the employee was associated during the 2 years prior to his or her employment by ACTION, as well as information about current associations. Special employees shall also indicate to the best of their knowledge which organizations listed currently on their form have contracts with or grants from ACTION, or are applying for ACTION contracts or grants. If any information required to be included on the statement, including holdings placed in trust, is not known to an employee but is known to another person, he or she is required to request that other person to submit information on his or her behalf. no (4) Changes in or additions to the information contained in a regular or special employee's statement must be reported in a supplementary statement as of June 30 each year. The Director of Personnel Management shall be responsible for insuring that such supplementary statements are submitted by June 30. If there are changes or additions, a negative report is required. Notwithstanding the filing of the annual report required by this paragraph, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a conflict of interest and a violation of the conflict-of-interest provisions of section 208 of Title 18, United States Code, or the conflict-of-interest provisions of this part. (5) In the case of temporary summer employees hired at FSR-7 or equivalent and below to perform duties other than those of an expert or consultant, the reporting requirement will be waived. It may also be waived by the Director of Personnel Management with respect to other appointments, except as experts or consultants, upon a finding that the duties of the position held by the special Government employee are of a nature and at such a level of responsibility that the reporting of employment and financial interests is not necessary to protect the integrity of the Government. (6) Regular or special employees are not required to submit in a statement of employment and financial interests or supplementary statements any information about their connection with or interest in a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization not conducted as a business enterprise. For this purpose, any organizations, doing work involving or potentially involving grants of money from or contracts with the Government are considered business enterprises and are required to be included in a regular or special employee's statement of employment and financial interests. (7) The statements of employment and financial interests and supplementary statements required are in addition, and not in substitution for or in designation of, any similar requirement imposed by law, order, or regulation. The submission of a statement of supplementary statement by an employee does not permit him or her or any other person to participate in a matter in which his or her or other persons' participation is prohibited by law, order, or regulations. (8) A regular employee who believes that his or her position has been improperly included under ACTION regulations as one requiring the submission of a statement of employment and financial interests shall be given an opportunity for review through ACTION's grievance procedures to determine whether the position has been improperly included. (b) Statements shall be submitted by the following employees: (1) Office of the Director: (i) Director. (ii) Deputy Director. (iii) Executive Officer. (iv) Special Assistants to Director and Deputy. (v) Executive Assistants to Director and Deputy. (2) Office of Domestic and Anti-Poverty Operations: (i) Associate Director. (ii) Deputy Associate Directors. (iii) Special Assistants to Associate Director and to Deputy Associate Directors. (iv) Supervisory program specialists. (v) Program specialists and analysts. (vi) Regional Directors. (vii) Deputy Regional Directors. (viii) Regional training chiefs. (ix) Regional staff members with contracting and disbursing authority. (x) Regional program operations officers. (xi) State program directors. (xii) State program officers. (xiii) Deputy Directors, VISTA, and OAVP. (3) Office of Administration and Fi nance: (i) Assistant Director. (ii) Deputy Assistant Director. (iii) Director, Management and Organization. (iv) Director, Administrative Services. (v) Chief, Paperwork and Management. (vi) Chief, Transportation. (vii) Chief, Communications and Property. (viii) Director, Accounting Division. (x) Chief, Accounting Operations. (xii) Director, Personnel Management. (xiii) Deputy Director, Personnel Management. (xiv) Director, Health Services. (xv) Director, Contracts and Grants Management. (xvi) Chief, Procurement Division. (xvii) Contract specialists, negotiators, and administrators. (xviii) Purchasing agents. (xix) Chief, Grants Division. (xx) Senior Grants Administrator. (xxi) Grants Administrator. (xxii) Director, Computer Services. (xxiii) Director, Staff Training and Development. (4) Office of Recruitment and Communications: (i) Assistant Director. (ii) Deputy Assistant Director. (iii) Special Assistant to Assistant Director. (iv) Director, Planning and Evaluation. (v) Director, Recruitment Resources. (vi) Director, Office of Communications. (vii) Director, Public Affairs. (5) Office of Voluntary Citizen Participation: (i) Assistant Director. (ii) Director program operations. (iii) Director, International and Special Assistance. (iv) Program specialists. (v) Director, School Partnership program. (6) Office of the General Counsel: (ii) Deputy General Counsel. (ii) Deputy Assistant Director. (vii) Director, Planning. (viii) Special Assistants to Assistant Director. (ix) Program analysts. (x) Policy development analysts. (8) Office of Legislative and Governmental Affairs: (i) Assistant Director. (9) Office of Compliance: (iii) Auditors, inspectors, program operations analysts. (iv) Director, Division of Equal Opportunity. (10) Office of International Operations: (i) Associate Director. (ii) Deputy Associate Directors. (iii) Director, Programing and Training. (iv) Director, Multilateral and Special programs. (v) Director, Special Services. (vi) Director, Office of Management. (vii) Director, Office of Peace Corps Volunteer Placement. (viii) Regional Directors. (ix) Country Directors and those overseas staff members to whom contracting or procurement authority has been duly delegated by the Country Director. 