CHAPTER X-OFFICE OF ECONOMIC OPPORTANT Part 1005 Inspection and copying of records; rules for compliance with Fuoh iz s mation Act. 1009 Suspension and termination of assistance. 1010 Nondiscrimination in Federally-assisted programs of the Office of Econom Opportunity effectuation of Title VI of the Civil Rights Act of 1 1015 Standards of conduct for employees. 1030 Community Action programs. § 1005.2 1005.3 1005.4 1005.6 1005.7 1005.8 1005.9 Definitions. Central records room. Regional rooms and facilities. Identification of records by persons Securing copies of records by mail. 1005.12 Records of other agencies. 1005.15 Officials authorized to grant or deny requests for records or coples of records. 1005.16 Form and records of denial. 1005.17 Administrative review of denials. AUTHORITY: The provisions of this Part 1005 issued under 7 U.S.C. 2243. SOURCE: The provisions of this Part 1005 appear at 32 FR. 9685, July 4, 1967, unless otherwise noted. Definitions. As used in this part, (a) "Office" means the Office of Economic Opportunity; (b) "Records" includes books, papers, maps, photographs, or other documentary materials, regardless of physical form, made or received by the Office in connection with the transaction of public business and preserved as evidence of governmental organizations, functions, policies, decisions, procedures, operations, or other activities, or because of the informational value of data contained therein, but does not include books, magazines or other materials acquired solely for library purposes and available through any officially dealsnated library of the Office; and (c) "Person" includes a corporation or organization as well as an individual. # 1005.3 Central records room. (a) The Office will maintain a central records room at its headquarters, in room 223, 1200 19th Street NW, Washington, DC. 20506. This room will be under the supervision of a recorda officer and will open during regular business hours of the Offer for the convenience of members of the publie in inspecting and copylur materials and records made available pursuant to this bart. Certain materials, as described in paragraph of this section, will be early maintained in or in close proxmity to the records room so as to be promptly available there to any member of the publie. b) Subject to the limitation stated in paragraph (c) of this section, there will be available in the headquarters records room the following: All Anal opinions and orders made n the adjudication of cases which have or may have precedential effect: 2 Statements of policy and interpretations adopted by the Office which have not been published in the FEDERAL REGISTER but which have been or may be cited or relied upon as precedents; (3) Administrative staff manuals and instructions to staff which affect the public: 4. A current index covering at least so much of the foregoing materials as have been issued, adopted, or promulgated after July 4, 1967; and 5 To the extent feasible, guidelines, forms, published regulations, and notices, program descriptions, and other materials considered to be of general interest to members of the public in understanding programs of the Office or in dealing with the Office in connection with those programs. (c) Certain types of staff manuals or instructions, such as instructions to auditors or staff of the Office of Inspection, or instructions covering certain phases of contract negotiation are exempt from disclosure even though they affect or may affect the public. These will not be maintained in the records rooms. Also, in some cases, opinions maintained in the records rooms may be in a form which deletes certain identifying details in order to prevent a clearly unwarranted invasion of privacy. In such cases, there will be attached to the opinion a full explanation of the justification for the deletion. § 1005.4 Regional rooms and facilities. The Office has regional offices in the following places: Northeast Region (Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, Vermont, Puerto Rico, and the Virgin Islands), 72 West 45th Street, New York, N.Y. 10036. Mid-Atlantic Region (Delaware, Kentucky, Maryland, North Carolina, Pennsylvania, Virginia, and West Virginia), 1730 K Street NW., Washington, D.C. 20506. Southeast Region (Alabama, Florida, Georgia, Mississippi. Tennessee, and South Carolina), 101 Marietta Street, Atlanta, Ga. 30303. Great Lakes Region (Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin), 623 South Wabash, Chicago, Ill. 60605. South west Region (Arkansas, Louisiana, New Mexico, Oklahoma, and Texas), 314 West 11th Street, Austin, Tex. 78701. North Central Region (Colorado. Idaho, Iowa, Kansas, Montana, Nebraska, North Dakota, South Dakota, Utah, and Wyoming), 215 West Pershing Road, Kansas City, Mo. 64:08. Western Region (Alaska, Arizona, Californa. Hawaii, Nevada, Oregon, and Washington, 100 McAllister Street, San Francisco, Calif 94102. Although it may not always be feasible in these offices to set aside records rooms for the exclusive or primary use of the public, every reasonable effort will be made to accommodate members of the public who wish to use regional office facilities for the purpose of inspecting and copying records. The Office will also endeavor to maintain and have readily available in its regional offices the materials described in § 1005.3 (b) as available in its headquarters records room and will designate a records officer in each regional office to receive and handle requests submitted pursuant to this part. § 1005.6 Use of records rooms. (a) Any member of the public who wishes to inspect or copy opinions, interpretations, staff manuals, or other materials regularly maintained in a records room may secure access to those materials by presenting himself at one of the addresses indicated during business hours. No advance notice or appointment is required, although persons wishing to make extended use of regional office facilities should take account of the possible limitations in these facilities as described in § 1005.4. (b) The records rooms are also available to any member of the public to inspect and copy records which are not regularly maintained in the records room. To obtain this type of record, a person should present his request identifying the record to the records officer. It will often be impossible, however, to produce these records