[Title 45 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1997 Edition]
[From the U.S. Government Publishing Office]
[[Page 1]]
45
Public Welfare
PART 1200 TO END
Revised as of October 1, 1997
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF OCTOBER 1, 1997
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
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U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1997
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 45:
Subtitle B--Regulations Relating to Public Welfare--
Continued:
Chapter XII--ACTION....................................... 5
Chapter XIII--Office of Human Development Services,
Department of Health and Human Services............... 199
Chapter XVI--Legal Services Corporation................... 451
Chapter XVII--National Commission on Libraries and
Information Science................................... 541
Chapter XVIII--Harry S. Truman Scholarship Foundation..... 559
Chapter XXI--Commission of Fine Arts...................... 577
Chapter XXII--Christopher Columbus Quincentenary Jubilee
Commission............................................ 597
Chapter XXIII--Arctic Research Commission................. 609
Chapter XXIV--James Madison Memorial Fellowship Foundation 617
Chapter XXV--Corporation for National and Community
Service............................................... 635
Finding Aids:
Table of CFR Titles and Chapters.......................... 817
Alphabetical List of Agencies Appearing in the CFR........ 833
Redesignation Table....................................... 843
List of CFR Sections Affected............................. 845
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 45 CFR 1201.735-101 refers
to title 45, part 1201, section 735-101.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, October 1, 1997), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
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instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408.
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Raymond A. Mosley,
Director,
Office of the Federal Register.
October 1, 1997.
[[Page vii]]
THIS TITLE
Title 45--Public Welfare is composed of four volumes. The parts in
these volumes are arranged in the following order: Parts 1-199, 200-499,
500-1199, and 1200 to end. Volume one (parts 1-199) contains all current
regulations issued under subtitle A--Department of Health and Human
Services. Volume two (parts 200-499) contains all current regulations
issued under subtitle B--Regulations Relating to Public Welfare, chapter
II--Office of Family Assistance (Assistance Programs), Administration
for Children and Families, Department of Health and Human Services,
chapter III--Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children and Families,
Department of Health and Human Services, and chapter IV--Office of
Refugee Resettlement, Administration for Children and Families,
Department of Health and Human Services. Volume three (parts 500-1199)
contains all current regulations issued under chapter V--Foreign Claims
Settlement Commission of the United States, Department of Justice,
chapter VI--National Science Foundation, chapter VII--Commission on
Civil Rights, chapter VIII--Office of Personnel Management, chapter X--
Office of Community Services, Administration for Children and Families,
Department of Health and Human Services, and chapter XI--National
Foundation on the Arts and the Humanities. Volume four (part 1200 to
end) contains all current regulations issued under chapter XII--ACTION,
chapter XIII--Office of Human Development Services, Department of Health
and Human Services, chapter XVI--Legal Services Corporation, chapter
XVII--National Commission on Libraries and Information Science, chapter
XVIII--Harry S Truman Scholarship Foundation, chapter XXI--Commission of
Fine Arts, chapter XXII--Christopher Columbus Quincentenary Jubilee
Commission, chapter XXIV--James Madison Memorial Fellowship Foundation,
and chapter XXV--Commission on National and Community Service. The
contents of these volumes represent all of the current regulations
codified under this title of the CFR as of October 1, 1997.
A subject index to 45 CFR parts 680-684 appears in the Finding Aids
section of the volume containing parts 500-1199. Those amendments to
part 801--Voting Rights Program, Appendixes A, B, and D, which apply to
Texas also appear in Spanish following Appendix D.
Redesignation tables appear in the Finding Aids section of volumes
one and four.
For this volume, Gwendolyn J. Henderson was Chief Editor. The Code
of Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page viii]]
[[Page 1]]
TITLE 45--PUBLIC WELFARE
(This book contains part 1200 to end)
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SUBTITLE B--Regulations Relating To Public Welfare-- Continued
Part
Chapter xii--ACTION......................................... 1201
Chapter xiii--Office of Human Development Services,
Department of Health and Human Services................... 1300
Chapter xvi--Legal Services Corporation..................... 1600
Chapter xvii--National Commission on Libraries and
Information Science....................................... 1700
Chapter xviii--Harry S. Truman Scholarship Foundation....... 1800
Chapter xxi--Commission of Fine Arts........................ 2101
Chapter xxii--Christopher Columbus Quincentenary Jubilee
Commission................................................ 2201
Chapter xxiii--Arctic Research Commission................... 2301
Chapter xxiv--James Madison Memorial Fellowship Foundation.. 2400
Chapter xxv--Corporation for National and Community Service. 2500
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Subtitle B--Regulations Relating to Public Welfare (Continued)
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CHAPTER XII--ACTION
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Part Page
120l Standards of conduct........................ 7
1203 Nondiscrimination in Federally assisted
programs--effectuation of title VI of
the Civil Rights Act of 1964............ 20
1204 Official seal............................... 30
1206 Grants and contracts--suspension and
termination and denial of application
for refunding........................... 30
1207 Senior companion program.................... 41
1208 Foster grandparent program.................. 50
1209 Retired senior volunteer program............ 61
1210 VISTA trainee deselection and volunteer
early termination procedures............ 69
1211 Volunteer grievance procedures.............. 76
1212
Volunteer agencies procedures for National grant volunteers [Reserved]
1213 ACTION cooperative volunteer program........ 82
1214 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by ACTION.......... 82
1215 Procedures for disclosure of records under
the Freedom of Information Act.......... 94
1216 Nondisplacement of employed workers and
nonimpairment of contracts for service.. 103
1217 VISTA volunteer leader...................... 104
1218 VISTA volunteers--hearing opportunity....... 105
1219 Competitive service eligibility............. 107
1220 Payment of volunteer legal expenses......... 107
1222 Participation of project beneficiaries...... 109
1224 Implementation of the Privacy Act of 1974... 111
1225 Volunteer discrimination complaint procedure 119
1226 Prohibitions on electoral and lobbying
activities.............................. 126
1229 Governmentwide debarment and suspension
(nonprocurement) and governmentwide
requirements for drug-free workplace
(grants)................................ 131
1230 New restrictions on lobbying................ 149
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1232 Non-discrimination on basis of handicap in
programs receiving federal financial
assistance from ACTION.................. 160
1233 Intergovernmental review of ACTION programs. 166
1234 Uniform administrative requirements for
grants and cooperative agreements to
State and local governments............. 169
1235 Locally generated contributions in Older
American Volunteer Programs............. 196
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PART 1201--STANDARDS OF CONDUCT--Table of Contents
Subpart A--General
Sec.
1201.735-101 Introduction.
1201.735-102 Definitions.
Subpart B--General Conduct and Responsibilities of Employees
1201.735-201 Proscribed actions--Executive Order 11222.
1201.735-202 General conduct prejudicial to the Government.
1201.735-203 Criminal statutory prohibitions--Conflict of interest.
Subpart C--Outside Employment, Activities, and Associations
1201.735-301 In general.
1201.735-302 Association with a potential grantee or contractor prior
to ACTION employment.
1201.735-303 Association with ACTION grantee or contractor or potential
grantee or contractor while an ACTION employee.
1201.735-304 Employment after leaving ACTION.
1201.735-305 Employment with ACTION grantee or contractor.
1201.735-306 Association with non-ACTION grantee or contractor while an
ACTION employee.
1201.735-307 Gifts, entertainment, and favors.
1201.735-308 Economic and financial activities of employees abroad.
1201.735-309 Information.
1201.735-310 Speeches; participation in conferences.
1201.735-311 Partisan political activities.
1201.735-312 Use of Government property.
1201.735-313 Indebtedness.
1201.735-314 Gambling, betting, and lotteries.
1201.735-315 Discrimination.
1201.735-316 Related statutes and regulations.
Subpart D--Procedures for Submission by Employees and Review of
Statements of Employment and Financial Interests
1201.735-401 Submission of statements.
1201.735-402 Review of statements.
Authority: E.O. 11222 of May 8, 1965, 30 FR 6469, 3 CFR 1964-1965,
Supp., p. 306, 5 CFR 735.104.
Source: 43 FR 46022, Oct. 5, l978, unless otherwise noted.
Subpart A--General
Sec. 1201.735-101 Introduction.
(a) Executive Order No. 11222 directs the Civil Service Commission
to require each agency head to review and reissue his or her agency's
regulations regarding the ethical conduct and other responsibilities of
all its employees. One of the main purposes of the regulations in this
part is to encourage individuals faced with questions involving
subjective judgment to seek counsel and guidance. The general counsel is
designated to be the counselor for ACTION with respect to these matters.
Associate and assistant general counsels are designated to be deputy
counselors. They will provide authoritative advice and guidance in this
area to any ACTION employee who seeks it.
(b) The ACTION Committee on Conflict of Interests will review and
monitor the agency's policies and procedures on conflict of interests.
The committee shall consist of the general counsel, the Assistant
Director of Administration and Finance, the Assistant Director of the
Office of Compliance, the Director of Contracts and Grants Management
Division, a Deputy Associate Director of Domestic Operations, a Deputy
Associate Director for International Operations, a Deputy Assistant
Director for the Office of Policy and Planning, and the Director's
designee, who shall be a nonvoting member. The committee shall have the
authority to:
(1) Adopt the procedures necessary to insure the implementation of
and compliance with the conflict of interest regulations found at
Secs. 1201.735-301 through 1201.735-305.
(2) Issue interpretive opinions or clarifying statements on actual
or hypothetical situations involving the provisions of Secs. 1201.735-
301 through 1201.735-305.
(3) Accept and review reports filed under Sec. 1201.735-302(b).
(4) Grant specific relief from the provisions of Secs. 1201.735-303
through 1201.735-305 by a majority vote of the committee, if, after due
consideration, the committee finds that:
(i) No actual conflict of interest exists, and
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(ii) The purpose of the rule would not be served by its strict
application, and
(iii) A substantial inequity would otherwise occur. In each such
case the committee shall issue a written decision setting forth its
findings as required above. The committee may make any exception subject
to such conditions and restrictions as it deems appropriate.
(c) Any violation of the regulations in this part may be cause for
disciplinary action. Violation of those provisions of the regulations in
this part which reflect legal prohibitions may also entail penalties
provided by law.
(d) This part applies to all employees of ACTION. ``Employee'' as
used in this part includes regular employees, Presidential appointees,
``special Government employees,'' experts, and consultants whether
employed on a full-time or intermittent basis.
Sec. 1201.735-102 Definitions.
(a) Special Government employee as used herein means a person
appointed or employed to perform temporary duties for ACTION with or
without compensation, on a full-time or intermittent basis, for not to
exceed 130 days during any period of 365 days.
(b) Regular Government employee as used herein means any officer or
employee other than a special Government employee.
(c) Organization as used herein includes profit and nonprofit
corporations, associations, partnerships, trusts, sole proprietorships,
foundations, and State and local government units.
(d) Grantee as used herein means any organization that receives
financial assistance from ACTION including the assignment of volunteers.
(e) Potential Grantee or Contractor means any organization that has
submitted a proposal, application, or otherwise indicated in writing its
intent to apply for or seek a specific grant or contract.
(f) Associated with means:
(1) That the person is a director of the organization or is a member
of a board or committee which exercises a recommending or supervisory
function in connection with an ACTION project;
(2) That the person or his or her spouse, minor child or other
member of his or her immediate household, serves as an employee,
officer, owner, trustee, partner, consultant, or paid adviser (general
membership in an organization is not included within the definition of
associated with);
(3) That the person, his or her spouse, minor child, or other member
of his or her immediate household, owns, individually or collectively, 1
percent or more of the voting shares of an organization;
(4) That the person, his or her spouse, minor child, or other member
of his or her immediate household, owns, individually or collectively,
either beneficially or as trustee, a financial interest in an
organization through stock, stock options, bonds, or other securities,
or obligations, valued at $50,000 or more; or
(5) That a person has a continuing financial interest in an
organization, such as a bona fide pension plan, valued at $5,000 or
more, through an arrangement resulting from prior employment or business
or professional association.
The term associated does not include an indirect interest, such as
ownership of shares in a mutual fund, bank or insurance company, which
in turn owns an interest in an organization which has, or is seeking or
under consideration for a grant or contract. Such and indirect interest,
as well as financial interests of amounts less than those stated in
paragraphs (f) (3) through (5) of this section, are hereby determined
pursuant to 18 U.S.C. 208(b)(2) to be too remote to affect the integrity
of the employee's services.
Subpart B--General Conduct and Responsibilities of Employees
Sec. 1201.735-201 Proscribed actions--Executive Order 11222.
As provided by the President in Executive Order No. 11222, whether
specifically prohibited by law or in the regulations in this part, no
U.S. regular or special Government employees shall take any action which
might result in, or create the appearance of:
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(a) Using public office or employment for private gain, whether for
themselves or for another person, particularly one with whom they have
family, business, or financial ties.
(b) Giving preferential treatment to any person.
(c) Impeding Government efficiency or economy.
(d) Losing complete independence or impartiality.
(e) Making a Government decision outside official channels.
(f) Affecting adversely the confidence of the public in the
integrity of the Government.
(g) Using Government office or employment to coerce a person to
provide financial benefit to themselves or to other persons,
particularly anyone with whom they have family, business or financial
ties.
Sec. 1201.735-202 General conduct prejudicial to the Government.
An employee may not engage in criminal, infamous, dishonest,
immoral, or notoriously disgraceful conduct prejudicial to the
Government (5 CFR 735.209).
Sec. 1201.735-203 Criminal statutory prohibitions--Conflict of interest.
(a) Regular Government employees. Regular employees of the
Government are subject to the following major criminal prohibitions:
(1) They may not, except in the discharge of their official duties,
represent anyone else before a court or Government agency in a matter in
which the United States is a party or has an interest. This prohibition
applies to both paid and unpaid representation of another (18 U.S.C.
205).
(2) They may not, after Government employment has ended, represent
anyone other than the United States in connection with a matter in which
the United States is a party or has an interest and in which they
participated personally and substantially for the Government (18 U.S.C.
207).
(3) They may not for 1 year after their Government employment has
ended, represent anyone other than the United States in connection with
a matter in which the United States is a party or has an interest and
which was within the boundaries of their official responsibility during
their last year of Government service. This temporary restraint gives
way to the permanent restraint described in paragraph (a)(3) of this
section if the matter is one in which the employee participated
personally and substantially (18 U.S.C. 207).
(4) They may not receive any salary, or supplementation of their
Government salary, from a private source as compensation for services to
the Government (18 U.S.C. 209).
(b) Special Government employees. Special Government employees are
subject to the following major criminal prohibitions:
(1) They may not, except in the discharge of official duties,
represent anyone else before a court or Government agency in a matter in
which the United States is a party or has an interest and in which they
have at any time participated personally and substantially for the
Government (18 U.S.C. 205).
(2) They may not, except in the discharge of official duties,
represent anyone else in a matter pending before the agency they serve
unless they have served there no more than 60 days during the past 365.
They are bound by this restraint despite the fact that the matter is not
one in which they have ever participated personally and substantially
(18 U.S.C. 205). (See Sec. 1201.735-303(b) for additional nonstatutory
Agency restrictions on a special employee representing any other person
or organization in a matter pending before the Agency.) The restrictions
described in paragraphs (b)(1) and (2) of this section apply to both
paid and unpaid representation of another.
(3) They may not participate in their governmental capacity in any
matter in which they, their spouse, minor child, outside business
associate, or persons with whom they are negotiating for employment have
a financial interest (18 U.S.C. 208).
(4) They may not, after their Government employment has ended,
represent anyone other than the United States in connection with a
matter in which the United States is a party or has an interest and in
which they participated personally and substantially for the Government
(18 U.S.C. 207).
[[Page 10]]
(5) They may not, for 1 year after their Government employment has
ended, represent anyone other than the United States in connection with
a matter in which the United States is a party or has an interest and
which was within the boundaries of their official responsibility during
their last year of Government service. This temporary restraint gives
way to the permanent restriction described in paragraph (b)(4) of this
section if the matter is one in which they participated personally and
substantially (18 U.S.C. 207).
Subpart C--Outside Employment Activities and Associations
Sec. 1201.735-301 In general.
(a) There is no general prohibition against ACTION employees holding
outside employment, including teaching, lecturing, or writing. But no
employee may engage in outside employment or associatons if they might
result in a conflict or an appearance of conflict between the private
interests of the employee and his or her official responsibility.
(b) An employee shall not receive any salary or anything of monetary
value from a private source as compensation for his or her services to
the Government (18 U.S.C. 209).
(c) An employee shall not have a direct or indirect financial
interest that conflicts substantially or appears to conflict
substantially with his or her Government duties and responsibilities.
Nor may an employee engage in, directly or indirectly, a financial
transaction as a result of or primarily relying on information obtained
through his or her Government employment.
Sec. 1201.735-302 Association with a potential grantee or contractor prior to ACTION employment.
(a) No employee, or any person subject to his or her supervision,
may participate in the decision to award a grant or a contract to an
organization with which that employee has been associated in the past 2
years. When an employee becomes aware that such an organization is under
consideration for or has applied for a grant or a contract with the
Agency, the employee shall notify his or her immediate supervisor in
writing. The supervisor shall take whatever steps are necessary to
exclude the employee from all aspects of the decision processes
regarding the grant or contract.
(b) When the Director, Deputy Director, or an Associate or Assistant
Director, becomes aware that an organization with which he or she has
been associated in the past 2 years is under consideration for or has
applied for a grant or contract with the Agency, he or she shall refrain
from participating in the decision process and immediately notify the
Assistant Director of the Office of Compliance, who shall select an
independent third party, not in any way connected or associated with the
concerned official. The third party shall participate in and review the
decision process to the extent he or she deems necessary to insure
objectivity and the absence of favoritism. Said third party shall
preferably be a person experienced in the area of government contracts
and grants. The third party shall file a report in writing with the
Committee on Conflict of Interest stating his or her conclusions,
observations, or objections, if any, to the decision process concerning
the grant or contract, which document shall be attached to and become a
part of the official file.
Sec. 1201.735-303 Association with ACTION grantee or contractor or potential grantee or contractor while an ACTION employee.
