]]

    (3) Any person or organization wishing to participate as a party 
under this section shall file with the Administrative Law Judge and 
serve on all parties a petition within 25 days after the commencement of 
the action or at such other time as ordered by the Administrative Law 
Judge, so long as it does not disrupt the proceeding. Such petition 
shall concisely state: (i) Petitioner's interest in the proceedings; 
(ii) who will appear for petitioner; (iii) the issues on which 
petitioner wishes to participate; and (iv) whether petitioner intends to 
present witnesses.
    (4) The Administrative Law Judge shall determine whether each 
petitioner has the requisite interest in the proceedings and shall 
permit or deny participation accordingly. Where petitions to participate 
as parties are made by individuals or groups with common interest, the 
Administrative Law Judge may request all such petitioners to designate a 
single representative to represent all such petitioners: Provided, That 
the representative of a labor organization qualifying to participate 
under paragraph (a)(1) of the section must be permitted to participate 
in the proceedings. The Administrative Law Judge shall give each 
petitioner written notice of the decision on his petition; and if the 
petition is denied, he shall briefly state the grounds for denial and 
shall then treat the petition as a request for participation as amicus 
curiae. The Administrative Law Judge shall give written notice to each 
party of each petition granted.
    (b)(1) Any other interested person or organization wishing to 
participate as amicus curiae shall file a petition before the 
commencement of the final hearing with the Administrative Law Judge. 
Such petition shall concisely state: (i) The petitioner's interest in 
the hearing; (ii) who will represent the petitioner; and (iii) the 
issues on which petitioner intends to present argument. The 
Administrative Law Judge may grant the petition if he finds that the 
petitioner has a legitimate interest in the proceedings, and that such 
participation may contribute materially to the proper disposition of the 
issues. An amicus curiae is not a party but may participate as provided 
in this section.
    (2) An amicus curiae may present a brief oral statement at the 
hearing at the point in the proceeding specified by the Administrative 
Law Judge. He may submit a written statement of position to the 
Administrative Law Judge prior to the beginning of a hearing and shall 
serve a copy on each party. He may also submit a brief or written 
statement at such time as the parties submit briefs and exceptions, and 
he shall serve a copy on each party.

[43 FR 49259, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]

                         Post-Hearing Procedures



Sec.  60-30.25  Proposed findings of fact and conclusions of law.

    Within 20 days after receipt of the transcript of the testimony, 
each party and amicus may file a brief. Such briefs shall be served 
simultaneously on all parties and amici, and a certificate of service 
shall be furnished to the Administrative Law Judge. Requests for 
additional time in which to file a brief shall be made in writing, and 
copies shall be served simultaneously on the other parties. Requests for 
extensions shall be received not later than 3 days before the date such 
briefs are due. No reply brief may be filed except by special permission 
of the Administrative Law Judge.



Sec.  60-30.26  Record for recommended decision.

    The transcript of testimony, exhibits, and all papers, documents, 
and requests filed in the proceedings, including briefs, but excepting 
the correspondence section of the docket, shall constitute the record 
for decision.



Sec.  60-30.27  Recommended decision.

    Within a reasonable time after the filing of briefs, the 
Administrative Law Judge shall recommend findings, conclusions, and a 
decision. These recommendations shall be certified, together with the 
record for recommended decision, to the Administrative Review Board, 
United States Department of Labor, for a final Administrative order. The 
recommended findings, conclusions, and decision shall be

[[Page 183]]

served on all parties and amici to the proceeding.

[61 FR 19988, May 3, 1996]



Sec.  60-30.28  Exceptions to recommended decisions.

    Within 14 days after receipt of the recommended findings, 
conclusions, and decision, any party may submit exceptions to said 
recommendation. These exceptions may be responded to by other parties 
within 14 days of their receipt by said parties. All exceptions and 
responses shall be filed with the Administrative Review Board, United 
States Department of Labor. Service of such briefs or exceptions and 
responses shall be made simultaneously on all parties to the proceeding. 
Requests to the Administrative Review Board, United States Department of 
Labor, for additional time in which to file exceptions and responses 
shall be in writing and copies shall be served simultaneously on other 
parties. Requests for extensions must be received no later than 3 days 
before the exceptions are due.

[61 FR 19988, May 3, 1996]



Sec.  60-30.29  Record.

    After expiration of the time for filing briefs and exceptions, the 
Administrative Review Board, United States Department of Labor, shall 
make a decision, which shall be the Administrative order, on the basis 
of the record. The record shall consist of the record for recommended 
decision, the rulings and recommended decision of the Administrative Law 
Judge and the exceptions and briefs filed subsequent to the 
Administrative Law Judge's decision.

[85 FR 30627, May 20, 2020]



Sec.  60-30.30  Administrative Order.

    After expiration of the time for filing, the Administrative Review 
Board, United States Department of Labor, shall make a decision which 
shall be served on all parties. If the Administrative Review Board, 
United States Department of Labor, concludes that the defendant has 
violated the Executive Order, the equal opportunity clause, or the 
regulations, an Administrative Order shall be issued enjoining the 
violations, and requiring the contractor to provide whatever remedies 
are appropriate, and imposing whatever sanctions are appropriate, or any 
of the above. In any event, failure to comply with the Administrative 
Order shall result in the immediate cancellation, termination, and 
suspension of the respondent's contracts and/or debarment of the 
respondent from further contracts.

[85 FR 30627, May 20, 2020]

                      Expedited Hearing Procedures

    Authority: Sections 60-30.31 to 60-30.37 issued under E.O. 11246 (30 
FR 12319) as amended by E.O. 11375 and 12086.

    Source: Sections 60-30.31 through 60-30.37 appear at 44 FR 77003, 
Dec. 28, 1979, unless otherwise noted.



Sec.  60-30.31  Expedited hearings--when appropriate.

    Expedited Hearings may be used, inter alia, when a contractor or 
subcontractor has violated a conciliation agreement; has not adopted and 
implemented an acceptable affirmative action program; has refused to 
give access to or to supply records or other information as required by 
the equal opportunity clause; or has refused to allow an on-site 
compliance review to be conducted.



Sec.  60-30.32  Administrative complaint and answer.

    (a) Expedited hearings shall be commenced by filing an 
administrative complaint in accordance with 41 CFR 60-30.5. The 
complaint shall state that the hearing is subject to these expedited 
hearing procedures.
    (b) The answer shall be filed in accordance with 41 CFR 60-30.6 (a) 
and (b).
    (c) Failure to request a hearing within the 20 days provided by 41 
CFR 60-30.6(a) shall constitute a waiver of hearing, and all the 
material allegations of fact contained in the complaint shall be deemed 
to be admitted. If a hearing is not requested or is waived, within 25 
days of the complaint's filing, the Administrative Law Judge shall adopt 
as findings of fact the material facts alleged in the complaint, and 
shall order the appropriate sanctions and/or penalties sought in

[[Page 184]]

the complaint. The Administrative Law Judge's findings and order shall 
constitute a final Administrative order, unless the Office of the 
Solicitor, U.S. Department of Labor, files exceptions to the findings 
and order within 10 days of receipt thereof. If the Office of the 
Solicitor, U.S. Department of Labor, files exceptions, the matter shall 
proceed in accordance with Sec.  60-30.36 of this part.
    (d) If a request for a hearing is received within 20 days as 
provided by 41 CFR 60-30.6(a), the hearing shall be convened within 45 
days of receipt of the request and shall be completed within 15 days 
thereafter, unless more hearing time is required.



Sec.  60-30.33  Discovery.

    (a) Any party may serve requests for admissions in accordance with 
Sec.  60-30.9 (b) and (c).
    (b) Witness lists and hearing exhibits will be exchanged at least 10 
days in advance of the hearing.
    (c) For good cause shown, and upon motion made in accordance with 
Sec.  60-30.8, the Administrative Law Judge may allow the taking of 
depositions. Other discovery will not be permitted.



Sec.  60-30.34  Conduct of hearing.

    (a) At the hearing, the Government shall be given an opportunity to 
demonstrate the basis for the request for sanctions and/or remedies, and 
the contractor shall be given an opportunity to show that the violation 
complained of did not occur and/or that good cause or good faith efforts 
excuse the alleged violations. Both parties shall be allowed to present 
evidence and argument and to cross-examine witnesses.
    (b) The hearing shall be informal in nature, and the Administrative 
Law Judge shall not be bound by formal rules of evidence.



Sec.  60-30.35  Recommended decision after hearing.

    Within 15 days after the hearing is concluded, the Administrative 
Law Judge shall recommend findings, conclusions, and a decision. The 
Administrative Law Judge may permit the parties to file written post-
hearing briefs within this time period, but the Administrative Law 
Judge's recommendations shall not be delayed pending receipt of such 
briefs. These recommendations shall be certified, together with the 
record, to the Administrative Review Board, United States Department of 
Labor, for a final Administrative order. The recommended decision shall 
be served on all parties and amici to the proceeding.

[61 FR 19989, May 3, 1996]



Sec.  60-30.36  Exceptions to recommendations.

    Within 10 days after receipt of the recommended findings, 
conclusions and decision, any party may submit exceptions to said 
recommendations. Exceptions may be responded to by other parties within 
7 days after receipt by said parties of the exceptions. All exceptions 
and responses shall be filed with the Administrative Review Board, 
United States Department of Labor. Briefs or exceptions and responses 
shall be served simultaneously on all parties to the proceeding.

[61 FR 19989, May 3, 1996]



Sec.  60-30.37  Final Administrative Order.

    After expiration of the time for filing exceptions, the 
Administrative Review Board, United States Department of Labor, shall 
issue an Administrative Order which shall be served on all parties. 
Unless the Administrative Review Board, United States Department of 
Labor, issues an Administrative Order within 30 days after the 
expiration of the time for filing exceptions, the Administrative Law 
Judge's recommended decision shall become a final Administrative Order 
which shall become effective on the 31st day after expiration of the 
time for filing exceptions. Except as to specific time periods required 
in this subsection, 41 CFR 60-30.30 shall be applicable to this section.

[85 FR 30627, May 20, 2020]



PART 60	40_EXAMINATION AND COPYING OF OFCCP DOCUMENTS--Table of Contents



                            Subpart A_General

Sec.
60-40.1 Purpose and scope.
60-40.2 Information available on request.

[[Page 185]]

60-40.3 Information exempt from compulsory disclosure and which may be 
          withheld.
60-40.4 Information disclosure of which is prohibited by law.

                   Subpart B_Procedures for Disclosure

60-40.5 Applicability of procedures.
60-40.6 To whom to direct requests.
60-40.7 Partial disclosure.
60-40.8 Facilities and procedures for disclosure.

    Authority: E.O. 11246, as amended by E.O. 11375, and as amended by 
E.O. 12086; 5 U.S.C. 552.

    Source: 43 FR 49264, Oct. 20, 1978, unless otherwise noted.



                            Subpart A_General



Sec.  60-40.1  Purpose and scope.

    This part contains the general rules of the OFCCP providing for 
public access to information from records of the OFCCP or its various 
compliance agencies. These regulations implement 5 U.S.C. 552, the 
Freedom of Information Act and supplement the policy and regulations of 
the Department of Labor, 29 CFR part 70. It is the policy of the OFCCP 
to disclose information to the public and to cooperate with other public 
agencies as well as private parties seeking to eliminate discrimination 
in employment. This part sets forth generally the categories of records 
accessible to the public, the types of records subject to prohibitions 
or restrictions on disclosure, and the places at which and the 
procedures whereby members of the public may obtain access to and 
inspect and copy information from records in the custody of the OFCCP.

[43 FR 49264, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-40.2  Information available on request.

    (a) Upon the request of any person for identifiable records obtained 
or generated pursuant to Executive Order 11246 (as amended) such records 
shall be made available for inspection and copying, notwithstanding the 
applicability of the exemption from mandatory disclosure set forth in 5 
U.S.C. 552 subsection (b), if it is determined that the requested 
inspection or copying furthers the public interest and does not impede 
any of the functions of the OFCCP, except in the case of records 
disclosure of which is prohibited by law.
    (b) Consistent with the above, all contract compliance documents 
within the custody of the OFCCP shall be disclosed upon request unless 
specifically prohibited by law or as limited elsewhere herein. The types 
of documents which if in the custody of the OFCCP must be disclosed 
include, but are not limited to, the following:
    (1) Affirmative action plans, whether or not reviewed and finally 
accepted by the OFCCP except as limited in 41 CFR 60-40.3(a)(1).
    (2) Imposed plans and hometown plans, pending or approved.
    (3) Text of final conciliation agreements.
    (4) Validation studies of tests or other preemployment selection 
methods.
    (5) Dates and times of scheduled compliance reviews.



Sec.  60-40.3  Information exempt from compulsory disclosure 
and which may be withheld.

    (a) The following documents or parts thereof are exempt from 
mandatory disclosure by the OFCCP, and should be withheld if it is 
determined that the requested inspection or copying does not further the 
public interest and might impede the discharge of any of the functions 
of the OFCCP.
    (1) Those portions of affirmative action plans such as goals and 
timetables which would be confidential commercial or financial 
information because they indicate, and only to the extent that they 
indicate, that a contractor plans major shifts or changes in his 
personnel requirements and he has not made this information available to 
the public. A determination to withhold this type of information should 
be made only after receiving verification and a satisfactory explanation 
from the contractor that the information should be withheld.
    (2) Those portions of affirmative action plans which constitute 
information on staffing patterns and pay scales but only to the extent 
that their release would injure the business or financial position of 
the contractor,

[[Page 186]]

would constitute a release of confidential financial information of an 
employee or would constitute an unwarranted invasion of the privacy of 
an employee.
    (3) The names of individual complainants.
    (4) The assignments to particular contractors of named compliance 
officers if such disclosure would subject the named compliance officers 
to undue harassment or would affect the efficient enforcement of the 
Executive order.
    (5) Compliance investigation files including the standard compliance 
review report and related documents, during the course of the review to 
which they pertain or while enforcement action against the contractor is 
in progress or contemplated within a reasonable time. Therefore, these 
reports and related files shall not be disclosed only to the extent that 
information contained therein constitutes trade secrets and confidential 
commercial or financial information, inter-agency or intra-agency 
memoranda or letters which would not be available by law to a private 
party in litigation with the agency, personnel and medical files and 
similar files the disclosure of which would constitute a clearly 
unwarranted invasion of personal privacy, data which would be exempt 
from mandatory disclosure pursuant to the ``informants privilege'' or 
such information the disclosure of which is prohibited by statute.
    (6) Copies of preemployment selection tests used by contractors.
    (b) Other records may be withheld consistent with the Freedom of 
Information Act on a case-by-case basis, with the prior approval of the 
Director, OFCCP.



Sec.  60-40.4  Information disclosure of which is prohibited by law.

    The Standard Form 100 (EEO-1) which is submitted by contractors to 
the OFCCP or a Joint Reporting Committee servicing both the OFCCP and 
the EEOC shall be disclosed pending further instructions from the 
Director. The statutory prohibition on disclosure set forth in section 
709(e) of the Civil Rights Act of 1964 is limited by the terms of that 
section to information obtained pursuant to the authority of title VII 
of that Act and its disclosure by employees of the EEOC.



                   Subpart B_Procedures for Disclosure



Sec.  60-40.5  Applicability of procedures.

    Requests for the inspection and copying of information from records 
in the custody of the OFCCP which are identifiable and available under 
the provisions of subpart A of this part shall be made and acted upon as 
provided in the following sections of this subpart. Officers and 
employees of the OFCCP are authorized by the Director to continue to 
furnish to the public, informally and without compliance with these 
procedures, information and copies from its records which prior to the 
enactment of the Freedom of Information Act (5 U.S.C. 552) were 
customarily furnished in the regular performance of their duties.

[43 FR 49264, Oct. 20, 1978; 43 FR 51401, Nov. 3, 1978]



Sec.  60-40.6  To whom to direct requests.

    A request for contract compliance records or information shall be 
directed to the National OFCCP or appropriate OFCCP Regional or Area 
Office. If the person making the request does not know in which office 
the record is located, he may direct his request to the Director, Office 
of Federal Contract Compliance Programs, Department of Labor, 200 
Constitution Avenue NW., Washington, DC 20210, for appropriate handling.



Sec.  60-40.7  Partial disclosure.

    If a requested record contains some materials which are protected 
from disclosure and other materials which are not so protected, 
identifying details or protected matters shall be deleted wherever 
analysis indicates that such deletions are feasible. Whenever such 
deletions are made, the remainder of the records may be disclosed.



Sec.  60-40.8  Facilities and procedures for disclosure.

    (a) [Reserved]

[[Page 187]]

    (b) Procedures relating to the avaliability of records shall be 
governed by the Department of Labor regulations, 29 CFR 70.35 to 70.64.



PART 60	50_GUIDELINES ON DISCRIMINATION BECAUSE OF RELIGION 
OR NATIONAL ORIGIN--Table of Contents



Sec.
60-50.1 Purpose and scope.
60-50.2 Equal employment policy.
60-50.3 Accommodations to religious observance and practice.
60-50.4 Enforcement.
60-50.5 Nondiscrimination.

    Authority: Sec. 201 of E.O. 11246, as amended, 30 FR 12319; 32 FR 
14303, as amended by E.O. 12086; and E.O. 13672, 79 FR 42971.

    Source: 43 FR 49265, Oct. 20, 1978, unless otherwise noted.



Sec.  60-50.1  Purpose and scope.

    (a) The purpose of the provisions in this part is to set forth the 
interpretations and guidelines of the Office of Federal Contract 
Compliance Programs regarding the implementation of Executive Order 
11246, as amended, for promoting and insuring equal employment 
opportunities for all persons employed or seeking employment with 
Government contractors and subcontractors or with contractors and 
subcontractors performing under federally assisted construction 
contracts, without regard to religion or national origin.
    (b) Members of various religious and ethnic groups, primarily but 
not exclusively of Eastern, Middle, and Southern European ancestry, such 
as Jews, Catholics, Italians, Greeks, and Slavic groups, continue to be 
excluded from executive, middle-management, and other job levels because 
of discrimination based upon their religion and/or national origin. 
These guidelines are intended to remedy such unfair treatment.
    (c) These guidelines are also intended to clarify the obligations of 
employers with respect to accommodating to the religious observances and 
practices of employees and prospective employees.
    (d) The employment problems of blacks, Spanish-surnamed Americans, 
orientals, and American Indians are treated under part 60-2 of this 
chapter and under other regulations and procedures implementing the 
requirements of Executive Order 11246, as amended. Accordingly, the 
remedial provisions of Sec.  60-50.2(b) shall not be applicable to the 
employment problems of these groups.
    (e) Nothing contained in this part 60-50 is intended to supersede or 
otherwise limit the exemption set forth in Sec.  60-1.5(a)(5) of this 
chapter for contracts with certain educational institutions.



Sec.  60-50.2  Equal employment policy.

    (a) General requirements. Under the equal opportunity clause 
contained in section 202 of Executive Order 11246, as amended, employers 
are prohibited from discriminating against employees or applicants for 
employment because of religion or national origin, and must take 
affirmative action to insure that applicants are employed, and that 
employees are treated during employment, without regard to their 
religion or national origin. Such action includes, but is not limited to 
the following: Employment, upgrading, demotion, or transfer: Recruitment 
or recruitment advertising; layoff or termination; rates of pay or other 
forms of compensation; and selection for training, including 
apprenticeship.
    (b) Outreach and positive recruitment. Employers shall review their 
employment practices to determine whether members of the various 
religious and/or ethnic groups are receiving fair consideration for job 
opportunities. Special attention shall be directed toward executive and 
middle-management levels, where employment problems relating to religion 
and national origin are most likely to occur. Based upon the findings of 
such reviews, employers shall undertake appropriate outreach and 
positive recruitment activities, such as those listed below, in order to 
remedy existing deficiencies. It is not contemplated that employers 
necessarily will undertake all of the listed activities. The scope of 
the employer's efforts shall depend upon all the circumstances, 
including the nature and extent of the employer's deficiencies and the 
employer's size and resources.
    (1) Internal communication of the employer's obligation to provide 
equal

[[Page 188]]

employment opportunity without regard to religion or national origin in 
such a manner as to foster understanding, acceptance, and support among 
the employer's executive, management, supervisory, and all other 
employees and to encourage such persons to take the necessary action to 
aid the employer in meeting this obligation.
    (2) Development of reasonable internal procedures to insure that the 
employer's obligation to provide equal employment opportunity without 
regard to religion or national origin is being fully implemented.
    (3) Periodically informing all employees of the employer's 
commitment to equal employment opportunity for all persons, without 
regard to religion or national origin.
    (4) Enlisting the assistance and support of all recruitment sources 
(including employment agencies, college placement directors, and 
business associates) for the employer's commitment to provide equal 
employment opportunity without regard to religion or national origin.
    (5) Reviewing employment records to determine the availability of 
promotable and transferable members of various religious and ethnic 
groups.
    (6) Establishment of meaningful contacts with religious and ethnic 
organizations and leaders for such purposes as advice, education, 
technical assistance, and referral of potential employees.
    (7) Engaging in significant recruitment activities at educational 
institutions with substantial enrollments of students from various 
religious and ethnic groups.
    (8) Use of the religious and ethnic media for institutional and 
employment advertising.



Sec.  60-50.3  Accommodations to religious observance and practice.

    An employer must accommodate to the religious observances and 
practices of an employee or prospective employee unless the employer 
demonstrates that it is unable to reasonably accommodate to an 
employee's or prospective employee's religious observance or practice 
without undue hardship on the conduct of the employer's business. As 
part of this obligation, an employer must make reasonable accommodations 
to the religious observances and practices of an employee or prospective 
employee who regularly observes Friday evening and Saturday, or some 
other day of the week, as his Sabbath and/or who observes certain 
religious holidays during the year and who is conscientiously opposed to 
performing work or engaging in similar activity on such days, when such 
accommodations can be made without undue hardship on the conduct of the 
employer's business. In determining the extent of an employer's 
obligations under this section, at least the following factors shall be 
considered: (a) Business necessity, (b) financial costs and expenses, 
and (c) resulting personnel problems.



Sec.  60-50.4  Enforcement.

    The provisions of this part are subject to the general enforcement, 
compliance review, and complaint procedures set forth in subpart B of 
part 60-1 of this chapter.



Sec.  60-50.5  Nondiscrimination.

    The provisions of this part are not intended and shall not be used 
to discriminate against any qualified employee or applicant for 
employment because of race, color, religion, sex, sexual orientation, 
gender identity or national origin.

[79 FR 72995, Dec. 9, 2014]



   PART 60	300_AFFIRMATIVE ACTION AND NONDISCRIMINATION OBLIGATIONS 
   OF FEDERAL CONTRACTORS AND SUBCONTRACTORS REGARDING DISABLED VETERANS, 
   RECENTLY SEPARATED VETERANS, ACTIVE DUTY WARTIME OR CAMPAIGN BADGE VETERANS, 
   AND ARMED FORCES SERVICE MEDAL VETERANS--Table of Contents



         Subpart A_Preliminary Matters, Equal Opportunity Clause

Sec.
60-300.1 Purpose, applicability and construction.
60-300.2 Definitions.
60-300.3 [Reserved]

[[Page 189]]

60-300.4 Coverage and waivers.
60-300.5 Equal opportunity clause.

                   Subpart B_Discrimination Prohibited

60-300.20 Covered employment activities.
60-300.21 Prohibitions.
60-300.22 Direct threat defense.
60-300.23 Medical examinations and inquiries.
60-300.24 Drugs and alcohol.
60-300.25 Health insurance, life insurance and other benefit plans.

                  Subpart C_Affirmative Action Program

60-300.40 Applicability of the affirmative action program requirement.
60-300.41 Availability of affirmative action program.
60-300.42 Invitation to self-identify.
60-300.43 Affirmative action policy.
60-300.44 Required contents of affirmative action programs.
60-300.45 Benchmarks for hiring.

         Subpart D_General Enforcement and Complaint Procedures

60-300.60 Compliance evaluations.
60-300.61 Complaint procedures.
60-300.62 Resolution procedures.
60-300.63 Violation of conciliation agreements.
60-300.64 Show cause notices.
60-300.65 Enforcement proceedings.
60-300.66 Sanctions and penalties.
60-300.67 Notification of agencies.
60-300.68 Reinstatement of ineligible contractors.
60-300.69 Intimidation and interference.
60-300.70 Disputed matters related to compliance with the Act.

                       Subpart E_Ancillary Matters

60-300.80 Recordkeeping.
60-300.81 Access to records.
60-300.82 Labor organizations and recruiting and training agencies.
60-300.83 Rulings and interpretations.
60-300.84 Responsibilities of appropriate employment service delivery 
          system.

Appendix A to Part 60-300--Guidelines on a Contractor's Duty to Provide 
          Reasonable Accommodation
Appendix B to Part 60-300--Sample Invitation to Self-Identify
Appendix C to Part 60-300--Review of Personnel Processes

    Authority: 29 U.S.C. 793; 38 U.S.C. 4211 and 4212; E.O. 11758 (3 
CFR, 1971-1975 Comp., p. 841).

    Source: 78 FR 58662, Sept. 24, 2013, unless otherwise noted.



         Subpart A_Preliminary Matters, Equal Opportunity Clause



Sec.  60-300.1  Purpose, applicability and construction.

    (a) Purpose. The purpose of the regulations in this part is to set 
forth the standards for compliance with the Vietnam Era Veterans' 
Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, 
(VEVRAA), which prohibits discrimination against protected veterans and 
pre-JVA veterans as defined in this part, and requires Government 
contractors and subcontractors to take affirmative action to employ and 
advance in employment qualified protected veterans.
    Disabled veterans, recently separated veterans, active duty wartime 
or campaign badge veterans, and Armed Forces service medal veterans are 
protected veterans under VEVRAA.
    (b) Applicability. This part applies to any Government contract or 
subcontract of $100,000 or more, entered into or modified on or after 
December 1, 2003, for the purchase, sale or use of personal property or 
nonpersonal services (including construction): Provided, that subpart C 
of this part applies only as described in Sec.  60-300.40(a); and that 
the non-discrimination protections in Sec.  60-300.21 and the right to 
file complaints alleging discriminatory conduct set forth in Sec.  60-
300.61 also apply to ``pre-JVA veterans'' as defined in Sec.  60-300.2, 
who are applicants or employees of a contractor with a Government 
contract of $25,000 or more entered into prior to December 1, 2003, and 
unmodified since to a contract amount of $100,000. Compliance by the 
contractor with the provisions of this part will not necessarily 
determine its compliance with other statutes, and compliance with other 
statutes will not necessarily determine its compliance with this part.
    (c) Construction--(1) In general. The Interpretive Guidance on Title 
I of the Americans with Disabilities Act (ADA) (42 U.S.C. 12101, et 
seq.) set out as an appendix to 29 CFR part 1630 issued pursuant to 
Title I may be relied upon for guidance in interpreting the parallel 
provisions of this part.
    (2) Relationship to other laws. This part does not invalidate or 
limit the

[[Page 190]]

remedies, rights, and procedures under any Federal law or the law of any 
state or political subdivision that provides greater or equal protection 
for the rights of disabled veterans, recently separated veterans, active 
duty wartime or campaign badge veterans, or Armed Forces service medal 
protected veterans as compared to the protection afforded by this part. 
It may be a defense to a charge of violation of this part that a 
challenged action is required or necessitated by another Federal law or 
regulation, or that another Federal law or regulation prohibits an 
action (including the provision of a particular reasonable 
accommodation) that would otherwise be required by this part.
    (i) Uniformed Services Employment and Reemployment Rights Act. This 
part does not invalidate or limit the obligations, responsibilities, and 
requirements of the contractor pursuant to the Uniformed Services 
Employment and Reemployment Rights Act (USERRA) (38 U.S.C. 4301, et 
seq.). This includes the obligation under USERRA to reemploy employees 
of the contractor following qualifying service in the uniformed services 
in the position the employee would have obtained with reasonable 
certainty had the employee been continuously employed during the period 
of uniformed service. Compliance by the contractor with the provisions 
of this part will not necessarily determine its compliance with USERRA, 
and compliance with USERRA will not necessarily determine its compliance 
with this part.
    (ii) [Reserved]



Sec.  60-300.2  Definitions.

    For the purpose of this part:
    (a) Act means the Vietnam Era Veterans' Readjustment Assistance Act 
of 1974, as amended, 38 U.S.C. 4212, also referred to throughout this 
regulation as ``VEVRAA.''
    (b) Active duty wartime or campaign badge veteran means a veteran 
who served on active duty in the U.S. military, ground, naval or air 
service during a war or in a campaign or expedition for which a campaign 
badge has been authorized, under the laws administered by the Department 
of Defense.
    (c) Armed Forces service medal veteran means any veteran who, while 
serving on active duty in the U.S. military, ground, naval or air 
service, participated in a United States military operation for which an 
Armed Forces service medal was awarded pursuant to Executive Order 12985 
(61 FR 1209).
    (d) Compliance evaluation means any one or combination of actions 
OFCCP may take to examine a Federal contractor's or subcontractor's 
compliance with one or more of the requirements of the Act.
    (e) Contract means any Government contract or subcontract.
    (f) Contractor means, unless otherwise indicated, a prime contractor 
or subcontractor holding a contract of $100,000 or more.
    (g) Direct threat means a significant risk of substantial harm to 
the health or safety of the individual or others that cannot be 
eliminated or reduced by reasonable accommodation. The determination 
that an individual poses a direct threat shall be based on an 
individualized assessment of the individual's present ability to perform 
safely the essential functions of the job. This assessment shall be 
based on a reasonable medical judgment that relies on the most current 
medical knowledge and/or on the best available objective evidence. In 
determining whether an individual would pose a direct threat, the 
factors to be considered include:
    (1) The duration of the risk;
    (2) The nature and severity of the potential harm;
    (3) The likelihood that the potential harm will occur; and
    (4) The imminence of the potential harm.
    (h) Director means the Director, Office of Federal Contract 
Compliance Programs of the United States Department of Labor, or his or 
her designee.
    (i) Disabled veteran means:
    (1) A veteran of the U.S. military, ground, naval or air service who 
is entitled to compensation (or who but for the receipt of military 
retired pay would be entitled to compensation) under laws administered 
by the Secretary of Veterans Affairs, or
    (2) A person who was discharged or released from active duty because 
of a service-connected disability.

[[Page 191]]

    (j) Employment service delivery system means a service delivery 
system at which or through which labor exchange services, including 
employment, training, and placement services, are offered in accordance 
with the Wagner-Peyser Act. The Wagner-Peyser Act requires that these 
services be provided as part of the One-Stop delivery system established 
by the States under Section 134 of the Workforce Investment Act of 1998.
    (k) Equal opportunity clause means the contract provisions set forth 
in Sec.  60-300.5, ``Equal opportunity clause.''
    (l) Essential functions--(1) In general. The term essential 
functions means fundamental job duties of the employment position the 
disabled veteran holds or is seeking. The term essential functions does 
not include the marginal functions of the position.
    (2) A job function may be considered essential for any of several 
reasons, including, but not limited to, the following:
    (i) The function may be essential because the reason the position 
exists is to perform that function;
    (ii) The function may be essential because of the limited number of 
employees available among whom the performance of that job function can 
be distributed; and/or
    (iii) The function may be highly specialized so that the incumbent 
in the position is hired for his or her expertise or ability to perform 
the particular function.
    (3) Evidence of whether a particular function is essential includes, 
but is not limited to:
    (i) The contractor's judgment as to which functions are essential;
    (ii) Written job descriptions prepared before advertising or 
interviewing applicants for the job;
    (iii) The amount of time spent on the job performing the function;
    (iv) The consequences of not requiring the incumbent to perform the 
function;
    (v) The terms of a collective bargaining agreement;
    (vi) The work experience of past incumbents in the job; and/or
    (vii) The current work experience of incumbents in similar jobs.
    (m) Government means the Government of the United States of America.
    (n) Government contract means any agreement or modification thereof 
between any contracting agency and any person for the purchase, sale or 
use of personal property or nonpersonal services (including 
construction). The term Government contract does not include agreements 
in which the parties stand in the relationship of employer and employee, 
and federally assisted contracts.
    (1) Construction, as used in the definition of Government contract 
and subcontract of this section, means the construction, rehabilitation, 
alteration, conversion, extension, demolition, or repair of buildings, 
highways, or other changes or improvements to real property, including 
facilities providing utility services. The term also includes the 
supervision, inspection, and other on-site functions incidental to the 
actual construction.
    (2) Contracting agency means any department, agency, establishment 
or instrumentality of the United States, including any wholly owned 
Government corporation, which enters into contracts.
    (3) Modification means any alteration in the terms and conditions of 
a contract, including supplemental agreements, amendments and 
extensions.
    (4) Nonpersonal services, as used in the definition of Government 
contract and subcontract of this section, includes, but is not limited 
to, the following: Utility, construction, transportation, research, 
insurance, and fund depository.
    (5) Person, as used in the definition of Government contract and 
subcontract of this section, means any natural person, corporation, 
partnership or joint venture, unincorporated association, state or local 
government, and any agency, instrumentality, or subdivision of such a 
government.
    (6) Personal property, as used in the definition of Government 
contract and subcontract of this section, includes supplies and 
contracts for the use of real property (such as lease arrangements), 
unless the contract for the use of real property itself constitutes real 
property (such as easements).

