Compliance Officer (submit such progress reports in duplicate); and

(v) Indicate action to be taken by the PII and/or the contracting activity. (Actions which are the prerogative of a contracting activity will be indicated only after the contracting activity has agreed that it will take the action. Otherwise the PII will recommend action to be taken by the NASA installations or other Government agencies having the authority, furnishing them a copy of the report.)

(4) In the event that general compliance with the Equal Opportunity clause is found, but deficiencies are observed, the deficiencies should be specifically noted in the report, and an indication of action by the contractor to correct the deficiencies should be described.

(5) Make reports complete but keep them brief as possible. Bulky attachments, such as brochures, pamphlets, etc., should be omitted unless they serve a significant purpose other than general information.

(6) Reports of Compliance Reviews shall be signed by the person or persons conducting the review. The letter transmitting the report to the NASA Contracts Compliance Officer from the installation shall be signed by the Director, or by the procurement officer, or by another individual if specifically authorized in writing by the Director. Such authorization shall be made a part of the record at the installation and a copy forwarded to the NASA Contracts Compliance Officer.

(k) The Deputy Contract Compliance Officer or other NASA representatives conducting a compliance review shall discuss the findings with the contractor's officials at the branch or plant location under review. The discussion should summarize the findings, pointing out any violations of the Clause and opportunities for positive approaches to effecting policies and procedures in excess of the requirements of the Clause. If the contractor does not propose appropriate actions to correct the deficiencies, the NASA representative shall suggest such corrections. The contractor's agreement to make corrections shall be made a part of the report of review. The contractor shall be advised that the findings and recommendations discussed with him are subject to review by higher authority within NASA and the President's

Committee, and that further recommendations may be made as a result of such reviews.

It shall be the responsibility of the PII to work with the contractor, as the Government's representative on CEEOP matters, on the corrective actions during the time of review at higher levels. [31 F.R. 661, Jan. 18, 1966]

§ 18-12.806-6 Complaints of alleged equal opportunity violations.

(a) Any applicant for employment or employee who believes himself to be aggrieved, by virtue of a violation of a provision of the Clause by a contractor or subcontractor, may file a complaint of the alleged discrimination. Complaints by employees of alleged EEO violations will be submitted in writing to the Committee, the Administrator, or to an Installation Director. Two copies of each complaint filed directly with an installation shall be forwarded to the NASA Contracts Compliance Officer within 4 days after receipt. The NASA Contracts Compliance Officer will process a copy of the complaint through the NASA Principal Compliance Officer to the Executive Vice Chairman within 10 days from receipt by NASA.

(b) Complaints will be required to be signed by the complainants or their authorized representatives and to contain the following information:

(1) Name and address (including telephone number) of the complainant;

(2) Name and the address of the contractor or subcontractor who committed the alleged discrimination;

(3) A description of the act or acts considered to be discriminatory; and

(4) Any other pertinent information which will assist in the investigation and resolution of the complaint.

(c) Where a complaint contains incomplete information, the recipient will request promptly the needed information from the complainant. In the event such information is not furnished within 60 days from the date of such request, the case may be closed, except, when the facts warrant, the time may be extended by the NASA installation receiving the complaint, NASA Headquarters, or the Executive Vice Chairman. When a case is closed, a summary of the action taken shall be prepared and two copies forwarded to the NASA Contracts Compliance Officer.

(d) The contractor shall be furnished a copy of the complaint with the letter of notification that an investigation is to be conducted (see § 18-12.806-5, paragraph (h)) or at the time of the first visit during the investigation. [31 F.R. 662, Jan. 18, 1966]

§ 18-12.806–7 Processing of complaints.

(a) Complaints submitted or referred to an installation and determined to involve a Government contract or subcontract will be processed in a manner which will assure:

(1) Prompt investigation of statements and allegations contained in the complaint. The investigation shall be preceded by a letter to the contractor as prescribed in § 18-12.806-5, paragraph (h). Such investigations will be made by the Deputy Contracts Compliance Officer who will develop a complete case record, following guidelines in § 1812.806-5, paragraph (j), and include (i) a review of the pertinent personnel practices of the contractor or subcontractor concerned, (ii) the circumstances under which the discriminatory action is alleged to have taken place, and (iii) other factors which may determine whether the contractor or subcontractor in the particular case complied with the provisions of the Equal Opportunity clause set forth in the contract or the subcontract concerned.

