[Federal Register Volume 67, Number 69 (Wednesday, April 10, 2002)]
[Proposed Rules]
[Pages 17528-17554]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-7925]



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Part III





Commission on Civil Rights





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45 CFR Part 701 et al.



Operations, Functions, and Structure of Civil Rights Commission; 
Proposed Rule

  Federal Register / Vol. 67, No. 69 / Wednesday, April 10, 2002 / 
Proposed Rules  

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COMMISSION ON CIVIL RIGHTS

45 CFR Parts 701, 702, 703, 704, 705, 706, 707, and 708


Operations, Functions, and Structure of Civil Rights Commission

AGENCY: Commission on Civil Rights.

ACTION: Proposed rule with request for comments.

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SUMMARY: The United States Commission on Civil Rights proposes to 
revise its regulations to provide the organizational structure, 
procedures, and program processes of the Commission.

DATES: Comments should be submitted on or before June 10, 2002 to be 
considered in the formulation of final rules.

ADDRESSES: Interested parties should submit written comments to: U.S. 
Commission on Civil Rights, Office of General Counsel, Attn: Debra A. 
Carr, Esq., 624 Ninth Street, NW., Washington, DC, 20425. E-mail 
comments should be addressed to [email protected]. Please cite 45 
CFR in all correspondence related to these proposed revisions.

FOR FURTHER INFORMATION CONTACT: Contact Debra A. Carr, Deptuy General 
Counsel, U.S. Commission on Civil Rights, 624 Ninth Street, NW., 
Washington, DC 20425, (202) 376-8351.

SUPPLEMENTARY INFORMATION: The General Accounting Office (GAO) 
recommended the U.S. Commission on Civil Rights develop and document 
policies and procedures that (1) assign responsibility for management 
functions to the staff director and other Commission employees and (2) 
provide mechanisms to hold these personnel accountable for properly 
managing the Commission's day-to-day operations. These revisions update 
the agency's regulations consistent with GAO's recommendations and 
updates the Commission's regulations to reflect the procedures and 
practices of the agency.

List of Subjects

45 CFR Part 701

    Organization and functions (Government agencies).

45 CFR Part 702

    Administrative practice and procedure, Sunshine Act.

45 CFR Part 703

    Advisory committees, Organization and functions (Government 
agencies).

45 CFR Part 704

    Freedom of information.

45 CFR Part 705

    Privacy.

45 CFR Part 706

    Conflict of interests.

45 CFR Part 707

    Administrative practice and procedure, Civil rights, Equal 
employment opportunity, Federal buildings and facilities, Individuals 
with disabilities.

45 CFR Part 708

    Claims, Government employees.

    For the reasons set forth in the preamble, the Commission on Civil 
Rights proposes to revise 45 CFR chapter VII to read as follows:

PART 701--ORGANIZATION AND FUNCTIONS OF THE COMMISSION

Subpart A--Organizations and Functions
Sec.
701.1   Establishment.
701.2   Responsibilities.
Subpart B--Organization Statement
701.10   Membership of the Commission.
701.11   Commission meetings--duties of the Chairperson.
701.12   Staff Director.
701.13   Staff organization and functions.

    Authority: 42 U.S.C. 1975, 1975a, 1975b.

Subpart A--Organizations and Functions


Sec. 701.1  Establishment.

    The United States Commission on Civil Rights (hereinafter referred 
to as the ``Commission'') is a bipartisan agency of the executive 
branch of the Government. The predecessor agency to the present 
Commission was established by the Civil Rights Act of 1957, 71 Stat. 
634. This Act was amended by the Civil Rights Act of 1960, 74 Stat. 86; 
the Civil Rights Act of 1964, 78 Stat. 241; by 81 Stat. 582 (1967); by 
84 Stat. 1356 (1970); by 86 Stat. 813 (1972); and by the Civil Rights 
Act of 1978, 92 Stat. 1067. The present Commission was established by 
the United States Commission on Civil Rights Act of 1983, 97 Stat. 
1301, as amended by the Civil Rights Commission Amendments Act of 1994, 
108 Stat. 4339. The statutes are codified in 42 U.S.C. 1975 through 
1975d. (Hereinafter, the 1994 Act will be referred to as ``the Act.'')


Sec. 701.2  Responsibilities.

    (a) The Commission's authority under 42 U.S.C. 1975a(a) may be 
summarized as follows:
    (1) To investigate allegations in writing under oath or affirmation 
that citizens of the United States are being deprived of their right to 
vote and have that vote counted by reason of color, race, religion, 
sex, age, disability, or national origin;
    (2) To study and collect information relating to discrimination or 
a denial of equal protection of the laws under the Constitution because 
of color, race, religion, sex, age, disability or national origin or in 
the administration of justice;
    (3) To appraise the laws and policies of the Federal Government 
relating to discrimination or denials of equal protection of the laws 
under the Constitution because of, color, race, religion, sex, age, 
disability, or national origin or in the administration of justice;
    (4) To serve as a national clearinghouse for information relating 
to discrimination or denials of equal protection of the laws because of 
color, race, religion, sex, age, disability, or national origin;
    (5) To prepare public service announcements and advertising 
campaigns to discourage discrimination or denials of equal protection 
of the laws because of color, race, religion, sex, age, disability, or 
national origin.
    (b) Under 42 U.S.C. 1975a(c), the Commission is required to submit 
at least one report annually that monitors Federal civil rights 
enforcement efforts in the United States and other such reports to the 
President and to the Congress at such times as the Commission, the 
Congress, or the President shall deem appropriate.
    (c) In fulfilling these responsibilities the Commission is 
authorized by the Act to hold hearings and to issue subpoenas for the 
attendance of witnesses; to consult with governors, attorneys general; 
and other representatives of State and local governments, and private 
organizations; and is required to establish an advisory committee in 
each State. The Act also provides that all Federal agencies shall 
cooperate fully with the Commission so that it may effectively carry 
out its functions and duties.

Subpart B--Organization Statement


Sec. 701.10  Membership of the Commission.

    (a) The Commission is composed of eight members (or 
``Commissioners''), not more than four of whom may be of the same 
political party. The President shall appoint four members, the 
President pro tempore of the Senate shall appoint two, and the Speaker 
of the House of Representatives shall appoint two.
    (b) The Chairperson and Vice Chairperson of the Commission are 
designated by the President with the concurrence of a majority of the

[[Page 17529]]

Commissioners. The Vice Chairperson acts as Chairperson in the absence 
or disability of the Chairperson or in the event of a vacancy in that 
office.
    (c) No vacancy in the Commission affects its powers and any vacancy 
is filled in the same manner and is subject to the same limitations 
with respect to party affiliations as previous appointments.
    (d) Five members of the Commission constitute a quorum.


Sec. 701.11  Commission meetings--duties of the Chairperson.

    (a) At a meeting of the Commission in each calendar year, the 
Commission shall, by vote of the majority, adopt a schedule of 
Commission meetings for the following calendar year.
    (b) In addition to the regularly scheduled meetings, it is the 
responsibility of the Chairperson to call the Commission to meet in a 
special open meeting at such time and place as he or she shall deem 
appropriate; provided however, that upon the motion of a member, and a 
favorable vote by a majority of Commission members, a special meeting 
of the Commission may be held in the absence of a call by the 
Chairperson.
    (c) The Chairperson, after consulting with the Staff Director, 
shall establish the agenda for each meeting. The agenda at the meeting 
of the Commission may be modified by the addition or deletion of 
specific items upon the motion of a Commissioner and a favorable vote 
by a majority of the members.
    (d) In the event that after consulting with the members of the 
Commission and consideration of the views of the members the 
Chairperson determines that there are insufficient substantive items on 
a proposed meeting agenda to warrant holding a scheduled meeting, the 
Chairperson may cancel such meeting.


Sec. 701.12  Staff Director.

    A Staff Director for the Commission is appointed by the President 
with the concurrence of a majority of the Commissioners. The Staff 
Director is the administrative head of the agency.


Sec. 701.13  Staff organization and functions.

    The Commission staff organization and function are as follows:
    (a) Office of the Staff Director. Under the direction of the Staff 
Director, this Office defines and disseminates to staff the policies 
established by the Commissioners; develops program plans for 
presentation to the Commissioners; evaluates program results; 
supervises and coordinates the work of other agency offices; manages 
the administrative affairs of the agency; appoints an Equal Employment 
Opportunity Officer for the agency's in-house Equal Employment 
Opportunity Program; and conducts agency liaison with the Executive 
Office of the President, the Congress, and other Federal agencies.
    (b) Office of the Deputy Staff Director. Under the direction of the 
Deputy Staff Director, this Office is responsible for the day-to-day 
administration of the agency; evaluation of quantity and quality of 
program efforts; personnel administration; and the supervision of 
Office Directors who do not report directly to the Staff Director.
    (c) Office of the General Counsel. Under the direction of the 
General Counsel, who reports directly to the Staff Director, this 
office serves as legal counsel to the Commissioners and to the agency; 
legal aspects of agency-related personnel actions, employment issues, 
and labor relations issues; plans and conducts hearings and 
consultations for the Commission; conducts legal studies; prepares 
reports of legal studies and hearings; drafts or reviews proposals for 
legislative and executive action; receives and responds to requests for 
material under the Freedom of Information Act, Federal Advisory 
Committee Act, Administrative Procedures Act, and the Sunshine Act; 
serves as the agency's ethics office and responds to requests for 
advice and guidance on questions of ethical conduct, conflicts of 
interest, and reporting financial interest; and reviews all agency 
publications and congressional testimony for legal sufficiency.
    (d) Office of Management. This Office is responsible for all 
administrative, management, and facilitative services necessary for the 
operation of the agency, including financial management, personnel, 
publications, and the National Clearinghouse Library. This office 
consists of three divisions reporting directly to the Staff Director.
    (1) Administrative Services and Clearinghouse Division. Under the 
direction of the Chief of Administrative Services, this Division is 
responsible for the identification and acquisition of Commission 
hearing facilities; oversight of the Rankin Library and the 
distribution of publications; procurement; information and resources 
management; security; telecommunications; transportation; space 
management; repair and maintenance services; supplies; central mailing 
lists; and assorted other administrative duties and functions;
    (2) Budget and Finance Division. Under the direction of the Chief 
of Budget and Finance, this Division is responsible for budget 
preparation, formulation, justification, and execution; financial 
management; and accounting, including travel for Commissioners and 
staff; and
    (3) Human Resources Division. Under the direction of the Director 
of Human Resources, this Division is responsible for human resources 
development, including career staffing, classification, benefits, time 
and attendance, training, and compensation.
    (e) Office of Federal Civil Rights Evaluation. Under the direction 
of an Assistant Staff Director, this Office is responsible for 
monitoring, evaluating and reporting on the civil rights enforcement 
effort of the Federal Government; developing concepts for programs, 
projects, and policies directed toward the achievement of Commission 
goals; preparing documents that articulate the Commission's views and 
concerns regarding Federal civil rights to Federal agencies having 
appropriate jurisdiction; and receiving complaints alleging denial of 
civil rights because of color, race, religion, sex, age, disability, or 
national origin and referring these complaints to the appropriate 
government agency for investigation and resolution.
    (f) Congressional Affairs Unit. This Unit is responsible for 
liaison with committees and members of Congress or their staffs, 
monitoring legislative activities relating to civil rights, and 
preparing testimony for presentation before committees of Congress when 
such testimony has been requested by a committee.
    (g) Public Affairs Unit. Under the direction of the Chief of Public 
Affairs, this Unit is responsible for planning and managing briefings 
at which the Commission receives information regarding civil rights 
issues; developing plans for community outreach activities; managing 
the Commission's public service announcements; media releases and press 
conferences; preparing for publication periodic updates of Commission 
activities and a Commission civil rights magazine; and keeping the 
Commission and Commission staff apprised of civil rights conferences 
and activities.
    (h) Regional Programs Coordination Unit. Under the direction of the 
Chief of the Regional Programs Coordination Unit, this Unit is 
responsible for directing and coordinating the programs and work of the 
regional offices and 51 State Advisory Committees to the Commission and 
maintaining liaison between the regional offices and the various 
headquarters' offices of the Commission.

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    (i) Regional Offices. The Commission has six regional offices, each 
headed by a Director, that coordinate studies and fact-finding 
activities on a variety of civil rights issues addressed by the State 
Advisory Committees (SAC) in their regions and approved by the Staff 
Director; report to the Commission on the results of SAC activities; 
submit SAC reports to the Commission for action; and assist with 
follow-up on recommendations included in SAC or Commission reports. The 
name of the Director, the address, and telephone and facsimile numbers 
for each regional office are published annually in the ``United States 
Government Manual''. The regions and the SACs that they serve are:

Region I: Eastern Regional Office, Washington, D.C.

    Connecticut, Delaware, District of Columbia, Maine, Maryland, 
Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, 
Rhode Island, and Vermont, Virginia, West Virginia.

Region II: Southern Regional Office, Atlanta, Georgia.

    Florida, Georgia, Kentucky, North Carolina, South Carolina, and 
Tennessee.

Region III: Midwestern Regional Office, Chicago, Illinois

    Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin.

Region IV: Central Regional Office, Kansas City, Kansas

    Alabama, Arkansas, Iowa, Kansas, Louisiana, Mississippi, 
Missouri, Nebraska, and Oklahoma.

Region V: Rocky Mountain Regional Office, Denver, Colorado

    Colorado, Montana, New Mexico North Dakota, South Dakota, Utah, 
and Wyoming.

Region VI: Western Regional Office, Los Angeles, California

    Alaska, Arizona, California, Hawaii, Idaho, Nevada, Oregon, 
Texas, and Washington.

PART 702--RULES ON HEARINGS, REPORTS AND MEETINGS OF THE COMMISSION

Subpart A--Hearings and Reports
Sec.
702.1  Definitions.
702.2  Authorization for hearing.
702.3  Notice of hearing.
702.4  Subpoenas.
702.5  Conduct of proceedings.
702.6  Executive session.
702.7  Counsel.
702.8  Evidence at Commission proceedings.
702.9  Cross-examination at public session.
702.10  Voluntary witnesses at public session of a hearing.
702.11  Special executive session.
702.12  Contempt of the Commission.
702.13  Intimidation of witnesses.
702.14  Transcript of Commission proceedings.
702.15  Witness fees.
702.16  Attendance of news media at public sessions.
702.17  Communications with respect to Commission proceedings.
702.18  Commission reports.
Subpart B--Meetings
702.50  Purpose and scope.
702.51  Definitions.
702.52  Open meeting requirements.
702.53  Closed meetings.
702.54  Closed meeting procedures.
702.55  Public announcement of meetings.
702.56  Records.
702.57  Administrative review.

    Authority: 42 U.S.C. 1975, 1975a, 1975b.

Subpart A--Hearings and Reports


Sec. 702.1  Definitions.

    For purposes of this part, the following definitions shall apply 
unless otherwise provided:
    (a) The Act means the United States Commission on Civil Rights Act 
of 1983, 97 Stat. 1301, as amended by the Civil Rights Commission 
Amendments Act of 1994, 108 Stat. 4339, codified in 42 U.S.C. 1975 
through 1975d.
    (b) The Commission means the United States Commission on Civil 
Rights or, as provided in Sec. 702.2, to any authorized subcommittee 
thereof.
    (c) The Chairperson means the Chairperson of the Commission or 
authorized subcommittee thereof or to any acting Chairperson of the 
Commission or of such subcommittee.
    (d) Proceeding means collectively to any public session of the 
Commission and executive session held in connection therewith.
    (e) Hearing means collectively to a public session of the 
Commission and any executive session held in connection therewith, 
including the attendance of witnesses or the production of written or 
other matters for which subpoenas have been issued.
    (f) Witnesses are persons subpoenaed to attend and testify or 
produce written or other matter.
    (g) The rules in this part means the Rules on Hearings of the 
Commission.
    (h) Report means statutory reports or portions thereof issued 
pursuant to 42 U.S.C. 1975a(c).
    (i) Verified answer means an answer the truth of which is 
substantiated by oath or affirmation attested to by a notary public or 
other person who has legal authority to administer oaths.


Sec. 702.2  Authorization for hearing.

    Under 42 U.S.C. 1975a(e)(1) the Commission or, on the authorization 
of the Commission, any subcommittee of two or more members, at least 
one of whom shall be of each major political party, may, for the 
purpose of carrying out the provisions of the Act, hold such hearings 
and act at such times and locations as the Commission or such 
authorized subcommittee may deem advisable. The holding of hearings by 
the Commission or the appointment of a subcommittee to hold hearings 
pursuant to this section must be approved by a majority of the 
Commission or by a majority of the members present at a meeting at 
which at least a quorum of five members is present.


Sec. 702.3  Notice of hearing.

    At least 30 days prior to the commencement of any hearing, the 
Commission shall publish in the Federal Register notice of the date on 
which such hearing is to commence, the location at which it is to be 
held, and the subject of the hearing.


Sec. 702.4  Subpoenas.

    (a) Subpoenas for the attendance and testimony of witnesses or the 
production of written or other matter may be issued by the Commission 
over the signature of the Chairperson and may be served by any person 
designated by the Chairperson.
    (b) A witness compelled to appear before the Commission or required 
to produce written or other matter shall be served with a copy of the 
rules in this part at the time of service of the subpoena.
    (c) The Commission may issue subpoenas for the attendance and 
testimony of witnesses or for the production of written or other 
matter. Such a subpoena may not require the presence of a witness more 
than 100 miles outside the location wherein the witness is found or 
resides or is domiciled or transacts business or has appointed an agent 
for receipt of service of process.
    (d) The Chairperson shall receive and the Commission shall dispose 
of requests to subpoena additional witnesses except as otherwise 
provided in Sec. 702.6(e).
    (e) Requests for subpoenas shall be in writing, supported by a 
showing of the general relevance and materiality of the evidence 
sought. Witness fees and mileage shall be computed and paid pursuant to 
Sec. 702.15.
    (f) Subpoenas shall be issued at a reasonably sufficient time in 
advance of their scheduled return, in order to give subpoenaed persons 
an opportunity to prepare for their appearance and to employ counsel, 
should they so desire.
    (g) No subpoenaed document or information contained therein shall 
be made public unless it is introduced into

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and received as part of the official record of the hearing.