8 1201.735-402 Review of statements. (a) The Office of General Counsel shall review all statements and forward the names of all listed organizations to the Director of Contracts and Grants Management. In addition, if the information provided in the statement indicates on its face a real, apparent, or potential conflict of interest under §§ 1201.735-301 through 1201.735-305 of these standards, the General Counsel will review the situation with the particular employee. If the General Counsel and the employee are unable to resolve the conflict to the General Counsel's satisfaction, or if the employee wishes to request an exception to any of the above enumerated rules, the case will be referred to the Committee on Conflict of Interests. The Committee is authorized to recommend appropriate remedial action to the Director, who is authorized to take such action as may include, but is not limited to, changing assigned duties, requiring the employee or special employee to divest himself of a conflicting interest, taking disciplinary action, or disqualifying or accepting the self-disqualification of the employe or special employee for a particular assignment. (b) The Office of Contracts and Grants Management shall maintain a list of all the organizations with which employees are or have been associated, as well as a list of all current grantees of and contractors with the Agency. When names of organizations with which new employees are or have been associated are submitted to the Grants office, they shall be checked against the list of current grantees or contractors. Similarly, before any new grants or contracts are awarded, the names of the potential grantees and contractors will be checked against the master list of organizations with which employees are or have been associated. Any real, apparent, or potential conflicts which come to light as a result of these cross checks will be referred to the Office of General Counsel for review. The General Counsel will proceed as in paragraph (a) of this section, referring the matter to the Committee on Conflict of Interests if necessary. (c) Whenever an organization submits a proposal or application or otherwise indicates in writing its intent to apply for or seek a specific grant or contract, ACTION shall immediately forward a copy of the Agency standards of conduct to that organization and shall note which particular rules apply to potential grantees and contractors. (d) Whenever a regular or special employee terminates his or her employment with ACTION, the Office of Personnel Management shall provide that employee with a copy of the rule which restricts a person's employment for a period of 1 year after leaving ACTION. Personnel shall also notify the Office of General Counsel when an employee terminates. One year after the date of termination, General Counsel will instruct the Office of Grants and Management to remove from the master list any organizations with which the terminated employee was associated. Three years after the date of termination, General Counsel will destroy the statement of employment and financial interests. 1203.1 Purpose. 1203.2 Application of this part. 1203.3 Definitions. 1203.4 Discrimination prohibited. 1203.5 Assurances required. 1203.6 Compliance information. 1203.7 Conduct of investigations. 1203.8 Procedure for effecting compliance. 1203.9 Hearings. 1203.10 Decisions and notices. 1203.11 Judicial review. 1203.12 Effect on other regulations, forms, and instructions. APPENDIX A-ACTIVITIES TO WHICH THIS PART APPLIES APPENDIX B-PROGRAMS TO WHICH THIS PART APPLIES WHEN A PRIMARY OBJECTIVE OF THE FEDERAL FINANCIAL ASSISTANCE IS TO PROVIDE EMPLOYMENT AUTHORITY: Sec. 602, 78 Stat. 252; 42 U.S.C. 2000d-1. SOURCE: 39 FR 27322, July 26, 1974, unless otherwise noted. § 1203.1 Purpose. The purpose of this part is to effectuate the provisions of title VI of the Civil Rights Act of 1964 (hereafter referred to as title VI), to the end that a (a) This part applies to each program for which Federal financial assistance is authorized under a law administered by ACTION, including the federally assisted programs listed in appendix A to this part. It also applies to money paid, property transferred, or other Federal financial assistance extended under a program after the effective date of this part pursuant to an application approved before that effective date. This part does not apply to: (1) Federal financial assistance by way of insurance or guaranty contracts; (2) Money paid, property transferred, or other assistance extended under a program before the effective date of this part, except when the assistance was subject to the title VI regulations of an agency whose responsibilities are now exercised by ACTION; (3) Assistance to any individual who is the ultimate beneficiary under a program; or (4) Employment practices, under a program, of an employer, employment agency, or labor organization, except to the extent described in § 1203.4(c). The fact that a program is not listed in Appendix A to this part does not mean, if title VI is otherwise applicable, that the program is not covered. Other programs under statutes now in force or hereinafter enacted may be added to Appendix A to this part. (b) In a program receiving Federal financial assistance in the form, or for the acquisition, of real property or an interest in real property, to the extent that rights to space on, over, or under that property are included as part of the program receiving that