(a) No regular employee may be associated with any ACTION grantee,
contractor, or potential grantee or contractor. Any organization that is
associated with a regular employee shall be suspended from consideration
as a grantee or contractor.
(b) No regular or special employee, except in his or her official
capacity as an ACTION employee, shall either participate in any way on
behalf of any orgainzation in the preparation or development of a grant
or contract proposal involving ACTION or represent any other
organization in a matter pending before ACTION. In the event that a
regular or special employee participates while an employee of ACTION in
any aspect of the development of a
[[Page 11]]
grant or contract proposal on behalf of an organization, or represents
another organization in a matter pending before ACTION, that
organization shall be suspended from consideration for the grant or
contract.
(c) No regular or special employee who, prior to his or her
employment at ACTION, participated in the development of a grant or
contract proposal on behalf of another organization, shall participate
as an ACTION employee, in any aspect of the decision process regarding
that grant or contract, or, if the grant or contract is awarded, in any
oversight or management capacity in relation to that grant or contract.
In addition, any such grant or contract shall only be awarded through a
competitive process. In the event a regular or special employee who
participated in the development of the grant or contract proposal prior
to being employed at ACTION does participate as an ACTION employee in
the decision process for such grant or contract, the organization shall
be suspended from consideration.
(d) If a special employee participates as an employee of ACTION in
any aspect of the development of a proposal or project, whether or not
such participation is minimal or substantial, any organization with
which he or she is associated shall be suspended from consideration for
the grant or contract.
(e) If an organization with which a special employee is associated
submits a proposal for a grant or contract, and the special employee did
not participate either as an employee of ACTION or an associate of the
organization in any aspect of the project or proposal or the application
therefor, the matter shall be referred to the Committee on Conflict of
Interests for determination. The Committee shall consider the following
factors and any others it deems relevant:
(1) The nature, length, and origin of the special employee's
relationship with the Agency, the nature and scope of the employees's
duties and responsibilities, the division or office to which the
employee is assigned, and whether the employee's duties are in any way
related to the proposed grant or contract.
(2) The nature, length, and type of the employee's relationship with
the organization, whether the employee's position involves policy making
or supervision of other employees and the relationship of the position
with the organization to the work to be performed under the proposed
grant or contract.
(3) Whether awarding the grant or contract to the organization would
result in the appearance of or the potential for a conflict of interest.
(4) The process to be used in awarding the grant or contract.
(f) If a special employee wishes to become or remain associated with
an ACTION grantee or contractor while he or she is an employee of
ACTION, subject to the restrictions paragraphs (b) through (e) of
Sec. 1201.735-303, the matter shall be referred to the Committee on
Conflict of Interests for determination. The Committee shall consider
the following factors and any others it deems relevant:
(1) The nature, length, and origin of the special employee's
relationship with the Agency, the nature and scope of the employee's
duties and responsibilities, the division or office to which the
employee is assigned, and whether the employee's duties are in any way
related to the grant or contract.
(2) The nature, length, and type of the employee's relationship with
the organization, whether the employee's position involves policymaking
or supervision of other employees and the relationship of the position
with the organization to the work to be performed under the proposed
grant or contract.
(3) Whether such a relationship would result in the appearance of or
the potential for a conflict of interest.
(g) Any suspension involving proposed contracts under this rule
shall be in accordance with procedures set forth in 41 CFR 1-1.600 et
seq.
Sec. 1201.735-304 Employment after leaving ACTION.
(a) Employees may negotiate for prospective employment with non-
Government organizations only when they have no duties as ACTION
employees which could affect that organization's
[[Page 12]]
interest, or after they have disqualified themselves, on the written
permission of their supervisor, from such duties.
(b) For 1 year after leaving ACTION, no regular or special employee
may serve pursuant to a personal or nonpersonal services contract or
accept employment with an ACTION grantee or contractor for a position in
which he or she would be working in any activity supported in whole or
in part by ACTION funds received under an ACTION program which was
within the boundaries of the employee's official responsibility or in
which he or she participated personally while employed at ACTION.
(c) If, within 1 year after leaving ACTION, an individual accepts
employment in violation of this rule, ACTION will disallow the costs
allocated under the grant or contract for that position. In addition, a
letter describing the violation will be placed in the employee's
personnel file.
Sec. 1201.735-305 Employment with ACTION grantee or contractor.
An employee of an ACTION grantee or contractor who is compensated
directly or indirectly from ACTION funds will be ineligible to be
compensated under any personal or nonpersonal services contract with
this Agency which will result in the employee being paid twice for the
same time or product.
Sec. 1201.735-306 Association with non-ACTION grantee or contractor while an ACTION employee.
(a) An employee shall not engage in outside employment which tends
to impair the employee's mental or physical capacity to perform his or
her official responsibility in an acceptable manner.
(b) Teaching, lecturing, and writing. (1) Use of information. An
employee shall not, either for or without compensation, engage in
teaching, lecturing, or writing that is dependent on information
obtained as a result of his or her Government employment, except when
that information has been or on request will be made available to the
general public or when the agency head gives advance written
authorization for the use of nonpublic information on the basis that the
proposed use is in the public interest.
(2) Compensation. No employee may accept compensation or anything of
value for any lecture, discussion, writing, or appearance the subject
matter of which is devoted substantially to the ACTION programs or which
draws substantially on official data or ideas which have not become part
of the body of public information.
(3) Clearance of publications. No employee may submit for
publication any writing, other than recruiting information, the contents
of which are devoted to the ACTION programs or to any other matter which
might be of official concern to the U.S. Government without in advance
clearing the writing with the Office of Communications or regional
communications specialists, as appropriate. Before clearing any such
writing, the Office of Communications will consult with the appropriate
ACTION office.
(c) State and local government employment. Regular employees may not
hold office or engage in outside employment under a State or local
government except with prior approval of the General Counsel, ACTION.
(d) All employees not required by Sec. 1201.735-401 to report their
outside employment and financial interests shall inform their
supervisors of all outside employment they hold or accept.
Sec. 1201.735-307 Gifts, entertainment, and favors.
(a) From donors dealing with ACTION. (1) No regular or special
employees may solicit or accept, directly or indirectly, for themselves,
for any member of their family, or for any person with whom they have
business or financial ties, any gift, gratuity, favor, entertainment, or
loan or any other thing of value, from any individual or organization
which:
(i) Has, or is seeking to obtain, contractual or other business or
financial relations with ACTION;
(ii) Has interests that may be substantially affected by the
performance or nonperformance of the employee's official responsibility;
(iii) Is in any way attempting to affect the employee's exercise of
his or her official responsibility; or
[[Page 13]]
(iv) Conducts operations or activities that are regulated by ACTION.
(2) Paragraph (a)(1) of this section does not prohibit, even if the
donor has dealings with ACTION:
(i) Acceptance of things of value from parents, children, or spouse
if those relationships rather than the business of the donor is the
motivating factor for the gift;
(ii) Acceptance of food and refreshments of nominal value on
infrequent occasions in the ordinary course of breakfast, luncheon, or
dinner meeting or other meetings;
(iii) Solicitation and acceptance of loans from banks or other
financial institutions to finance proper and usual activities of
employees, such as home mortgage loans, solicited and accepted on
customary terms;
(iv) Acceptance on behalf of minor dependents of fellowships,
scholarships, or educational loans awarded on the basis of merit and/or
need;
(v) Acceptance of awards for meritorious public contribution or
achievement given by a charitable, religious, professional, social,
fraternal, nonprofit educational and recreational, public service, or
civic organization.
(3) Regular or special employees need not return unsolicited
advertising or promotional material, such as pens, pencils, note pads,
calendars, and other things of nominal intrinsic value.
(b) From other ACTION employees. No employees in superior official
positions may accept any gifts presented as contributions from employees
receiving less salary than themselves. No employees shall solicit
contributions from other employees for a gift to an employee in a
superior official position, nor shall any employees make a donation as a
gift to an employee in a superior official position. However, this
paragraph does not prohibit a voluntary gift of nominal value or
donation in a nominal amount made on a special occasion such as
marriage, illness, or retirement.
(c) From foreign governments. No regular employee may solicit or,
without the consent of the Congress, receive any present, decoration,
emolument, pecuniary favor, office, title, or any other gift from any
foreign government. See 5 U.S.C. 7342; Executive Order 11320; and 22 CFR
part 3 (as added, 32 FR 6469).
(d) Gifts to ACTION. Gifts to the United States or to ACTION may be
accepted in accordance with ACTION regulations.
(e) Reimbursement for expenses. Neither this section nor
Sec. 1201.735-310(a) precludes an employee from receipt of bona fide
reimbursement, unless prohibited by law, for expenses of travel and such
other necessary subsistence as is compatible with this part and for
which no Government payment or reimbursement is made. However, this
paragraph does not allow an employee to be reimbursed, or payment to be
made on his behalf, for excessive personal living expenses, gifts,
entertainment, or other personal benefits. Nor does it allow an employee
to receive non-Government reimbursement of travel expenses for travel on
official business under ACTION orders; but rather, such reimbursement,
if any, should be made to ACTION and amounts received should be credited
to its appropriation. If an employee receives accommodations, goods, or
services in kind from a non-Government source, this item or items will
be treated as a donation to ACTION and an appropriate reduction will be
made in per diem or other travel expenses payable.
Sec. 1201.735-308 Economic and financial activities of employees abroad.
(a) Prohibitions in any foreign country. A U.S. citizen employee
abroad is specifically prohibited from engaging in the activities listed
below in any foreign country:
(1) Speculation in currency exchange;
(2) Transactions at exchange rates differing from local legally
available rates, unless such transactions are duly authorized in advance
by the agency;
(3) Sales to unauthorized persons (whether at cost or for a profit)
of currency acquired at preferential rates through diplomatic or other
restricted arrangements;
(4) Transactions which entail the use, without official sanction, of
the diplomatic pouch;
[[Page 14]]
(5) Transfers of funds on behalf of blocked nationals, or otherwise
in violation of U.S. foreign funds and assets control;
(6) Independent and unsanctioned private transactions which involve
an employee as an individual in violation of applicable control
regulations of foreign governments;
(7) Acting as an intermediary in the transfer of private funds from
persons in one country to persons in another country, including the
United States;
(8) Permitting use of one's official title in any private business
transactions or in advertisements for business purposes.
(b) Prohibitions in country of assignment. (1) A U.S. citizen
employee shall not transact or be interested in any business or engage
for profit in any profession or undertake other gainful employment in
any country or countries to which he or she is assigned or detailed in
his or her own name or through the agency of any other person.
(2) A U.S. citizen employee shall not invest in real estate or
mortgages on properties located in his or her country of assignment. The
purchase of a house and land for personal occupancy is not considered a
violation of this paragraph.
(3) A U.S. citizen employee shall not invest money in bonds, shares,
or stocks of commercial concerns headquartered in his or her country of
assignment or conducting a substantial portion of business in such
country. Such investments, if made prior to knowledge of assignment or
detail to such country or countries, may be retained during such
assignment or detail.
(4) A U.S. citizen employee shall not sell or dispose of personal
property, including automobiles, at prices producing profits which
result primarily from import privileges derived from his or her official
status as an employee of the U.S. Government.
Sec. 1201.735-309 Information.
(a) Release of information to press.
(1) Regular or special employees shall not withhold information from
the press or public unless that information is classified or
administratively controlled (limited official use). All responses to
requests for information from the press should be referred to the Office
of Communications or regional communications officers as appropriate who
will be responsible for all releases. Regular and special employees
should be certain that information given to the press and public is
accurate and complete.
(2) Any questions as to the classification or administrative control
of information should be referred to the general counsel.
(3) No regular or special employee may record by electronic or other
device any telephone or other conversation. No regular or special
employee may listen in on any telephone conversation without the consent
of all parties thereto.
(b) Disclosure and misuse of inside information. No employee may,
directly or indirectly, disclose or use for his or her own benefit, or
for the private benefit of another, inside information as described in
paragraph (c) of this section. The use of such information by an
employee is restricted to the proper performance of his or her official
duties. The disclosure of such information is restricted to official
ACTION channels unless disclosure is authorized by the Director, the
Deputy Director, an Associate Director, or a Regional Director of
ACTION. In particular, no employee may:
(1) Engage in, directly or indirectly, a financial transaction as a
result of or primarily relying on such information; or
(2) Publish any book or article, or deliver any speech or lecture,
based on or using such information.
(c) Definition: The term ``inside information'' as used in this
section means, generally, information obtained under Government
authority which is not known by the general public and which could
affect the rights or interests of the Government or of a non-Government
organization or person. Such information includes information about
ACTION operations or administration, and personnel which could influence
someone's dealing with ACTION.
[[Page 15]]
(d) This section is not intended to discourage the disclosure
through proper channels of information which has been or should be made
public, or which is by law to be made available to the public. Also,
employees are encouraged to teach, lecture, and write, provided they do
so in accordance with the provisions of this section and Secs. 1201.735-
301, and 1201.735-306.
Sec. 1201.735-310 Speeches; participation in conferences.
(a) Fees and expenses. (1) Although an employee may not accept a fee
for his or her own use or benefit for making a speech, delivering a
lecture, or participating in a discussion if the subject is ACTION or
ACTION programs or if such services are part of the employee's official
ACTION duties, the employee may suggest that the amount otherwise
payable as a fee or honorarium be contributed to ACTION.
(2) When a meeting, discussion, etc., to which paragraph (a)(1) of
this section refers takes place at a substantial distance from the
employee's home he or she may accept reimbursement for the actual cost
of transportation and necessary subsistence, or expenses, but in no case
shall he or she receive any amount for personal benefit. Such
reimbursements shall be reported by the employee to his or her immediate
supervisors.
(3) An employee may accept fees for speeches, etc., dealing with
subjects other than ACTION or ACTION programs when no official funds
have been used in connection with his or her appearance and such
activities do not interfere with the efficient performance of his or her
duties.
(b) Racial segregation. No employee may participate for ACTION in
conferences or speak for ACTION before audiences where any racial group
has been segregated or excluded from the meeting, from any of the
facilities or conferences, or from membership in the organization
sponsoring the conference or meeting.
(1) When a request for ACTION speakers or participation is received
under circumstances where segregation may be practiced, the Director of
the Office of Communications shall make specific inquiry as to the
practices of the organization before the request is filled.
(2) If the inviting organization shows a willingness to modify its
practices for the occasion, ACTION will cooperate in such efforts.
(3) Exceptions to this paragraph may be made only by the Director,
ACTION and in his or her discretion.
Sec. 1201.735-311 Partisan political activities.
(a) Prohibited activities: No employee may:
(1) Use his or her official authority or influence for the purpose
of interfering with an election or affecting the result thereof; or
(2) Take any active part in partisan political management or in
political campaigns, except as may be provided by or pursuant to statute
5 U.S.C. 7324.
(b) Intermittent employees: Persons employed on an irregular or
occasional basis are subject to paragraph (a) of this section only while
in active duty status and for the 24 hours of any day of actual
employment.
(c) Excepted activities: Paragraph (a) of this section does not
apply to:
(1) Nonpartisan campaigns and elections in which none of the
candidates is to be nominated by or elected as representing a national
or State political party, such as most school board elections; or
(2) Political activities connected with questions of public interest
which are not specifically identified with national or State political
parties, such as constitutional amendments, referenda, and the like (5
U.S.C. 7326).
(d) Excepted communities: Paragraph (a) of this section does not
apply to employees who are residents of certain communities. These
communities, which have been designated by the Civil Service Commission
(5 CFR 733.301), consist of a number of communities in suburban
Washington, DC, and a few communities elsewhere in which a majority of
the voters are Government employees. Employees who are residents of the
designated communities may be candidates for, or campaign for others who
are candidates for, local office if they or the candidates for whom they
are campaigning are running as independent candidates.
[[Page 16]]
An employee may hold local office only in accordance with
Secs. 1201.735-301 through 1201.735-306 relating to outside employment
and associations.
(e) Special Government employees are subject to the statute for the
24 hours of each day on which they do any work for the Government.
(f) While regular employees may explain and support governmental
programs that have been enacted into law, in exercising their official
responsibilities they should not publicly support or oppose pending
legislation, except in testimony required by the Congress.
(g) The Foreign Service Act generally prohibits any Foreign Service
employee from:
(1) Corresponding in regard to the public affairs of any foreign
government, except with the proper officers of the United States; and
(2) Recommending any person for employment in any position of trust
or profit under the government of the country to which he or she is
detailed or assigned.
Sec. 1201.735-312 Use of Government property.
A regular or special employee shall not directly or indirectly use,
or allow the use of, Government property of any kind, including property
leased to the Government for other than officially approved activities.
All employees have a positive duty to protect and conserve Government
property, including equipment, supplies, and other property entrusted or
issued to them. By law, penalty envelopes may be used only for official
Government mail.
Sec. 1201.735-313 Indebtedness.
ACTION considers the indebtedness of its employees to be a matter of
their own concern and will not function as a collection agency.
Nevertheless, a regular or special employee shall pay each just
financial obligation in a proper and timely manner, especially one
imposed by law such as Federal, State, or local taxes. For the purpose
of this section, a ``just financial obligation'' means one acknowledged
by the employee or reduced to judgment by a court, or one imposed by law
such as Federal, State or local taxes, and ``in a proper and timely
manner'' means in a manner which the agency determines does not, under
the circumstances, reflect adversely on the Government as his or her
employer. In the event of a dispute between an employee and an alleged
creditor, this section does not require ACTION to determine the validity
or amount of the disputed debt.
Sec. 1201.735-314 Gambling, betting, and lotteries.
A regular or special employee shall not participate, while on
Government owned or leased property or while on duty for the Government
in any gambling activity including the operation of a gambling device,
in conducting a lottery or pool, in a game for money or property, or in
selling or purchasing a numbers slip or ticket.
Sec. 1201.735-315 Discrimination.
No regular or special employee may make inquiry concerning the race,
political affiliation, or religious beliefs of any employee or applicant
in connection with any personnel action and may not practice, threaten,
or promise any action against or in favor of an employee or applicant
for employment because or race, color, religion, sex, or national origin
and in the competitive service on the basis of politics, marital status,
or physical handicap.