Sec. 702.5  Conduct of proceedings.

    (a) The Chairperson shall announce in an opening statement the 
subject of the proceedings.
    (b) Following the opening statement, the Commission shall first 
convene in executive session if one is required pursuant to the 
provisions of Sec. 702.6.
    (c) The Chairperson, subject to the approval of the Commission, 
shall:
    (1) Set the order of presentation of evidence and appearance of 
witnesses;
    (2) Rule on objections and motions;
    (3) Administer oaths and affirmations;
    (4) Make all rulings with respect to the introduction into or 
exclusion from the record of documentary or other evidence;
    (5) Regulate the course and decorum of the proceedings and the 
conduct of the parties and their counsel to ensure that the proceedings 
are conducted in a fair and impartial manner.
    (d) Proceedings shall be conducted with reasonable dispatch and due 
regard shall be had for the convenience and necessity of witnesses.
    (e) The questioning of witnesses shall be conducted only by Members 
of the Commission, by authorized Commission staff personnel, or by 
counsel to the extent provided in Sec. 702.7.
    (f) In addition to persons served with a copy of the rules in this 
part pursuant to Secs. 702.4 and 702.6, a copy of the rules in this 
part will be made available to all witnesses.
    (g) The Chairperson may punish breaches of order and decorum by 
censure and exclusion from the proceedings.


Sec. 702.6  Executive session.

    (a) If the Commission determines that evidence or testimony at any 
hearing may tend to defame, degrade, or incriminate any person, it 
shall receive such evidence or testimony or summary of such evidence or 
testimony in executive session.
    (b) The Commission shall afford any persons defamed, degraded, or 
incriminated by such evidence or testimony an opportunity to appear and 
be heard in executive session, with a reasonable number of additional 
witnesses requested by them, before deciding to use such evidence or 
testimony.
    (1) Such person shall be served with notice, in writing, at least 
10 days prior to the date, time, and location for the appearance of 
witnesses at executive session or where service is by mail at least 14 
days prior to such date. This notice shall be accompanied by a copy of 
the rules in this part and by a brief summary of the information that 
the Commission has determined may tend to defame, degrade, or 
incriminate such person;
    (2) The notice, summary, and rules in this part shall be served by 
certified mail or by leaving a copy thereof at the last known residence 
or business address of such person; and
    (3) The date of service, for purposes of this section, shall be the 
day when the material is deposited in the mail or is delivered in 
person, whichever is applicable. When service is made by mail, the 
return post office receipt shall be proof of service; in all other 
cases, the acknowledgment of the party served or the verified return of 
the one making service shall be proof of the same.
    (c) If a person receiving notice under this section notifies the 
Commission within five days of service of such notice or where service 
is by mail within eight days of service of such notice that the 
scheduled appearance constitutes a hardship, the Commission may, in its 
discretion, set a new date or time for such person's appearance at the 
executive session.
    (d) In the event such persons fail to appear at executive session 
at the time and location scheduled under paragraph (b) or (c) of this 
section, they shall not be entitled to another opportunity to appear at 
executive session, except as provided in Sec. 702.11.
    (e) If such persons intend to submit sworn statements of themselves 
or others, or if they intend that witnesses appear in their behalf at 
executive session, they shall, no later than 48 hours prior to the time 
set under paragraph (b) or (c) of this section, submit to the 
Commission all such statements and a list of all witnesses. The 
Commission will inform such persons whether the number of witnesses 
requested is reasonable within the meaning of paragraph (b) of this 
section. In addition, the Commission will receive and dispose of 
requests from such persons to subpoena other witnesses. Requests for 
subpoenas shall be made sufficiently in advance of the scheduled 
executive session to afford subpoenaed persons reasonable notice of 
their obligation to appear at that session. Subpoenas returnable at 
executive session shall be governed by the provisions of Sec. 702.4.
    (f) Persons for whom an executive session has been scheduled, and 
persons compelled to appear at such session, may be represented by 
counsel at such session to the extent provided by Sec. 702.7.
    (g) Attendance at executive session shall be limited to 
Commissioners; authorized Commission staff personnel; witnesses, and 
their counsel at the time scheduled for their appearance; and such 
other persons whose presence is requested or consented to by the 
Commission.
    (h) In the event the Commission determines to release or to use 
evidence or testimony that it has determined may tend to defame, 
degrade, or incriminate any persons in such a manner as to reveal 
publicly their identity, such evidence or testimony, prior to such 
public release or use, will be presented at a public session, and the 
Commission will afford them an opportunity to appear as voluntary 
witnesses or to file a sworn statement in their own behalf and to 
submit brief and pertinent sworn statements of others.


Sec. 702.7  Counsel.

    (a) Persons compelled to appear in person before the Commission and 
any witness appearing at a public session of the Commission will be 
accorded the right to be accompanied and advised by counsel, who will 
have the right to subject their clients to reasonable examination, make 
objections on the record, and briefly argue the basis for such 
objections.
    (b) For the purpose of this section, counsel shall mean an attorney 
at law admitted to practice before the Supreme Court of the United 
States or the highest court of any State or Territory of the United 
States.
    (c) Failure of any persons to obtain counsel shall not excuse them 
from attendance in response to a subpoena, nor shall any persons be 
excused in the event their counsel is excluded from the proceeding 
pursuant to Sec. 702.6(g). In the latter case, however, such persons 
shall be afforded a reasonable time to obtain other counsel, said time 
to be determined by the Commission.


Sec. 702.8  Evidence at Commission proceedings.

    (a) The rules of evidence prevailing in courts of law or equity 
shall not control proceedings of the Commission.
    (b) Where a witness testifying at a public session of a hearing or 
a session for return of subpoenaed documents offers the sworn 
statements of other persons, such statements, in the discretion of the 
Commission, may be included in the record, provided they are received 
by the Commission 24 hours in advance of the witness' appearance.
    (c) The prepared statement of a witness testifying at a public 
session of a hearing, in the discretion of the Commission, may be 
placed into the record, provided that such statement is

[[Page 17532]]

received by the Commission 24 hours in advance of the witness' 
appearance.
    (d) In the discretion of the Commission, evidence may be included 
in the record after the close of a public session of a hearing provided 
the Commission determines that such evidence does not tend to defame, 
degrade, or incriminate any person.
    (e) The Commission will determine the pertinence of testimony and 
evidence adduced at its proceedings and may refuse to include in the 
record of a proceeding or may strike from the record any evidence it 
considers to be cumulative, immaterial, or not pertinent.


Sec. 702.9  Cross-examination at public session.

    If the Commission determines that oral testimony of a witness at a 
public session tends to defame, degrade, or incriminate any person, 
such person, or through counsel, shall be permitted to submit questions 
to the Commission in writing, which, in the discretion of the 
Commission, may be put to such witness by the Chairperson or by 
authorized Commission staff personnel.


Sec. 702.10  Voluntary witnesses at public session of a hearing.

    A person who has not been subpoenaed and who has not been afforded 
an opportunity to appear pursuant to Sec. 702.6 may be permitted, in 
the discretion of the Commission, to make an oral or written statement 
at a public session of a hearing. Such person may be questioned to the 
same extent and in the same manner as other witnesses before the 
Commission.


Sec. 702.11  Special executive session.

    If, during the course of a public session, evidence is submitted 
that was not previously presented at executive session and that the 
Commission determines may defame, degrade, or incriminate any person, 
the provisions of Sec. 702.6 shall apply and such extensions, recesses 
or continuances of the public session shall be ordered by the 
Commission, as it deems necessary. The time and notice requirements of 
Sec. 702.6 may be modified by the Commission provided reasonable notice 
of a scheduled executive session is afforded such person; the 
Commission may, in its discretion, strike such evidence from the 
record, in which case the provisions of Sec. 702.6 shall not apply.


Sec. 702.12  Contempt of the Commission.

    Proceedings and process of the Commission are governed by 42 U.S.C. 
1975a(e)(2), which provides that in case of contumacy or refusal to 
obey a subpoena, the Attorney General may in a Federal court of 
appropriate jurisdiction obtain an appropriate order to enforce the 
subpoena.


Sec. 702.13  Intimidation of witnesses.

    Witnesses at Commission proceedings are protected by the provisions 
of 18 U.S.C. 1505, which provide that whoever, with intent to avoid, 
evade, prevent, or obstruct compliance, in whole or in part, with any 
civil investigative demand duly and properly made under the Antitrust 
Civil Process Act, willfully withholds, misrepresents, removes from any 
place, conceals, covers up, destroys, mutilates, alters, or by other 
means falsifies any documentary material, answers to written 
interrogatories, or oral testimony, which is the subject of such 
demand; or attempts to do so or solicits another to do so; or whoever 
corruptly, or by threats or force, or by any threatening letter or 
communication influences, obstructs, or impedes or endeavors to 
influence, obstruct, or impede the due and proper administration of the 
law under which any pending proceeding is being had before any 
department or agency of the United States, or the due and proper 
exercise of the power of inquiry under which any inquiry or 
investigation is being had by either House, or any committee of either 
House or any joint committee of the Congress shall be fined under this 
title or imprisoned not more than five years, or both.


Sec. 702.14  Transcript of Commission proceedings.

    (a) An accurate transcript shall be made of the testimony of all 
witnesses at all proceedings of the Commission. Transcripts shall be 
recorded solely by the official reporter or by any other person or 
means designated by the Commission.
    (b) Every person who submits data or evidence shall be entitled to 
retain or, on payment of lawfully prescribed costs, procure a copy or 
transcript thereof, except that witnesses in a hearing held in 
executive session may be limited, for good cause, to inspection of the 
official transcript of their testimony. Transcript copies of public 
sessions may be obtained by the public upon the payment of the cost 
thereof.
    (c) Persons who have presented testimony at a proceeding may ask 
within 60 days after the close of the proceeding to correct errors in 
the transcript of their testimony. Such requests shall be granted only 
to make the transcript conform to their testimony as presented at the 
proceeding.


Sec. 702.15  Witness fees.

    A witness attending any session of the Commission shall be paid the 
same fees and mileage that are paid witnesses in the courts of the 
United States. Mileage payments must be tendered at the witness' 
request upon service of a subpoena issued on behalf of the Commission 
or any subcommittee thereof.


Sec. 702.16  Attendance of news media at public sessions.

    Reasonable access for coverage of public sessions shall be provided 
to the various communications media, including newspapers, magazines, 
radio, newsreels, and television, subject to the physical limitations 
of the room in which the session is held and consideration of the 
physical comfort of Commission members, staff, and witnesses. However, 
no witnesses shall be televised, filmed, or photographed during the 
session nor shall the testimony of any witness be broadcast or recorded 
for broadcasting if the witness objects.


Sec. 702.17  Communications with respect to Commission proceedings.

    During any proceeding held outside Washington, DC, communications 
to the Commission with respect to such proceeding must be made to the 
Chairperson or authorized Commission staff personnel in attendance. All 
requests for subpoenas returnable at a hearing, requests for appearance 
of witnesses at a hearing, and statements or other documents for 
inclusion in the record of a proceeding, required to be submitted in 
advance, must be submitted to the Chairperson, or such authorized 
person as the Chairperson may appoint, at an office located in the 
community where such hearing or proceeding is scheduled to be held. The 
location of such office will be set forth in all subpoenas issued under 
the rules in this part and in all notices prepared pursuant to 
Sec. 706.2.


Sec. 702.18  Commission reports.

    (a) If a Commission report tends to defame, degrade, or incriminate 
any person, the report or relevant portions thereof shall be delivered 
to such person at least 30 days before the report is made public to 
allow such person to make a timely verified answer to the report. The 
Commission shall afford such person an opportunity to file with the 
Commission a verified answer to the report or relevant portions thereof 
not later than 20 days after service as provided by the regulations in 
this part.
    (1) Such person shall be served with a copy of the report or 
relevant portions

[[Page 17533]]

thereof, with an indication of the section(s) that the Commission has 
determined tend to defame, degrade, or incriminate such person, a copy 
of the Act, and a copy of the regulations in this part.
    (2) The report or relevant portions thereof, the Act, and 
regulations in this part shall be served by certified mail, return 
receipt requested, or by leaving a copy thereof at the last known 
residence or business address or the agent of such person.
    (3) The date of service for the purposes of this section shall be 
the day the material is delivered either by the post office or 
otherwise, to such person or the agent of such person or at the last 
known residence or business address of such person. The acknowledgement 
of the party served or the verified return of the one making service 
shall be proof of service except that when service is made by mail, the 
return post office receipt shall also constitute proof of same.
    (b) If a person receiving a Commission report or relevant portions 
thereof under this part requests an extension of time from the 
Commission within seven days of service of such report, the Commission 
may, upon a showing of good cause, grant the person additional time 
within which to file a verified answer.
    (c) A verified answer shall plainly and concisely state the facts 
and law constituting the person's reply or defense to the charges or 
allegations contained in the report.
    (d) Such verified answer shall be published as an appendix to the 
report; however, the Commission may except from the answer such matter 
as it determines to be scandalous, prejudicial, or unnecessary.

Subpart B--Meetings


Sec. 702.50  Purpose and scope.

    This subpart contains the regulations of the United States 
Commission on Civil Rights implementing sections (a)-(f) of 5 U.S.C. 
552b, the ``Government in the Sunshine Act.'' They are adopted to 
further the principle that the public is entitled to the fullest 
practicable information regarding the decision-making processes of the 
Commission. They open meetings of the Commission to public observation 
except where the rights of individuals are involved or the ability of 
the Commission to carry out its responsibilities requires 
confidentiality.


Sec. 702.51  Definitions.

    (a) Commission means the United States Commission on Civil Rights 
and any subcommittee of the Commission authorized under the United 
States Commission on Civil Rights Act of 1983, 97 Stat. 1301, as 
amended by the Civil Rights Commission Amendments Act of 1994, 108 
Stat. 4339. The statutes are codified in 42 U.S.C. 1975 through 1975d.
    (b) Commissioner means a member of the U.S. Commission on Civil 
Rights appointed by the President, the President pro tempore of the 
Senate, or the Speaker of the House of Representatives, as provided in 
42 U.S.C. 1975.
    (c) Meeting means the deliberations of at least the number of 
Commissioners required to take action on behalf of the Commission where 
such deliberations determine or result in the joint conduct or 
disposition of official Commission business.
    (1) The number of Commissioners required to take action on behalf 
of the Commission is four, except that such number is two when the 
Commissioners are a subcommittee of the Commission authorized under 42 
U.S.C. 1975a(e)(1).
    (2) Deliberations among Commissioners regarding the setting of the 
time, location, or subject matter of a meeting, whether the meeting is 
open or closed, whether to withhold information discussed at a closed 
meeting, and any other deliberations required or permitted by 5 U.S.C. 
552b (d) and (e) and Sec. 702.54 and Sec. 702.55 of this subpart, are 
not meetings for the purposes of this subpart.
    (3) The consideration by Commissioners of Commission business that 
is not discussed through conference calls or a series of two party 
calls by the number of Commissioners required to take action on behalf 
of the Commission is not a meeting for the purposes of this subpart.
    (d) Public announcement or publicly announce means the use of 
reasonable methods, such as the posting on the Commission's website or 
public notice bulletin boards and the issuing of press releases, to 
communicate information to the public regarding Commission meetings.
    (e) Staff Director means the Staff Director of the Commission.


Sec. 702.52  Open meeting requirements.

    (a) Every portion of every Commission meeting shall be open to 
public observation, except as provided in Sec. 702.53 of this subpart. 
Commissioners shall not jointly conduct or dispose of agency business 
other than in accordance with this subpart.
    (b) This subpart gives the public the right to attend and observe 
Commission open meetings; it confers no right to participate in any way 
in such meetings.
    (c) The Staff Director shall be responsible for making physical 
arrangements for Commission open meetings that provide ample space, 
sufficient visibility, and adequate acoustics for public observation.
    (d) The presiding Commissioner at an open meeting may exclude 
persons from a meeting and shall take all steps necessary to preserve 
order and decorum.


Sec. 702.53  Closed meetings.

    (a) The Commission may close a portion or portions of a meeting and 
withhold information pertaining to such meeting when it determines that 
the public interest does not require otherwise and when such portion or 
portions of a meeting or the disclosure of such information is likely 
to:
    (1) Disclose matters that are:
    (i) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interests of national defense 
or foreign policy and
    (ii) In fact properly classified pursuant to such Executive Order;
    (2) Disclose information relating solely to the internal personnel 
rules and practices of the Commission;
    (3) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552b), provided that such statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Disclose trade secrets and commercial or financial information 
obtained from a person and is privileged or confidential;
    (5) Involve accusing any person of a crime or formally censuring 
any person;
    (6) Disclose information of a personal nature where disclosure 
would constitute a clearly unwarranted invasion of personal privacy;
    (7) Disclose investigatory records compiled for law enforcement 
purposes, or information that if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source and, in the 
case of a record received by the Commission

[[Page 17534]]

from a criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, confidential information furnished only by 
the confidential source,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Disclose information received by the Commission and contained 
in or related to examination, operating, or condition reports prepared 
by, on behalf of, or for the use of an agency responsible for the 
regulation or supervision of financial institutions;
    (9) Disclose information the premature disclosure of that would:
    (i) In the case of information received by the Commission from an 
agency that regulates currencies, securities, commodities, or financial 
institutions, be likely to:
    (A) Lead to significant financial speculation in currencies, 
securities, or commodities, or
    (B) Significantly endanger the stability of any financial 
institution; or
    (ii) Be likely to significantly frustrate implementation of a 
proposed action, except that this paragraph shall not apply in any 
instance where the Commission has already disclosed to the public the 
content or nature of its proposed action or where the Commission is 
required by law to make such disclosure on its own initiative prior to 
taking final agency action on such proposal; or
    (10) Specifically concern the Commission's issuance of a subpoena 
or the Commission's participation in a civil action or proceeding, an 
action in a foreign court or international tribunal, or an arbitration.
    (b) [Reserved]


Sec. 702.54  Closed meeting procedures.

