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against merchants who discriminate nity Action Memo 66 or OEO Instrucmay sometimes be necessary. However, tions 6907-1 or 6907–2.1 such direct action must meet the fol- (b) Any employee who participated in lowing tests of permissibility in order a form of direct action which as for a community action employee or planned and initially carried out is volunteer to participate while in per- legal and permissible under $1069.1-4, formance of his duties:

but during which some illegal acts are (1) It must not be forbidden under committed by individuals, is respon$1069.1-5.

sible only for his individual actions. (2) It must be directly related to the program objectives of the grantee or

81069.1-6 Distinction between staff acdelegate agency.

tions and private actions of employ. (3) It must have been planned as a re ees. sult of a decision by a neighborhood or (a) Whether in a particular instance other representative group or by pro- an employee may be considered to be gram beneficiaries, not solely by staff acting in his capacity as a private citiworkers. Direct action activities are a zen, and therefore to be generally exlegitimate part of community action empt from the limitations of this subonly to extent that they present a gen part, depends less on the question of uine expression of the needs, desires, whether the person is formally on duty and formulated demands of the neigh- (1.e., whether the unlawful direct acborhood itself, determined in a demo tion takes place during his regular cratic fashion after consideration of working hours), than on the question the ends to be achieved and of the ad of the employee's relationship to the vantages and disadvantages of the var group which is engaged in the activity. ious alternative courses of action. In Where this relationship is such that this process, program staff members the participants or the public might can provide assistance and information reasonably conclude that he is acting but must not seek to impose their own

as an employee (for example, because views

as part of his job he has been working

with the participating group, or in the 8 1069.1–5 Unallowable direct action.

neighborhood with which they are (a) No employee or volunteer engaged identified), he should consider himself in carrying out the program of an subject to the restrictions on involveagency financially assisted under title

ment in illegal direct action; and any II or III-B shall, while in performance

doubt should be resolved in this direcof his duties:

tion. This is so regardless of the time (1) Plan, participate in, or provide as

at which the event occurs, or whether sistance to others in carrying out any the employee is, as a formal matter, on form of direct action which is in viola

or off duty. It follows that no employee tion of Federal, State, or local law or

may avoid the limitations by simply an outstanding injunction of any Fed

taking leave time, or relying upon the eral, State, or local court.

fact that a given activity occurs in the (2) Plan, participate in, or provide as

evening or on a weekend. sistance to others in carrying out any

(b) Although volunteers are not inform of direct action which is designed

cluded in the discussion in paragraph with the intent to involve physical vio

(a) of this section, they must take realence, destruction of property, or phys

sonable precautions against identifying ical injury to persons. On the contrary,

their off-duty activities with a grantee local agency staff should affirmatively

or delegate agency. do what they can to prevent such activities and to discourage any direct 81069.1-7 Responsibilities of commuaction that is violent in manner or pur nity action agencies. pose or is calculated to incite civil dis

(a) Section 213(a) of the Economic orders. (3) Commit any actions in connection

Opportunity Act requires each commu

nity action agency to adopt rules for with riots, political activity, or lobbying which are prohibited by Commu

Not filed with the Office of the Federal Register.

Subpart 1069.2--Limitations With

Respect to Unlawful Demonstrations, Rioting and Civil Disturbances (CSA Instruction 6907-2)

AUTHORITY: Sec. 602, 78 Stat. 530; 42 U.S.C. 2942.

itself and its delegate agencies which define staff responsibilities in regard to advocacy on behalf of the poor in such a way as to prohibit participation in unlawful direct action. This requirement will be considered to be met by the agency's adoption of the provisions of this subpart and by making these rules available to all employees in writing.

(b) If, however, the agency wishes to adopt its own rules it may do so, providing that the provisions of this subpart are included in those rules and that none of these provisions are contradicted by the agency's additional rules.

(c) In either case, the agency must specifically inform employees and vol unteers of the provisions contained in such rules and of the possible sanctions for noncompliance.