[[Page 192]]

    (o) Pre-JVA veteran means an individual who is an employee of or 
applicant to a contractor with a contract of $25,000 or more entered 
into prior to December 1, 2003 and unmodified since to $100,000 or more, 
and who is a special disabled veteran, veteran of the Vietnam era, pre-
JVA recently separated veteran, or other protected veteran, as defined 
below:
    (1) Special disabled veteran means:
    (i) A veteran who is entitled to compensation (or who but for the 
receipt of military retired pay would be entitled to compensation) under 
laws administered by the Department of Veterans Affairs for a 
disability:
    (A) Rated at 30 percent or more; or
    (B) Rated at 10 or 20 percent in the case of a veteran who has been 
determined under 38 U.S.C. 3106 to have a serious employment handicap; 
or
    (ii) A person who was discharged or released from active duty 
because of a service-connected disability.
    (2) Veteran of the Vietnam Era means a person who:
    (i) Served on active duty for a period of more than 180 days, and 
was discharged or released therefrom with other than a dishonorable 
discharge, if any part of such active duty occurred:
    (A) In the Republic of Vietnam between February 28, 1961, and May 7, 
1975; or
    (B) Between August 5, 1964, and May 7, 1975, in all other cases; or
    (ii) Was discharged or released from active duty for a service-
connected disability if any part of such active duty was performed:
    (A) In the Republic of Vietnam between February 28, 1961, and May 7, 
1975; or
    (B) Between August 5, 1964, and May 7, 1975, in all other cases.
    (3) Pre-JVA recently separated veteran means a pre-JVA veteran 
during the one-year period beginning on the date of the pre-JVA 
veteran's discharge or release from active duty.
    (4) Other protected veteran means a person who served on active duty 
during a war or in a campaign or expedition for which a campaign badge 
has been authorized, under the laws administered by the Department of 
Defense.
    (p) Prime contractor means any person holding a contract of $100,000 
or more, and, for the purposes of subpart D of this part, ``General 
Enforcement and Complaint Procedures,'' includes any person who has held 
a contract subject to the Act.
    (q) Protected veteran means a veteran who is protected under the 
non-discrimination and affirmative action provisions of the Act; 
specifically, a veteran who may be classified as a ``disabled veteran,'' 
``recently separated veteran,'' ``active duty wartime or campaign badge 
veteran,'' or an ``Armed Forces service medal veteran,'' as defined by 
this section.
    (r) Qualification standards means the personal and professional 
attributes including the skill, experience, education, physical, 
medical, safety and other requirements established by the contractor as 
requirements which an individual must meet in order to be eligible for 
the position held or desired.
    (s) Qualified disabled veteran means a disabled veteran who has the 
ability to perform the essential functions of the employment position 
with or without reasonable accommodation.
    (t) Qualitative evidence includes but is not limited to testimony, 
interview statements, and documents about biased statements, remarks, 
attitudes, or acts based upon membership in a protected class, 
particularly when made by a decision maker involved in the action under 
investigation; testimony, interview statements, and documents about 
individuals denied or given misleading or contradictory information 
about employment or compensation practices, in circumstances suggesting 
discriminatory treatment based on a protected characteristic; testimony, 
interview statements, and documents about the extent of discretion or 
subjectivity involved in making employment decisions, in conjunction 
with evidence suggesting the discretion or subjectivity has been used to 
discriminate based on a protected characteristic; or other anecdotal 
evidence relevant to determining a contractor's discriminatory or non-
discriminatory intent, the business necessity (or lack thereof) of a 
challenged policy or practice, or whether the contractor has otherwise 
complied with its non-discrimination obligations. Qualitative evidence 
may not be based solely on

[[Page 193]]

subjective inferences or the mere fact of supervisory discretion in 
employment decisions. The Office of Federal Contract Compliance Programs 
(OFCCP) may also consider qualitative evidence in the form of a 
contractor's efforts to advance equal employment opportunity beyond mere 
compliance with legal obligations in determining whether intentional 
discrimination has occurred.
    (u) Quantitative evidence includes hypothesis testing, controlling 
for the major, measurable parameters, and variables used by the 
contractor (including, as appropriate, preferred qualifications, other 
demographic variables, test scores, geographic variables, performance 
evaluations, years of experience, quality of experience, years of 
service, quality and reputation of previous employers, years of 
education, years of training, quality and reputation of credentialing 
institutions, etc.), related to the probability of outcomes occurring by 
chance and/or analyses reflecting statements concluding that a disparity 
in employment selection rates or rates of compensation is statistically 
significant by reference to any one of these statements:
    (1) The disparity is two or more times larger than its standard 
error (i.e., a standard deviation of two or more);
    (2) The Z statistic has a value greater than two; or
    (3) The probability value is less than 0.05. It also includes 
numerical analysis of similarly situated individuals, small groups, or 
other characteristics, demographics or outcomes where hypothesis-testing 
techniques are not used.
    (v) Reasonable accommodation--(1) The term reasonable accommodation 
means:
    (i) Modifications or adjustments to a job application process that 
enable a qualified applicant who is a disabled veteran to be considered 
for the position such applicant desires; \1\ or
---------------------------------------------------------------------------

    \1\ A contractor's duty to provide a reasonable accommodation with 
respect to applicants who are disabled veterans is not limited to those 
who ultimately demonstrate that they are qualified to perform the job in 
issue. Disabled veteran applicants must be provided a reasonable 
accommodation with respect to the application process if they are 
qualified with respect to that process (e.g., if they present themselves 
at the correct location and time to fill out an application).
---------------------------------------------------------------------------

    (ii) Modifications or adjustments to the work environment, or to the 
manner or circumstances under which the position held or desired is 
customarily performed, that enable a qualified disabled veteran to 
perform the essential functions of that position; or
    (iii) Modifications or adjustments that enable the contractor's 
employee who is a disabled veteran to enjoy equal benefits and 
privileges of employment as are enjoyed by the contractor's other 
similarly situated employees who are not disabled veterans.
    (2) Reasonable accommodation may include but is not limited to:
    (i) Making existing facilities used by employees readily accessible 
to and usable by disabled veterans; and
    (ii) Job restructuring; part-time or modified work schedules; 
reassignment to a vacant position; acquisition or modifications of 
equipment or devices; appropriate adjustment or modifications of 
examinations, training materials, or policies; the provision of 
qualified readers or interpreters; and other similar accommodations for 
disabled veterans.
    (3) To determine the appropriate reasonable accommodation it may be 
necessary for the contractor to initiate an informal, interactive 
process with the qualified disabled veteran in need of the 
accommodation.\2\ This process should identify the precise limitations 
resulting from the disability and potential reasonable accommodations 
that could overcome those limitations. (Appendix A of this part provides 
guidance on a contractor's duty to provide reasonable accommodation.)
---------------------------------------------------------------------------

    \2\ Contractors must engage in such an interactive process with a 
disabled veteran, whether or not a reasonable accommodation ultimately 
is identified that will make the person a qualified individual. 
Contractors must engage in the interactive process because, until they 
have done so, they may be unable to determine whether a reasonable 
accommodation exists that will result in the person being qualified.
---------------------------------------------------------------------------

    (w) Recently separated veteran means any veteran during the three-
year period beginning on the date of such veteran's discharge or release 
from active

[[Page 194]]

duty in the U.S. military, ground, naval or air service.
    (x) Recruiting and training agency means any person who refers 
workers to any contractor, or who provides or supervises apprenticeship 
or training for employment by any contractor.
    (y) Secretary means the Secretary of Labor, United States Department 
of Labor, or his or her designee.
    (z) Subcontract. (1) Subcontract means any agreement or arrangement 
between a contractor and any person (in which the parties do not stand 
in the relationship of an employer and an employee):
    (i) For the purchase, sale or use of personal property or 
nonpersonal services which, in whole or in part, is necessary to the 
performance of any one or more contracts; or
    (ii) Under which any portion of the contractor's obligation under 
any one or more contracts is performed, undertaken, or assumed; and
    (2) Does not include an agreement between a health care provider and 
a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (i) An agreement means a relationship between a health care provider 
and a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (ii) A health care provider is a physician, hospital, or other 
individual or entity that furnishes health care services or supplies.
    (iii) A health organization is a voluntary association, corporation, 
partnership, managed care support contractor, or other nongovernmental 
organization that is lawfully engaged in providing, paying for, 
insuring, or reimbursing the cost of health care services or supplies 
under group insurance policies or contracts, medical or hospital service 
agreements, membership or subscription contracts, network agreements, 
health benefits plans duly sponsored or underwritten by an employee 
organization or association of organizations and health maintenance 
organizations, or other similar arrangements, in consideration of 
premiums or other periodic charges or payments payable to the health 
organization.
    (aa) Subcontractor means any person holding a subcontract of 
$100,000 or more and, for the purposes of subpart D of this part, 
``General Enforcement and Complaint Procedures,'' any person who has 
held a subcontract subject to the Act.
    (bb) TAP means the Department of Defense's Transition Assistance 
Program, or any successor programs thereto. The TAP was designed to 
smooth the transition of military personnel and family members leaving 
active duty via employment workshops and individualized employment 
assistance and training.
    (cc) Undue hardship--(1) In general. Undue hardship means, with 
respect to the provision of an accommodation, significant difficulty or 
expense incurred by the contractor, when considered in light of the 
factors set forth in paragraph (2) of this section.
    (2) Factors to be considered. In determining whether an 
accommodation would impose an undue hardship on the contractor, factors 
to be considered include:
    (i) The nature and net cost of the accommodation needed, taking into 
consideration the availability of tax credits and deductions, and/or 
outside funding;
    (ii) The overall financial resources of the facility or facilities 
involved in the provision of the reasonable accommodation, the number of 
persons employed at such facility, and the effect on expenses and 
resources;
    (iii) The overall financial resources of the contractor, the overall 
size of the business of the contractor with respect to the number of its 
employees, and the number, type and location of its facilities;
    (iv) The type of operation or operations of the contractor, 
including the composition, structure and functions of the work force of 
such contractor, and the geographic separateness and administrative or 
fiscal relationship of the facility or facilities in question to the 
contractor; and

[[Page 195]]

    (v) The impact of the accommodation upon the operation of the 
facility, including the impact on the ability of other employees to 
perform their duties and the impact on the facility's ability to conduct 
business.
    (dd) United States, as used in this part, shall include the several 
States, the District of Columbia, the Virgin Islands, the Commonwealth 
of Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern 
Mariana Islands, and Wake Island.
    (ee) Veteran means a person who served in the active military, 
naval, or air service of the United States, and who was discharged or 
released therefrom under conditions other than dishonorable.

[78 FR 58662, Sept. 24, 2013, as amended at 85 FR 39846, July 2, 2020; 
85 FR 71572, Nov. 10, 2020]



Sec.  60-300.3  [Reserved]



Sec.  60-300.4  Coverage and waivers.

    (a) General--(1) Contracts and subcontracts of $100,000 or more. 
Contracts and subcontracts of $100,000 or more are covered by this part. 
No contracting agency or contractor shall procure supplies or services 
in less than usual quantities to avoid the applicability of the equal 
opportunity clause.
    (2) Contracts for indefinite quantities. With respect to indefinite 
delivery-type contracts (including, but not limited to, open end 
contracts, requirement-type contracts, Federal Supply Schedule 
contracts, ``call-type'' contracts, and purchase notice agreements), the 
equal opportunity clause shall be included unless the contracting agency 
has reason to believe that the amount to be ordered in any year under 
such contract will be less than $100,000. The applicability of the equal 
opportunity clause shall be determined at the time of award for the 
first year, and annually thereafter for succeeding years, if any. 
Notwithstanding the above, the equal opportunity clause shall be applied 
to such contract whenever the amount of a single order is $100,000 or 
more. Once the equal opportunity clause is determined to be applicable, 
the contract shall continue to be subject to such clause for its 
duration, regardless of the amounts ordered, or reasonably expected to 
be ordered in any year.
    (3) Employment activities within the United States. This part 
applies only to employment activities within the United States and not 
to employment activities abroad. The term ``employment activities within 
the United States'' includes actual employment within the United States, 
and decisions of the contractor made within the United States pertaining 
to the contractor's applicants and employees who are within the United 
States, regarding employment opportunities abroad (such as recruiting 
and hiring within the United States for employment abroad, or transfer 
of persons employed in the United States to contractor establishments 
abroad).
    (4) Contracts with State or local governments. The requirements of 
the equal opportunity clause in any contract or subcontract with a State 
or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract.
    (b) Waivers--(1) Specific contracts and classes of contracts. The 
Director may waive the application to any contract of the equal 
opportunity clause in whole or part when he or she deems that special 
circumstances in the national interest so require. The Director may also 
grant such waivers to groups or categories of contracts: Where it is in 
the national interest; where it is found impracticable to act upon each 
request individually; and where such waiver will substantially 
contribute to convenience in administration of the Act. When a waiver 
has been granted for any class of contracts, the Director may withdraw 
the waiver for a specific contract or group of contracts to be awarded, 
when in his or her judgment such action is necessary or appropriate to 
achieve the purposes of the Act. The withdrawal shall not apply to 
contracts awarded prior to the withdrawal, except that in procurements 
entered into by formal advertising, or the various forms of restricted 
formal advertising, such withdrawal shall not apply

[[Page 196]]

unless the withdrawal is made more than 10 calendar days before the date 
set for the opening of the bids.
    (2) National security. Any requirement set forth in the regulations 
of this part shall not apply to any contract whenever the head of the 
contracting agency determines that such contract is essential to the 
national security and that its award without complying with such 
requirements is necessary to the national security. Upon making such a 
determination, the head of the contracting agency will notify the 
Director in writing within 30 days.
    (3) Facilities not connected with contracts. The Director may waive 
the requirements of the equal opportunity clause with respect to any of 
a contractor's facilities which he or she finds to be in all respects 
separate and distinct from activities of the contractor related to the 
performance of the contract, provided that he or she also finds that 
such a waiver will not interfere with or impede the effectuation of the 
Act. Such waivers shall be considered only upon the request of the 
contractor.



Sec.  60-300.5  Equal opportunity clause.

    (a) Government contracts. Each contracting agency and each 
contractor shall include the following equal opportunity clause in each 
of its covered Government contracts or subcontracts (and modifications, 
renewals, or extensions thereof if not included in the original 
contract):

           EQUAL OPPORTUNITY FOR VEVRAA PROTECTED VETERANS \3\
---------------------------------------------------------------------------

    \3\ The definitions set forth in 41 CFR 60-300.2 apply to the terms 
used throughout this Clause, and they are incorporated herein by 
reference.
---------------------------------------------------------------------------

    1. The contractor will not discriminate against any employee or 
applicant for employment because he or she is a disabled veteran, 
recently separated veteran, active duty wartime or campaign badge 
veteran, or Armed Forces service medal veteran (hereinafter collectively 
referred to as ``protected veteran(s)'') in regard to any position for 
which the employee or applicant for employment is qualified. The 
contractor agrees to take affirmative action to employ, advance in 
employment and otherwise treat qualified individuals without 
discrimination based on their status as a protected veteran in all 
employment practices, including the following:
    i. Recruitment, advertising, and job application procedures.
    ii. Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff and rehiring.
    iii. Rates of pay or any other form of compensation and changes in 
compensation.
    iv. Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists.
    v. Leaves of absence, sick leave, or any other leave.
    vi. Fringe benefits available by virtue of employment, whether or 
not administered by the contractor.
    vii. Selection and financial support for training, including 
apprenticeship, and on-the-job training under 38 U.S.C. 3687, 
professional meetings, conferences, and other related activities, and 
selection for leaves of absence to pursue training.
    viii. Activities sponsored by the contractor including social or 
recreational programs.
    ix. Any other term, condition, or privilege of employment.
    2. The contractor agrees to immediately list all employment openings 
which exist at the time of the execution of this contract and those 
which occur during the performance of this contract, including those not 
generated by this contract and including those occurring at an 
establishment of the contractor other than the one where the contract is 
being performed, but excluding those of independently operated corporate 
affiliates, with the appropriate employment service delivery system 
where the opening occurs. Listing employment openings with the state 
workforce agency job bank or with the local employment service delivery 
system where the opening occurs will satisfy the requirement to list 
jobs with the appropriate employment service delivery system. In order 
to satisfy the listing requirement described herein, contractors must 
provide information about the job vacancy in any manner and format 
permitted by the appropriate employment service delivery system which 
will allow that system to provide priority referral of veterans 
protected by VEVRAA for that job vacancy. Providing information on 
employment openings to a privately run job service or exchange will 
satisfy the contractor's listing obligation if the privately run job 
service or exchange provides the information to the appropriate 
employment service delivery system in any manner and format that the 
employment service delivery system permits which will allow that system 
to provide priority referral of protected veterans.
    3. Listing of employment openings with the appropriate employment 
service delivery

[[Page 197]]

system pursuant to this clause shall be made at least concurrently with 
the use of any other recruitment source or effort and shall involve the 
normal obligations which attach to the placing of a bona fide job order, 
including the acceptance of referrals of veterans and nonveterans. The 
listing of employment openings does not require the hiring of any 
particular job applicants or from any particular group of job 
applicants, and nothing herein is intended to relieve the contractor 
from any requirements in Executive orders or regulations regarding 
nondiscrimination in employment.
    4. Whenever a contractor, other than a state or local governmental 
contractor, becomes contractually bound to the listing provisions in 
paragraphs 2 and 3 of this clause, it shall advise the employment 
service delivery system in each state where it has establishments that: 
(a) It is a Federal contractor, so that the employment service delivery 
systems are able to identify them as such; and (b) it desires priority 
referrals from the state of protected veterans for job openings at all 
locations within the state. The contractor shall also provide to the 
employment service delivery system the name and location of each hiring 
location within the state and the contact information for the contractor 
official responsible for hiring at each location. The ``contractor 
official'' may be a chief hiring official, a Human Resources contact, a 
senior management contact, or any other manager for the contractor that 
can verify the information set forth in the job listing and receive 
priority referrals from employment service delivery systems. In the 
event that the contractor uses any external job search organizations to 
assist in its hiring, the contractor shall also provide to the 
employment service delivery system the contact information for the job 
search organization(s). The disclosures required by this paragraph shall 
be made simultaneously with the contractor's first job listing at each 
employment service delivery system location after the effective date of 
this final rule. Should any of the information in the disclosures change 
since it was last reported to the employment service delivery system 
location, the contractor shall provide updated information 
simultaneously with its next job listing. As long as the contractor is 
contractually bound to these provisions and has so advised the 
employment service delivery system, there is no need to advise the 
employment service delivery system of subsequent contracts. The 
contractor may advise the employment service delivery system when it is 
no longer bound by this contract clause.
    5. The provisions of paragraphs 2 and 3 of this clause do not apply 
to the listing of employment openings which occur and are filled outside 
of the 50 states, the District of Columbia, the Commonwealth of Puerto 
Rico, Guam, the Virgin Islands, American Samoa, the Commonwealth of the 
Northern Mariana Islands, Wake Island, and the Trust Territories of the 
Pacific Islands.
    6. As used in this clause: i. All employment openings includes all 
positions except executive and senior management, those positions that 
will be filled from within the contractor's organization, and positions 
lasting three days or less. This term includes full-time employment, 
temporary employment of more than three days' duration, and part-time 
employment.
    ii. Executive and senior management means: (1) Any employee (a) 
compensated on a salary basis at a rate of not less than $455 per week 
(or $380 per week, if employed in American Samoa by employers other than 
the Federal Government), exclusive of board, lodging or other 
facilities; (b) whose primary duty is management of the enterprise in 
which the employee is employed or of a customarily recognized department 
or subdivision thereof; (c) who customarily and regularly directs the 
work of two or more other employees; and (d) who has the authority to 
hire or fire other employees or whose suggestions and recommendations as 
to the hiring, firing, advancement, promotion or any other change of 
status of other employees are given particular weight; or (2) any 
employee who owns at least a bona fide 20-percent equity interest in the 
enterprise in which the employee is employed, regardless of whether the 
business is a corporate or other type of organization, and who is 
actively engaged in its management.
    iii. Positions that will be filled from within the contractor's 
organization means employment openings for which no consideration will 
be given to persons outside the contractor's organization (including any 
affiliates, subsidiaries, and parent companies) and includes any 
openings which the contractor proposes to fill from regularly 
established ``recall'' lists. The exception does not apply to a 
particular opening once an employer decides to consider applicants 
outside of his or her own organization.
    7. The contractor agrees to comply with the rules, regulations, and 
relevant orders of the Secretary of Labor issued pursuant to the Act.
    8. In the event of the contractor's noncompliance with the 
requirements of this clause, actions for noncompliance may be taken in 
accordance with the rules, regulations, and relevant orders of the 
Secretary of Labor issued pursuant to the Act.
    9. The contractor agrees to post in conspicuous places, available to 
employees and applicants for employment, notices in a form to be 
prescribed by the Director, Office of Federal Contract Compliance 
Programs, provided by or through the contracting officer.

[[Page 198]]

Such notices shall state the rights of applicants and employees as well 
as the contractor's obligation under the law to take affirmative action 
to employ and advance in employment qualified employees and applicants 
who are protected veterans. The contractor must ensure that applicants 
or employees who are disabled veterans are provided the notice in a form 
that is accessible and understandable to the disabled veteran (e.g., 
providing Braille or large print versions of the notice, posting the 
notice for visual accessibility to persons in wheelchairs, providing the 
notice electronically or on computer disc, or other versions). With 
respect to employees who do not work at a physical location of the 
contractor, a contractor will satisfy its posting obligations by posting 
such notices in an electronic format, provided that the contractor 
provides computers that can access the electronic posting to such 
employees, or the contractor has actual knowledge that such employees 
otherwise are able to access the electronically posted notices. 
Electronic notices for employees must be posted in a conspicuous 
location and format on the company's intranet or sent by electronic mail 
to employees. An electronic posting must be used by the contractor to 
notify job applicants of their rights if the contractor utilizes an 
electronic application process. Such electronic applicant notice must be 
conspicuously stored with, or as part of, the electronic application.
    10. The contractor will notify each labor organization or 
representative of workers with which it has a collective bargaining 
agreement or other contract understanding that the contractor is bound 
by the terms of VEVRAA, and is committed to take affirmative action to 
employ and advance in employment, and shall not discriminate against, 
protected veterans.
    11. The contractor will include the provisions of this clause in 
every subcontract or purchase order of $100,000 or more, unless exempted 
by the rules, regulations, or orders of the Secretary issued pursuant to 
VEVRAA so that such provisions will be binding upon each subcontractor 
or vendor. The contractor will take such action with respect to any 
subcontract or purchase order as the Director, Office of Federal 
Contract Compliance Programs, may direct to enforce such provisions, 
including action for noncompliance.
    12. The contractor must, in all solicitations or advertisements for 
employees placed by or on behalf of the contractor, state that all 
qualified applicants will receive consideration for employment without 
regard to their protected veteran status.


[End of Clause]

    (b) Subcontracts. Each contractor shall include the equal 
opportunity clause in each of its subcontracts subject to this part.
    (c) Adaptation of language. Such necessary changes in language may 
be made to the equal opportunity clause as must be appropriate to 
identify properly the parties and their undertakings.
    (d) Inclusion of the equal opportunity clause in the contract. It is 
not necessary to include the equal opportunity clause verbatim in the 
contract. The clause shall be made a part of the contract by citation to 
41 CFR 60-300.5(a) and inclusion of the following language, in bold 
text, after the citation: ``This contractor and subcontractor shall 
abide by the requirements of 41 CFR 60-300.5(a). This regulation 
prohibits discrimination against qualified protected veterans, and 
requires affirmative action by covered prime contractors and 
subcontractors to employ and advance in employment qualified protected 
veterans.''
    (e) Incorporation by operation of the Act. By operation of the Act, 
the equal opportunity clause shall be considered to be a part of every 
contract and subcontract required by the Act and the regulations in this 
part to include such a clause, whether or not it is physically 
incorporated in such contract and whether or not there is a written 
contract between the agency and the contractor.
    (f) Duties of contracting agencies. Each contracting agency shall 
cooperate with the Director and the Secretary in the performance of 
their responsibilities under the Act. Such cooperation shall include 
insuring that the equal opportunity clause is included in all covered 
Government contracts and that contractors are fully informed of their 
obligations under the Act and this part, providing the Director with any 
information which comes to the agency's attention that a contractor is 
not in compliance with the Act or this part, responding to requests for 
information from the Director, and taking such actions for noncompliance 
as are set forth in Sec.  60-300.66 as may be ordered by the Secretary 
or the Director.

[[Page 199]]



                   Subpart B_Discrimination Prohibited



Sec.  60-300.20  Covered employment activities.

    The prohibition against discrimination in this part applies to the 
following employment activities:
    (a) Recruitment, advertising, and job application procedures;
    (b) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring;
    (c) Rates of pay or any other form of compensation and changes in 
compensation;
    (d) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (e) Leaves of absence, sick leave, or any other leave;
    (f) Fringe benefits available by virtue of employment, whether or 
not administered by the contractor;
    (g) Selection and financial support for training, including, 
apprenticeships, professional meetings, conferences and other related 
activities, and selection for leaves of absence to pursue training;
    (h) Activities sponsored by the contractor including social and 
recreational programs; and
    (i) Any other term, condition, or privilege of employment.



Sec.  60-300.21  Prohibitions.

    The term discrimination includes, but is not limited to, the acts 
described in this section and Sec.  60-300.23.
    (a) Disparate treatment. It is unlawful for the contractor to deny 
an employment opportunity or benefit or otherwise to discriminate 
against a qualified individual because of that individual's status as a 
protected veteran or pre-JVA veteran.
    (b) Limiting, segregating and classifying. Unless otherwise 
permitted by this part, it is unlawful for the contractor to limit, 
segregate, or classify a job applicant or employee in a way that 
adversely affects his or her employment opportunities or status on the 
basis of that individual's status as a protected veteran or pre-JVA 
veteran. For example, the contractor may not segregate protected 
veterans as a whole, or any classification of protected veterans or pre-
JVA veterans, into separate work areas or into separate lines of 
advancement.
    (c) Contractual or other arrangements--(1) In general. It is 
unlawful for the contractor to participate in a contractual or other 
arrangement or relationship that has the effect of subjecting the 
contractor's own qualified applicant or employee who is a protected 
veteran or pre-JVA veteran to the discrimination prohibited by this 
part.
    (2) Contractual or other arrangement defined. The phrase 
``contractual or other arrangement or relationship'' includes, but is 
not limited to, a relationship with: an employment or referral agency; a 
labor organization, including a collective bargaining agreement; an 
organization providing fringe benefits to an employee of the contractor; 
or an organization providing training and apprenticeship programs.
    (3) Application. This paragraph (c) applies to the contractor, with 
respect to its own applicants or employees, whether the contractor 
offered the contract or initiated the relationship, or whether the 
contractor accepted the contract or acceded to the relationship. The 
contractor is not liable for the actions of the other party or parties 
to the contract which only affect that other party's employees or 
applicants.
    (d) Standards, criteria or methods of administration. It is unlawful 
for the contractor to use standards, criteria, or methods of 
administration, that are not job-related and consistent with business 
necessity, and that:
    (1) Have the effect of discriminating on the basis of status as a 
protected veteran or pre-JVA veteran; or
    (2) Perpetuate the discrimination of others who are subject to 
common administrative control.
    (e) Relationship or association with a protected veteran. It is 
unlawful for the contractor to exclude or deny equal jobs or benefits 
to, or otherwise discriminate against, a qualified individual because of 
the known protected veteran or pre-JVA veteran status of an individual 
with whom the qualified individual is known to have a family, business, 
social or other relationship or association.

[[Page 200]]

    (f) Not making reasonable accommodation. (1) It is unlawful for the 
contractor to fail to make reasonable accommodation to the known 
physical or mental limitations of an applicant or employee who is a 
qualified disabled veteran or pre-JVA special disabled veteran, unless 
such contractor can demonstrate that the accommodation would impose an 
undue hardship on the operation of its business.
    (2) It is unlawful for the contractor to deny employment 
opportunities to an applicant or employee who is a qualified disabled 
veteran or pre-JVA special disabled veteran based on the need of such 
contractor to make reasonable accommodation to such an individual's 
physical or mental impairments.
    (3) A qualified disabled veteran or pre-JVA special disabled veteran 
is not required to accept an accommodation, aid, service, opportunity or 
benefit which such qualified individual chooses not to accept. However, 
if such individual rejects a reasonable accommodation, aid, service, 
opportunity or benefit that is necessary to enable the individual to 
perform the essential functions of the position held or desired, and 
cannot, as a result of that rejection, perform the essential functions 
of the position, the individual will not be considered a qualified 
disabled veteran or pre-JVA special disabled veteran.
    (g) Qualification standards, tests and other selection criteria--(1) 
In general. It is unlawful for the contractor to use qualification 
standards, employment tests or other selection criteria that screen out 
or tend to screen out individuals on the basis of their status as 
protected veterans or pre-JVA veterans unless the standard, test or 
other selection criterion, as used by the contractor, is shown to be 
job-related for the position in question and is consistent with business 
necessity. Selection criteria that concern an essential function may not 
be used to exclude a disabled veteran if that individual could satisfy 
the criteria with provision of a reasonable accommodation. Selection 
criteria that exclude or tend to exclude individuals on the basis of 
their status as protected veterans or pre-JVA veterans but concern only 
marginal functions of the job would not be consistent with business 
necessity. The contractor may not refuse to hire an applicant who is a 
disabled veteran or pre-JVA special disabled veteran because the 
applicant's disability prevents him or her from performing marginal 
functions. When considering a protected veteran or pre-JVA veteran for 
an employment opportunity, the contractor may not rely on portions of 
such veteran's military record, including his or her discharge papers, 
which are not relevant to the qualification requirements of the 
opportunity in issue.
    (2) The Uniform Guidelines on Employee Selection Procedures, 41 CFR 
part 60-3, do not apply to 38 U.S.C. 4212 and are similarly inapplicable 
to this part.
    (h) Administration of tests. It is unlawful for the contractor to 
fail to select and administer tests concerning employment in the most 
effective manner to ensure that, when a test is administered to a job 
applicant or employee who is a disabled veteran or pre-JVA special 
disabled veteran with a disability that impairs sensory, manual, or 
speaking skills, the test results accurately reflect the skills, 
aptitude, or whatever other factor of the applicant or employee that the 
test purports to measure, rather than reflecting the impaired sensory, 
manual, or speaking skills of such employee or applicant, except where 
such skills are the factors that the test purports to measure.
    (i) Compensation. In offering employment or promotions to protected 
veterans or pre-JVA veterans, it is unlawful for the contractor to 
reduce the amount of compensation offered because of any income based 
upon a disability-related and/or military-service-related pension or 
other disability-related and/or military-service-related benefit the 
applicant or employee receives from another source.



Sec.  60-300.22  Direct threat defense.

    The contractor may use as a qualification standard the requirement 
that an individual be able to perform the essential functions of the 
position held or desired without posing a direct threat to the health or 
safety of the individual or others in the workplace. (See Sec.  60-
300.2(g) defining direct threat.).

[[Page 201]]



Sec.  60-300.23  Medical examinations and inquiries.

    (a) Prohibited medical examinations or inquiries. Except as stated 
in paragraphs (b) and (c) of this section, it is unlawful for the 
contractor to require a medical examination of an applicant or employee 
or to make inquiries as to whether an applicant or employee is a 
disabled veteran or as to the nature or severity of such a veteran's 
disability.
    (b) Permitted medical examinations and inquiries--(1) Acceptable 
pre-employment inquiry. The contractor may make pre-employment inquiries 
into the ability of an applicant to perform job-related functions, and/
or may ask an applicant to describe or to demonstrate how, with or 
without reasonable accommodation, the applicant will be able to perform 
job-related functions.
    (2) Employment entrance examination. The contractor may require a 
medical examination (and/or inquiry) after making an offer of employment 
to a job applicant and before the applicant begins his or her employment 
duties, and may condition an offer of employment on the results of such 
examination (and/or inquiry), if all entering employees in the same job 
category are subjected to such an examination (and/or inquiry) 
regardless of their status as a disabled veteran.
    (3) Examination of employees. The contractor may require a medical 
examination (and/or inquiry) of an employee that is job-related and 
consistent with business necessity. The contractor may make inquiries 
into the ability of an employee to perform job-related functions.
    (4) Other acceptable examinations and inquiries. The contractor may 
conduct voluntary medical examinations and activities, including 
voluntary medical histories, which are part of an employee health 
program available to employees at the work site.
    (5) Medical examinations conducted in accordance with paragraphs 
(b)(2) and (b)(4) of this section do not have to be job-related and 
consistent with business necessity. However, if certain criteria are 
used to screen out an applicant or applicants or an employee or 
employees who are disabled veterans as a result of such examinations or 
inquiries, the contractor must demonstrate that the exclusionary 
criteria are job-related and consistent with business necessity, and 
that performance of the essential job functions cannot be accomplished 
with reasonable accommodations as required in this part.
    (c) Invitation to self-identify. The contractor shall invite 
applicants to self-identify as being covered by the Act, as specified in 
Sec.  60-300.42.
    (d) Confidentiality and use of medical information. (1) Information 
obtained under this section regarding the medical condition or history 
of any applicant or employee shall be collected and maintained on 
separate forms and in separate medical files and treated as a 
confidential medical record, except that:
    (i) Supervisors and managers may be informed regarding necessary 
restrictions on the work or duties of the applicant or employee and 
necessary accommodations;
    (ii) First aid and safety personnel may be informed, when 
appropriate, if the disability might require emergency treatment; and
    (iii) Government officials engaged in enforcing the laws 
administered by OFCCP, including this part, or enforcing the Americans 
with Disabilities Act, shall be provided relevant information on 
request.
    (2) Information obtained under this section regarding the medical 
condition or history of any applicant or employee shall not be used for 
any purpose inconsistent with this part.



Sec.  60-300.24  Drugs and alcohol.

    (a) Specific activities permitted. The contractor: (1) May prohibit 
the illegal use of drugs and the use of alcohol at the workplace by all 
employees;
    (2) May require that employees not be under the influence of alcohol 
or be engaging in the illegal use of drugs at the workplace;
    (3) May require that all employees behave in conformance with the 
requirements established under the Drug-Free Workplace Act of 1988 (41 
U.S.C. 701 et seq.);
    (4) May hold an employee who engages in the illegal use of drugs or 
who is an alcoholic to the same qualification standards for employment 
or job

[[Page 202]]

performance and behavior to which the contractor holds its other 
employees, even if any unsatisfactory performance or behavior is related 
to the employee's drug use or alcoholism;
    (5) May require that its employees employed in an industry subject 
to such regulations comply with the standards established in the 
regulations (if any) of the Departments of Defense and Transportation, 
and of the Nuclear Regulatory Commission, and other Federal agencies 
regarding alcohol and the illegal use of drugs; and
    (6) May require that employees employed in sensitive positions 
comply with the regulations (if any) of the Departments of Defense and 
Transportation, and of the Nuclear Regulatory Commission, and other 
Federal agencies that apply to employment in sensitive positions subject 
to such regulations.
    (b) Drug testing--(1) General policy. For purposes of this part, a 
test to determine the illegal use of drugs is not considered a medical 
examination. Thus, the administration of such drug tests by the 
contractor to its job applicants or employees is not a violation of 
Sec.  60-300.23. Nothing in this part shall be construed to encourage, 
prohibit, or authorize the contractor to conduct drug tests of job 
applicants or employees to determine the illegal use of drugs or to make 
employment decisions based on such test results.
    (2) Transportation employees. Nothing in this part shall be 
construed to encourage, prohibit, or authorize the otherwise lawful 
exercise by contractors subject to the jurisdiction of the Department of 
Transportation of authority to test employees in, and applicants for, 
positions involving safety-sensitive duties for the illegal use of drugs 
or for on-duty impairment by alcohol; and remove from safety-sensitive 
positions persons who test positive for illegal use of drugs or on-duty 
impairment by alcohol pursuant to paragraph (b)(1) of this section.
    (3) Any information regarding the medical condition or history of 
any employee or applicant obtained from a test to determine the illegal 
use of drugs, except information regarding the illegal use of drugs, is 
subject to the requirements of Sec. Sec.  60-300.23(b)(5) and 60-
300.23(d)(2).



Sec.  60-300.25  Health insurance, life insurance and other benefit plans.

    (a) An insurer, hospital, or medical service company, health 
maintenance organization, or any agent or entity that administers 
benefit plans, or similar organizations may underwrite risks, classify 
risks, or administer such risks that are based on or not inconsistent 
with state law.
    (b) The contractor may establish, sponsor, observe or administer the 
terms of a bona fide benefit plan that are based on underwriting risks, 
classifying risks, or administering such risks that are based on or not 
inconsistent with state law.
    (c) The contractor may establish, sponsor, observe, or administer 
the terms of a bona fide benefit plan that is not subject to state laws 
that regulate insurance.
    (d) The contractor shall not deny a qualified disabled veteran equal 
access to insurance or subject a qualified disabled veteran to different 
terms or conditions of insurance based on disability alone, if the 
disability does not pose increased risks.
    (e) The activities described in paragraphs (a), (b) and (c) of this 
section are permitted unless these activities are used as a subterfuge 
to evade the purposes of this part.



                  Subpart C_Affirmative Action Program



Sec.  60-300.40  Applicability of the affirmative action program requirement.

    (a) The requirements of this subpart apply to every Government 
contractor that has 50 or more employees and a contract of $100,000 or 
more.
    (b) Contractors described in paragraph (a) of this section shall, 
within 120 days of the commencement of a contract, prepare and maintain 
an affirmative action program at each establishment. The affirmative 
action program shall set forth the contractor's policies and procedures 
in accordance with this part. This program may be integrated into or 
kept separate from other affirmative action programs.

[[Page 203]]

    (c) The affirmative action program shall be reviewed and updated 
annually by the official designated by the contractor pursuant to Sec.  
60-300.44(i).
    (d) The contractor shall submit the affirmative action program 
within 30 days of a request from OFCCP, unless the request provides for 
a different time. The contractor also shall make the affirmative action 
program promptly available on-site upon OFCCP's request.



Sec.  60-300.41  Availability of affirmative action program.

    The full affirmative action program, absent the data metrics 
required by Sec.  60-300.44(k), shall be made available to any employee 
or applicant for employment for inspection upon request. The location 
and hours during which the program may be obtained shall be posted at 
each establishment.



Sec.  60-300.42  Invitation to self-identify.

    (a) Pre-offer. The contractor shall invite applicants to inform the 
contractor whether the applicant believes that he or she is a protected 
veteran who may be covered by the Act. This invitation may be included 
in the application materials for the position, but in any circumstance 
shall be provided to applicants prior to making an offer of employment 
to a job applicant.
    (b) Post-offer. In addition to the invitation in paragraph (a) of 
this section, the contractor shall invite applicants to inform the 
contractor whether the applicant believes that he or she belongs to one 
or more of the specific categories of protected veteran for which the 
contractor is required to report pursuant to 41 CFR part 61-300. Such an 
invitation shall be made at any time after the offer of employment but 
before the applicant begins his or her job duties.
    (c) The invitations referenced in paragraphs (a) and (b) of this 
section shall state that the contractor is a Federal contractor required 
to take affirmative action to employ and advance in employment protected 
veterans pursuant to the Act. The invitations also shall summarize the 
relevant portions of the Act and the contractor's affirmative action 
program. Furthermore, the invitations shall state that the information 
is being requested on a voluntary basis, that it will be kept 
confidential, that refusal to provide it will not subject the applicant 
to any adverse treatment, and that it will not be used in a manner 
inconsistent with the act. (An acceptable form for such an invitation is 
set forth in appendix B of this part.)
    (d) If an applicant identifies himself or herself as a disabled 
veteran in the post-offer self-identification detailed in paragraph (b) 
of this section, the contractor should inquire of the applicant whether 
an accommodation is necessary, and if so, should engage with the 
applicant regarding reasonable accommodation. The contractor may make 
such inquiries to the extent they are consistent with the Americans with 
Disabilities Act of 1990 (ADA), 42 U.S.C. 12101, et seq. The contractor 
shall maintain a separate file in accordance with Sec.  60-300.23(d) on 
persons who have self-identified as disabled veterans.
    (e) The contractor shall keep all information on self-identification 
confidential. The contractor shall provide the information to OFCCP upon 
request. This information may be used only in accordance with this part.
    (f) Nothing in this section relieves the contractor of its 
obligation to take affirmative action with respect to those applicants 
or employees who are known to the contractor to be protected veterans.
    (g) Nothing in this section relieves the contractor from liability 
for discrimination under the Act.



Sec.  60-300.43  Affirmative action policy.

    Under the affirmative action obligations imposed by the Act, 
contractors shall not discriminate against protected veterans, and shall 
take affirmative action to employ and advance in employment qualified 
protected veterans at all levels of employment, including the executive 
level. Such action shall apply to all employment activities set forth in 
Sec.  60-300.20.