(2) Resolution of complaints by conciliatory means whenever possible. If there is reason to believe that the complainant may be subject to retaliation from the contractor because the complaint has been filed, the matter shall be discussed with the officials of the contractor to obtain his full cooperation in avoiding such a possibility.

(3) Discussion of findings and recommendations with the contractor will be conducted in the manner prescribed for compliance reviews in § 18-12.806-5, paragraph (k).

(4) The preparation and submission of a summary report within the time limit prescribed, or within 30 days of receipt if the complaint is submitted directly to the installation or to the NASA Contracts Compliance Officer. The report will set forth: (i) The name and address of the complainant; (ii) a brief summary of the findings; (iii) a statement of the disposition of the case, including any

corrective action taken; (iv) whenever appropriate, recommended additional corrective actions, sanctions, or penalties. The NASA Contracts Compliance Officer will forward the report through the NASA Principal Compliance Officer to the Executive Vice Chairman within the time limit prescribed by the Committee; and (v) prompt notification to the appropriate contractor or subcontractor of the closing of the case in those instances wherein the investigative findings (upon advice from NASA Headquarters of the review and concurrence by the Executive Vice Chairman) show no violation of the clause.

(b) When reports of investigation indicate future corrective actions, the persons, agencies, contractors or others obligated to take the actions will be indicated. Periodic progress reports on accomplishment of the corrections will be prepared and a copy will be furnished the NASA Contracts Compliance Officer.

(c) Reports of complaint investigations shall be signed by the persons conducting the investigation. The letter transmitting the report to NASA Headquarters shall be signed by the Director of the installation, the Procurement Officer, or other individual specifically authorized in writing by the Director. Such authorization shall be made a part of the record at the installation and a copy forwarded to the NASA Contracts Compliance Officer.

[31 F.R. 663, Jan. 18, 1966]

§ 18-12.806–8

Sanctions.

(a) General. When a compliance review or complaint investigation indicates an apparent violation of the Clause, the installation concerned will make every effort to resolve the matter by informal means. This will include, where appropriate, establishing a program for future compliance and/or action to correct any apparent violations of the Clause. If subsequent to such effort at conciliation, solutions to the problem cannot be found, the report of compliance review or investigation containing recommendations for sanctions, if appropriate, will be submitted to the NASA Contracts Compliance Officer. The report shall identify the highest ranking official of the company with whom conciliation has been undertaken. If the Director of Procurement concurs, the NASA Contracts Compliance Officer shall be responsible for advising the official of the

company that NASA proposes to impose or recommend the imposition of sanctions because of the violations (see § 1812.806-7, subparagraph (b)). If a contractor or subcontractor, without a hearing, has complied with the recommendations or orders of the PIA, a NASA installation, or the Administrator, but believes such recommendations or orders to be erroneous, he shall, upon filing a request therefor within 10 days after such compliance, be afforded an opportunity for a hearing and review of the alleged erroneous action under § 18-12.808.

(b) Termination. (1) NASA contracts or subcontracts will not be terminated in whole or in part for failure to comply with the provisions of the Clause without the prior approval of the Administrator. Whenever it is proposed to terminate a NASA contract or subcontract, the contractor or subcontractor will be notified in writing of such proposed action and will be given 10 days (or such longer period as the Administrator, with the approval of the Executive Vice Chairman, may consider appropriate) from the date of receipt of the notice either to comply with the provisions of the contract or to submit a request for a hearing under § 18-12.808.

(2) If the contract or subcontract recommended for termination is not a NASA contract, the recommendation will, upon concurrences of the NASA Principal Compliance Officer, be referred by the NASA Contracts Compliance Officer to the contracting agency, together with a copy of the compliance review, investigation, or other summary of findings upon which the case is based. The contracting agency will be requested to advise NASA within 5 work days after receipt of the recommendations of the action it plans to take. The NASA Contracts Compliance Officer will advise the Executive Vice Chairman, through the NASA Principal Compliance Officer, of the action contemplated by the contracting agency, furnishing him with a copy of the findings and recommendations in the case.

