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(c) Volunteers in service to America. A private or public, non-Federal program to which one or more VISTA volunteers are referred or assigned must be operated without discrimination.

(d) Programs in elementary or secondary schools. In the case of a program covered by this part which benefits elementary or secondary school students and which is necessarily conducted in a school regularly attended by the participating students, the program must be run on a non-discriminatory basis, or else the school system must give assurance that it is complying with a federal court order or a plan approved by the Commissioner of Education leading to the desegregation of the school system. If, however, students do not participate in such a program in the schools they regularly attend, or if the use of school facilities is incidental to the program or not necessary to its conduct, the program must be run on a non-discriminatory basis and the assurance specified in § 1010.5(a) must be given, whether or not there is a court order or approved plan with respect to the school system.

(e) Institutions of higher education. In any research, training, demonstration, or other grant from the Office to a university for a program to be conducted in a college or university, discrimination in the admission and treatment of students in the program is prohibited, and the prohibition extends to the entire university unless it satisfies the responsible Office official that practices with respect to other parts or programs of the university will not interfere, directly or indirectly, with fulfillment of the assurance required with respect to the program, 8 1010.7 Compliance information.

(a) Cooperation and assistance. Each responsible Office official shall to the fullest extent practicable seek the cooperation of recipients in obtaining compliance with this part, and shall provide assistance and guidance to recipients to help them comply voluntarily with this part.

(b) Compliance reports. Each recipient shall keep such records and submit to the responsible Office official or his designee timely, complete and accurate compliance reports at such times, and In such form and containing such information, as the responsible Office official or his designee may determine to

be necessary to enable him to ascertain whether the recipient has complied or is complying with this part. In the case of any program under which a primary recipient extends Federal financial assistance to any other recipient, such other recipient shall also submit such compliance reports to the primary recipi. ent as may be necessary to enable the primary recipient to carry out its obligations under this part.

(c) Access to sources of information. Each recipient shall permit access by the responsible Office official or his designee during normal business hours to such of its books, records, accounts, and other sources of information, and its facilities as may be pertinent to ascertain compliance with this part. Where any information required of a recipient is in the exclusive possession of any other agency, institution or person and this agency, institution or person shall fail or refuse to furnish this information, the recipient shall so certify in its report and shall set forth what efforts it has made to obtain the information.

(d) Information to beneficiaries and participants. Each recipient shall make available to participants, beneficiaries, and other interested persons such information regarding the provisions of this part and its applicability to the program under which the recipient receives Federal financial assistance, and make such information available to them in such manner as the responsible Office of ficial finds necessary to apprise such persons of the protections against discrimination assured them by the Act and this part. $ 1010.8 Conduct of investigations.

(a) Periodic compliance reviews. The responsible Office official or his designee shall from time to time review the practices of recipients to determine whether they are complying with this part.

(b) Complaints. Any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this part may by himself or by a representative file with the responsible Office oficial or his designee a written complaint. A complaint must be filed not later than 90 days from the date of the alleged discrimination, unless the time for Aling is extended by the responsible Office official or his designee.

(c) Investigations. The responsible Office official or his designee will make

a prompt investigation whenever a com propriate proceedings be brought to pliance review, report, complaint, or any enforce any rights of the United States other information indicates a possible under any law of the United States (infailure to comply with this part. The cluding other titles of the Act), or any investigation should include, where ap assurance or other contractual undertakpropriate, a review of the pertinent prac ing, and (2) any applicable proceeding tices and policies of the recipient, the under State or local law. circumstances under which the possible (b) Noncompliance with $ 1010.5. If noncompliance with this part occurred, an applicant fail or refuses to furnish and other factors relevant to a deter an assurance under $ 1010.5 or otherwise mination as to whether the recipient has fails or refuses to comply with a requirefailed to comply with this part.

ment imposed by or pursuant to that sec(d) Resolution of matters. (1) if an tion, Federal financial assistance may be investigation pursuant to paragraph (c) refused in accordance with the proof this section indicates a failure to com cedures of paragraph (c) of this section. ply with this part, the responsible Office

The Office shall not be required to proofficial or his designee will so inform the vide assistance in such a case during recipient and the matter will be resolved pendency of the administrative proceedby informal means whenever possible. If ings under such paragraph, except that it has been determined that the matter the Office shall continue assistance durcannot be resolved by informal means,

ing the pendency of such proceedings action will be taken as provided for in

where such assistance is due and pay$1010.9.