Sec.  60-300.44  Required contents of affirmative action programs.

    Acceptable affirmative action programs shall contain, but not 
necessarily be limited to, the following elements:

[[Page 204]]

    (a) Policy statement. The contractor shall include an equal 
opportunity policy statement in its affirmative action program, and 
shall post the policy statement on company bulletin boards. The 
contractor must ensure that applicants and employees who are disabled 
veterans are provided the notice in a form that is accessible and 
understandable to the disabled veteran (e.g., providing Braille or large 
print versions of the notice, or posting the notice for visual 
accessibility to persons in wheelchairs). The policy statement shall 
indicate the top United States executive's (such as the Chief Executive 
Officer or the President of the United States Division of a foreign 
company) support for the contractor's affirmative action program, 
provide for an audit and reporting system (see paragraph (h) of this 
section) and assign overall responsibility for the implementation of 
affirmative action activities required under this part (see paragraph 
(i) of this section). Additionally, the policy shall state, among other 
things, that the contractor will: recruit, hire, train and promote 
persons in all job titles, and ensure that all other personnel actions 
are administered, without regard to protected veteran status; and ensure 
that all employment decisions are based only on valid job requirements. 
The policy shall state that employees and applicants shall not be 
subjected to harassment, intimidation, threats, coercion or 
discrimination because they have engaged in or may engage in any of the 
following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in an investigation, compliance 
evaluation, hearing, or any other activity related to the administration 
of the affirmative action provisions of VEVRAA or any other Federal, 
state or local law requiring equal opportunity for protected veterans;
    (3) Opposing any act or practice made unlawful by VEVRAA or its 
implementing regulations in this part or any other Federal, state or 
local law requiring equal opportunity for protected veterans; or
    (4) Exercising any other right protected by VEVRAA or its 
implementing regulations in this part.
    (b) Review of personnel processes. The contractor shall ensure that 
its personnel processes provide for careful, thorough, and systematic 
consideration of the job qualifications of applicants and employees who 
are known protected veterans for job vacancies filled either by hiring 
or promotion, and for all training opportunities offered or available. 
The contractor shall ensure that when a protected veteran is considered 
for employment opportunities, the contractor relies only on that portion 
of the individual's military record, including his or her discharge 
papers, relevant to the requirements of the opportunity in issue. The 
contractor shall ensure that its personnel processes do not stereotype 
protected veterans in a manner which limits their access to all jobs for 
which they are qualified. The contractor shall periodically review such 
processes and make any necessary modifications to ensure that these 
obligations are carried out. A description of the review and any 
necessary modifications to personnel processes or development of new 
processes shall be included in any affirmative action programs required 
under this part. The contractor must design procedures that facilitate a 
review of the implementation of this requirement by the contractor and 
the Government (Appendix C of this part is an example of an appropriate 
set of procedures. The procedures in appendix C are not required and 
contractors may develop other procedures appropriate to their 
circumstances.)
    (c) Physical and mental qualifications. (1) The contractor shall 
provide in its affirmative action program, and shall adhere to, a 
schedule for the periodic review of all physical and mental job 
qualification standards to ensure that, to the extent qualification 
standards tend to screen out qualified disabled veterans, they are job-
related for the position in question and are consistent with business 
necessity.
    (2) Whenever the contractor applies physical or mental qualification 
standards in the selection of applicants or employees for employment or 
other change in employment status such as promotion, demotion or 
training, to the extent that qualification standards tend to screen out 
qualified disabled

[[Page 205]]

veterans, the standards shall be related to the specific job or jobs for 
which the individual is being considered and consistent with business 
necessity. The contractor has the burden to demonstrate that it has 
complied with the requirements of this paragraph (c)(2).
    (3) The contractor may use as a defense to an allegation of a 
violation of paragraph (c)(2) of this section that an individual poses a 
direct threat to the health or safety of the individual or others in the 
workplace. (See Sec.  60-300.2(g) defining direct threat.)
    (d) Reasonable accommodation to physical and mental limitations. As 
is provided in Sec.  60-300.21(f), as a matter of nondiscrimination the 
contractor must make reasonable accommodation to the known physical or 
mental limitations of an otherwise qualified disabled veteran unless it 
can demonstrate that the accommodation would impose an undue hardship on 
the operation of its business. As a matter of affirmative action, if an 
employee who is known to be a disabled veteran is having significant 
difficulty performing his or her job and it is reasonable to conclude 
that the performance problem may be related to the known disability, the 
contractor shall confidentially notify the employee of the performance 
problem and inquire whether the problem is related to the employee's 
disability; if the employee responds affirmatively, the contractor shall 
confidentially inquire whether the employee is in need of a reasonable 
accommodation.
    (e) Harassment. The contractor must develop and implement procedures 
to ensure that its employees are not harassed because of their status as 
a protected veteran.
    (f) External dissemination of policy, outreach and positive 
recruitment--(1) Required outreach efforts.
    (i) The contractor shall undertake appropriate outreach and positive 
recruitment activities such as those listed in paragraph (f)(2) of this 
section that are reasonably designed to effectively recruit protected 
veterans. It is not contemplated that the contractor will necessarily 
undertake all the activities listed in paragraph (f)(2) of this section 
or that its activities will be limited to those listed. The scope of the 
contractor's efforts shall depend upon all the circumstances, including 
the contractor's size and resources and the extent to which existing 
employment practices are adequate.
    (ii) The contractor must send written notification of company policy 
related to its affirmative action efforts to all subcontractors, 
including subcontracting vendors and suppliers, requesting appropriate 
action on their part.
    (2) Examples of outreach and recruitment activities . Below are 
examples of outreach and positive recruitment activities referred to in 
paragraph (f)(1) of this section. This is an illustrative list, and 
contractors may choose from these or other activities, as appropriate to 
their circumstances.
    (i) Enlisting the assistance and support of the following persons 
and organizations in recruiting, and developing on-the-job training 
opportunities for veterans, in order to fulfill its commitment to 
provide meaningful employment opportunities for such veterans:
    (A) The Local Veterans' Employment Representative in the local 
employment service office (i.e., the One-Stop) nearest the contractor's 
establishment;
    (B) The Department of Veterans Affairs Regional Office nearest the 
contractor's establishment;
    (C) The veterans' counselors and coordinators (``Vet-Reps'') on 
college campuses;
    (D) The service officers of the national veterans' groups active in 
the area of the contractor's establishment;
    (E) Local veterans' groups and veterans' service centers near the 
contractor's establishment;
    (F) The Department of Defense Transition Assistance Program (TAP), 
or any subsequent program that, in whole or in part, might replace TAP; 
and
    (G) Any organization listed in the Employer Resources section of the 
National Resource Directory (http://www.nationalresourcedirectory.gov/), 
or any future service that replaces or complements it.
    (ii) The contractor should also consider taking the actions listed 
below, as appropriate, to fulfill its commitment to provide meaningful 
employment opportunities to protected veterans:

[[Page 206]]

    (A) Formal briefing sessions should be held, preferably on company 
premises, with representatives from recruiting sources. Contractor 
facility tours, clear and concise explanations of current and future job 
openings, position descriptions, worker specifications, explanations of 
the company's selection process, and recruiting literature should be an 
integral part of the briefing. At any such briefing sessions, the 
company official in charge of the contractor's affirmative action 
program should be in attendance when possible. Formal arrangements 
should be made for referral of applicants, follow up with sources, and 
feedback on disposition of applicants.
    (B) The contractor's recruitment efforts at all educational 
institutions should incorporate special efforts to reach students who 
are protected veterans.
    (C) An effort should be made to participate in work-study programs 
with Department of Veterans Affairs rehabilitation facilities which 
specialize in training or educating disabled veterans.
    (D) Protected veterans should be made available for participation in 
career days, youth motivation programs, and related activities in their 
communities.
    (E) The contractor should take any other positive steps it deems 
necessary to attract qualified protected veterans not currently in the 
work force who have requisite skills and can be recruited through 
affirmative action measures. These persons may be located through the 
local chapters of organizations of and for any of the classifications of 
protected veterans.
    (F) The contractor, in making hiring decisions, should consider 
applicants who are known protected veterans for all available positions 
for which they may be qualified when the position(s) applied for is 
unavailable.
    (G) The contractor should consider listing its job openings with the 
National Resource Directory's Veterans Job Bank, or any future service 
that replaces or complements it.
    (3) Assessment of external outreach and recruitment efforts. The 
contractor shall, on an annual basis, review the outreach and 
recruitment efforts it has taken over the previous twelve months to 
evaluate their effectiveness in identifying and recruiting qualified 
protected veterans. The contractor shall document each evaluation, 
including at a minimum the criteria it used to evaluate the 
effectiveness of each effort and the contractor's conclusion as to 
whether each effort was effective. Among these criteria shall be the 
data collected pursuant to paragraph (k) of this section for the current 
year and the two most recent previous years. The contractor's conclusion 
as to the effectiveness of its outreach efforts must be reasonable as 
determined by OFCCP in light of these regulations. If the contractor 
concludes the totality of its efforts were not effective in identifying 
and recruiting qualified protected veterans, it shall identify and 
implement alternative efforts listed in paragraphs (f)(1) or (f)(2) of 
this section in order to fulfill its obligations.
    (4) Recordkeeping obligation. The contractor shall document all 
activities it undertakes to comply with the obligations of this section, 
and retain these documents for a period of three (3) years.
    (g) Internal dissemination of policy. (1) A strong outreach program 
will be ineffective without adequate internal support from supervisory 
and management personnel and other employees. In order to assure greater 
employee cooperation and participation in the contractor's efforts, the 
contractor shall develop the internal procedures listed in paragraph 
(g)(2) of this section for communication of its obligation to engage in 
affirmative action efforts to employ and advance in employment qualified 
protected veterans. It is not contemplated that the contractor's 
activities will be limited to those listed. These procedures shall be 
designed to foster understanding, acceptance and support among the 
contractor's executive, management, supervisory and other employees and 
to encourage such persons to take the necessary actions to aid the 
contractor in meeting this obligation.
    (2) The contractor shall implement and disseminate this policy 
internally as follows:

[[Page 207]]

    (i) Include it in the contractor's policy manual or otherwise make 
the policy available to employees;
    (ii) If the contractor is party to a collective bargaining 
agreement, it shall notify union officials and/or employee 
representatives to inform them of the contractor's policy, and request 
their cooperation;
    (3) The contractor is encouraged to additionally implement and 
disseminate this policy internally as follows:
    (i) Inform all employees and prospective employees of its commitment 
to engage in affirmative action to increase employment opportunities for 
protected veterans;
    (ii) Publicize it in the company newspaper, magazine, annual report 
and other media;
    (iii) Conduct special meetings with executive, management, and 
supervisory personnel to explain the intent of the policy and individual 
responsibility for effective implementation, making clear the chief 
executive officer's support for the affirmative action policy;
    (iv) Discuss the policy thoroughly in both employee orientation and 
management training programs;
    (v) When employees are featured in employee handbooks or similar 
publications for employees, include disabled veterans.
    (h) Audit and reporting system. (1) The contractor shall design and 
implement an audit and reporting system that will:
    (i) Measure the effectiveness of the contractor's affirmative action 
program;
    (ii) Indicate any need for remedial action;
    (iii) Determine the degree to which the contractor's objectives have 
been attained;
    (iv) Determine whether known protected veterans have had the 
opportunity to participate in all company sponsored educational, 
training, recreational and social activities;
    (v) Measure the contractor's compliance with the affirmative action 
program's specific obligations; and
    (vi) Document the actions taken to comply with the obligations of 
paragraphs (i) through (v) above, and retain these documents as 
employment records subject to the recordkeeping requirements of Sec.  
60-300.80.
    (2) Where the affirmative action program is found to be deficient, 
the contractor shall undertake necessary action to bring the program 
into compliance.
    (i) Responsibility for implementation. An official of the contractor 
shall be assigned responsibility for implementation of the contractor's 
affirmative action activities under this part. His or her identity 
should appear on all internal and external communications regarding the 
company's affirmative action program. This official shall be given 
necessary senior management support and staff to manage the 
implementation of this program.
    (j) Training. All personnel involved in the recruitment, screening, 
selection, promotion, disciplinary, and related processes shall be 
trained to ensure that the commitments in the contractor's affirmative 
action program are implemented.
    (k) Data collection analysis. The contractor shall document the 
following computations or comparisons pertaining to applicants and hires 
on an annual basis and maintain them for a period of three (3) years:
    (1) The number of applicants who self-identified as protected 
veterans pursuant to Sec.  60-300.42(a), or who are otherwise known as 
protected veterans;
    (2) The total number of job openings and total number of jobs 
filled;
    (3) The total number of applicants for all jobs;
    (4) The number of protected veteran applicants hired; and
    (5) The total number of applicants hired.



Sec.  60-300.45  Benchmarks for hiring.

    The benchmark is not a rigid and inflexible quota which must be met, 
nor is it to be considered either a ceiling or a floor for the 
employment of particular groups. Quotas are expressly forbidden.
    (a) Purpose: The purpose of establishing benchmarks is to create a 
quantifiable method by which the contractor can measure its progress 
toward achieving equal employment opportunity for protected veterans.

[[Page 208]]

    (b) Hiring benchmarks shall be set by the contractor on an annual 
basis. Benchmarks shall be set using one of the two mechanisms described 
below:
    (1) Establish a benchmark equaling the national percentage of 
veterans in the civilian labor force, which will be published and 
updated annually on the OFCCP Web site; or
    (2) Establish a benchmark by taking into account:
    (i) The average percentage of veterans in the civilian labor force 
in the State(s) where the contractor is located over the preceding three 
years, as calculated by the Bureau of Labor Statistics and published on 
the OFCCP Web site;
    (ii) The number of veterans, over the previous four quarters, who 
were participants in the employment service delivery system in the State 
where the contractor is located, as tabulated by the Veterans' 
Employment and Training Service and published on the OFCCP Web site;
    (iii) The applicant ratio and hiring ratio for the previous year, 
based on the data collected pursuant to Sec.  60-300.44(k);
    (iv) The contractor's recent assessments of the effectiveness of its 
external outreach and recruitment efforts, as set forth in Sec.  60-
300.44(f)(3); and
    (v) Any other factors, including but not limited to the nature of 
the contractor's job openings and/or its location, which would tend to 
affect the availability of qualified protected veterans.
    (c) The contractor shall document the hiring benchmark it has 
established each year. If the contractor sets its benchmark using the 
procedure in paragraph (b)(2) of this section, it shall document each of 
the factors that it considered in establishing the hiring benchmark and 
the relative significance of each of these factors. The contractor shall 
retain these records for a period of three (3) years.



         Subpart D_General Enforcement and Complaint Procedures



Sec.  60-300.60  Compliance evaluations.

    (a) OFCCP may conduct compliance evaluations to determine if the 
contractor is taking affirmative action to employ, advance in employment 
and otherwise treat qualified individuals without discrimination based 
on their status as a protected veteran in all employment practices. A 
compliance evaluation may consist of any one or any combination of the 
following investigative procedures:
    (1) Compliance review. A comprehensive analysis and evaluation of 
the hiring and employment practices of the contractor, the written 
affirmative action program, and the results of the affirmative action 
efforts undertaken by the contractor. A compliance review may proceed in 
three stages:
    (i) A desk audit of the written affirmative action program and 
supporting documentation to determine whether all elements required by 
the regulations in this part are included, whether the affirmative 
action program meets agency standards of reasonableness, and whether the 
affirmative action program and supporting documentation satisfy agency 
standards of acceptability. OFCCP may extend the temporal scope of the 
desk audit beyond that set forth in the scheduling letter if OFCCP deems 
it necessary to carry out its investigation of potential violations of 
this part. The desk audit is conducted at OFCCP offices;
    (ii) An on-site review, conducted at the contractor's establishment 
to investigate unresolved problem areas identified in the affirmative 
action program and supporting documentation during the desk audit, to 
verify that the contractor has implemented the affirmative action 
program and has complied with those regulatory obligations not required 
to be included in the affirmative action program, and to examine 
potential instances or issues of discrimination. An on-site review 
normally will involve an examination of the contractor's personnel and 
employment policies, inspection and copying of documents related to 
employment actions, and interviews with employees, supervisors, 
managers, hiring officials; and
    (iii) Where necessary, an off-site analysis of information supplied 
by the contractor or otherwise gathered during or pursuant to the on-
site review;
    (2) Off-site review of records. An analysis and evaluation of the 
affirmative

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action program (or any part thereof) and supporting documentation, and 
other documents related to the contractor's personnel policies and 
employment actions that may be relevant to a determination of whether 
the contractor has complied with the requirements of VEVRAA and its 
regulations;
    (3) Compliance check. A determination of whether the contractor has 
maintained records consistent with Sec.  60-300.80; OFCCP may request 
the documents be provided either on-site or off-site; or
    (4) Focused review. A review restricted to one or more components of 
the contractor's organization or one or more aspects of the contractor's 
employment practices.
    (b) Where deficiencies are found to exist, reasonable efforts shall 
be made to secure compliance through conciliation and persuasion 
pursuant to Sec.  60-300.62.
    (c) Reporting requirements. During a compliance evaluation, OFCCP 
may verify whether the contractor has complied with applicable reporting 
requirements required under regulations promulgated by the Veterans' 
Employment and Training Service (VETS). If the contractor has not 
complied with any such reporting requirement, OFCCP will notify VETS.
    (d) Pre-award compliance evaluations. Each agency will include in 
the invitation for bids for each formally advertised nonconstruction 
contract or state at the outset of negotiations for each negotiated 
contract, that if the award, when let, should total $10 million or more, 
the prospective contractor and its known first-tier subcontractors with 
subcontracts of $10 million or more will be subject to a compliance 
evaluation before the award of the contract unless OFCCP has conducted 
an evaluation and found them to be in compliance with VEVRAA within the 
preceding 24 months. The awarding agency will notify OFCCP and request 
appropriate action and findings in accordance with this subsection. 
Within 15 days of the notice OFCCP will inform the awarding agency of 
its intention to conduct a pre-award compliance evaluation. If OFCCP 
does not inform the awarding agency within that period of its intention 
to conduct a pre-award compliance evaluation, clearance shall be 
presumed and the awarding agency is authorized to proceed with the 
award. If OFCCP informs the awarding agency of its intention to conduct 
a pre-award compliance evaluation, OFCCP will be allowed an additional 
20 days after the date that it so informs the awarding agency to provide 
its conclusions. If OFCCP does not provide the awarding agency with its 
conclusions within that period, clearance will be presumed and the 
awarding agency is authorized to proceed with the award.



Sec.  60-300.61  Complaint procedures.

    (a) Place and time of filing. Any applicant for employment with a 
contractor or any employee of a contractor may, personally, or by an 
authorized representative, file a written complaint alleging a violation 
of the Act or the regulations in this part. The complaint may allege 
individual or class-wide violation(s). Such complaint must be filed 
within 300 days of the date of the alleged violation, unless the time 
for filing is extended by OFCCP for good cause shown. Complaints may be 
submitted to OFCCP, 200 Constitution Avenue NW., Washington, DC 20210, 
or to any OFCCP regional, district, or area office. Complaints may also 
be submitted to the Veterans' Employment and Training Service of the 
Department of Labor directly, or through the Local Veterans' Employment 
Representative (LVER) at the local employment service office. Such 
parties will assist veterans in preparing complaints, promptly refer 
such complaints to OFCCP, and maintain a record of all complaints which 
they receive and forward. OFCCP shall inform the party forwarding the 
complaint of the progress and results of its complaint investigation. 
The state employment service delivery system shall cooperate with the 
Director in the investigation of any complaint.
    (b) Contents of complaints--(1) In general. A complaint must be 
signed by the complainant or his or her authorized representative and 
must contain the following information:
    (i) Name and address (including telephone number) of the 
complainant;

[[Page 210]]

    (ii) Name and address of the contractor who committed the alleged 
violation;
    (iii) Documentation showing that the individual is a protected 
veteran or pre-JVA veteran. Such documentation must include a copy of 
the veteran's form DD-214, and, where applicable, a copy of the 
veteran's Benefits Award Letter, or similar Department of Veterans 
Affairs certification, updated within one year prior to the date the 
complaint is filed;
    (iv) A description of the act or acts considered to be a violation, 
including the pertinent dates (in the case of an alleged continuing 
violation, the earliest and most recent date that the alleged violation 
occurred should be stated); and
    (v) Other pertinent information available which will assist in the 
investigation and resolution of the complaint, including the name of any 
known Federal agency with which the employer has contracted.
    (2) Third party complaints. A complaint filed by an authorized 
representative need not identify by name the person on whose behalf it 
is filed. The person filing the complaint, however, shall provide OFCCP 
with the name, address and telephone number of the person on whose 
behalf it is made, and the other information specified in paragraph 
(b)(1) of this section. OFCCP shall verify the authorization of such a 
complaint by the person on whose behalf the complaint is made. Any such 
person may request that OFCCP keep his or her identity confidential, and 
OFCCP will protect the individual's confidentiality wherever that is 
possible given the facts and circumstances in the complaint.
    (c) Incomplete information. Where a complaint contains incomplete 
information, OFCCP shall seek the needed information from the 
complainant. If the information is not furnished to OFCCP within 60 days 
of the date of such request, the case may be closed.
    (d) Investigations. The Department of Labor shall institute a prompt 
investigation of each complaint.
    (e) Resolution of matters. (1) If the complaint investigation finds 
no violation of the Act or this part, or if the Director decides not to 
refer the matter to the Solicitor of Labor for enforcement proceedings 
against the contractor pursuant to Sec.  60-300.65(a)(1), the 
complainant and contractor shall be so notified. The Director, on his or 
her own initiative, may reconsider his or her determination or the 
determination of any of his or her designated officers who have 
authority to issue Notifications of Results of Investigation.
    (2) The Director will review all determinations of no violation that 
involve complaints that are not also cognizable under Title I of the 
Americans with Disabilities Act.
    (3) In cases where the Director decides to reconsider the 
determination of a Notification of Results of Investigation, the 
Director shall provide prompt notification of his or her intent to 
reconsider, which is effective upon issuance, and his or her final 
determination after reconsideration, to the person claiming to be 
aggrieved, the person making the complaint on behalf of such person, if 
any, and the contractor.
    (4) If the investigation finds a violation of the Act or this part, 
OFCCP shall invite the contractor to participate in conciliation 
discussions pursuant to Sec.  60-300.62.



Sec.  60-300.62  Resolution procedures.

    (a) Predetermination Notice. If a compliance review or other review 
by OFCCP indicates evidence sufficient to support a preliminary finding 
of disparate treatment and/or disparate impact discrimination, OFCCP may 
issue a Predetermination Notice, subject to the following parameters and 
the approval of the Director or acting agency head:
    (1) For allegations included in a Predetermination Notice involving 
a disparate treatment theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate that the unexplained disparity is practically 
significant; and
    (iii) Provide qualitative evidence as defined in this part that, in 
combination with other evidence, supports both a finding of 
discriminatory intent by the contractor and a finding that the

[[Page 211]]

contractor's discriminatory intent caused the disparate treatment.
    (2) OFCCP may issue a Predetermination Notice under a disparate 
treatment theory of liability without satisfying all three components 
listed in paragraph (a)(1) of this section only if:
    (i) The qualitative evidence by itself is sufficient to support a 
preliminary finding of disparate treatment;
    (ii) The evidence of disparity between a favored and disfavored 
group is so extraordinarily compelling that by itself it is sufficient 
to support a preliminary finding of disparate treatment; or
    (iii) Paragraphs (a)(1)(i) and (ii) of this section are satisfied 
and the contractor denied OFCCP access to sources of evidence that may 
be relevant to a preliminary finding of discriminatory intent. This may 
include denying access to its employees during a compliance evaluation 
or destroying or failing to produce records the contractor is legally 
required to create and maintain.
    (3) For allegations included in a Predetermination Notice involving 
a disparate impact theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate the unexplained disparity is practically 
significant; and
    (iii) Identify the specific policy or practice of the contractor 
causing the adverse impact, unless OFCCP can demonstrate that the 
elements of the contractor's selection procedures are incapable of 
separation for analysis.
    (4) The Predetermination Notice must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Predetermination Notice; however, if the exception in paragraph 
(a)(2)(ii) of this section applies, OFCCP will disclose why, in the 
absence of qualitative evidence, the agency is issuing the 
Predetermination Notice based on evidence of an extraordinarily 
compelling disparity alone. In addition, upon the contractor's request, 
OFCCP must also provide the model and variables used in any statistical 
analysis and an explanation for why any variable proposed by the 
contractor was excluded from that analysis. However, OFCCP may withhold 
personal identifying information from the description of the qualitative 
evidence if the information is protected from disclosure under 
recognized governmental privileges, or otherwise if providing that 
information would violate confidentiality or privacy protections 
afforded by law.
    (5) Any response to a Predetermination Notice must be submitted by 
the contractor within 30 calendar days of receipt of the Notice, which 
deadline OFCCP may extend for good cause.
    (b) Notice of Violation. (1) If, following OFCCP's review of any 
response by the contractor pursuant to paragraph (a)(5) of this section, 
the agency has evidence sufficient to support a finding of disparate 
treatment and/or disparate impact discrimination, as established in the 
parameters and exceptions in paragraph (a) of this section, or that the 
contractor has committed other material violations of the equal 
opportunity clause (with the exception of violations for denying access 
or failing to submit records in response to OFCCP's Office of Management 
and Budget (OMB)-approved Scheduling Letters, for which OFCCP may 
proceed directly to issuing a Show Cause Notice), OFCCP may issue a 
Notice of Violation to the contractor requiring corrective action and 
inviting conciliation through a written agreement, subject to approval 
by the Director or acting agency head.
    (2) OFCCP may issue a Notice of Violation alleging a finding of 
discrimination following issuance of a Predetermination Notice if the 
contractor does not respond or provide a sufficient response within 30 
calendar days of receipt of the Predetermination Notice, subject to 
approval by the Director or acting agency head, unless OFCCP has 
extended the Predetermination Notice response time for good cause shown.
    (3) The Notice of Violation must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Notice of Violation, however, if the exception in paragraph

[[Page 212]]

(a)(2)(ii) of this section applies, OFCCP will disclose why, in the 
absence of qualitative evidence, the agency is issuing the Notice of 
Violation based on evidence of an extraordinarily compelling disparity 
alone. In addition, upon the contractor's request, OFCCP must also 
provide the model and variables used in any statistical analysis and an 
explanation why any variable proposed by the contractor was excluded 
from that analysis. However, OFCCP may withhold personal identifying 
information from the description of the qualitative evidence if the 
information is protected from disclosure under recognized governmental 
privileges, or otherwise if providing that information would violate 
confidentiality or privacy protections afforded by law.
    (4) The Notice of Violation must address all relevant concerns and 
defenses raised by the contractor in response to the Predetermination 
Notice.
    (c) Conciliation agreement. If a compliance review, complaint 
investigation, or other review by OFCCP or its representative indicates 
a material violation of the equal opportunity clause, and:
    (1) If the contractor, subcontractor or bidder is willing to correct 
the violations and/or deficiencies; and
    (2) If OFCCP or its representative determines that settlement 
(rather than referral for consideration of formal enforcement) is 
appropriate, a written agreement shall be required. The agreement shall 
provide for such remedial action as may be necessary to correct the 
violations and/or deficiencies noted, including, where appropriate (but 
not necessarily limited to), remedies such as back pay and retroactive 
seniority.
    (d) Expedited conciliation option. A contractor may voluntarily 
waive the procedures set forth in paragraphs (a) and/or (b) of this 
section to enter directly into a conciliation agreement. OFCCP may 
inform the contractor of this expedited conciliation option, but may not 
require or insist that the contractor avail itself of the expedited 
conciliation option.
    (e) Severability. Should a court of competent jurisdiction hold any 
provision(s) of this section to be invalid, such action will not affect 
any other provision of this section.

[85 FR 71572, Nov. 10, 2020]



Sec.  60-300.63  Violation of conciliation agreements.

    (a) When OFCCP believes that a conciliation agreement has been 
violated, the following procedures are applicable:
    (1) A written notice shall be sent to the contractor setting forth 
the violation alleged and summarizing the supporting evidence. The 
contractor shall have 15 days from receipt of the notice to respond, 
except in those cases in which OFCCP asserts that such a delay would 
result in irreparable injury to the employment rights of affected 
employees or applicants.
    (2) During the 15-day period the contractor may demonstrate in 
writing that it has not violated its commitments.
    (b) In those cases in which OFCCP asserts that a delay would result 
in irreparable injury to the employment rights of affected employees or 
applicants, enforcement proceedings may be initiated immediately without 
proceeding through any other requirement contained in this chapter.
    (c) In any proceedings involving an alleged violation of a 
conciliation agreement OFCCP may seek enforcement of the agreement 
itself and shall not be required to present proof of the underlying 
violations resolved by the agreement.



Sec.  60-300.64  Show cause notices.

    When the Director has reasonable cause to believe that the 
contractor has violated the Act or this part, he or she may issue a 
notice requiring the contractor to show cause, within 30 days, why 
monitoring, enforcement proceedings or other appropriate action to 
ensure compliance should not be instituted. The issuance of such a 
notice is not a prerequisite to instituting enforcement proceedings (see 
Sec.  60-300.65).



Sec.  60-300.65  Enforcement proceedings.

    (a) General. (1) If a compliance evaluation, complaint investigation 
or other review by OFCCP finds a violation of the Act or this part, and 
the

[[Page 213]]

violation has not been corrected in accordance with the conciliation 
procedures in this part, or OFCCP determines that referral for 
consideration of formal enforcement (rather than settlement) is 
appropriate, OFCCP may refer the matter to the Solicitor of Labor with a 
recommendation for the institution of enforcement proceedings to enjoin 
the violations, to seek appropriate relief, and to impose appropriate 
sanctions, or any of the above in this sentence. OFCCP may seek back pay 
and other make whole relief for aggrieved individuals identified during 
a complaint investigation or compliance evaluation. Such individuals 
need not have filed a complaint as a prerequisite to OFCCP seeking such 
relief on their behalf. Interest on back pay shall be calculated from 
the date of the loss and compounded quarterly at the percentage rate 
established by the Internal Revenue Service for the underpayment of 
taxes.
    (2) In addition to the administrative proceedings set forth in this 
section, the Director may, within the limitations of applicable law, 
seek appropriate judicial action to enforce the contractual provisions 
set forth in Sec.  60-300.5, including appropriate injunctive relief.
    (b) Hearing practice and procedure. (1) In administrative 
enforcement proceedings the contractor shall be provided an opportunity 
for a formal hearing. All hearings conducted under the Act and this part 
shall be governed by the Rules of Practice for Administrative 
Proceedings to Enforce Equal Opportunity Under Executive Order 11246 
contained in 41 CFR part 60-30 and the Rules of Evidence set out in the 
Rules of Practice and Procedure for Administrative Hearings Before the 
Office of Administrative Law Judges contained in 29 CFR part 18, subpart 
B: Provided, That a final administrative order shall be issued within 
one year from the date of the issuance of the recommended findings, 
conclusions and decision of the Administrative Law Judge, or the 
submission of exceptions and responses to exceptions to such decision 
(if any), whichever is later.
    (2) Complaints may be filed by the Solicitor, the Associate 
Solicitor for Civil Rights and Labor-Management, Regional Solicitors, 
and Associate Regional Solicitors.
    (3) For the purposes of hearings pursuant to this part, references 
in 41 CFR part 60-30 to ``Executive Order 11246'' shall mean the Vietnam 
Era Veterans' Readjustment Assistance Act of 1974, as amended; 
references to ``equal opportunity clause'' shall mean the equal 
opportunity clause published at Sec.  60-300.5; and references to 
``regulations'' shall mean the regulations contained in this part.



Sec.  60-300.66  Sanctions and penalties.

    (a) Withholding progress payments. With the prior approval of the 
Director, so much of the accrued payment due on the contract or any 
other contract between the Government contractor and the Federal 
Government may be withheld as necessary to correct any violations of the 
provisions of the Act or this part.
    (b) Termination. A contract may be canceled or terminated, in whole 
or in part, for failure to comply with the provisions of the Act or this 
part.
    (c) Debarment. A contractor may be debarred from receiving future 
contracts for failure to comply with the provisions of the Act or this 
part subject to reinstatement pursuant to Sec.  60-300.68. Debarment may 
be imposed for an indefinite period, or may be imposed for a fixed 
period of not less than six months but no more than three years.
    (d) Hearing opportunity. An opportunity for a formal hearing shall 
be afforded to a contractor before the imposition of any sanction or 
penalty.



Sec.  60-300.67  Notification of agencies.

    The Director shall ensure that the heads of all agencies are 
notified of any debarments taken against any contractor.



Sec.  60-300.68  Reinstatement of ineligible contractors.

    (a) Application for reinstatement. A contractor debarred from 
further contracts for an indefinite period under the Act may request 
reinstatement in a letter filed with the Director at any time after the 
effective date of the debarment; a contractor debarred for a fixed 
period may make such a request following the expiration of six months

[[Page 214]]

from the effective date of the debarment. In connection with the 
reinstatement proceedings, all debarred contractors shall be required to 
show that they have established and will carry out employment policies 
and practices in compliance with the Act and this part. Additionally, in 
determining whether reinstatement is appropriate for a contractor 
debarred for a fixed period, the Director also shall consider, among 
other factors, the severity of the violation which resulted in the 
debarment, the contractor's attitude towards compliance, the 
contractor's past compliance history, and whether the contractor's 
reinstatement would impede the effective enforcement of the Act or this 
part. Before reaching a decision, the Director may conduct a compliance 
evaluation of the contractor and may require the contractor to supply 
additional information regarding the request for reinstatement. The 
Director shall issue a written decision on the request.
    (b) Petition for review. Within 30 days of its receipt of a decision 
denying a request for reinstatement, the contractor may file a petition 
for review of the decision with the Secretary. The petition shall set 
forth the grounds for the contractor's objections to the Director's 
decision. The petition shall be served on the Director and the Associate 
Solicitor for Civil Rights and Labor-Management and shall include the 
decision as an appendix. The Director may file a response within 14 days 
to the petition. The Secretary shall issue the final agency decision 
denying or granting the request for reinstatement. Before reaching a 
final decision, the Secretary may issue such additional orders 
respecting procedure as he or she finds appropriate in the 
circumstances, including an order referring the matter to the Office of 
Administrative Law Judges for an evidentiary hearing where there is a 
material factual dispute that cannot be resolved on the record before 
the Secretary.



Sec.  60-300.69  Intimidation and interference.

    (a) The contractor shall not harass, intimidate, threaten, coerce, 
or discriminate against any individual because the individual has 
engaged in or may engage in any of the following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in any manner in an investigation, 
compliance evaluation, hearing, or any other activity related to the 
administration of the Act or any other Federal, state or local law 
requiring equal opportunity for protected veterans;
    (3) Opposing any act or practice made unlawful by the Act or this 
part or any other Federal, state or local law requiring equal 
opportunity for protected veterans, or
    (4) Exercising any other right protected by the Act or this part.
    (b) The contractor shall ensure that all persons under its control 
do not engage in such harassment, intimidation, threats, coercion or 
discrimination. The sanctions and penalties contained in this part may 
be exercised by the Director against any contractor who violates this 
obligation.



Sec.  60-300.70  Disputed matters related to compliance with the Act.

    The procedures set forth in the regulations in this part govern all 
disputes relative to the contractor's compliance with the Act and this 
part. Any disputes relating to issues other than compliance, including 
contract costs arising out of the contractor's efforts to comply, shall 
be determined by the disputes clause of the contract.



                       Subpart E_Ancillary Matters



Sec.  60-300.80  Recordkeeping.

    (a) General requirements. Except as set forth in paragraph (b) of 
this section, any personnel or employment record made or kept by the 
contractor shall be preserved by the contractor for a period of two 
years from the date of the making of the record or the personnel action 
involved, whichever occurs later. However, if the contractor has fewer 
than 150 employees or does not have a Government contract of at least 
$150,000, the minimum record retention period will be one year from the 
date of the making of the record or the personnel action involved, 
whichever occurs later, except as set forth in paragraph (b) of this 
section. Such records include, but are not necessarily limited

[[Page 215]]

to, records relating to requests for reasonable accommodation; the 
results of any physical examination; job advertisements and postings; 
applications and resumes; tests and test results; interview notes; and 
other records having to do with hiring, assignment, promotion, demotion, 
transfer, lay-off or termination, rates of pay or other terms of 
compensation, and selection for training or apprenticeship. In the case 
of involuntary termination of an employee, the personnel records of the 
individual terminated shall be kept for a period of two years from the 
date of the termination, except that contractors that have fewer than 
150 employees or that do not have a Government contract of at least 
$150,000 shall keep such records for a period of one year from the date 
of the termination. Where the contractor has received notice that a 
complaint of discrimination has been filed, that a compliance evaluation 
has been initiated, or that an enforcement action has been commenced, 
the contractor shall preserve all personnel records relevant to the 
complaint, compliance evaluation or action until final disposition of 
the complaint, compliance evaluation or action. The term personnel 
records relevant to the complaint, compliance evaluation or action would 
include, for example, personnel or employment records relating to the 
aggrieved person and to all other employees holding positions similar to 
that held or sought by the aggrieved person, and application forms or 
test papers completed by an unsuccessful applicant and by all other 
candidates for the same position as that for which the aggrieved person 
applied and was rejected.
    (b) Records with three-year retention requirement. Records required 
by Sec. Sec.  60-300.44(f)(4), 60-300.44(k), and 60-300.45(c) shall be 
maintained by all contractors for a period of three years from the date 
of the making of the record.
    (c) Failure to preserve records. Failure to preserve complete and 
accurate records as required by this part constitutes noncompliance with 
the contractor's obligations under the Act and this part. Where the 
contractor has destroyed or failed to preserve records as required by 
this section, there may be a presumption that the information destroyed 
or not preserved would have been unfavorable to the contractor: 
Provided, That this presumption shall not apply where the contractor 
shows that the destruction or failure to preserve records results from 
circumstances that are outside of the contractor's control.
    (d) The requirements of this section shall apply only to records 
made or kept on or after the date that the Office of Management and 
Budget has cleared the requirements.