    (a) A meeting or portion thereof will be closed, and information 
pertaining to a closed meeting will be withheld, only after four 
Commissioners when no Commissioner's position is vacant, three 
Commissioners when there is a vacancy, or two Commissioners on a 
subcommittee authorized under 42 U.S.C. 1975a(e)(1), vote to take such 
action.
    (b)(1) A separate vote shall be taken with respect to each meeting, 
a portion or portions of which is proposed to be closed to the public 
under Sec. 702.53, and with respect to any information to be withheld 
under Sec. 702.53.
    (2) A single vote may be taken with respect to a series of 
meetings, a portion or portions of which are proposed to be closed to 
the public, or with respect to any information concerning such series 
of meetings, so long as:
    (i) Each meeting in such series involves the same particular 
matters, and
    (ii) Is scheduled to be held no more than thirty (30) days after 
the initial meeting in such series.
    (c) The Commission will vote on the question of closing a meeting 
or portion thereof and withholding information under paragraph (b) of 
this section if one Commissioner calls for such a vote. The vote of 
each Commissioner participating in a vote to close a meeting shall be 
recorded and no proxies shall be allowed.
    (1) If such vote is against closing a meeting and withholding 
information, the Staff Director, within one working day of such vote, 
shall make publicly available by putting in a place easily accessible 
to the public a written copy of such vote reflecting the vote of each 
Commissioner.
    (2) If such vote is for closing a meeting and withholding 
information, the Staff Director, within one working day of such vote, 
shall make publicly available by putting in a place easily accessible 
to the public a written copy of such vote reflecting the vote of each 
Commissioner, and:
    (i) A full written explanation of the decision to close the meeting 
or portions thereof (such explanation will be as detailed as possible 
without revealing the exempt information);
    (ii) A list of all persons other than staff members expected to 
attend the meeting and their affiliation (the identity of persons 
expected to attend such meeting will be withheld only if revealing 
their identity would reveal the exempt information that is the subject 
of the closed meeting).
    (d) Prior to any vote to close a meeting or portion thereof under 
paragraph (c) of this section, the Commissioners shall obtain from the 
General Counsel an opinion as to whether the closing of a meeting or 
portions thereof is in accordance with paragraphs (a)(1) through (10) 
of Sec. 702.53.
    (1) For every meeting closed in accordance with paragraphs (a)(1) 
through (10) of Sec. 702.53, the General Counsel shall publicly certify 
in writing that, in his or her opinion, the meeting may be closed to 
the public and shall cite each relevant exemptive provision.
    (2) A copy of certification by the General Counsel together with a 
statement from the presiding officer of the closed meeting setting 
forth the time and location of the meeting and the persons present, 
shall be retained by the Commission.
    (e) For all meetings closed to the public, the Commission shall 
maintain a complete verbatim transcript or electronic recording 
adequate to record fully the proceedings of each meeting or portion of 
a meeting, which sets forth the time and location of the meeting and 
the persons present. In the case of a meeting or a portion of a meeting 
closed to the public pursuant to paragraphs (a)(8), (9)(i)(A), or (10) 
of Sec. 702.53, the Commission may retain a set of minutes and such 
minutes shall fully and clearly describe all matters discussed and 
provide a full and accurate summary of any actions taken, and the 
reasons therefor, including a description of each of the views 
expressed on any item and the record of any roll call vote (reflecting 
the vote of each member on the question). All documents considered in 
connection with any action shall be identified in such minutes.
    (f) Any person whose interests may be directly affected by a 
portion of a meeting may request that such portion be closed to the 
public under Sec. 702.53 or that it be open to the public if the 
Commission has voted to close the meeting pursuant to 
Sec. 702.53(a)(5), (6) or (7). The Commission will vote on the request 
if one Commissioner asks that a vote be taken. Such requests shall be 
made to the Staff Director within a reasonable amount of time after the 
meeting or vote in question is publicly announced.


Sec. 702.55  Public announcement of meetings.

    (a) Agenda. The Staff Director shall set as early as possible but 
in any event at least eight calendar days before a meeting, the time, 
location, and subject matter for the meeting. Agenda items will be 
identified in adequate detail to inform the general public of the 
specific business to be discussed at the meeting.
    (b) Notice. The Staff Director, at least eight calendar days before 
a meeting, shall make public announcement of:
    (1) The time of the meeting;
    (2) Its location;
    (3) Its subject matter;
    (4) Whether it is open or closed to the public; and
    (5) The name and phone number of a Commission staff member who will 
respond to requests for information about the meeting.
    (c) Changes. (1) The time of day or location of a meeting may be 
changed following the public announcement required by paragraph (b) of 
this section, if the Staff Director publicly announces such change at 
the earliest practicable time subsequent to the decision to change the 
time of day or location of the meeting.

[[Page 17535]]

    (2) The date of a meeting may be changed following the public 
announcement required by paragraph (b) of this section, or a meeting 
may be scheduled less than eight calendar days in advance, if:
    (i) Four Commissioners when no Commissioner's position is vacant, 
three Commissioners when there is such a vacancy, or two Commissioners 
on a subcommittee authorized under 42 U.S.C. 1975a(d), determine by 
recorded vote that Commission business requires such a meeting at an 
earlier date; and
    (ii) The Staff Director, at the earliest practicable time following 
such vote, makes public announcement of the time, location, and subject 
matter of such meeting and whether it is open or closed to the public.
    (3) The subject matter of a meeting or the determination to open or 
close a meeting or a portion of a meeting to the public may be changed 
following the public announcement required by paragraph (b) of this 
section if:
    (i) Four Commissioners when no Commissioner's position is vacant, 
three Commissioners when there is such a vacancy, or two Commissioners 
on a subcommittee authorized under 42 U.S.C. 1975a(e)(1) determine by 
recorded vote that Commission business so requires; and
    (ii) The Staff Director publicly announces such change and the vote 
of each Commissioner upon such change at the earliest practicable time 
subsequent to the decision to make such change.
    (d)(1) Federal Register. Immediately following all public 
announcements required by paragraphs (b) and (c) of this section, 
notice of the time, location, and subject matter of a meeting, whether 
the meeting is open or closed to the public, any change in one of the 
preceding, and the name and phone number of the official designated by 
the Commission to respond to requests for information about meeting, 
shall be submitted for publication in the Federal Register.
    (2) Notice of a meeting will be published in the Federal Register 
even after the meeting that is the subject of the notice has occurred 
in order to provide a public record of all Commission meetings.


Sec. 702.56  Records.

    (a) The Commission shall promptly make available to the public in 
an easily accessible place at Commission headquarters the following 
materials:
    (1) A copy of the certification by the General Counsel required by 
Sec. 702.54(e)(1).
    (2) A copy of all recorded votes required to be taken by these 
rules.
    (3) A copy of all announcements published in the Federal Register 
pursuant to this subpart.
    (4) Transcripts, electronic recordings, and minutes of closed 
meetings determined not to contain items of discussion or information 
that may be withheld under Sec. 702.53. Copies of such material will be 
furnished to any person at the actual cost of transcription or 
duplication.
    (b)(1) Requests to review or obtain copies of records compiled 
under this Act, other than transcripts, electronic recordings, or 
minutes of a closed meeting, will be processed under the Freedom of 
Information Act and, where applicable, the Privacy Act regulations of 
the Commission (parts 704 and 705, respectively, of this title). 
Nothing in this subpart expands or limits the present rights of any 
person under the rules in this part with respect to such requests.
    (2) Requests to review or obtain copies of transcripts, electronic 
recordings, or minutes of a closed meeting maintained under 
Sec. 702.54(e) and not released under paragraph (a)(4) of this section 
shall be directed to the Staff Director who shall respond to such 
requests within ten (10) working days.
    (c) The Commission shall maintain a complete verbatim copy of the 
transcript, a complete copy of minutes, or a complete electronic 
recording of each meeting, or portion of a meeting, closed to the 
public, for a period of two years after such meeting or until one year 
after the conclusion of any agency proceeding with respect to which the 
meeting or portion was held, whichever occurs later.


Sec. 702.57  Administrative review.

    Any person who believes a Commission action governed by this 
subpart to be contrary to the provisions of this subpart shall file an 
objection in writing with the Staff Director specifying the violation 
and suggesting corrective action. Whenever possible, the Staff Director 
shall respond within ten (10) working days of the receipt of such 
objections.

PART 703--OPERATIONS AND FUNCTIONS OF STATE ADVISORY COMMITTEES

Sec.
703.1   Name and establishment.
703.2   Functions.
703.3   Scope of subject matter.
703.4   Advisory Committee Management Officer.
703.5   Membership.
703.6   Officers.
703.7   Subcommittees--Special assignments.
703.8   Meetings.
703.9   Reimbursement of members.
703.10   Public availability of documents and other materials.


Sec. 703.1  Name and establishment.

    Pursuant to 42 U.S.C. 1975a(d), the Commission has chartered and 
maintains Advisory Committees to the Commission in each State, and the 
District of Columbia. All relevant provisions of the Federal Advisory 
Committee Act of 1972 (Public Law 92-463, as amended) are applicable to 
the management, membership, and operations of such committees and 
subcommittees thereof.


Sec. 703.2  Functions.

    Under the Commission's charter each Advisory Committee shall:
    (a) Advise the Commission in writing of any knowledge or 
information it has of any alleged deprivation of the right to vote and 
to have the vote counted by reason of color, race, religion, sex, age, 
disability, or national origin, or that citizens are being accorded or 
denied the right to vote in Federal elections as a result of patterns 
or practices of fraud or discrimination;
    (b) Advise the Commission concerning matters related to 
discrimination or a denial of equal protection of the laws under the 
Constitution and the effect of the laws and policies of the Federal 
Government with respect to equal protection of the laws;
    (c) Advise the Commission upon matters of mutual concern in the 
preparation of reports of the Commission to the President and the 
Congress;
    (d) Receive reports, suggestions, and recommendations from 
individuals, public and private organizations, and public officials 
upon matters pertinent to inquiries conducted by the Advisory 
Committee;
    (e) Initiate and forward advice and recommendations to the 
Commission upon matters that the Advisory Committee has studied;
    (f) Assist the Commission in the exercise of its clearinghouse 
function and with respect to other matters that the Advisory Committee 
has studied;
    (g) Attend, as observers, any open hearing or conference that the 
Commission may hold within the State.


Sec. 703.3  Scope of subject matter.

    The scope of the subject matter to be dealt with by Advisory 
Committees shall be those subjects of inquiry or study with which the 
Commission itself is authorized to investigate, pursuant to

[[Page 17536]]

42 U.S.C. 1975(a). Each Advisory Committee shall confine its studies to 
the State covered by its charter. It may, however, subject to the 
requirements of Sec. 703.4, undertake to study, within the limitations 
of the Act, subjects other than those chosen by the Commission for 
study.


Sec. 703.4  Advisory Committee Management Officer.

    (a) The Chief of the Regional Programs Coordination Unit is 
designated as Advisory Committee Management Officer pursuant to the 
requirements of the Federal Advisory Committee Act of 1972 (Public Law 
92-463, as amended).
    (b) Such Officer shall carry out the functions specified in section 
8(b) of the Federal Advisory Committee Act.
    (c) Such Officer shall, for each Advisory Committee, appoint a 
Commission employee to provide services to the Committee and to be 
responsible for supervising the activity of the Committee pursuant to 
section 8 of the Federal Advisory Committee Act. The employee is 
subject to the supervision of the Regional Director of the Commission 
responsible for the State within which said Committee is chartered.


Sec. 703.5  Membership.

    (a) Subject to exceptions made from time to time by the Commission 
to fit special circumstances, each Advisory Committee shall consist of 
at least 11 members appointed by the Commission. Members of the 
Advisory Committees shall serve for a fixed term to be set by the 
Commission upon the appointment of a member subject to the duration of 
Advisory Committees as prescribed by the charter, provided that members 
of the Advisory Committee may, at any time, be removed by the 
Commission.
    (b) Membership on the Advisory Committee shall be reflective of the 
different ethnic, racial, and religious communities within each State 
and the membership shall also be representative with respect to sex, 
political affiliation, age, and disability status.


Sec. 703.6  Officers.

    (a) The officers of each Advisory Committee shall be a Chairperson, 
Vice Chairperson, and such other officers as may be deemed advisable.
    (b) The Chairperson shall be appointed by the Commission.
    (c) The Vice Chairperson and other officers shall be elected by the 
majority vote of the full membership of the Committee.
    (d) The Chairperson, or in his or her absence the Vice Chairperson, 
under the direction of the Commission staff member appointed pursuant 
to Sec. 703.4(b) shall:
    (1) Call meetings of the Committee;
    (2) Preside over meetings of the Committee;
    (3) Appoint all subcommittees of the Committee;
    (4) Certify for accuracy the minutes of Committee meetings prepared 
by the assigned Commission staff member; and
    (5) Perform such other functions as the Committee may authorize or 
the Commission may request.


Sec. 703.7  Subcommittees--Special assignments.

    Subject to the approval of the designated Commission employee, an 
Advisory Committee may:
    (a) Establish subcommittees, composed of members of the Committee, 
to study and report upon matters under consideration and authorize such 
subcommittees to take specific action within the competence of the 
Committee; and
    (b) Designate individual members of the Committee to perform 
special projects involving research or study on matters under 
consideration by the Committee.


Sec. 703.8  Meetings.

    (a) Meetings of a Committee shall be convened by the designated 
Commission employee or subject to his or her approval by the 
Chairperson or a majority of the Advisory Committee members. The agenda 
for such Committee or subcommittee meeting shall be approved by the 
designated Commission employee.
    (b) A quorum shall consist of one-half or more of the members of 
the Committee, or five members, whichever is the lesser, except that 
with respect to the conduct of fact-finding meetings as authorized in 
paragraph (e) of this section, a quorum shall consist of three members.
    (c) Notice of all meetings of an Advisory Committee shall be given 
to the public.
    (1) Notice shall be published in the Federal Register at least 15 
days prior to the meetings, provided that in emergencies such 
requirement may be waived.
    (2) Notice of meetings shall be provided to the public by press 
releases and other appropriate means.
    (3) Each notice shall contain a statement of the purpose of the 
meeting, a summary of the agenda, and the date, time, and location of 
such meeting.
    (d) Except as provided for in paragraph (d)(1) of this section, all 
meetings of Advisory Committees or subcommittees shall be open to the 
public.
    (1) The Chief of the Regional Programs Coordination Unit may 
authorize a Committee or subcommittee to hold a meeting closed to the 
public if he or she determines that the closing of such meeting is in 
the public interest provided that prior to authorizing the holding of a 
closed meeting the Chief of the Regional Programs Coordination Unit has 
requested and received the opinion of the General Counsel with respect 
to whether the meeting may be closed under one or more of the 
exemptions provided in the Government in the Sunshine Act, 5 U.S.C. 
552b(c).
    (2) In the event that any meeting or portion thereof is closed to 
the public, the Committee shall publish, at least annually, in summary 
form a report of the activities conducted in meetings not open to the 
public.
    (e) Advisory Committees and subcommittees may hold fact-finding 
meetings for the purpose of inviting the attendance of and soliciting 
information and views from government officials and private persons 
respecting subject matters within the jurisdiction of the Committee or 
subcommittee.
    (f) Any person may submit a written statement at any business or 
fact-finding meeting of an Advisory Committee or subcommittee.
    (g) At the discretion of the designated Commission employee or his 
or her designee, any person may make an oral presentation at any 
business or fact-finding meeting, provided that such presentation will 
not defame, degrade, or incriminate any other person as prohibited by 
the Act.


Sec. 703.9  Reimbursement of members.

    (a) Advisory Committee members may be reimbursed by the Commission 
by a per diem subsistence allowance and for travel expenses at rates 
not to exceed those prescribed by Congress for Government employees, 
for the following activities only:
    (1) Attendance at meetings, as provided for in Sec. 703.8; and
    (2) Any activity specifically requested and authorized by the 
Commission to be reimbursed.
    (b) Members will be reimbursed for the expense of travel by private 
automobile on a mileage basis only to the extent such expense is no 
more than that of suitable public transportation for the same trip 
unless special circumstances justify the additional expense of travel 
by private automobile.


Sec. 703.10  Public availability of documents and other materials.

    Part 704 of this chapter shall be applicable to reports, 
publications, and other materials prepared by or for Advisory 
Committees.

[[Page 17537]]

PART 704--INFORMATION DISCLOSURE AND COMMUNICATIONS

Sec.
704.1  Material available pursuant to 5 U.S.C. 552.
704.2  Complaints.
704.3  Other requests and communications.
704.4  Restrictions on disclosure of information.

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


Sec. 704.1  Material available pursuant to 5 U.S.C. 552.