or copies of them on very short notice. Accordingly, a member of the public who wishes to use records room facilities to inspect or copy such records is advised to arrange a time in advance, by phone or letter request made to the records officer of the facility he desires to use. Individuals making phone requests will be advised by the records officer or his designee whether a wrimer request would be advisable to aid in the identification and expeditious handing of the records sought. Individuals maring written requests should identify the records sought in the manner provided in § 1005.7. They should also indicate whether there is any specific date on which they would like to use the records room facilities. The records officer will endeavor to advise the writer as promptly as possible whether, for any reason, it may not be possible to make the records sought available on the date requested. § 1005.7 Identification of records by persons requesting them. (a) In order for the Office to locate records and make them available, it is necessary that it be able to identify the specific records sought. Persons wishing to inspect or secure copies of records should, therefore, seek to identify them just as fully and accurately as is possible. In cases where requests are submitted which are not sufficient to permit identification, the records officer receiving the request will endeavor to assist the person seeking the records in filling in necessary details. In most cases, however, persons seeking records will find that time taken in trying to identify materials in the beginning is well worth their while in enabling the Office to respond promptly to their request. (b) Among the kinds of information which a person seeking a record should try to provide in order to permit identification of a record are the following: (1) The specific event or action, if any or if known, to which the record refers. (2) The unit or program of the Office which may be responsible for or may have produced the record, such as Job Corps, Community Action Programs, or VISTA. (3) The date of the record or the date or period to which it refers or relates, if known. (4) The type of record, such as an application, a contract, or a grant, or a report. (5) Personnel of the Office who may have prepared or have knowledge of the record. (6) Citations to newspapers or publications which are known to have referred to the record. But fat than $...ing ution progman vill generaly se nrated n regional Ace elve the Halen rich the program is sente 12:04 · <spa18 relating to the Volunan Bayira to America VISTA or Jon Camps programs will very commonly be located in readquarters. If the person making the request is uncertain whether the record is located in a particular office, he should write to the records officer in the headquarters office. The request should identify the records of which copies are sought as provided in $1005.7, and should indicate the number of copies desired. As indicated in § 1005.13. fees may be required in some cases, in which even they must be paid in advance. If the pe son making the request is uncertain as 15 whether a fee will be required, or 118 amount, his letter should so indicate, and he will be advised as to the fee, if an promptly as possible. § 1005.9 Statutory exemptions, (a) The provisions of 5 USC section 552 which require that agencies make their records available for publie ine spection and copying do not apply to matters which are: (1) Specifically required by Executive order to be kept secret in the interest of the national defense or foreign policy: (2) Specifically exempted from diss closure by statute; (3) Related solely to the internal per« sonnel rules and practices of an agency; (4) Trade secrets and commercial or financial information obtained from @ person and privileged and confidential; (5) Interagency or intra REPOY memorandums or letters which would not be available to a party other than an agency in litigation with the agency. (6) Personnel and medical fles and similar files the disclostre of which would constitute a clearly unwattanded invasion of personal privacy, (7) Investigatory files compiled for law enforcement purposes except to this extent available by law to a party other than an Agency; (8) Contained in or related to ex amination, operating, or condition re ports prepared by, on behalf of or Tot the use of an agency responsible for the regulation or supervision of financial institutions; or (9) Geological and geophysical information and data, including maps, concerning wells. (b) of the various exemptions set forth in paragraph (a) of this section, those considered most likely to be applicable to records of the Office are listed in subparagraphs (3), (4), (5), (6), and (7) of paragraph (a). These, generally, pertain to: Records setting forth such internal personnel rules and practices as instructions to staff on inspection or contract negotiation tactics; records, including records of commercial and financial data, which contain information which is subject to some established or generally recognized privilege or is otherwise confidential because of the circumstances under which it was acquired; records in the form of communications by which officials or staff of the Office or another agency undertake to advise one another of their views on proposed official actions; records concerning the personal or family affairs of employees, prospective employees, or participants in programs which the Office assists or is responsible for; and records, including inspection reports, which the Office compiles and maintains for use in connection with pending or prospective enforcement proceedings. The Office will invoke these exceptions as sparingly as possible, consistent with its obligation to administer the laws for which it is responsible fairly and effectively and its obligation to assure that the governmental powers and facilities available to it for collecting and maintaining information relating to the private needs, problems or affairs of the families and individuals are not used for other than their intended official purpose. § 1005.12 Records of other agencies. In any case where a request is determined to relate to records which are of paramount concern to another agency, the Office will forward the request to that agency. The person making the request will be promptly notified