(c) Debarment and suspension. (1) NASA will not debar or suspend a contractor or subcontractor for failure to comply with the Equal Opportunity clause, except upon approval of the Administrator and the Executive Vice Chairman. In every case where debarment or suspension is being proposed, the

contractor or subcontractor will be notified in writing of the proposal and given 10 days from the date of receipt of such notice in which to mail a request for hearing under § 18-12.808, or for a hearing before the Committee (see §§ 181.604-2(c) and 18-1.605-3 (ii)).

(2) If the NASA Principal Compliance Officer concurs with the recommendations of the installation for debarment or suspension of a non-NASA contractor or subcontractor, the procedure in (b) above will be followed.

(d) Criminal prosecution. An installation may recommend action by the Department of Justice where the compliance review or investigation reveals substantial or material violation or threat of contractual violations set forth in § 18-12.802 or if there is evidence that false information has been furnished during the compliance reviews, investigations or contract management relationships with contractors or subcontractors. Any recommendations for criminal prosecution will be made to the NASA Principal Compliance Officer, through the Director of Procurement and will be reviewed by the NASA Contracts Compliance Officer. No recommendation for prosecution will be made to the Department of Justice except by the NASA Principal Compliance Officer, and only after having obtained the advice of the Office of General Counsel and the Director of Procurement or his authorized representative. Also no recommendation for prosecution will be made to the Department of Justice until the expiration of 10 days (unless a longer period is fixed by the NASA Principal Compliance Officer with the approval of the Executive Vice Chairman) from the date of mailing of the notice of such proposed referIral to the contractor or subcontractor involved, affording him an opportunity to comply with the provisions of the Orders. If a recommendation for referral to the Department of Justice involves a contract or subcontract of an agency other than NASA, the procedures in (b) above will be followed.

[31 F.R. 663, Jan. 18, 1966]

§ 18-12.807 [Reserved] [31 F.R, 664, Jan. 18, 1966]

§ 18-12.808 Hearings. [31 F.R. 664, Jan. 18, 1966]

NASA hearings may be held when approved by the NASA Principal Compliance Officer if an apparent act of discrimination, in violation of the contractual provisions as shown by com-. pliance reviews or investigations, is not resolved informally by conference, conciliation, mediation, persuasion or other means. Hearings will be held when:

(a) A contractor or subcontractor who has complied with the recommendations or orders of the installation, but believes such recommendations or orders to be erroneous, and requests a hearing thereon; or

(b) The NASA Principal Compliance Officer proposes to debar or suspend a contractor or subcontractor, or to terminate a contract or subcontract and the contractor or subcontractor requests a hearing.

[31 F.R. 664, Jan. 18, 1966]

§ 18-12.808-2 Delegation of hearing authority and place of hearing.

(a) The NASA Principal Compliance Officer may delegate in writing to any individual, individuals or board (hereinafter referred to as the hearing authority) all the authority delegated to him by the Administrator, to give notice of hearings, to conduct hearings, and to make findings of fact and recommendations with respect to determining whether a contractor or subcontractor is or has been in violation of the contract clause. A separate hearing authority will be established for each hearing and will remain established until completion of the hearing and a report of findings and recommendations has been made to the Administrator. Each hearing authority may adopt its own rules of procedure provided they are not inconsistent with this Subpart 18–12.8. The place of the hearing will be established in the letter or document designating the hearing authority. The place of hearing will be one which is considered convenient to the parties involved. Normally, it will be established at an installation meeting the convenience criteria.

(b) If the hearing authority is delegated to a board, the board will be composed normally of not more than five members and one non-voting recorder. The members will include (1) one member experienced in contract management; (2) one member trained in law;

a

(a) Whenever a hearing is to be held, cause the hearing authority shall written notice to be served upon the contractor or subcontractor in the manner hereinafter provided. The notice shall include the following items:

(1) A statement of the time, place, and purpose of the hearing, and the authority and jurisdiction under which it will be held. The statement as to purpose need only identify the contract clause, the contracts or subcontracts involved, and the ultimate facts to be determined. The time of the hearing shall not be less than 10 calendar days after service of the notice.