Sec. 1201.735-316 Related statutes and regulations.
Each employee should be aware of the following related statutes and
regulations:
(a) House Concurrent Resolution 175, 8th Congress, second session,
72A Stat. B12, the ``Code of Ethics for Government Service.''
(b) The prohibition against lobbying with appropriated funds (18
U.S.C. 1913).
(c) The prohibitions against disloyalty and striking (5 U.S.C. 7311,
18 U.S.C. 1918).
(d) The prohibition against accepting honorariums of more than
$2,000 per speech, appearance or article or aggregating more than
$25,000 in any calendar year (2 U.S.C. 441i).
(e) The prohibitions against: (1) The disclosure of classified
information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the
[[Page 17]]
disclosure of confidential information (18 U.S.C. 1905).
(f) The provisions relating to the habitual use of toxicants to
excess (5 U.S.C. 7352).
(g) The prohibition against the misuses of a Government vehicle (31
U.S.C. 638(a) (c)).
(h) The prohibition against the misuses of the franking privilege
(18 U.S.C. 1719).
(i) The prohibition against the use of deceit in an examination or
personnel action in connection with Government employment (18 U.S.C.
1917).
(j) The prohibition against fraud or false statements in a
Government matter (18 U.S.C. 1001).
(k) The prohibition against mutilating or destroying a public record
(18 U.S.C. 2071).
(l) The prohibition against counterfeiting and forging
transportation requests (18 U.S.C. 508).
(m) The prohibitions against: (1) Embezzlement of Government money
or property (18 U.S.C. 641); (2) failing to account for public money (18
U.S.C. 643); and (3) embezzlement of the money or property of another
person in the possession of an employee by reason of his or her
employment (18 U.S.C. 654).
(n) The prohibition against unauthorized use of documents relating
to claims from or by the Government (18 U.S.C. 285).
(o) The prohibitions against political activities in subchapter III
of chapter 73 of title 5, United States Code, and 18 U.S.C. 602, 603,
607, and 608.
(p) The prohibition against gifts to employee's superiors and the
acceptance thereof (Rev. Stat. 1784, 5 U.S.C. 113).
(q) Chapter 11 of title 18, United States Code, relating to bribery,
graft, and conflicts of interest, which is specifically applicable to
special Government employees as well as to regular employees.
(r) The prohibitions against: (1) Accepting gifts from foreign
governments; (2) engaging in business abroad; (3) corresponding on the
affairs of foreign governments; and (4) discrimination on political,
racial, or religious grounds contained in sections 1002 through 1005 of
the Foreign Service Act of 1946, as amended.
(s) The prohibition against an employee acting as the agent of a
foreign principal registered under the Foreign Agents Registration Act
(18 U.S.C. 219).
(t) The prohibition against appointing or advocating the appointment
of a relative to a position within the Agency (5 U.S.C. 3110).
Subpart D--Procedures for Submission by Employees and Review of
Statements of Employment and Financial Interests
Sec. 1201.735-401 Submission of statements.
(a) (1) Regulations of the Civil Service Commission (5 CFR part 735)
require ACTION to adopt regulations providing for the submission of
statements of employment and financial interests from certain regular
ACTION employees and all special ACTION employees.
(2) All special employees and those regular employees designated in
paragraph (b) of this section shall complete statements of employment
and financial interests and submit them to the Office of General Counsel
not later than 5 days after their entrance on duty. The Director of
Personnel Management shall be responsible for supplying all new
employees with the necessary forms either prior to or on the first day
of their employment.
(3) The statement of employment and financial interests shall
include information on organizations with which 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.
[[Page 18]]
(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 no
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 Finance:
(i) Assistant Director.
(ii) Deputy Assistant Director.
(iii) Director, Management and Organization.
(iv) Director, Administrative Services.
(v) Chief, Paperwork and Management.
(vi) Chief, Transportation.
[[Page 19]]
(vii) Chief, Communications and Property.
(viii) Director, Accounting Division.
(ix) Chief, Fiscal Services.
(x) Chief, Accounting Operations.
(xi) Cashier.
(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.
(viii) Director, Creative Services.
(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:
(i) General Counsel.
(ii) Deputy General Counsel.
(iii) Associate General Counsels.
(iv) Assistant General Counsels.
(7) Office of Policy and Planning:
(i) Assistant Director.
(ii) Deputy Assistant Director.
(iii) Special Projects Officer.
(iv) Director, Budget Division.
(v) Director, Policy Development.
(vi) Director, Evaluation.
(vii) Director, Planning.
(viii) Special Assistants to Assistant Director.
(ix) Program analysts.
(x) Policy development analysts.
(xi) Supervisory program specialists.
(xii) Evaluation specialists.
(8) Office of Legislative and Governmental Affairs:
(i) Assistant Director.
(9) Office of Compliance:
(i) Assistant Director.
(ii) Inspector General.
(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.
Sec. 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 Secs. 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
[[Page 20]]
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.
PART 1203--NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS--EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964--Table of Contents
Sec.
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 to Part 1203--Programs to Which This Part Applies
Appendix B to Part 1203--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.
Sec. 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 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 or activity receiving Federal financial assistance from
ACTION.
Sec. 1203.2 Application of this part.
(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:
[[Page 21]]
(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 Sec. 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.
Sec. 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,
[[Page 22]]
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.
Sec. 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.
(4)(i) In administering a program regarding which the recipient had
previously discriminated against persons on the ground of race, color,
or national origin, the recipient shall take affirmative action to
overcome the effects of prior discrimination.
(ii) Even in the absence of prior discrimination a recipient in
administering a program may take affirmative action to overcome the
effect of conditions which resulted in limiting participation by persons
of a particular race, color, or national origin.
(c) Employment practices. (1) When a primary objective of a program
of Federal financial assistance to which this part applies is to provide
employment, a recipient or other party subject to this part shall not,
directly or through contractual or other arrangements, subject a person
to discrimination on the ground of race, color, or national origin in
its employment practices
[[Page 23]]
under the program (including recruitment or recruitment advertising,
hiring, firing, upgrading, promotion, demotion, transfer, layoff,
termination, rates of pay, or other forms of compensation or benefits,
selection for training or apprenticeship, use of facilities, and
treatment of employees). A recipient shall take affirmative action to
insure that applicants are employed, and employees are treated during
employment, without regard to race, color, or national origin. The
requirements applicable to construction employment under a program are
those specified in or pursuant to part III of Executive Order 11246 or
any Executive order which supersedes it.
(2) Federal financial assistance to programs under laws funded or
administered by ACTION which have as a primary objective the providing
of employment include those set forth in Appendix B to this part.
(3) Where a primary objective of the Federal financial assistance is
not to provide employment, but discrimination on the ground of race,
color, or national origin in the employment practices of the recipient
tends, on the ground of race, color, or national origin, to exclude
persons from participation in, to deny them the benefits of, or to
subject them to discrimination under any program to which this part
applies, the provisions of paragraph (c)(1) of this section apply to the
employment practices of the recipient to the extent necessary to assure
equality of opportunity to and nondiscriminatory treatment of
beneficiaries.
(d) In determining the site or location of facilities, a recipient
or applicant may not make selections with the purpose or effect of
excluding individuals from, denying them the benefits of, or subjecting
them to discrimination under, a program to which this part applies, on
the ground of race, color, or national origin; or with the purpose or
effect of defeating or substantially impairing the accomplishment of the
objectives of title VI of this part.
Sec. 1203.5 Assurances required.
(a) General. (1) An application for Federal financial assistance to
carry out a program to which this part applies, except a program to
which paragraph (d) of this section applies, and every application for
Federal financial assistance to provide a facility shall, as a condition
to its approval and the extension of Federal financial assistance
pursuant to the application, contain or be accompanied by, assurances
that the program will be conducted or the facility operated in
compliance with the requirements imposed by or pursuant to this part.
Every program of Federal financial assistance shall require the
submission of these assurances. In the case where the Federal financial
assistance is to provide or is in the form of personal property, or real
property or interest therein or structures thereon, the assurances shall
obligate the recipient, or, in the case of a subsequent transfer, the
transferee, for the period during which the property is used for a
purpose for which the Federal financial assistance is extended or for
another purpose involving the provision of similar services or benefits,
or for as long as the recipient retains ownership or possession of the
property, whichever is longer. In other cases, the assurances obligate
the recipient for the period during which the Federal financial
assistance is extended to the program. In the case where the assistance
is sought for the construction of a facility or part of a facility, the
assurances shall extend to the entire facility and to the facilities
operated in connection therewith. ACTION shall specify the form of the
foregoing assurances for each program, and the extent to which like
assurances will be required of subgrantees, contractors and
subcontractors, transferees, successors in interest, and other
participants in the program. The assurances shall include provisions
which give the United States the right to seek judicial enforcement.
(2) When Federal financial assistance is provided in the form of a
transfer of real property, structures, or improvements thereon, or
interest therein, from the Federal Government, the instrument effecting
or recording the transfer shall contain a covenant running with the land
assuring nondiscrimination for the period during which the real property
is used for a purpose involving the provision of
[[Page 24]]
similar services or benefits. When no transfer of property of interest
therein from the Federal Government is involved, but property is
acquired or improved under a program of Federal financial assistance,
the recipient shall agree to include a covenant in any subsequent
transfer of the property. When the property is obtained from the Federal
Government, the covenant may also include a condition coupled with a
right to be reserved by ACTION to revert title to the property in the
event of a breach of the covenant where, in the discretion of ACTION,
such a condition and right of reverter is appropriate to the program
under which the real property is obtained and to the nature of the grant
and the grantee. In the event a transferee of real property proposes to
mortgage or otherwise encumber the real property as security for
financing construction of new, or improvement of existing, facilities on
property for the purposes for which the property was transferred, ACTION
may agree, on request of the transferee and if necessary to accomplish
the financing, and on conditions as he deems appropriate, to subordinate
a right of reversion to the lien of a mortgage or other encumbrance.
(b) Assurances from Government agencies. In the case of an
application from a department, agency, or office of a State or local
government for Federal financial assistance for a specified purpose, the
assurance required by this section shall extend to any other department,
agency, or office of the same governmental unit if the policies of the
other department, agency, or office will substantially affect the
project for which Federal financial assistance is requested. That
requirement may be waived by the responsible ACTION official if the
applicant establishes, to the satisfaction of the responsible ACTION
official, that the practices in other agencies or parts or programs of
the governmental unit will in no way affect:
(1) Its practices in the program for which Federal financial
assistance is sought, or
(2) The beneficiaries of or participants in or persons affected by
the program, or
(3) Full compliance with this part as respects the program.
(c) Assurance from academic and other institutions. (1) In the case
of an application for Federal financial assistance by an academic
institution, the assurance required by this section extends to admission
practices and to all other practices relating to the treatment of
students.
(2) The assurance required by an academic institution, detention or
correctional facility, or any other institution or facility, relating to
the institution's practices with respect to admission or other treatment
of individuals as students, patients, wards, inmates, persons subject to
control, or clients of the institution or facility or to the opportunity
to participate in the provision of services, disposition, treatment, or
benefits to these individuals, is applicable to the entire institution
or facility unless the applicant establishes, to the satisfaction of the
responsible ACTION official, that the practices in designated parts or
programs of the institution or facility will in no way affect its
practices in the program of the institution or facility for which
Federal financial assistance is sought, or the beneficiaries of or
participants in the program. If the assistance sought is for the
construction of a facility or part of a facility, the assurance shall
extend to the entire facility and to facilities operated in connection
therewith.
(d) Continuing State programs. Every application by a State or a
State agency to carry out a program involving continuing Federal
financial assistance to which this part applies (including the programs
listed in Appendix A to this part) shall as a condition to its approval
and the extension of Federal financial assistance pursuant to the
application:
(1) Contain or be accompanied by a statement that the program is
(or, in the case of a new program, will be) conducted in compliance with
the requirements imposed by or pursuant to this part, and
(2) Provide or be accompanied by provision for methods of
administration for the program as are found by ACTION to give reasonable
guarantee that the applicant and all recipients of
[[Page 25]]
Federal financial assistance under the program will comply with the
requirements imposed by or pursuant to this part.
(Approved by the Office of Management and Budget under control number
3001-0016, paragraph (a)(1))
[39 FR 27322, July 26, 1974, as amended at 47 FR 3553, Jan. 26, 1982]
Sec. 1203.6 Compliance information.
(a) Cooperation and assistance. ACTION, to the fullest extent
practicable, shall 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 records and submit
to ACTION timely, complete, and accurate compliance reports at the
times, and in the form and containing the information ACTION may
determine necessary to enable it to ascertain whether the recipient has
complied or is complying with this part. In the case of a program under
which a primary recipient extends Federal financial assistance to other
recipients, the other recipients shall also submit compliance reports to
the primary recipient as may be necessary to enable the primary
recipient to carry out its obligations under this part. In general,
recipients should have available for ACTION racial and ethnic data
showing the extent to which members of minority groups are beneficiaries
of federally assisted programs.
(c) Access to sources of information. Each recipient shall permit
access by ACTION during normal business hours to its books, records,
accounts, and other sources of information, and its facilities as may be
pertinent to ascertain compliance with this part. When information
required of a recipient is in the exclusive possession of an other
agency, institution, or person and this agency, institution, or person
fails or refuses 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 the information regarding the provisions of this part
and its applicability to the program under which the recipient received
Federal financial assistance, and make this information available to
them in the manner, as ACTION finds necessary, to apprise the persons of
the protections against discrimination assured them by title VI and this
part.
Sec. 1203.7 Conduct of investigations.
(a) Periodic compliance reviews. ACTION may 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 persons to be subjected to discrimination prohibited by this
part may by himself or by a representative file with ACTION a written
complaint. A complaint shall be filed not later than 180 days after the
date of the alleged discrimination, unless the time for filing is
extended by ACTION.
(c) Investigations. ACTION will make a prompt investigation whenever
a compliance review, report, complaint, or other information indicates a
possible failure to comply with this part. The investigation will
include, when appropriate, a review of the pertinent practices and
policies of the recipient, the circumstances under which the possible
noncompliance with this part occurred, and other factors relevant to a
determination as to whether the recipient has failed to comply with this
part.
(d) Resolution of matters. (1) If an investigation pursuant to
paragraph (c) of this section indicates a failure to comply with this
part, ACTION will so inform the recipient and the matter will be
resolved by voluntary means whenever possible. If it has been determined
that the matter cannot be resolved by voluntary means, action will be
taken as provided for in Sec. 1203.8.
(2) If an investigation does not warrant action pursuant to
paragraph (d)(1) of this section, ACTION will so inform, in writing, the
recipient and the complainant, if any.
(e) Intimidatory or retaliatory acts prohibited. A recipient or
other person shall not intimidate, threaten, coerce, or discriminate
against an individual for the purpose of interfering with a
[[Page 26]]
right or privilege secured by section 601 of title VI of this part, or
because he has made a complaint, testified, assisted, or participated in
any manner in an investigation, proceeding, or hearing under this part.
The identity of complainants shall be kept confidential, except to the
extent necessary to carry out the purposes of this part, including the
conduct of an investigation, hearing, or judicial proceeding arising
thereunder.
Sec. 1203.8 Procedure for effecting compliance.
(a) General. (1) If there appears to be a failure or threatened
failure to comply with this part, and if the noncompliance or threatened
noncompliance cannot be corrected by informal means, compliance with
this part may be effected by the suspension or termination of or refusal
to grant or to continue Federal financial assistance or by other means
authorized by law.
(2) Other means may include, but are not limited to: (i) A reference
to the Department of Justice with a recommendation that appropriate
proceedings be brought to enforce the rights of the United States under
a law of the United States (including other titles of the Civil Rights
Act of 1964) or an assurance or other contractual undertaking, and
(ii) An applicable proceeding under State or local law.
(b) Noncompliance with Sec. 1203.5. If an applicant fails or refuses
to furnish an assurance required under Sec. 1203.5 or otherwise fails or
refuses to comply with a requirement imposed by or pursuant to that
section, Federal financial assistance may be refused in accordance with
the procedures of paragraph (c) of this section. ACTION shall not be
required to provide assistance in that case during the pendency of the
administrative proceedings under this paragraph. Subject, however, to
Sec. 1203.12, ACTION shall continue assistance during the pendency of
the proceedings where the assistance is due and payable pursuant to an
application approved prior to the effective date of this part.
(c) Termination of or refusal to grant or to continue Federal
financial assistance. An order suspending, terminating, or refusing to
grant or to continue Federal financial assistance shall not become
effective until--
(1) ACTION has advised the applicant or recipient of his failure to
comply and has determined that compliance cannot be secured by informal
voluntary means;
(2) There has been an express finding on the record, after
opportunity for hearing, of a failure by the applicant or recipient to
comply with a requirement imposed by or pursuant to this part;
(3) The action has been approved by the Director pursuant to
Sec. 1203.10(e); and
(4) The expiration of 30 days after the Director has filed with the
committee of the House and the committee of the Senate having
legislative jurisdiction over the program involved, a full written
report of the circumstances and the grounds for the action.
An action to suspend or terminate or refuse to grant or to continue
Federal financial assistance shall be limited to the particular
political entity, or part thereof, or other applicant or recipient as to
whom a finding has been made and shall be limited in its effect to the
particular program, or part thereof, in which the noncompliance has been
so found.
(d) Other means authorized by law. An action to effect compliance
with title VI by other means authorized by law shall not be taken by
ACTION until--
(1) ACTION has determined that compliance cannot be secured by
voluntary means;
(2) The recipient or other person has been notified of its failure
to comply and of the action to be taken to effect compliance; and
(3) The expiration of at least 10 days from the mailing of a notice
to the recipient or person. During this period of at least 10 days,
additional efforts shall be made to persuade the recipient or other
person to comply with the regulation and to take corrective action as
may be appropriate.
Sec. 1203.9 Hearings.