Sec.  60-300.81  Access to records.

    Each contractor shall permit access during normal business hours to 
its places of business for the purpose of conducting on-site compliance 
evaluations and complaint investigations and inspecting and copying such 
books, accounts, and records, including electronic records, and any 
other material OFCCP deems relevant to the matter under investigation 
and pertinent to compliance with the Act or this part. Contractors must 
also provide OFCCP access to these materials, including electronic 
records, off-site for purposes of conducting compliance evaluations and 
complaint investigations. Upon request, the contractor must provide 
OFCCP information about all format(s), including specific electronic 
formats, in which the contractor maintains its records and other 
information. The contractor must provide records and other information 
in any of the formats in which they are maintained, as selected by 
OFCCP. Information obtained in this manner shall be used only in 
connection with the administration of the Act and in furtherance of the 
purposes of the Act. OFCCP will treat records provided by the contractor 
to OFCCP under this section as confidential to the maximum extent the 
information is exempt from public disclosure under the Freedom of 
Information Act, 5 U.S.C. 552.



Sec.  60-300.82  Labor organizations and recruiting and training agencies.

    (a) Whenever performance in accordance with the equal opportunity 
clause or any matter contained in the regulations in this part may 
necessitate a revision of a collective bargaining agreement, the labor 
organizations which

[[Page 216]]

are parties to such agreement shall be given an adequate opportunity to 
present their views to OFCCP.
    (b) OFCCP shall use its best efforts, directly or through 
contractors, subcontractors, local officials, the Department of Veterans 
Affairs, vocational rehabilitation facilities, and all other available 
instrumentalities, to cause any labor organization, recruiting and 
training agency or other representative of workers who are employed by a 
contractor to cooperate with, and to assist in, the implementation of 
the purposes of the Act.



Sec.  60-300.83  Rulings and interpretations.

    Rulings under or interpretations of the Act and this part shall be 
made by the Director.



Sec.  60-300.84  Responsibilities of appropriate employment service 
delivery system.

    By statute, appropriate employment service delivery systems are 
required to refer qualified protected veterans to fill employment 
openings listed by contractors with such appropriate employment delivery 
systems pursuant to the mandatory job listing requirements of the equal 
opportunity clause and are required to give priority to protected 
veterans in making such referrals. The employment service delivery 
systems shall provide OFCCP, upon request, information pertinent to 
whether the contractor is in compliance with the mandatory job listing 
requirements of the equal opportunity clause.



  Sec. Appendix A to Part 60-300--Guidelines on a Contractor's Duty To 
                    Provide Reasonable Accommodation

    The guidelines in this appendix are in large part derived from, and 
are consistent with, the discussion regarding the duty to provide 
reasonable accommodation contained in the Interpretive Guidance on Title 
I of the Americans with Disabilities Act (ADA) set out as an appendix to 
the regulations issued by the Equal Employment Opportunity Commission 
(EEOC) implementing the ADA (29 CFR part 1630). Although the following 
discussion is intended to provide an independent ``free-standing'' 
source of guidance with respect to the duty to provide reasonable 
accommodation under this part, to the extent that the EEOC appendix 
provides additional guidance which is consistent with the following 
discussion, it may be relied upon for purposes of this part as well. See 
Sec.  60-300.1(c). Contractors are obligated to provide reasonable 
accommodation and to take affirmative action. Reasonable accommodation 
under VEVRAA, like reasonable accommodation required under section 503 
and the ADA, is a part of the nondiscrimination obligation. See EEOC 
appendix cited in this paragraph. Affirmative action is unique to VEVRAA 
and section 503, and includes actions above and beyond those required as 
a matter of nondiscrimination. An example of this is the requirement 
discussed in paragraph 2 of this appendix that a contractor shall make 
an inquiry of a disabled veteran who is having significant difficulty 
performing his or her job.
    1. A contractor is required to make reasonable accommodations to the 
known physical or mental limitations of an ``otherwise qualified'' 
disabled veteran, unless the contractor can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
business. As stated in Sec.  60-300.2(s), a disabled veteran is 
qualified if he or she has the ability to perform the essential 
functions of the position with or without reasonable accommodation. A 
contractor is required to make a reasonable accommodation with respect 
to its application process if the disabled veteran is qualified with 
respect to that process. One is ``otherwise qualified'' if he or she is 
qualified for a job, except that, because of a disability, he or she 
needs a reasonable accommodation to be able to perform the job's 
essential functions.
    2. Although the contractor would not be expected to accommodate 
disabilities of which it is unaware, the contractor has an affirmative 
obligation to provide a reasonable accommodation for applicants and 
employees who are known to be disabled veterans. As stated in Sec.  60-
300.42(b) (see also Appendix B of this part), the contractor is required 
to invite applicants who have been provided an offer of employment, 
before they are placed on the contractor's payroll, to indicate whether 
they are a disabled veteran who may be protected by the Act. Section 60-
300.42(d) further provides that the contractor must seek the advice of 
disabled veterans who ``self-identify'' in this way as to reasonable 
accommodation. Moreover, Sec.  60-300.44(d) provides that if an employee 
who is a known disabled veteran is having significant difficulty 
performing his or her job and it is reasonable to conclude that the 
performance problem may be related to the disability, the contractor is 
required to confidentially inquire whether the problem is disability 
related and if the employee is in need of a reasonable accommodation.
    3. An accommodation is any change in the work environment or in the 
way things are customarily done that enables a disabled

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veteran to enjoy equal employment opportunities. Equal employment 
opportunity means an opportunity to attain the same level of 
performance, or to enjoy the same level of benefits and privileges of 
employment, as are available to the average similarly situated employee 
without a disability. Thus, for example, an accommodation made to assist 
an employee who is a disabled veteran in the performance of his or her 
job must be adequate to enable the individual to perform the essential 
functions of the position. The accommodation, however, does not have to 
be the ``best'' accommodation possible, so long as it is sufficient to 
meet the job-related needs of the individual being accommodated. There 
are three areas in which reasonable accommodations may be necessary: (1) 
accommodations in the application process; (2) accommodations that 
enable employees who are disabled veterans to perform the essential 
functions of the position held or desired; and (3) accommodations that 
enable employees who are disabled veterans to enjoy equal benefits and 
privileges of employment as are enjoyed by employees without 
disabilities.
    4. The term ``undue hardship'' refers to any accommodation that 
would be unduly costly, extensive, substantial, or disruptive, or that 
would fundamentally alter the nature or operation of the contractor's 
business. The contractor's claim that the cost of a particular 
accommodation will impose an undue hardship requires a determination of 
which financial resources should be considered--those of the contractor 
in its entirety or only those of the facility that will be required to 
provide the accommodation. This inquiry requires an analysis of the 
financial relationship between the contractor and the facility in order 
to determine what resources will be available to the facility in 
providing the accommodation. If the contractor can show that the cost of 
the accommodation would impose an undue hardship, it would still be 
required to provide the accommodation if the funding is available from 
another source, e.g., the Department of Veterans Affairs or a state 
vocational rehabilitation agency, or if Federal, state or local tax 
deductions or tax credits are available to offset the cost of the 
accommodation. In the absence of such funding, the disabled veteran must 
be given the option of providing the accommodation or of paying that 
portion of the cost which constitutes the undue hardship on the 
operation of the business.
    5. The definition for ``reasonable accommodation'' in Sec.  60-
300.2(t) lists a number of examples of the most common types of 
accommodations that the contractor may be required to provide. There are 
any number of specific accommodations that may be appropriate for 
particular situations. The discussion in this appendix is not intended 
to provide an exhaustive list of required accommodations (as no such 
list would be feasible); rather, it is intended to provide general 
guidance regarding the nature of the obligation. The decision as to 
whether a reasonable accommodation is appropriate must be made on a 
case-by-case basis. The contractor must consult with the disabled 
veteran in deciding on the reasonable accommodation; frequently, the 
individual will know exactly what accommodation he or she will need to 
perform successfully in a particular job, and may suggest an 
accommodation which is simpler and less expensive than the accommodation 
the contractor might have devised. Other resources to consult include 
the appropriate state vocational rehabilitation services agency, the 
Equal Employment Opportunity Commission (1-800-669-4000 (voice), 1-800-
669-6820 (TTY)), the Job Accommodation Network (JAN) operated by the 
Office of Disability Employment Policy in the U.S. Department of Labor 
(1-800-526-7234 or 1-800-232-9675), private disability organizations 
(including those that serve veterans), and other employers.
    6. With respect to accommodations that can permit an employee who is 
a disabled veteran to perform essential functions successfully, a 
reasonable accommodation may require the contractor to, for instance, 
modify or acquire equipment. For the visually-impaired, such 
accommodations may include providing adaptive hardware and software for 
computers, electronic visual aids, Braille devices, talking calculators, 
magnifiers, audio recordings and Braille or large-print materials. For 
persons with hearing impairments, reasonable accommodations may include 
providing telephone handset amplifiers, telephones compatible with 
hearing aids and text telephones (TTYs). For persons with limited 
physical dexterity, the obligation may require the provision of 
telephone headsets, speech activated software and raised or lowered 
furniture.
    7. Other reasonable accommodations of this type may include 
providing personal assistants such as a reader, sign language 
interpreter or travel attendant, permitting the use of accrued paid 
leave or providing additional unpaid leave for necessary treatment. The 
contractor may also be required to make existing facilities readily 
accessible to and usable by disabled veterans--including areas used by 
employees for purposes other than the performance of essential job 
functions such as restrooms, break rooms, cafeterias, lounges, 
auditoriums, libraries, parking lots and credit unions. This type of 
accommodation will enable employees to enjoy equal benefits and 
privileges of employment as are enjoyed by employees who do not have 
disabilities.
    8. Another of the potential accommodations listed in Sec.  60-
300.2(t) is job restructuring. This may involve reallocating or 
redistributing those nonessential, marginal job

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functions which a qualified disabled veteran cannot perform to another 
position. Accordingly, if a clerical employee who is a disabled veteran 
is occasionally required to lift heavy boxes containing files, but 
cannot do so because of a disability, this task may be reassigned to 
another employee. The contractor, however, is not required to reallocate 
essential functions, i.e., those functions that the individual who holds 
the job would have to perform, with or without reasonable accommodation, 
in order to be considered qualified for the position. For instance, the 
contractor which has a security guard position which requires the 
incumbent to inspect identity cards would not have to provide a blind 
disabled veteran with an assistant to perform that duty; in such a case, 
the assistant would be performing an essential function of the job for 
the disabled veteran. Job restructuring may also involve allowing part-
time or modified work schedules. For instance, flexible or adjusted work 
schedules could benefit disabled veterans who cannot work a standard 
schedule because of the need to obtain medical treatment, or disabled 
veterans with mobility impairments who depend on a public transportation 
system that is not accessible during the hours of a standard schedule.
    9. Reasonable accommodation may also include reassignment to a 
vacant position. In general, reassignment should be considered only when 
accommodation within the disabled veteran's current position would pose 
an undue hardship. Reassignment is not required for applicants. However, 
in making hiring decisions, contractors are encouraged to consider 
applicants who are known disabled veterans for all available positions 
for which they may be qualified when the position(s) applied for is 
unavailable. Reassignment may not be used to limit, segregate, or 
otherwise discriminate against employees who are disabled veterans by 
forcing reassignments to undesirable positions or to designated offices 
or facilities. Employers should reassign the individual to an equivalent 
position in terms of pay, status, etc., if the individual is qualified, 
and if the position is vacant within a reasonable amount of time. A 
``reasonable amount of time'' must be determined in light of the 
totality of the circumstances.
    10. The contractor may reassign an individual to a lower graded 
position if there are no accommodations that would enable the employee 
to remain in the current position and there are no vacant equivalent 
positions for which the individual is qualified with or without 
reasonable accommodation. The contractor may maintain the reassigned 
disabled veteran at the salary of the higher graded position, and must 
do so if it maintains the salary of reassigned employees who are not 
disabled veterans. It should also be noted that the contractor is not 
required to promote a disabled veteran as an accommodation.
    11. With respect to the application process, reasonable 
accommodations may include the following: (1) providing information 
regarding job vacancies in a form accessible to disabled veterans who 
are vision or hearing impaired, e.g., by making an announcement 
available in braille, in large print, or on computer disc, or by 
responding to job inquiries via TTYs; (2) providing readers, sign 
language interpreters and other similar assistance during the 
application, testing and interview process; (3) appropriately adjusting 
or modifying employment-related examinations, e.g., extending regular 
time deadlines, allowing a disabled veteran who is blind or has a 
learning disorder such as dyslexia to provide oral answers for a written 
test, and permitting an applicant, regardless of the nature of his or 
her ability, to demonstrate skills through alternative techniques and 
utilization of adapted tools, aids and devices; and (4) ensuring a 
disabled veteran with a mobility impairment full access to testing 
locations such that the applicant's test scores accurately reflect the 
applicant's skills or aptitude rather than the applicant's mobility 
impairment.



   Sec. Appendix B to Part 60-300--Sample Invitation to Self-Identify

                  [Sample Invitation to Self-Identify]

    1. This employer is a Government contractor subject to the Vietnam 
Era Veterans' Readjustment Assistance Act of 1974, as amended by the 
Jobs for Veterans Act of 2002, 38 U.S.C. 4212 (VEVRAA), which requires 
Government contractors to take affirmative action to employ and advance 
in employment: (1) disabled veterans; (2) recently separated veterans; 
(3) active duty wartime or campaign badge veterans; and (4) Armed Forces 
service medal veterans. These classifications are defined as follows:
     A ``disabled veteran'' is one of the following:
     a veteran of the U.S. military, ground, naval or 
air service who is entitled to compensation (or who but for the receipt 
of military retired pay would be entitled to compensation) under laws 
administered by the Secretary of Veterans Affairs; or
     a person who was discharged or released from 
active duty because of a service-connected disability.
     A ``recently separated veteran'' means any 
veteran during the three-year period beginning on the date of such 
veteran's discharge or release from active duty in the U.S. military, 
ground, naval, or air service.
     An ``active duty wartime or campaign badge 
veteran'' means a veteran who served on active duty in the U.S. 
military, ground, naval or air service during a war, or in a

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campaign or expedition for which a campaign badge has been authorized 
under the laws administered by the Department of Defense.
     An ``Armed forces service medal veteran'' means a 
veteran who, while serving on active duty in the U.S. military, ground, 
naval or air service, participated in a United States military operation 
for which an Armed Forces service medal was awarded pursuant to 
Executive Order 12985.
    Protected veterans may have additional rights under USERRA--the 
Uniformed Services Employment and Reemployment Rights Act. In 
particular, if you were absent from employment in order to perform 
service in the uniformed service, you may be entitled to be reemployed 
by your employer in the position you would have obtained with reasonable 
certainty if not for the absence due to service. For more information, 
call the U.S. Department of Labor's Veterans Employment and Training 
Service (VETS), toll-free, at 1-866-4-USA-DOL.
    2. [THE FOLLOWING TEXT SHOULD BE USED WHEN EXTENDING THE ``PRE-
OFFER'' INVITATION AS REQUIRED BY 41 CFR 60-300.42(a). THE DEFINITIONS 
OF THE SEPARATE CLASSIFICATIONS OF PROTECTED VETERANS SET FORTH IN 
PARAGRAPH 1 MUST ACCOMPANY THIS SELF-IDENTIFICATION REQUEST.] If you 
believe you belong to any of the categories of protected veterans listed 
above, please indicate by checking the appropriate box below. As a 
Government contractor subject to VEVRAA, we request this information in 
order to measure the effectiveness of the outreach and positive 
recruitment efforts we undertake pursuant to VEVRAA.

[ ] I IDENTIFY AS ONE OR MORE OF THE CLASSIFICATIONS OF PROTECTED 
VETERAN LISTED ABOVE
[ ] I AM NOT A PROTECTED VETERAN

    [THE FOLLOWING TEXT SHOULD BE USED IF REQUIRED TO EXTEND THE ``POST-
OFFER'' INVITATION DESCRIBED IN 41 CFR 60-300.42(b). THE DEFINITIONS OF 
THE SEPARATE CLASSIFICATIONS OF PROTECTED VETERAN INCLUDED IN THE POST-
OFFER INVITATION MUST ACCOMPANY THIS SELF-IDENTIFICATION REQUEST.]
    As a Government contractor subject to VEVRAA, we are required to 
submit a report to the United States Department of Labor each year 
identifying the number of our employees belonging to each specified 
``protected veteran'' category. If you believe you belong to any of the 
categories of protected veterans listed above, please indicate by 
checking the appropriate box below.
    I BELONG TO THE FOLLOWING CLASSIFICATIONS OF PROTECTED VETERANS 
(CHOOSE ALL THAT APPLY):

    [ ] DISABLED VETERAN
    [ ] RECENTLY SEPARATED VETERAN
    [ ] ACTIVE WARTIME OR CAMPAIGN BADGE VETERAN
    [ ] ARMED FORCES SERVICE MEDAL VETERAN

    __________

    [ ] I am a protected veteran, but I choose not to self-identify the 
classifications to which I belong.
    [ ] I am NOT a protected veteran.

    If you are a disabled veteran it would assist us if you tell us 
whether there are accommodations we could make that would enable you to 
perform the essential functions of the job, including special equipment, 
changes in the physical layout of the job, changes in the way the job is 
customarily performed, provision of personal assistance services or 
other accommodations. This information will assist us in making 
reasonable accommodations for your disability.
    3. Submission of this information is voluntary and refusal to 
provide it will not subject you to any adverse treatment. The 
information provided will be used only in ways that are not inconsistent 
with the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as 
amended.
    4. The information you submit will be kept confidential, except that 
(i) supervisors and managers may be informed regarding restrictions on 
the work or duties of disabled veterans, and regarding necessary 
accommodations; (ii) first aid and safety personnel may be informed, 
when and to the extent appropriate, if you have a condition that might 
require emergency treatment; and (iii) Government officials engaged in 
enforcing laws administered by the Office of Federal Contract Compliance 
Programs, or enforcing the Americans with Disabilities Act, may be 
informed.
    5. [The contractor should here insert a brief provision summarizing 
the relevant portion of its affirmative action program.]



      Sec. Appendix C to Part 60-300--Review of Personnel Processes

    The following is a set of procedures which contractors may use to 
meet the requirements of Sec.  60-300.44(b):
    1. The application or personnel form of each known applicant who is 
a protected veteran should be annotated to identify each vacancy for 
which the applicant was considered, and the form should be quickly 
retrievable for review by the Department of Labor and the contractor's 
personnel officials for use in investigations and internal compliance 
activities.
    2. The personnel or application records of each known protected 
veteran should include (i) the identification of each promotion for 
which the protected veteran was considered, and (ii) the identification 
of each training

[[Page 220]]

program for which the protected veteran was considered.
    3. In each case where an employee or applicant who is a protected 
veteran is rejected for employment, promotion, or training, the 
contractor should prepare a statement of the reason as well as a 
description of the accommodations considered (for a rejected disabled 
veteran). The statement of the reason for rejection (if the reason is 
medically related), and the description of the accommodations 
considered, should be treated as confidential medical records in 
accordance with Sec.  60-300.23(d). These materials should be available 
to the applicant or employee concerned upon request.
    4. Where applicants or employees are selected for hire, promotion, 
or training and the contractor undertakes any accommodation which makes 
it possible for him or her to place a disabled veteran on the job, the 
contractor should make a record containing a description of the 
accommodation. The record should be treated as a confidential medical 
record in accordance with Sec.  60-300.23(d).



PART 60	741_AFFIRMATIVE ACTION AND NONDISCRIMINATION OBLIGATIONS 
OF FEDERAL CONTRACTORS AND SUBCONTRACTORS REGARDING INDIVIDUALS 
WITH DISABILITIES--Table of Contents



         Subpart A_Preliminary Matters, Equal Opportunity Clause

Sec.
60-741.1 Purpose, applicability and construction.
60-741.2 Definitions.
60-741.3 Exceptions to the definitions of ``disability'' and ``qualified 
          individual.''
60-741.4 Coverage and waivers.
60-741.5 Equal opportunity clause.

                   Subpart B_Discrimination Prohibited

60-741.20 Covered employment activities.
60-741.21 Prohibitions.
60-741.22 Direct threat defense.
60-741.23 Medical examinations and inquiries.
60-741.24 Drugs and alcohol.
60-741.25 Health insurance, life insurance and other benefit plans.

                  Subpart C_Affirmative Action Program

60-741.40 General purpose and applicability of the affirmative action 
          program requirement.
60-741.41 Availability of affirmative action program.
60-741.42 Invitation to self-identify.
60-741.43 Affirmative action policy.
60-741.44 Required contents of affirmative action programs.
60-741.45 Utilization goals.
60-741.46 Voluntary affirmative action programs for employees with 
          disabilities.
60-741.47 Sheltered workshops.

         Subpart D_General Enforcement and Complaint Procedures

60-741.60 Compliance evaluations.
60-741.61 Complaint procedures.
60-741.62 Resolution procedures.
60-741.63 Violations of conciliation agreements.
60-741.64 Show cause notices.
60-741.65 Enforcement proceedings.
60-741.66 Sanctions and penalties.
60-741.67 Notification of agencies.
60-741.68 Reinstatement of ineligible contractors.
60-741.69 Intimidation and interference.
60-741.70 Disputed matters related to compliance with the act.

                       Subpart E_Ancillary Matters

60-741.80 Recordkeeping.
60-741.81 Access to records.
60-741.82 Labor organizations and recruiting and training agencies.
60-741.83 Rulings and interpretations.

Appendix A to Part 60-741--Guidelines on a Contractor's Duty To Provide 
          Reasonable Accommodation
Appendix B to Part 60-741--Developing Reasonable Accommodation 
          Procedures

    Authority: 29 U.S.C. 705 and 793; E.O. 11758 (3 CFR, 1971-1975 
Comp., p. 841).

    Source: 78 FR 58733, Sept. 24, 2013, unless otherwise noted.



         Subpart A_Preliminary Matters, Equal Opportunity Clause



Sec.  60-741.1  Purpose, applicability, and construction.

    (a) Purpose. The purpose of this part is to set forth the standards 
for compliance with section 503 of the Rehabilitation Act of 1973, as 
amended (29 U.S.C. 793), which prohibits discrimination against 
individuals with disabilities and requires Government contractors and 
subcontractors to take affirmative action to employ and advance in 
employment qualified individuals with disabilities.
    (b) Applicability. This part applies to all Government contracts and 
subcontracts in excess of $10,000 for the

[[Page 221]]

purchase, sale or use of personal property or nonpersonal services 
(including construction): Provided, That subpart C of this part applies 
only as described in Sec.  60-741.40(a). Compliance by the contractor 
with the provisions of this part will not necessarily determine its 
compliance with other statutes, and compliance with other statutes will 
not necessarily determine its compliance with this part: Provided, That 
compliance shall also satisfy the employment provisions of the 
Department of Labor's regulations implementing section 504 of the 
Rehabilitation Act of 1973 (see 29 CFR 32.2(b)) when the contractor is 
also subject to those requirements.
    (c) Construction--(1) In general. Except as otherwise provided in 
this part, this part does not apply a lesser standard than the standards 
applied under title I of the Americans with Disabilities Act (ADA) of 
1990, as amended, (42 U.S.C. 12101 et seq.) or the regulations issued by 
the Equal Employment Opportunity Commission pursuant to that title (29 
CFR part 1630). The Interpretive Guidance on Title I of the Americans 
with Disabilities Act set out as an appendix to 29 CFR part 1630 issued 
pursuant to that title may be relied upon for guidance in interpreting 
the parallel non-discrimination provisions of this part.
    (2) Benefits under State worker's compensation laws. Nothing in this 
part alters the standards for determining eligibility for benefits under 
State worker's compensation laws or under State and Federal disability 
benefit programs.
    (3) Relationship to other laws. This part does not invalidate or 
limit the remedies, rights, and procedures under any Federal law or the 
law of any State or political subdivision that provides greater or equal 
protection for the rights of individuals with disabilities as compared 
to the protection afforded by this part. It may be a defense to a charge 
of violation of this part that a challenged action is required or 
necessitated by another Federal law or regulation, or that another 
Federal law or regulation prohibits an action (including the provision 
of a particular reasonable accommodation) that would otherwise be 
required by this part.



Sec.  60-741.2  Definitions.

    For the purpose of this part:
    (a) Act means the Rehabilitation Act of 1973, as amended, 29 U.S.C. 
706 and 793.
    (b) Compliance evaluation means any one or combination of actions 
OFCCP may take to examine a Federal contractor's or subcontractor's 
compliance with one or more of the requirements of section 503 of the 
Rehabilitation Act of 1973.
    (c) Contract means any Government contract or subcontract.
    (d) Contractor means, unless otherwise indicated, a prime contractor 
or subcontractor holding a contract in excess of $10,000.
    (e) Direct threat means a significant risk of substantial harm to 
the health or safety of the individual or others that cannot be 
eliminated or reduced by reasonable accommodation. The determination 
that an individual with a disability poses a direct threat shall be 
based on an individualized assessment of the individual's present 
ability to perform safely the essential functions of the job. This 
assessment shall be based on a reasonable medical judgment that relies 
on the most current medical knowledge and/or on the best available 
objective evidence. In determining whether an individual would pose a 
direct threat, the factors to be considered include:
    (1) The duration of the risk;
    (2) The nature and severity of the potential harm;
    (3) The likelihood that the potential harm will occur; and
    (4) The imminence of the potential harm.
    (f) Director means the Director, Office of Federal Contract 
Compliance Programs of the United States Department of Labor, or his or 
her designee.
    (g) Disability--(1) The term disability means, with respect to an 
individual:
    (i) A physical or mental impairment that substantially limits one or 
more major life activities of such individual;
    (ii) A record of such an impairment; or
    (iii) Being regarded as having such an impairment (as defined in 
paragraph (v) of this section).
    (2) As used in this part, the definition of ``disability'' must be 
construed in

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favor of broad coverage of individuals, to the maximum extent permitted 
by law. The question of whether an individual meets the definition under 
this part should not demand extensive analysis.
    (3) An impairment that substantially limits one major life activity 
need not limit other major life activities in order to be considered a 
disability.
    (4) An impairment that is episodic or in remission is a disability 
if it would substantially limit a major life activity when active.
    (5) See paragraphs (m), (o), (t), (v), and (z) of this section, 
respectively, for definitions of ``major life activities,'' ``physical 
or mental impairment,'' ``record of such an impairment,'' ``regarded as 
having such an impairment,'' and ``substantially limits.''
    (6) See Sec.  60-741.3 for exceptions to the definition of 
``disability.''
    (h) Equal opportunity clause means the contract provisions set forth 
in Sec.  60-741.5, ``Equal opportunity clause.''
    (i) Essential functions--(1) In general. The term essential 
functions means fundamental job duties of the employment position the 
individual with a disability holds or desires. The term essential 
functions does not include the marginal functions of the position.
    (2) A job function may be considered essential for any of several 
reasons, including but not limited to the following:
    (i) The function may be essential because the reason the position 
exists is to perform that function;
    (ii) The function may be essential because of the limited number of 
employees available among whom the performance of that job function can 
be distributed; and/or
    (iii) The function may be highly specialized so that the incumbent 
in the position is hired for his or her expertise or ability to perform 
the particular function.
    (3) Evidence of whether a particular function is essential includes, 
but is not limited to:
    (i) The contractor's judgment as to which functions are essential;
    (ii) Written job descriptions prepared before advertising or 
interviewing applicants for the job;
    (iii) The amount of time spent on the job performing the function;
    (iv) The consequences of not requiring the incumbent to perform the 
function;
    (v) The terms of a collective bargaining agreement;
    (vi) The work experience of past incumbents in the job; and/or
    (vii) The current work experience of incumbents in similar jobs.
    (j) Government means the Government of the United States of America.
    (k) Government contract means any agreement or modification thereof 
between any contracting agency and any person for the purchase, sale or 
use of personal property or nonpersonal services (including 
construction). The term Government contract does not include agreements 
in which the parties stand in the relationship of employer and employee, 
and federally assisted contracts.
    (1) Construction, as used in paragraphs (k) and (x)(1) of this 
section, means the construction, rehabilitation, alteration, conversion, 
extension, demolition, or repair of buildings, highways, or other 
changes or improvements to real property, including facilities providing 
utility services. The term also includes the supervision, inspection, 
and other on-site functions incidental to the actual construction.
    (2) Contracting agency means any department, agency, establishment, 
or instrumentality of the United States, including any wholly owned 
Government corporation, which enters into contracts.
    (3) Modification means any alteration in the terms and conditions of 
a contract, including supplemental agreements, amendments, and 
extensions.
    (4) Nonpersonal services, as used in paragraphs (k) and (x)(1) of 
this section, includes, but is not limited to, the following: utility, 
construction, transportation, research, insurance, and fund depository.
    (5) Person, as used in paragraphs (k), (p), (u), (x), and (y) of 
this section, means any natural person, corporation, partnership or 
joint venture, unincorporated association, State or local government, 
and any agency, instrumentality, or subdivision of such a government.

[[Page 223]]

    (6) Personal property, as used in paragraphs (k) and (x)(1) of this 
section, includes supplies and contracts for the use of real property 
(such as lease arrangements), unless the contract for the use of real 
property itself constitutes real property (such as easements).
    (l) Individual with a disability--See definition of ``disability'' 
in paragraph (g) of this section.
    (m) Major life activities--(1) In general. Major life activities 
include, but are not limited to, caring for oneself, performing manual 
tasks, seeing, hearing, eating, sleeping, walking, standing, sitting, 
reaching, lifting, bending, speaking, breathing, learning, reading, 
concentrating, thinking, communicating, interacting with others, and 
working.
    (2) Major bodily functions. For purposes of paragraph (m)(1) of this 
section, a major life activity also includes the operation of a major 
bodily function, including, but not limited to, functions of the immune 
system, special sense organs and skin, normal cell growth, digestive, 
genitourinary, bowel, bladder, neurological, brain, respiratory, 
circulatory, cardiovascular, endocrine, hemic, lymphatic, 
musculoskeletal, and reproductive functions. The operation of a major 
bodily function includes the operation of an individual organ within a 
body system.
    (3) In determining other examples of major life activities, the term 
``major'' shall not be interpreted strictly to create a demanding 
standard for disability. Whether an activity is a ``major life 
activity'' is not determined by reference to whether it is of ``central 
importance to daily life.''
    (n) Mitigating measures--(1) In general. The term mitigating 
measures includes, but is not limited to:
    (i) Medication, medical supplies, equipment, or appliances, low-
vision devices (which do not include ordinary eyeglasses or contact 
lenses), prosthetics including limbs and devices, hearing aids and 
cochlear implants or other implantable hearing devices, mobility 
devices, or oxygen therapy equipment and supplies;
    (ii) Use of assistive technology;
    (iii) Reasonable accommodations or ``auxiliary aids or services'' 
(as defined by 42 U.S.C. 12103(1));
    (iv) Learned behavioral or adaptive neurological modifications; or
    (v) Psychotherapy, behavioral therapy, or physical therapy.
    (2) Ordinary eyeglasses or contact lenses. The term ordinary 
eyeglasses or contact lenses means lenses that are intended to fully 
correct visual acuity or to eliminate refractive error.
    (3) Low-vision devices. The term low-vision devices means devices 
that magnify, enhance, or otherwise augment a visual image, but not 
including ordinary eyeglasses or contact lenses.
    (4) Auxiliary aids and services. The term auxiliary aids and 
services includes--
    (i) Qualified interpreters or other effective methods of making 
aurally delivered materials available to individuals with hearing 
impairments;
    (ii) Qualified readers, taped texts, or other effective methods of 
making visually delivered materials available to individuals with visual 
impairments;
    (iii) Acquisition or modification of equipment or devices; and
    (iv) Other similar services and actions.
    (o) Physical or mental impairment means:
    (1) Any physiological disorder, or condition, cosmetic 
disfigurement, or anatomical loss affecting one or more body systems 
such as neurological, musculoskeletal, special sense organs, respiratory 
(including speech organs), cardiovascular, reproductive, digestive, 
genitourinary, immune, circulatory, hemic, lymphatic, skin, and 
endocrine; or
    (2) Any mental or psychological disorder, such as an intellectual 
disability (formerly termed mental retardation), organic brain syndrome, 
emotional or mental illness, and specific learning disabilities.
    (p) Prime contractor means any person holding a contract in excess 
of $10,000, and, for the purposes of subpart D of this part, ``General 
Enforcement and Complaint Procedures,'' includes any person who has held 
a contract subject to the act.
    (q) Qualification standards means the personal and professional 
attributes including the skill, experience, education, physical, 
medical, safety, and other requirements established by the

[[Page 224]]

contractor as requirements which an individual must meet in order to be 
eligible for the position held or desired.
    (r) Qualified individual means an individual who satisfies the 
requisite skill, experience, education, and other job-related 
requirements of the employment position such individual holds or 
desires, and who, with or without reasonable accommodation, can perform 
the essential functions of such position. See Sec.  60-741.3 for 
exceptions to this definition.
    (s) Qualitative evidence includes but is not limited to testimony, 
interview statements, and documents about biased statements, remarks, 
attitudes, or acts based upon membership in a protected class, 
particularly when made by a decision maker involved in the action under 
investigation; testimony, interview statements, and documents about 
individuals denied or given misleading or contradictory information 
about employment or compensation practices, in circumstances suggesting 
discriminatory treatment based on a protected characteristic; testimony, 
interview statements, and documents about the extent of discretion or 
subjectivity involved in making employment decisions, in conjunction 
with evidence suggesting the discretion or subjectivity has been used to 
discriminate based on a protected characteristic; or other anecdotal 
evidence relevant to determining a contractor's discriminatory or non-
discriminatory intent, the business necessity (or lack thereof) of a 
challenged policy or practice, or whether the contractor has otherwise 
complied with its non-discrimination obligations. Qualitative evidence 
may not be based solely on subjective inferences or the mere fact of 
supervisory discretion in employment decisions. The Office of Federal 
Contract Compliance Programs (OFCCP) may also consider qualitative 
evidence in the form of a contractor's efforts to advance equal 
employment opportunity beyond mere compliance with legal obligations in 
determining whether intentional discrimination has occurred.
    (t) Quantitative evidence includes hypothesis testing, controlling 
for the major, measurable parameters, and variables used by the 
contractor (including, as appropriate, preferred qualifications, other 
demographic variables, test scores, geographic variables, performance 
evaluations, years of experience, quality of experience, years of 
service, quality and reputation of previous employers, years of 
education, years of training, quality and reputation of credentialing 
institutions, etc.), related to the probability of outcomes occurring by 
chance and/or analyses reflecting statements concluding that a disparity 
in employment selection rates or rates of compensation is statistically 
significant by reference to any one of these statements:
    (1) The disparity is two or more times larger than its standard 
error (i.e., a standard deviation of two or more);
    (2) The Z statistic has a value greater than two; or
    (3) The probability value is less than 0.05. It also includes 
numerical analysis of similarly situated individuals, small groups, or 
other characteristics, demographics or outcomes where hypothesis-testing 
techniques are not used.
    (u) Reasonable accommodation--(1) In general. The term reasonable 
accommodation means modifications or adjustments:
    (i) To a job application process that enable a qualified applicant 
with a disability to be considered for the position such applicant 
desires; \1\ or
---------------------------------------------------------------------------

    \1\ A contractor's duty to provide a reasonable accommodation with 
respect to applicants with disabilities is not limited to those who 
ultimately demonstrate that they are qualified to perform the job in 
issue. Applicants with disabilities must be provided a reasonable 
accommodation with respect to the application process if they are 
qualified with respect to that process (e.g., if they present themselves 
at the correct location and time to fill out an application).
---------------------------------------------------------------------------