(2) Brief allegations in reasonable detail setting forth the circumstances surrounding the act or acts of discrimination, the name(s) of the complainant (s), and the approximate date and place of each alleged discriminatory act. Such allegations need be only sufficient to apprise the contractor or subcontractor reasonably of the issues involved in the hearing.

(3) A request that the contractor or subcontractor answer in writing, the allegations of the notice, including in his answer such facts or arguments as he may wish, and that he attend the hearings to adduce such evidence with respect to the alleged discrimination as he may desire.

(b) Service shall be made by mailing by registered or certified mail, return receipt requested, a copy of the notice to the contractor or subcontractor. [31 F.R. 664, Jan. 18, 1966]

§ 18-12.808-4 Continuances and delays. The authority to grant continuances or to adjourn the hearing shall rest with the person presiding at the hearing. Continuances will only be allowed for the most compelling reasons. [31 F.R. 664, Jan. 18, 1966]

§ 18-12808-5 Parties.

The parties to the hearing will be the contractor or subcontractor concerned with the Government.

[31 F.R. 664, Jan. 18, 1966]

§ 18-12.808-6 Representation and hearing assistants.

The parties may be represented at the hearing and proceedings incident thereto by legal counsel. Upon the appearance of record of legal counsel of the contractor and subcontractor in the proceedings, service of papers as may thereafter be required may be made upon such legal counsel. The NASA Contracts Compliance Officer will make the necessary physical arrangements for the hearing and provide such administrative services, including a reporter, secretary or notary, as may be required. NASA Headquarters offices and field installations shall detail such personnel and furnish such other assistance for the conduct of the hearing as is requested by the NASA Contracts Compliance Officer.

[31 F.R. 664, Jan. 18, 1966]

Hearings will be as informal as may be reasonably appropriate under the circumstances. Evidence and testimony not ordinarily admissible under legal rules of evidence may be received subject to the discretion of the person presiding at the hearing. Immaterial, irrelevant, or unduly repetitious evidence shall be excluded. The parties may stipulate as to any facts or testimony. The testimony of witnesses shall be under oath and witnesses shall be subject to crossexamination. The individual presiding at the hearing shall make such rulings with respect to the conduct of hearings as circumstances may require to ensure the orderly and expeditious presentation of evidence in a manner fair

to the parties and consistent with this Subpart 8 and requirements of due process of law.

[31 F.R. 665, Jan. 18, 1966]

§ 18-12.808-9 Depositions.

Following service of the notice of hearing, depositions may be taken as herein provided, and placed in evidence whenever the ends of justice will be served thereby.

(a) Notice to take. When either party desires to take a deposition, unless the parties stipulate as to the time when, and place where, the deposition is to be taken, the name of the officer before whom it is to be taken, and the names and addresses of the witnesses, the moving party shall give to the opposite party at least 10 days notice of the time when and the place where such deposition will be taken; the name and address and official title of the officer before whom it is proposed to take the deposition, and the names of the witnesses. A deposition may be taken either upon written interrogatories or upon oral examination, as may be specified in the notice. If the deposition is to be taken upon written interrogatories, copies thereof must accompany the notice to take depositions; if the opposite party desires to submit cross-interrogatories, written cross-interrogatories should be served upon the party giving the notice within 5 workdays from the receipt of the notice to take deposition. Notices may be served upon the contractor or subcontractor as provided in § 18-12.808-3 or upon his legal counsel of record. Service upon the Government may be made upon the person signing the notice of hearing or the Government representative of record. If service is made by mail, the mail shall be registered or certified and service will be complete upon mailing.

(b) Taking depositions. Depositions may be taken before and authenticated by any officer, authorized by the laws of the United States or by the laws of the place where the deposition is taken, to administer oaths. Witnesses shall be under oath and shall be subject to crossexamination as at the hearing. Any objections to questions shall be noted in the deposition and reserved for determination at the hearing. Each deposition shall show the caption of the proceeding, the place and date of taking, the names of the witnesses, and the party by whom