able pursuant to an application there(2) If an investigation does not war for approved prior to the effective date rant action pursuant to subparagraph

of this part. (1) of this paragraph, the responsible (c) Termination of or refusal to grant Office official or his designee will so in or to continue Federal financial assistform the recipient and the complainant, ance. No order suspending, terminating if any, in writing.

or refusing to grant or continue Federal (e) Intimidatory or retaliatory acts financial assistance shall become effecprohibited. No recipient or other person

tive until (1) the responsible Office offishall intimidate, threaten, coerce, or dis

cial has advised the applicant or recipicriminate against any individual for the

ent of his failure to comply and has purpose of interfering with any right or determined that compliance cannot be privilege secured by section 601 of the secured by voluntary means, (2) there Act or this part, or because he has made has been an express finding on the reca complaint, testified, assisted, or par ord, after opportunity for hearing, of ticipated in any manner in an investiga

a failure by the applicant or recipient tion, proceeding or hearing under this to comply with a requirement imposed part. The identity of complainants shall by or pursuant to this part, (3) the acbe kept confidential except to the extent

tion has been approved by the Director necessary to carry out the purposes of

pursuant to $ 1010.11(e), and (4) the this part, including the conduct of any expiration of 30 days after the Director investigation, hearing, or judicial pro

has filed with the committee of the ceeding arising thereunder.

House and the committee of the Senate

having legislative jurisdiction over the § 1010.9 Procedure for effecting com program involved, a full written report pliance.

of the circumstances and the grounds (a) General. If there appears to be for such action. Any action to suspend a failure or threatened failure to comply or terminate or to refuse to grant or to with this part, and if the noncompli continue Federal financial assistance ance or threatened noncompliance can shall be limited to the particular politinot be corrected by informal means, com cal entity, or part thereof, or other pliance with this part may be effected applicant or recipient as to whom such by the suspension or termination of or a finding has been made and shall be refusal to grant or continue Federal limited in its effect to the particular financial assistance or by any other program, or part thereof, in which such means authorized by law. Such other noncompliance has been so found. means may include, but are not limited to (d) Other means authorized by law. (1) a reference to the Department of Jus No action to effect compliance by any tice with a recommendation that ap other means authorized by law shall be

86-096-68-43

taken until (1) the responsible Office official has determined that compliance cannot be secured by voluntary means, (2) the action has been approved by the Director, (3) the recipient or other person has been notified of its failure to comply and of the action to be taken to effect compliance, and (4) the expiration of at least 10 days from the mailing of such notice to the recipient or other person. During this period of at least 10 days additional efforts shall be made to persuade the recipient or other person to comply with this part and to take such corrective action as may be appropriate. 8 1010.10 Hearings.

(a) Opportunity for hearing. Whenever an oportunity for a hearing is required by $ 1010.9(c), reasonable notice of such hearing shall be given by registered or certified mail, return receipt requested, to the affected applicant or recipient. This notice shall advise the applicant or recipient of the action proposed to be taken, the specific provision under which the proposed action against it is to be taken, and either (1) fix a date not less than 20 days after the date of such notice within which the applicant or recipient may request of the responsible Office official that the matter be scheduled for hearing, or (2) advise the applicant or recipient that the matter in question has been set down for hearing at a stated place and time. The time and place so fixed shall be reasonable and shall be subject to change for cause. The complainant, if any, shall be advised of the time and place of the hearing. An applicant or recipient may waive a hearing and submit written information and argument for the record. The failure of an applicant or recipient to request a hearing under this subsection or to appear at a hearing for which a date has been set shall be deemed to be a waiver of the right to a hearing under section 602 of the Act and § 1010.9(c) and consent to the making of a decision on the basis of such information as is available.

(b) Time and place of hearing. Hearings shall be held in Washington, D.C., at a time and place fixed by the responsible Office official unless he determines that the convenience of the applicant or recipient or of the Office requires that another place be selected. Hearings shall be held before the responsible Office official, or, at his discretion, before a hearing examiner designated in accord

ance with section 11 of the Administrative Procedure Act.

(c) Right to counsel. In all proceedings under this section, the applicant or recipient and the Office shall have the right to be represented by counsel.