    (ii) To the work environment, or to the manner or circumstances 
under which the position held or desired is customarily performed, that 
enable a qualified individual with a disability to perform the essential 
functions of that position; or
    (iii) That enable the contractor's employee with a disability to 
enjoy equal benefits and privileges of employment as are enjoyed by the 
contractor's

[[Page 225]]

other similarly situated employees without disabilities.
    (2) Reasonable accommodation may include but is not limited to:
    (i) Making existing facilities used by employees readily accessible 
to and usable by individuals with disabilities; and
    (ii) Job restructuring; part-time or modified work schedules; 
reassignment to a vacant position; acquisition or modifications of 
equipment or devices; appropriate adjustments or modifications of 
examinations, training materials, or policies; the provision of 
qualified readers or interpreters; and other similar accommodations for 
individuals with disabilities.
    (3) To determine the appropriate reasonable accommodation it may be 
necessary for the contractor to initiate an informal, interactive 
process with the qualified individual with a disability in need of the 
accommodation.\2\ This process should identify the precise limitations 
resulting from the disability and potential reasonable accommodations 
that could overcome those limitations. (Appendix A of this part provides 
guidance on a contractor's duty to provide reasonable accommodation.)
---------------------------------------------------------------------------

    \2\ Before providing a reasonable accommodation, the contractor is 
strongly encouraged to verify with the individual with a disability that 
the accommodation will effectively meet the individual's needs.
---------------------------------------------------------------------------

    (4) Individuals who meet the definition of ``disability'' solely 
under the ``regarded as'' prong of the definition of ``disability'' as 
defined in paragraph (v)(1) of this section are not entitled to receive 
reasonable accommodation.
    (v) Record of such impairment means has a history of, or has been 
misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities. An individual 
shall be considered to have a record of a disability if the individual 
has a history of an impairment that substantially limited one or more 
major life activities when compared to most people in the general 
population, or was misclassified as having had such an impairment.
    (w) Recruiting and training agency means any person who refers 
workers to any contractor, or who provides or supervises apprenticeship 
or training for employment by any contractor.
    (x) Regarded as having such an impairment--(1) Except as provided in 
paragraph (v)(4) of this section, an individual is regarded as having 
such an impairment if the individual is subjected to an action 
prohibited under subpart B (Discrimination Prohibited) of these 
regulations because of an actual or perceived physical or mental 
impairment, whether or not the impairment substantially limits or is 
perceived to substantially limit a major life activity. Prohibited 
actions include but are not limited to refusal to hire, demotion, 
placement on involuntary leave, termination, exclusion for failure to 
meet a qualification standard, harassment, or denial of any other term, 
condition, or privilege of employment.
    (2) Except as provided in paragraph (v)(4) of this section, an 
individual is regarded as having such an impairment any time a 
contractor takes a prohibited action against the individual because of 
an actual or perceived impairment, even if the contractor asserts, or 
may or does ultimately establish a defense to such action.
    (3) Establishing that an individual is regarded as having such an 
impairment does not, by itself, establish liability for unlawful 
discrimination in violation of this part. Such liability is established 
only when an individual proves that a contractor discriminated on the 
basis of disability as prohibited by this part.
    (4) Impairments that are transitory and minor. Paragraph (v)(1) of 
this section shall not apply to an impairment that is shown by the 
contractor to be transitory and minor. The contractor must demonstrate 
that the impairment is both ``transitory'' and ``minor.'' Whether the 
impairment at issue is or would be ``transitory and ``minor'' is to be 
determined objectively. The fact that a contractor subjectively believed 
the impairment was transitory and minor is not sufficient to defeat an 
individual's coverage under paragraph (v)(1) of this section.
    (i) An impairment is transitory if it has an actual or expected 
duration of six months or less.
    (ii) [Reserved]

[[Page 226]]

    (y) Secretary means the Secretary of Labor, United States Department 
of Labor, or his or her designee.
    (z) Subcontract. (1) Subcontract means any agreement or arrangement 
between a contractor and any person (in which the parties do not stand 
in the relationship of an employer and an employee):
    (i) For the purchase, sale or use of personal property or 
nonpersonal services which, in whole or in part, is necessary to the 
performance of any one or more contracts; or
    (ii) Under which any portion of the contractor's obligation under 
any one or more contracts is performed, undertaken, or assumed; and
    (2) Does not include an agreement between a health care provider and 
a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (i) An agreement means a relationship between a health care provider 
and a health organization under which the health care provider agrees to 
provide health care services or supplies to natural persons who are 
beneficiaries under TRICARE.
    (ii) A health care provider is a physician, hospital, or other 
individual or entity that furnishes health care services or supplies.
    (iii) A health organization is a voluntary association, corporation, 
partnership, managed care support contractor, or other nongovernmental 
organization that is lawfully engaged in providing, paying for, 
insuring, or reimbursing the cost of health care services or supplies 
under group insurance policies or contracts, medical or hospital service 
agreements, membership or subscription contracts, network agreements, 
health benefits plans duly sponsored or underwritten by an employee 
organization or association of organizations and health maintenance 
organizations, or other similar arrangements, in consideration of 
premiums or other periodic charges or payments payable to the health 
organization.
    (aa) Subcontractor means any person holding a subcontract in excess 
of $10,000 and, for the purposes of subpart D of this part, ``General 
Enforcement and Complaint Procedures,'' any person who has held a 
subcontract subject to the act.
    (bb) Substantially limits--(1) In general. The term ``substantially 
limits'' shall be construed broadly in favor of expansive coverage, to 
the maximum extent permitted by law. Substantially limits is not meant 
to be a demanding standard and should not demand extensive analysis.
    (i) An impairment is substantially limiting within the meaning of 
this section if it substantially limits the ability of an individual to 
perform a major life activity as compared to most people in the general 
population. An impairment need not prevent, or significantly or severely 
restrict, the individual from performing a major life activity in order 
to be considered ``substantially limiting.'' Nonetheless, not every 
impairment will constitute a disability within the meaning of this 
section.
    (ii) The comparison of an individual's performance of a major life 
activity to the performance of the same major life activity by most 
people in the general population usually will not require scientific, 
medical, or statistical analysis. However, nothing in this section is 
intended to prohibit the presentation of scientific, medical, or 
statistical evidence to make such a comparison where appropriate.
    (iii) In determining whether an individual is substantially limited 
in a major life activity, it may be useful in appropriate cases to 
consider, as compared to most people in the general population, the 
condition under which the individual performs the major life activity; 
the manner in which the individual performs the major life activity; 
and/or the duration of time it takes the individual to perform the major 
life activity, or for which the individual can perform the major life 
activity. This may include consideration of facts such as the 
difficulty, effort, or time required to perform a major life activity; 
pain experienced when performing a major life activity; the length of 
time a major life activity can be performed; and/or the way an 
impairment affects the operation of a major bodily function.

[[Page 227]]

    (2) Non-applicability to the ``regarded as'' prong. Whether an 
individual's impairment substantially limits a major life activity is 
not relevant to a determination of whether the individual is regarded as 
having a disability within the meaning of paragraph (g)(1)(iii) of this 
section.
    (3) Ameliorative effects of mitigating measures. Except as provided 
in paragraph (z)(3)(i) of this section, the determination of whether an 
impairment substantially limits a major life activity shall be made 
without regard to the ameliorative effects of mitigating measures as 
defined in paragraph (n) of this section.
    (i) The ameliorative effects of the mitigating measures of ordinary 
eyeglasses or contact lenses shall be considered when determining 
whether an impairment substantially limits a major life activity. See 
paragraph (n)(2) of this section for a definition of ``ordinary 
eyeglasses or contact lenses.''
    (ii) Non-ameliorative effects of mitigating measures. The non-
ameliorative effects of mitigating measures, such as negative side 
effects of medication or burdens associated with following a particular 
treatment regimen, may be considered when determining whether an 
individual's impairment substantially limits a major life activity.
    (4) In determining whether an individual is substantially limited 
the focus is on how a major life activity is substantially limited, and 
not on the outcomes an individual can achieve. For example, someone with 
a learning disability may achieve a high level of academic success, but 
may nevertheless be substantially limited in the major life activity of 
learning because of the additional time or effort he or she must spend 
to read, write, or learn compared to most people in the general 
population.
    (5) Predictable assessments. The determination of whether an 
impairment substantially limits a major life activity requires an 
individualized assessment. However, the principles set forth in this 
section are intended to provide for generous coverage through a 
framework that is predictable, consistent, and workable for all 
individuals and contractors with rights and responsibilities under this 
part. Therefore, the individualized assessment of some types of 
impairments will, in virtually all cases, result in a determination of 
coverage under paragraph (g)(1)(i) or (ii) of this section. Given their 
inherent nature, these types of impairments will, as a factual matter, 
virtually always be found to impose a substantial limitation on a major 
life activity. With respect to these types of impairments, the necessary 
individualized assessment should be particularly simple and 
straightforward.
    (i) Examples of predictable assessments. Applying the principles set 
forth in this section it should easily be concluded that the following 
types of impairments will, at a minimum, substantially limit the major 
life activities indicated: deafness substantially limits hearing; 
blindness substantially limits seeing; an intellectual disability 
(formerly termed mental retardation) substantially limits brain 
function; partially or completely missing limbs or mobility impairments 
requiring the use of a wheelchair substantially limit musculoskeletal 
function; autism substantially limits brain function; cancer 
substantially limits normal cell growth; cerebral palsy substantially 
limits brain function; diabetes substantially limits endocrine function; 
epilepsy substantially limits neurological function; Human 
Immunodeficiency Virus (HIV) infection substantially limits immune 
function; multiple sclerosis (MS) substantially limits neurological 
function; muscular dystrophy substantially limits neurological function; 
and major depressive disorder, bipolar disorder, post-traumatic stress 
disorder (PTSD), obsessive compulsive disorder, and schizophrenia 
substantially limit brain function. The types of impairments described 
in this section may also substantially limit additional major life 
activities not explicitly listed above.
    (ii) [Reserved]
    (cc) Undue hardship--(1) In general. Undue hardship means, with 
respect to the provision of an accommodation, significant difficulty or 
expense incurred by the contractor, when considered in light of the 
factors set forth in paragraph (aa)(2) of this section.

[[Page 228]]

    (2) Factors to be considered. In determining whether an 
accommodation would impose an undue hardship on the contractor, factors 
to be considered include:
    (i) The nature and net cost of the accommodation needed, taking into 
consideration the availability of tax credits and deductions, and/or 
outside funding;
    (ii) The overall financial resources of the facility or facilities 
involved in the provision of the reasonable accommodation, the number of 
persons employed at such facility, and the effect on expenses and 
resources;
    (iii) The overall financial resources of the contractor, the overall 
size of the business of the contractor with respect to the number of its 
employees, and the number, type and location of its facilities;
    (iv) The type of operation or operations of the contractor, 
including the composition, structure and functions of the work force of 
such contractor, and the geographic separateness and administrative or 
fiscal relationship of the facility or facilities in question to the 
contractor; and
    (v) The impact of the accommodation upon the operation of the 
facility, including the impact on the ability of other employees to 
perform their duties and the impact on the facility's ability to conduct 
business.
    (dd) United States, as used herein, shall include the several 
States, the District of Columbia, the Virgin Islands, the Commonwealth 
of Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern 
Mariana Islands, and Wake Island.

[78 FR 58733, Sept. 24, 2013, as amended at 85 FR 39846, July 2, 2020; 
85 FR 71573, Nov. 10, 2020]



Sec.  60-741.3  Exceptions to the definitions of ``disability'' 
and ``qualified individual.''

    (a) Current illegal use of drugs--(1) In general. The terms 
``disability'' and ``qualified individual'' do not include individuals 
currently engaging in the illegal use of drugs, when the contractor acts 
on the basis of such use.
    (2) ``Drug'' defined. The term drug means a controlled substance, as 
defined in schedules I through V of Section 202 of the Controlled 
Substances Act (21 U.S.C. 812).
    (3) ``Illegal use of drugs'' defined. The term illegal use of drugs 
means the use of drugs, the possession or distribution of which is 
unlawful under the Controlled Substances Act, as updated pursuant to 
that act. Such term does not include the use of a drug taken under 
supervision by a licensed health care professional, or other uses 
authorized by the Controlled Substances Act or other provisions of 
Federal law.
    (4) Construction. (i) Nothing in paragraph (a)(1) of this section 
shall be construed to exclude from the definition of disability or 
qualified individual an individual who:
    (A) Has successfully completed a supervised drug rehabilitation 
program and is no longer engaging in the illegal use of drugs, or has 
otherwise been rehabilitated successfully and is no longer engaging in 
the illegal use of drugs;
    (B) Is participating in a supervised rehabilitation program and is 
no longer engaging in such use; or
    (C) Is erroneously regarded as engaging in such use, but is not 
engaging in such use.
    (ii) In order to be protected by section 503 and this part, an 
individual described in paragraph (a)(4)(i) of this section must, as 
appropriate, satisfy the requirements of the definition of disability 
and qualified individual.
    (5) Drug testing. It shall not be a violation of this part for the 
contractor to adopt or administer reasonable policies or procedures, 
including but not limited to drug testing, designed to ensure that an 
individual described in paragraphs (a)(4)(i)(A) and (B) of this section 
is no longer engaging in the illegal use of drugs. (See Sec.  60-
741.24(b)(1).)
    (b) Alcoholics--(1) In general. The terms disability and qualified 
individual do not include an individual who is an alcoholic whose 
current use of alcohol prevents such individual from performing the 
essential functions of the employment position such individual holds or 
desires or whose employment, by reason of such current alcohol abuse, 
would constitute a direct threat to property or to the health or safety 
of the individual or others.

[[Page 229]]

    (2) Duty to provide reasonable accommodation. Nothing in paragraph 
(b)(1) of this section shall relieve the contractor of its obligation to 
provide a reasonable accommodation for an individual described in 
paragraph (b)(1) of this section when such an accommodation will enable 
the individual to perform the essential functions of the employment 
position such individual holds or desires, or when the accommodation 
will eliminate or reduce the direct threat to the health or safety of 
the individual or others posed by such individual, provided that such 
individual satisfies the requisite skill, experience, education, and 
other job-related requirements of such position.
    (c) Contagious disease or infection--(1) In general. The terms 
disability and qualified individual do not include an individual who has 
a currently contagious disease or infection and who, by reason of such 
disease or infection, would constitute a direct threat to the health or 
safety of the individual or others or who, by reason of the currently 
contagious disease or infection, is unable to perform the essential 
functions of the employment position such individual holds or desires.
    (2) Duty to provide reasonable accommodation. Nothing in paragraph 
(c)(1) of this section shall relieve the contractor of its obligation to 
provide a reasonable accommodation for an individual described in 
paragraph (c)(1) of this section when such an accommodation will enable 
the individual to perform the essential functions of the employment 
position such individual holds or desires, or when the accommodation 
will eliminate or reduce the direct threat to the health or safety of 
the individual or others posed by such individual, provided that such 
individual satisfies the requisite skill, experience, education, and 
other job-related requirements of such position.
    (d) Homosexuality and bisexuality. Homosexuality and bisexuality are 
not impairments and so are not disabilities as defined in this part.
    (e) Other conditions. The term disability does not include:
    (1) Transvestism, transsexualism, pedophilia, exhibitionism, 
voyeurism, gender identity disorders not resulting from physical 
impairments, or other sexual behavior disorders;
    (2) Compulsive gambling, kleptomania, or pyromania; or
    (3) Psychoactive substance use disorders resulting from current 
illegal use of drugs.



Sec.  60-741.4  Coverage and waivers.

    (a) Coverage--(1) Contracts and subcontracts in excess of $10,000. 
Contracts and subcontracts in excess of $10,000 are covered by this 
part. No contracting agency or contractor shall procure supplies or 
services in less than usual quantities to avoid the applicability of the 
equal opportunity clause.
    (2) Contracts and subcontracts for indefinite quantities. With 
respect to indefinite delivery-type contracts and subcontracts 
(including, but not limited to, open end contracts, requirement-type 
contracts, Federal Supply Schedule contracts, ``call-type'' contracts, 
and purchase notice agreements), the equal opportunity clause shall be 
included unless the contracting agency has reason to believe that the 
amount to be ordered in any year under such contract will not be in 
excess of $10,000. The applicability of the equal opportunity clause 
shall be determined at the time of award for the first year and annually 
thereafter for succeeding years, if any. Notwithstanding the above, the 
equal opportunity clause shall be applied to such contract whenever the 
amount of a single order exceeds $10,000. Once the equal opportunity 
clause is determined to be applicable, the contract shall continue to be 
subject to such clause for its duration, regardless of the amounts 
ordered, or reasonably expected to be ordered in any year.
    (3) Employment activities within the United States. This part 
applies only to employment activities within the United States and not 
to employment activities abroad. The term employment activities within 
the United States includes actual employment within the United States, 
and decisions of the contractor made within the United States, 
pertaining to the contractor's applicants and employees who are within

[[Page 230]]

the United States, regarding employment opportunities abroad (such as 
recruiting and hiring within the United States for employment abroad, or 
transfer of persons employed in the United States to contractor 
establishments abroad).
    (4) Contracts with State or local governments. The requirements of 
the equal opportunity clause in any contract or subcontract with a State 
or local government (or any agency, instrumentality or subdivision 
thereof) shall not be applicable to any agency, instrumentality or 
subdivision of such government which does not participate in work on or 
under the contract or subcontract.
    (b) Waivers--(1) Specific contracts and classes of contracts. The 
Director may waive the application to any contract of the equal 
opportunity clause in whole or part when he or she deems that special 
circumstances in the national interest so require. The Director may also 
grant such waivers to groups or categories of contracts: where it is in 
the national interest; where it is found impracticable to act upon each 
request individually; and where such waiver will substantially 
contribute to convenience in administration of the act. When a waiver 
has been granted for any class of contracts, the Director may withdraw 
the waiver for a specific contract or group of contracts to be awarded, 
when in his or her judgment such action is necessary or appropriate to 
achieve the purposes of the act. The withdrawal shall not apply to 
contracts awarded prior to the withdrawal, except that in procurements 
entered into by formal advertising, or the various forms of restricted 
formal advertising, such withdrawal shall not apply unless the 
withdrawal is made more than 10 calendar days before the date set for 
the opening of the bids.
    (2) National security. Any requirement set forth in the regulations 
of this part shall not apply to any contract whenever the head of the 
contracting agency determines that such contract is essential to the 
national security and that its award without complying with such 
requirements is necessary to the national security. Upon making such a 
determination, the head of the contracting agency will notify the 
Director in writing within 30 days.
    (3) Facilities not connected with contracts. (i) Upon the written 
request of the contractor, the Director may waive the requirements of 
the equal opportunity clause with respect to any of a contractor's 
facilities if the Director finds that the contractor has demonstrated 
that:
    (A) The facility is in all respects separate and distinct from 
activities of the contractor related to the performance of a contract; 
and
    (B) Such a waiver will not interfere with or impede the effectuation 
of the act.
    (ii) The Director's findings as to whether the facility is separate 
and distinct in all respects from activities of the contractor related 
to the performance of a contract shall include consideration of the 
following factors:
    (A) Whether any work at the facility directly or indirectly supports 
or contributes to the satisfaction of the work performed on a Government 
contract;
    (B) The extent to which the facility benefits, directly or 
indirectly, from a Government contract;
    (C) Whether any costs associated with operating the facility are 
charged to a Government contract;
    (D) Whether working at the facility is a prerequisite for 
advancement in job responsibility or pay, and the extent to which 
employees at facilities connected to a Government contract are recruited 
for positions at the facility;
    (E) Whether employees or applicants for employment at the facility 
may perform work related to a Government contract at another facility, 
and the extent to which employees at the facility are interchangeable 
with employees at facilities connected to a Government contract; and
    (F) Such other factors that the Director deems are necessary or 
appropriate for considering whether the facility is in all respects 
separate and distinct from the activities of the contractor related to 
the performance of a contract.
    (iii) The Director's findings as to whether granting a waiver will 
interfere with or impede the effectuation of

[[Page 231]]

the act shall include consideration of the following factors:
    (A) Whether the waiver will be used as a subterfuge to circumvent 
the contractor's obligations under the act;
    (B) The contractor's compliance with the act or any other Federal, 
State or local law requiring equal opportunity for disabled persons;
    (C) The impact of granting the waiver on OFCCP enforcement efforts; 
and
    (D) Such other factors that the Director deems are necessary or 
appropriate for considering whether the granting of the waiver would 
interfere with or impede the effectuation of the act.
    (iv) A contractor granted a waiver under paragraph (b)(3) of this 
section shall:
    (A) Promptly inform the Director of any changed circumstances not 
reflected in the contractor's waiver request; and
    (B) Permit the Director access during normal business hours to the 
contractor's places of business for the purpose of investigating whether 
the facility granted a waiver meets the standards and requirements of 
paragraph (b)(3) of this section, and for inspecting and copying such 
books and accounts and records, including computerized records, and 
other material as may be relevant to the matter under investigation.
    (v)(A) A waiver granted under paragraph (b)(3) of this section shall 
terminate on one of the following dates, whichever is earliest:
    (1) Two years after the date the waiver was granted.
    (2) When the facility performs any work that directly supports or 
contributes to the satisfaction of the work performed on a Government 
contract.
    (3) When the Director determines, based on information provided by 
the contractor under this section or upon any other relevant 
information, that the facility does not meet the requirements of 
paragraph (b)(3) of this section.
    (B) When a waiver terminates in accordance with paragraph 
(b)(3)(v)(A) of this section the contractor shall ensure that the 
facility complies with this part on the date of termination, except that 
compliance with Sec. Sec.  60-741.40 through 60-741.44, if applicable, 
must be attained within 120 days of such termination.
    (vi) False or fraudulent statements or representations made by a 
contractor under paragraph (b)(3) of this section are prohibited and may 
subject the contractor to sanctions and penalties under this part and 
criminal prosecution under 18 U.S.C. 1001.



Sec.  60-741.5  Equal opportunity clause.

    (a) Government contracts. Each contracting agency and each 
contractor shall include the following equal opportunity clause in each 
of its covered Government contracts or subcontracts (and modifications, 
renewals, or extensions thereof if not included in the original 
contract):

             Equal Opportunity for Workers With Disabilities

    1. The contractor will not discriminate against any employee or 
applicant for employment because of physical or mental disability in 
regard to any position for which the employee or applicant for 
employment is qualified. The contractor agrees to take affirmative 
action to employ and advance in employment individuals with 
disabilities, and to treat qualified individuals without discrimination 
on the basis of their physical or mental disability in all employment 
practices, including the following:
    i. Recruitment, advertising, and job application procedures;
    ii. Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff and rehiring;
    iii. Rates of pay or any other form of compensation and changes in 
compensation;
    iv. Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    v. Leaves of absence, sick leave, or any other leave;
    vi. Fringe benefits available by virtue of employment, whether or 
not administered by the contractor;
    vii. Selection and financial support for training, including 
apprenticeship, professional meetings, conferences, and other related 
activities, and selection for leaves of absence to pursue training;
    viii. Activities sponsored by the contractor including social or 
recreational programs; and
    ix. Any other term, condition, or privilege of employment.
    2. The contractor agrees to comply with the rules, regulations, and 
relevant orders of

[[Page 232]]

the Secretary of Labor issued pursuant to the act.
    3. In the event of the contractor's noncompliance with the 
requirements of this clause, actions for noncompliance may be taken in 
accordance with the rules, regulations, and relevant orders of the 
Secretary of Labor issued pursuant to the act.
    4. The contractor agrees to post in conspicuous places, available to 
employees and applicants for employment, notices in a form to be 
prescribed by the Director, Office of Federal Contract Compliance 
Programs, provided by or through the contracting officer. Such notices 
shall state the rights of applicants and employees as well as the 
contractor's obligation under the law to take affirmative action to 
employ and advance in employment qualified employees and applicants with 
disabilities. The contractor must ensure that applicants or employees 
with disabilities are provided the notice in a form that is accessible 
and understandable to the individual applicant or employee (e.g., 
providing Braille or large print versions of the notice, or posting a 
copy of the notice at a lower height for easy viewing by a person using 
a wheelchair). With respect to employees who do not work at a physical 
location of the contractor, a contractor will satisfy its posting 
obligations by posting such notices in an electronic format, provided 
that the contractor provides computers, or access to computers, that can 
access the electronic posting to such employees, or the contractor has 
actual knowledge that such employees otherwise are able to access the 
electronically posted notices. Electronic notices for employees must be 
posted in a conspicuous location and format on the company's intranet or 
sent by electronic mail to employees. An electronic posting must be used 
by the contractor to notify job applicants of their rights if the 
contractor utilizes an electronic application process. Such electronic 
applicant notice must be conspicuously stored with, or as part of, the 
electronic application.
    5. The contractor will notify each labor organization or 
representative of workers with which it has a collective bargaining 
agreement or other contract understanding, that the contractor is bound 
by the terms of section 503 of the Rehabilitation Act of 1973, as 
amended, and is committed to take affirmative action to employ and 
advance in employment, and shall not discriminate against, individuals 
with physical or mental disabilities.
    6. The contractor will include the provisions of this clause in 
every subcontract or purchase order in excess of $10,000, unless 
exempted by the rules, regulations, or orders of the Secretary issued 
pursuant to section 503 of the act, as amended, so that such provisions 
will be binding upon each subcontractor or vendor. The contractor will 
take such action with respect to any subcontract or purchase order as 
the Director, Office of Federal Contract Compliance Programs may direct 
to enforce such provisions, including action for noncompliance.
    7. The contractor must, in all solicitations or advertisements for 
employees placed by or on behalf of the contractor, state that all 
qualified applicants will receive consideration for employment and will 
not be discriminated against on the basis of disability.


[End of Clause]

    (b) Subcontracts. Each contractor shall include the equal 
opportunity clause in each of its subcontracts subject to this part.
    (c) Adaption of language. Such necessary changes in language may be 
made to the equal opportunity clause as shall be appropriate to identify 
properly the parties and their undertakings.
    (d) Inclusion of the equal opportunity clause in the contract. It is 
not necessary to include the equal opportunity clause verbatim in the 
contract. The clause shall be made a part of the contract by citation to 
41 CFR 60-741.5(a) and inclusion of the following language, in bold 
text, after the citation: ``This contractor and subcontractor shall 
abide by the requirements of 41 CFR 60-741.5(a). This regulation 
prohibits discrimination against qualified individuals on the basis of 
disability, and requires affirmative action by covered prime contractors 
and subcontractors to employ and advance in employment qualified 
individuals with disabilities.''
    (e) Incorporation by operation of the act. By operation of the act, 
the equal opportunity clause shall be considered to be a part of every 
contract and subcontract required by the act and the regulations in this 
part to include such a clause, whether or not it is physically 
incorporated in such contract and whether or not there is a written 
contract between the agency and the contractor.
    (f) Duties of contracting agencies. Each contracting agency shall 
cooperate with the Director and the Secretary in the performance of 
their responsibilities under the act. Such cooperation shall include 
insuring that the equal opportunity clause is included in all covered 
Government contracts and that contractors are fully informed of

[[Page 233]]

their obligations under the act and this part, providing the Director 
with any information which comes to the agency's attention that a 
contractor is not in compliance with the act or this part, responding to 
requests for information from the Director, and taking such actions for 
noncompliance as are set forth in Sec.  60-741.66 as may be ordered by 
the Secretary or the Director.



                   Subpart B_Discrimination Prohibited



Sec.  60-741.20  Covered employment activities.

    The prohibition against discrimination in this part applies to the 
following employment activities:
    (a) Recruitment, advertising, and job application procedures;
    (b) Hiring, upgrading, promotion, award of tenure, demotion, 
transfer, layoff, termination, right of return from layoff, and 
rehiring;
    (c) Rates of pay or any other form of compensation and changes in 
compensation;
    (d) Job assignments, job classifications, organizational structures, 
position descriptions, lines of progression, and seniority lists;
    (e) Leaves of absence, sick leave, or any other leave;
    (f) Fringe benefits available by virtue of employment, whether or 
not administered by the contractor;
    (g) Selection and financial support for training, including 
apprenticeships, professional meetings, conferences and other related 
activities, and selection for leaves of absence to pursue training;
    (h) Activities sponsored by the contractor including social and 
recreational programs; and
    (i) Any other term, condition, or privilege of employment.



Sec.  60-741.21  Prohibitions.

    (a) The term discrimination includes, but is not limited to, the 
acts described in this section and Sec.  60-741.23.
    (1) Disparate treatment. It is unlawful for the contractor to deny 
an employment opportunity or benefit or otherwise to discriminate 
against a qualified individual on the basis of disability.
    (2) Limiting, segregating and classifying. Unless otherwise 
permitted by this part, it is unlawful for the contractor to limit, 
segregate, or classify a job applicant or employee in a way that 
adversely affects his or her employment opportunities or status on the 
basis of disability. For example, the contractor may not segregate 
employees into separate work areas or into separate lines of advancement 
on the basis of disability.
    (3) Contractual or other arrangements--(i) In general. It is 
unlawful for the contractor to participate in a contractual or other 
arrangement or relationship that has the effect of subjecting the 
contractor's own qualified applicant or employee with a disability to 
the discrimination prohibited by this part.
    (ii) Contractual or other arrangement defined. The phrase 
contractual or other arrangement or relationship includes, but is not 
limited to, a relationship with: an employment or referral agency; a 
labor organization, including a collective bargaining agreement; an 
organization providing fringe benefits to an employee of the contractor; 
or an organization providing training and apprenticeship programs.
    (iii) Application. This paragraph (a)(3) applies to the contractor, 
with respect to its own applicants or employees, whether the contractor 
offered the contract or initiated the relationship, or whether the 
contractor accepted the contract or acceded to the relationship. The 
contractor is not liable for the actions of the other party or parties 
to the contract which only affect that other party's employees or 
applicants.
    (4) Standards, criteria or methods of administration. It is unlawful 
for the contractor to use standards, criteria, or methods of 
administration, that are not job-related and consistent with business 
necessity, and that:
    (i) Have the effect of discriminating on the basis of disability; or
    (ii) Perpetuate the discrimination of others who are subject to 
common administrative control.
    (5) Relationship or association with an individual with a 
disability. It is unlawful for the contractor to exclude or deny equal 
jobs or benefits to, or otherwise discriminate against, a qualified

[[Page 234]]

individual because of the known disability of an individual with whom 
the qualified individual is known to have a family, business, social, or 
other relationship or association.
    (6) Not making reasonable accommodation. (i) It is unlawful for the 
contractor to fail to make reasonable accommodation to the known 
physical or mental limitations of an otherwise qualified applicant or 
employee with a disability as defined in Sec. Sec.  60-741.2(g)(1)(i) or 
(ii), unless such contractor can demonstrate that the accommodation 
would impose an undue hardship on the operation of its business.
    (ii) It is unlawful for the contractor to deny employment 
opportunities to an otherwise qualified job applicant or employee with a 
disability based on the need of such contractor to make reasonable 
accommodation to such an individual's physical or mental impairments.
    (iii) The reasonable accommodation obligation extends to the 
contractor's use of electronic or online job application systems. If a 
contractor uses such a system, it must provide necessary reasonable 
accommodation to ensure that an otherwise qualified individual with a 
disability who is not able to fully utilize that system is nonetheless 
provided with equal opportunity to apply and be considered for all jobs. 
Though not required by this part, it is a best practice for the 
contractor to make its online job application system accessible and 
compatible with assistive technologies used by individuals with 
disabilities.
    (iv) A qualified individual with a disability is not required to 
accept an accommodation, aid, service, opportunity, or benefit which 
such qualified individual chooses not to accept. However, if such 
individual rejects a reasonable accommodation, aid, service, opportunity 
or benefit that is necessary to enable the individual to perform the 
essential functions of the position held or desired, and cannot, as a 
result of that rejection, perform the essential functions of the 
position, the individual will not be considered a qualified individual 
with a disability.
    (v) A contractor is not required to provide reasonable accommodation 
to an individual who satisfies only the ``regarded as having such an 
impairment'' prong of the definition of ``disability,'' as defined in 
Sec.  60- 741.2(v)(1).
    (vi) Reasonable accommodation procedures. The development and use of 
written procedures for processing requests for reasonable accommodation 
is a best practice that may assist the contractor in meeting its 
reasonable accommodation obligations under section 503 and this part. 
Such procedures help ensure that applicants and employees are informed 
as to how to request a reasonable accommodation and are aware of how 
such a request will be processed by the contractor. They also help 
ensure that the contractor's supervisors and managers know what to do 
should they receive a request for reasonable accommodation, and that all 
requests for accommodation are processed swiftly, within a reasonable 
period of time. The development and use of written reasonable 
accommodation procedures is not required by this part, and it is not a 
violation of this part for a contractor not to have or use such 
procedures. However, Appendix B of this part provides guidance to 
contractors that choose to develop and use written reasonable 
accommodation procedures.
    (7) Qualification standards, tests and other selection criteria--(i) 
In general. It is unlawful for the contractor to use qualification 
standards, employment tests, or other selection criteria that screen out 
or tend to screen out an individual with a disability or a class of 
individuals with disabilities, on the basis of disability, unless the 
standard, test, or other selection criterion, as used by the contractor, 
is shown to be job-related for the position in question and is 
consistent with business necessity. Selection criteria that concern an 
essential function may not be used to exclude an individual with a 
disability if that individual could satisfy the criteria with provision 
of a reasonable accommodation. Selection criteria that exclude or tend 
to exclude an individual with a disability or a class of individuals 
with disabilities on the basis of disability but concern only marginal 
functions of the job would not be consistent with business necessity. 
The contractor may not refuse to hire an applicant with a disability 
because the

[[Page 235]]

applicant's disability prevents him or her from performing marginal 
functions.
    (ii) Qualification standards and tests related to uncorrected 
vision. It is unlawful for the contractor to use qualification 
standards, employment tests, or other selection criteria based on an 
individual's uncorrected vision unless the standard, test, or other 
selection criteria, as used by the contractor, is shown to be job-
related for the position in question and consistent with business 
necessity. An individual challenging a contractor's application of a 
qualification standard, test, or other criterion based on uncorrected 
vision need not be an individual with a disability, but must be 
adversely affected by the application of the standard, test, or other 
criterion.
    (iii) The Uniform Guidelines on Employee Selection Procedures, 41 
CFR part 60-3, do not apply to the Rehabilitation Act and are similarly 
inapplicable to this part.
    (8) Administration of tests. It is unlawful for the contractor to 
fail to select and administer tests concerning employment in the most 
effective manner to ensure that, when a test is administered to a job 
applicant or employee who has a disability that impairs sensory, manual, 
or speaking skills, the test results accurately reflect the skills, 
aptitude, or whatever other factor of the applicant or employee that the 
test purports to measure, rather than reflecting the impaired sensory, 
manual, or speaking skills of such employee or applicant, except where 
such skills are the factors that the test purports to measure.
    (9) Compensation. In offering employment or promotions to 
individuals with disabilities, it is unlawful for the contractor to 
reduce the amount of compensation offered because of any income based 
upon a disability-related pension or other disability-related benefit 
the applicant or employee receives from another source. Nor may the 
contractor reduce the amount of compensation offered to an individual 
with a disability because of the actual or anticipated cost of a 
reasonable accommodation the individual needs or may request.
    (b) Claims of No Disability. Nothing in this part shall provide the 
basis for a claim that an individual without a disability was subject to 
discrimination because of the lack of disability, or because an 
individual with a disability was granted an accommodation that was 
denied to an individual without a disability.



Sec.  60-741.22  Direct threat defense.

    The contractor may use as a qualification standard the requirement 
that an individual be able to perform the essential functions of the 
position held or desired without posing a direct threat to the health or 
safety of the individual or others in the workplace. (See Sec.  60-
741.2(e) defining direct threat.)



Sec.  60-741.23  Medical examinations and inquiries.