    (a) Purpose, scope, and definitions. (1) This section contains the 
regulations of the United States Commission on Civil Rights 
implementing the Freedom of Information Act, 5 U.S.C. 552. These 
regulations inform the public with respect to where and how records and 
information may be obtained from the Commission. Officers and employees 
of the Commission shall make Commission records available under 5 
U.S.C. 552 only as prescribed in this section. Nothing contained in 
this section, however, shall be construed to prohibit officers or 
employees of the Commission from routinely furnishing information or 
records that are customarily furnished in the regular performance of 
their duties.
    (2) For the purposes of these regulations the following terms are 
defined as indicated:
    Commission means the United States Commission on Civil Rights;
    FOIA means Freedom of Information Act, 5 U.S.C. 552;
    FOIA Request means a request in writing, for records pursuant to 5 
U.S.C. 552, which meets the requirements of paragraph (d) of this 
section. These regulations do not apply to telephone or other oral 
communications or requests not complying with paragraph (d)(1)(i) of 
this section.
    Office of the General Counsel means the General Counsel of the 
Commission or his or her designee;
    Staff Director means the Staff Director of the Commission.
    (b) General policy. In order to foster the maximum participation of 
an informed public in the affairs of Government, the Commission will 
make the fullest possible disclosure of its identifiable records and 
information consistent with such considerations as those provided in 
the exemptions of 5 U.S.C. 552 that are set forth in paragraph (f) of 
this section.
    (c) Material maintained on file pursuant to 5 U.S.C. 552(a)(2). 
Material maintained on file pursuant to 5 U.S.C. 552(a)(2) shall be 
available for inspection during regular business hours at the offices 
of the Commission at 624 9th Street, NW., Washington, DC 20425. Copies 
of such material shall be available upon written request, specifying 
the material desired, addressed to the Office of the General Counsel, 
U.S. Commission on Civil Rights, 624 9th Street, NW., Washington, DC 
20425, and upon the payment of fees, if any, determined in accordance 
with paragraph (e) of this section.
    (1) Current index. Included in the material available pursuant to 5 
U.S.C. 552(a)(2) shall be an index of:
    (i) All other material maintained on file pursuant to 5 U.S.C. 
552(a)(2); and
    (ii) All material published by the Commission in the Federal 
Register and currently in effect.
    (2) Deletion of identifying details. Wherever deletions from 
material maintained on file pursuant to 5 U.S.C. 552(a)(2) are required 
in order to prevent a clearly unwarranted invasion of privacy, 
justification for the deletions shall be placed as a preamble to 
documents from which such deletions are made.
    (d) Materials available pursuant to 5 U.S.C. 552(a)(3)--(1) Request 
procedures. (i) Each request for records pursuant to this section shall 
be in writing over the signature of the requester, addressed to the 
Office of the General Counsel, U.S. Commission on Civil Rights, 624 9th 
Street, NW., Washington, DC 20425 and:
    (A) Shall clearly and prominently be identified as a request for 
information under the Freedom of Information Act (if submitted by mail 
or otherwise submitted in an envelope or other cover, be clearly and 
prominently identified as such on the envelope or other cover--e.g., 
FOIA); and
    (B) Shall contain a sufficiently specific description of the record 
requested with respect to names, dates, and subject matter to permit 
such record to be identified and located; and
    (C) Shall contain a statement that whatever costs involved pursuant 
to paragraph (e) of this section will be paid, that such costs will be 
paid up to a specified amount, or that waiver or reduction of fees is 
requested pursuant to paragraph (e) of this section.
    (ii) If the information submitted pursuant to paragraph 
(d)(1)(i)(B) of this section is insufficient to enable identification 
and location of the records, the General Counsel shall as soon as 
possible notify the requester in writing indicating the additional 
information needed. Every reasonable effort shall be made to assist in 
the identification and location of the record sought. Time requirements 
under the regulations in this part are tolled from the date 
notification under this section is sent to the requester until an 
answer in writing to such notification is received from requester.
    (iii) A request for records that is not in writing or does not 
comply with paragraph (d)(1)(i) of this section is not a request under 
the Freedom of Information Act and the 10 day time limit for agency 
response under the Act will not be deemed applicable.
    (iv) Except as otherwise provided in this section, the General 
Counsel shall immediately notify the requester of noncompliance with 
paragraphs (d)(1)(i)(C) and (e) of this section.
    (2) Agency determinations. (i) Responses to all requests pursuant 
to 5 U.S.C. 552(a)(3) shall be made by the General Counsel in writing 
to the requester within 10 working days after receipt by the General 
Counsel of such request except as specifically exempted under 
paragraphs (d)(1) (ii), (iii) and (iv) of this section, and shall 
state:
    (A) Whether and to what extent the Commission will comply with the 
request;
    (B) The probable availability of the records or that the records 
may be furnished with deletions or that records will be denied as 
exempt pursuant to 5 U.S.C. 552(b)(1) through (9);
    (C) The estimated costs, determined in accordance with paragraph 
(e) of this section, including waiver or reduction of fee as 
appropriate and any deposit or prepayment requirement; and
    (D) When records are to be provided, the time and place at which 
records or copies will be available determined in accordance with the 
terms of the request and with paragraph (d)(3) of this section. Such 
response shall be termed a determination notice.
    (ii) In the case of denial of requests in whole or part the 
determination notice shall state:
    (A) Specifically what records are being denied;
    (B) The reasons for such denials;
    (C) The specific statutory exemption(s) upon which such denial is 
based;
    (D) The names and titles or positions of every person responsible 
for the denial of such request; and
    (E) The right of appeal to the Staff Director of the Commission and 
procedures for such appeal as provided under paragraph (g) of this 
section.
    (iii) Each request received by the Office of the General Counsel 
for records pursuant to the regulations in this part shall be recorded 
immediately. The record of each request shall be kept current, stating 
the date and time the request is received, the name and address of the 
person making the request, any amendments to such

[[Page 17538]]

request, the nature of the records requested, the action taken 
regarding the request, including waiver of fees, extensions of time 
pursuant to 5 U.S.C. 552(a)(6)(B), and appeals. The date and subject of 
any letters pursuant to paragraph (d)(1) of this section or agency 
determinations pursuant to paragraph (d)(2)(i) of this section, the 
date(s) any records are subsequently furnished, and the payment 
requested and received.
    (3) Time limitations. (i) Time limitations for agency response to a 
request for records established by the regulations in this part shall 
begin when the request is recorded pursuant to paragraph (d)(2)(iii) of 
this section. A written request pursuant to FOIA but sent to an office 
of the Commission other than the Office of the General Counsel shall be 
date stamped, initialed, and redirected immediately to the Office of 
the General Counsel. The required period for agency determination shall 
begin when it is received by the Office of the General Counsel in 
accordance with paragraph (d)(2)(iii) of this section.
    (ii) In unusual circumstances, pursuant to 5 U.S.C. 552(a)(6)(B), 
the General Counsel may, in the case of initial determinations under 
the regulations in this part, extend the 10 working day time limit in 
which the agency is required to make its determination notification. 
Such extension shall be communicated in writing to the requesting party 
setting forth with particularity the reasons for such extension and the 
date on which a determination is expected to be transmitted. Such 
extensions may not exceed 10 working days for any request and may only 
be used to the extent necessary to properly process a particular 
request. Such extension is permissible only where there is a 
demonstrated need:
    (A) To search for and collect the requested records from field 
facilities or other establishments that are separate from the Office of 
the General Counsel;
    (B) To search for, collect, and appropriately examine a voluminous 
amount of separate and distinct records that are demanded in a single 
request; or
    (C) For consultation, which shall be conducted with all practicable 
speed, with another agency having a substantial interest in the 
determination of the request or among two or more components of the 
same agency having substantial subject matter interest therein.
    (e) Fees-- (1) Definitions. The following definitions apply to the 
terms when used in this section:
    (i) Direct costs means those expenditures that the Commission 
actually incurs in searching for and duplicating (and in the case of 
commercial requesters, reviewing) documents to respond to a request 
made under paragraph (d) of this section. Direct costs include, for 
example, the salary of the employee(s) performing the work (the basic 
rate of pay for the employee(s) plus 16 percent of that rate to cover 
benefits) and the cost of operating duplicating machinery. Not included 
in direct costs are overhead expenses such as costs of space and 
heating or lighting the facility in which the records are stored.
    (ii) Search means all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification within documents. However, an entire document will be 
duplicated if this would prove to be a more efficient and less 
expensive method of complying with a request than a more detailed 
manner of searching. Search is distinguished from review of material in 
order to determine whether the material is exempt from disclosure.
    (iii) Duplication means the process of making a copy of a document 
necessary to respond to a request for disclosure of records. Such 
copies can take the form of paper or machine readable documentation 
(e.g., magnetic tape or disk), among others.
    (iv) Review means the process of examining documents located in 
response to an information request to determine whether any portion of 
any document is permitted to be withheld. It also includes processing 
any documents for disclosure, e.g., doing all that is necessary to 
prepare them for release. Review does not include time spent resolving 
general legal or policy issues regarding the application of exemptions.
    (v) Commercial use request means a request from or on behalf of one 
who seeks information for a use or purpose that furthers the 
commercial, trade, or profit interests of the requester or the person 
on whose behalf the request is made. In deciding whether a requester 
properly belongs in this category, the General Counsel will determine 
the use to which a requester will put the documents requested. When the 
General Counsel has reasonable cause to doubt such intended use, or 
where such use is not clear from the request itself, the General 
Counsel will seek additional clarification before assigning the request 
to a specific category.
    (vi) Educational institution means a school, an institution of 
higher education, an institution of professional education, or an 
institution of vocational education that operates a program or programs 
of scholarly research.
    (vii) Noncommercial scientific institution means an institution 
that is not operated on a commercial basis 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.
    (viii) Representative of the news media means any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that 
is about current events or that would be of current interest to the 
public. News media entities include television or radio stations 
broadcasting to the public at large, and publishers of periodicals (but 
only in those instances when they can qualify as disseminators of news) 
who make their products available for purchase or subscription by the 
general public. Freelance journalists may be regarded as working for a 
news organization if they can demonstrate a solid basis for expecting 
publication through that organization, even though not actually 
employed by it.
    (2) Costs to be included in fees. The direct costs included in fees 
will vary according to the following categories of requests:
    (i) Commercial use requests. Fees will include the Commission's 
direct costs for searching for, reviewing, and duplicating the 
requested records.
    (ii) Educational and noncommercial scientific institution requests. 
The Commission will provide documents to requesters in this category 
for the cost of duplication alone, excluding charges for the first 100 
pages. To be eligible for inclusion in this category, requesters must 
show that the request is being made under the auspices of a qualifying 
institution and that the records are sought in furtherance of scholarly 
(if the request is from an educational institution) or scientific (if 
the request is from a noncommercial scientific institution) research.
    (iii) Requests from representatives of the news media. The 
Commission will provide documents to requesters in this category for 
the cost of duplication alone, excluding charges for the first 100 
pages. To be eligible for inclusion in this category a requester must 
meet the criteria in paragraph (e)(1)(viii) of this section.
    (iv) All other requests. The Commission will charge requesters who 
do not fit into any of the categories in paragraphs (e)(2)(i) through 
(iii) of this

[[Page 17539]]

section fees that cover the direct costs of searching for and 
duplicating records that are responsive to the requests, except for the 
first two hours of search time and the first 100 pages duplicated. 
However, requests from persons for records about themselves will 
continue to be treated under the fee provisions of the Privacy Act of 
1974 and Sec. 705.10 of this chapter.
    (3) Fee calculation. Fees will be calculated as follows:
    (i) Manual search. At the salary rate (basic pay plus 16 percent) 
of the employee(s) making the search.
    (ii) Computer search. At the actual direct cost of providing the 
search, including computer search time directly attributable to search 
for records responsive to the request, runs, and operator salary 
apportionable to the search.
    (iii) Review (commercial use requests only). At the salary rate 
(basic pay plus 16 percent) of the employee(s) conducting the review. 
Only the review necessary at the initial administrative level to 
determine the applicability of any exemption, and not review at the 
administrative appeal level, will be included in the fee.
    (iv) Duplication. At 20 cents per page for paper copy. For copies 
of records prepared by computer (such as tapes or printouts), the 
actual cost of production, including operator time, will be charged.
    (v) Additional services; certification. Express mail and other 
additional services that may be arranged by the requester will be 
charged at actual cost. The fee for certification or authentication of 
copies shall be $3.00 per document.
    (vi) Assessment of interest. The Commission may begin assessing 
interest charges on the 31st day following the day the fee bill is 
sent. Interest will be at the rate prescribed in 31 U.S.C. 3717 and 
will accrue from the date of billing.
    (vii) No fee shall be charged if the total billable cost calculated 
under paragraphs (e)(2) and (3) of this section is less than $10.00.
    (4) Waiver or reduction of fees. (i) Documents will be furnished 
without charge, or at a reduced charge, where disclosure of the 
information is in the public interest because it is likely to 
contribute significantly to public understanding of the operations or 
activities of the government and is not primarily in the commercial 
interest of the requester.
    (ii) Whenever a waiver or reduction of fees is granted, only one 
copy of the record will be furnished.
    (iii) The decision of the General Counsel on any fee waiver or 
reduction request shall be final and unappealable.
    (5) Payment procedures--(i) Fee payment. Payment of fees shall be 
made by cash (if delivered in person), check, or money order payable to 
the United States Commission on Civil Rights.
    (ii) Notification of fees. No work shall be done that will result 
in fees in excess of $25.00 without written authorization from the 
requester. Where it is anticipated that fees will exceed $25.00, and 
the requester has not indicated in advance a willingness to pay fees as 
high as are anticipated, the requester will be notified of the amount 
of the projected fees. The notification shall offer the requester an 
opportunity to confer with the General Counsel in an attempt to 
reformulate the request so as to meet the requester's needs at a lower 
cost. The administrative time limits prescribed in 5 U.S.C. 552(a)(6) 
will not begin until after the requester agrees in writing to accept 
the prospective charges.
    (6) Advance payment of fees. When fees are projected to exceed 
$250.00, the requester may be required to make an advance payment of 
all or part of the fee before the request is processed. If a requester 
has previously failed to pay a fee in a timely fashion (i.e., within 30 
days of the billing date), the requester will be required to pay the 
full amount owed plus any applicable interest, and to make an advance 
payment of the full amount of the estimated fee before a new or pending 
request is processed from that requester. The administrative time 
limits prescribed in 5 U.S.C. 552(a)(6) will not begin until after the 
requester has complied with this provision.
    (7) Other provisions--(i) Charges for unsuccessful search. Charges 
may be assessed for time spent searching for requested records, even if 
the search fails to locate responsive records or the records are 
determined, after review, to be exempt from disclosure.
    (ii) Aggregating requests to avoid fees. Multiple requests shall be 
aggregated when the General Counsel reasonably determines that a 
requester or group of requesters is attempting to break down a request 
into a series of requests to evade fees.
    (iii) Debt Collection Improvement Act of 1996. The Debt Collection 
Improvement Act of 1996 (Public Law 104-134), including disclosure to 
consumer reporting agencies and use of collection agencies, will be 
used to encourage payment where appropriate.
    (f) Exemptions (5 U.S.C. 552(b))--(1) General. The Commission may 
exempt from disclosure matters that are:
    (i)(A) Specifically authorized under criteria established by an 
Executive Order to be kept secret in the interest of national defense 
or foreign policy and
    (B) Are in fact properly classified pursuant to such Executive 
Order.
    (ii) Related solely to the internal personnel rules and practices 
of an agency;
    (iii) Specifically exempted from disclosure by statute;
    (iv) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (v) Interagency or intra-agency memoranda or letters that would not 
be available by law to a party other than an agency in litigation with 
the agency;
    (vi) Personnel and medical files and similar files the disclosure 
of which would constitute a clearly unwarranted invasion of personal 
privacy;
    (vii) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (A) Could reasonably be expected to interfere with enforcement 
proceedings;
    (B) Could deprive a person of a right to a fair trial or an 
impartial adjudication;
    (C) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (D) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution that furnished information on a 
confidential basis;
    (E) Could disclose techniques and procedures for all enforcement 
investigations or prosecutions, or could disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (F) Could reasonably be expected to endanger the life or physical 
safety of any individual;
    (viii) Contained in or related to examination, operating, or 
condition reports prepared by, on behalf of, or for the use of an 
agency responsible for the regulation or supervision of financial 
institutions; and
    (ix) Geological and geophysical information and data, including 
maps, concerning wells.
    (2) Investigatory records or information. (5 U.S.C. 552(b)(7)).
    (i) Among the documents exempt from disclosure pursuant to 
paragraph (f)(1)(vii) of this section shall be records or information 
reflecting investigations that either are conducted for the purpose of 
determining whether a violation(s) of legal right has taken place, or 
have disclosed that a

[[Page 17540]]

violation(s) of legal right has taken place, but only to the extent 
that production of such records or information would fall within the 
classifications established in paragraphs (f)(1)(vii)(B) through (F) of 
this section.
    (ii) Among the documents exempt from disclosure under 
paragraphs(f)(1)(vii)(D) and (f)(2)(i) of this section concerning 
confidential sources shall be documents that disclose the fact or the 
substance of a communication made to the Commission in confidence 
relating to an allegation or support of an allegation of wrongdoing by 
certain persons. It is sufficient under this section to indicate the 
confidentiality of the source if the substance of the communication or 
the circumstances of the communication indicate that investigative 
effectiveness could reasonably be expected to be inhibited by 
disclosure.
    (iii) Whenever a request is made that involves access to records 
described in paragraph (f)(1)(vii)(A) of this section and the 
investigation or proceeding involves a possible violation of criminal 
law and there is reason to believe that the subject of the 
investigation or proceeding is not aware of its pendency and disclosure 
of the existence of the records could reasonably be expected to 
interfere with enforcement proceedings, the Commission may, during only 
such time as that circumstance continues, treat the records as not 
subject to the requirements of 5 U.S.C. 552 and this section.
    (3) Any reasonably segregable portion of a record shall be provided 
to any person requesting such record after deletion of the portions 
that are exempt under this section.
    (g) Administrative appeals. (1) These procedures apply whenever a 
requester is denied records under paragraph (d)(2)(i) of this section.
    (2) Parties may appeal decisions under paragraph (d)(2)(i) of this 
section within 90 days of the date of such decision by filing a written 
request for review addressed to the Staff Director, U.S. Commission on 
Civil Rights, 624 9th Street, NW., Washington, DC 20425, by certified 
mail, including a copy of the written denial, and may include a 
statement of the circumstances, reasons or arguments advanced in 
support of disclosure. Review will be made by the Staff Director on the 
basis of the written record.
    (3) The decision on review of any appeal filed under this section 
shall be in writing over the signature of the Staff Director will be 
promptly communicated to the person requesting review and will 
constitute the final action of the Commission.
    (4) Determinations of appeals filed under this section shall be 
made within 20 working days after the receipt of such appeal. If, on 
appeal, denial of records is in whole or part upheld, the Staff 
Director shall notify the persons making such request of the provisions 
for judicial review of that determination under 5 U.S.C. 552(a)(6).
    (5) An extension of time may be granted under this section pursuant 
to criteria established in paragraph (d)(3)(ii) (A) through (C) of this 
section, except that such extension together with any extension, which 
may have been granted pursuant to paragraph (d)(3)(ii) of this section, 
may not exceed a total of 10 working days.