(a) Opportunity for hearing. When an opportunity for a hearing is
required by Sec. 1203.8(c), reasonable notice shall be given by
registered or certified mail,
[[Page 27]]
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 the matters of fact or law asserted as the basis
for this action, and either:
(1) Fix a date not less than 20 days after the date of notice within
which the applicant or recipient may request of ACTION 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 time and place. The time and
place so fixed shall be reasonable and 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 paragraph or to
appear at a hearing for which a date has been set is deemed to be a
waiver of the right to a hearing under section 602 of title VI and
Sec. 1203.8(c) and consent to the making of a decision on the basis of
the information available.
(b) Time and place of hearing. Hearings shall be held at the offices
of ACTION in Washington, DC, at a time fixed by ACTION unless it
determines that the convenience of the applicant or recipient or of
ACTION requires that another place be selected. Hearings shall be held
before the Director, or at his discretion, before a hearing examiner
appointed in accordance with section 3105 of title 5, United States
Code, or detailed under section 3344 of title 5, United States Code.
(c) Right to counsel. In all proceedings under this section, the
applicant or recipient and ACTION have the right to be represented by
counsel.
(d) Procedures, evidence, and record. (1) The hearing, decision, and
an administrative review thereof shall be conducted in conformity with
sections 554 through 557 of title 5, United States Code, and in
accordance with the 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 ACTION and the
applicant or recipient are entitled to introduce 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 do 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 determined
reasonably necessary by the officer conducting the hearing. The hearing
officer may exclude irrelevant, immaterial, or unduly repetitious
evidence. 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 except to the
extent the substance thereof is stipulated for the record. Decisions
shall be based on 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
with respect to two or more programs to which this part applies, or
noncompliance with this part and the regulations of one or more other
Federal departments or agencies issued under title VI, ACTION may, by
agreement with the other departments or agencies, when applicable,
provide for the conduct of consolidated or joint hearings, and for the
application to these hearings of rules or procedures not inconsistent
with this part. Final decisions in these cases, insofar as this
regulation is concerned, shall be made in accordance with Sec. 1203.10.
Sec. 1203.10 Decisions and notices.
(a) Procedure on decisions by hearing examiner. If the hearing is
held by a
[[Page 28]]
hearing examiner, the hearing examiner shall either make an initial
decision, if so authorized, or certify the entire record including his
recommended findings and proposed decision to the Director for a final
decision, and a copy of the initial decision or certification shall be
mailed to the applicant or recipient. When the initial decision is made
by the hearing examiner, the applicant or recipient may, within 30 days
after the mailing of a notice of initial decision, file with the
Director his exceptions to the initial decision, with his reasons
therefor. In the absence of exceptions, the Director 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. On the
filing of the exceptions or of notice of review, the Director 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, subject to paragraph (e) of this section,
shall constitute the final decision of the Director.
(b) Decisions on record or review by the Director. When a record is
certified to the Director for decision or the Director reviews the
decision of a hearing examiner pursuant to paragraph (a) of this
section, or when the Director conducts the hearing, the applicant or
recipient shall be given reasonable opportunity to file with it briefs
or other written statements of the recipient's contentions, and a
written copy of the final decision of the Director will be sent to the
applicant or recipient and to the complainant, if any.
(c) Decisions on record where a hearing is waived. When a hearing is
waived pursuant to Sec. 1203.9, a decision shall be made by ACTION on
the record and a written copy of the decision shall be sent to the
applicant or recipient, and to the complainant, if any.
(d) Rulings required. Each decision of a hearing examiner or the
Director shall set forth a ruling on each finding, conclusion, or
exception presented, and shall identify the requirement 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 ACTION. A final decision by an official of ACTION
other than by 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 title VI, shall promptly be transmitted to the Director, who may
approve the decision, vacate it, or remit or mitigate a 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 the terms, conditions, and other provisions as are consistent
with and will effectuate the purposes of title VI and this part,
including provisions designed to assure that Federal financial
assistance will not thereafter be extended under the programs to the
applicant or recipient determined by the decision to be in default in
its performance of an assurance given by it under this part, or to have
otherwise failed to comply with this part, unless and until it corrects
its noncompliance and satisfies ACTION that it will fully comply with
this part.
(g) Post-termination proceedings. (1) An applicant or recipient
adversely affected by an order issued under paragraph (f) of this
section shall be restored to full eligibility to receive Federal
financial assistance if it satisfies the terms and conditions of the
order for eligibility, or if it brings itself into compliance with this
part and provides reasonable assurance that it will fully comply with
this part.
(2) An applicant or recipient adversely affected by an order entered
pursuant to paragraph (f) of this section may at any time request ACTION
to restore fully its eligibility to receive Federal financial
assistance. A request shall be supported by information showing that the
applicant or recipient has met the requirements of paragraph (g)(1) of
this section. If ACTION determines that those requirements have been
satisfied, it shall restore the eligibility.
[[Page 29]]
(3) If ACTION denies a request, the applicant or recipient may
submit a request for a hearing in writing, specifying why it believes
ACTION is in error. The applicant or recipient shall be given an
expeditious hearing, with a decision on the record in accordance with
the rules or procedures issued by ACTION. The applicant or recipient
shall be restored to eligibility if it proves at the hearing that it
satisfied the requirements of paragraph (g)(1) of this section. While
proceedings under this paragraph are pending, the sanctions imposed by
the order issued under paragraph (f) of this section remain in effect.
Sec. 1203.11 Judicial review.
Action taken pursuant to section 602 of title VI is subject to
judicial review as provided in section 603 of title VI.
Sec. 1203.12 Effect on other regulations, forms, and instructions.
(a) Effect on other regulations. Regulations, orders, or like
directions issued before the effective date of this part by ACTION which
impose requirements designed to prohibit discrimination against
individuals on the ground of race, color, or national origin under a
program to which this part applies, and which authorizes the suspension
or termination of or refusal to grant or to continue Federal financial
assistance to an applicant for or recipient of assistance under a
program for failure to comply with the requirements, are superseded to
the extent that discrimination is prohibited by this part, except that
nothing in this part relieves a person of an obligation assumed or
imposed under a superseded regulation, order, instruction, or like
direction, before the effective date of this part. This part does not
supersede any of the following (including future amendments thereof):
(1) Executive Order 11246 (3 CFR, 1965 Supp.) and regulations issued
there under or
(2) Any other orders, regulations, or instructions, insofar as these
orders, regulations, or instructions prohibit discrimination on the
ground of race, color, or national origin in a program or situation to
which this part is inapplicable, or prohibit discrimination on any other
ground.
(b) Forms and instructions. ACTION shall issue and promptly make
available to all interested persons forms and detailed instructions and
procedures for effectuating this part as applied to programs to which
this part applies, and for which it is responsible.
(c) Supervision and coordination. ACTION may from time to time
assign to officials of ACTION, or to officials of other departments or
agencies of the Government with the consent of the departments or
agencies, responsibilities in connection with the effectuation of the
purposes of title VI and this part (other than responsibilities for
final decision as provided in Sec. 1203.10), including the achievement
of effective coordination and maximum uniformity within ACTION and
within the executive branch in the application of title VI and this part
to similar programs and in similar situations. An action taken,
determination made, or requirement imposed by an official of another
department or agency acting pursuant to an assignment of responsibility
under this paragraph shall have the same effect as though the action had
been taken by ACTION.
Appendix A to Part 1203--Programs to Which This Part Applies
1. Grants for the development or operation of retired senior
volunteer programs pursuant to section 601 of the Older Americans Act of
1965, as amended (42 U.S.C. 3044).
2. Grants for the development and operation of foster grandparents
projects pursuant to section 611 of the Older Americans Act of 1965, as
amended (42 U.S.C. 3044b).
Appendix B to Part 1203--Programs to Which This Part Applies When a
Primary Objective of the Federal Financial Assistance is To Provide
Employment
1. Grants for the development or operation of retired senior
volunteer programs pursuant to section 601 of the Older Americans Act of
1965, as amended (42 U.S.C. 3044).
2. Grants for the development and operation of foster grandparents
projects pursuant to section 611 of the Older Americans Act of 1965, as
amended (42 U.S.C. 3044b).
[[Page 30]]
PART 1204--OFFICIAL SEAL--Table of Contents
Sec.
1204.1 Authority.
1204.2 Description.
1204.3 Custody and authorization to affix.
Authority: Sec. 402, Pub. L. 93-113, 87 Stat. 407 (42 U.S.C. 5042).
Source: 38 FR 34118, Dec. 11, 1973, unless otherwise noted.
Sec. 1204.1 Authority.
Pursuant to section 402(9) of Pub. L. 93-113, the ACTION official
seal and design thereof which accompanies and is made part of this
document, is hereby adopted and approved, and shall be judicially
noticed.
[52 FR 20714, June 3, 1987]
Sec. 1204.2 Description.
The official seal of ACTION is described as follows:
(a) The words ``The Federal Domestic Volunteer Agency USA'' are in
blue capital letters and form the outer circle of the seal.
(b) Within the circle of letters, on a field of white, appears the
logotype word ``ACTION'' in blue, capital letters and in Italic type.
(c) The logotype word ``ACTION'' is split; ``ACT'' on a higher level
and ``ION'' drops down to a slightly lower level.
(d) Two red bars, also split on two levels, underline the logotype
word ``ACTION.''
The official seal of ACTION is modified when reproduced in black and
white and when embossed, as it appears below.
[GRAPHIC] [TIFF OMITTED] TC03MR91.053
[52 FR 20714, June 3, 1987]
Sec. 1204.3 Custody and authorization to affix.
(a) The seal is the official emblem of ACTION and its use is
therefore permitted only as provided in this part.
(b) The seal shall be kept in the custody of the General Counsel, or
any other person he authorizes, and should be affixed by him, the
Director or the Deputy Director to all commissions of officials of
ACTION, and used to authenticate records of ACTION and for other
official purposes. The General Counsel may redelegate and authorize
redelegations of, this authority.
(c) The Director shall designate and prescribe by internal written
delegations and policies the use of the seal for other publication and
display purposes and those ACTION officials authorized to affix the seal
for these purposes.
(d) Use by any person or organization outside of the Agency may be
made only with the Agency's prior written approval. Such request must be
made in writing to the General Counsel.
PART 1206--GRANTS AND CONTRACTS--SUSPENSION AND TERMINATION AND DENIAL OF APPLICATION FOR REFUNDING--Table of Contents
Subpart A--Suspension and Termination of Assistance
Sec.
1206.1-1 Purpose and scope.
[[Page 31]]
1206.1-2 Application of this part.
1206.1-3 Definitions.
1206.1-4 Suspension.
1206.1-5 Termination.
1206.1-6 Time and place of termination hearings.
1206.1-7 Termination hearing procedures.
1206.1-8 Decisions and notices regarding termination.
1206.1-9 Right to counsel; travel expenses.
1206.1-10 Modification of procedures by consent.
1206.1-11 Other remedies.
Subpart B--Denial of Application for Refunding
1206.2-1 Applicability of this subpart.
1206.2-2 Purpose.
1206.2-3 Definitions.
1206.2-4 Procedures.
1206.2-5 Right to counsel.
Authority: 42 U.S.C. 4951 et R 1996, Jan. 16, 1974, unless
otherwise noted.
Subpart A--Suspension and Termination of Assistance
Sec. 1206.1-1 Purpose and scope.
(a) This subpart establishes rules and review procedures for the
suspension and termination of assistance provided by ACTION pursuant to
various sections of titles I, II and III of the Domestic Volunteer
Service Act of 1973, 87 Stat. 394, Pub. L. 93-113, (hereinafter the Act)
because of a material failure of a recipient to comply with the terms
and conditions of any grant or contract providing assistance under these
sections of the Act, including applicable laws, regulations, issued
program guidelines, instructions, grant conditions or approved work
programs.
(b) However, this subpart shall not apply to any administrative
action of the ACTION Agency based upon any violation, or alleged
violation, of title VI of the Civil Rights Act of 1964 and sections 417
(a) and (b) of Pub. L. 93-113 relating to nondiscrimination. In the case
of any such violation or alleged violation other provisions of this
chapter shall apply.
Sec. 1206.1-2 Application of this part.
This subpart applies to programs authorized under titles I, II, and
III of the Act.
Sec. 1206.1-3 Definitions.
As used in this subpart--
(a) The terms ``ACTION'' or ``ACTION Agency'' include each Regional
Office.
(b) The term Director means the Director of the ACTION Agency.
(c) The term responsible ACTION official means the Director and
Deputy Director of ACTION, appropriate Regional Director and any ACTION
headquarters or regional office official who is authorized to make the
grant of assistance in question. In addition to the foregoing officials,
in the case of the suspension proceedings described in Sec. 1206.1-4,
the term ``responsible ACTION official'' shall also include a designee
of an ACTION official who is authorized to make the grant of assistance
in question.
(d) The term assistance means assistance under titles I, II and III
of the Act in the form of grants or contracts involving Federal funds
for the administration of which ACTION has primary responsibility.
(e) The term recipient means a public or private agency, institution
or organization or a State or other political jurisdiction which has
received assistance under title I, II, or III of the Act, but does not
include individuals who ultimately receive benefits under any program of
assistance or volunteers participating in any program.
(f) The term agency means a public or private agency, institution,
or organization or a State or other political jurisdiction with which
the recipient has entered into an arrangement, contract or agreement to
assist in its carrying out of the development, conduct and
administration of all or part of a project assisted under titles I, II
and III.
(g) The term party in the case of a termination hearing means
ACTION, the recipient concerned, and any other agency or organization
which has a right or which has been granted permission by the presiding
officer to participate in a hearing concerning termination of assistance
to the recipient pursuant to Sec. 1206.1-5(e).
(h) The term termination means any action permanently terminating or
curtailing assistance to all or any part of a program prior to the time
that
[[Page 32]]
such assistance is concluded by the terms and conditions of the document
in which such assistance is extended, but does not include the refusal
to provide new or additional assistance.
(i) The term suspension means any action temporarily suspending or
curtailing assistance in whole or in part, to all or any part of a
program, prior to the time that such assistance is concluded by the
terms and conditions of the document in which such assistance is
extended, but does not include the refusal to provide new or additional
assistance.
Sec. 1206.1-4 Suspension.
(a) General. The responsible ACTION official may suspend assistance
to a recipient in whole or in part for a material failure or threatened
material failure to comply with any requirement stated in Sec. 1206.1-1.
Such suspension shall be pursuant to notice and opportunity to show
cause why assistance should not be suspended as provided in paragraph
(b) of this section. However, in emergency cases, where the responsible
ACTION official determines summary action is appropriate, the
alternative summary procedure of paragraph (c) of this section shall be
followed.
(b) Suspension on notice. (1) Except as provided in paragraph (c) of
this section, the procedure for suspension shall be on notice of intent
to suspend as hereinafter provided.
(2) The responsible ACTION official shall notify the recipient by
letter or by telegram that ACTION intends to suspend assistance in whole
or in part unless good cause is shown why assistance should not be
suspended. In such letter or telegram the responsible ACTION official
shall specify the grounds for the proposed suspension and the proposed
effective date of the suspension.
(3) The responsible ACTION official shall also inform the recipient
of its right to submit written material in opposition to the intended
suspension and of its right to request an informal meeting at which the
recipient may respond and attempt to show why such suspension should not
occur. The period of time within which the recipient may submit such
written material or request the informal meeting shall be established by
the responsible ACTION official in the notice of intent to suspend.
However, in no event shall the period of time within which the recipient
must submit written material or request such a meeting be less than 5
days after the notice of intent to suspend assistance has been sent. If
the recipient requests a meeting, the responsible ACTION official shall
fix a time and place for the meeting, which shall not be less than 5
days after the recipient's request is received by ACTION.
(4) In lieu of the provisions of paragraph (b)(3) of this section
dealing with the right of the recipient to request an informal meeting,
the responsible ACTION official may on his own initiative establish a
time and place for such a meeting and notify the recipient in writing or
by telegram. However, in no event shall such a meeting be scheduled less
than seven days after the notice of intent to suspend assistance is sent
to the recipient.
(5) The responsible ACTION official may in his discretion extend the
period of time or date referred to in the previous paragraphs of this
section and shall notify the recipient in writing or by telegram of any
such extension.
(6) At the time the responsible ACTION official sends the
notification referred to in paragraphs (b) (2), (3), and (4) of this
section to the recipient, he shall also send a copy of it to any agency
whose activities or failures to act have substantially contributed to
the proposed suspension, and shall inform such agency that it is
entitled to submit written material or to participate in the informal
meeting referred to in paragraphs (b) (3) and (4) of this section. In
addition the responsible ACTION official may in his discretion give such
notice to any other agency.
(7) Within 3 days of receipt of the notice referred to in paragraphs
(b) (2), (3), and (4) of this section, the recipient shall send a copy
of such notice and a copy of these regulations to all agencies which
would be financially affected by the proposed suspension action. Any
agency that wishes to submit written material may do so within the time
stated in the notice. Any agency
[[Page 33]]
that wishes to participate in the informal meeting with the responsible
ACTION official contemplated herein may request permission to do so from
the responsible ACTION official, who may in his discretion grant or deny
such permission. In acting upon any such request from an agency, the
responsible ACTION official shall take into account the effect of the
proposed suspension on the particular agency, the extent to which the
meeting would become unduly complicated as a result of granting such
permission, and the extent to which the interests of the agency
requesting such permission appear to be adequately represented by other
participants.
(8) In the notice of intent to suspend assistance the responsible
ACTION official shall invite voluntary action to adequately correct the
deficiency which led to the initiation of the suspension proceeding.
(9) The responsible ACTION official shall consider any timely
material presented to him in writing, any material presented to him
during the course of the informal meeting provided for in paragraphs (b)
(3) and (4) of this section as well as any showing that the recipient
has adequately corrected the deficiency which led to the initiation of
suspension proceedings. If after considering the material presented to
him the responsible ACTION official concludes the recipient has failed
to show cause why assistance should not be suspended, he may suspend
assistance in whole or in part and under such terms and conditions as he
shall specify.