(d) Procedures, evidence, and record. (1) The hearing, decision, and any review thereof shall be conducted in conformity with sections 5–8 of the Administrative Procedure Act, and in accordance with such rules of procedure as are proper (and not inconsistent with this section) relating to the conduct of the hearing, giving of notices subsequent to those provided for in paragraph (a) of this section, taking of testimony, exhibits, arguments and briefs, requests for findings, and other related matters. Both the Office and the applicant or recipient shall be entitled to introduce all relevant evidence on the issues as stated in the notice for hearing or as determined by the officer conducting the hearing at the outset of or during the hearing.

(2) Technical rules of evidence shall not apply to hearings conducted pursuant to this part, but rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination shall be applied where reasonably necessary by the officer conducting the hearing. The hearing officer may exclude irrelevant, immaterial, or unduly repetitious evidence. All documents and other evidence offered or taken for the record shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced on either side of the issues. A transcript shall be made of the oral evidence unless dispensed with by stipulation. All decisions shall be based upon the hearing record and written findings shall be made.

(e) Consolidated or joint hearings. In cases in which the same or related facts are asserted to constitute noncompliance with this part and the regulations of one or more other Federal departments or agencies issued under Title VI of the Act, the Director may, by agreement with such other departments or agencies, provide for the conduct of consolidated or joint hearings, and for the application to such hearings of rules of procedure not inconsistent with this part. Final decisions in such cases, insofar as this part is concerned, shall be made in accordance with $ 1010.11.

& 1010.11 Decisions and notices.

(a) Decision by person other than the responsible Office official. If the hearing is held by a hearing examiner, such hearing examiner shall either make any initial decision, if so authorized, or certify the entire record including his recommended findings and proposed decision to the responsible Office official for a final decision, and a copy of such initial decision or certification shall be mailed to the applicant or recipient. Where the initial decision is made by the hearing examiner, the applicant or recipient may within 30 days of the mailing of such notice of initial decision file with the responsible Office official his exceptions to the initial decision, with his reasons therefor. In the absence of exceptions, the responsible Office official may, on his own motion, within 45 days after the initial decision serve on the applicant or recipient a notice that he will review the decision. Upon the filing of such exceptions or of such notice of review, the responsible Office official shall review the initial decision and issue his own decision thereon, including the reasons therefor. In the absence of either exceptions or a notice of review the initial decision shall constitute the final decision of the responsible Office official.

(b) Decisions on record or review by the responsible Office official. Whenever a record is certified to the responsible Office official for decision or he reviews the decision of a hearing examiner pursuant to paragraph (a) of this section, or whenever the responsible Office official conducts the hearing, the applicant or recipient shall be given reasonable opportunity to file with him briefs or other written statements of its contentions, and a copy of the final decision of the responsible Office official shall be given in writing to the applicant or recipient, and the complainant, if any.

(c) Decisions on record where hearing is waived. Whenever a hearing is waived pursuant to § 1010.10(a), a decision shall be made by the responsible Office official on the record and a copy of such decision shall be given in writing to the applicant or recipient, and to the complainant, if any.

(d) Rulings required. Each decision of a hearing officer or responsible Office official shall set forth his ruling on each finding, conclusion, or exception presented, and shall identify the require

ment or requirements imposed by or pursuant to this part with which it is found that the applicant or recipient has failed to comply.

(e) Approval by Director. Any final decision of a responsible Office oficial (other than the Director) which provides for the suspension or termination of, or the refusal to grant or continue Federal financial assistance, or the imposition of any other sanction available under this part or the Act, shall promptly be transmitted to the Director, who may approve such decision, may vacate it, or remit or mitigate any sanction imposed.

(f) Content of orders. The final decision may provide for suspension or termination of, or refusal to grant or continue Federal financial assistance, in whole or in part, under the program involved, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Act and this part, including provisions designed to assure that no Federal financial assistance will thereafter be extended under such program to the applicant or recipient determined by such decision to be in default in its performance of an assurance given by it pursuant to this part, or to have otherwise failed to comply with this part, unless and until it corrects its noncompliance and satisfies the responsible Office official that it will fully comply with this part. § 1010.12 Judicial review.