Sec. 704.2  Complaints.

    Any person may bring to the attention of the Commission a grievance 
that he or she believes falls within the jurisdiction of the 
Commission, as set forth in section 3 of the Act. This shall be done by 
submitting a complaint in writing to the Office of Civil Rights 
Evaluation, U.S. Commission on Civil Rights, 9th Street, NW., 
Washington, DC 20425. Allegations falling under section 3(a)(1) of the 
Act must be under oath or affirmation. All complaints should set forth 
the pertinent facts upon which the complaint is based, including but 
not limited to specification of:
    (a) Names and titles of officials or other persons involved in acts 
forming the basis for the complaint;
    (b) Accurate designations of place locations involved;
    (c) Dates of events described in the complaint.


Sec. 704.3  Other requests and communications.

    Requests for information should be addressed to the Public Affairs 
Unit and requests for Commission literature should be directed to 
National Clearinghouse Library, U.S. Commission on Civil Rights, 624 
9th Street, NW., Washington DC 20425. Communications with respect to 
Commission proceedings should be made pursuant to Sec. 702.17 of this 
chapter. All other communications should be directed to Office of Staff 
Director, U.S. Commission on Civil Rights, 624 9th Street, Washington, 
DC 20425.


Sec. 704.4  Restrictions on disclosure of information.

    (a) By the provisions of the Act, no evidence or testimony or 
summary of evidence or testimony taken in executive session may be 
released or used in public sessions without the consent of the 
Commission, and any person who releases or uses in public without the 
consent of the Commission such evidence or testimony taken in executive 
session shall be fined not more than $1,000 or imprisoned for not more 
than 1 year.
    (b) Unless a matter of public record, all information or documents 
obtained or prepared by any Commissioner, officer, or employee of the 
Commission, including members of Advisory Committees, in the course of 
his or official duties, or by virtue of his or her official status, 
shall not be disclosed or used by such person for any purpose except in 
the performance of his or her official duties.
    (c) Any Commissioner, officer, or employee of the Commission, 
including members of Advisory Committees, who is served with a 
subpoena, order, or other demand requiring the disclosure of such 
information or the production of such documents shall appear in 
response to such subpoena, order, or other demand and, unless otherwise 
directed by the Commission, shall respectfully decline to disclose the 
information or produce the documents called for, basing his or her 
refusal upon this section. Any such person who is served with such a 
subpoena, order, or other demand shall promptly advise the Commission 
of the service of such subpoena, order, or other demand, the nature of 
the information or documents sought, and any circumstances that may 
bear upon the desirability of making available such information or 
documents.

PART 705--MATERIALS AVAILABLE PURSUANT TO 5 U.S.C. 552a

Sec.
705.1   Purpose and scope.
705.2   Definitions.
705.3   Procedures for requests pertaining to individual records in 
a system of records.
705.4   Times, places, and requirements for identification of 
individuals making requests and identification of records requested.
705.5   Disclosure of requested information to individuals.
705.6   Request for correction or amendment to record.
705.7   Agency review of request for correction or amendment of the 
record.
705.8   Appeal of an initial adverse agency determination.
705.9   Disclosure of records to a person other than the individual 
to whom the record pertains.
705.10   Fees.
705.11   Penalties.
705.12   Special procedures: Information furnished by other 
agencies.
705.13   Exemptions.
705.95   Accounting of the disclosures of records.

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

[[Page 17541]]

Sec. 705.1  Purpose and scope.

    (a) The purpose of this part is to set forth rules to inform the 
public regarding information maintained by the United States Commission 
on Civil Rights about identifiable individuals and to inform those 
individuals how they may gain access to and correct or amend 
information about themselves.
    (b) The rules in this part carry out the requirements of the 
Privacy Act of 1974 (Public Law 93-579) and in particular 5 U.S.C. 552a 
as added by that Act.
    (c) The rules in this part apply only to records disclosed or 
requested under the Privacy Act of 1974, and not to requests for 
information made pursuant to the Freedom of Information Act, 5 U.S.C. 
552.


Sec. 705.2  Definitions.

    For the purpose of this part:
    (a) Commission and agency mean the U.S. Commission on Civil Rights;
    (b) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (c) Maintain includes maintain, collect, use, or disseminate;
    (d) Record means any item, collection, or grouping of information 
about an individual that is maintained by the Commission, including, 
but not limited to, his or her education, financial transactions, 
medical history, and criminal or employment history and that contains 
his or her name, or the identifying number, symbol, or other 
identifying particular assigned to the individual;
    (e) System record means a group of any records under the control of 
the Commission from which information may be retrieved by the name of 
the individual or by some identifying number, symbol, or other 
identifying particular assigned to that individual;
    (f) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided in 13 U.S.C. 8; and
    (g) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose that is compatible with the 
purpose for which it was collected.
    (h) Confidential source means a source who furnished information to 
the Government under an express promise that the identity of the source 
would remain confidential, or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence.
    (i) Act means the Privacy Act of 1974, Public Law 93-579.


Sec. 705.3  Procedures for requests pertaining to individual records in 
a system of records.

    (a) An individual seeking notification of whether a system of 
records contains a record pertaining to him or her or an individual 
seeking access to information or records pertaining to him or her, that 
are available under the Privacy Act of 1974, shall present his or her 
request in person or in writing to the General Counsel of the 
Commission.
    (b) In addition to meeting the requirements set forth in 
Sec. 705.4(c) or (d), any person who requests information under the 
regulations in this part shall provide a reasonably specific 
description of the information sought so that it may be located without 
undue search or inquiry. If possible, that description should include 
the nature of the records sought, the approximate dates covered by the 
record, and, if known by the requester, the system in which the record 
is thought to be included. Requested information that is not identified 
by a reasonably specific description is not an identifiable record, and 
the request for that information cannot be treated as a formal request.
    (c) If the description is insufficient, the agency will notify the 
requester and, to the extent possible, indicate the additional 
information required. Every reasonable effort shall be made to assist a 
requester in the identification and location of the record or records 
sought.


Sec. 705.4  Times, places, and requirements for identification of 
individuals making requests and identification of records requested.

    (a) The General Counsel is the designated Privacy Act Officer for 
the Commission.
    (b) An individual making a request to the General Counsel in person 
may do so at the Commission's headquarters office, 624 9th Street, 
N.W., Washington, D.C. 20425, on any business day during business 
hours. Persons may also appear for purposes of identification only, at 
any of the regional offices of the Commission on any business day 
during business hours. Regional offices are located as follows:

Region I: Eastern Regional Office, Washington, DC

    Connecticut, Delaware, District of Columbia, Maine, Maryland, 
Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, 
Rhode Island, Vermont, Virginia, and West Virginia.

Region II: Southern Regional Office, Atlanta, Georgia.

    Florida, Georgia, Kentucky, North Carolina, South Carolina, and 
Tennessee.

Region III: Midwestern Regional Office, Chicago, Illinois

    Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin.

Region IV: Central Regional Office, Kansas City, Kansas

    Alabama, Arkansas, Iowa, Kansas, Louisiana, Mississippi, 
Missouri, Nebraska, and Oklahoma.

Region V: Rocky Mountain Regional Office, Denver, Colorado Colorado, 
Montana, New Mexico, North Dakota, South Dakota, Utah, and Wyoming.

Region VI: Western Regional Office, Los Angeles, California

    Alaska, Arizona, California, Hawaii, Idaho, Nevada, Oregon, 
Texas, and Washington.

    (c) An individual seeking access to records in person may establish 
his or her identity by the presentation of one document bearing a 
photograph (such as a driver's license, passport, or identification 
card or badge) or by the presentation of two items of identification 
that do not bear a photograph, but do bear both a name and address 
(such as a credit card). When identification is made without 
photographic identification, the Commission will request a signature 
comparison to the signature appearing on the items offered for 
identification, whenever possible and practical.
    (d) An individual seeking access to records by mail shall establish 
his or her identity by a signature, address, date of birth, and one 
other identification, such as a copy of a driver's license, passport, 
identification card or badge, credit card, or other document. The words 
Privacy Act Request should be placed in capital letters on the face of 
the envelope in order to facilitate requests by mail.
    (e) An individual seeking access in person or by mail who cannot 
provide the required documentation of identification may provide a 
notarized statement, swearing or affirming to his or her identity and 
to the fact that he or she understands that there are criminal 
penalties for the making of false statements.
    (f) The parent or guardian of a minor or a person judicially 
determined to be incompetent, in addition to establishing the identity 
of the minor or incompetent person he or she represents as required by 
paragraphs (a) through (c) of this section, shall establish his or her 
own parentage or guardianship by furnishing a copy of a birth 
certificate showing parentage or court order establishing guardianship.
    (g) An individual seeking to review information about himself or 
herself may be accompanied by another person of his or her own 
choosing. In all such cases, the individual seeking access

[[Page 17542]]

shall be required to furnish a written statement authorizing the 
discussion of his or her record in the presence of the accompanying 
person.


Sec. 705.5  Disclosure of requested information to individuals.

    The General Counsel, or one or more assistants designated by him or 
her, upon receiving a request for notification of the existence of a 
record or for access to a record shall:
    (a) Determine whether such record exists;
    (b) Determine whether access is available under the Privacy Act;
    (c) Notify the requesting person of those determinations within 10 
(ten) working days (excluding Saturdays, Sundays, and legal public 
holidays); and
    (d) Provide access to information pertaining to that person that 
has been determined to be available.


Sec. 705.6  Request for correction or amendment to record.

    (a) Any individual who has reviewed a record pertaining to him or 
her that was furnished to him or her under this part may request the 
agency to correct or amend all or part of that record.
    (b) Each individual requesting a correction or amendment shall send 
the request to the General Counsel.
    (c) Each request for a correction or amendment of a record shall 
contain the following information:
    (1) The name of the individual requesting the correction or 
amendment.
    (2) The name of the system of records in which the record sought to 
be amended is maintained.
    (3) The location of the record system from which the record was 
obtained.
    (4) A copy of the record sought to be amended or a description of 
that record.
    (5) A statement of the material in the record that should be 
corrected or amended.
    (6) A statement of the specific wording of the correction or 
amendment sought.
    (7) A statement of the basis for the requested correction or 
amendment, including any material that the individual can furnish to 
substantiate the reasons for the amendment sought.


Sec. 705.7  Agency review of request for correction or amendment of the 
record.

    Within ten (10) working days (excluding Saturdays, Sundays and 
legal public holidays) of the receipt of the request for the correction 
or amendment of a record, the General Counsel shall acknowledge receipt 
of the request and inform the individual that his or her request has 
been received and inform the individual whether further information is 
required before the correction or amendment can be considered. Further, 
the General Counsel shall promptly and, under normal circumstances, not 
later than thirty (30) working days after receipt of the request, make 
the requested correction or amendment or notify the individual of his 
or her refusal to do so, including in the notification the reasons for 
the refusal and the procedures established by the Commission by which 
the individual may initiate a review of that refusal. In the event of 
correction or amendment, an individual shall be provided with one copy 
of each record or portion thereof corrected or amended pursuant to his 
or her request without charge as evidence of the correction or 
amendment. The Commission shall also provide to all prior recipients of 
such a record, the corrected or amended information to the extent that 
it is relevant to the information previously furnished to a recipient 
pursuant to the Privacy Act.


Sec. 705.8  Appeal of an initial adverse agency determination.

    (a) Any individual whose request for access or for a correction or 
amendment that has been denied, in whole or in part, by the General 
Counsel may appeal that decision to the Staff Director of the 
Commission, 624 9th Street, NW., Washington, DC 20425, or to a designee 
of the Staff Director.
    (b) The appeal shall be in writing and shall:
    (1) Name the individual making the appeal;
    (2) Identify the record sought to be amended or corrected;
    (3) Name the record system in which that record is contained;
    (4) Contain a short statement describing the amendment or 
correction sought; and
    (5) State the name of the person who initially denied the 
correction or amendment.
    (c) Not later than thirty (30) working days (excluding Saturdays, 
Sundays, and legal public holidays) after the date on which the agency 
received the appeal, the Staff Director shall complete his or her 
review of the appeal and make a final decision thereon, unless, for 
good cause shown, the Staff Director extends the appeal period beyond 
the initial thirty (30) day appeal period. In the event of such an 
extension, the Staff Director shall promptly notify the individual 
making the appeal that the period for a final decision has been 
extended.
    (d) After review of an appeal request, the Staff Director will send 
a written notice to the requester containing the following information:
    (1) The decision; and if the denial is upheld, the reasons for the 
decision;
    (2) The right of the requester to institute a civil action in a 
Federal District Court for judicial review of the decision if the 
appeal is denied; and
    (3) The right of the requester to file with the Commission a 
concise statement setting forth the reasons for his or her disagreement 
with the Commission's decision denying the request. The Commission 
shall make this statement available to any person to whom the record is 
later disclosed together with a brief statement, if the Commission 
considers it appropriate, of the agency's reasons for denying the 
requested correction or amendment. These statements shall also be 
provided to all prior recipients of the record to the extent that it is 
relevant to the information previously furnished to a recipient 
pursuant to the Privacy Act.


Sec. 705.9  Disclosure of records to a person other than the individual 
to whom the record pertains.

    (a) Any individual who desires to have his or her record disclosed 
to or mailed to a third person may authorize that person to act as his 
or her agent for that specific purpose. The authorization shall be in 
writing, signed by the individual, and notarized. The agent shall also 
submit proof of his or her own identity as provided in Sec. 705.4.
    (b) The parent of any minor individual or the legal guardian of any 
individual who has been declared by a court to be incompetent, due to 
physical or mental incapacity, may act on behalf of that individual in 
any matter covered by this part. A parent or guardian who desires to 
act on behalf of such an individual shall present suitable evidence of 
parentage or guardianship by birth certificate, copy of a court order 
or similar documents, and proof of the individual's identity as 
provided in Sec. 705.4.
    (c) An individual to whom a record is to be disclosed, in person, 
pursuant to this part may have a person of his or her own choosing 
accompany the individual when the record is disclosed.


Sec. 705.10  Fees.

    If an individual requests copies of his or her records the charge 
shall be three (3) cents per page; however, the Commission shall not 
charge for copies furnished to an individual as a necessary part of the 
process of disclosing the record to an individual. Fees may be waived 
or reduced in accordance with Sec. 704.1(e) of this chapter because of 
indigency, where the

[[Page 17543]]

cost is nominal, when it is in the public interest not to charge, or 
when waiver would not constitute an unreasonable expense to the 
Commission.


Sec. 705.11  Penalties.

    Any person who makes a false statement in connection with any 
request for a record, or in any request for an amendment to a record 
under this part, is subject to the penalties prescribed in 18 U.S.C. 
494 and 495.


Sec. 705.12  Special procedures: Information furnished by other 
agencies.

    When records or information sought from the Commission include 
information furnished by other Federal agencies, the General Counsel 
shall consult with the appropriate agency prior to making a decision to 
disclose or to refuse to disclose the record, but the decision whether 
or not to disclose the record shall be made by the General Counsel.


Sec. 705.13  Exemptions.