(10) Notice of such suspension shall be promptly transmitted to the
recipient and shall become effective upon delivery. Suspension shall not
exceed 30 days unless during such period of time termination proceedings
are initiated in accordance with Sec. 1206.1-5, or unless the
responsible ACTION official and the recipient agree to a continuation of
the suspension for an additional period of time. If termination
proceedings are initiated, the suspension of assistance shall remain in
full force and effect until such proceedings have been fully concluded.
(11) During a period of suspension no new expenditures shall be made
and no new obligations shall be incurred in connection with the
suspended program except as specifically authorized in writing by the
responsible ACTION official. Expenditures to fulfill legally enforceable
commitments made prior to the notice of suspension, in good faith and in
accordance with the recipient's approved work program, and not in
anticipation of suspension or termination, shall not be considered new
expenditures. However, funds shall not be recognized as committed solely
because the recipient has obligated them by contract or otherwise to an
agency.
Note: Willful misapplication of funds may violate Federal criminal
statutes.
(12) The responsible ACTION official may in his discretion modify
the terms, conditions and nature of the suspension or rescind the
suspension action at any time on his own initiative or upon a showing
satisfactory to him that the recipient had adequately corrected the
deficiency which led to the suspension and that repetition is not
threatened. Suspensions partly or fully rescinded may, in the discretion
of the responsible ACTION official be reimposed with or without further
proceedings: Provided however, That the total time of suspension may not
exceed 30 days unless termination proceedings are initiated in
accordance with Sec. 1206.1-5 or unless the responsible ACTION official
and the recipient agree to a continuation of the suspension for an
additional period of time. If termination proceedings are initiated, the
suspension of assistance shall remain in full force and effect until
such proceedings have been fully concluded.
(c) Summary suspension. (1) The responsible ACTION official may
suspend assistance without the prior notice and opportunity to show
cause provided in paragraph (b) of this section if he determines in his
discretion that immediate suspension is necessary because of a serious
risk of: (i) Substantial injury to or loss of project funds or property,
or
(ii) Violation of a Federal, State or local criminal statute, or
(iii) Violation of section 403 of Pub. L. 93-113 or of ACTION rules,
regulations, guidelines and instructions, published in accordance with
section 420 of
[[Page 34]]
Pub. L. 93-113, implementing this section of the Act, and that such risk
is sufficiently serious to outweigh the general policy in favor of
advance notice and opportunity to show cause.
(2) Notice of summary suspension shall be given to the recipient by
letter or by telegram, shall become effective upon delivery to the
recipient, and shall specifically advise the recipient of the effective
date of the suspension and the extent, terms, and condition of any
partial suspension. The notice shall also forbid the recipient to make
any new expenditures or incur any new obligations in connection with the
suspended portion of the program. Expenditures to fulfill legally
enforceable commitments made prior to the notice of suspension, in good
faith and in accordance with the recipient's approved work program, and
not in anticipation of suspension or termination, shall not be
considered new expenditures. However, funds shall not be recognized as
committed by a recipient solely because the recipient obligated them by
contract or otherwise to an agency. (See note under paragraph (b)(11) of
this section.)
(3) In the notice of summary suspension the responsible ACTION
official shall advise the recipient that it may request ACTION to
provide it with an opportunity to show cause why the summary suspension
should be rescinded. If the recipient requests such an opportunity, the
responsible ACTION official shall immediately inform the recipient in
writing of the specific grounds for the suspension and shall within 7
days after receiving such request from the recipient hold an informal
meeting at which the recipient may show cause why the summary suspension
should be rescinded. Notwithstanding the provisions of this paragraph,
the responsible ACTION official may proceed to initiate termination
proceedings at any time even though assistance to the recipient has been
suspended in whole or in part. In the event that termination proceedings
are initiated, the responsible ACTION official shall nevertheless afford
the recipient, if it so requests, an opportunity to show cause why
suspension should be rescinded pending the outcome of the termination
proceedings.
(4) Copies of the notice of summary suspension shall be furnished by
the recipient to agencies in the same manner as notices of intent to
suspend as set forth in paragraphs (b) (6), (7), and (8) of this
section. Agencies may submit written material to the responsible ACTION
official or to participate in the informal meeting as in the case of
intended suspension proceedings set forth in paragraphs (b) (6) and (7)
of this section.
(5) The effective period of a summary suspension of assistance may
not exceed 30 days unless termination proceedings are initiated in
accordance with Sec. 1206.1-5, or unless the parties agree to a
continuation of summary suspension for an additional period of time, or
unless the recipient, in accordance with paragraph (c)(3) of this
section, requests an opportunity to show cause why the summary
suspension should be rescinded.
(6) If the recipient requests an opportunity to show cause why a
summary suspension action should be rescinded the suspension of
assistance shall continue in effect until the recipient has been
afforded such opportunity and a decision has been made. Such a decision
shall be made within 5 days after the conclusion of the informal meeting
referred to in paragraph (c)(3) of this section. If the responsible
ACTION official concludes, after considering all material submitted to
him, that the recipient has failed to show cause why the suspension
should be rescinded, the responsible ACTION official may continue the
suspension in effect for an additional 7 days: Provided however, That if
termination proceedings are initiated, the summary suspension of
assistance shall remain in full force and effect until all termination
proceedings have been fully concluded.
Sec. 1206.1-5 Termination.
(a) If the responsible ACTION official believes that an alleged
failure to comply with any requirement stated in Sec. 1206.1-1 may be
sufficiently serious to warrant termination of assistance, whether or
not assistance has been suspended, he shall so notify the recipient by
letter or telegram. The notice shall state that there appear to be
grounds
[[Page 35]]
which warrant terminating the assistance and shall set forth the
specific reasons therefor. If the reasons result in whole or substantial
part from the activities of an agency other than the grantee, the notice
shall identify that agency. The notice shall also advise the recipient
that the matter has been set down for hearing at a stated time and
place, in accordance with Sec. 1206.1-6. In the alternative the notice
shall advise the recipient of its right to request a hearing and shall
fix a period of time which shall not be less than 10 days in which the
recipient may request such a hearing.
(b) Termination hearings shall be conducted in accordance with the
provision of Secs. 1206.1-7 and 1206.1-8. They shall be scheduled for
the earliest practicable date, but not later than 30 days after a
recipient has requested such a hearing in writing or by telegram.
Consideration shall be given to a request by a recipient to advance or
postpone the date of a hearing scheduled by ACTION. Any such hearing
shall afford the recipient a full and fair opportunity to demonstrate
that it is in compliance with requirements specified in Sec. 1206.1-1.
In any termination hearing, ACTION shall have the burden of justifying
the proposed termination action. However, if the basis of the proposed
termination is the failure of a recipient to take action required by
law, regulation, or other requirement specified in Sec. 1206.1-1, the
recipient shall have the burden of proving that such action was timely
taken.
(c) If a recipient requests ACTION to hold a hearing in accordance
with paragraph (a) of this section, it shall send a copy of its request
for such a hearing to all agencies which would be financially affected
by the termination of assistance and to each agency identified in the
notice pursuant to paragraph (a) of this section. This material shall be
sent to these agencies at the same time the recipient's request is made
to ACTION. The recipient shall promptly send ACTION a list of the
agencies to which it has sent such material and the date on which it was
sent.
(d) If the responsible ACTION official pursuant to paragraph (a) of
this section informs a recipient that a proposed termination action has
been set for hearing, the recipient shall within 5 days of its receipt
of this notice send a copy of it to all agencies which would be
financially affected by the termination and to each agency identified in
the notice pursuant to paragraph (a) of this section. The recipient
shall send the responsible ACTION official a list of all agencies
notified and the date of notification.
(e) If the responsible ACTION official has initiated termination
proceedings because of the activities of an agency, that agency may
participate in the hearing as a matter of right. Any other agency,
person, or organization that wishes to participate in the hearing may,
in accordance with Sec. 1206.1-7(d), request permission to do so from
the presiding officer of the hearing. Such participation shall not,
without the consent of ACTION and the recipient, alter the time
limitations for the delivery of papers or other procedures set forth in
this section.
(f) The results of the proceeding and any measure taken thereafter
by ACTION pursuant to this part shall be fully binding upon the
recipient and all agencies whether or not they actually participated in
the hearing.
(g) A recipient may waive a hearing by notice to the responsible
ACTION official in writing and submit written information and argument
for the record. Such material shall be submitted to the responsible
ACTION official within a reasonable period of time to be fixed by him
upon the request of the recipient. The failure of a recipient to request
a hearing, or to appear at a hearing for which a date has been set,
unless excused for good cause, shall be deemed a waiver of the right to
a hearing and consent to the making of a decision on the basis of such
information as is then in the possession of ACTION.
(h) The responsible ACTION official may attempt, either personally
or through a representative, to resolve the issues in dispute by
informal means prior to the date of any applicable hearing.
[[Page 36]]
Sec. 1206.1-6 Time and place of termination hearings.
The termination hearing shall be held in Washington, DC, or in the
appropriate Regional Office, at a time and place fixed by the
responsible ACTION official unless he determines that the convenience of
ACTION, or of the parties or their representatives, requires that
another place be selected.
Sec. 1206.1-7 Termination hearing procedures.
(a) General. The termination hearing, decision, and any review
thereof shall be conducted in accordance with the rules of procedure set
forth in this section and Secs. 1206.1-8 and 1206.1-9.
(b) Presiding officer. (1) The presiding officer at the hearing
shall be the responsible ACTION official or, at the discretion of the
responsible ACTION official, an independent hearing examiner designated
as promptly as possible in accordance with section 3105 of title 5 of
the United States Code. The presiding officer shall conduct a full and
fair hearing, avoid delay, maintain order, and make a sufficient record
for a full and true disclosure of the facts and issues. To accomplish
these ends, the presiding officer shall have all powers authorized by
law, and he may make all procedural and evidentiary rulings necessary
for the conduct of the hearing. The hearing shall be open to the public
unless the presiding officer for good cause shown shall otherwise
determine.
(2) After the notice described in paragraph (f) of this section is
filed with the presiding officer, he shall not consult any person or
party on a fact in issue unless on written notice and opportunity for
all parties to participate. However, in performing his functions under
this part the presiding officer may use the assistance and advice of an
attorney designated by the General Counsel of ACTION or the appropriate
Regional Counsel: Provided, That the attorney designated to assist him
has not represented ACTION or any other party or otherwise participated
in a proceeding, recommendation, or decision in the particular matter.
(c) Presentation of evidence. Both ACTION and the recipient are
entitled to present their case by oral or documentary evidence, to
submit rebuttal evidence and to conduct such examination and cross-
examination as may be required for a full and true disclosure of all
facts bearing on the issues. The issues shall be those stated in the
notice required to be filed by paragraph (f) of this section, those
stipulated in a prehearing conference or those agreed to by the parties.
(d) Participation. (1) In addition to ACTION, the recipient, and any
agency which has a right to appear, the presiding officer in his
discretion may permit the participation in the proceedings of such
persons or organizations as he deems necessary for a proper
determination of the issues involved. Such participation may be limited
to those issues or activities which the presiding officer believes will
meet the needs of the proceeding, and may be limited to the filing of
written material.
(2) Any person or organization that wishes to participate in a
proceeding may apply for permission to do so from the presiding officer.
This application, which shall be made as soon as possible after the
notice of suspension or proposed termination has been received by the
recipient, shall state the applicant's interest in the proceeding, the
evidence or arguments the applicant intends to contribute, and the
necessity for the introduction of such evidence or arguments.
(3) The presiding officer shall permit or deny such participation
and shall give notice of his decision to the applicant, the recipient,
and ACTION, and, in the case of denial, a brief statement of the reasons
therefor: Provided however, That the presiding officer may subsequently
permit such participation if, in his opinion, it is warranted by
subsequent circumstances. If participation is granted, the presiding
officer shall notify all parties of that fact and may, in appropriate
cases, include in the notification a brief statement of the issues as to
which participation is permitted.
(4) Permission to participate to any extent is not a recognition
that the participant has any interest which may be adversely affected or
that the participant may be aggrieved by any decision, but is allowed
solely for the aid
[[Page 37]]
and information of the presiding officer.
(e) Filing. All papers and documents which are required to be filed
shall be filed with the presiding officer. Prior to filing, copies shall
be sent to the other parties.
(f) Notice. The responsible ACTION official shall send the recipient
and any other party a written notice which states the time, place,
nature of the hearing, the legal authority and jurisdiction under which
the hearing is to be held. The notice shall also identify with
reasonable specificity the facts relied on as justifying termination and
the ACTION requirements which it is contended the recipient has
violated. The notice shall be filed and served not later than 10 days
prior to the hearing and a copy thereof shall be filed with the
presiding officer.
(g) Notice of intention to appear. The recipient and any other party
which has a right or has been granted permission to participate in the
hearing shall give written confirmation to ACTION of its intention to
appear at the hearing 3 days before it is scheduled to occur. Failing to
do so may, at the discretion of the presiding officer, be deemed a
waiver of the right to a hearing.
(h) Form and date of service. All papers and documents filed or sent
to party shall be signed in ink by the appropriate party or his
authorized representative. The date on which papers are filed shall be
the day on which the papers or documents are deposited, postage prepaid
in the U.S. mail, or are delivered in person: Provided however, That the
effective date of the notice that there appear to be grounds which
warrant terminating assistance shall be the date of its delivery or
attempted delivery at the recipient's last known address as reflected in
the records of ACTION.
(i) Prehearing conferences. Prior to the commencement of a hearing
the presiding officer may, subject to the provisions of paragraph (b)(2)
of this section, require the parties to meet with him or correspond with
him concerning the settlement of any matter which will expedite a quick
and fair conclusion of the hearing.
(j) Evidence. Technical rules of evidence shall not apply to
hearings conducted pursuant to this subpart, but the presiding officer
shall apply rules or principles designed to assure production of
relevant evidence and to subject testimony to such examination and
crossexamination as may be required for a full and true disclosure of
the facts. The presiding officer may exclude irrelevant, immaterial, or
unduly repetitious evidence. A transcription shall be made of the oral
evidence and shall be made available to any participant upon payment of
the prescribed costs. All documents and other evidence submitted 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.
(k) Depositions. If the presiding officer determines that the
interests of justice would be served, he may authorize the taking of
depositions provided that all parties are afforded an opportunity to
participate in the taking of the depositions. The party who requested
the deposition shall arrange for a transcript to be made of the
proceedings and shall upon request, and at his expense, furnish all
other parties with copies of the transcript.
(l) Official notice. Official notice may be taken of a public
document, or part thereof, such as a statute, official report, decision,
opinion or published scientific date issued by any agency of the Federal
Government or a State or local government and such document or data may
be entered on the record without further proof of authenticity. Official
notice may also be taken of such matters as may be judicially noticed in
the courts of the United States, or any other matter of established fact
within the general knowledge of ACTION. If the decision of the presiding
officer rests on official notice of a material fact not appearing in
evidence, a party shall on timely request be afforded an opportunity to
show the contrary.
(m) Proposed findings and conclusions. After the hearing has
concluded, but before the presiding officer makes his
[[Page 38]]
decision, he shall afford each participant a reasonable opportunity to
submit proposed findings of fact and conclusions. After considering each
proposed finding or conclusion the presiding officer shall state in his
decision whether he has accepted or rejected them in accordance with the
provisions of Sec. 1206.1-8(a).
Sec. 1206.1-8 Decisions and notices regarding termination.
(a) Each decision of a presiding officer shall set forth his
findings of fact, and conclusions, and shall state whether he has
accepted or rejected each proposed finding of fact and conclusion
submitted by the parties, pursuant to Sec. 1206.1-7(m). Findings of fact
shall be based only upon evidence submitted to the presiding officer and
matters of which official notice has been taken. The decision shall also
specify the requirement or requirements with which it is found that the
recipient has failed to comply.
(b) The decision of the presiding officer may provide for continued
suspension or termination of assistance to the recipient in whole or in
part, and may contain such terms, conditions, and other provisions as
are consistent with and will effectuate the purposes of the Act.
(c) If the hearing is held by an independent hearing examiner rather
than by the responsible ACTION official, he shall make an initial
decision, and a copy of this initial decision shall be mailed to all
parties. Any party may, within 20 days of the mailing of such initial
decision, or such longer period of time as the presiding officer
specifies, file with the responsible ACTION official his written
exceptions to the initial decision and any supporting brief or
statement. Upon the filing of such exceptions, the responsible ACTION
official shall, within 20 days of the mailing of the exceptions, review
the initial decision and issue his own written decision thereof,
including the reasons therefore. The decision of the responsible ACTION
official may increase, modify, approve, vacate, remit, or mitigate any
sanction imposed in the initial decision or may remand the matter to the
presiding officer for further hearing or consideration.
(d) Whenever a hearing is waived, a decision shall be made by the
responsible ACTION official and a written copy of the final decision of
the responsible ACTION official shall be given to the recipient.
(e) The recipient may request the Director to review a final
decision by the responsible ACTION official which provides for the
termination of assistance. Such a request must be made in writing within
15 days after the recipient has been notified of the decision in
question and must state in detail the reasons for seeking the review. In
the event the recipient requests such a review, the Director or his
designee shall consider the reasons stated by the recipient for seeking
the review and shall approve, modify, vacate or mitigate any sanction
imposed by the responsible ACTION official or remand the matter to the
responsible ACTION official for further hearing or consideration. The
decision of the responsible ACTION official will be given great weight
by the Director or his designee during the review. During the course of
his review the Director or his designee may, but is not required to,
hold a hearing or allow the filing of briefs and arguments. Pending the
decision of the Direct or his designee assistance shall remain suspended
under the terms and conditions specified by the responsible ACTION
official, unless the responsible ACTION official or the Director or his
designee otherwise determines. Every reasonable effort shall be made to
complete the review by the Director or his designee within 30 days of
receipt by the Director of the recipient's request. The Director or his
designee may however extend this period of time if he determines that
additional time is necessary for an adequate review.
Sec. 1206.1-9 Right to counsel; travel expenses.