    (a) Prohibited medical examinations or inquiries. Except as stated 
in paragraphs (b) and (c) of this section, it is unlawful for the 
contractor to require a medical examination of an applicant or employee 
or to make inquiries as to whether an applicant or employee is an 
individual with a disability or as to the nature or severity of such 
disability.
    (b) Permitted medical examinations and inquiries--(1) Acceptable 
pre-employment inquiry. The contractor may make pre-employment inquiries 
into the ability of an applicant to perform job-related functions, and/
or may ask an applicant to describe or to demonstrate how, with or 
without reasonable accommodation, the applicant will be able to perform 
job-related functions.
    (2) Employment entrance examination. The contractor may require a 
medical examination (and/or inquiry) after making an offer of employment 
to a job applicant and before the applicant begins his or her employment 
duties, and may condition an offer of employment on the results of such 
examination (and/or inquiry), if all entering employees in the same job 
category are subjected to such an examination (and/or inquiry) 
regardless of disability.
    (3) Examination of employees. The contractor may require a medical 
examination (and/or inquiry) of an employee that is job-related and 
consistent with business necessity. The contractor may make inquiries 
into the ability of an

[[Page 236]]

employee to perform job-related functions.
    (4) Other acceptable examinations and inquiries. The contractor may 
conduct voluntary medical examinations and activities, including 
voluntary medical histories, which are part of an employee health 
program available to employees at the work site. These medical 
examinations and activities do not have to be job-related and consistent 
with business necessity.
    (5) Medical examinations conducted in accordance with paragraph 
(b)(2) of this section do not have to be job-related and consistent with 
business necessity. However, if certain criteria are used to screen out 
an applicant or applicants or an employee or employees with disabilities 
as a result of such examinations or inquiries, the contractor must 
demonstrate that the exclusionary criteria are job-related and 
consistent with business necessity, and that performance of the 
essential job functions cannot be accomplished with reasonable 
accommodations as required in this part.
    (c) Invitation to self-identify. The contractor shall invite the 
applicant to self-identify as an individual with a disability as 
specified in Sec.  60-741.42.
    (d) Confidentiality and use of medical information. (1) Information 
obtained under this section regarding the medical condition or history 
of any applicant or employee shall be collected and maintained on 
separate forms and in separate medical files and treated as a 
confidential medical record, except that:
    (i) Supervisors and managers may be informed regarding necessary 
restrictions on the work or duties of the applicant or employee and 
necessary accommodations;
    (ii) First aid and safety personnel may be informed, when 
appropriate, if the disability might require emergency treatment; and
    (iii) Government officials engaged in enforcing the laws 
administered by OFCCP, including this part, or enforcing the Americans 
with Disabilities Act, as amended, shall be provided relevant 
information on request.
    (2) Information obtained under this section regarding the medical 
condition or history of any applicant or employee shall not be used for 
any purpose inconsistent with this part.



Sec.  60-741.24  Drugs and alcohol.

    (a) Specific activities permitted. The contractor:
    (1) May prohibit the illegal use of drugs and the use of alcohol at 
the workplace by all employees;
    (2) May require that employees not be under the influence of alcohol 
or be engaging in the illegal use of drugs at the workplace;
    (3) May require that all employees behave in conformance with the 
requirements established under the Drug-Free Workplace Act of 1988 (41 
U.S.C. 701 et seq.);
    (4) May hold an employee who engages in the illegal use of drugs or 
who is an alcoholic to the same qualification standards for employment 
or job performance and behavior to which the contractor holds its other 
employees, even if any unsatisfactory performance or behavior is related 
to the employee's drug use or alcoholism;
    (5) May require that its employees employed in an industry subject 
to such regulations comply with the standards established in the 
regulations (if any) of the Departments of Defense and Transportation, 
and of the Nuclear Regulatory Commission, and other Federal agencies 
regarding alcohol and the illegal use of drugs; and
    (6) May require that employees employed in sensitive positions 
comply with the regulations (if any) of the Departments of Defense and 
Transportation, and of the Nuclear Regulatory Commission, and other 
Federal agencies that apply to employment in sensitive positions subject 
to such regulations.
    (b) Drug testing--(1) General policy. For purposes of this part, a 
test to determine the illegal use of drugs is not considered a medical 
examination. Thus, the administration of such drug tests by the 
contractor to its job applicants or employees is not a violation of 
Sec.  60-741.23. Nothing in this part shall be construed to encourage, 
prohibit, or authorize the contractor to conduct drug tests of job 
applicants or employees to determine the illegal use of drugs or to make 
employment decisions based on such test results.

[[Page 237]]

    (2) Transportation employees. Nothing in this part shall be 
construed to encourage, prohibit, or authorize the otherwise lawful 
exercise by contractors subject to the jurisdiction of the Department of 
Transportation of authority to test employees in, and applicants for, 
positions involving safety-sensitive duties for the illegal use of drugs 
or for on-duty impairment by alcohol; and remove from safety-sensitive 
positions persons who test positive for illegal use of drugs or on-duty 
impairment by alcohol pursuant to paragraph (b)(1) of this section.
    (3) Any information regarding the medical condition or history of 
any employee or applicant obtained from a test to determine the illegal 
use of drugs, except information regarding the illegal use of drugs, is 
subject to the requirements of Sec.  60-741.23(b)(5) and (c).



Sec.  60-741.25  Health insurance, life insurance and other benefit plans.

    (a) An insurer, hospital, or medical service company, health 
maintenance organization, or any agent or entity that administers 
benefit plans, or similar organizations may underwrite risks, classify 
risks, or administer such risks that are based on or not inconsistent 
with State law.
    (b) The contractor may establish, sponsor, observe, or administer 
the terms of a bona fide benefit plan that are based on underwriting 
risks, classifying risks, or administering such risks that are based on 
or not inconsistent with State law.
    (c) The contractor may establish, sponsor, observe, or administer 
the terms of a bona fide benefit plan that is not subject to State laws 
that regulate insurance.
    (d) The contractor may not deny an individual with a disability 
equal access to insurance or subject an individual with a disability to 
different terms or conditions of insurance based on disability alone, if 
the disability does not pose increased risks.
    (e) The activities described in paragraphs (a), (b), and (c) of this 
section are permitted unless these activities are used as a subterfuge 
to evade the purposes of this part.



                  Subpart C_Affirmative Action Program



Sec.  60-741.40  General purpose and applicability of the affirmative action 
program requirement.

    (a) General purpose. An affirmative action program is a management 
tool designed to ensure equal employment opportunity and foster 
employment opportunities for individuals with disabilities. An 
affirmative action program institutionalizes the contractor's commitment 
to equality in every aspect of employment and is more than a paperwork 
exercise. An affirmative action program is dynamic in nature and 
includes measurable objectives, quantitative analyses, and internal 
auditing and reporting systems that measure the contractor's progress 
toward achieving equal employment opportunity for individuals with 
disabilities.
    (b) Applicability of the affirmative action program. (1) The 
requirements of this subpart apply to every Government contractor that 
has 50 or more employees and a contract of $50,000 or more.
    (2) Contractors described in paragraph (b)(1) of this section shall, 
within 120 days of the commencement of a contract, prepare and maintain 
an affirmative action program at each establishment. The affirmative 
action program shall set forth the contractor's policies and procedures 
in accordance with this part. This program may be integrated into or 
kept separate from other affirmative action programs.
    (3) The affirmative action program shall be reviewed and updated 
annually by the official designated by the contractor pursuant to Sec.  
60-741.44(i).
    (c) Submission of program to OFCCP. The contractor shall submit the 
affirmative action program within 30 days of a request from OFCCP, 
unless the request provides for a different time. The contractor also 
shall make the affirmative action program promptly available on-site 
upon OFCCP's request.



Sec.  60-741.41  Availability of affirmative action program.

    The full affirmative action program, absent the data metrics 
required by Sec.  60-741.44(k), shall be available to any

[[Page 238]]

employee or applicant for employment for inspection upon request. The 
location and hours during which the program may be obtained shall be 
posted at each establishment.



Sec.  60-741.42  Invitation to self-identify.

    (a) Pre-offer. (1) As part of the contractor's affirmative action 
obligation, the contractor shall invite applicants to inform the 
contractor whether the applicant believes that he or she is an 
individual with a disability as defined in Sec.  60-741.2(g)(1)(i) or 
(ii). This invitation shall be provided to each applicant when the 
applicant applies or is considered for employment. The invitation may be 
included with the application materials for a position, but must be 
separate from the application.
    (2) The contractor shall invite an applicant to self-identify as 
required in paragraph (a) of this section using the language and manner 
prescribed by the Director and published on the OFCCP Web site.
    (b) Post-offer. (1) At any time after the offer of employment, but 
before the applicant begins his or her job duties, the contractor shall 
invite the applicant to inform the contractor whether the applicant 
believes that he or she is an individual with a disability as defined in 
Sec.  60-741.2(g)(1)(i) or (ii).
    (2) The contractor shall invite an applicant to self-identify as 
required in paragraph (b) of this section using the language and manner 
prescribed by the Director and published on the OFCCP Web site.
    (c) Employees. The contractor shall invite each of its employees to 
voluntarily inform the contractor whether the employee believes that he 
or she is an individual with a disability as defined in Sec.  60-
741.2(g)(1)(i) or (ii). This invitation shall be extended the first year 
the contractor becomes subject to the requirements of this section and 
at five year intervals, thereafter, using the language and manner 
prescribed by the Director and published on the OFCCP Web site. At least 
once during the intervening years between these invitations, the 
contractor must remind their employees that they may voluntarily update 
their disability status.
    (d) The contractor may not compel or coerce an individual to self-
identify as an individual with a disability.
    (e) The contractor shall keep all information on self-identification 
confidential, and shall maintain it in a data analysis file (rather than 
in the medical files of individual employees). See Sec.  60-741.23(d). 
The contractor shall provide self-identification information to OFCCP 
upon request. Self-identification information may be used only in 
accordance with this part.
    (f) Nothing in this section shall relieve the contractor of its 
obligation to take affirmative action with respect to those applicants 
or employees of whose disability the contractor has knowledge.
    (g) Nothing in this section shall relieve the contractor from 
liability for discrimination in violation of section 503 or this part.



Sec.  60-741.43  Affirmative action policy.

    Under the affirmative action obligations imposed by the act, 
contractors shall not discriminate because of physical or mental 
disability and shall take affirmative action to employ and advance in 
employment qualified individuals with disabilities at all levels of 
employment, including the executive level. Such action shall apply to 
all employment activities set forth in Sec.  60-741.20.



Sec.  60-741.44  Required contents of affirmative action programs.

    Acceptable affirmative action programs shall contain, but not 
necessarily be limited to the following elements:
    (a) Policy statement. The contractor shall include an equal 
opportunity policy statement in its affirmative action program, and 
shall post the policy statement on company bulletin boards. The 
contractor must ensure that applicants and employees with disabilities 
are provided the notice in a form that is accessible and understandable 
to the individual with a disability (e.g., providing Braille or large 
print versions of the notice, or posting a copy of the notice at a lower 
height for easy viewing by a person using a wheelchair). The policy 
statement shall indicate the top United States executive's (such as the

[[Page 239]]

Chief Executive Officer or the President of the United States Division 
of a foreign company) support for the contractor's affirmative action 
program, provide for an audit and reporting system (see paragraph (h) of 
this section) and assign overall responsibility for the implementation 
of affirmative action activities required under this part (see paragraph 
(i) of this section). Additionally, the policy shall state, among other 
things that the contractor will: recruit, hire, train, and promote 
persons in all job titles, and ensure that all other personnel actions 
are administered without regard to disability; and ensure that all 
employment decisions are based only on valid job requirements. The 
policy shall state that employees and applicants shall not be subjected 
to harassment, intimidation, threats, coercion, or discrimination 
because they have engaged in or may engage in any of the following 
activities:
    (1) Filing a complaint;
    (2) Assisting or participating in an investigation, compliance 
evaluation, hearing, or any other activity related to the administration 
of section 503 or any other Federal, State, or local law requiring equal 
opportunity for individuals with disabilities;
    (3) Opposing any act or practice made unlawful by section 503 or its 
implementing regulations in this part, or any other Federal, State or 
local law requiring equal opportunity for individuals with disabilities; 
or
    (4) Exercising any other right protected by section 503 or its 
implementing regulations in this part.
    (b) Review of personnel processes. The contractor shall ensure that 
its personnel processes provide for careful, thorough, and systematic 
consideration of the job qualifications of applicants and employees with 
known disabilities for job vacancies filled either by hiring or 
promotion, and for all training opportunities offered or available. The 
contractor shall ensure that its personnel processes do not stereotype 
individuals with disabilities in a manner which limits their access to 
all jobs for which they are qualified. In addition, the contractor shall 
ensure that applicants and employees with disabilities have equal access 
to its personnel processes, including those implemented through 
information and communication technologies. The contractor is required 
to provide necessary reasonable accommodation to ensure applicants and 
employees with disabilities receive equal opportunity in the operation 
of personnel processes. The contractor is also encouraged to make its 
information and communication technologies accessible, even absent a 
specific request for reasonable accommodation.\3\ The contractor shall 
periodically review such processes and make any necessary modifications 
to ensure that these obligations are carried out. A description of the 
review and any necessary modifications to personnel processes or 
development of new processes shall be included in any affirmative action 
programs required under this part. The contractor must design procedures 
that facilitate a review of the implementation of this requirement by 
the contractor and the Government.
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    \3\ Contractors are encouraged to make their information and 
communication technology accessible. There are a variety of resources 
that may assist contractors in assessing and ensuring the accessibility 
of its information and communication technology. These include the Web 
Content Accessibility Guidelines (WCAG 2.0) of the World Wide Web 
Consortium Web Accessibility Initiative, online at www.w3.org/WAI/intro/
wcag.php, and the regulations implementing the accessibility 
requirements for Federal agencies prescribed in section 508 of the 
Rehabilitation Act. Information on section 508 may be found online at 
http://www.section508.gov/index.cfm. This Web site also provides 
information about various State accessibility requirements and 
initiatives.
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    (c) Physical and mental qualifications. (1) The contractor shall 
provide in its affirmative action program, and shall adhere to, a 
schedule for the review of all physical and mental job qualification 
standards to ensure that, to the extent qualification standards tend to 
screen out qualified individuals with disabilities, they are job-related 
for the position in question and are consistent with business necessity.
    (2) Whenever the contractor applies physical or mental qualification 
standards in the selection of applicants or employees for employment or 
other change in employment status such as promotion, demotion or 
training, to

[[Page 240]]

the extent that qualification standards tend to screen out qualified 
individuals on the basis of disability, the standards shall be related 
to the specific job or jobs for which the individual is being considered 
and consistent with business necessity. The contractor shall have the 
burden to demonstrate that it has complied with the requirements of this 
paragraph (c).
    (3) The contractor may use as a defense to an allegation of a 
violation of paragraph (c)(2) of this section that an individual poses a 
direct threat to the health or safety of the individual or others in the 
workplace. (See Sec.  60-741.2(e) defining direct threat.)
    (d) Reasonable accommodation to physical and mental limitations. (1) 
As is provided in Sec.  60-741.21(a)(6), as a matter of 
nondiscrimination, the contractor must make reasonable accommodation to 
the known physical or mental limitations of an otherwise qualified 
individual with a disability unless it can demonstrate that the 
accommodation would impose an undue hardship on the operation of its 
business. As a matter of affirmative action, if an employee with a known 
disability is having significant difficulty performing his or her job 
and it is reasonable to conclude that the performance problem may be 
related to the known disability, the contractor shall confidentially 
notify the employee of the performance problem and inquire whether the 
problem is related to the employee's disability. If the employee 
responds affirmatively, the contractor shall confidentially inquire 
whether the employee is in need of a reasonable accommodation.
    (2) Reasonable accommodation procedures. The development and use of 
written procedures for processing requests for reasonable accommodation 
is a best practice that may assist the contractor in meeting its 
reasonable accommodation obligations under section 503 and this part. 
Such procedures help ensure that applicants and employees are informed 
as to how to request a reasonable accommodation and are aware of how 
such a request will be processed by the contractor. They also help 
ensure that the contractor's supervisors and managers know what to do 
should they receive a request for reasonable accommodation, and that all 
requests for accommodation are processed swiftly, within a reasonable 
period of time. The development and use of written reasonable 
accommodation procedures is not required by this part, and it is not a 
violation of this part for a contractor not to have or use such 
procedures. However, Appendix B of this part provides guidance to 
contractors that choose to develop and use written reasonable 
accommodation procedures.
    (e) Harassment. The contractor must develop and implement procedures 
to ensure that its employees are not harassed on the basis of 
disability.
    (f) External dissemination of policy, outreach, and positive 
recruitment--(1) Required outreach efforts. (i) The contractor shall 
undertake appropriate outreach and positive recruitment activities such 
as those listed in paragraph (f)(2) of this section that are reasonably 
designed to effectively recruit qualified individuals with disabilities. 
It is not contemplated that the contractor will necessarily undertake 
all the activities listed in paragraph (f)(2) of this section or that 
its activities will be limited to those listed. The scope of the 
contractor's efforts shall depend upon all the circumstances, including 
the contractor's size and resources and the extent to which existing 
employment practices are adequate.
    (ii) The contractor must send written notification of company policy 
related to its affirmative action efforts to all subcontractors, 
including subcontracting vendors and suppliers, requesting appropriate 
action on their part.
    (2) Examples of outreach and recruitment activities. Below are 
examples of outreach and positive recruitment activities referred to in 
paragraph (f)(1) of this section.
    (i) Enlisting the assistance and support of the following persons 
and organizations in recruiting, and developing on-the-job training 
opportunities for individuals with disabilities, in order to fulfill its 
commitment to provide equal employment opportunity for such individuals:
    (A) The State Vocational Rehabilitation Service Agency (SVRA), State

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mental health agency, or State developmental disability agency in the 
area of the contractor's establishment;
    (B) The Employment One-Stop Career Center (One-Stop) or American Job 
Center nearest the contractor's establishment;
    (C) The Department of Veterans Affairs Regional Office nearest the 
contractor's establishment (www.va.gov);
    (D) Entities funded by the Department of Labor that provide 
recruitment or training services for individuals with disabilities, such 
as the services currently provided through the Employer Assistance and 
Resource Network (EARN) (www.earnworks.com);
    (E) Local Employment Network (EN) organizations (other than the 
contractor, if the contractor is an EN) listed in the Social Security 
Administration's Ticket to Work Employment Network Directory 
(www.yourtickettowork.com/endir);
    (F) Local disability groups, organizations, or Centers for 
Independent Living (CIL) near the contractor's establishment;
    (G) Placement or career offices of educational institutions that 
specialize in the placement of individuals with disabilities; and
    (H) Private recruitment sources, such as professional organizations 
or employment placement services that specialize in the placement of 
individuals with disabilities.
    (ii) The contractor should also consider taking the actions listed 
below to fulfill its commitment to provide equal employment 
opportunities to individuals with disabilities:
    (A) Formal briefing sessions should be held, preferably on company 
premises, with representatives from recruiting sources. Contractor 
facility tours, clear and concise explanations of current and future job 
openings, position descriptions, worker specifications, explanations of 
the company's selection process, and recruiting literature should be an 
integral part of the briefing. At any such briefing sessions, the 
company official in charge of the contractor's affirmative action 
program should be in attendance when possible. Formal arrangements 
should be made for referral of applicants, follow up with sources, and 
feedback on disposition of applicants.
    (B) The contractor's recruitment efforts at all educational 
institutions should incorporate special efforts to reach students who 
are individuals with disabilities.
    (C) An effort should be made to participate in work-study programs 
for students, trainees, or interns with disabilities. Such programs may 
be found through outreach to State and local schools and universities, 
and through EARN.
    (D) Individuals with disabilities should be made available for 
participation in career days, youth motivation programs, and related 
activities in their communities.
    (E) The contractor should take any other positive steps it deems 
necessary to attract individuals with disabilities not currently in the 
work force who have requisite skills and can be recruited through 
affirmative action measures. These individuals may be located through 
State and local agencies supported by the U.S. Department of Education's 
Rehabilitation Services Administration (RSA) (http://rsa.ed.gov/), local 
Ticket-to-Work Employment Networks, or local chapters of groups or 
organizations that provide services for individuals with disabilities.
    (F) The contractor, in making hiring decisions, should consider 
applicants who are known to have disabilities for all available 
positions for which they may be qualified when the position(s) applied 
for is unavailable.
    (3) Assessment of external outreach and recruitment efforts. The 
contractor shall, on an annual basis, review the outreach and 
recruitment efforts it has taken over the previous twelve months to 
evaluate their effectiveness in identifying and recruiting qualified 
individuals with disabilities. The contractor shall document each 
evaluation, including at a minimum the criteria it used to evaluate the 
effectiveness of each effort and the contractor's conclusion as to 
whether each effort was effective. Among these criteria shall be the 
data collected pursuant to paragraph (k) of this section for the current 
year and the two most recent previous years. The contractor's conclusion 
as

[[Page 242]]

to the effectiveness of its outreach efforts must be reasonable as 
determined by OFCCP in light of these regulations. If the contractor 
concludes the totality of its efforts were not effective in identifying 
and recruiting qualified individuals with disabilities, it shall 
identify and implement alternative efforts listed in paragraphs (f)(1) 
or (f)(2) of this section in order to fulfill its obligations.
    (4) Recordkeeping obligation. The contractor shall document all 
activities it undertakes to comply with the obligations of this section, 
and retain these documents for a period of three (3) years.
    (g) Internal dissemination of policy. (1) A strong outreach program 
will be ineffective without adequate internal support from supervisory 
and management personnel and other employees. In order to assure greater 
employee cooperation and participation in the contractor's efforts, the 
contractor shall develop the internal procedures listed in paragraph 
(g)(2) of this section for communication of its obligation to engage in 
affirmative action efforts to employ and advance in employment qualified 
individuals with disabilities. It is not contemplated that the 
contractor's activities will be limited to those listed. These 
procedures shall be designed to foster understanding, acceptance and 
support among the contractor's executive, management, supervisory, and 
other employees and to encourage such persons to take the necessary 
actions to aid the contractor in meeting this obligation.
    (2) The contractor shall implement and disseminate this policy 
internally as follows:
    (i) Include it in the contractor's policy manual or otherwise make 
the policy available to employees;
    (ii) If the contractor is a party to a collective bargaining 
agreement, it shall notify union officials and/or employee 
representatives of the contractor's policy and request their 
cooperation;
    (3) The contractor is encouraged to additionally implement and 
disseminate this policy internally as follows:
    (i) Inform all employees and prospective employees of its commitment 
to engage in affirmative action to increase employment opportunities for 
individuals with disabilities. The contractor should periodically 
schedule special meetings with all employees to discuss policy and 
explain individual employee responsibilities;
    (ii) Publicize it in the company newspaper, magazine, annual report 
and other media;
    (iii) Conduct special meetings with executive, management, and 
supervisory personnel to explain the intent of the policy and individual 
responsibility for effective implementation making clear the chief 
executive officer's support for the affirmative action policy;
    (iv) Discuss the policy thoroughly in both employee orientation and 
management training programs;
    (v) Include articles on accomplishments of individuals with 
disabilities in company publications; and
    (vi) When employees are featured in employee handbooks or similar 
publications for employees, include individuals with disabilities.
    (h) Audit and reporting system. (1) The contractor shall design and 
implement an audit and reporting system that will:
    (i) Measure the effectiveness of the contractor's affirmative action 
program;
    (ii) Indicate any need for remedial action;
    (iii) Determine the degree to which the contractor's objectives have 
been attained;
    (iv) Determine whether known individuals with disabilities have had 
the opportunity to participate in all company sponsored educational, 
training, recreational, and social activities;
    (v) Measure the contractor's compliance with the affirmative action 
program's specific obligations; and
    (vi) Document the actions taken to comply with the obligations of 
paragraphs (h)(1)(i) through (v) of this section, and retain these 
documents as employment records subject to the recordkeeping 
requirements of Sec.  60-741.80.
    (2) Where the affirmative action program is found to be deficient, 
the contractor shall undertake necessary action to bring the program 
into compliance.

[[Page 243]]

    (i) Responsibility for implementation. An official of the contractor 
shall be assigned responsibility for implementation of the contractor's 
affirmative action activities under this part. His or her identity 
should appear on all internal and external communications regarding the 
company's affirmative action program. This official shall be given 
necessary senior management support and staff to manage the 
implementation of this program.
    (j) Training. All personnel involved in the recruitment, screening, 
selection, promotion, disciplinary, and related processes shall be 
trained to ensure that the commitments in the contractor's affirmative 
action program are implemented.
    (k) Data collection analysis. The contractor shall document the 
following computations or comparisons pertaining to applicants and hires 
on an annual basis and maintain them for a period of three (3) years:
    (1) The number of applicants who self-identified as individuals with 
disabilities pursuant to Sec.  60-741.42(a), or who are otherwise known 
to be individuals with disabilities;
    (2) The total number of job openings and total number of jobs 
filled;
    (3) The total number of applicants for all jobs;
    (4) The number of applicants with disabilities hired; and
    (5) The total number of applicants hired.



Sec.  60-741.45  Utilization goals.

    The utilization goal is not a rigid and inflexible quota which must 
be met, nor is it to be considered either a ceiling or a floor for the 
employment of particular groups. Quotas are expressly forbidden.
    (a) Goal. OFCCP has established a utilization goal of 7 percent for 
employment of qualified individuals with disabilities for each job group 
in the contractor's workforce, or for the contractor's entire workforce 
as provided in paragraph (d)(2)(i) of this section.
    (b) Purpose. The purpose of the utilization goal is to establish a 
benchmark against which the contractor must measure the representation 
of individuals within each job group in its workforce, or within the 
contractor's entire workforce as provided in paragraph (d)(2)(i) of this 
section. The utilization goal serves as an equal employment opportunity 
objective that should be attainable by complying with all aspects of the 
affirmative action requirements of this part.
    (c) Periodic review of goal. The Director of OFCCP shall 
periodically review and update, as appropriate, the utilization goal 
established in paragraph (a) of this section.
    (d) Utilization analysis--(1) Purpose. The utilization analysis is 
designed to evaluate the representation of individuals with disabilities 
in each job group within the contractor's workforce, or to evaluate the 
representation of individuals with disabilities in the contractor's 
entire workforce as provided in paragraph (d)(2)(i) of this section, 
with the utilization goal established in paragraph (a) of this section.
    (2) Grouping jobs for analysis. The contractor must use the same job 
groups established for utilization analyses under Executive Order 11246, 
either in accordance with 41 CFR part 60-2, or in accordance with 41 CFR 
part 60-4, as appropriate, except as provided below.
    (i) Contractors with 100 or fewer employees. If a contractor has a 
total workforce of 100 or fewer employees, it need not use the jobs 
groups established for utilization analyses under Executive Order 11246, 
and has the option to measure the representation of individuals with 
disabilities in its entire workforce with the utilization goal 
established in paragraph (a) of this section.
    (ii) [Reserved]
    (3) Annual evaluation. The contractor shall annually evaluate its 
utilization of individuals with disabilities in each job group, or in 
its entire workforce as provided in paragraph (d)(2)(i) of this section.
    (e) Identification of problem areas. When the percentage of 
individuals with disabilities in one or more job groups, or in a 
contractor's entire workforce as provided in paragraph (d)(2)(i) of this 
section, is less than the utilization goal established in paragraph (a) 
of this section, the contractor must take steps to determine whether and 
where impediments to equal employment opportunity exist. When

[[Page 244]]

making this determination, the contractor must assess its personnel 
processes, the effectiveness of its outreach and recruitment efforts, 
the results of its affirmative action program audit, and any other areas 
that might affect the success of the affirmative action program.
    (f) Action-oriented programs. The contractor must develop and 
execute action-oriented programs designed to correct any identified 
problems areas. These action-oriented programs may include the 
modification of personnel processes to ensure equal employment 
opportunity for individuals with disabilities, alternative or additional 
outreach and recruitment efforts from among those listed in Sec.  60-
741.44 (f)(1) and (f)(2), and/or other actions designed to correct the 
identified problem areas and attain the established goal.
    (g) A contractor's determination that it has not attained the 
utilization goal established in paragraph (a) of this section in one or 
more job groups does not constitute either a finding or admission of 
discrimination in violation of this part.
    (h) The utilization goal established in paragraph (a) of this 
section shall not be used as a quota or ceiling that limits or restricts 
the employment of individuals with disabilities.



Sec.  60-741.46  Voluntary affirmative action programs for employees 
with disabilities.

    (a) The contractor is permitted to develop and implement training 
and employment for employees with disabilities. Examples include, 
developing a job training program focused on the specific needs of 
individuals with certain disabilities such as traumatic brain injury 
(TBI) or developmental disabilities and utilizing linkage agreements to 
recruit program trainees. Successful programs such as these have been 
developed by some contractors and OFCCP desires to make clear they are 
permissible, though not required.
    (1) If a contractor elects to implement a voluntary affirmative 
action program for employees with disabilities, a description of the 
program and the policies governing the program, including the name and 
title of the official responsible for the program, shall be included in 
the contractor's written affirmative action program. An annual report 
describing the contractor's activities pursuant to the program and 
identifying the outcomes achieved should also be included in the 
contractor's affirmative action program.
    (2) Disability-related information from the applicant and/or 
employee self-identification request required by Sec.  60-741.42 may be 
used to identify individuals with disabilities who are eligible to 
benefit from a voluntary affirmative action program for employees with 
disabilities.
    (b) The contractor shall not use such programs to segregate 
individuals with disabilities or to limit or restrict the employment 
opportunities of any individual with a disability.
    (c) The contractor shall not discriminate against an individual with 
a disability who has participated in a voluntary affirmative action 
program for employees with disabilities with respect to any term, 
condition, or benefit of employment, including, but not limited to, 
employment acts such as compensation, promotion, and termination, that 
are listed in Sec.  60-741.20.
    (d) These voluntary training and development programs should not 
result in discrimination against other groups and do not relieve a 
contractor from liability for discrimination under this act, Executive 
Order 11246, or the Vietnam Era Vetrans' Readjustment Assistance Act.



Sec.  60-741.47  Sheltered workshops.

    Contracts with sheltered workshops do not constitute affirmative 
action in lieu of employment and advancement of qualified individuals 
with disabilities in the contractor's own work force. Contracts with 
sheltered workshops may be included within an affirmative action program 
if the sheltered workshop trains employees for the contractor and the 
contractor is obligated to hire trainees at full compensation when such 
trainees become ``qualified individuals with disabilities.''

[[Page 245]]



         Subpart D_General Enforcement and Complaint Procedures



Sec.  60-741.60  Compliance evaluations.

    (a) OFCCP may conduct compliance evaluations to determine if the 
contractor is taking affirmative action to employ, advance in 
employment, and otherwise treat qualified individuals without 
discrimination on the basis of disability in all employment practices. A 
compliance evaluation may consist of any one or any combination of the 
following investigative procedures:
    (1) Compliance review. A comprehensive analysis and evaluation of 
the hiring and employment practices of the contractor, the written 
affirmative action program, and the results of the affirmative action 
efforts undertaken by the contractor. A compliance review may proceed in 
three stages:
    (i) A desk audit of the written affirmative action program and 
supporting documentation to determine whether all elements required by 
the regulations in this part are included, whether the affirmative 
action program meets agency standards of reasonableness, and whether the 
affirmative action program and supporting documentation satisfy agency 
standards of acceptability. OFCCP may extend the temporal scope of the 
desk audit beyond that set forth in the scheduling letter if OFCCP deems 
it necessary to carry out its investigation of potential violations of 
this part. The desk audit is conducted at OFCCP offices;
    (ii) An on-site review is conducted at the contractor's 
establishment to investigate unresolved problem areas identified in the 
affirmative action program and supporting documentation during the desk 
audit, to verify that the contractor has implemented the affirmative 
action program and has complied with those regulatory obligations not 
required to be included in the affirmative action program, and to 
examine potential instances or issues of discrimination. An on-site 
review normally will involve an examination of the contractor's 
personnel and employment policies, inspection and copying of documents 
related to employment actions, and interviews with employees, 
supervisors, managers, hiring officials; and
    (iii) Where necessary, an off-site analysis of information supplied 
by the contractor or otherwise gathered during or pursuant to the on-
site review;
    (2) Off-site review of records. An analysis and evaluation of the 
affirmative action program (or any part thereof) and supporting 
documentation, and other documents related to the contractor's personnel 
policies and employment actions that may be relevant to a determination 
of whether the contractor has complied with the requirements of section 
503 and its regulations;
    (3) Compliance check. A determination of whether the contractor has 
maintained records consistent with Sec.  60-741.80; OFCCP may request 
the documents be provided either on-site or off-site; or
    (4) Focused review. A review restricted to one or more components of 
the contractor's organization or one or more aspects of the contractor's 
employment practices.
    (b) Where deficiencies are found to exist, reasonable efforts shall 
be made to secure compliance through conciliation and persuasion 
pursuant to Sec.  60-741.62.
    (c) Pre-award compliance evaluations. Each agency will include in 
the invitation for bids for each formally advertised nonconstruction 
contract or state at the outset of negotiations for each negotiated 
contract, that if the award, when let, should total $10 million or more, 
the prospective contractor and its known first-tier subcontractors with 
subcontracts of $10 million or more will be subject to a compliance 
evaluation before the award of the contract unless OFCCP has conducted 
an evaluation and found them to be in compliance with section 503 within 
the preceding 24 months. The awarding agency will notify OFCCP and 
request appropriate action and findings in accordance with this 
subsection. Within 15 days of the notice, OFCCP will inform the awarding 
agency of its intention to conduct a pre-award compliance evaluation. If 
OFCCP does not inform the awarding agency within that period of its 
intention to conduct a pre-award compliance evaluation, clearance shall 
be presumed and the awarding agency is authorized to proceed with the

[[Page 246]]

award. If OFCCP informs the awarding agency of its intention to conduct 
a pre-award compliance evaluation, OFCCP will be allowed an additional 
20 days after the date that it so informs the awarding agency to provide 
its conclusions. If OFCCP does not provide the awarding agency with its 
conclusions within that period, clearance will be presumed and the 
awarding agency is authorized to proceed with the award.



Sec.  60-741.61  Complaint procedures.

    (a) Coordination with other agencies. Pursuant to section 107(b) of 
the Americans with Disabilities Act of 1990, as amended (ADA), OFCCP and 
the Equal Employment Opportunity Commission (EEOC) have promulgated 
regulations setting forth procedures governing the processing of 
complaints falling within the overlapping jurisdiction of both the act 
and title I of the ADA to ensure that such complaints are dealt with in 
a manner that avoids duplication of effort and prevents the imposition 
of inconsistent or conflicting standards. Complaints filed under this 
part will be processed in accordance with those regulations, which are 
found at 41 CFR part 60-742, and with this part.
    (b) Place and time of filing. Any applicant for employment with a 
contractor or any employee of a contractor may, personally, or by an 
authorized representative, file a written complaint with the Director 
alleging a violation of the act or the regulations in this part. The 
complaint may allege individual or class-wide violation(s). Complaints 
may be submitted to the OFCCP, 200 Constitution Avenue NW., Room C-3325, 
Washington, DC 20210, or to any OFCCP regional, district, or area 
office. Such complaint must be filed within 300 days of the date of the 
alleged violation, unless the time for filing is extended by OFCCP for 
good cause shown.
    (c) Contents of complaints--(1) In general. A complaint must be 
signed by the complainant or his or her authorized representative and 
must contain the following information:
    (i) Name and address (including telephone number) of the 
complainant;
    (ii) Name and address of the contractor who committed the alleged 
violation;
    (iii) The facts showing that the individual has a disability, a 
record or history of a disability, or was regarded by the contractor as 
having a disability;
    (iv) A description of the act or acts considered to be a violation, 
including the pertinent dates (in the case of an alleged continuing 
violation, the earliest and most recent date that the alleged violation 
occurred should be stated); and
    (v) Other pertinent information available which will assist in the 
investigation and resolution of the complaint, including the name of any 
known Federal agency with which the employer has contracted.
    (2) Third party complaints. When a written complaint is filed by an 
authorized representative, that complaint need not identify by name the 
person on whose behalf it is filed. However, the authorized 
representative must nonetheless provide the name, address and telephone 
number of the person on whose behalf the complaint is filed to OFCCP, 
along with the other information specified in paragraph (c)(1) of this 
section. OFCCP shall verify the authorization of such complaint with the 
person on whose behalf the complaint is filed. Any such person may 
request that OFCCP keep his or her identity confidential during the 
investigation of the complaint, and OFCCP will protect the individual's 
confidentiality wherever that is possible given the facts and 
circumstances in the complaint.
    (d) Incomplete information. Where a complaint contains incomplete 
information, OFCCP shall seek the needed information from the 
complainant. If the information is not furnished to OFCCP within 60 days 
of the date of such request, the case may be closed.
    (e) Investigations. The Department of Labor shall institute a prompt 
investigation of each complaint.
    (f) Resolution of matters. (1) If the complaint investigation finds 
no violation of the act or this part, or if the Director decides not to 
refer the matter to the Solicitor of Labor for enforcement proceedings 
against the contractor pursuant to Sec.  60-741.65(a)(l), the 
complainant and contractor shall be so notified. The Director, on his or 
her own initiative, may reconsider his or

[[Page 247]]

her determination or the determination of any of his or her designated 
officers who have authority to issue Notifications of Results of 
Investigation.
    (2) The Director will review all determinations of no violation that 
involve complaints that are not also cognizable under title I of the 
Americans with Disabilities Act.
    (3) In cases where the Director decides to reconsider the 
determination of a Notification of Results of Investigation, the 
Director shall provide prompt notification of his or her intent to 
reconsider, which is effective upon issuance, and his or her final 
determination after reconsideration to the person claiming to be 
aggrieved, the person making the complaint on behalf of such person, if 
any, and the contractor.
    (4) If the investigation finds a violation of the act or this part, 
OFCCP shall invite the contractor to participate in conciliation 
discussions pursuant to Sec.  60-741.62.



Sec.  60-741.62  Resolution procedures.