Any action taken pursuant to section 602 of the Act is subject to judicial review as provided in section 603 of the Act. § 1010.13 Effect on other regulations;

forms and instructions. (a) Nothing in this part shall be deemed to supersede (1) Executive Orders 10925 and 11114 and regulations issued thereunder, or (2) any other regulations or instructions insofar as they prohibit discrimination on the grounds of race, color, or national origin in any program or situation to which this part is inapplicable, or prohibit discrimination on any other ground.

(b) Forms and instructions. Each responsible Office official shall issue and promptly make available to interested persons forms and detailed instructions and procedures for effectuating this part as applied to programs to which this part applies and for which he is responsible. (c) Supervision and coordination. The Director may, from time to time, assign to officials of other departments or agencies of the Government (with the consent of such department or agency) responsibilities in connection with the effectuation of the purposes of Title VI of the Act and this part (other than responsibility for final decision as provided in § 1010.11), including the achievement of effective coordination and maximum uniformity within the Office and within the Executive Branch of the Government in the application of Title VI and this part to similar programs and in similar situations.

APPENDIX A PROGRAMS TO WHICH THIS PART APPLIES

Programs under the following provisions of the Economic Opportunity Act of 1964 are now administered by the Office and are covered by this part: Title I, Part A, Section 108 (State-Operated

Youth Camps). Title II, Part A (Community Action

Programs). Title II, Part C (Voluntary Assistance Pro

gram for Needy Children). Title III, Part B (Assistance for Migrant, and

Other Seasonally Employed, Agricultural

Employees and Their Families). Title VI, Section 603 (Volunteers in Service

to America).

Sec. 1015.735–22 Gambling, betting, and lotteries. 1015.735-23 False statements. 1015.735–24 Conduct prejudicial to the Gov

ernment. 1015.735-25 Former employees. 1015.735–26 Statutory provisions. Subpart — Reports; Distribution; Supplemental

Regulations 1015.735-31 Reports of non-OEO interests. 1015.735-32 Distribution. 1015.735–33 Supplemental regulations.

AUTHORITY: The provisions of this part 1015 issued under 18 U.S.C. 208(b); P.L. 88452, sec. 602(n) (42 U.S.C. 2942(n)); and E.O. 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104.

SOURCE: The provisions of this part 1015 appear at 32 F.R. 13965, Oct. 7, 1967, unless otherwise noted.

Subpart A-General § 1015.735–1 Purpose.

The purpose of this part is to guide OEO employees toward maintaining the high standard of integrity expected of all Government employees. It is intended to require that employees avoid any action which might result in, or create the appearance of:

(a) Using public office for private gain;

(b) Giving preferential treatment to any organization or person;

(C) Impeding Government efficiency or economy;

(d) Making a Government decision outside official channels;

(e) Losing complete independence or impartiality of action; or

(f) Affecting adversely the confidence of the public in the integrity of OEO and the Government. $ 1015.735-2 Applicability.

(a) Coverage. This part applies to all employees of OEO. "Employee," as used in this part, includes regular employees, Presidential appointees, officers, “special Government employees,” experts, and consultants--whether employed on full-time, part-time, intermittent basis. "Employee" does not include Job Corps enrollees, VISTA's, or persons performing voluntary services for OEO under section 602(g) of the Economic Opportunity Act. Unless otherwise stated in the particular provision, the provisions of this part apply equally to all employees. In a number of cases, separate rules are stated for "special Government employees." A "special Government em

PART 1015--STANDARDS OF
CONDUCT FOR EMPLOYEES

Subpart A-General Sec. 1015.735-1 Purpose. 1015.735-2 Applicability. 1015.735-3 Effect on related provisions. 1015.735-4 Interpretation and counseling.

Subpart B-Specific Rules 1015.735-11 Discrimination. 1015.735–12 Compensation from outside

sources for official duties;

bribes, gifts, and favors. 1015.735-13 Misuse of relationship with

OEO. 1015.735–14 Disclosure and misuse of in

side information. 1015.735-15 Speeches; participation in con

ferences; publications. 1015.735–16 Partisan political activity. 1015.735–17 Outside employment. 1015.735–18 Disqualifications arising from

private financial interests and from holding office in out

side organizations. 1015.735-19 Service on boards of OEO

grantees. 1015.735-20 Employee indebtedness. 1015.735-21 Misuse of Government property.

a

or

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