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contracts or subcontracts entered into $ 60–1.6 Compliance reports. prior to the effective date of the with

(a) Requirements for contractors and drawal.

subcontractors. (1) Each agency shall $ 60–1.5 Duties of agencies.

require each nonexempt contractor to (a) General responsibility. The head

file, and each nonexempt contractor and of each agency shall be primarily re

subcontractor shall cause their nonsponsible for obtaining compliance with

exempt subcontractors to file timely, the equal opportunity clause,


complete and accurate compliance reOrders, the regulations in this part, and

ports in accordance with, and to the any relevant orders of the Committee.

extent required by, the instructions at. Each agency shall furnish the Commit

tached to the official compliance report tee such information and assistance as

forms, as well as to furnish such other it may require in the performance of its

pertinent information as may be refunctions under the Orders.

quested by the agency, the applicant, or (b) Contracts Compliance Officers

the Executive Vice Chairman. and Deputy Contracts Compliance Offi

(2) Compliance reports shall be filed cers; designations; duties. The head of at the times specified by the instruceach agency shall appoint from among

tions attached to such forms or at such its personnel a Contracts Compliance

other times as may be required by the Officer, who shall be subject to the im- agency or the Executive Vice Chairman. mediate supervision of the head of the The agency, with the approval of the agency for carrying out the responsi

Executive Vice Chairman, may, in apbilities of the agency under this part.

propriate cases, extend the time for the The head of the agency or the Contracts

filing of compliance reports. Compliance Officer may also designate,

(3) Compliance report forms may be when appropriate, Deputy Contracts obtained from the agency, the applicant Compliance Officers to assist the Con- or from the prime contractor. Among tracts Compliance Officer in the per

other things, the forms shall provide formance of his duties. The name of

that whenever the contractor or subeach Contracts Compliance Officer and

contractor has a collective bargaining any Deputy Contracts Compliance Offi

agreement or other contract or undercers, their addresses, telephone num

standing with a labor union or other bers, and any changes made in their

representative of employees, informadesignation shall be furnished to the

tion shall be furnished as to the labor Executive Vice Chairman.

union or other workers' representative's (c) Regulations. (1) The head of

practices and policies affecting comeach agency may prescribe, subject to

pliance, and in connection therewith, the prior approval of the Executive Vice

the contractor or subcontractor shall Chairman, regulations not inconsistent

request the union or workers' reprewith those in this part for the admin

sentative for any necessary data within istration of the provisions of the Orders.

its possession. Where such information (2) Each administering agency shall

is within the exclusive possession of a prescribe, subject to the prior approval

labor union or other workers' repreof the Executive Vice Chairman, regula

sentative and the labor union or other tions or other appropriate instructions

workers' representative shall fail or rerequiring that applicants for Federal

fuse to furnish such information, the assistance shall undertake and agree to

contractor or subcontractor shall so the clause set forth in $ 60-1.3(b) (1),

certify in his report and shall set forth and indicating that the agency shall be

what efforts he has made to obtain such primarily responsible for compliance.

information. When such failure or re(3) Prior to the receipt of the ap

fusal is certified to an agency, it shall proval of the Executive Vice Chairman, immediately advise the Executive Vice current agency regulations, and pro

Chairman. posed regulations or instructions relating (4) Failure to file timely, complete to applicants, may be enforced to the and accurate compliance reports as reextent that they are not inconsistent quired constitutes noncompliance with with the regulations in this part and the contractor's obligations under the with the Orders.

equal opportunity clause and is ground

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for the imposition by the agency or the policies do not discriminate on the atrccto Committee of any of the sanctions avail- grounds of race, color, creed, or national agam able under the Orders.

origin, and that the labor union or other (b) Requirements of bidders or pro- workers' representative either will afpatrze spective contractors—(1) Compliance re- firmatively cooperate, within the limits the ports. Each agency shall require any of its legal and contractual authority, in fle bidder or prospective contractor, or any the implementation of the policy and IN of their proposed subcontractors, to provisions of the Orders or that it con

200 state as an initial part of the bid or sents and agrees that recruitment, emtieto negotiations of the contract whether it ployment and the terms and conditions eo has participated in any previous con- of employment under the proposed con

tract or subcontract subject to the equal tract shall be in accordance with the Daj opportunity clause; and, if so, whether purposes and provisions of the Orders.