    (a) Predetermination Notice. If a compliance review or other review 
by OFCCP indicates evidence sufficient to support a preliminary finding 
of disparate treatment and/or disparate impact discrimination, OFCCP may 
issue a Predetermination Notice, subject to the following parameters and 
the approval of the Director or acting agency head:
    (1) For allegations included in a Predetermination Notice involving 
a disparate treatment theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate that the unexplained disparity is practically 
significant; and
    (iii) Provide qualitative evidence as defined in this part that, in 
combination with other evidence, supports both a finding of 
discriminatory intent by the contractor and a finding that the 
contractor's discriminatory intent caused the disparate treatment.
    (2) OFCCP may issue a Predetermination Notice under a disparate 
treatment theory of liability without satisfying all three components 
listed in paragraph (a)(1) of this section only if:
    (i) The qualitative evidence by itself is sufficient to support a 
preliminary finding of disparate treatment;
    (ii) The evidence of disparity between a favored and disfavored 
group is so extraordinarily compelling that by itself it is sufficient 
to support a preliminary finding of disparate treatment; or
    (iii) Paragraphs (a)(1)(i) and (ii) of this section are satisfied 
and the contractor denied OFCCP access to sources of evidence that may 
be relevant to a preliminary finding of discriminatory intent. This may 
include denying access to its employees during a compliance evaluation 
or destroying or failing to produce records the contractor is legally 
required to create and maintain.
    (3) For allegations included in a Predetermination Notice involving 
a disparate impact theory of liability, OFCCP must:
    (i) Provide quantitative evidence as defined in this part;
    (ii) Demonstrate the unexplained disparity is practically 
significant; and
    (iii) Identify the specific policy or practice of the contractor 
causing the adverse impact, unless OFCCP can demonstrate that the 
elements of the contractor's selection procedures are incapable of 
separation for analysis.
    (4) The Predetermination Notice must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Predetermination Notice; however, if the exception in paragraph 
(a)(2)(ii) of this section applies, OFCCP will disclose why, in the 
absence of qualitative evidence, the agency is issuing the 
Predetermination Notice based on evidence of an extraordinarily 
compelling disparity alone. In addition, upon the contractor's request, 
OFCCP must also provide the model and variables used in any statistical 
analysis and an explanation for why any variable proposed by the 
contractor was excluded from that analysis. However, OFCCP may withhold 
personal identifying information from the description of the qualitative 
evidence if the information is

[[Page 248]]

protected from disclosure under recognized governmental privileges, or 
otherwise if providing that information would violate confidentiality or 
privacy protections afforded by law.
    (5) Any response to a Predetermination Notice must be submitted by 
the contractor within 30 calendar days of receipt of the Notice, which 
deadline OFCCP may extend for good cause.
    (b) Notice of Violation. (1) If, following OFCCP's review of any 
response by the contractor pursuant to paragraph (a)(5) of this section, 
the agency has evidence sufficient to support a finding of disparate 
treatment and/or disparate impact discrimination, as established in the 
parameters and exceptions in paragraph (a) of this section, or that the 
contractor has committed other material violations of the equal 
opportunity clause (with the exception of violations for denying access 
or failing to submit records in response to OFCCP's Office of Management 
and Budget (OMB)-approved Scheduling Letters, for which OFCCP may 
proceed directly to issuing a Show Cause Notice), OFCCP may issue a 
Notice of Violation to the contractor requiring corrective action and 
inviting conciliation through a written agreement, subject to approval 
by the Director or acting agency head.
    (2) OFCCP may issue a Notice of Violation alleging a finding of 
discrimination following issuance of a Predetermination Notice if the 
contractor does not respond or provide a sufficient response within 30 
calendar days of receipt of the Predetermination Notice, subject to 
approval by the Director or acting agency head, unless OFCCP has 
extended the Predetermination Notice response time for good cause shown.
    (3) The Notice of Violation must disclose the quantitative and 
qualitative evidence relied on by OFCCP in sufficient detail to allow 
contractors to investigate allegations and meaningfully respond. OFCCP 
will seek to obtain qualitative evidence in all cases in which it issues 
a Notice of Violation, however, if the exception in paragraph (a)(2)(ii) 
of this section applies, OFCCP will disclose why, in the absence of 
qualitative evidence, the agency is issuing the Notice of Violation 
based on evidence of an extraordinarily compelling disparity alone. In 
addition, upon the contractor's request, OFCCP must also provide the 
model and variables used in any statistical analysis and an explanation 
why any variable proposed by the contractor was excluded from that 
analysis. However, OFCCP may withhold personal identifying information 
from the description of the qualitative evidence if the information is 
protected from disclosure under recognized governmental privileges, or 
otherwise if providing that information would violate confidentiality or 
privacy protections afforded by law.
    (4) The Notice of Violation must address all relevant concerns and 
defenses raised by the contractor in response to the Predetermination 
Notice.
    (c) Conciliation agreement. If a compliance review, complaint 
investigation, or other review by OFCCP or its representative indicates 
a material violation of the equal opportunity clause, and:
    (1) If the contractor, subcontractor or bidder is willing to correct 
the violations and/or deficiencies; and
    (2) If OFCCP or its representative determines that settlement 
(rather than referral for consideration of formal enforcement) is 
appropriate, a written agreement shall be required. The agreement shall 
provide for such remedial action as may be necessary to correct the 
violations and/or deficiencies noted, including, where appropriate (but 
not necessarily limited to), remedies such as back pay and retroactive 
seniority.
    (d) Remedial benchmarks. The remedial action referenced in paragraph 
(c) of this section may include the establishment of benchmarks for the 
contractor's outreach, recruitment, hiring, or other employment 
activities. The purpose of such benchmarks is to create a quantifiable 
method by which the contractor's progress in correcting identified 
violations and/or deficiencies can be measured.
    (e) Expedited conciliation option. A contractor may voluntarily 
waive the procedures set forth in paragraphs (a) and/or (b) of this 
section to enter directly into a conciliation agreement. OFCCP may 
inform the contractor of this expedited conciliation option, but

[[Page 249]]

may not require or insist that the contractor avail itself of the 
expedited conciliation option.
    (f) Severability. Should a court of competent jurisdiction hold any 
provision(s) of this section to be invalid, such action will not affect 
any other provision of this section.

[85 FR 71574, Nov. 10, 2020]



Sec.  60-741.63  Violations of conciliation agreements.

    (a) When OFCCP believes that a conciliation agreement has been 
violated, the following procedures are applicable:
    (1) A written notice shall be sent to the contractor setting forth 
the violation alleged and summarizing the supporting evidence. The 
contractor shall have 15 days from receipt of the notice to respond, 
except in those cases in which OFCCP asserts that such a delay would 
result in irreparable injury to the employment rights of affected 
employees or applicants.
    (2) During the 15-day period the contractor may demonstrate in 
writing that it has not violated its commitments.
    (b) In those cases in which OFCCP asserts that a delay would result 
in irreparable injury to the employment rights of affected employees or 
applicants, enforcement proceedings may be initiated immediately without 
proceeding through any other requirement contained in this chapter.
    (c) In any proceedings involving an alleged violation of a 
conciliation agreement, OFCCP may seek enforcement of the agreement 
itself and shall not be required to present proof of the underlying 
violations resolved by the agreement.



Sec.  60-741.64  Show cause notices.

    When the Director has reasonable cause to believe that the 
contractor has violated the act or this part, he or she may issue a 
notice requiring the contractor to show cause, within 30 days, why 
monitoring, enforcement proceedings, or other appropriate action to 
ensure compliance should not be instituted. The issuance of such a 
notice is not a prerequisite to instituting enforcement proceedings (see 
Sec.  60-741.65).



Sec.  60-741.65  Enforcement proceedings.

    (a) General. (1) If a compliance evaluation, complaint 
investigation, or other review by OFCCP finds a violation of the act or 
this part, and the violation has not been corrected in accordance with 
the conciliation procedures in this part, or OFCCP determines that 
referral for consideration of formal enforcement (rather than 
settlement) is appropriate, OFCCP may refer the matter to the Solicitor 
of Labor with a recommendation for the institution of enforcement 
proceedings to enjoin the violations, to seek appropriate relief, and to 
impose appropriate sanctions, or any combination of these outcomes. 
OFCCP may seek back pay and other make whole relief for aggrieved 
individuals identified during a complaint investigation or compliance 
review. Such individuals need not have filed a complaint as a 
prerequisite to OFCCP seeking such relief on their behalf. Interest on 
back pay shall be calculated from the date of the loss and compounded 
quarterly at the percentage rate established by the Internal Revenue 
Service (IRS) for the underpayment of taxes.
    (2) In addition to the administrative proceedings set forth in this 
section, the Director may, within the limitations of applicable law, 
seek appropriate judicial action to enforce the contractual provisions 
set forth in Sec.  60-741.5, including appropriate injunctive relief.
    (b) Hearing practice and procedure. (1) In administrative 
enforcement proceedings the contractor shall be provided an opportunity 
for a formal hearing. All hearings conducted under the act and this part 
shall be governed by the Rules of Practice for Administrative 
Proceedings to Enforce Equal Opportunity Under Executive Order 11246 
contained in 41 CFR part 60-30 and the Rules of Evidence set out in the 
Rules of Practice and Procedure for Administrative Hearings Before the 
Office of Administrative Law Judges contained in 29 CFR part 18, subpart 
B: Provided, That a final administrative order shall be issued within 
one year from the date of the issuance of the recommended findings, 
conclusions, and decision of the Administrative Law Judge, or the

[[Page 250]]

submission of any exceptions and responses to exceptions to such 
decision (if any) whichever is later.
    (2) Complaints may be filed by the Solicitor, the Associate 
Solicitor for Civil Rights and Labor-Management, Regional Solicitors and 
Associate Regional Solicitors.
    (3) For the purposes of hearings pursuant to this part, references 
in 41 CFR part 60-30 to ``Executive Order 11246'' shall mean section 503 
of the Rehabilitation Act of 1973, as amended; references to ``equal 
opportunity clause''' shall mean the equal opportunity clause published 
at Sec.  60-741.5; and references to ``regulations'' shall mean the 
regulations contained in this part.



Sec.  60-741.66  Sanctions and penalties.

    (a) Withholding progress payments. With the prior approval of the 
Director, so much of the accrued payment due on the contract or any 
other contract between the Government contractor and the Federal 
Government may be withheld as necessary to correct any violations of the 
provisions of the act or this part.
    (b) Termination. A contract may be canceled or terminated, in whole 
or in part, for failure to comply with the provisions of the act or this 
part.
    (c) Debarment. A contractor may be debarred from receiving future 
contracts for failure to comply with the provisions of the act or this 
part subject to reinstatement pursuant to Sec.  60-741.68. Debarment may 
be imposed for an indefinite period, or may be imposed for a fixed 
period of not less than six months, but no more than three years.
    (d) Hearing opportunity. An opportunity for a formal hearing shall 
be afforded to a contractor before the imposition of any sanction or 
penalty.



Sec.  60-741.67  Notification of agencies.

    The Director shall ensure that the heads of all agencies are 
notified of any debarments taken against any contractor.



Sec.  60-741.68  Reinstatement of ineligible contractors.

    (a) Application for reinstatement. A contractor debarred from 
further contracts for an indefinite period under the act may request 
reinstatement in a letter filed with the Director at any time after the 
effective date of the debarment; a contractor debarred for a fixed 
period may make such a request following the expiration of six months 
from the effective date of the debarment. In connection with the 
reinstatement proceedings, all debarred contractors shall be required to 
show that they have established and will carry out employment policies 
and practices in compliance with the act and this part. Additionally, in 
determining whether reinstatement is appropriate for a contractor 
debarred for a fixed period, the Director also shall consider, among 
other factors, the severity of the violation which resulted in the 
debarment, the contractor's attitude towards compliance, the 
contractor's past compliance history, and whether the contractor's 
reinstatement would impede the effective enforcement of the act or this 
part. Before reaching a decision, the Director may conduct a compliance 
evaluation of the contractor and may require the contractor to supply 
additional information regarding the request for reinstatement. The 
Director shall issue a written decision on the request.
    (b) Petition for review. Within 30 days of its receipt of a decision 
denying a request for reinstatement, the contractor may file a petition 
for review of the decision with the Secretary. The petition shall set 
forth the grounds for the contractor's objections to the Director's 
decision. The petition shall be served on the Director and the Associate 
Solicitor for Civil Rights and Labor-Management and shall include the 
decision as an appendix. The Director may file a response within 14 days 
to the petition. The Secretary shall issue the final agency decision 
denying or granting the request for reinstatement. Before reaching a 
final decision, the Secretary may issue such additional orders 
respecting procedure as he or she finds appropriate in the 
circumstances, including an order referring the matter to the Office of 
Administrative Law Judges for an evidentiary hearing where there is a 
material factual dispute that cannot be resolved on the record before 
the Secretary.

[[Page 251]]



Sec.  60-741.69  Intimidation and interference.

    (a) The contractor shall not harass, intimidate, threaten, coerce, 
or discriminate against any individual because the individual has 
engaged in or may engage in any of the following activities:
    (1) Filing a complaint;
    (2) Assisting or participating in any manner in an investigation, 
compliance evaluation, hearing, or any other activity related to the 
administration of the act or any other Federal, State, or local law 
requiring equal opportunity for individuals with disabilities;
    (3) Opposing any act or practice made unlawful by the act or this 
part or any other Federal, State, or local law requiring equal 
opportunity for individuals with disabilities; or
    (4) Exercising any other right protected by the act or this part.
    (b) The contractor shall ensure that all persons under its control 
do not engage in such harassment, intimidation, threats, coercion, or 
discrimination. The sanctions and penalties contained in this part may 
be exercised by the Director against any contractor who violates this 
obligation.



Sec.  60-741.70  Disputed matters related to compliance with the act.

    The procedures set forth in the regulations in this part govern all 
disputes relative to the contractor's compliance with the act and this 
part. Any disputes relating to issues other than compliance, including 
contract costs arising out of the contractor's efforts to comply, shall 
be determined by the disputes clause of the contract.



                       Subpart E_Ancillary Matters



Sec.  60-741.80  Recordkeeping.

    (a) General requirements. Except as set forth in paragraph (b) of 
this section, any personnel or employment record made or kept by the 
contractor shall be preserved by the contractor for a period of two 
years from the date of the making of the record or the personnel action 
involved, whichever occurs later. However, if the contractor has fewer 
than 150 employees or does not have a Government contract of at least 
$150,000, the minimum record retention period shall be one year from the 
date of the making of the record or the personnel action involved, 
whichever occurs later, except as set forth in paragraph (b) of this 
section. Such records include, but are not necessarily limited to, 
records relating to requests for reasonable accommodation; the results 
of any physical examination; job advertisements and postings; 
applications and resumes; tests and test results; interview notes; and 
other records having to do with hiring, assignment, promotion, demotion, 
transfer, lay-off or termination, rates of pay or other terms of 
compensation, and selection for training or apprenticeship. In the case 
of involuntary termination of an employee, the personnel records of the 
individual terminated shall be kept for a period of two years from the 
date of the termination, except that contractors that have fewer than 
150 employees or that do not have a Government contract of at least 
$150,000 shall keep such records for a period of one year from the date 
of the termination. Where the contractor has received notice that a 
complaint of discrimination has been filed, that a compliance evaluation 
has been initiated, or that an enforcement action has been commenced, 
the contractor must preserve all personnel records relevant to the 
complaint, compliance evaluation, or action until final disposition of 
the complaint, compliance evaluation or action. The term ``personnel 
records relevant to the complaint, compliance evaluation, or action'' 
will include, for example, personnel or employment records relating to 
the aggrieved person and to all other employees holding positions 
similar to that held or sought by the aggrieved person and application 
forms or test papers completed by an unsuccessful applicant and by all 
other candidates for the same position as that for which the aggrieved 
person applied and was rejected.
    (b) Records with three-year retention requirement. Records required 
by Sec.  60-741.44(f)(4) and (k) shall be maintained by all contractors 
for a period of three years from the date of the making of the record.
    (c) Failure to preserve records. Failure to preserve complete and 
accurate

[[Page 252]]

records as required by this part constitutes noncompliance with the 
contractor's obligations under the act and this part. Where the 
contractor has destroyed or failed to preserve records as required by 
this section, there may be a presumption that the information destroyed 
or not preserved would have been unfavorable to the contractor: 
Provided, That this presumption shall not apply where the contractor 
shows that the destruction or failure to preserve records results from 
circumstances that are outside of the contractor's control.



Sec.  60-741.81  Access to records.

    Each contractor shall permit access during normal business hours to 
its places of business for the purpose of conducting on-site compliance 
evaluations and complaint investigations and inspecting and copying such 
books, accounts, and records, including electronic records, and any 
other material OFCCP deems relevant to the matter under investigation 
and pertinent to compliance with the act or this part. Contractors must 
also provide OFCCP access to these materials, including electronic 
records, off-site for purposes of conducting compliance evaluations and 
complaint investigations. Upon request, the contractor must provide 
OFCCP information about all format(s), including specific electronic 
formats, in which the contractor maintains its records and other 
information. The contractor must provide records and other information 
in any of the formats in which they are maintained, as selected by 
OFCCP. Information obtained in this manner shall be used only in 
connection with the administration of the act, the Americans with 
Disabilities Act of 1990, as amended (ADA), and in furtherance of the 
purposes of the act and the ADA. OFCCP will treat records provided by 
the contractor to OFCCP under this section as confidential to the 
maximum extent the information is exempt from public disclosure under 
the Freedom of Information Act, 5 U.S.C. 552.



Sec.  60-741.82  Labor organizations and recruiting and training agencies.

    (a) Whenever performance in accordance with the equal opportunity 
clause or any matter contained in the regulations in this part may 
necessitate a revision of a collective bargaining agreement, the labor 
organizations which are parties to such agreement shall be given an 
adequate opportunity to present their views to OFCCP.
    (b) OFCCP shall use its best efforts, directly or through 
contractors, subcontractors, local officials, vocational rehabilitation 
facilities, and all other available instrumentalities, to cause any 
labor organization, recruiting and training agency, or other 
representative of workers who are employed by a contractor to cooperate 
with, and to assist in, the implementation of the purposes of the act.



Sec.  60-741.83  Rulings and interpretations.

    Rulings under or interpretations of the act and this part shall be 
made by the Director.



  Sec. Appendix A to Part 60-741--Guidelines on a Contractor's Duty To 
                    Provide Reasonable Accommodation

    The guidelines in this appendix are in large part derived from, and 
are consistent with, the discussion regarding the duty to provide 
reasonable accommodation contained in the Interpretive Guidance on title 
I of the Americans with Disabilities Act, as amended (ADA), set out as 
an appendix to the regulations issued by the Equal Employment 
Opportunity Commission (EEOC) implementing the ADA (29 CFR part 1630). 
Although the following discussion is intended to provide an independent 
``free-standing'' source of guidance with respect to the duty to provide 
reasonable accommodation under this part, to the extent that the EEOC 
appendix provides additional guidance which is consistent with the 
following discussion, it may be relied upon for purposes of this part as 
well. See Sec.  60-741.1(c). Contractors are obligated to provide 
reasonable accommodation and to take affirmative action. Reasonable 
accommodation under section 503, like reasonable accommodation required 
under the ADA, is a part of the nondiscrimination obligation. See EEOC 
appendix cited in this paragraph. Affirmative action is unique to 
section 503, and includes actions above and beyond those required as a 
matter of nondiscrimination. An example of this is the requirement 
discussed

[[Page 253]]

in paragraph 2 of this appendix that a contractor shall make an inquiry 
of an employee with a known disability who is having significant 
difficulty performing his or her job.
    1. A contractor is required to make reasonable accommodations to the 
known physical or mental limitations of a qualified individual with a 
disability, unless the contractor can demonstrate that the accommodation 
would impose an undue hardship on the operation of its business. As 
stated in Sec.  60-741.2(r), an individual with a disability is 
qualified if he or she satisfies all the skill, experience, education, 
and other job-related selection criteria, and can perform the essential 
functions of the position with or without reasonable accommodation. A 
contractor is required to make a reasonable accommodation with respect 
to its application process if the individual with a disability is 
qualified with respect to that process. One is qualified within the 
meaning of section 503 if he or she is qualified for a job, except that, 
because of a disability, he or she needs a reasonable accommodation to 
be able to perform the job's essential functions.
    2. Although the contractor would not be expected to accommodate 
disabilities of which it is unaware, the contractor has an affirmative 
obligation to provide reasonable accommodation for applicants and 
employees of whose disabilities the contractor has actual knowledge. As 
stated in Sec.  60-741.42, as part of the contractor's affirmative 
action obligation, the contractor is required to invite applicants to 
inform the contractor whether the applicant believes that he or she is 
an individual with a disability both prior to an offer of employment, 
and after an offer of employment but before he or she begins his/her 
employment duties. That invitation also informs applicants of the 
contractor's reasonable accommodation obligation and invites individuals 
with disabilities to request any accommodation they might need. 
Moreover, Sec.  60-741.44(d) provides that if an employee with a known 
disability is having significant difficulty performing his or her job 
and it is reasonable to conclude that the performance problem may be 
related to the disability, the contractor is required to confidentially 
inquire whether the problem is disability related and if the employee is 
in need of a reasonable accommodation.
    3. An accommodation is any change in the work environment or in the 
way things are customarily done that enables an individual with a 
disability to enjoy equal employment opportunities. Equal employment 
opportunity means an opportunity to attain the same level of 
performance, or to enjoy the same level of benefits and privileges of 
employment as are available to the average similarly situated employee 
without a disability. Thus, for example, an accommodation made to assist 
an employee with a disability in the performance of his or her job must 
be adequate to enable the individual to perform the essential functions 
of the position. The accommodation, however, does not have to be the 
``best'' accommodation possible, so long as it is sufficient to meet the 
job-related needs of the individual being accommodated. There are three 
areas in which reasonable accommodations may be necessary: (1) 
Accommodations in the application process; (2) accommodations that 
enable employees with disabilities to perform the essential functions of 
the position held or desired; and (3) accommodations that enable 
employees with disabilities to enjoy equal benefits and privileges of 
employment as are enjoyed by employees without disabilities.
    4. The term ``undue hardship'' refers to any accommodation that 
would be unduly costly, extensive, substantial, or disruptive, or that 
would fundamentally alter the nature or operation of the contractor's 
business. The contractor's claim that the cost of a particular 
accommodation will impose an undue hardship requires a determination of 
which financial resources should be considered--those of the contractor 
in its entirety or only those of the facility that will be required to 
provide the accommodation. This inquiry requires an analysis of the 
financial relationship between the contractor and the facility in order 
to determine what resources will be available to the facility in 
providing the accommodation. If the contractor can show that the cost of 
the accommodation would impose an undue hardship, it would still be 
required to provide the accommodation if the funding is available from 
another source (e.g., a State vocational rehabilitation agency) or if 
Federal, State, or local tax deductions or tax credits are available to 
offset the cost of the accommodation. In the absence of such funding, 
the individual with a disability must be given the option of providing 
the accommodation or of paying that portion of the cost which 
constitutes the undue hardship on the operation of the business.
    5. The definition for ``reasonable accommodation'' in Sec.  60-
741.2(s) lists a number of examples of the most common types of 
accommodations that the contractor may be required to provide. There are 
a number of specific accommodations that may be appropriate for 
particular situations. The discussion in this appendix is not intended 
to provide an exhaustive list of required accommodations (as no such 
list would be feasible); rather, it is intended to provide general 
guidance regarding the nature of the obligation. The decision as to 
whether a reasonable accommodation is appropriate must be made on a 
case-by-case basis. The contractor generally should consult with the 
individual

[[Page 254]]

with a disability in deciding on the appropriate accommodation; 
frequently, the individual will know exactly what accommodation he or 
she will need to perform successfully in a particular job, and may 
suggest an accommodation which is simpler and less expensive than the 
accommodation the contractor might have devised. Other resources to 
consult include the appropriate State vocational rehabilitation services 
agency, the Equal Employment Opportunity Commission (1-800-669-4000 
(voice) or 1-800-669-6820 (TTY)), the Job Accommodation Network (JAN)--a 
service of the U.S. Department of Labor's Office of Disability 
Employment Policy (1-800-526-7234 (voice) or 1-877-781-9403 (TTY)), 
private disability organizations, and other employers.
    6. With respect to accommodations that can permit an employee with a 
disability to perform essential functions successfully, a reasonable 
accommodation may require the contractor to, for instance, modify or 
acquire equipment. For those visually-impaired, such accommodations may 
include providing adaptive hardware and software for computers, 
electronic visual aids, Braille writers, talking calculators, 
magnifiers, audio recordings, and Braille or large print materials. For 
persons with hearing impairments, reasonable accommodations may include 
providing telephone handset amplifiers, telephones compatible with 
hearing aids, and TTY machines. For persons with limited physical 
dexterity, the obligation may require the provision of telephone 
headsets, mechanical page turners, and raised or lowered furniture.
    7. Other reasonable accommodations of this type may include 
providing personal assistants such as a reader, interpreter, or travel 
attendant, permitting the use of accrued paid leave or providing 
additional unpaid leave for necessary treatment. The contractor may also 
be required to make existing facilities readily accessible to and usable 
by individuals with disabilities--including areas used by employees for 
purposes other than the performance of essential job functions--such as 
restrooms, break rooms, cafeterias, lounges, auditoriums, libraries, 
parking lots, and credit unions. This type of accommodation will enable 
employees to enjoy equal benefits and privileges of employment as are 
enjoyed by employees who do not have disabilities.
    8. Another of the potential accommodations listed in Sec.  60-
741.2(s) is job restructuring. This may involve reallocating or 
redistributing those nonessential, marginal job functions which a 
qualified individual with a disability cannot perform to another 
position. Accordingly, if a clerical employee is occasionally required 
to lift heavy boxes containing files, but cannot do so because of a 
disability, this task may be reassigned to another employee. The 
contractor, however, is not required to reallocate essential functions, 
i.e., those functions that the individual who holds the job would have 
to perform, with or without reasonable accommodation, in order to be 
considered qualified for the position. For instance, the contractor that 
has a security guard position which requires the incumbent to inspect 
identity cards would not have to provide a blind individual with an 
assistant to perform that duty; in such a case, the assistant would be 
performing an essential function of the job for the individual with a 
disability. Job restructuring may also involve allowing part-time or 
modified work schedules. For instance, flexible or adjusted work 
schedules could benefit individuals with disabilities who cannot work a 
standard schedule because of the need to obtain medical treatment, or 
individuals with mobility impairments who depend on a public 
transportation system that is not accessible during the hours of a 
standard schedule.
    9. Reasonable accommodation may also include reassignment to a 
vacant position. In general, reassignment should be considered only when 
accommodation within the individual's current position would pose an 
undue hardship. Reassignment is not required for applicants. However, in 
making hiring decisions, contractors are encouraged to consider known 
applicants with disabilities for all available positions for which they 
may be qualified when the position(s) applied for is unavailable. 
Reassignment may not be used to limit, segregate, or otherwise 
discriminate against employees with disabilities by forcing 
reassignments to undesirable positions or to designated offices or 
facilities. Employers should reassign the individual to an equivalent 
position in terms of pay, status, etc., if the individual is qualified, 
and if the position is vacant within a reasonable amount of time. A 
reasonable amount of time should be determined in light of the totality 
of the circumstances.
    10. The contractor may reassign an individual to a lower graded 
position if there are no accommodations that would enable the employee 
to remain in the current position and there are no vacant equivalent 
positions for which the individual is qualified with or without 
reasonable accommodation. The contractor may maintain the reassigned 
individual with a disability at the salary of the higher graded 
position, and must do so if it maintains the salary of reassigned 
employees who are not disabled. It should also be noted that the 
contractor is not required to promote an individual with a disability as 
an accommodation.
    11. With respect to the application process, appropriate 
accommodations may include the following: (1) Providing information 
regarding job vacancies in a form accessible to those with vision or 
hearing impairments (e.g., by making an announcement available

[[Page 255]]

in Braille, in large print, or on audio tape, or by responding to job 
inquiries via TTY); (2) providing readers, interpreters and other 
similar assistance during the application, testing and interview 
process; (3) appropriately adjusting or modifying employment-related 
examinations (e.g., extending regular time deadlines, allowing a blind 
person or one with a learning disorder such as dyslexia to provide oral 
answers for a written test, and permitting an applicant, regardless of 
the nature of his or her disability to demonstrate skills through 
alternative techniques and utilization of adapted tools, aids and 
devices); and (4) ensuring an applicant with a mobility impairment full 
access to testing locations such that the applicant's test scores 
accurately reflect the applicant's skills or aptitude rather than the 
applicant's mobility impairment.



  Sec. Appendix B to Part 60-741--Developing Reasonable Accommodation 
                               Procedures

    As stated in Sec. Sec.  60-741.21(a)(6) and 60-741.44(d), the 
development and use of written procedures for processing requests for 
reasonable accommodation is a best practice. This Appendix provides 
guidance contractors may wish to use should they decide to adopt this 
best practice. As stated in the regulations, contractors are not 
required to use written reasonable accommodation procedures, and the 
failure to use such procedures will not result in a finding of 
violation.
    1. Designation of responsible official. The contractor should 
designate an official to be responsible for the implementation of the 
reasonable accommodation procedures. The responsible official may be the 
same official who is responsible for the implementation of the 
contractor's affirmative action program. The responsible official should 
have the authority, resources, support, and access to top management 
that is needed to ensure the effective implementation of the reasonable 
accommodation procedures. The name, title/office, and contact 
information (telephone number and email address) of the responsible 
official should be included in the reasonable accommodation procedures, 
and should be updated when changes occur.
    2. Description of process. The contractor's reasonable accommodation 
procedures should contain a description of the steps the contractor 
takes when processing a reasonable accommodation request, including the 
process by which the contractor renders a final determination on the 
accommodation request. If specific information must be provided to the 
contractor in order to obtain a reasonable accommodation, the 
description should identify this information. For example, the 
contractor's reasonable accommodation procedures may state that to 
obtain a reasonable accommodation, the contractor must be informed of 
the existence of a disability, the disability-related limitation(s) or 
workplace barrier(s) that needs to be accommodated, and, if known, the 
desired reasonable accommodation. The description should also indicate 
that, if the need for accommodation is not obvious, or if additional 
information is needed, the contractor may initiate an interactive 
process with the accommodation requester.
    3. Form of requests for reasonable accommodation. The reasonable 
accommodation procedures should specify that a request for reasonable 
accommodation may be oral or written and should explain that there are 
no required ``magic words'' that must be used by the requester to 
request an accommodation. The procedures should also state that requests 
for reasonable accommodation may be made by an applicant, employee, or 
by a third party, such as a relative, job coach, or friend, on his or 
her behalf.
    4. Submission of reasonable accommodation requests by employees. The 
reasonable accommodation procedures should identify to whom an employee 
(or a third party acting on his or her behalf) must submit an 
accommodation request. At a minimum, this should include any supervisor 
or management official in the employee's chain of command, and the 
official responsible for the implementation of the reasonable 
accommodation procedures.
    5. Recurring requests for a reasonable accommodation. The reasonable 
accommodation procedures should provide that in instances of a recurring 
need for an accommodation (e.g., a hearing impaired employee's need for 
a sign language interpreter for meetings) the requester will not be 
required to repeatedly submit or renew their request for accommodation 
each time the accommodation is needed. In the absence of a reasonable 
belief that the individual's recurring need for the accommodation has 
changed, requiring the repeated submission of a request for the 
accommodation could be considered harassment on the basis of disability 
in violation of this part.
    6. Supporting medical documentation. The reasonable accommodation 
procedures should explain the circumstances, if any, under which the 
contractor may request and review medical documentation in support of a 
request for reasonable accommodation. The procedures should explain that 
any request for medical documentation may not be open ended, and must be 
limited to documentation of the individual's disability and the 
functional limitations for which reasonable accommodation is sought. The 
procedures should also explain that the submission of medical 
documentation is not required when the disability for which a reasonable 
accommodation is sought is known or readily observable and the need for 
accommodation is known or obvious.

[[Page 256]]

    7. Written confirmation of receipt of request. The reasonable 
accommodation procedures should specify that written confirmation of the 
receipt of a request for reasonable accommodation will be provided to 
the requester, either by letter or email. The written confirmation 
should include the date the accommodation request was received, and be 
signed by the authorized decisionmaker or his or her designee.
    8. Timeframe for processing requests. The reasonable accommodation 
procedures should state that requests for accommodation will be 
processed as expeditiously as possible. Oral requests for reasonable 
accommodation should be considered received on the date they are 
initially made, even if the contractor has a reasonable accommodation 
request form that has not been completed. Requests for reasonable 
accommodation must be processed within a reasonable period of time. What 
constitutes a reasonable period of time will depend upon the specific 
circumstances. However, in general, if supporting medical documentation 
is not needed, that timeframe should not be longer than 5 to 10 business 
days. If supporting medical documentation is needed, or if special 
equipment must be ordered, that timeframe should not exceed 30 calendar 
days, unless there are extenuating circumstances beyond the control of 
the contractor. The procedures should explain what constitutes 
extenuating circumstances. However, reasonable accommodations may need 
to be provided even more expeditiously for applicants. See the 
discussion of accommodation requests from applicants in section 10, 
below.
    9. Delay in responding to request. If the contractor's processing of 
an accommodation request will exceed established timeframes, written 
notice should be provided to the requester. The notice should include 
the reason(s) for the delay and a projected date of response. The notice 
should also be dated and signed by the authorized decisionmaker or his 
or her designee.
    10. Reasonable accommodation requests by applicants. The reasonable 
accommodation procedures should include procedures to ensure that all 
applicants, including those using the contractor's online or other 
electronic application system, are made aware of the contractor's 
reasonable accommodation obligation and are invited to request any 
reasonable accommodation needed to participate fully in the application 
process. All applicants should also be provided with contact information 
for contractor staff able to assist the applicant, or his or her 
representative, in making a request for accommodation. The contractor's 
procedures should provide that reasonable accommodation requests by or 
on behalf of an applicant are processed expeditiously, using timeframes 
tailored to the application process.
    11. Denial of reasonable accommodation. The contractor's reasonable 
accommodation procedures should specify that any denial or refusal to 
provide a requested reasonable accommodation will be provided in 
writing. The written denial should include the reason for the denial and 
be dated and signed by the authorized decisionmaker or his or her 
designee. If the contractor provides an internal appeal or 
reconsideration process, the written denial should inform the requester 
about this process.
    12. Confidentiality. The contractor's reasonable accommodation 
procedures should indicate that all requests for reasonable 
accommodation, related documentation (such as request confirmation 
receipts, requests for additional information, and decisions regarding 
accommodation requests), and any medical or disability-related 
information provided to the contractor will be treated as confidential 
medical records and maintained in a separate medical file, in accordance 
with section 503 and this part.
    13. Dissemination of procedures to employees. The contractor should 
disseminate its written reasonable accommodation procedures to all 
employees. Notice of the reasonable accommodation procedures may be 
provided by their inclusion in an employee handbook that is disseminated 
to all employees and/or by email or electronic posting on a company Web 
page where work-related notices are ordinarily posted. Notice of the 
reasonable accommodation procedures should be provided to employees who 
work off-site in the same manner that notice of other work-related 
matters is ordinarily provided to these employees.
    14. Training. The contractor should provide annual training for its 
supervisors and managers regarding the implementation of the reasonable 
accommodation procedures. Training should also be provided whenever 
significant changes are made to the reasonable accommodation procedures. 
Training regarding the reasonable accommodation procedures may be 
provided in conjunction with other required equal employment opportunity 
or affirmative action training.



     PART 60	742_PROCEDURES FOR COMPLAINTS/CHARGES OF EMPLOYMENT 
     DISCRIMINATION BASED ON DISABILITY FILED AGAINST EMPLOYERS HOLDING 
     GOVERNMENT CONTRACTS OR SUBCONTRACTS--Table of Contents



Sec.
60-742.1 Purpose and application.
60-742.2 Exchange of information.
60-742.3 Confidentiality.

[[Page 257]]

60-742.4 Standards for investigations, hearings, determinations and 
          other proceedings.
60-742.5 Processing of complaints filed with OFCCP.
60-742.6 Processing of charges filed with EEOC.
60-742.7 Review of this part.
60-742.8 Definitions.

    Authority: 42 U.S.C. 12117(b).

    Source: 57 FR 2962, 2965, Jan. 24, 1992, unless otherwise noted.



Sec.  60-742.1  Purpose and application.

    The purpose of this part is to implement procedures for processing 
and resolving complaints/charges of employment discrimination filed 
against employers holding government contracts or subcontracts, where 
the complaints/charges fall within the jurisdiction of both section 503 
of the Rehabilitation Act of 1973 (hereinafter ``Section 503'') and the 
Americans with Disabilities Act of 1990 (hereinafter ``ADA''). The 
promulgation of this part is required pursuant to section 107(b) of the 
ADA. Nothing in this part should be deemed to affect the Department of 
Labor's (hereinafter ``DOL'') Office of Federal Contract Compliance 
Programs' (hereinafter ``OFCCP'') conduct of compliance reviews of 
government contractors and subcontractors under section 503. Nothing in 
this part is intended to create rights in any person.



Sec.  60-742.2  Exchange of information.