    (a) Under the provision of 5 U.S.C. 552a(k), it has been determined 
by the agency that the following exemptions are necessary and proper 
and may be asserted by the agency:
    (1) Exemption (k)(2) of the Act. Investigatory material compiled 
for law enforcement purposes, other than material within the scope of 
subsection (j)(2) of the Privacy Act: Provided, however, That if any 
individual is denied any right, privilege, or benefit that he or she 
would otherwise be eligible for, as a result of the maintenance of such 
material, such material shall be provided to such individual, except to 
the extent that the disclosure of such material would reveal the 
identify of a source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or, prior to [the effective date of this section], under an 
implied promise that the identity of the source would be held in 
confidence.
    (2) Exemption (k)(4) of the Act. Statistical personnel records that 
are used only to generate aggregate data or for other evaluative or 
analytical purposes and that are not used to make decisions on the 
rights, benefits, or entitlements of individuals.
    (3) Exemption (k)(5) of the Act. Investigatory material maintained 
solely for the purposes of determining an individual's qualifications, 
eligibility, or suitability for employment in the Federal civilian 
service, Federal contracts, or access to classified information, but 
only to the extent that disclosure of such material would reveal the 
identity of the source who furnished information to the Government 
under an express promise that the identity of the source would be held 
in confidence, or prior to September 27, 1975, under an implied promise 
that the identity of the source would be held in confidence.
    (4) Exemption (k)(6) of the Act. Testing or examination material 
used solely to determine individual qualifications for promotion or 
appointment in the Federal service the disclosure of which would 
compromise the objectivity or fairness of the testing or examination 
process.
    (b) Following are Commission systems of records that are partially 
exempt under 5 U.S.C. 552a(k)(2), (4), (5), and (6) and the reasons for 
such exemptions:
    (1) Appeals, Grievances, and Complaints (staff)--Commission 
Project, CRC-001. Exempt partially under 5 U.S.C. 552a(k)(2). The 
reasons for possibly asserting the exemptions are to prevent subjects 
of investigation from frustrating the investigatory process, to prevent 
disclosure of investigative techniques, to maintain the ability to 
obtain necessary information, to fulfill commitments made to sources to 
protect their identities and the confidentiality of information and to 
avoid endangering these sources.
    (2) Complaints, CRC-003--Exempt partially under 5 U.S.C. 
552a(k)(2). The reasons for possibly asserting the exemptions are to 
prevent subjects of investigation from frustrating the investigatory 
process, to prevent disclosure of investigative techniques, to maintain 
the ability to obtain necessary information, to fulfill commitments 
made to sources to protect their identities and the confidentiality of 
information and to avoid endangering these sources.
    (3) Commission projects, CRC-004--Partially exempt under 5 U.S.C. 
552a(k)(2). The reasons for asserting the exemptions are to prevent 
subjects of investigation from frustrating the investigatory process, 
to prevent disclosure of investigative techniques, to maintain the 
ability to obtain necessary information, to fulfill commitments made to 
sources to protect their identities and the confidentiality of 
information and to avoid endangering these sources.
    (4) Other Employee Programs: EEO, Troubled Employee, and Upward 
Mobility, CRC-006--Partially exempt under 5 U.S.C. 552a(k)(4), (5), and 
(6). The reasons for asserting the exemptions are to maintain the 
ability to obtain candid and necessary information, to fulfill 
commitments made to sources to protect the confidentiality of 
information, to avoid endangering these sources and, primarily, to 
facilitate proper selection or continuance of the best applicants or 
persons for a given position.
    (5) State Advisory Committees Projects, CRC-009--Partially exempt 
under 5 U.S.C. 552a(k)(2). The reasons for possibly asserting the 
exemptions are to prevent subjects of investigation from frustrating 
the investigatory process, to prevent disclosure of investigative 
techniques, to maintain the ability to obtain necessary information, to 
fulfill commitments made to sources to protect their identities and the 
confidentiality of information and to avoid endangering these sources.


Sec. 705.95  Accounting of the disclosures of records.

    (a) All disclosures of records covered by this part, except for the 
exemptions listed in paragraph (b) of this section, shall be accounted 
for by keeping a written record of the particular record disclosed, the 
name and address of the person or agency to whom or to which disclosed, 
and the date, nature, and purpose of the disclosure.
    (b) No accounting is required for disclosures of records to those 
officials and employees of the Commission who have a need for the 
record in the performance of their duties or if disclosure would be 
required under the Freedom of Information Act. 5 U.S.C. 552.
    (c) The accounting shall be maintained for 5 years or until the 
record is destroyed or transferred to the National Archives and Records 
Administrator for storage, in which event, the accounting pertaining to 
those records, unless maintained separately, shall be transferred with 
the records themselves.
    (d) The accounting of disclosures may be recorded in any system the 
Commission determines is sufficient for this purpose, however, the 
Commission must be able to construct from its system a listing of all 
disclosures. The system of accounting of disclosures is not a system of 
records under the definition in Sec. 705.2(e) and no accounting need be 
maintained for disclosure of the accounting of disclosures.
    (e) Upon request of an individual to whom a record pertains, the 
accounting of the disclosures of that record shall be made available to 
the requester, provided that he or she has complied with Sec. 705.3(a) 
and with Sec. 705.4(c) or (d).

[[Page 17544]]

PART 706--EMPLOYEE RESPONSIBILITIES AND CONDUCT

Subpart A--General Provisions
Sec.
706.1   Implementation of regulations.
706.2   Purpose.
706.3   Definitions.
706.4   Distribution.
706.5   Counseling.
706.6   Disciplinary and other remedial action.
706.7   Outside employment and other activity.
706.8   Prohibition against disclosure of evidence.
Subpart B--Ethical and Other Conduct and Responsibilities of Employees
706.9   Proscribed actions.
706.10   Gifts, entertainment and favors.
706.11   Proscribed outside employment and other activities.
706.12   Financial interests.
706.13   Use of Government property.
706.14   Misuse of information.
706.15   Indebtedness.
706.16   Gambling, betting and lotteries.
706.17   General conduct prejudicial to the Government.
706.18   Miscellaneous statutory provisions.
Subpart C--Financial Reporting Requirements
706.19   Statements of financial and property interests and outside 
employment.
706.20   Time and place for filing of reports.
706.21   Exclusion of certain positions from reporting requirements.
706.22   Information required to be reported--reporting forms.
706.23   Review of reports.
706.24   Public access to financial disclosure reports.

    Authority: Part III of 5 U.S.C.

Subpart A--General Provisions


Sec. 706.1  Implementation of regulations.

    The U.S. Commission on Civil Rights (hereinafter referred to as the 
Commission) through the regulations in this part, implements, with 
appropriate modifications, relevant sections of Part III of Title 5 of 
the United States Code.


Sec. 706.2  Purpose.

    The maintenance of unusually high standards of honesty, integrity, 
impartiality, and conduct by Government employees and special 
Government employees is essential to assure the proper performance of 
the Government's business and the maintenance of confidence by citizens 
in their Government. The avoidance of misconduct and conflicts of 
interest on the part of Government employees and special Government 
employees through informed judgment is indispensable to the maintenance 
of these standards. To accord with these concepts, this part sets forth 
the Commission's regulations covering the agency's employees and 
special Government employees, prescribing standards of conduct and 
responsibilities and governing statements reporting employment and 
financial interests.


Sec. 706.3  Definitions.

    In this part:
    Commission means the United States Commission on Civil Rights, an 
Executive agency as defined by 5 U.S.C. 105.
    Employee means an officer or employee of the Commission including a 
special Government employee, as defined in 18 U.S.C. 202.
    Executive order means Executive Order 11222 of May 8, 1965, 
prescribing standards of ethical conduct for Government officers and 
employees (3 CFR 1964-1965).
    Person means an individual, a corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, 
or any other organization or institution.


Sec. 706.4  Distribution.

    (a) Within 90 days after [the date of publication of the final 
rule] the Commission shall furnish each employee with a copy of the 
regulations in this part.
    (b) The Commission shall furnish all new employees with a copy of 
the regulations at the time of their entrance on duty.
    (c) The Commission shall bring the regulations to the attention of 
each employee annually and at such other times as circumstances 
warrant.
    (d) The Commission shall have available for review by employees 
copies of relevant laws, the Executive order, and pertinent Commission 
instructions relating to ethical and other standards of conduct.


Sec. 706.5  Counseling.

    The General Counsel of the Commission shall serve as the agency's 
ethical conduct counselor and is the designated agency official for the 
purposes of the Ethics in Government Act. The General Counsel shall 
respond to requests by employees and special Government employees for 
advice and guidance respecting questions of ethical conduct, conflicts 
of interest, reporting of financial interests and other matters of law 
covered by the regulations in this part.


Sec. 706.6  Disciplinary and other remedial action.

    An employee of the Commission who violates any of the regulations 
in this part may be disciplined. The disciplinary action may be in 
addition to any penalty prescribed by law for the violation. In 
addition to or in lieu of disciplinary action, remedial action to end 
conflicts or appearance of conflicts of interests may include but is 
not limited to:
    (a) Changes in assigned duties;
    (b) Divestment by an employee of any conflicting interest; or
    (c) Disqualification for a particular assignment.


Sec. 706.7  Outside employment and other activity.

    Employees of the Commission may engage in outside employment or 
other outside activity not incompatible with the full and proper 
discharge of the duties and responsibilities of their Government 
employment. Employees who wish to engage in outside employment shall 
first obtain the approval, in writing, of their supervisor.


Sec. 706.8  Prohibition against disclosure of evidence.

    All employees of the Commission are subject to the prohibition on 
disclosure of evidence taken in executive session contained in 
Sec. 702.6 of this chapter.

Subpart B--Ethical and Other Conduct and Responsibilities of 
Employees


Sec. 706.9  Proscribed actions.

    An employee shall avoid any action, whether or not specifically 
prohibited by this subpart, which might result in, or create the 
appearance of:
    (a) Using public office for private gain;
    (b) Giving preferential treatment to any person;
    (c) Impeding Commission efficiency or economy;
    (d) Making a Commission decision outside official channels;
    (e) Losing complete independence or impartiality; or
    (f) Affecting adversely the confidence of the public in the 
integrity of the Commission.


Sec. 706.10  Gifts, entertainment, and favors.

    (a) Except as provided in paragraphs (b) and (e) of this section, 
an employee shall not solicit or accept, directly or indirectly, any 
gift, gratuity, favor, entertainment, loan, or any other thing of 
monetary value from a person who:
    (1) Has, or is seeking to obtain, contractual or other business or 
financial relations with the Commission;
    (2) Conducts operations or activities that are regulated by the 
Commission; or
    (3) Has interests that may be substantially affected by the 
performance or nonperformance of the employee's official duty.

[[Page 17545]]

    (b) Exceptions from the prohibitions contained in paragraph (a) of 
this section are as follows:
    (1) Gifts, entertainment, and favors that derive from family or 
personal relationships (such as those between parents, children, or 
spouse of the employee and the employee) when the circumstances make it 
clear that it is those relationships rather than the business of the 
persons concerned that are the motivating factors;
    (2) Acceptance of food and refreshments of nominal value on 
infrequent occasions in the ordinary course of a luncheon or dinner 
meeting or other meeting or on an inspection tour where an employee may 
properly be in attendance;
    (3) Acceptance of loans from banks or other financial institutions 
on customary terms to finance proper and usual activities of employees, 
such as home mortgage loans; and
    (4) Acceptance of unsolicited advertising or promotional material, 
such as pens, pencils, note pads, calendars, and other items of nominal 
intrinsic value.
    (c) Employees shall not solicit a contribution from another 
employee for a gift to an official superior, make a donation as a gift 
to an official superior, or accept a gift from an employee receiving 
less pay than themselves. This paragraph, however, does not prohibit a 
voluntary gift of nominal value or donation in a nominal amount made on 
a special occasion such as marriage, illness, or retirement.
    (d) An employee shall not accept a gift, present, decoration, or 
other thing from a foreign government unless authorized by Congress as 
provided by the Constitution and 5 U.S.C. 7342.
    (e) Neither this section nor Sec. 706.11 precludes an employee from 
receipt of bona fide reimbursement, unless prohibited by law, for 
expenses of travel and such other necessary subsistence as is 
compatible with this part, for which no Government payment or 
reimbursement is made. This paragraph, however, does not allow 
employees to be reimbursed, or payment to be made on their behalf, for 
excessive personal living expenses, gifts, entertainment, or other 
personal benefits.


Sec. 706.11  Proscribed outside employment and other activities.

    (a) An employee shall not engage in outside employment or other 
outside activity not compatible with the full and proper discharge of 
the duties and responsibilities of Government employment. Incompatible 
activities include but are not limited to:
    (1) Acceptance of a fee, compensation, gift, payment of expense, or 
any other thing of monetary value in circumstances in which acceptance 
may result in, or create the appearance of conflict(s) of interest; or
    (2) Outside employment that tends to impair mental or physical 
capacity to perform Governmental duties and responsibilities in an 
acceptable manner.
    (b) An employee shall not receive any salary or anything of 
monetary value from a private source as compensation for service to the 
Government as prohibited by 18 U.S.C. 209.
    (c) Employees are encouraged to engage in teaching, lecturing, and 
writing that is not prohibited by law, the Executive order, or 
Commission regulations. An employee shall not, either for or without 
compensation, engage in teaching, lecturing, or writing, including 
teaching, lecturing, or writing for the purpose of the special 
preparation of a person or class of persons for an examination of the 
Office of Personnel Management or Board of Examiners for the Foreign 
Service, which depends on information obtained as a result of 
Government employment, except when that information has been made 
available to the general public or will be made available on request or 
when the agency head gives written authorization for use of nonpublic 
information on the basis that the use is in the public interest. In 
addition, an employee who is a Presidential appointee covered by 
section 401(a) of the order shall not receive compensation or anything 
of monetary value for any consultation, lecture, discussion, writing, 
or appearance the subject matter of which is devoted substantially to 
the responsibilities, programs, or operations of the Commission or 
which draws substantially on official data or ideas that have not 
become part of the body of public information.
    (d) This section does not preclude an employee from:
    (1) Participation in the activities of national or State political 
parties not proscribed by law;
    (2) Participation in the affairs of or acceptance of an award for a 
meritorious public contribution or achievement given by a charitable, 
religious, professional, social, fraternal, nonprofit educational and 
recreational public service, or civic organization; or
    (3) Outside employment permitted under the regulations in this 
part.


Sec. 706.12  Financial interests.

    (a) Employees shall not:
    (1) Have a direct or indirect financial interest that conflicts 
substantially, or appears to conflict substantially, with their 
Government duties and responsibilities; or
    (2) Engage in, directly or indirectly, a financial transaction as a 
result of, or primarily relying on, information obtained through their 
Government employment.
    (b) This section does not preclude an employee from having a 
financial interest or engaging in financial transactions to the same 
extent as a private citizen not employed by the Government, so long as 
it is not prohibited by law, the Executive order, or Commission 
regulations.


Sec. 706.13  Use of Government property.

    Employees shall not directly or indirectly use, or allow the use 
of, Government property of any kind, including property leased to the 
Government, for other than officially approved activities. Employees 
have a positive duty to protect and conserve Government property, 
including equipment, supplies, and other property entrusted or issued 
them.


Sec. 706.14  Misuse of information.

    For the purpose of furthering a private interest, employees shall 
not directly or indirectly use, or allow the use of, official 
information obtained through or in connection with their Government 
employment that has not been made available to the general public.


Sec. 706.15  Indebtedness.

    An employee shall pay each just financial obligation in a proper 
and timely manner, especially one imposed by law such as Federal, 
State, or local taxes. For the purpose of this section, a just 
financial obligation means one acknowledged by the employee or reduced 
to judgment by a court, and in a proper and timely manner means in a 
manner that the agency determines does not, under the circumstances, 
reflect adversely on the Government as the employer. In the event of 
dispute between an employee and an alleged creditor, this section does 
not require the Commission to determine the validity or amount of the 
disputed debt.


Sec. 706.16  Gambling, betting and lotteries.

    Employees shall not participate while on Government-owned or leased 
property or while on duty for the Government in any gambling activity 
including the operation of a gambling device, in conducting a lottery 
or pool, in a game for money or property, or in selling or purchasing a 
numbers slip or ticket.

[[Page 17546]]

Sec. 706.17  General conduct prejudicial to the Government.

    Employees shall not engage in criminal, infamous, dishonest, 
immoral, or notoriously disgraceful conduct or other conduct 
prejudicial to the Government.


Sec. 706.18  Miscellaneous statutory provisions.

    Employees shall acquaint themselves with each statute that relates 
to their ethical and other conduct as an employee of the Commission and 
of the Government. The attention of Commission employees is directed to 
the following statutory provisions:
    (a) House Document 103, 86th Congress, 1st Session, the ``Code of 
Ethics for Government Service'';
    (b) The provisions relating to bribery, graft, and conflicts of 
interest, as appropriate to the employees concerned (18 U.S.C. 201-
225);
    (c) The prohibition against lobbying with appropriated funds (18 
U.S.C. 1913);
    (d) The prohibitions against disloyalty and striking (5 U.S.C. 
73811; 18 U.S.C. 1918);
    (e) The prohibitions against the disclosure of classified 
information (18 U.S.C. 798; 50 U.S.C. 1905);
    (f) The provision relating to the habitual use of intoxicants to 
excess (5 U.S.C. 7352);
    (g) The prohibition against the misuse of a Government vehicle (31 
U.S.C. 1349(b));
    (h) The prohibition against the misuse of the franking privilege 
(18 U.S.C. 1719);
    (i) The prohibition against the use of deceit in an examination or 
personnel action in connection with Government employment (18 U.S.C. 
1917);
    (j) The prohibition against fraud or false statements in a 
Government matter (18 U.S.C. 1001);
    (k) The prohibition against mutilating or destroying a public 
record (18 U.S.C. 2071);
    (l) The prohibition against counterfeiting and forging 
transportation requests (18 U.S.C. 508);
    (m) The prohibitions against:
    (1) Embezzlement of Government money or property (18 U.S.C. 641);
    (2) Failing to account for public money (18 U.S.C. 643); and
    (3) Embezzlement of the money or property of another person in the 
possession of the employee by reason of his or her employment (18 
U.S.C. 654);
    (n) The prohibition against unauthorized use of documents relating 
to claims from or by the Government (18 U.S.C. 285);
    (o) The prohibitions against political activities (5 U.S.C. 7323 
and 18 U.S.C. 602, 603, and 607); and
    (p) The prohibition against an employee acting as the agent of a 
foreign principal registered under the Foreign Agent Registration Act 
(18 U.S.C. 219).

Subpart C--Financial Reporting Requirements


Sec. 706.19  Statements of financial and property interests and outside 
employment.

    Pursuant to the Ethics in Government Act of 1978 (Public Law 95-
521, as amended by Public Law 101-194, 101-280, 102-90, 102-378, and 
104-65, referred to hereinafter in this subpart as ``the Act''), the 
following officers and employees of the Commission are required to file 
annual reports of financial and property interests and outside 
employment if they have served 61 days or more in their positions 
during the preceding calendar year:
    (a) Officers or employees, including a special Government employee 
as defined in 18 U.S.C. 202, who occupies a position classified above 
GS-15 of the General Schedule or, in the case of positions not under 
the General Schedule, for which the rate of basic pay is equal to or 
greater than 120 percent of the minimum rate of basic pay payable for 
GS-15 of the General Schedule.;
    (b) Employees in the excepted service in positions that are of a 
confidential or policy-making character, unless their positions have 
been excluded by the Director of the Office of Government Ethics; and
    (c) Each designated agency ethics official.