of this action. For purposes of this section, records produced by or for another agency which pertain to program powers exercised by it under delegation or agreement from the Office will, subject to any interagency understandings covering specific records or classes of records, be treated as of paramount concern to that other agency. § 1005.13 Fees. It is the policy of the Office of Economic Opportunity, pursuant to section 613 of the Economic Opportunity Act of 1964 (42 U.S.C. sec. 2963), to encourage the widest possible distribution of information concerning programs under the Act. To the extent practicable, that policy will be applied under this part so as to permit requests for inspection or copies of records to be met without cost to the person making the request. Fees will be charged, however, in the case of requests which are determined to involve a burden on staff or facilities significantly in excess of that normally accepted by the Office in handling routine requests for information. In determining whether a fee will be charged, the Office will consider costs of identifying and locating records, as well as costs of copying and mailing. While the fee for copying I will in no event exceed 10 cents per page, the Office reserves the right to limit the number of copies that will be provided of any document to any one person, or to require that special arrangements for copying be made in the case of bound volumes or other records presenting unusual problems of handling or reproduction. § 1005.15 Officials authorized to grant or deny requests for records or copies of records. The Assistant Director for Management shall be responsible for advising Office officials and staff as to their obligations under this part and for taking such other actions as may be necessary or appropriate to assure a consistent and equitable application of the provisions of this part by and within the Office. He may, for this purpose, require other officials of the Office to clear with him prior to denying requests under this part, or prior to granting requests for categories of documents which he determines may present special or unusual problems. Subject to this authority, each Assistant Director of the Office, the General Counsel, the Executive Secretary and each Regional Director is authorized, directly or through his designee, to grant or deny requests under this part which pertains to records within his area of responsibility. § 1005.16 Form and records of denial. No request for inspection or copying of records under this part which the requesting person has put in writing shall be denied except in writing. Any denial shall cite the provisions of this part on which the action is based and shall explain the reasons why the provisions cited are considered to support that action. All such denials shall, for purposes of this part, be treated as opinions and shall be maintained and indexed accordingly, subject only to the provisions of § 1005.3 (c) providing for the deletion of identifying details where necessary to prevent a clearly unwarranted invasion of privacy. § 1005.17 Administrative review of de nials. (a) Any person whose written request has been denied may obtain review of the denial by submitting a request for review to the Deputy Director of the Office within 30 days after issuance of the denial. The 30-day limitation may be waived for good cause. A request for review need not be in any particular form so long as it adequately identifies the decision to be reviewed and sets forth the reasons and arguments on which the person making the request relies. (b) No personal appearance, oral argument or hearing will ordinarily be permitted on review of a denial. Upon request and a showing of special circumstances, however, this limitation may be waived and an informal conference or appearance arranged with or before the Deputy Director or some official designated by him for this purpose. (c) The decision of the Deputy Director upon review shall be in writing and shall contain an explanation responsive to the arguments advanced and referring to the provisions of this part on which the decision is based. The decision shall be promptly communicated to the person requesting review and shall constitute the final action of the Office. All such decisions shall be treated as opinions under this part in the same manner as denials described in § 1005.16. AUTHORITY: The provisions of this Part 1009 issued under sec. 602, 88 Stat. 528; 42 U.S.C. 2942, as amended. SOURCE: The provisions of this Part 1009 appear at 32 F.R. 9687, July 4, 1967, unless otherwise noted. § 1009.1 Purpose and scope. This part establishes procedural rules for suspension and termination of assistance provided by the Office of Economic Opportunity under Titles II-A, III-B, IV, and VIII of the Economic Opportunity Act of 1964, as amended (herein the "Act"), for failure of a recipient to comply with applicable laws, regulations, Community Action Memoranda, issued program guidelines, assurances or grant conditions. However, this part shall not apply to any administrative action of the Office of Economic Opportunity based in whole or in part upon any violation, or alleged violation of Title VI of the Civil Rights Act of 1964. In the case of such violation, or alleged violation, the provisions of Part 1010, of this Title 45, Code of Federal Regulations, shall apply. § 1009.2 Definitions. As used in this part (a) The term "Office" means the Office of Economic Opportunity and includes each Regional Office. (b) The term "Director" means the Director of the Office of Economic Opportunity, or his delegate, or in the case of a proceeding conducted in a Regional Office, the Regional Director of such office or his delegate. (c) The term "responsible Office offiIcial" with respect to any program receiving assistance means the Director or other official of the Office who by law or by delegation has the principal responsibility within the Office for the administration of the law extending such assistance. (d) The term "assistance" includes assistance under Titles II-A, III-B, IV, and VIII of the Act, for the provision of which the Office has primary responsibility, in the form of (1) grants and loans of Federal funds, and (2) the assignment or referral of VISTA volunteers. (e) The term "recipient" means any State, political subdivision of any State, |