In all proceedings under this subpart, whether formal or informal,
the recipient and ACTION shall have the right to be represented by
counsel or other authorized representatives. If the recipient and any
agency which has a right to participate in an informal meeting pursuant
to Sec. 1206.1-4 or a termination hearing pursuant to Sec. 1206.1-7 do
not
[[Page 39]]
have an attorney acting in that capacity as a regular member of the
staff of the organization or a retainer arrangement with an attorney,
the Boards of Directors of such recipient and agency will be authorized
to designate an attorney to represent their organizations at any such
show cause proceeding or termination hearing and to transfer sufficient
funds from the Federal grant monies they have received for the project
to pay the fees, travel, and per diem expenses of such attorney. The
fees for such attorney shall be the reasonable and customary fees for an
attorney practicing in the locality of the attorney. However, such fees
shall not exceed $100 per day without the prior express written approval
of ACTION. Travel and per diem expenses may be paid to such attorney
only in accordance with the policies set forth in the Standard
Government Travel Regulations and in Secs. 1206.3-1 and 1206.3-6 of this
chapter. The Boards of Directors of the recipient or any agency which
has a right to participate in an informal meeting pursuant to
Sec. 1206.1-4 or a termination hearing pursuant to Sec. 1206.1-7 will
also be authorized to designate two persons in addition to an attorney
whose travel and per diem expenses to attend the meeting or hearing may
be paid from Federal grant or contract monies. Such travel and per diem
expenses shall conform to the policies set forth in the Standard
Government Travel Regulations and in Secs. 1206.3-1 and 1206.3-6 of this
chapter.
Sec. 1206.1-10 Modification of procedures by consent.
The responsible ACTION official or the presiding officer of a
termination hearing may alter, eliminate or modify any of the provisions
of this subpart with the consent of the recipient and, in the case of a
termination hearing, with the consent of all agencies that have a right
to participate in the hearing pursuant to Sec. 1206.1-5(e). Such consent
must be in writing or be recorded in the hearing transcript.
Sec. 1206.1-11 Other remedies.
The procedures established by this subpart shall not preclude ACTION
from pursuing any other remedies authorized by law.
Subpart B--Denial of Application for Refunding
Source: 47 FR 5719, Feb. 8, 1982, unless otherwise noted.
Sec. 1206.2-1 Applicability of this subpart.
This subpart applies to grantees and contractors receiving financial
assistance and to sponsors who receive volunteers under the Domestic
Volunteer Service Act of 1973, as amended, 42 U.S.C. 4951 et seq. The
procedures in this subpart do not apply to review of applications for
the following:
(a) University Year for ACTION projects which have received federal
funds for five years;
(b) Mini-grants;
(c) Other projects for which specific time limits with respect to
federal assistance are established in the original notice of grant award
or other document providing assistance, where the specified time limit
has been reached; and
(d) VISTA project extensions of less than six months.
Sec. 1206.2-2 Purpose.
This subpart establishes rules and review procedures for the denial
of a current recipient's application for refunding.
Sec. 1206.2-3 Definitions.
As used in this subpart--``ACTION,'' ``Director,'' and ``recipient''
shall be defined in accordance with Sec. 1206.1-3.
Financial assistance and assistance include the services of
volunteers supported in whole or in part with ACTION funds.
Program account means assistance provided by ACTION to support a
particular program activity; for example, VISTA, Foster Grandparent
Program, Senior Companion Program and Retired Senior Volunteer Program.
Refunding includes renewal of an application for the assignment of
volunteers.
Sec. 1206.2-4 Procedures.
(a) The procedures set forth in paragraphs (b) through (g) of this
section shall apply only where an application for refunding submitted by
a current
[[Page 40]]
recipient is rejected or is reduced to 80 percent or less of the
applied-for level of funding or the recipient's current level of
operations, whichever is less. It is further a condition for application
of these procedures that the rejection or reduction be based on
circumstances related to the particular grant or contract. These
procedures do not apply to reductions based on legislative requirements,
or on general policy or in instances where, regardless of a recipient's
current level of operations, its application for refunding is not
reduced by 20 percent or more. The fact that the basis for rejecting an
application may also be a basis for termination under subpart A of this
part shall not prevent the use of this subpart to the exclusion of the
procedures in subpart A.
(b) Before rejecting an application of a recipient for refunding
ACTION shall notify the recipient of its intention, in writing, at least
75 days before the end of the recipient's current program year or grant
budget period. The notice shall inform the recipient that a tentative
decision has been made to reject or reduce an application for refunding.
The notice shall state the reasons for the tentative decision to which
the recipient shall address itself if it wishes to make a presentation
as described in paragraphs (c) and (d) of this section.
(c) If the notice of tentative decision is based on any reasons,
other than those described in paragraph (d) of this section, including,
but not limited to, situations in which the recipient has ineffectively
managed Agency resources or substantially failed to comply with agency
policy and overall objectives under a contract or grant agreement with
the Agency, the recipient shall be informed in the notice, of the
opportunity to submit written material and to meet informally with an
ACTION official to show cause why its application for refunding should
not be rejected or reduced. If the recipient requests an informal
meeting, such meeting shall be held on a date specified by ACTION.
However, the meeting may not, without the consent of the recipient, be
scheduled sooner than 14 days, nor more than 30 days, after ACTION has
mailed the notice to the recipient. If the recipient requests an
informal meeting, the meeting shall be scheduled by ACTION as soon as
possible after receipt of the request. The official who shall conduct
this meeting shall be an ACTION official who is authorized to finally
approve or make the grant of assistance in question, or his designee.
(d) If the notice of tentative decision is based upon a specific
charge of failure to comply with the terms and conditions of the grant
or contract, alleging wrongdoing on the part of the recipient, the
notice shall offer the recipient an opportunity for an informal hearing
before a mutually agreed-upon impartial hearing officer. The authority
of such hearing officer shall be limited to conducting the hearing and
offering recommendations. ACTION will retain all authority to make the
final determination as to whether the application should be finally
rejected or reduced. If the recipient requests an informal hearing, such
hearing shall be held at a date specified by ACTION. However, such
hearing may not, without the consent of the recipient, be scheduled
sooner than 14 days nor more than 30 days after ACTION has mailed the
notice to the recipient.
(e) In the selection of a hearing official and the location of
either an informal meeting or hearing, the Agency, while mindful of
considerations of the recipient, will take care to insure that costs are
kept to a minimum. The informal meeting or hearing shall be held in the
city or county in which the recipient is located, in the appropriate
Regional Office, or another appropriate location. Within the limits
stated in the preceding sentence, the decision as to where the meeting
shall be held will be made by ACTION, after weighing the convenience
factors of the recipient. For the convenience of the recipient, ACTION
will pay the reasonable travel expenses for up to two representatives of
the recipient, if requested.
(f) The recipient shall be informed of the final Agency decision on
refunding and the basis for the decision by the deciding official.
(g) If the recipient's budget period expires prior to the final
decision by the deciding official, the recipient's authority to continue
program operations shall be extended until such decision is
[[Page 41]]
made and communicated to the recipient. If a volunteer's term of service
expires after receipt by a sponsor of a tentative decision not to refund
a project, the period of service of the volunteer may be similarly
extended. No volunteers may be reenrolled for a full 12-month term, or
new volunteers enrolled for a period of service while a tentative
decision not to refund is pending. If program operations are so
extended, ACTION and the recipient shall provide, subject to the
availability of funds, operating funds at the same levels as in the
previous budget period to continue program operations.
[50 FR 42025, Oct. 17, 1985]
Sec. 1206.2-5 Right to counsel.
In all proceedings under this subpart, whether formal or informal,
the recipient and ACTION shall have the right to be represented by
counsel or other authorized representatives, at their own expense.
PART 1207--SENIOR COMPANION PROGRAM--Table of Contents
Subpart A--General
Sec.
1207.1-1 Purpose of the program.
1207.1-2 Definitions.
1207.1-3 Coordination.
Subpart B--Project Development and Funding
1207.2-1 Inquiries.
1207.2-2 Local support.
1207.2-3 Sponsor eligibility and solicitation of proposals.
1207.2-4 Project proposals.
1207.2-5 Review of project proposals.
1207.2-6 Awards.
1207.2-7 Grand management.
1207.2-8 Suspension, termination and denial of refunding.
Subpart C--Project Operations
1207.3-1 Sponsor responsibility.
1207.3-2 Project staff.
1207.3-3 Advisory Council.
1207.3-4 Volunteer station responsibility.
1207.3-5 Senior companions.
1207.3-6 Senior companion assignments.
1207.3-7 Non-stipended volunteers.
Subpart D--Non-ACTION Funded Projects
1207.4-1 Memorandum of agreement.
Subpart E--Sanctions and Legal Representation
1207.5-1 Special limitations.
1207.5-2 Legal representation.
Authority: Secs. 211(d), (e); 212, 213, 221, 222, 223, 402(14) and
420 of Pub. L. 93-113, 87 Stat. 402, 403, 404, 407 and 414, sec. 213 of
Pub. L. 97-35, 97 Stat. 487, 42 U.S.C. 5011 (b), (d) and (e); 5012,
5021, 5022, 5023, 5042(14), 5060 and 5013.
Source: 48 FR 26803, June 10, 1983, unless otherwise noted.
Subpart A--General
Sec. 1207.1-1 Purpose of the program.
The Senior Companion Program (SCP) is authorized under title II,
part C, of the Domestic Volunteer Service Act of 1973, as amended (Pub.
L. 93-113). The dual purpose of the program is to create part-time
stipended volunteer community service opportunities for low-income
persons aged 60 and over, and to provide supportive person-to-person
services to assist adults having exceptional needs, developmental
disabilities or other special needs for companionship.
Sec. 1207.1-2 Definitions.
Terms used in this part are defined as follows:
Act is the Domestic Volunteer Service Act of 1973, as amended (Pub.
L. 93-113, 87 Stat. 394, 42 U.S.C. 4951).
Adult is any person aged 21 or over.
Advisory Council is a group of persons formally organized by the
project sponsor for the purpose of advising and supporting the sponsor
in operating the project effectively.
Agency is the federal ACTION agency.
Allowable medical expenses are annual out-of-pocket expenses for
health insurance premiums, health care services, and medications
provided to the applicant, enrollee, or spouse and were not and will not
be paid for by Medicare, Medicaid, other insurance, or by any other
third party and, shall not exceed 15 percent of the applicable ACTION
income guideline.
Annual income is counted for the past 12 months and includes: The
applicant or enrollee's income and, the applicant or enrollee's spouse's
income, if the spouse lives in the same residence.
[[Page 42]]
Project directors may count the value of shelter, food, and clothing, if
provided at no cost by persons related to the applicant, enrollee, or
spouse.
Direct Benefits are stipends, meals, transportation, annual physical
examinations, volunteer insurance, recognition and uniforms included in
the budget as Volunteer Expenses.
Director is the Director of ACTION.
Exceptional Needs are one or more physical, emotional, or mental
health limitation(s).
Federally recognized Indian tribal government means the governing
body or a governmental agency of any Indian tribe, band, nation, or
other organized group or community (including any Native village as
defined in section 3 of the Alaska Native Claims Settlement Act, 85
Stat. 688) certified by the Secretary of Interior as eligible for the
special programs and services provided through the Bureau of Indian
Affairs.
Handbook is the SCP Handbook No. 4405.91, which contains policies
for implementing these regulations.
Handicapped is a person or persons having physical or mental
impairments that substantially limit one or more major life activities.
Hard-to-reach individuals are those who are physically or socially
isolated because of factors such as language, disability, or inadequate
transportation.
Letter of Agreement is a written agreement between a volunteer
station, the project sponsor and the adult served or the person legally
responsible for the adult. It authorizes the assignment of a Senior
Companion in the client's home, defines Senior Companion activities and
delineates the specific arrangements for supervision.
Memorandum of Understanding is a written statement prepared and
signed by the Senior Companion sponsor and the volunteer station which
identifies project requirements, working relationships and mutal
responsibilities.
OAVP refers to the Older American Volunteer Programs, which include:
The Senior Companion Program, the Foster Grandparent Program, and the
Retired Senior Volunteer Program.
Project is the locally planned and implemented Senior Companion
Program activity as agreed upon between ACTION and the sponsor.
Service Area is a geographically defined area in which Senior
Companions are recruited, enrolled, and placed on assignments.
Service Schedule is the 20 hours per week that a Senior Companion
serves.
Sponsor is a public agency or private nonprofit organization which
is responsible for the operation of the Senior Companion project.
Stipend is a payment to Senior Companions to enable them to serve
without cost to themselves.
United States and States means the several states, the District of
Columbia, the Virgin Islands, Puerto Rico, Guam, American Samoa and the
Trust Territory of the Pacific Islands.
Volunteer Station is a public agency, private nonprofit organization
or proprietary health care agency or organization that accepts the
responsibility for assignment and supervision of Senior Companions. Each
volunteer station must be licensed or otherwise certified, when
required, by the appropriate state or local government. Private homes
are not volunteer stations.
[48 FR 26803, June 10, 1983, as amended at 59 FR 15122, Mar. 31, 1994]
Sec. 1207.1-3 Coordination.
The sponsor shall coordinate activities with project-related groups
and individuals, including those representing government, industry,
labor, volunteer organizations, programs for the aging, including State
and Area Agencies on Aging, and other ACTION programs, to facilitate
cooperation with existing or planned community services and to develop
community support.
Subpart B--Project Development and Funding
Sec. 1207.2-1 Inquiries.
Inquiries regarding the Senior Companion Program application
process, program criteria, or the availability of funds, should be
directed to the ACTION State Office serving the inquirer's own state.
ACTION headquarters office in Washington, DC will assist in directing
inquiries to the appropriate State office.
[[Page 43]]
Sec. 1207.2-2 Local support.
An ACTION grant may be awarded to fund up to 90% of the cost of
development and operation of a Senior Companion project. The sponsor is
required to contribute at least 10% of the total project cost. Stipend
payments in excess of the amount established by ACTION may not be
included as part of the local support commitment. In exceptional
circumstances the Director may approve assistance for more than 90% of
the total project costs if:
(a) The project is located in an area where local resources are too
limited to provide 10%; or
(b) A test project is determined to be of exceptional value,
sufficient to warrant Federal support in excess of 90% of the total
project cost.
Sec. 1207.2-3 Sponsor eligibility and solicitation of proposals.
(a) Sponsor eligibility. ACTION will award grants only to public
agencies and private non-profit organizations in the United States which
have the authority to accept and the capability to administer such
grants.
(b) Solicitation of proposals. Any eligible organization may file an
application for a grant. Applicants may also be solicited by ACTION
pursuant to its objective of achieving equitable program resource
distribution. Solicited applications are not assured of selection or
approval and may have to compete with other solicited or unsolicited
applications.
[48 FR 26803, June 10, 1983; 48 FR 44797, Sept. 30, 1983]
Sec. 1207.2-4 Project proposals.
(a) Applicants shall use standard forms prescribed by ACTION. ACTION
State Offices will provide applicants with guidance and any additional
instruction necessary to plan and budget proposed program activities.
(b) Agencies and organizations submitting grant applications must
comply with provisions of Executive Order 12372, the ``Intergovernmental
Review of Federal Programs and Activities,'' as set forth in 45 Code of
Federal Regulations (CFR) part 1233.
(c) A potential sponsor must submit one copy of an application for a
new SCP project to the State Agency on Aging, which has 45 days to
review the application and make recommendations. The State Agency on
Aging shall state in writing to ACTION its recommendations and reasons
within this time period or will be considered to have waived its rights
under this part.
Sec. 1207.2-5 Review of project proposals.
(a) The ACTION State Office for the applicant's state will review
the grant application to ensure that program requirements are complied
with and that required documentation has been attached.
(b) If not approved, the application will be returned to the
applicant with explanation of ACTION's decision. The unsuccessful
applicant may reapply when the inadequacy, if any, found in the
application is resolved.
Sec. 1207.2-6 Awards.
(a) ACTION will, within funds available, award a grant in writing to
those applicants whose grant proposals provide the best potential for
serving the purpose of the program. The award will be documented by
Notice of Grant Award (NGA).
(b) The parties to the NGA are ACTION and the sponsoring
organization. The NGA will document the sponsor's commitment to fulfill
specific programmatic objectives and financial obligations. It will
document the extent of ACTION's obligation to provide financial support
to the sponsor.
(c) A sponsor may receive a grant award for more than one OAVP
project.
Sec. 1207.2-7 Grant management.
(a) Sponsors shall manage grants awarded to them in accordance with
these regulations, ACTION Handbook 2650.2, entitled Grants Management
Handbook for Grantees, and SCP Handbook No. 4405.91. A copy of each
document will be furnished the sponsor at the time the initial grant is
awarded.
(b) Project support provided under an ACTION grant shall be
furnished at the lowest possible cost consistent with the effective
operation of the project.
(c) Project costs for which ACTION funds are budgeted must be
justified as being essential to project operation.
[[Page 44]]
Sec. 1207.2-8 Suspension, termination and denial of refunding.
Grant suspension, termination and denial of refunding procedures are
set forth in 45 CFR part 1206, chapter XII, and in ACTION Handbook
2650.2.
Subpart C--Project Operations
Sec. 1207.3-1 Sponsor responsibility.