assistance, the nondiscrimination requirement of this part extends to a facility located wholly or in part in that space. § 1203.3 Definitions. Unless the context requires otherwise, in this part: (a) "Applicant” means a person who submits an application, request, or plan required to be approved by ACTION, or by a primary recipient, as a condition to eligibility for Federal financial assistance, and "application" means that application, request, or plan. (b) "Facility" includes all or any part of structures, equipment, or other real or personal property or interests therein, and the provision of facilities includes the construction, expansion, renovation, remodeling, alteration, or acquisition of facilities. (c) "Federal financial assistance" includes: (1) Grants and loans of Federal funds; (2) The grant or donation of Federal property and interests in property; (3) The detail of Federal personnel; (4) The sale and lease of, and the permission to use (on other than a casual or transient basis), Federal property or any interest in the property without consideration or at a nominal consideration, or at a consideration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by the sale or lease to the recipient; and (5) A Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance. (d) "Primary recipient" means a recipient that is authorized or required to extend Federal financial assistance to another recipient for the purpose of carrying out a program. (e) "Program" includes a program, project, or activity for the provision of services, financial aid, or other benefits to individuals (including education or training or other services whether provided through employees of the recipient of Federal financial assistance or provided by others through contracts or other arrangements with the recipient, and including work opportunities), or for the provision of facilities for furnishing services, financial aid, or other benefits to individuals. The services, financial aid, or other benefits provided under a program receiving Federal financial assistance are deemed to include a service, financial aid, or other benefits provided: (1) With the aid of Federal financial assistance, (2) With the aid of any non-Federal funds, property, or other resources required to be expended or made available for the program to meet the matching requirements or other conditions which must be met in order to receive the Federal financial assistance, or (3) In or through a facility provided with the aid of Federal financial assistance or such non-Federal resources. (f) "Recipient” may mean any State, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, or any political subdivision thereof, or instrumentality thereof, any public or private agency, institution, or organization, or other entity, or any individual in any State, the District of Columbia, the Commonwealth of Puerto Rico, or territory or possession of the United States, to whom Federal financial assistance is extended, directly or through another recipient, for any program, including any successor, assignee, or transferee thereof, but the term does not include any ultimate beneficiary under a program. (g) "Director" means the Director of ACTION or any person to whom he has delegated his authority in the matter concerned. § 1203.4 Discrimination prohibited. (a) General. A person in the United States shall not, on the ground of race, color, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under, a program to which this part applies. (b) Specific discriminatory actions prohibited. (1) A recipient under a program to which this part applies may not, directly or through contractual or other arrangements, on the ground of race, color, or national origin— (i) Deny a person a service, financial aid, or other benefit provided under the program; (ii) Provide a service, financial aid, or other benefit to a person which is different, or is provided in a different manner, from that provided to others under the program; (iii) Subject a person to segregation or separate treatment in any matter related to his receipt of a service, financial aid, or other benefit under the program; (iv) Restrict a person in any way in the enjoyment of an advantage or privilege enjoyed by others receiving a service, financial aid, or other benefit under the program; (v) Treat a person differently from others in determining whether he satisfies an admission, enrollment, quota, eligibility, membership, or other requirement or condition which persons must meet in order to be provided a service, financial aid, or other benefit provided under the program; (vi) Deny a person an opportunity to participate in the program through the provision of services or otherwise or afford him an opportunity to do so which is different from that afforded others under the program; or (vii) Deny a person the opportunity to participate as a member of a planning or advisory body which is an integral part of the program. (2) A recipient, in determining the types of services, financial aid, or other benefits, or facilities which will be provided under a program or the class of persons to whom, or the situations in which, the services, financial aid, other benefits, or facilities will be provided under a program, or the class of persons to be afforded an opportunity to participate in a program, may not, directly or through contractual or other arrangements, utilize criteria or methods of administration which have the effect of subjecting persons to discrimination because of their race, color, or national origin, or have the effect of defeating or substantially impairing accomplishment of the objectives of the program with respect to individuals of a particular race, color, or national origin. (3) The enumeration of specific forms of prohibited discrimination in this paragraph does not limit the generality of the prohibition in paragraph (a) of this section. |