it has filed with the Committee or In the event the union or other workers' agency all compliance reports due under representative fails or refuses to execute applicable instructions. In any case in such a statement, the bidder or prowhich a bidder or prospective contractor spective contractor shall so certify, and

or proposed subcontractor which has state what efforts have been made to in participated in a previous contract

secure such a statement. When such subcontract subject to the equal oppor- failure or refusal has been certified, the tunity clause has not filed a compliance agency shall immediately advise the report due under applicable instruc- Executive Vice Chairman. tions, such bidder, prospective contractor or proposed subcontractor shall be required by the agency to submit a compliance report prior to the award

$ 60–1.7 Compliance by labor unions. of the proposed contract or subcontract. (a) The Executive Vice Chairman In all other cases, the agency may, or shall use his best efforts, directly and upon the direction of the Executive Vice through agencies, contractors, subconChairman, shall, require the submission tractors, applicants, State and local of a compliance report by a bidder or officials, public and private agencies, and prospective contractor, or proposed sub- all other available instrumentalities, to contractor, prior to the award of the cause any labor union, recruiting agency contract or subcontract. When a deter- or other representative of workers who mination has been made to award a con- are or may be engaged in work under tract to a specific contractor, such con- contracts to cooperate with, and to comtractor may be required, prior to award, ply in the implementation of, the purto furnish such other pertinent infor- poses of the Orders. mation regarding its own employment (b) In order to effectuate the purpolicies and practices as well as of its poses of paragraph (a) of this section, proposed subcontractors as the agency, the Executive Vice Chairman may hold the applicant, or the Executive Vice hearings, public or private, with respect Chairman may require.

to the practices and policies of any such (2) Union statement. Each agency labor organization. may as a part of the bid or negotiation (c) The Executive Vice Chairman of the contract, or upon the direction of may also notify any Federal, State, or the Executive Vice Chairman, shall, local agency of his conclusions and recdirect any bidder or prospective con- ommendations with respect to any such tractor, or any of their proposed sub- labor organization which in 'his judgcontractors, to file a statement in writing ment has failed to cooperate with the (signed by an authorized officer or agent Committee, agencies, contractors, subof any labor union or other workers' contractors, or applicants in carrying representative with which the bidder or out the purposes of the Orders. prospective contractor or subcontractor,

$ 60–1.8 Use of compliance reports. deals or has reason to believe he will deal in connection with performance of The agency and the Committee shall the proposed contract), together with use compliance reports only in connecsupporting information, to the effect tion with the administration of the that the said labor union's or other Orders or the furtherance of their workers' representative's practices and purposes.

33–646 0-65–42

Subpart B-General Enforcement; 8 60–1.21 Who may file complaints. Complaint Procedure

Any employee of any contractor or 8 60–1.20 Compliance review by the

subcontractor or applicant for employagency.

ment with such contractor or subcon

tractor who believes himself to be ag(a) General. The purpose of com

grieved under the equal opportunity pliance reviews shall be to ascertain the extent to which the Orders are being

clause, may, by himself or by an au

thorized representative, file in writing a implemented by the creation of equal employment opportunity for all qualified

complaint of alleged discrimination.

Such complaint must be filed not later persons in accordance with the national

than 90 days from the date of the alleged policy. They are not intended to inter

discrimination, unless the time for filing fere with the responsibilities of em

is extended by the agency or the Execuployers to determine the competence and

tive Vice Chairman upon good cause qualifications of employees and appli

shown. cants for employment. Both routine and special reviews shall be conducted $ 60–1.22 Where to file. by agencies to ascertain the extent to

Complaints may be filed with the which contractors and subcontractors

agency or with the Committee. Those are complying with the Orders, and to filed with the Committee may be referred furnish information that may be useful

to the agency for processing, or they to agencies and the Committee in carry

may be processed in accordance with ing out their functions under the Orders.

$ 60–1.26. Where complaints are filed If a contractor or subcontractor has con- with the agency, the Contracts Complitracts or subcontracts involving more ance Officer shall transmit a copy of the than one agency, the agency having the predominant interest shall normally con

complaint to the Executive Vice Chair

man within ten days after the receipt duct compliance reviews.