Sec. 706.20  Time and place for filing of reports.

    (a) Annual reports are to be filed no later than May 15 of each 
calendar year, except that persons assuming a position for which 
reports are required who have not immediately prior to this assumption 
occupied a covered position in another agency, must file a report 
within 30 days after assuming the position at the Commission. In the 
event an individual terminates employment with the Commission and does 
not accept another position for which reporting is required, the report 
must be filed no later than the 30th day after termination, covering:
    (1) The preceding calendar year if the annual May 15 report has not 
been filed; and
    (2) The portion of the present calendar year up to the date of 
termination.
    (b) Reports shall be filed with the designated ethics officer 
(General Counsel) of the Commission. The reports of the designated 
ethics officer and nominees to and holders of positions that require 
confirmation by the Senate shall be transmitted by the General Counsel 
to the Office of Government Ethics of the Office of Personnel 
Management.


Sec. 706.21  Exclusion of certain positions from reporting 
requirements.

    (a) Under section 101 of the Act, a report is required of any 
person in the executive branch in a position excepted from the 
competitive service by reason of being of a confidential or policymaker 
character. The exclusion of any position will be effective as of the 
time the Commission files with the Office of Government Ethics a list 
and description of each position for which exclusion is sought, and the 
identity of its current occupant. Such a list must be filed with the 
Office of Government Ethics on or before the date on which such reports 
are due under the Act.
    (b) In the event that the Office of Government Ethics finds that 
one or more positions have been improperly excluded, it will so advise 
the Commission and set a date for the filing of the report.


Sec. 706.22  Information required to be reported--reporting forms.

    Information required to be reported by the Act shall be set forth 
in the manner specified in, and in accordance with the instructions 
contained in, Standard Forms issued by the Office of Personnel 
Management, to be used as follows:
    (a) Standard Form 278--for use by an officer or employee filing:
    (1) An annual report pursuant to section 101 of the Act, or
    (2) A departure report upon termination of employment, pursuant to 
section 101 of the Act;
    (b) Standard Form 278A--for use by:
    (1) An individual assuming a position for which reporting is 
required pursuant to section 201(a) of the Act; or
    (2) An individual whose nomination has been transmitted by the 
President to the Senate, pursuant to section 201(b) of the Act.


Sec. 706.23  Review of reports.

    (a) Financial reports are reviewed by the Commission's designated 
Ethics official or the Director of the Office of Government Ethics, as 
appropriate. Reports are to be reviewed within 60 days after the date 
of their filing or transmittal to the Office of Government Ethics.
    (b) After reviewing a report, the reviewing official is required 
to:
    (1) State upon the report that the reporting individual is in 
compliance

[[Page 17547]]

with applicable laws and regulations and to sign the report;
    (2) Notify the reporting individual that additional information is 
required to be submitted and the time by which it must be submitted; or
    (3) Notify the reporting individual that the report indicates 
noncompliance and afford the individual a reasonable opportunity for a 
written or oral response after which the reviewing official reaches an 
opinion whether the individual is in compliance.
    (c) If the reviewing official determines that the reporting 
individual is not in compliance with applicable laws and regulations, 
the reviewing official will notify the individual of that opinion and 
after an opportunity for personal consultation notify the individual of 
the steps that should be taken to assure compliance and the date by 
which such steps should be taken.
    (d) The use of any steps to bring the individual in compliance are 
to be in accordance with regulations issued by the Director of the 
Office of Government Ethics.
    (e) To assist employees in avoiding situations in which they would 
not be in compliance with applicable laws and regulations, the 
designated Commission ethics official is to maintain a list of those 
circumstances or situations that have resulted or may result in 
noncompliance and the lists are to be periodically published and 
furnished to individuals required to file reports under this Act.


Sec. 706.24  Public access to financial disclosure reports.

    (a) Pursuant to section 105(b) of the Act, each report will be made 
available for public inspection within 15 days after the report is 
received by the agency, whether or not the review of the report 
prescribed by section 106 of the Act has been completed.
    (b) Pursuant to section 105(b) of the Act, the following rules are 
applicable to public access to financial reports:
    (1) A financial disclosure report may not be made available to any 
person nor may a copy thereof be provided to any person except upon 
written application by such person stating:
    (i) That person's name, occupation, and address;
    (ii) The name and address of any other person or organization on 
whose behalf the inspection or copy is requested; and
    (iii) That such person is aware that it is unlawful to obtain or 
use a report:
    (A) For any unlawful purpose;
    (B) For any commercial purpose, other than by news and 
communications media for dissemination to the general public;
    (C) For determining or establishing the credit rating of any 
individual; or
    (D) For use, directly or indirectly, in the solicitation of money 
for any political, charitable, or other purpose. Any application for a 
report shall be available to the public during the period in which the 
requested report is available to the public.
    (2) [Reserved]
    (c) Requests for copies of financial disclosure reports of officers 
appointed by the President by and with the advice and consent of the 
Senate, as well as nominees to such offices and designated Commission 
ethics officials, may be directed to the Director of the Office of 
Government Ethics.
    (d) To gain access to or to obtain a copy of a report filed with 
the Commission, an individual should appear in person at the office of 
the General Counsel of the Commission, 624 9th Street, NW., Washington, 
DC 20425, during the hours 8:30 a.m. to 4:30 p.m. and complete an 
application form. Requests by mail should contain the information 
described in paragraph (b) of this section, together with the signature 
of the requester. Requests that do not contain the required information 
will be returned. Notice of the statutory prohibitions on use will be 
attached to copies of reports provided in response to a request 
otherwise properly filled out.

PART 707--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF 
DISABILITY IN PROGRAMS OR ACTIVITIES CONDUCTED BY U.S. COMMISSION 
ON CIVIL RIGHTS

Sec.
707.1   Purpose.
707.2   Application.
707.3   Definitions.
707.4   Self-evaluation and remedial measures.
707.5   Notice.
707.6   General prohibitions against discrimination.
707.7   Employment.
707.8   Physical access.
707.9   Access to communications.
707.10   Auxiliary aids.
707.11   Eliminating discriminatory qualifications and selection 
criteria.
707.12   Compliance procedures.

    Authority: 29 U.S.C. 791 et seq.


Sec. 707.1  Purpose.

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


Sec. 707.2  Application.

    This part applies to all programs and activities, including 
employment, conducted by the Agency.


Sec. 707.3  Definitions.

    For the purposes of this part, the term--
    (a) Agency means the U.S. Commission on Civil Rights and its State 
Advisory Committees.
    (b) 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, Braille materials, 
audio recordings, and other similar services and devices. Auxiliary 
aids useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, note takers, written 
materials, and other similar services and devices.
    (c) 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.
    (d) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, vehicles, or other real or 
personal property.
    (e) Individual with disabilities 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;

[[Page 17548]]

hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart 
disease, diabetes, mental retardation, emotional illness, drug 
addiction, and alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, 
speaking, breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the Agency as 
constituting such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others 
toward such impairment; or
    (iii) Has none of the impairments defined in paragraph (e)(1) of 
this definition but is treated by the Agency as having such an 
impairment.
    (f) Qualified individual with disabilities means--
    (1) With respect to any Agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, an individual with disabilities who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
Agency can demonstrate would result in a fundamental alteration in its 
nature; and
    (2) With respect to employment, an individual with disabilities who 
meets the definition set forth in 29 CFR 1614.203, which is made 
applicable to this part by Sec. 707.7.
    (3) With respect to any other Agency program or activity, an 
individual with disabilities who meets the essential eligibility 
requirements for participation in, or receipt of benefits from, that 
program or activity.
    (g) Section 504 means section 504 of the Rehabilitation Act of 1973 
(Public Law 93-112, 87 Stat. 394 (29 U.S.C. 794), as amended through 
1998. As used in this part, section 504 applies only to programs or 
activities conducted by the Agency. The Agency does not operate any 
programs of Federal financial assistance to other entities.


Sec. 707.4  Self-evaluation and remedial measures.

    (a) The Agency shall, before [date one year after the effective 
date of this part], 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 individuals with disabilities and organizations representing 
individuals with disabilities, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The Agency shall, for at least three years following completion 
of the evaluation required under paragraph (a) of this section, 
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. 707.5  Notice.

    (a) The Agency shall make available to all employees, applicants, 
and other interested persons, as appropriate, information regarding the 
provisions of this part and its applicability to the programs or 
activities conducted by the Agency, and such information shall be made 
available to the extent the Staff Director finds necessary to apprise 
such persons of the protections against discrimination assured them by 
section 504 and this part.
    (b) The Agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The Agency shall take appropriate steps to provide individuals 
with disabilities with information regarding their section 504 rights 
under the Agency's programs or activities.


Sec. 707.6  General prohibitions against discrimination.

    (a) No qualified individual with disabilities shall, on the basis 
of disability, 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, shall 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of disability--
    (i) Deny a qualified individual with disabilities the opportunity 
to participate in or benefit from the aid, benefit(s), or service(s);
    (ii) Afford a qualified individual with disabilities an opportunity 
to participate in or benefit from the aid, benefit(s), or service(s) 
that are not equal to that afforded others;
    (iii) Provide a qualified individual with disabilities with an aid, 
benefit(s), or service(s) that are not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with disabilities or to any class of individuals with 
disabilities than are provided to others unless such action is 
necessary to provide qualified individuals with disabilities with aid, 
benefits, or services that are as effective as those provided to 
others:
    (v) Deny a qualified individual with disabilities the opportunity 
to participate as a member of planning or advisory boards or 
committees; or
    (vi) Otherwise limit a qualified individual with disabilities in 
the enjoyment of any right, privilege, advantage, or opportunity 
enjoyed by others receiving the aid, benefit(s), or service(s).
    (2) The Agency shall not deny a qualified individual with 
disabilities 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 shall not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with disabilities to 
discrimination on the basis of disability; or
    (ii) Defeat or substantially impair accomplishment of the 
objectives of a program or activity with respect to individuals with 
disabilities.
    (4) The Agency shall not in determining the site or location of a 
facility or activity make selections the purpose or effect of which 
would--
    (i) Exclude individuals with disabilities from, deny them the 
benefits of, or otherwise subject them to

[[Page 17549]]

discrimination under any program or activity conducted by the Agency; 
or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
disabilities.
    (5) The Agency, in the selection of procurement contractors, shall 
not use criteria that subject qualified individuals with disabilities 
to discrimination on the basis of disability.
    (c) The exclusion of non-disabled persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with disabilities or the exclusion of a specific class of individuals 
with disabilities from a program limited by Federal statute or 
Executive order to a different class of individuals with disabilities 
is not prohibited by this part.
    (d) The Agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with disabilities.


Sec. 707.7  Employment.

    No qualified individual with disabilities shall, on the basis of 
disability, 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 1614.101 through 1614.110, shall apply 
to employment in programs or activities conducted by the Agency.


Sec. 707.8  Physical access.

    (a) Discrimination prohibited. Except as otherwise provided in this 
section, no qualified individual with disabilities shall, because the 
Agency's facilities are inaccessible to or unusable by individuals with 
disabilities, 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.
    (b) Existing facilities-program access--(1) Existing facilities 
defined. For the purpose of this section, existing facilities means 
those facilities owned, leased or used through some other arrangement 
by the Agency on March 28, 1990.
    (2) General. The Agency shall operate each program or activity 
conducted in an existing facility so that the program or activity, when 
viewed in its entirety, is readily accessible to and usable by 
individuals with disabilities. This paragraph does not--
    (i) Necessarily require the Agency to make each of its existing 
facilities accessible to and usable by individuals with disabilities
    (ii) 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 this paragraph would result in such 
alteration or burdens. The decision that compliance would result in 
such alteration or burdens must be made by the Staff Director 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 individuals with disabilities receive the benefits and 
services of the program or activity.
    (3) Methods. (i) The Agency may comply with the requirements of 
this section through such means as redesign of equipment, reassignment 
of services to accessible buildings, assignment of aides to individuals 
with disabilities, delivery of services at alternative accessible 
sites, alteration of existing facilities and construction of new 
facilities, use of accessible vehicles, or any other methods that 
result in making its program or activities readily accessible to and 
usable by individuals with disabilities.
    (ii) The Agency is not required to make structural changes in 
existing facilities where other methods are effective in achieving 
compliance with paragraph (b)(2) of this section. The Agency, in making 
alterations to existing buildings to achieve program accessibility, 
shall meet accessibility requirements imposed by the Architectural 
Barriers Act of 1968, 42 U.S.C. 4151 through 4157,
    (iii) In choosing among available methods for meeting the 
requirements of this section, the Agency shall give priority to those 
methods that offer programs and activities to qualified individuals 
with disabilities in the most integrated setting appropriate to the 
needs of qualified individuals with disabilities.
    (4) Time period for compliance. The Agency shall comply with the 
obligations established under this section before [date sixty days 
after the effective date of this part], except that where structural 
changes in facilities are undertaken, such changes shall be made before 
[date three years after the effective date of this part], but in any 
event as expeditiously as possible.
    (5) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
Agency shall develop, before [date 6 months after the effective date of 
this part], a transition plan setting forth the steps necessary to 
complete such changes. The Agency shall provide an opportunity to 
interested persons, including individuals with disabilities and 
organizations representing individuals with disabilities, 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--
    (i) Identify physical obstacles in the Agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with disabilities;
    (ii) Describe in detail the methods that will be used to make the 
facilities accessible;
    (iii) Specify the schedule for taking the steps necessary to 
achieve compliance with this paragraph and, if the time period of the 
transition plan is longer than 1 year, identify steps that will be 
taken during each year of the transition period; and
    (iv) Indicate the official response for implementation of the plan.
    (6) The Agency shall provide signs 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.
    (c) New purchases, leases, or other arrangements. (1) Any building 
or facility acquired after March 28, 1990, whether by purchase, lease 
(other than lease renewal), or any other arrangement, shall be readily 
accessible to and usable by individuals with disabilities.
    (2) Nothing in this paragraph requires 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

[[Page 17550]]

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 this paragraph would result in such alteration or 
burdens. The decision that compliance would result in such alteration 
or burdens must be made by the Staff Director 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 individuals with disabilities receive the benefits and services of 
the program or activity.
    (d) New construction and alterations. Each building or part of a 
building that is constructed or altered by, on behalf of, or for the 
use of the Agency shall be designed, constructed, or altered so as to 
be readily accessible to and usable by individuals with disabilities in 
accordance with the requirements imposed by the Architectural Barriers 
Act of 1968, 42 U.S.C. 4151 through 4157.


Sec. 707.9  Access to communications.

    (a) Discrimination prohibited. Except as otherwise provided in this 
section, no qualified individual with disabilities shall, because the 
Agency's communications are inaccessible to or unusable by individuals 
with disabilities, 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.
    (b) The Agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (c) Specific requirements regarding oral communications--(1) 
Telecommunications devices for deaf persons. (i) The Agency 
headquarters and each regional office shall maintain and reliably 
answer at least one telecommunications device for deaf persons (TDD) or 
equally effective telecommunications device.
    (ii) The Agency shall ensure that all Agency letterhead, forms, and 
other documents listing any Agency telephone number list the 
appropriate TDD numbers.
    (2) Interpreter service. (i) The Agency shall establish a reliable 
system for the provision of qualified interpreters to individuals with 
disabilities for Agency programs or activities. This provision does not 
require the Agency to have an interpreter on staff, but does require 
the Agency to be able to provide a qualified interpreter on reasonable 
notice.
    (ii) Notice of the availability of interpreter service shall be 
included in all announcements notifying the public of Agency activities 
to which the public is invited or which it is permitted to attend, 
including but not limited to the Commission's meetings, consultations, 
hearings, press conferences, and State Advisory Committee conferences 
and meetings. This notice shall designate the Agency official(s) and 
the address, telephone and TDD number to call to request interpreter 
services.
    (d) Specific requirements for printed communications. (1) The 
Agency shall establish a system to provide to individuals with 
disabilities appropriate reader or taping service for all Agency 
publications that are available to the public. This provision does not 
require the Agency to have a reader or taper on staff, but does require 
the Agency to be able to provide appropriate reader or taping service 
within a reasonable time and on reasonable notice. The Agency shall 
effectively notify qualified individuals with disabilities of the 
availability of reader or taping services.
    (2) Notice of the availability of reader or taping service shall be 
included in all publications that are available to the public. This 
notice shall designate the Agency official(s) and the address, 
telephone, and TDD number to call to request interpreter services.
    (e) Nothing in this section or Sec. 707.10 requires 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 this section or Sec. 707.10 would result in such 
alteration or burdens. The decision that compliance would result in 
such alteration or burdens must be made by the Staff Director 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 paragraph 
would result in such an alteration or such burdens, the Agency shall 
take any other action that would not result in such an alteration or 
such burdens but would nevertheless ensure that, to the maximum extent 
possible, individuals with disabilities receive the benefits and 
services of the program or activity.


Sec. 707.10  Auxiliary aids.

    (a) The Agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with disabilities an equal 
opportunity to participate in, and enjoy the benefits of, a program or 
activity conducted by the Agency.
    (b) In determining what type of auxiliary aid is necessary, the 
Agency shall give primary consideration to the requests of the 
individual with disabilities.
    (c) The Agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.


Sec. 707.11  Eliminating discriminatory qualifications and selection 
criteria.

    The Agency shall not make use of any qualification standard, 
eligibility requirement, or selection criterion that excludes 
particular classes of individuals with disabilities from an Agency 
program or activity merely because the persons are disabled, without 
regard to an individual's actual ability to participate. An 
irrebuttable presumption of inability to participate based upon a 
disability shall be permissible only if the condition would, in all 
instances, prevent an individual from meeting the essential eligibility 
requirements for participating in, or receiving the benefits of, the 
particular program or activity.


