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Federal Coordination and Compliance Section

10 CFR 1040.101

TITLE 10--ENERGY

CHAPTER X--DEPARTMENT OF ENERGY (GENERAL PROVISIONS)

PART 1040--NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS

Subpart G--Program Monitoring


Sec. 1040.101 Compliance reviews.

(a) The Director shall periodically conduct compliance reviews of
selected recipients of DOE Federal financial assistance.
(b) The Director shall seek to review those recipients which have
the most serious equal opportunity problems which cause the greatest
disparity in delivery of services on a nondiscriminatory basis.
Selection for review is to be made on the basis of the following
criteria, among others:
(1) The relative disparity between the percentage of minorities,
women, or handicapped persons, in the relevant labor market, and the
percentage of minorities, women, or handicapped persons, employed by the
recipient if employment practices are covered by this part;
(2) The percentage of individuals covered by the Age Discrimination
Act of 1975, minorities, women and handicapped persons in the population
receiving program benefits.
(3) The number and nature of discrimination complaints filed against
a recipient with DOE or other Federal agencies;
(4) The scope of the problems revealed by an investigation commenced
on the basis of a complaint filed with DOE against a recipient; and
(5) The amount of assistance provided to the recipient.
(c) After selection of a recipient for review, the Director
Federally Assisted Programs Division or the Director's designee, shall
inform the recipient of the selection. The notice shall be in writing
and posted thirty days prior to the scheduled review. The letter will
ordinarily request data pertinent to the review and advise the recipient
of:
(1) The practices to be reviewed;
(2) The programs or activities affected by the review;
(3) The opportunity to make, at any time prior to receipt of DOE's
finding, a written submission responding to DOE which explains,
validates, or otherwise addresses the practices under review; and
(4) The schedule under which the review will be conducted and a
determination of compliance or noncompliance made.
(d) Within 90 days of arriving on-site to conduct the review, the
Director, FAPD, shall advise the recipient, in writing, of:
(1) Preliminary findings;
(2) Where appropriate, recommendations for achieving voluntary
compliance; and
(3) The opportunity to request DOE to engage in voluntary compliance
negotiations prior to the Director's final determination of compliance
or noncompliance. The Director or the Director's designee shall notify
the Assistant Attorney General at the same time the recipient is
notified of any matter where recommendations for achieving voluntary
compliance are made.
(e) If, within 45 days of the recipient's notification under
paragraph (d) of this section, the Director's (FAPD) recommendations for
compliance are not met, or voluntary compliance is not secured, or the
preliminary findings are not shown to be false, the matter will be
forwarded to the Director for a determination of compliance or
noncompliance. The determination is to be made no later than 60 days
after the recipient has been notified of the preliminary findings. If
the Director makes a determination of noncompliance, the Department
shall institute actions specified in subparts G and H.
(f) Where the Director makes a formal determination of
noncompliance, the recipient and the Assistant Attorney General shall be
immediately advised, in writing, of the determination and of the fact
that the recipient has an additional 10 days in which to come into
voluntary compliance. If voluntary compliance has not been achieved
within the 10 days, the Director shall institute proceedings under
subpart H.
(g) All agreements to come into voluntary compliance shall be in
writing and signed by the Director and an official who has authority to
legally bind the recipient.

[[Page 764]]

Sec. 1040.102 Compliance information.

(a) Cooperation and assistance. Each responsible Departmental
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 reports and submit
to the responsible Department official or his/her designee, timely,
complete, and accurate compliance reports at the times, in such form,
and containing information as the responsible Department official or the
designee may determine to be necessary to enable him/her to ascertain
whether the recipient has complied or is complying with this part. In
general, recipients should have available for DOE data on program
participants, identified by race, color, national origin, sex, age and
handicap status. In the case of any program under which a primary
recipient extends Federal financial assistance to any other recipient or
subcontracts with any other person or group, such other recipient shall
also submit compliance reports to the primary recipient which will
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 Department official or his/her designee during
normal business hours to books, records, personnel records, accounts,
other sources of information, and its facilities, which are pertinent to
ascertain compliance with this part. The requirement for access to
sources of information shall be contained in the certificate of
assurance and agreed to by the recipient as a condition to award.
Whenever any information required of a recipient is in the exclusive
possession of any other agency, institution, or person and that agency,
institution, or person fails or refuses to furnish that information, the
recipient shall certify this in its report and set forth the efforts
which it has made to obtain the information. The sub-recipient in such
case shall be subject to proceedings described under subpart H of this
part.
(d) Information to beneficiaries and participants. Each recipient
shall make available to participants, beneficiaries, and other
interested persons information regarding the provisions of this section
and its applicability to the program under which the recipient receives
Federal financial assistance. Information is to be made available to
beneficiaries, participants, and other interested persons in a manner
which the responsible Department officials find necessary to inform such
persons of the protections against discrimination assured them by this
part and the statutes to which this part applies.

Sec. 1040.103 [Reserved]

Sec. 1040.104 Complaint investigation.