The agency

thereof and shall proceed with a prompt under which the contractor or subcon

investigation of the complaint. When tractor holds the largest aggregate dol

a complaint is filed against a contractor lar value of contracts or subcontracts at or subcontractor who has contracts inthe time of filing of the most recent

volving more than one agency, the compliance report shall be deemed to have the predominant interest in any

agency having the predominant interest

in such contracts shall normally conproceeding under this part, unless other

duct the investigation and make such wise provided by the Executive Vice

findings and determinations as shall be Chairman. (b) Routine compliance review.

appropriate for the administration of A

the Orders. routine compliance review consists of a general review of the practices of the

8 60–1.23 Contents of complaint. contractor or subcontractor to ascertain compliance with the requirements of the (a) The complaint should include the Order. A routine compliance review following information: The name and shall be considered a normal part of address (including telephone number) of contract administration.

the complainant; the name and address (c) Special compliance review. A spe- of the contractor or subcontractor comcial compliance review consists of a com- mitting the alleged discrimination; a prehensive review of the employment description of the acts considered to practices of the contractor or subcon- be discriminatory; and any other pertitractor with respect to the requirements nent information which will assist in the of the Order. Special compliance re- investigation and resolution of the comviews shall be conducted by the Execu- plaint. The complaint shall be signed tive Vice Chairman; or the agency (1) by the complainant or his authorized from time to time, (2) when special cir- representative. cumstances, including complaints which (b) Where a complaint contains inare processed under $ 60–1.24, warrant, complete information, the agency or the or (3) when requested by the Executive Executive Vice Chairman (when acting Vice Chairman. The agency shall re- pursuant to $ 60–1.26), shall seek port the results of any special compliance promptly the needed information from review conducted by it to the Executive the complainant. In the event such inVice Chairman.

formation is not furnished to the agency or the Executive Vice Chairman within is that a violation of the equal opportu60 days of the date of such request, the nity clause has taken place, the agency case may be closed.

may make recommendations to the Exec

utive Vice Chairman, may cause the can$ 60–1.24 Processing of matters by cellation, termination, or suspension of agencies.

the contract or subcontract pursuant to (a) Investigations. (1) The agency

section 312 of the Order, or may with shall institute a prompt investigation

the approval of the Executive Vice of each complaint filed with it or re

Chairman impose such other sanctions as ferred to it, and shall be responsible for

seem necessary and appropriate to carry developing a complete case record. The

out the purposes of the Orders. No case investigation should include, where ap

shall be referred to the Department of propriate, a review of the pertinent per

Justice under section 312(b) of the sonnel practices and policies of the con

Order and no contract or subcontract tractor or subcontractor, the circum

shall be cancelled or terminated in whole stances under which the alleged dis

or in part under section 312(d) of the crimination occurred, and other factors Order without compliance with $ 60–1.28. relevant to a determination as to whether

Whenever delarment from contracts unthe contractor or subcontractor has com

der section 312(e) of the Order may be plied with the equal opportunity clause.

proposed by the agency, it shall afford (2) Whenever a compliance review, re

the contractor or subcontractor an opport or other procedure indicates the portunity for a hearing before the head possible violation of the equal oppor- of the agency or his authorized repretunity clause, the agency shall institute sentative in accordance with $ 60–1.27. such investigation as shall be necessary When a contractor or subcontractor, and shall be responsible for developing without a hearing, shall have complied a complete case record.

with the recommendations or orders of (b) Resolution of matters. (1) If the an agency or the Executive Vice Chairinvestigation by the agency pursuant to man and believes such recommendations paragraph (a) of this section shows no or orders to be erroneous, he shall upon violation of the equal opportunity clause, filing a request therefor within 10 days the agency shall so inform the Commit- of such compliance be afforded an optee. The Executive Vice Chairman shall portunity for a hearing and review of review the findings and upon concur- the alleged erroneous action by the rence therewith he shall so advise the agency or the Executive Vice Chairman agency, which shall in turn notify the as the case may be. applicant, if any, the appropriate con- (c) Report to the Executive Vice tractors and subcontractors, and the Chairman. (1) Within 60 days from recomplainant, if any, and the case shall ceipt of a complaint by the agency, or be closed. If upon review, the Execu- within such additional time as may be tive Vice Chairman does not concur with allowed by the Executive Vice Chairman the findings of the agency, he may re- for good cause shown, the agency shall quest further investigation by the process the complaint and submit to the agency or may undertake such investi- Executive Vice Chairman the case record gation by the Committee as he may and a summary report containing the deem appropriate.