    (a) EEOC and OFCCP shall share any information relating to the 
employment policies and practices of employers holding government 
contracts or subcontracts that may assist each office in carrying out 
its responsibilities. Such information shall include, but not 
necessarily be limited to, affirmative action programs, annual 
employment reports, complaints, charges, investigative files, and 
compliance review reports and files.
    (b) All requests by third parties for disclosure of the information 
described in paragraph (a) of this section shall be coordinated with the 
agency which initially compiled or collected the information.
    (c) Paragraph (b) of this section is not applicable to requests for 
data in EEOC files made by any state or local agency designated as a 
``FEP agency'' with which EEOC has a charge resolution contract and a 
work-sharing agreement containing the confidentiality requirements of 
sections 706(b) and 709(e) of title VII of the Civil Rights Act of 1964 
(42 U.S.C. 2000e et seq.). However, such an agency shall not disclose 
any of the information, initially compiled by OFCCP, to the public 
without express written approval by the Director of OFCCP.



Sec.  60-742.3  Confidentiality.

    When the Department of Labor receives information obtained by EEOC, 
the Department of Labor shall observe the confidentiality requirements 
of sections 706(b) and 709(e) of title VII of the Civil Rights Act of 
1964, as incorporated by section 107(a) of the ADA, as would EEOC, 
except in cases where DOL receives the same information from a source 
independent of EEOC. Questions concerning confidentiality shall be 
directed to the Associate Legal Counsel for Legal Services, Office of 
Legal Counsel of EEOC.



Sec.  60-742.4  Standards for investigations, hearings, determinations 
and other proceedings.

    In any OFCCP investigation, hearing, determination or other 
proceeding involving a complaint/charge that is dual filed under both 
section 503 and the ADA, OFCCP will utilize legal standards consistent 
with those applied under the ADA in determining whether an employer has 
engaged in an unlawful employment practice. EEOC and OFCCP will 
coordinate the arrangement of any necessary training regarding the 
substantive or procedural provisions of the ADA, and of EEOC's 
implementing regulations (29 CFR part 1630 and 29 CFR part 1601).



Sec.  60-742.5  Processing of complaints filed with OFCCP.

    (a) Complaints of employment discrimination filed with OFCCP will be 
considered charges, simultaneously dual filed, under the ADA whenever 
the complaints also fall within the jurisdiction of the ADA. OFCCP will 
act as EEOC's agent for the sole purposes of receiving, investigating 
and processing the ADA charge component of a section

[[Page 258]]

503 complaint dual filed under the ADA, except as otherwise set forth in 
paragraph (e) of this section.
    (b) Within ten days of receipt of a complaint of employment 
discrimination under section 503 (charge under the ADA), OFCCP shall 
notify the contractor/respondent that it has received a complaint of 
employment discrimination under section 503 (charge under the ADA). This 
notification shall state the date, place and circumstances of the 
alleged unlawful employment practice.
    (c) Pursuant to work-sharing agreements between EEOC and state and 
local agencies designated as FEP agencies, the deferral period for 
section 503 complaints/ADA charges dual filed with OFCCP will be waived.
    (d) OFCCP shall transfer promptly to EEOC a complaint of employment 
discrimination over which it does not have jurisdiction but over which 
EEOC may have jurisdiction. At the same time, OFCCP shall notify the 
complainant and the contractor/respondent of the transfer, the reason 
for the transfer, the location of the EEOC office to which the complaint 
was transferred and that the date OFCCP received the complaint will be 
deemed the date it was received by EEOC.
    (e) OFCCP shall investigate and process as set forth in this section 
all section 503 complaints/ADA charges dual filed with OFCCP, except as 
specifically provided in this paragraph. Section 503 complaints/ADA 
charges raising Priority List issues, those which also include 
allegations of discrimination of an individual nature on the basis of 
race, color, religion, sex, or national origin, and those which also 
include an allegation of discrimination on the basis of age will be 
referred in their entirety by OFCCP to EEOC for investigation, 
processing and final resolution, provided that such complaints/charges 
do not include allegations of violation of affirmative action 
requirements under section 503. In such a situation, OFCCP will 
bifurcate the complaints/charges and refer to EEOC the Priority List 
issues or allegations of discrimination on the basis of race, color, 
religion, sex, national origin, or age. OFCCP shall normally retain, 
investigate, process and resolve all allegations of discrimination, over 
which it has jurisdiction, of a systemic or class nature on the basis of 
race, color, religion, sex, or national origin that it receives. 
However, in appropriate cases the EEOC may request that it be referred 
such allegations so as to avoid duplication of effort and assure 
effective law enforcement.
    (1) No cause section 503 complaints/ADA charges. If the OFCCP 
investigation of the section 503 complaint/ADA charge results in a 
finding of no violation under section 503 (no cause under the ADA), 
OFCCP will issue a determination of no violation/no cause under both 
section 503 and the ADA, and issue a right-to-sue letter under the ADA, 
closing the complaint/charge.
    (2) Cause section 503 complaints/ADA charges--(i) Successful 
conciliation. If the OFCCP investigation of the section 503 complaint/
ADA charge results in a finding of violation under section 503 (cause 
under the ADA), OFCCP will issue a finding of violation/cause under both 
section 503 and ADA. OFCCP shall attempt conciliation to obtain 
appropriate full relief for the complainant (charging party), consistent 
with EEOC's standards for remedies. If conciliation is successful and 
the contractor/respondent agrees to provide full relief, the section 503 
complaint/ADA charge will be closed and the conciliation agreement will 
state that the complainant (charging party) agrees to waive the right to 
pursue the subject issues further under section 503 and/or the ADA.
    (ii) Unsuccessful conciliation. All section 503 complaints/ADA 
charges not successfully conciliated will be considered for OFCCP 
administrative litigation under section 503, consistent with OFCCP's 
usual procedures. (See 41 CFR part 60-741, subpart B.) If OFCCP pursues 
administrative litigation under section 503, OFCCP will close the 
complaint/charge at the conclusion of the litigation process (including 
the imposition of appropriate sanctions), unless the complaint/charge is 
dismissed on procedural grounds or because of a lack of jurisdiction, or 
the contractor/respondent fails to comply with an order to provide make 
whole relief. In these

[[Page 259]]

three cases, OFCCP will refer the matter to EEOC for any action it deems 
appropriate. If EEOC declines to pursue further action, it will issue a 
notice of right-to-sue. If OFCCP does not pursue administrative 
enforcement, it will close the section 503 component of the complaint/
charge and refer the ADA charge component to EEOC for litigation review 
under the ADA. If EEOC declines to litigate, EEOC will close the ADA 
charge and issue a notice of right-to-sue.
    (f) Consistent with the ADA procedures set forth at 29 CFR 1601.28, 
OFCCP shall promptly issue upon request a notice of right-to-sue after 
180 days from the date the complaint/charge was filed. Issuance of a 
notice of right-to-sue shall terminate further OFCCP processing of any 
complaint/charge unless it is determined at that time or at a later time 
that it would effectuate the purposes of section 503 and/or the ADA to 
further process the complaint/charge.
    (g) If an individual who has already filed a section 503 complaint 
with OFCCP subsequently attempts to file or files an ADA charge with 
EEOC covering the same facts and issues, EEOC will decline to accept the 
charge (or, alternatively, dismiss a charge that has been filed) on the 
grounds that such charge has already been filed under the ADA, 
simultaneous with the filing of the earlier section 503 complaint, and 
will be processed by OFCCP in accordance with the provisions of this 
section.



Sec.  60-742.6  Processing of charges filed with EEOC.

    (a) ADA cause charges falling within the jurisdiction of section 503 
that the Commission has declined to litigate. ADA cause charges that 
also fall within the jurisdiction of section 503 and that the Commission 
has declined to litigate will be referred to OFCCP for review of the 
file and any administrative action deemed appropriate under section 503. 
Such charges will be considered to be complaints, simultaneously dual 
filed under section 503, solely for the purposes of OFCCP review and 
administrative action described in this paragraph.
    (b) ADA charges which also include allegations of failure to comply 
with section 503 affirmative action requirements. ADA charges filed with 
EEOC, in which both allegations of discrimination under the ADA and 
violation of affirmative action requirements under section 503 are made, 
will be referred in their entirety to OFCCP for processing and 
resolution under section 503 and the ADA, unless the charges also 
include allegations of discrimination on the basis of race, color, 
religion, sex, national origin or age, or include allegations involving 
Priority List issues, or the charges are otherwise deemed of particular 
importance to EEOC's enforcement of the ADA. In such situations, EEOC 
will bifurcate the charges and retain the ADA component of the charges 
(and when applicable, the allegations pertaining to discrimination on 
the basis of race, color, religion, sex, national origin or age), 
referring the section 503 affirmative action component of the charges to 
OFCCP for processing and resolution under section 503. ADA charges which 
raise both discrimination issues under the ADA and section 503 
affirmative action issues will be considered complaints, simultaneously 
dual filed under section 503, solely for the purposes of referral to 
OFCCP for processing, as described in this paragraph.
    (c) EEOC shall transfer promptly to OFCCP a charge of disability-
related employment discrimination over which it does not have 
jurisdiction, but over which OFCCP may have jurisdiction. At the same 
time, EEOC shall notify the charging party and the contractor/respondent 
of the transfer, the reason for the transfer, the location of the OFCCP 
office to which the charge was transferred and that the date EEOC 
received the charge will be deemed the date it was received by OFCCP.
    (d) Except as otherwise stated in paragraphs (a) and (b) of this 
section, individuals alleging violations of laws enforced by DOL and 
over which EEOC has no jurisdiction will be referred to DOL to file a 
complaint.
    (e) If an individual who has already filed an ADA charge with EEOC 
subsequently attempts to file or files a section 503 complaint with 
OFCCP covering the same facts and issues, OFCCP will accept the 
complaint, but will adopt as a disposition of the complaint EEOC's 
resolution of the ADA charge

[[Page 260]]

(including EEOC's termination of proceedings upon its issuance of a 
notice of right-to-sue).



Sec.  60-742.7  Review of this part.

    This part shall be reviewed by the Chairman of the EEOC and the 
Director of OFCCP periodically, and as appropriate, to determine whether 
changes to the part are necessary or desirable, and whether the part 
should remain in effect.



Sec.  60-742.8  Definitions.

    As used in this part, the term:
    ADA refers to title I of the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101 et seq.).
    Affirmative action requirements refers to affirmative action 
requirements required by DOL pursuant to section 503 of the 
Rehabilitation Act of 1973, that go beyond the nondiscrimination 
requirements imposed by the ADA.
    Chairman of the EEOC refers to the Chairman of the U.S. Equal 
Employment Opportunity Commission, or his or her designee.
    Complaint/Charge means a section 503 complaint/ADA charge. The terms 
are used interchangeably.
    Director of the Office of Federal Contract Compliance Programs 
refers to that individual or his or her designee.
    DOL means the U.S. Department of Labor, and where appropriate, any 
of its headquarters or regional offices.
    EEOC means the U.S. Equal Employment Opportunity Commission, and 
where appropriate, any of its headquarters, district, area, local, or 
field offices.
    Government means the government of the United States of America.
    Priority List refers to a document listing a limited number of 
controversial topics under the ADA on which there is not yet definitive 
guidance setting forth EEOC's position. The Priority List will be 
jointly developed and periodically reviewed by EEOC and DOL. Any policy 
documents involving Priority List issues will be coordinated between DOL 
and EEOC pursuant to Executive Order 12067 (3 CFR, 1978 Comp., p. 206) 
prior to final approval by EEOC.
    OFCCP means the Office of Federal Contract Compliance Programs, and 
where appropriate, any of its regional or district offices.
    Section 503 refers to section 503 of the Rehabilitation Act of 1973 
(29 U.S.C. 793).
    Section 503 complaint/ADA charge refers to a complaint that has been 
filed with OFCCP under section 503 of the Rehabilitation Act, and has 
been deemed to be simultaneously dual filed with EEOC under the ADA.



PART 60	999_OMB CONTROL NUMBERS FOR OFCCP INFORMATION COLLECTION REQUIREMENTS--
Table of Contents



Sec.
60-999.1 Purpose.
60-999.2 Display.

    Authority: 44 U.S.C. Ch. 35.

    Source: 61 FR 43467, Aug. 23, 1996, unless otherwise noted.



Sec.  60-999.1  Purpose.

    This part displays control numbers assigned to information 
collection requirements of the Office of Federal Contract Compliance 
Programs by the Office of Management and Budget (OMB) under the 
Paperwork Reduction Act (PRA), 44 U.S.C. Ch. 35. This part fulfills the 
PRA requirement that agencies display a current control number for each 
agency information collection requirement approved by OMB (44 U.S.C. 
3507).



Sec.  60-999.2  Display.

------------------------------------------------------------------------
     41 CFR Part where the information
     collection requirement is located         Current OMB control No.
------------------------------------------------------------------------
Part 60-1.................................  1215-0072, 1215-0131, 1215-
                                             0163.
Part 60-2.................................  1215-0072.
Part 60-3.................................  3046-0017.
Part 60-4.................................  1215-0163.
Part 60-20................................  1215-0072, 1215-0163.
Part 60-30................................  1215-0072, 1215-0163.
Part 60-40................................  1215-0072, 1215-0163.
Part 60-50................................  1215-0072, 1215-0163.
Part 60-250...............................  1215-0072, 1215-0131, 1215-
                                             0163.
Part 60-741...............................  1215-0072, 1215-0131, 1215-
                                             0163.
------------------------------------------------------------------------


[62 FR 66971, Dec. 22, 1997]

[[Page 261]]



 CHAPTER 61--OFFICE OF THE ASSISTANT SECRETARY FOR VETERANS' EMPLOYMENT 
                AND TRAINING SERVICE, DEPARTMENT OF LABOR




  --------------------------------------------------------------------
Part                                                                Page
61-1--61-249

 [Reserved]

61-300          Annual Report from Federal contractors......         263
61-301--61-999

 [Reserved]

[[Page 263]]

                      PARTS 61	1_61	249 [RESERVED]



PART 61	300_ANNUAL REPORT FROM FEDERAL CONTRACTORS--Table of Contents



Sec.
61-300.1 What is the purpose and scope of this part?
61-300.2 What definitions apply to this part?
61-300.10 What reporting requirements apply to Federal contractors and 
          subcontractors, and what specific wording must the reporting 
          requirements contract clause contain?
61-300.11 When and how should Federal contractors and subcontractors 
          file VETS-4212 Reports?
61-300.20 How will DOL determine whether a contractor or subcontractor 
          is complying with the requirements of this part?
61-300.99 What is the OMB control number for this part?

    Authority: 38 U.S.C. 4211 and 4212.

    Source: 79 FR 57473, Sept. 25, 2014, unless otherwise noted.



Sec.  61-300.1  What is the purpose and scope of this part?

    (a) This part 61-300 implements 38 U.S.C. 4212(d). Each contractor 
or subcontractor who enters into a contract or subcontract in the amount 
of $100,000 or more with any department or agency of the United States 
for the procurement of personal property and non-personal services 
(including construction), and who is subject to 38 U.S.C. 4212(a), must 
report annually to the Secretary of Labor information on the number of 
employees in its workforce who belong to the categories of veterans 
protected under the Act, and the number of those employees who were 
hired during the period covered by the report. Each contractor or 
subcontractor must provide the required information on veterans' 
employment by filing the Federal Contractor Veterans' Employment Report 
VETS-4212 (VETS-4212 Report), in accordance with the requirements of 
Sec.  61-300.11.
    (b) Notwithstanding the regulations in this part, the regulations at 
41 CFR part 60-300, administered by OFCCP continue to apply to 
contractors' and subcontractors' affirmative action obligations 
regarding protected veterans.
    (c) Reporting requirements of this part regarding protected veterans 
will be deemed waived in those instances in which the Director of OFCCP 
has granted a waiver under 41 CFR 60-300.4(b)(1), or has concurred in 
the granting of a waiver under 41 CFR 60-300.4(b)(3), from compliance 
with all the terms of the equal opportunity clause for those 
establishments not involved in Government contract work. Where OFCCP 
grants only a partial waiver, compliance with these reporting 
requirements regarding protected veterans will be required.
    (d) 41 CFR part 60-300, subpart C and Appendix B to part 60-300 
provide guidance concerning the affirmative action obligations of 
Federal contractors toward applicants for employment who are protected 
veterans.



Sec.  61-300.2  What definitions apply to this part?

    (a) For the purposes of this part, the definitions for the terms 
``contract,'' ``contractor'', ``Government contract,'' ``subcontract,'' 
and ``subcontractor'' are the same as those set forth in 41 CFR part 60-
300.
    (b) For purposes of this part:
    (1) Active duty wartime or campaign badge veteran means a veteran 
who served on active duty in the U.S. military, ground, naval, or air 
service during a war or in a campaign or expedition for which a campaign 
badge has been authorized under the laws administered by the Department 
of Defense.
    (2) Armed Forces service medal veteran means a veteran who, while 
serving on active duty in the U.S. military, ground, naval or air 
service, participated in a United States military operation for which an 
Armed Forces service medal was awarded pursuant to Executive Order 12985 
(61 FR 1209, 3 CFR, 1996 Comp., p. 159).
    (3) Disabled veteran means:
    (i) A veteran of the U.S. military, ground, naval or air service who 
is entitled to compensation (or who but for the receipt of military 
retired pay would be entitled to compensation) under laws administered 
by the Secretary of Veterans Affairs; or
    (ii) A person who was discharged or released from active duty 
because of a service-connected disability.
    (4) Electronic filing or ``e-filing'' means filing the VETS-4212 
Report via the VETS web-based filing system. E-filing

[[Page 264]]

also includes transmitting or delivering the VETS-4212 Report as an 
electronic data file. Instructions for electronically filing the VETS-
4212 Report are found on VETS' Web site at: http://www.dol.gov/vets/
vets100filing.htm.
    (5) Employee means any individual on the payroll of an employer who 
is an employee for purposes of the employer's withholding of Social 
Security taxes except insurance sales agents who are considered to be 
employees for such purposes solely because of the provisions of 26 
U.S.C. 3121 (d)(3)(B) (the Internal Revenue Code). Leased employees are 
included in this definition. Leased employee means a permanent employee 
provided by an employment agency for a fee to an outside company for 
which the employment agency handles all personnel tasks including 
payroll, staffing, benefit payments and compliance reporting. The 
employment agency shall, therefore, include leased employees in its 
VETS-4212 Report. The term employee shall not include persons who are 
hired on a casual basis for a specified time, or for the duration of a 
specified job (for example, persons at a construction site whose 
employment relationship is expected to terminate with the end of the 
employee's work at the site); persons temporarily employed in any 
industry other than construction, such as temporary office workers, 
mariners, stevedores, lumber yard workers, etc., who are hired through a 
hiring hall or other referral arrangement, through an employee 
contractor or agent, or by some individual hiring arrangement, or 
persons (except leased employees) on the payroll of an employment agency 
who are referred by such agency for work to be performed on the premises 
of another employer under that employer's direction and control.
    (6) Hiring location (this definition is identical to establishment 
as defined by the instructions for completing Employer Information 
Report EEO-1, Standard Form 100 (EEO-1 Report)) means an economic unit 
which produces goods or services, such as a factory, office, store, or 
mine. In most instances the establishment is at a single physical 
location and is engaged in one, or predominantly one, type of economic 
activity. Units at different locations, even though engaged in the same 
kind of business operation, should be reported as separate 
establishments. For locations involving construction, transportation, 
communications, electric, gas, and sanitary services, oil and gas 
fields, and similar types of physically dispersed industrial activities, 
however, it is not necessary to list separately each individual site, 
project, field, line, etc., unless it is treated by the contractor as a 
separate legal entity. For these physically dispersed activities, list 
as establishments only those relatively permanent main or branch 
offices, terminals, stations, etc., which are either:
    (i) Directly responsible for supervising such dispersed activities; 
or
    (ii) The base from which personnel and equipment operate to carry 
out these activities. (Where these dispersed activities cross State 
lines, at least one such establishment should be listed for each State 
involved).
    (7) Job category means any of the following: Officials and managers 
(Executive/Senior Level Officials and Managers and First/Mid-Level 
Officials and Managers), professionals, technicians, sales workers, 
administrative support workers, craft workers, operatives, laborers and 
helpers, and service workers, as required by the EEO-1 Report, as 
follows:
    (i) Officials and managers as a whole are to be divided into the 
following two subcategories: Executive/Senior Level Officials and 
Managers and First/Mid-Level Officials and Managers.
    (A) Executive/Senior Level Officials and Managers means individuals, 
who plan, direct and formulate policies, set strategy and provide the 
overall direction of enterprises/organizations for the development and 
delivery of products and services, within the parameters approved by 
boards of directors of other governing bodies. Residing in the highest 
levels of organizations, these executives plan, direct, or coordinate 
activities with the support of subordinate executives and staff 
managers. They include, in larger organizations, those individuals 
within two reporting levels of the Chief Executive Officer (CEO), whose 
responsibilities require frequent interaction with the CEO. Examples of

[[Page 265]]

these kinds of managers are: Chief executive officers, chief operating 
officers, chief financial officers, line of business heads, presidents 
or executive vice presidents of functional areas or operating groups, 
chief information officers, chief human resources officers, chief 
marketing officers, chief legal officers, management directors and 
managing partners.
    (B) First/Mid-Level Officials and Managers means individuals who 
serve as managers, other than those who serve as Executive/Senior Level 
Officials and Managers, including those who oversee and direct the 
delivery of products, services or functions at group, regional or 
divisional levels of organizations. These managers receive directions 
from Executive/Senior Level management and typically lead major business 
units. They implement policies, programs and directives of Executive/
Senior Level management through subordinate managers and within the 
parameters set by Executives/Senior Level management. Examples of these 
kinds of managers are: Vice presidents and directors; group, regional or 
divisional controllers; treasurers; and human resources, information 
systems, marketing, and operations managers. The First/Mid-Level 
Officials and Managers subcategory also includes those who report 
directly to middle managers. These individuals serve at functional, line 
of business segment or branch levels and are responsible for directing 
and executing the day-to-day operational objectives of enterprises/
organizations, conveying the directions of higher level officials and 
managers to subordinate personnel and, in some instances, directly 
supervising the activities of exempt and non-exempt personnel. Examples 
of these kinds of managers are: First-line managers; team managers; unit 
managers; operations and production managers; branch managers; 
administrative services managers; purchasing and transportation 
managers; storage and distribution managers; call center or customer 
service managers; technical support managers; and brand or product 
managers.
    (ii) Professionals means individuals in positions that require 
bachelor and graduate degrees, and/or professional certification. In 
some instances, comparable experience may establish a person's 
qualifications. Examples of these kinds of positions include: 
accountants and auditors; airplane pilots and flight engineers; 
architects; artists; chemists; computer programmers; designers; 
dieticians; editors; engineers; lawyers; librarians; mathematical 
scientists; natural scientists; registered nurses; physical scientists; 
physicians and surgeons; social scientists; teachers; and surveyors.
    (iii) Technicians means individuals in positions that include 
activities requiring applied scientific skills, usually obtained by 
post-secondary education of varying lengths, depending on the particular 
occupation, recognizing that in some instances additional training, 
certification, or comparable experience is required. Examples of these 
types of positions include: drafters; emergency medical technicians; 
chemical technicians; and broadcast and sound engineering technicians.
    (iv) Sales workers means individuals in positions including non-
managerial activities that wholly and primarily involve direct sales. 
Examples of these types of positions include: advertising sales agents; 
insurance sales agents; real estate brokers and sales agents; wholesale 
sales representatives; securities, commodities, and financial services 
sales agents; telemarketers; demonstrators; retail salespersons; counter 
and rental clerks; and cashiers.
    (v) Administrative support workers means individuals in positions 
involving non-managerial tasks providing administrative and support 
assistance, primarily in office settings. Examples of these types of 
positions include: office and administrative support workers; 
bookkeeping; accounting and auditing clerks; cargo and freight agents; 
dispatchers; couriers; data entry keyers; computer operators; shipping, 
receiving and traffic clerks; word processors and typists; proofreaders; 
desktop publishers; and general office clerks.
    (vi) Craft workers means individuals in positions that include 
higher skilled occupations in construction (building trades craft 
workers and their formal apprentices) and natural resource extraction 
workers. Examples of these

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types of positions include: boilermakers; brick and stone masons; 
carpenters; electricians; painters (both construction and maintenance); 
glaziers; pipe layers, plumbers, pipefitters and steamfitters; 
plasterers; roofers; elevator installers; earth drillers; derrick 
operators; oil and gas rotary drill operators; and blasters and 
explosive workers. This category also includes occupations related to 
the installation, maintenance and part replacement of equipment, 
machines and tools, such as: automotive mechanics; aircraft mechanics; 
and electric and electronic equipment repairers. This category also 
includes some production occupations that are distinguished by the high 
degree of skill and precision required to perform them, based on clearly 
defined task specifications, such as: millwrights; etchers and 
engravers; tool and die makers; and pattern makers.
    (vii) Operatives means individuals in intermediate skilled 
occupations and includes workers who operate machines or factory-related 
processing equipment. Most of these occupations do not usually require 
more than several months of training. Examples include: textile machine 
workers; laundry and dry cleaning workers; photographic process workers; 
weaving machine operators; electrical and electronic equipment 
assemblers; semiconductor processors; testers, graders and sorters; 
bakers; and butchers and other meat, poultry and fish processing 
workers. This category also includes occupations of generally 
intermediate skill levels that are concerned with operating and 
controlling equipment to facilitate the movement of people or materials, 
such as: bridge and lock tenders; truck, bus or taxi drivers; industrial 
truck and tractor (forklift) operators; parking lot attendants; sailors; 
conveyor operators; and hand packers and packagers.
    (viii) Laborers and helpers means individuals with more limited 
skills who require only brief training to perform tasks that require 
little or no independent judgment. Examples include: production and 
construction worker helpers; vehicle and equipment cleaners; laborers; 
freight, stock and material movers; service station attendants; 
construction laborers; refuse and recyclable materials collectors; 
septic tank servicers; and sewer pipe cleaners.
    (ix) Service workers means individuals in positions that include 
food service, cleaning service, personal service, and protective service 
activities. Skill may be acquired through formal training, job-related 
training or direct experience. Examples of food service positions 
include: cooks; bartenders; and other food service workers. Examples of 
personal service positions include: medical assistants and other 
healthcare support positions; hairdressers; ushers; and transportation 
attendants. Examples of cleaning service positions include: cleaners; 
janitors; and porters. Examples of protective service positions include: 
transit and railroad police and fire fighters; guards; private 
detectives and investigators.
    (8) NAICS means the North American Industrial Classification System.
    (9) OFCCP means the Office of Federal Contract Compliance Programs, 
U.S. Department of Labor.
    (10) Protected veteran means a veteran who is protected under the 
non-discrimination and affirmative action provisions of the Act; 
specifically, a veteran who may be classified as a ``disabled veteran,'' 
``recently separated veteran,'' ``active duty wartime or campaign badge 
veteran,'' or an ``Armed Forces service medal veteran,'' as defined in 
this section.
    (11) Recently separated veteran means a veteran during the three-
year period beginning on the date of such veteran's discharge or release 
from active duty in the U.S. military, ground, naval or air service.
    (12) States means each of the several States of the United States, 
the District of Columbia, the Virgin Islands, the Commonwealth of Puerto 
Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana 
Islands, Wake Island, and the Trust Territories of the Pacific Islands.
    (13) VETS means the Office of the Assistant Secretary for Veterans' 
Employment and Training Service, U.S. Department of Labor.

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Sec.  61-300.10  What reporting requirements apply to Federal contractors 
and subcontractors, and what specific wording must the reporting requirements 
contract clause contain?

    Each contractor or subcontractor described in Sec.  61-300.1 must 
submit reports in accordance with the following reporting clause, which 
must be included in each of its covered government contracts or 
subcontracts (and modifications, renewals, or extensions thereof if not 
included in the original contract). Such clause is considered as an 
addition to the equal opportunity clause required by 41 CFR 60-300.5. 
The reporting requirements clause is as follows:

          Employer Reports on Employment of Protected Veterans

    (a) The contractor agrees to report at least annually, as required 
by the Secretary of Labor, on:
    (1) The total number of employees in the workforce of such 
contractor, by job category and hiring location, and the total number of 
such employees, by job category and hiring location, who are protected 
veterans;
    (2) The total number of new employees hired by the contractor during 
the period covered by the report, and of such employees, the number who 
are protected veterans; and
    (3) The maximum number and minimum number of employees of such 
contractor at each hiring location during the period covered by the 
report.
    (4) The term ``protected veteran'' refers to a veteran who may be 
classified as a ``disabled veteran,'' recently separated veteran, 
``active duty wartime or campaign badge veteran,'' or an ``Armed Forces 
service medal veteran,'' as defined in 41 CFR 61-300.2.
    (b) The above items must be reported by completing the report 
entitled ``Federal Contractor Veterans' Employment Report VETS-4212.''
    (c) VETS-4212 Reports must be filed no later than September 30 of 
each year following a calendar year in which a contractor or 
subcontractor held a covered contract or subcontract.
    (d) The employment activity report required by paragraphs (a)(2) and 
(a)(3) of this clause must reflect total new hires and maximum and 
minimum number of employees during the 12-month period preceding the 
ending date that the contractor selects for the current employment 
report required by paragraph (a)(1) of this clause. Contractors may 
select an ending date:
    (1) As of the end of any pay period during the period July 1 through 
August 31 of the year the report is due; or
    (2) As of December 31, if the contractor has previous written 
approval from the Equal Employment Opportunity Commission to do so for 
purposes of submitting the Employer Information Report EEO-1, Standard 
Form 100 (EEO-1 Report).
    (e) The number of veterans reported according to paragraph (a) above 
must be based on data known to contractors and subcontractors when 
completing their VETS-4212 Reports. Contractors' and subcontractors' 
knowledge of veterans status may be obtained in a variety of ways, 
including, in response to an invitation to applicants to self-identify 
in accordance with 41 CFR 60-300.42, voluntary self-disclosures by 
employees who are protected veterans, or actual knowledge of an 
employee's veteran status by a contractor or subcontractor. Nothing in 
this paragraph (e) relieves a contractor from liability for 
discrimination under 38 U.S.C. 4212.


[End of Clause]



Sec.  61-300.11  When and how should Federal contractors and subcontractors 
file VETS-4212 Reports?

    (a) The VETS-4212 Report must be used to report the information on 
veterans' employment required in paragraph (a) of the contract clause 
set forth in Sec.  61-300.10. The VETS-4212 Report requires contractors 
and subcontractors to provide the total number of employees in their 
workforces by job category and hiring location; the total number of such 
employees, by job category and hiring location, who are protected 
veterans; the total number of new hires during the period covered by the 
report; the total number of new hires during the period covered by the 
report who are protected veterans; and the maximum and minimum number of 
employees of such contractor or subcontractor during the period covered 
by the report. Contractors and subcontractors must complete a VETS-4212 
Report for each hiring location in the manner described in the 
instructions published on the VETS Web site and included in the paper 
version of the VETS-4212 Report.
    (b) VETS-4212 Reports must be filed between August 1 and September 
30 of each year following a calendar year in which a contractor or 
subcontractor held a contract or subcontract.

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    (c)(1) Electronic filing. Instructions for e-filing the VETS-4212 
Report are found on the Federal Contractor Reporting page on the VETS 
Web site at: http://www.dol.gov/vets/.
    (i) Single hiring location. Contractors and subcontractors doing 
business at one hiring location may complete and submit a single VETS-
4212 Report using the web-based filing system.
    (ii) Multiple hiring locations. Contractors and subcontractors doing 
business at more than 10 locations must submit their VETS-4212 Reports 
in the form of an electronic data file in accordance with the 
instructions for filing the VETS-4212 Report. In these cases, state 
consolidated reports count as one location each. Contractors and 
subcontractors may submit VETS-4212 Reports in the form of electronic 
data files through the web-based filing system. Electronic data files 
also may be transmitted electronically as an email attachment (if they 
do not exceed the size stated in the specifications), or submitted on 
compact discs or other electronic storage media.
    (2) Alternative filing methods. (i) Contractors and subcontractors 
with 10 or fewer hiring locations may file their VETS-4212 Report in 
paper format. Contractors and subcontractors may download a version of 
the VETS-4212 Report from the VETS Web site or send a written request 
for the paper version of the VETS-4212 Report to: Office of the 
Assistant Secretary for Veterans' Employment and Training, U.S. 
Department of Labor, 200 Constitution Avenue NW., Room S-1325, 
Washington, DC 20210, Attn: VETS-4212 Report Form Request.
    (ii) VETS-4212 Reports in paper format or electronic data files on 
compact discs or other electronic storage media may be delivered by U.S. 
mail or courier delivery service to the addresses set forth in the 
instructions for completing the report. Paper copies of the VETS-4212 
Reports and electronic data files (if they do not exceed the size stated 
in the specifications) also may be sent as email attachments to the 
address indicated in the instructions.



Sec.  61-300.20  How will DOL determine whether a contractor or subcontractor 
is complying with the requirements of this part?

    During the course of a compliance evaluation, OFCCP may determine 
whether a contractor or subcontractor has submitted its VETS-4212 
Report(s) as required by this part.



Sec.  61-300.99  What is the OMB control number for this part?

    Pursuant to the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., and 
its implementing regulations at 5 CFR part 1320, the Office of 
Management and Budget has assigned Control No. 1293-0005 to the 
information collection requirements of this part.

                     PARTS 61	301_61	999 [RESERVED]



                       CHAPTERS 62	100 [RESERVED]



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                              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 271]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 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)

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     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 273]]

    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 274]]

     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 (Parts 10100--10199)
       CII  U.S. Office of Special Counsel (Parts 10200--10299)

                      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 275]]

        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 276]]

         L  Rural Business-Cooperative Service, and Rural 
                Utilities Service, Department of Agriculture 
                (Parts 5000--5099)

                    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 277]]

        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 278]]

      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)
        XV  Office of the Under-Secretary for Economic Affairs, 
                Department of Commerce (Parts 1500--1599)
            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 279]]

                     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 280]]

                          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) (Parts 1700--1799) 
                [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]

[[Page 281]]

        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [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)

[[Page 282]]

        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

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

[[Page 283]]

         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of 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)

[[Page 284]]

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of 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)

[[Page 285]]

       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           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  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)

[[Page 286]]

       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   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)

[[Page 287]]

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        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)

[[Page 288]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         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)

[[Page 289]]

        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        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)

[[Page 290]]

        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 291]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 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 292]]

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 Affairs, Office of the Under-          15, XV
       Secretary for
  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

[[Page 293]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  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 Affairs, Office of the Under-Secretary   15, XV
     for
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
[[Page 294]]

Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal 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

[[Page 295]]

  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes St. Lawrence Seaway Development       33, IV
     Corporation
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
[[Page 296]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department 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 Environmental Enforcement, Bureau    30, II
       of
  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

[[Page 297]]

  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  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

[[Page 298]]

National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
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
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
[[Page 299]]

State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
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
  Great Lakes St. Lawrence Seaway Development     33, IV
       Corporation
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  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
U.S. Office of Special Counsel                    5, CII
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 301]]



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

41 CFR
                                                                   81 FR
                                                                    Page
Chapter 50
50-201 Authority citation revised; eff. 8-1-16.....................43452
50-201.3 (e) amended; eff. 8-1-16..................................43452
Chapter 60
60-20 Revised; eff. 8-15-16........................................39166

                                  2017

41 CFR
                                                                   82 FR
                                                                    Page
Chapter 51
51-11 Added........................................................49748

                                  2018

41 CFR
                                                                   83 FR
                                                                    Page
Chapter 50
50-201.3 (e) amended..................................................15

                                  2019

41 CFR
                                                                   84 FR
                                                                    Page
Chapter 50
50-201.3 (e) amended.................................................220

                                  2020

41 CFR
                                                                   85 FR
                                                                    Page
Subtitle B
Chapter 50
50-203.21 (d) revised.......................................13041, 30627
Chapter 51
51-8 Revised.......................................................37778
Chapter 60
60-1 Amended.......................................................71570
60-1.3 Amended..............................................39846, 71570
    Amended; (a) added.............................................79371
60-1.5 (e) and (f) added...........................................79372
60-1.33 Revised....................................................71571
60-2.1 Amended.....................................................71572
60-2.2 Amended.....................................................71572
60-2.31 Amended....................................................71572
60-30.29 Revised............................................13041, 30627
60-30.30 Revised............................................13041, 30627
60-30.37 Revised............................................13041, 30627
60-300.2 (x) revised...............................................39846
60-300.2 (t) through (cc) redesignated as (v) through (ee); new 
        (t) and new (u) added......................................71572
60-300.62 Revised..................................................71572
60-741.2 (x) revised...............................................39846
60-741.2 (s) through (bb) redesignated as (u) through (dd); new 
        (s) and new (t) added......................................71573
60-741.62 Revised..................................................71574

[[Page 302]]

                                  2021

   (Regulations published from January 1, 2021, through July 1, 2021)

41 CFR
                                                                   86 FR
                                                                    Page
Subtitle B
Chapter 60
60-30.4 (b) and (c) revised.........................................1795


                                  [all]