(a) The Director, FAPD, shall investigate complaints of
discrimination that allege a violation of--
(1) Title VI of the Civil Rights Act of 1964, Sec. 16 of the Federal
Energy Administration Act of 1974, as amended, or Sec. 401 of the Energy
Reorganization Act of 1974;
(2) Title IX of the Education Amendments of 1972, as amended;
(3) Section 504 of the Rehabilitation Act of 1973, as amended;
(4) Age Discrimination Act of 1975, as amended, (reserved in this
part);
(5) Title VIII of the Civil Rights Act of 1968, as amended,
(reserved in this part);
(6) This part; and
(7) Civil rights provisions of statutes administered pursuant to the
DOE Organization Act, Pub. L. 95-91.
(b) No complaint will be investigated if it is received by an
appropriate Departmental official more than 180 days after the date of
the alleged discrimination, unless the time for filing is extended by
the Director, FAPD, for good cause shown. Where a complaint is accepted
for investigation, the Director, FAPD, will initiate a DOE
investigation. The Director, FAPD, who is responsible for the
investigation, shall notify the complainant, in writing, if the
complaint has been accepted or rejected.
(c) The Director, FAPD, or his/her designee shall conduct
investigations of complaints as follows:

[[Page 765]]

(1) Within 35 days of receipt of a complaint, the Director, FAPD,
shall:
(i) determine whether DOE has jurisdiction under paragraphs (a) and
(b) of this section;
(ii) If jurisdiction is not found, wherever possible, refer the
complaint to the Federal agency with such jurisdiction and advise the
complainant;
(iii) If jurisdiction is found, notify the recipient alleged to be
discriminating of receipt of the complaint; and
(iv) Initiate the investigation.
(2) The investigation will ordinarily be initiated by a letter
requesting data pertinent to the complaint and advising the recipient
of:
(i) The nature of the complaint and, with the written consent of the
complainant, the identity of the complainant. The identity of the
complainant may be revealed by the Director, FAPD, OEO, without the
complainant's written consent if the Director, FAPD, OEO, determines
that such action is necessary for resolution of the complaint;
(ii) The program or activities affected by the complaint;
(iii) The opportunity to make, at any time prior to receipt of DOE's
findings, a documentary submission responding to, rebutting, or denying
the allegations made in the complaint; and
(iv) The schedule under which the complaint will be investigated and
a determination of compliance made.
(3) Within 90 days of initiating the investigation, the Director,
FAPD, shall advise the recipient, in writing of:
(i) Preliminary findings;
(ii) Where appropriate, recommendations for achieving voluntary
compliance; and
(iii) The opportunity to request DOE to engage in voluntary
compliance negotiations prior to the Director's final determination of
compliance or noncompliance. The Director or the Director's designee
shall notify the Assistant Attorney General and the recipient of any
matter where recommendations for achieving voluntary compliance are
made.
(4) If, within 45 days of the recipient's notification under
paragraph (c)(3) of this section, the Director's (FAPD) recommendations
for compliance are not met, or voluntary compliance is not secured, or
the preliminary findings are not shown to be false, the matter will be
forwarded to the Director, OEO, for a determination of compliance or
noncompliance. The determination is to be made no later than 60 days
after the recipient has been notified of the preliminary findings. If
the Director makes a determination of noncompliance, the Department
shall institute actions specified in subpart H.
(5) Where the Director makes a formal determination of
noncompliance, the recipient and the Assistant Attorney General shall be
immediately advised, in writing, of the determination and of the fact
that the recipient has an additional 10 days in which to come into
voluntary compliance. If voluntary compliance has not been achieved
within the 10 days, the Director shall institute proceedings under
subpart H. All agreements to come into voluntary compliance shall be in
writing and signed by the Director, OEO, and an official who has
authority to legally bind the recipient. The complainant shall also be
notified of any action taken including the closing of the complaint or
achievement of voluntary compliance.
(6) If the complainant or party other than the Attorney General has
filed suit in Federal or State court alleging the same discrimination
alleged in a complaint to DOE, and if during DOE's investigation, the
trial of that suit would be in progress, DOE will consult with the
Assistant Attorney General and court records to determine the need to
continue or suspend the investigation and will monitor the litigation
through the court docket and contacts with the complainant. Upon receipt
of notice that the court has made a finding of discrimination against a
recipient that would constitute a violation of this part, the DOE may
institute administrative proceedings as specified in subpart H after DOE
has advised the recipient, in writing, of an opportunity to request
voluntary compliance under this section. All agreements to come into
voluntary compliance shall be in writing and signed by the Director and
an official who has authority to legally bind the recipient.

[[Page 766]]

(7) The time limits listed in paragraphs (c)(1) through (c)(6) of
this section shall be appropriately adjusted where DOE requests another
Federal agency to act on the complaint. DOE is to monitor the progress
of the matter through liaison with the other agency. Where the request
to act does not result in timely resolution of the matter, DOE is to
institute appropriate proceedings as required by this part.
(d) Intimidatory or retaliatory acts prohibited. No recipient or
other person shall intimidate, threaten, coerce, or discriminate against
any individual for the purpose of interfering with any right or
privilege secured by the laws implemented in this part or because the
complainant has made a complaint, testified, assisted, or participated
in any manner in an investigation, proceeding, or hearing under this
subpart. The identity of complainants is to be kept confidential except
as determined by the Director, FAPD, to be necessary to carry out the
purpose of this subpart, including investigations, hearings, or judicial
proceedings arising thereunder.


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This page was last updated on November 13, 2000

General Information Federal Coordination and Compliance
Federal Coordination and Compliance
Title VI Hotline: 1-888-TITLE-06
(1-888-848-5306) (Voice / TTY)
Leadership
Deeana Jang
Chief
Contact
U.S. Department of Justice
Civil Rights Division
Federal Coordination and Compliance Section, NWB
950 Pennsylvania Avenue, N.W.
Washington, D.C. 20530

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