The sponsor is responsible for all programmatic and fiscal aspects
of the project and may not delegate or contract this responsibility to
another entity. The sponsor has the responsibility to:
(a) Employ, supervise and support a Project Director who will be
directly responsible to the sponsor for the management of the project,
including selection, training and supervision of project staff;
(b) Provide for the recruitment, assignment, supervision and support
of Senior Companions. Special efforts are to be made to recruit and
assign persons from minority groups, handicapped and hard-to-reach
individuals, and groups in the community which are underrepresented in
the project. The sponsor will stress the recruitment and enrollment of
persons not already volunteering;
(c) Provide financial and in-kind support to fulfill the project's
local share commitment;
(d) Establish, orient, and support an independent SCP Advisory
Council;
(e) Provide the Senior Companions with not less than the minimum
accident, personal liability, and excess auto liability insurance
required by ACTION;
(f) Provide for appropriate recognition of the Senior Companions and
their activities;
(g) Establish personnel practices, including provision of position
descriptions for project staff, and service policies for Senior
Companions, including grievance and appeal procedures for both
volunteers and project staff;
(h) Ensure compliance with ACTION requirements relating to
nondiscrimination, religious activity, political activity, lobbying,
patronage toward persons related by blood or marriage, labor or anti-
labor organization or related activities, nondisplacement of employed
workers, nonimpairment of contracts, and noncompensation for services;
(i) Maintain project records in accordance with generally accepted
accounting practice and provide for the accurate and timely preparation
and submission of reports required by ACTION;
(j) Develop Senior Companion service opportunities through volunteer
stations;
(k) Obtain ACTION concurrence in the selection of volunteer stations
prior to the placement of Senior Companions;
(l) Negotiate, prior to placement of Senior Companions; a written
Memorandum of Understanding with each volunteer station, identifying
sponsor responsibilities, volunteer station responsibilities, and joint
responsibilities;
(m) Orient volunteer station staff to the program and its
activities;
(n) Provide not less than 40 hours of pre-service orientation to the
Senior Companions;
(o) Arrange group in-service training for Senior Companions for a
minimum of four hours each month;
(p) Provide or arrange for direct benefits (insurance, meals,
physical examinations, recognition, stipends, transportation, and
uniforms, if needed) for the Senior Companions in a timely manner;
(q) Ensure provision for volunteer safety;
(r) Comply with program regulations, policies and procedures
prescribed by ACTION;
(s) Ensure that appropriate liability insurance is maintained for
owned, nonowned, or hired vehicles used in the project;
(t) Develop a realistic transportation plan for the project based on
lowest cost transportation modes; and
(u) Conduct an annual appraisal of volunteers' performance and an
annual review of volunteers' income eligibility.
(v) Assure that individuals whose income is at or below 100 percent
of the poverty level receive special consideration for participation in
the Program.
[48 FR 26803, June 10, 1983, as amended at 59 FR 15122, Mar. 31, 1994]
[[Page 45]]
Sec. 1207.3-2 Project staff.
(a) Project staff are employees of the sponsor and are subject to
its personnel policies and practices.
(b) ACTION must concur in writing with the sponsor's selection of a
project director before such person is employed or earns pay from grant
funds.
(c) The SCP project director shall serve full time and may not be
employed or serve concurrently in another capacity, paid or unpaid,
during established working hours without prior approval from ACTION.
This does not preclude participation of the project director in
activities of related local agencies, boards or organizations for the
purposes of coordination and facilitating achievement of project goals
and objectives.
(d) Compensation levels for project staff, including wages, salaries
and fringe benefits, should be comparable to like or similar positions
in the sponsor organization and in the community.
Sec. 1207.3-3 Advisory Council.
An Advisory Council shall be established to advise and assist the
project sponsor and staff. There shall be a separate Advisory Council
for each Older American Volunteer project administered by the sponsor.
When a small number of volunteers is enrolled or other special
conditions prevail, this requirement may be waived by the Director of
OAVP. The Advisory Council shall:
(a) Advise the project director in the formulation of local policy,
planning, and the development of operational procedures and practices
consistent with program policies;
(b) Assist the sponsor by promoting community support for the
project, advise on personnel actions affecting volunteers and project
staff, and assist in developing local financial and in-kind resources;
(c) Include in its membership, when available: Community, business
and labor leaders, representatives from volunteer stations, public and
private agencies, and persons specializing in the fields of aging and
voluntarism. In addition, at least one-fourth of the Advisory Council
shall be low-income persons aged 60 or over. This group must include
Senior Companions as voting members. The sponsor's chief executive or
designee, one member of its governing board, and the project director
should be members of the Advisory Council but may not be officers of the
Advisory Council. The sponsor's chief executive and the project director
may not be voting members. The member representing the sponsor's
governing board may be a voting member. The provisions of section
1207.5-1, Nondiscrimination, apply to the Advisory Council;
(d) Meet on a regular schedule and establish its own procedures,
including election of officers and terms of office;
(e) Conduct an annual appraisal of project operation and submit a
report to the sponsor, which shall be attached to the continuation grant
application;
(f) Have an opportunity to advise the sponsor in advance on the
selection or termination of the project director; and
(g) Ensure procedures are in effect to hear an appeal to actions
affecting a Senior Companion adversely.
Sec. 1207.3-4 Volunteer station responsibility.
(a) Normally the volunteer station is an organization other than the
sponsoring organization. The sponsor may function as a Senior Companion
station only if the sponsor is: (1) A state organization administering a
statewide Senior Companion project where the volunteer station is part
of the state organization; (2) a federally-recognized Indian tribal
government; or (3) in a sparsely populated area. In such sparsely
populated areas, up to 10% of the enrolled volunteers may be placed
directly by the sponsor.
(b) Volunteer station responsibilities include:
(1) Assisting with or arranging for volunteer transportation on or
between assignments;
(2) Assisting in the provision of appropriate volunteer recognition;
(3) Developing and monitoring volunteer assignments, selecting
adults to be served, supervising the volunteers, assisting the sponsor
in matching volunteers to assignments and in providing
[[Page 46]]
pre-service orientation and in-service training for the Senior
Companions;
(4) Providing for volunteer safety;
(5) Keeping records and preparing reports required by the sponsor;
and
(6) Signing, prior to the placement of Senior Companions, a
Memorandum of Understanding with the sponsor establishing working
relationships and mutual responsibilities, and detailing the
responsibilities outlined above as well as other agreed upon
responsibilities, including the particulars of the volunteers'
supervision.
(i) When Senior Companions are to serve in private homes, the
Memorandum of Understanding shall also require that the volunteer
station obtain a Letter of Agreement from the person to be served, or
the person legally responsible for that person, authorizing or
requesting volunteer service in the home and indicating what specific
activities are to be performed.
(ii) The Memorandum of Understanding is to be reviewed and, as
appropriate, changed annually. The Memorandum may be amended at any time
by mutual agreement and must be signed and dated annually to indicate
that review and update, if needed, have been accomplished.
Sec. 1207.3-5 Senior companions.
(a) Eligibility. (1) Senior Companions shall be 60 years of age or
older, no longer in the regular work force, determined by a physical
examination to be capable of serving adults with exceptional or special
needs without detriment to either themselves or the adult served, and
willing to accept supervision as required.
(2) Eligibility to be a Senior Companion may not be restricted on
the basis of education, experience, citizenship, race, color, creed,
belief, sex, national origin, handicap, or political affiliation.
(3) To be enrolled, a Senior Companion cannot have an annual income
from all sources, after deducting allowable medical expenses, which
exceeds ACTION's income eligibility guidelines for the state in which he
or she resides. The ACTION income eligibility guideline for each state
is 125 percent of the poverty line as set forth in section 625 of the
Economic Opportunity Act of 1964, as amended by Pub. L. 92-424 (42
U.S.C. 2971d), except (i) in those primary metropolitan statistical
areas (PMSA), metropolitan statistical areas (MSA) and nonmetropolitan
counties identified by the Director as being higher in cost of living,
as determined by application of the VISTA subsistence rates, in which
case the guideline shall be 10 percent above that amount; and (ii) in
Alaska, where the guideline may be waived by the ACTION State Director
for individual locations if a project demonstrates that low-income
individuals, in that location, are participating in the project. No
Senior Companion currently participating in the Program, shall become
ineligible as a result of this change in guidelines.
(4) Once enrolled, a Senior Companion shall remain eligible to serve
and to receive a stipend as long as his or her annual income, after
deducting allowable medical expenses, does not exceed the prescribed
ACTION income eligibility guideline by 20 percent. Income eligibility
shall be reviewed annually by the sponsor.
(5) Recruitment and selection of a Senior Companion may not be based
on any requirement of employment experience or formal education.
(b) Terms of service. (1) Senior Companions serve a total of twenty
hours a week, usually five days a week. Travel time between the
volunteer's home and place of assignment may not be considered part of
the service schedule and is not stipended. Travel time between
individual assignments is a part of the service schedule. Meal time may
be part of the service schedule only if meals are taken with the
individual served, and the taking of meals together is deemed by the
sponsor and the volunteer station to be beneficial to the person served.
(2) Senior Companions are volunteers, not employees, of the sponsor.
(c) Direct benefits. The total of direct benefits for Senior
Companions, including stipends, insurance, transportation, meals,
physical examinations, recognition, and uniforms if appropriate, shall
be a sum equal to at least 90% of the amount of the ACTION Federal share
of the grant. In exceptional circumstances, the Director may waive
[[Page 47]]
this requirement. Federal and non-federal resources can be used to make
up this sum. Direct benefits may not be subject to any tax or charge or
be treated as wages or compensation for the purposes of unemployment
insurance, temporary disability, retirement, public assistance, or
similar benefit payments or minimum wage laws. Direct benefits include:
(1) Insurance. Senior companions shall be provided with the ACTION
specified minimum levels of accident insurance, personal liability
insurance and, when appropriate, excess automobile liability insurance.
(i) Accident insurance. Accident insurance shall cover Senior
Companions for personal injury during travel between their homes and
places of assignment, during their volunteer service, during meal
periods while serving as a volunteer, and while attending project-
sponsored activities, such as recognition activities, orientation and
Advisory Council meetings.
Protection shall be provided against claims in excess of any
benefits or services for medical care or treatment available to the
volunteer from other sources including:
(A) Health insurance coverage;
(B) Other hospital or medical service plans;
(C) Any coverage under labor-management trusteed plans, union
welfare plans, employer organization plans, or employee benefit
organization plans; and
(D) Coverage under any governmental programs or coverage provided by
any statute.
When benefits are provided in the form of services rather than by cash
payments, the reasonable cash value of each service rendered shall be
considered in determining the applicability of this provision. The
benefits payable under a plan shall include the benefits that would have
been payable had a claim been duly made therefor. The benefits payable
shall be reduced to the extent necessary so that the sum of such reduced
benefits and all the benefits provided for by any other plan shall not
exceed the total expenses incurred by the volunteer.
(ii) Personal liability insurance. Protection shall be provided
against claims in excess of protection provided by other insurance.
(iii) Excess automobile liability insurance. Protection shall be
provided against claims in excess of the greater of either:
(A) Liability insurance volunteers carry on their own automobiles,
or
(B) The limits of the applicable state financial responsibility law,
or
(C) In the absence of a state financial responsibility law, levels
of protection to be determined by ACTION for each person, each accident,
and for property damage.
Senior Companions who drive their personal vehicles to or on assignments
or project related activities must maintain personal automobile
liability insurance equal to or exceeding the levels established by
paragraph (c)(1)(iii) (B) or (C) of this section.
(2) Meals. Within the limits of available resources and project
policy, Senior Companions will be provided or will receive assistance
with the cost of meals taken during their service schedule.
(3) Physical examinations. Senior Companions are required to have a
physical examination prior to assignment and annually thereafter.
(4) Appropriate recognition will be provided for Senior Companions.
(5) Stipends. A Senior Companion will receive a stipend in an amount
determined by ACTION and payable in regular installments. The minimum
amount of the stipend is set by law and may be adjusted by the Director
from time to time. When both the eligible husband and wife serve as a
Foster Grandparent or Senior Companion, only one spouse shall be
entitled to receive a stipend. Both spouses in such cases shall be
entitled to other direct benefits. Only in cases where enrolled Foster
Grandparents or Senior Companions marry, may each continue to receive a
stipend.
(6) Transportation. Senior Companions shall be provided
transportation or receive assistance with the cost of transportation to
and from volunteer assignments and official project activities,
including orientation, training, advisory council meetings and
recognition events. Reimbursement will be within the limits of available
resources
[[Page 48]]
and project policy. Project funds may not be utilized to reimburse
Senior Companions for transportation provided for or on behalf of
clients.
[48 FR 26803, June 10, 1983, as amended at 59 FR 15122, Mar. 31, 1994]
Sec. 1207.3-6 Senior companion assignments.
(a) Assignments and activities must involve person-to-person
relationships with the individuals served and may not include service to
the volunteer station.
(b) Individuals served by Senior Companions must be adults,
primarily older adults, who have one or more physical, emotional, or
mental health limitations and are in need of assistance to achieve and
maintain their highest level of independent living.
Sec. 1207.3-7 Non-stipended volunteers.
(a) Purpose: Projects are encouraged to enroll persons aged 60 and
over, who are not low-income, as non-stipended volunteers in order to:
(1) Open opportunities for and tap the unused resources of older
Americans, and
(2) Expand needed services to unserved and underserved populations.
(b) Conditions of Service: (1) Over-income persons, age 60 or over,
may not be enrolled in SCP projects as non-stipended volunteers in
communities where a Retired Senior Volunteer Program (RSVP) project is
available and the RSVP project is willing and able to assume the
management role of placing the volunteer at an SCP volunteer station.
When a Senior Companion project is contacted by an individual expressing
an interest in serving as a non-stipended volunteer, the project shall
contact the ACTION State Office for its determination as to whether:
(i) Enrollment in the project is appropriate,
(ii) The volunteer should be referred to an RSVP project that has
agreed, in writing, to serve in the prescribed management role.
(2) Non-stipended volunteers serve under the following conditions:
(i) Their service must not supplant, replace, or displace any
stipended volunteers.
(ii) No special privilege or status is granted or created among
volunteers, stipended or non-stipended, and equal treatment is required.
(iii) Training, supervision, and other support services and direct
benefits, other than the stipend, are available equally to all
volunteers.
(iv) All regulations and requirements applicable to the program,
with the exception listed in paragraph (b)(2)(vi) of this section, apply
to all volunteers.
(v) Non-stipended volunteers may be placed in separate volunteer
stations where warranted.
(vi) Non-stipended volunteers serving in SCP volunteer stations will
be encouraged but not required to serve 20 hours per week and 50 weeks
per year. Volunteers will maintain a close one-to-one relationship with
clients, and will serve a minimum of two clients on a regular basis.
(vii) Non-stipended volunteers may contribute the cost of direct
benefits.
(3) There are no requirements on either SCP or RSVP projects to
enroll non-stipended volunteers. Implementation of these regulations by
a local project may not be a factor in awarding new or renewal grants.
(c) Funding: No appropriated funds for SCP may be used to pay any
cost, including any administrative cost, incurred in implementing these
regulations. Such costs may be paid with:
(1) Funds received by the Director as unrestricted gifts.
(2) Funds received by the Director as gifts to pay such costs.
(3) Funds contributed by non-stipended volunteers.
(4) Locally-generated contributions in excess of the amount required
by law.
[52 FR 32133, Aug. 26, 1987]
Subpart D--Non-ACTION Funded Projects
Sec. 1207.4-1 Memorandum of agreement.
(a) If an eligible agency or organization wishes to sponsor a
project without ACTION funding, and wishes to receive technical
assistance and materials from ACTION, it must sign a
[[Page 49]]
Memorandum of Agreement with ACTION identifying mutual responsibilities
and certifying its intent to comply with ACTION regulations.
(b) A non-ACTION funded project sponsor's noncompliance with the
Memorandum of Agreement may result in suspension or termination of
ACTION's technical assistance to the project.
(c) Termination of the agreement by either the project sponsor or
ACTION will result in loss of the tax exempt status of volunteer direct
benefits allowable to Senior Companions and loss of coverage by the
statutory provision that receipt of the stipend will not affect the
volunteers' eligibility for any governmental assistance.
(d) Entry into a Memorandum of Agreement with a sponsoring agency
which does not receive ACTION funds will not, under any circumstances,
create a financial obligation on the part of ACTION for costs associated
with the project including increases in required payments to volunteers
which may result from changes in the Act or in ACTION regulations.
Subpart E--Sanctions and Legal Representation
Sec. 1207.5-1 Special limitations.
(a) Political activities. (1) No part of any grant shall be used to
finance, directly or indirectly, any activity to influence the outcome
of any election to public office, or any voter registration activity.
(2) No project shall be conducted in a manner involving the use of
funds, the provision of services, or the employment or assignment of
personnel in a manner supporting or resulting in the identification of
such project (i) any partisan or nonpartisan political activity
associated with a candidate, or contending faction or group, in an
election or, (ii) any activity to provide voters or prospective voters
with transportation to the polls or similar assistance in connection
with any such election, or (iii) any voter registration activity.
(3) No Senior Companion or employee of a sponsor or volunteer
station may take any action, when serving in such capacity, with respect
to a partisan or nonpartisan political activity that would result in the
identification or apparent identification of the Senior Companion
Program with such activity.
(4) No grant funds may be used by the sponsor in any activity for
the purpose of influencing the passage or defeat of legislation or
proposals by initiative petition, except
(i) In any case in which a legislative body, a committee of a
legislative body, or a member of a legislative body requests a Senior
Companion, a sponsor chief executive, his or her designee, or project
staff to draft, review or testify regarding measures or to make
representation to such legislative body, committee or member, or (ii) In
connection with an authorization or appropriations measure directly
affecting the operation of the Senior Companion Program.
Prohibitions on Electoral and Lobbying Activities are fully set forth in
45 CFR part 1226 and in ACTION Handbook 2650.2.
(b) Restrictions on State or local government employees. If the
sponsor is a State or local government agency which received a grant
from ACTION, certain restrictions contained in chapter 15 of title 5 of
the United States Code are applicable. They are related to persons who
are principally employed in activities associated with the project. The
restrictions are not applicable to employees of educational or research
institutions. An employee subject to these restrictions may not:
(1) Use his/her official authority or influence for the purpose of
interfering with or affecting the result of an election or nomination
for office; or
(2) Directly or indirectly coerce, attempt to coerce, command or
advise a State or local officer or employee to pay, lend, or contribute
anything of value to a political party, committee, organization, agency,
or person for a political purpose; or
(3) Be a candidate for elective office, except in a nonpartisan
election. ``Nonpartisan election'' means an election at which none of
the candidates is to be nominated or elected as representing a political
party any of whose candidates for Presidential elector received votes in
the last preceding election at which Presidential electors were
selected.
[[Page 50]]
(c) Religious activities. Senior Companions and project staff funded
by ACTION shall not give religious instruction, conduct worship services
or engage in any form of proselytization as part of their duties.