[graphic]

$ 1069.2–1 Applicability of this subpart

This subpart applies to all full-time and part-time employees and volunteers engaged in carrying out the program of any organization financially assisted under the Economic Opporassisted under ta tunity Act of 1964, as amended. (33 FR 17143, Nov. 19, 1968]

§ 1069.1-8 Enforcement.

(a) The initial and primary responsibility for enforcement of this subpart in connection with projects assisted under title II and III-B is with the local grantees and delegate agencies responsible for those projects. Each such agency will be expected to investigate and to take appropriate action in response to any specific information which comes to its attention concerning possible violation of the requirements of this subpart. Any personnel actions against employees resulting from such investigation are subject to the grievance procedures required under CA Memorandum 23-A 1035 affording the employee a prompt and fair consideration of his grievance.

(b) Each grantee or delegate agency shall promptly inform the OEO Regional or appropriate grant approval office of any allegation charging a person within its jurisdiction with violating the provisions of this subpart indicating the action that the agency is taking regarding the matter.

81069.2–2 Policy.

(a) Each grantee and delegate agency is required to take appropriate steps to insure that financial assistance under the Economic Opportunity Act is not employed to aid or assist in the conduct of any unlawful demonstration, rioting, or civil disturbance. In particular, each agency must take such action as is appropriate in the light of local circumstances to insure that persons employed in connection with assisted programs, as well as volunteers, do not use their position in the program to plan, initiate, participate in, or otherwise aid or assist in the conduct of any unlawful demonstration, rioting, or civil disturbance. Toleration on the part of agency officials of such behavior by their employees may be considered cause for suspending or terminating the grant.

(b) Rioting and similar violence are wholly inconsistent with the goals of community action. Not only do they undercut the effort to bring the poor into the mainstream of community life, but the harm they do falls most heavily on the poor.

(c) Community action agencies and other CAP grantees have additional responsibilities, however, beyond insuring that no one uses the program to foster violence. Because of its important role as a link between the poor and the public and private agencies which can help solve some of the prob

0351 Not filled with Office of Federal Register.

ems of poverty, a community action gency or other CAP grantee has an mportant role (1) in developing grievince-response mechanisms between esidents of poor neighborhoods and ocal government agencies and other nstitutions, and (2) if violence should ccur or be threatened, in opening hannels of communication between he disaffected elements and the comnunity leadership. The report of the National Advisory Commission on Civil Disorders cited several examples of constructive counterriot measures undertaken by community action agencies. In addition the Commission highlighted the significance of efforts to involve the poor through "maximum feasible participation" in program development and administration and in community decision-making as effective measures to counter the causes and symptoms of riots.

(d) The preceding subpart “Employee Participation in Direct Action,” of this part discusses lawful demonstrations and other types of direct action in which CAP grantees may engage. (33 FR 17143, Nov. 19, 1968] $ 1069.23 Enforcement.

The initial and primary responsibility for enforcement of this subpart rests with local grantees and delegate agencies. Such agencies shall

(a) Take all feasible measures to prevent the employment in their programs of persons who are likely to use their positions as agency employees to promote violence or unlawful disorder. This shall not be construed to prohibit automatically the hiring of persons with prior criminal records. Policies

nal records. Policies governing the hiring and rehabilitation of persons with prior conviction records are found in Community ACtion Memo 23-A.1

(b) Terminate any employee, or discontinue using the services of any volunteer, who the agency determines, on the basis of substantial and material evidence, has been using his position with the agency to promote violence or disorder. Such personnel actions are subject to the grievance procedures required under CA Memorandum 23-A1036

affording the employee a prompt and fair consideration of his grievance. (33 FR 17143, Nov. 19, 1968) 81069.2-4 Reminder concerning

antiriot provision in the Economic

Opportunity Amendments of 1966. Section 1201 of the Economic Opportunity Amendments of 1966 provides that no funds appropriated for the fiscal year 1967 could be used “to provide payments, assistance, or services, in any form, with respect to any individual who is convicted, in any Federal, State, or local court of competent jurisdiction, of inciting, promoting, or carrying on a riot, or any group activity resulting in material damage to properly or injury to persons, found to be in violation of Federal, State, or local law designed to protect persons or property in the community concerned." This law continues to apply to the use of all funds granted during the fiscal year 1967 (July 1, 1966, to June 30, 1967). Note that it bars benefits to, as well as employment of, persons convicted of certain crimes in connection with riots and group disorders. (33 FR 17143, Nov. 19, 1968]