following information: (2) If any investigation under para- (i) Name and address of the comgraph (a) of this section indicates the plainant; existence of an apparent violation of (ii) Brief summary of findings, inthe equal opportunity clause, the matter cluding a statement as to the agency's should be resolved by informal means conclusions regarding the contractor's whenever possible.

compliance or noncompliance with the (3) If a matter in which the investi- requirements of the Order; gation has shown apparent discrimina- (iii) A statement of the disposition of tion is not resolved by informal means, the case, including any corrective action the agency may afford the contractor or taken and any sanctions or penalties imsubcontractor an opportunity for a hear- posed or, whenever appropriate, the recing before reporting its findings and rec- ommended corrective action and sancommendations to the Executive Vice tions or penalties. Chairman, as provided in paragraph (c) (2) As to any other matter processed of this section. If the agency's decision by the agency involving an apparent violation of the Orders, the agency shall The agency shall take such action, and submit to the Executive Vice Chairman report the results thereof to the Execua report containing a brief summary of tive Vice Chairman within the time the findings, including a statement as specified in individual cases. to the agency's conclusions regarding the contractor's compliance or noncompli- $ 60–1.27 Hearings. ance with the requirements of the Order,

(a) General hearing procedure (1) and a statement of the disposition of the

Notice. Whenever a hearing is to be case, including any corrective action

held pursuant to Subpart B of this part taken and any sanctions or penalties im

reasonable notice of such hearing shall posed or, whenever appropriate, the rec

be given by registered mail, return reommended corrective action and sanc

ceipt requested, to the contractor or subtions or penalties.

contractor complained against. Such $ 60-1.25 Assumption of jurisdiction by notice shall include (i) a convenient

the Executive Vice Chairman over time and place of hearing, (ii) a statematters before an agency.

ment of the provisions of the Order and The Executive Vice Chairman may in

regulations pursuant to which the hearquire into the status of any matter pend

ing is to be held, and (iii) a concise ing before an agency, including com

statement of the matters pursuant to plaints and matters arising out of re

which the action forming the basis of ports, reviews, and other investigations,

the hearing has been taken or is proposed and where he considers it necessary or

to be taken. appropriate to the achievement of the (2) Hearings. The Executive Vice purposes of the Orders he may assume

Chairman, the head of the agency, or jurisdiction over the matter and proceed

such other official or officials designated as provided in $ 60–1.26.

as hearing officers shall regulate the

course of the hearing. Hearings shall be 8 60–1.26 Processing of matters by the

informally conducted. Every party shall Executive Vice Chairman.

have the right to counsel, and a fair (a) The Executive Vice Chairman may opportunity to present his case or deprocess matters over which he assumes fense including such cross-examination jurisdiction under $ 60–1.25 or other mat- as may be appropriate in the circumters, including complaints and matters stances. Hearing officers shall make arising out of special compliance reviews their proposed findings and recomconducted or ordered by the Executive mended conclusions upon the basis of the Vice Chairman. Whenever the Executive record before them. Vice Chairman processes any matter he (b) Contract ineligibility cases. When may conduct, or have conducted, such hearings are held pursuant to section investigations, hold such hearings, make 310(b) of the Order to declare a consuch findings, issue such recommenda- tractor or subcontractor ineligible for tions and directives and order such sanc- further contracts, the procedure provided tions and penalties as may be necessary in paragraph (a) of this section shall be or appropriate to achieve the purposes of followed except as hereinafter set forth. the Orders.

(1) Notice of proposed ineligibility. (b) No case shall be referred to the Before any determination is made to Department of Justice under section 312 declare any contractor or subcontractor of the Order and no contract shall be ineligible for further contracts or subcancelled or terminated in whole or in contracts under sections 301 and 312 of part under section 312(d) of the Order the Order, a notice of proposed deterwithout compliance with $ 60–1.28. mination in writing and signed by the Whenever debarment from contracts Executive Vice Chairman or head of the under section 312(e) of the Order may agency, or his authorized representative, be proposed, the Executive Vice Chair- as the case may be, shall be sent to the man shall afford the contractor an op- last known address of the contractor or portunity for a hearing in accordance subcontractor, return receipt requested. with $ 60–1.27.

(2) Hearing request. Whenever & (c) The Executive Vice Chairman contractor or subcontractor has been shall promptly notify the agency of any notified by an agency of a proposed decorrective action to be taken or any termination of contract ineligibility sanctions to be imposed by the agency. under the Orders, such contractor or

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