Sec. 707.12  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
disability 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 in 29 U.S.C. 791 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) Responsibility for implementation and operation of this section 
shall be vested in the Office of General Counsel.
    (d) The Agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180

[[Page 17551]]

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, 42 U.S.C. 4151 through 4157, is not readily accessible to and 
usable by individuals with disabilities.
    (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 paragraph (g) of this 
section. The Staff Director may extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the Staff 
Director or the Staff Director's designee.
    (j) The Agency shall notify the complainant in writing of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the Agency determines that additional information is needed 
from the complainant, it shall have 60 days from the date it receives 
the additional information to make its determination on the appeal.
    (k) The time limits cited in paragraphs (d), (g), (h), and (j) of 
this section may be extended for an individual case when the Staff 
Director determines that there is good cause, based on the particular 
circumstances of that case, for the extension.
    (l) The Agency may delegate its authority for conducting complaint 
investigations to other Federal agencies; however, the authority for 
making the final determination may not be delegated to another Agency.

PART 708--COLLECTION BY SALARY OFFSET FROM INDEBTED CURRENT AND 
FORMER EMPLOYEES

Sec.
708.1   Purpose and scope.
708.2   Policy.
708.3   Definitions.
708.4   Applicability.
708.5   Notice.
708.6   Petitions for hearing.
708.7   Hearing procedures.
708.8   Written decision.
708.9   Coordinating offset with another Federal agency.
708.10   Procedures for salary offset.
708.11   Refunds.
708.12   Statute of limitations.
708.13   Non-waiver of rights by payments.
708.14   Interest, penalties, and administrative costs.

    Authority: 5 U.S.C. 5514


Sec. 708.1  Purpose and scope.

    (a) The regulations in this part provide the procedure pursuant to 
5 U.S.C. 5514 and 5 CFR 550.1101 through 550.1110 for the collection by 
administrative offset of a Federal employee's salary without his or her 
consent to satisfy certain debts owed to the Federal government. This 
procedure applies to all Federal employees who owe debts to the U.S. 
Commission on Civil Rights (Commission). This provision does not apply 
when the employee consents to recovery from his or her current pay 
account.
    (b) This procedure does not apply to debts or claims arising under:
    (1) The Internal Revenue Code (26 U.S.C. 1 et seq.);
    (2) The Social Security Act (42 U.S.C. 301 et seq.);
    (3) The tariff laws of the United States; or
    (4) To any case where collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute (e.g., travel 
advances in 5 U.S.C. 5705 and employee training expenses in 5 U.S.C. 
4108).
    (c) The Commission shall except from salary offset provisions any 
adjustments to pay arising out of an employee's election of coverage or 
a change in coverage under a Federal benefits programs requiring 
periodic payroll deductions from pay, if the amount to be recovered was 
accumulated over four pay periods or less.
    (d) These procedures do not preclude an employee or former employee 
from requesting a waiver of a salary overpayment under 5 U.S.C. 5584 or 
10 U.S.C. 2774 or in any way questioning the amount or validity of the 
debt by submitting a subsequent claim to the General Accounting Office 
(GAO) in accordance with procedures prescribed by the GAO. In addition, 
this procedure does not preclude an employee from requesting a waiver 
pursuant to other statutory provisions applicable to the particular 
debt being collected.


Sec. 708.2  Policy.

    It is the policy of the Commission to apply the procedures in the 
regulations in this part uniformly and consistently in the collection 
of internal debts from its current and former employees.


Sec. 708.3  Definitions.

    For the purposes of the regulations in this part the following 
definitions apply:
    (a) Agency means:
    (1) An Executive agency as defined in 5 U.S.C. 105, including the 
U.S. Postal Service and the U.S. Postal Rate Commission;
    (2) A military department as defined in 5 U.S.C. 102;
    (3) An agency or court in the judicial branch, including a court as 
defined in 28 U.S.C. 610, the District Court for the Northern Mariana 
Islands, and the Judicial panel on Multidistrict Litigation;
    (4) An agency of the legislative branch, including the U.S. Senate 
and the U.S. House of Representatives; and
    (5) Other independent establishments that are entities of the 
Federal Government.
    (b) Creditor agency means the agency to which the debt is owed.
    (c) Debt means an amount owed to the United States from sources, 
which include loans insured or guaranteed by the United States and 
amounts due the United States from fees, leases, rents, royalties, 
services, sales of real or personal property, overpayments, penalties, 
damages, interest, fines and forfeitures (except those arising under 
the Uniform Code of Military Justice), and all other similar sources.
    (d) Deputy Staff Director means the Deputy Staff Director of the 
Commission or in his or her absence, or in the event of a vacancy in 
the position or its elimination, the Director of Human Resources.
    (e) Disposable pay means that part of current basic pay, special 
pay, incentive pay, retired pay, retainer pay, or in the case of an 
employee not entitled to basic pay, other authorized pay remaining from 
an employee's Federal pay after required deductions for social 
security, Federal, state or local income tax, health insurance 
premiums, retirement contributions, life insurance premiums, Federal 
employment taxes, and any other deductions that are required to be 
withheld by law.
    (f) Employee means a current employee of an agency, including a 
current member of the Armed Forces or a Reserve of the Armed Forces 
(Reserves).
    (g) Former employee means an employee who is no longer employed 
with the Commission but is currently employed with another Federal 
agency.
    (h) FCCS means the Federal Claims Collection Standards jointly 
published

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by the Department of Justice and the General Accounting Office at 4 CFR 
chapter I.
    (i) Hearing official means an individual responsible for conducting 
any hearing with respect to the existence or amount of a debt claimed, 
and who renders a decision on the basis of such hearing. A hearing 
official may not be under the supervision or control of the Deputy 
Staff Director of the Commission.
    (j) Paying agency means the agency employing the individual who 
owes the debt and is responsible for authorizing the payment of his or 
her current pay.
    (k) Pay interval will normally be the biweekly pay period but may 
be some regularly recurring period of time in which pay is received.
    (l) Retainer pay means the pay above the maximum rate of an 
employee's grade that he or she is allowed to keep in special 
situations rather than having the employee's rate of basic pay reduced.
    (m) Salary offset means an administrative offset to collect a debt 
under 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of an employee 
without his or her consent.
    (n) Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774, or 5 U.S.C. 
8346(b), or any other law.


Sec. 708.4  Applicability.

    The regulations in this part are to be followed when:
    (a) The Commission is owed a debt by an individual who is a current 
employee of the Commission; or
    (b) The Commission is owed a debt by an individual currently 
employed by another Federal agency; or
    (c) The Commission employs an individual who owes a debt to another 
Federal agency.


Sec. 708.5  Notice.

    (a) Deductions shall not be made unless the employee who owes the 
debt has been provided with written notice signed by the Deputy Staff 
Director or in his or her absence, or in the event of a vacancy in that 
position or its elimination, the Director of Human Resources (or the 
U.S. Department of Agriculture, National Finance Center acting on 
behalf of the Commission) of the debt at least 30 days before salary 
offset commences.
    (b) The written notice from the Deputy Staff Director, acting on 
behalf of the Commission, as the creditor agency, shall contain:
    (1) A statement that the debt is owed and an explanation of its 
origin, nature, and amount;
    (2) The agency's intention to collect the debt by deducting from 
the employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date, and duration of 
the intended deduction(s);
    (4) An explanation of the requirements concerning the current 
interest rate, penalties, and administrative costs, including a 
statement that such charges will be assessed unless excused in 
accordance with the Federal Claims Collections Standards (4 CFR chapter 
I);
    (5) The employee's right to inspect, request, or receive a copy of 
the government records relating to the debt;
    (6) The employee's right to enter into a written repayment schedule 
for the voluntary repayment of the debt in lieu of offset;
    (7) The right to a hearing conducted by an impartial hearing 
official (either an administrative law judge or an official who is not 
under the control of the Commission);
    (8) The method and time period for petitioning for a hearing;
    (9) A statement that the timely filing (i.e., within 15 calendar 
days) of a petition for a hearing will stay the commencement of 
collection proceedings;
    (10) A statement that a final decision on the hearing (if one is 
requested) will be issued at the earliest practical date but not later 
than 60 days after the filing of the petition requesting the hearing 
unless the employee requests and the hearing official grants a delay in 
the proceedings.
    (11) A statement that an employee knowingly submitting false or 
frivolous statements (5 CFR 550.1101), representations, or evidence may 
subject the employee to disciplinary procedures under 5 U.S.C. 7501 et 
seq. and 5 CFR part 752; penalties under the False Claims Act, 31 
U.S.C. 3729-3731; or criminal penalties under 18 U.S.C. 286, 287, 1001, 
and 1002;
    (12) A statement of other rights and remedies available to the 
employee under statutes or regulations governing the program for which 
the collection is being made;
    (13) A statement that an employee will be promptly refunded any 
amount paid or deducted for a debt that is later waived or found not 
valid unless there are applicable contractual or statutory provisions 
to the contrary; and
    (14) The name, address, and phone number of an official who can be 
contacted concerning the indebtedness.


Sec. 708.6  Petitions for hearing.

    (a) Except as provided in paragraph (d) of this section, an 
employee who wants a hearing must file a written petition for a hearing 
to be received by the Deputy Staff Director not later than 15 calendar 
days from the date of receipt of the Notice of Offset. The petition 
must state why the employee believes the determination of the 
Commission concerning the existence or amount of the debt is in error.
    (b) The petition must be signed by the employee and should identify 
and explain with reasonable specificity and brevity the facts, 
evidence, and witnesses that the employee believes support his or her 
position.
    (c) If the employee objects to the percentage of disposable pay to 
be deducted from each check, the petition should state the objection 
and the reasons for it.
    (d) If the employee files a petition for a hearing later than the 
15 calendar days from the date of receipt of the Notice of Offset, as 
described in paragraph (a) of this section, the hearing official may 
accept the request if the employee can show that there was good cause 
(such as due to circumstances beyond his or her control or because he 
or she was not informed or aware of the time limit) for failing to meet 
the deadline date.
    (e) An employee will not be granted a hearing and will have his or 
her disposable pay offset in accordance with the Deputy Staff 
Director's offset schedule if he or she fails to show good cause why he 
or she failed to file the petition for a hearing within the stated time 
limits.


Sec. 708.7  Hearing procedures.

    (a) If an employee timely files a petition for a hearing under 
Sec. 708.6, the Deputy Staff Director shall select the time, date, and 
location for the hearing.
    (b) The hearing shall be conducted by an impartial hearing 
official.
    (c) The Commission, as the creditor agency, will have the burden of 
proving the existence of the debt.
    (d) The employee requesting the hearing shall have the burden of 
proof to demonstrate that the existence or amount of the debt is in 
error.


Sec. 708.8  Written decision.

    (a) The hearing official shall issue a written opinion no later 
than sixty (60) days after the filing of the petition for hearing; or 
no longer than sixty (60) days from the proceedings if an extension has 
been granted pursuant to Sec. 708.5(b)(10).
    (b) The written opinion will include: A statement of the facts 
presented to demonstrate the nature and origin of the

[[Page 17553]]

alleged debt; the hearing official's analysis, findings, and 
conclusions; the amount and validity of the debt; and, if applicable, 
the repayment schedule.


Sec. 708.9  Coordinating offset with another Federal agency.

    (a) The Commission is the creditor agency when the Deputy Staff 
Director determines that an employee of another Federal agency owes a 
delinquent debt to the Commission. The Deputy Staff Director shall, as 
appropriate:
    (1) Arrange for a hearing upon the proper petitioning by the 
employee;
    (2) Certify in writing that the employee of the paying agency owes 
the debt, the amount, and basis of the debt, the date on which payment 
is due, the date the Government's right to collect the debt first 
accrued, and that the Commission's regulations for salary offset have 
been approved by the Office of Personnel Management;
    (3) If the collection must be made in installments, the Commission, 
as the creditor agency, will advise the paying agency of the amount or 
percentage of disposable pay to be collected in each installment and 
the number and the commencement date of the installments;
    (4) Advise the paying agency of the actions taken under 5 U.S.C. 
5514(a) and provide the dates on which action was taken, unless the 
employee has consented to salary offset in writing or signed a 
statement acknowledging receipt of procedures required by law. The 
written consent or acknowledgement must be sent to the paying agency;
    (5) If the employee is in the process of separating, the Commission 
will submit its debt claim to the paying agency as provided in this 
part. The paying agency must certify any amounts already collected, 
notify the employee, and send a copy of the certification of the monies 
already collected and notice of the employee's separation to the 
Commission. If the paying agency is aware that the employee is entitled 
to Civil Service or Foreign Service Retirement and Disability Fund or 
similar payments, it must provide written notification to the agency 
has been rendered in favor of the Commission.
    (6) If the employee has already separated and all payments due from 
the paying agency have been paid, the Assistant Staff Director for 
Management may request, unless otherwise prohibited, that money payable 
to the employee from the Civil Service Retirement and Disability Fund 
or other similar funds be collected by administrative offset. The 
Commission will provide the agency responsible for these payments with 
a properly certified claim.
    (b) The Commission is the paying agency when an employee of this 
agency owes a debt to another Federal agency that is the creditor 
agency.
    (1) Upon receipt of a properly certified debt claim from a creditor 
agency, deductions will be scheduled to begin at the next established 
pay interval.
    (2) The Commission must give the employee written notice that it 
has received a certified debt claim from a creditor agency (including 
the amount), and the date that deductions will be scheduled to begin 
and the amount of the deduction.
    (3) The Commission shall not review the merits of the creditor 
agency's determination of the amount of the certified claim or of its 
validity.
    (4) If the employee transfers to another paying agency after the 
creditor agency has submitted its debt claim but before the debt is 
collected completely, the Commission must certify the total amount 
collected to the creditor agency with notice of the employee's 
transfer. One copy of this certification must be furnished to the 
employee. The creditor agency will submit a properly certified claim to 
the new paying agency before collection can be resumed.
    (5) When the Commission, as a paying agency, receives an incomplete 
debt claim from a creditor agency, it must return the debt claim with a 
notice that procedures under 5 U.S.C. 5514 and this subpart must be 
provided and a properly certified debt claim received before action 
will be taken to collect from the employee's current pay account.


Sec. 708.10  Procedures for salary offset.

    (a) Deductions to liquidate an employee's debt will be by the 
method and in the amount stated in the Assistant Staff Director for 
Management's written notice of intent to collect from the employee's 
current pay, unless alternative arrangements for repayment are made.
    (b) If the employee filed a petition for a hearing with the 
Assistant Staff Director for Management before the expiration of the 
period provided, then deductions will begin after the hearing official 
has provided the employee with a hearing, and a final written decision 
has been rendered in favor of the Commission.
    (c) A debt will be collected in a lump-sum if possible.
    (d) If an employee is financially unable to pay in one lump sum or 
the amount of the debt exceeds 15 percent of disposable pay for an 
officially established pay interval, collection must be made in 
installments. The size of the installment deduction(s) will bear a 
reasonable relationship to the size of the debt and the deduction will 
be established for a period not greater than the anticipated period of 
employment. The deduction for the pay intervals for any period must not 
exceed 15% of disposable pay unless the employee has agreed in writing 
to a deduction of a greater amount. If possible, the installment 
payment will be sufficient in size and frequency to liquidate the debt 
in no more than three years.
    (e) Installment payments may be less than 15 percent of disposable 
pay if the Assistant Staff Director for Management determines that the 
15 percent deduction would create an extreme financial hardship.
    (f) Installment payments of less than $25.00 per pay period or 
$50.00 per month, will only be accepted in the most unusual 
circumstances.
    (g) Unliquidated debts may be offset by the paying agency under 31 
U.S.C. 3716 against any financial payment due to a separating employee 
including but not limited to final salary payment, retired pay, or lump 
sum leave, etc. as of the date of separation to the extent necessary to 
liquidate the debt.
    (h) If the debt cannot be liquidated by offset from any final 
payment due a separated employee it may be recovered by the offset in 
accordance with 31 U.S.C. 3716 from any later payments due the former 
employee from the United States.


Sec. 708.11  Refunds.

    (a) The Commission will refund promptly any amounts deducted to 
satisfy debts owned to the Commission when the debt is waived, found 
not owed to the Commission, or when directed by an administrative or 
judicial order; or the creditor agency will promptly return any amounts 
deducted and forwarded by the Commission to satisfy debts owed to the 
creditor agency when the debt is waived, found not owed, or when 
directed by an administrative or judicial order.
    (b) Upon receipt of monies returned in accordance with paragraph 
(a) of this section, the Commission will refund the amount to the 
current or former employee.
    (c) Unless required by law, refunds under this section shall not 
bear interest nor shall liability be conferred to the Commission for 
debt or refunds owed by other creditor agencies.


Sec. 708.12  Statute of limitations.

    If a debt has been outstanding for more than 10 years after the 
agency's

[[Page 17554]]

right to collect the debt first accrued, the agency may not collect by 
salary offset unless facts material to the government's right to 
collect were not known and could not reasonably have been known by the 
official or officials who were charged with the responsibility for 
discovery and collection of such debts.


Sec. 708.13  Non-waiver of rights by payments.

    An employee's involuntary payment of all or any part of a debt 
collected under the regulations in this part will not be construed as a 
waiver of any rights that employee may have under 5 U.S.C. 5514 or any 
other provision of contract or law unless there are statutory or 
contractual provisions to the contrary.


Sec. 708.14  Interest, penalties, and administrative costs.

    Charges may be assessed for interest, penalties, and administrative 
costs.

Debra A. Carr,
Deputy General Counsel.
[FR Doc. 02-7925 Filed 4-9-02; 8:45 am]
BILLING CODE 6335-01-P