Subpart 1069.5—(Reserved)

Subpart 1069.6–Policy Guidance

on Lobbying Activities (CSA

Instruction 6907-01) AUTHORITY: Sec. 602(n), 78 Stat. 530; 42 U.S.C. 2942.

SOURCE: 38 FR 6896, Mar. 14, 1973, unless otherwise noted. Redesignated at 38 FR 14172, May 30, 1973.

8 1069.6-1 Applicability of this subject.

This subpart applies to all grants made under the authority of titles II, III-B and VII of the Economic Opportunity Act of 1964, as amended, if the assistance is administered by OEO.

8 1069.6–2 Purpose of this subpart.

Many of the problems which cause or aggravate poverty are bound up with harsh or outmoded laws. Others can be most effectively attacked by the passage of new legislation. Community action is thus inevitably concerned with the shape of the laws which affect the

[blocks in formation]

poor. On the other hand, there are necessarily very sharp limitations on the use of project funds by grantee and delegate agencies to influence the passage or defeat of legislation. Moreover, there are certain kinds of lobbying which interfere with the work of legislatures and thus impair the basic processes of democratic self-government. The primary purpose of this support is to identify essential restrictions on lobbying activities by grantees and delegate agencies that receive OEO funds under titles II, III-B, and VII of the Economic Opportunity Act. The subpart also serves as a reminder that under Federal (and many State) tax laws, private nonprofit agencies may endanger their capacity to receive taxdeductible contributions if they engage in substantial lobbying activities.

(a) Restrictions on lobbying with project funds. Project funds may not be used to support any of the following:

(1) Any activity which is planned and carried out in such a manner as to disrupt the orderly conduct of business by Congress or any other legislative body. This includes, but is not limited to, any disruptive action carried on in the chambers of Congress or any other legislative body or in any capitol or legislative office building.

(2) Any demonstration, rally, picketing, or other form of direct action aimed at the family or home of a member of a legislative body for the purpose of influencing his actions as a member of that body.

(3) Any campaign of advertising carried on through commercial media for the purpose of influencing the passage or defeat of legislation.

(4) Any campaign of letter writing, of other mass communications, or of mass visits to individual members of Congress or State legislatures for the purpose of influencing the passage or defeat of legislation. This restriction does not prohibit purely informational and educational activities involving target areas and groups.

(5) Project funds may not be used to pay dues or to support any organization or group which devotes or contributes any of its resources from whatever source to any activity, the purpose of which is to influence legislation or to politicize. For purposes of the above,

the amount of resources devoted to such activity is immaterial. These restrictions on use of project funds apply to Federal and matching non-Federal shares of approved program budgets under titles II, III-B and VII of the Economic Opportunity Act and include the use of equipment, material, and facilities and employee time and services which are either paid for with project funds or contributed to project funds. These restrictions are not intended to limit the rights of individuals to express their personal views on public issues so long as they do so in their capacity as private citizens rather than employees. Nor are they intended to limit the freedom of local agencies to express their views on legislation so long as project funds are not used in violation of the foregoing limitations.

(b) Reminder concerning tar implications of lobbying. Under Federal income, estate, and gift tax laws, gifts made to private nonprofit organizations which devote a substantial part of their activities to carrying on propaganda or other activities aimed at influencing legislation, are not considered tax deductible “charitable contributions." This applies not only to Federal and State legislation but also to the legislative actions of county and city councils and similar local bodies. Many State tax laws contain similar provisions.

(1) In view of these tax laws, private nonprofit grantee and delegate agencies should bear in mind that if they devote any substantial part of their ac tivities to lobbying efforts, they may be endangering their ability to receive tax-deductible contributions. Such contributions may represent an important means of providing the non-Federal share required in programs assisted under sections 221 and 222(a) of the Economic Opportunity Act. They also enable many local agencies to carry out other programs of assistance to the poor, apart from the Act.

(2) There are no published rules defining what is meant under the Federal tax laws by the term "substantial" lobbying activities. In cases of doubt local agencies should seek private tax counsel or contact the nearest field offices

of the Internal Revenue Service and program account. Venture subsidiaries State tax authorities.

of community development corpora

tions (CDCs) or agencies receiving only $ 1069.63 Effective date.

Investment Capital funds (cost catSection 1069.6-2(a)(5) is effective on egory 2.5) from a CDC are not considApril 13, 1973. The other portions of ered delegate agencies. this subpart took effect on June 20, (c) Educational or research organiza1967.

tion. A private or public educational in

stitution, establishment, agency, or (38 FR 14172, May 30, 1973, as amended at 38

system supported in whole or in part FR 14260, May 31, 1973]

by State or local public funds or by a

recognized religious, philanthropic, or Subpart 1069.8—Restrictions on cultural organization. CAAs are not

Political Activities (CSA In considered educational or research orstruction 6907-1a)

ganizations.

(d) Employee. A paid employee, inAUTHORITY: 5 U.S.C. 1501-03, as amended by cluding (unless otherwise specified) Pub. L. 93 443; 42 U.S.C. 2796, 2942(n), and 2943 trainees and enrollees. (Secs. 213, 602(n), and 603 of the Community

(e) Board member. A member of a govServices Act of 1974).

erning board, administering board, or SOURCE: 41 FR 15009, Apr. 9, 1976, unless advisory board or committee. otherwise noted.

8 1069.

83 Policy. $ 1069.8-1 Applicability.

(a) Grantee and delegate agencies (a) This subpart is applicable to all must administer CSA-assisted prograntees and delegate agencies funded grams in a politically nonpartisan under titles II, III-B, and VII of the manner, and must avoid actions which Community Services Act of 1974 when can reasonably be construed as inthe assistance is administered by the tended to favor one political party over Community Services Administration. another or to influence the outcome of

(b) NOTE: All grantees and delegate any election for public or party office. agencies are subject to $8 1069.83, The use of program funds, the provi1069.8-5, 1069.8–7 and 1069.8-8. Commu sion of services and the assignment of nity Action Agencies (CAAs), whether personnel must not result in the identipublic or private, are further subject to fication of the program with any par$1069.84 and 1069.8-6. All other public tisan political activity or with any grantees and all public delegate agen nonpartisan political activity which is cies are also further subject to $1069.8 designed to further the election or de6. Furthermore, some restrictions feat of a candidate for public or party apply only to employees of affected office. In addition, grantee and deleagencies, while others apply to board gate agencies may not use program members and volunteers as well. The funds, the provision of services, or the applicability of the different sections assignment of personnel in connection of this subpart to the various classes of with voter registration activity or with agencies and persons is presented transporting voters or potential voters graphically in Appendix B to this sub- to the polls. part, as well as summarized at the be (b) Anti-poverty programs are, in ginning of each section.

many communities, live political is

sues and will often include activities $ 1069.8-2 Definitions.

which may become the subject of polit(a) Public Agency. The executive orical controversy. Grantee and delegate legislative branch of a State, munici- agencies may, of course, undertake acpality, or other political subdivision of tivities dealing with issues related to a State, or an agency or department their basic program responsibilities. In

carrying out their basic mission and (b) Delegate agency. An agency to goals grantees and delegate agencies which a grantee delegates the perform may actively engage in campaigns conance of an entire program account of a nected with constitutional amendgrant or a substantial part of a single ments, referenda, municipal ordi

thereof.

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