(d) Nondiscrimination. For purposes of this subpart, and for
purposes of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000 d
et seq.), section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794)
and the Age Discrimination Act of 1975 (Pub. L. 94-135, title III; 42
U.S.C. 6101 et seq.), any program, project, or activity to which
volunteers are assigned under this Act shall be deemed to be receiving
federal financial assistance.
(1) No person with responsibility in the operation of a project
shall discriminate with respect to any activity or program because of
race, creed, belief, color, national origin, sex, age, handicap, or
political affiliation.
(2) Sponsors are required to take affirmative action to overcome the
effects of prior discrimination. Even in the absence of prior
discrimination, a sponsor may take affirmative action to overcome
conditions which resulted in limiting participation.
(3) No person in the United States shall on the ground of sex be
excluded from participation in, be denied the benefits of, be subjected
to discrimination under, or be denied employment in connection with a
Senior Companion project.
(e) Labor and anti-labor activity. No grant funds shall be directly
or indirectly utilized to finance labor or anti-labor organization or
related activity.
(f) Nondisplacement of employed workers. A Senior Companion may not
perform any service or duty or engage in any activity which would
otherwise be performed by an employed worker or which would supplant the
hiring of employed workers.
(g) Nonimpairment of contracts. A Senior Companion may not perform
any service, or duty, or engage in any activity which impairs an
existing contract for service. The term ``contract for service''
includes but is not limited to contracts, understandings, and
arrangements, either written or oral, to provide professional,
managerial, technical, or administrative services.
(h) Noncompensation for services. No person, organization, or agency
shall request or receive any compensation for services of Senior
Companions.
(i) Nepotism. Persons selected for projects staff positions may not
be related by blood or marriage to other project staff, sponsor staff or
officers, or members of the sponsor Board of Directors, unless there is
concurrence by the Advisory Council, with notification to ACTION.
(j) Volunteer separation. A sponsor may separate a volunteer for
cause, including, but not limited to, extensive or unauthorized
absences, misconduct, inability to perform assignments or having income
in excess of the eligibility level established by ACTION.
Sec. 1207.5-2 Legal representation.
Counsel may be employed and counsel fees, court costs, bail, and
other expenses incidental to the defense of a Senior Companion may be
paid in a criminal, civil or administrative proceeding, when such a
proceeding arises directly out of the performance of the Senior
Companion activities. 45 CFR part 1220 establishes the circumstances
under which ACTION may pay such expenses.
PART 1208--FOSTER GRANDPARENT PROGRAM--Table of Contents
Subpart A--General
Sec.
1208.1-1 Purpose of the program.
1208.1-2 Definitions.
1208.1-3 Coordination.
Subpart B--Project Development and Funding
1208.2-1 Inquiries.
1208.2-2 Local support.
1208.2-3 Sponsor eligibility and solicitation of proposals.
1208.2-4 Project proposals.
1208.2-5 Review of project proposals.
1208.2-6 Awards.
1208.2-7 Grant management.
1208.2-8 Suspension, termination and denial of refunding.
Subpart C--Project Operations
1208.3-1 Sponsor responsibility.
1208.3-2 Project staff.
1208.3-3 Advisory Council.
[[Page 51]]
1208.3-4 Volunteer station responsibility.
1208.3-5 Foster grandparents.
1208.3-6 Foster grandparent assignments.
1208.3-7 Children served.
1208.3-8 Non-stipended volunteers.
Subpart D--Non-ACTION Funded Projects
1208.4-1 Memorandum of agreement.
Subpart E--Sanctions and Legal Representation
1208.5-1 Special limitations.
1208.5-2 Legal representation.
Authority: Secs. 211(a), 212, 221, 222, 223, 402(14) and 420 of
Pub. L. 93-113, 87 Stat. 402, 403, 404, 407 and 414, 42 U.S.C. 5011 (a)
and (f), 5012, 5021, 5022, 5023, 5042(14), and 5060.
Source: 48 FR 26809, June 10, 1983, unless otherwise noted.
Subpart A--General
Sec. 1208.1-1 Purpose of the program.
The Foster Grandparent Program (FGP) is authorized under title II,
part B, of the Domestic Volunteer Service Act of 1973, as amended (Pub.
L. 93-113). The dual purpose of the program is to provide opportunities
for low-income persons aged 60 or over to give supportive person-to-
person service in health, education, welfare or related settings to help
alleviate the physical, mental, or emotional problems of children having
exceptional or special needs.
Sec. 1208.1-2 Definitions.
Terms used in this part are defined as follows:
Act is the Domestic Volunteer Service Act of 1973, as amended (Pub.
L. 93-113, 87 Stat. 394, 42 U.S.C. 4951).
Advisory Council is a group of persons formally organized by the
project sponsor for the purpose of advising and supporting the sponsor
in operating the project effectively.
Agency is the federal ACTION agency.
Allowable medical expenses are annual out-of-pocket expenses for
health insurance premiums, health care services, and medications
provided to the applicant, enrollee, or spouse and were not and will not
be paid for by Medicare, Medicaid, other insurance, or other third party
and, shall not exceed 15 percent of the applicable ACTION income
guideline.
Annual Income is counted for the past 12 months and includes: The
applicant or enrollee's income and, the applicant or enrollee's spouse's
income, if the spouse lives in the same residence. Project directors may
count the value of shelter, food, and clothing, if provided at no cost
by persons related to the applicant, enrollee, or spouse.
Child is any individual under 21 years of age.
Children having exceptional needs are those who are developmentally
disabled such as those who are mentally retarded, autistic, have
cerebral palsy or epilepsy or are visually handicapped, speech impaired,
hearing impaired, orthopedically impaired, multi-handicapped,
emotionally disturbed or have a language disorder, specific learning
disability or other significant health impairment. Existence of a
child's exceptional need shall be verified by an appropriate
professional, such as a physician, psychiatrist, psychologist,
registered nurse or licensed practical nurse, speech therapist or
educator before a Foster Grandparent is assigned to the child.
Children with special needs includes those who are: Abused or
neglected; in need of foster care; status offenders; juvenile
delinquents; runaway youths; certain teen-age parents; and children in
need of protective intervention in their homes. Existence of a child's
special need shall be verified by an appropriate professional before a
Foster Grandparent is assigned to the child.
Direct Benefits are stipends, meals, transportation, annual physical
examinations, volunteer insurance, recognition and uniforms included in
the budget as Volunteer Expenses.
Director is the Director of ACTION.
Federally recognized Indian tribal government means the governing
body or a governmental agency of any Indian tribe, band, nation, or
other organized group or community (including any Native village as
defined in section 3 of the Alaska Native Claims Settlement Act, 85
Stat. 688) certified by the Secretary of the Interior as eligible for
the special programs and services provided through the Bureau of Indian
Affairs.
Handbook is the FGP Handbook No. 4405.90 which contains policies for
implementing these regulations.
[[Page 52]]
Handicapped is a person or persons having physical or mental
impairments that substantially limit one or more major life activities.
Hard-to-reach individuals are those who are physically or socially
isolated because of factors such as language, disability, or inadequate
transportation.
Individual Care or Treatment Plan is a written description of a
Foster Grandparent's assignment with a child. The plan defines the goals
for the child to be attained through the relationship with a Foster
Grandparent and the specific activities to be performed by the Foster
Grandparent in the assignment.
In-home refers to non-institutional assignment of a Foster
Grandparent in a private residence, a foster home, or a group home.
Letter of Agreement is a written agreement between a volunteer
station, the project sponsor, and the person or persons legally
responsible for the child served. It authorizes the assignment of a
Foster Grandparent in the child's home, defines the Foster Grandparent's
activities and delineates specific arrangements for supervision.
Memorandum of Understanding is a written statement prepared and
signed by the Foster Grandparent project sponsor and the volunteer
station which identifies project requirements, working relationships and
mutual responsibilities.
OAVP refers to the Older American Volunteer Programs, which include:
the Foster Grandparent Program, the Retired Senior Volunteer Program,
and the Senior Companion Program.
Parent is a natural parent or a person acting in place of a natural
parent, such as a child's natural grandparent, or a step-parent with
whom the child lives. The term also includes otherwise unrelated
individuals who are legally responsible for a child's welfare.
Project is the locally planned and implemented Foster Grandparent
Program activity as agreed upon between ACTION and the sponsor.
Service Area is a geographically defined area in which Foster
Grandparents are recruited, enrolled, and placed on assignments.
Service Schedule is the 20 hours per week that a Foster Grandparent
serves.
Sponsor is a public agency or private nonprofit organization which
is responsible for the operation of the Foster Grandparent project.
Stipend is a payment to Foster Grandparents to enable them to serve
without cost to themselves.
United States and States mean the several states, the District of
Columbia, the Virgin Islands, Puerto Rico, Guam, American Samoa and the
Trust Territory of the Pacific Islands.
Volunteer Station means a public agency, private nonprofit
organization or proprietary health care agency or organization that
accepts the responsibility for assignment and supervision of Foster
Grandparents in health, education, welfare or related settings such as
private homes, hospitals, homes for dependent and neglected children, or
similiar establishments.
Each volunteer station must be licensed or otherwise certified, when
required, by the appropriate state or local government.
Private homes are not volunteer stations.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983, as amended at
59 FR 15122, Mar. 31, 1994]
Sec. 1208.1-3 Coordination.
The sponsor shall coordinate activities with project-related groups
and individuals, including those representing government, industry,
labor, volunteer organizations, programs for children, programs for the
aging, including State and Area Agencies on Aging, and other ACTION
programs, to facilitate cooperation with existing or planned community
services and to develop community support.
Subpart B--Project Development and Funding
Sec. 1208.2-1 Inquiries.
Inquiries regarding the Foster Grandparent Program application
process, program criteria, or the availability of funds, should be
directed to the ACTION State Office serving the inquirer's own state.
ACTION headquarters office in Washington, DC will assist in directing
inquiries to the appropriate state office.
[[Page 53]]
Sec. 1208.2-2 Local support.
An ACTION grant may be awarded to fund up to 90% of the cost of
development and operation of a Foster Grandparent project. The sponsor
is required to contribute at least 10% of the total project cost.
Stipend payments in excess of the amount established by ACTION may not
be included as part of the local support commitment. In exceptional
circumstances the Director may approve assistance for more than 90% of
the total project cost if:
(a) The project is located in an area where local resources are too
limited to provide 10%; or
(b) A test project is determined to be of exceptional value,
sufficient to warrant Federal support in excess of 90% of the total
project cost.
Sec. 1208.2-3 Sponsor eligibility and solicitation of proposals.
(a) Sponsor eligibility. ACTION will award grants only to public
agencies and private non-profit organizations in the United States which
have the authority to accept and the capability to administer such
grants.
(b) Solicitation of Proposals. (1) Any eligible organization may
file an application for a grant. Applicants may also be solicited by
ACTION pursuant to its objective of achieving equitable program resource
distribution. Solicited applications are not assured of selection or
approval and may have to compete with other solicited or unsolicited
applications.
(2) Grants for projects to be carried out over an area in a state
more comprehensive than one community shall be awarded to the State
Agency on Aging unless:
(i) The state has not established or designated such an agency, or
(ii) Such agency has been afforded at least 45 days to review and
make recommendations on a prospective sponsor's application.
(3) Grants for projects to be carried out entirely in a community
served by a Community Action Agency shall be awarded to that agency
unless that agency and the State Agency on Aging have been afforded at
least 45 days to review and make recommendations on a new grant
application.
(4) In the event that the State Agency on Aging or the Community
Action Agency is not awarded the applicable grant, any application that
is approved will contain or be supported by satisfactory assurances that
the project has been developed and will, to the extent feasible, be
conducted in consultation with, or with the participation of, such
agencies.
Sec. 1208.2-4 Project proposals.
(a) Applicants shall use standard forms prescribed by ACTION. ACTION
State Offices will provide applicants with guidance and any additional
instruction necessary to plan and budget proposed program activities.
(b) Agencies and organizations submitting grant applications must
comply with the provisions of Executive Order 12372, the
``Intergovernmental Review of Federal Programs and Activities,'' as set
forth in 45 CFR part 1233.
(c) A potential sponsor must submit one copy of an application for a
new FGP project to the State Agency on Aging, which has 45 days to
review the application and make recommendations. The State Agency on
Aging shall state in writing to ACTION its recommendations and reasons
within this time period or will be considered to have waived its rights
under this part.
Sec. 1208.2-5 Review of project proposals.
(a) The ACTION State Office for the applicant's state will review
the grant application to ensure that program requirements are complied
with and that required documentation has been attached.
(b) If not approved, the application will be returned to the
applicant with explanation of ACTION's decision. The unsuccessful
applicant may reapply when the inadequacy, if any, found in the
application is resolved.
Sec. 1208.2-6 Awards.
(a) ACTION will, within funds available, award a grant in writing to
those applicants whose grant proposals provide the best potential for
serving the purpose of the program. The award will be documented by
Notice of Grant Award [NGA].
[[Page 54]]
(b) The parties to the NGA are ACTION and the sponsoring
organization. The NGA will document the sponsor's commitment to fulfill
specific programmatic objectives and financial obligations. It will
document the extent of ACTION's obligation to provide financial support
to the sponsor.
(c) A sponsor may receive a grant award for more than one OAVP
project.
Sec. 1208.2-7 Grant management.
(a) Sponsors shall manage grants awarded to them in accordance with
these regulations. ACTION Handbook 2650.2 entitled, Grants Management
Handbook for Grantees, and the FGP Handbook No. 4405.90. A copy of each
document will be furnished to the sponsor at the time the initial grant
is awarded.
(b) Project support provided under an ACTION grant shall be
furnished at the lowest possible cost consistent with the effective
operation of the project.
(c) Project costs for which ACTION funds are budgeted must be
justified as being essential to project operation.
Sec. 1208.2-8 Suspension, termination and denial of refunding.
Grant suspension, termination and denial of refunding procedures are
set forth in 45 CFR part 1206, chapter XII, and in ACTION Handbook
2650.2.
Subpart C--Project Operations
Sec. 1208.3-1 Sponsor responsibility.
The sponsor is responsible for all programmatic and fiscal aspects
of the project and may not delegate or contract this responsibility to
another entity. The sponsor has the responsibility to:
(a) Employ, supervise and support a Project Director, who will be
directly responsible to the sponsor for the management of the project,
including selection, training and supervision of project staff:
(b) Provide for the recruitment, assignment, supervision and support
of Foster Grandparents. Special efforts are to be made to recruit and
assign persons from minority groups, handicapped and hard-to-reach
individuals, and groups in the community which are underrepresented in
the project. The sponsor will stress the recruitment and enrollment of
persons not already volunteering;
(c) Provide financial and in-kind support to fulfill the project's
local share commitment;
(d) Establish, orient and support an independent FGP Advisory
Council;
(e) Provide Foster Grandparents with not less than the minimum
accident, personal liability, and excess auto liability insurance
required by ACTION:
(f) Provide for appropriate recognition of the Foster Grandparents
and their activities;
(g) Establish personnel practices, including provision of position
descriptions for project staff, and service policies for Foster
Grandparents, including grievance and appeal procedures for both
volunteers and project staff;
(h) Ensure compliance with ACTION requirements relating to
nondiscrimination, religious activity, political activity, lobbying,
patronage toward persons related by blood or marriage, labor or anti-
labor organization or related activities, nondisplacement of employed
workers, nonimpairment of contracts, and noncompensation for services;
(i) Maintain project records in accordance with generally accepted
accounting practice and provide for the accurate and timely preparation
and submission of reports required by ACTION;
(j) Develop Foster Grandparent service opportunities through
volunteer stations;
(k) Obtain ACTION concurrence in the selection of volunteer stations
prior to the placement of Foster Grandparents.
(l) Negotiate, prior to placement of Foster Grandparents, a written
Memorandum of Understanding with each volunteer station, identifying
sponsor responsibilities, volunteer station responsibilities and joint
responsibilities;
(m) Orient volunteer station staff to the Program and its
activities;
(n) Provide not less than 40 hours of pre-service orientation to
Foster Grandparents;
(o) Arrange group in-service training for Foster Grandparents for a
minimum of four hours each month;
[[Page 55]]
(p) Provide or arrange for direct benefits (insurance, meals,
physical examinations, recognition, stipends, transportation and
uniforms, if needed) for the Foster Grandparents in a timely manner;
(q) Ensure provision for volunteer safety;
(r) Comply with program regulations, policies and procedures
prescribed by ACTION;
(s) Ensure that appropriate liability insurance is maintained for
owned, nonowned, or hired vehicles used in the project;
(t) Develop a realistic transportation plan for the project based on
the lowest cost transportation modes; and
(u) Conduct an annual appraisal of volunteers' performance and an
annual review of volunteers' income eligibility.
(v) Assure that individuals whose income is at or below 100 percent
of the poverty level receive special consideration for participation in
the Program.
[48 FR 26809, June 10, 1983, as amended at 59 FR 15122, Mar. 31, 1994]
Sec. 1208.3-2 Project staff.
(a) Project staff are employees of the sponsor and are subject to
its personnel policies and practices.
(b) ACTION must concur in writing with the sponsor's selection of a
project director before such person is employed or earns pay from grant
funds.
(c) The FGP Project Director shall serve full time and may not be
employed or serve concurrently in another capacity, paid or unpaid,
during established working hours, without prior approval from ACTION.
This does not preclude participation of the project director in
activities of related local agencies, boards or organizations for the
purposes of coordination and facilitating achievement of project goals
and objectives.
(d) Compensation levels for project staff, including wages, salaries
and fringe benefits, should be comparable to like or similar positions
in the sponsor organization and in the community.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983]
Sec. 1208.3-3 Advisory Council.
An Advisory Council shall be established to advise and assist the
project sponsor and staff. There shall be a separate Advisory Council
for each Older American Volunteer project administered by the sponsor.
When a small number of volunteers is enrolled or other special
conditions prevail, this requirement may be waived by the Director of
OAVP. The Advisory Council shall;
(a) Advise the project director in the formulation of local policy,
planning, and the development of operational procedures and practices
consistent with program policies;
(b) Assist the sponsor by promoting community support for the
project, advise on personnel actions affecting volunteers and project
staff, and assist in developing local financial and in-kind resources;
(c) Include in its membership, when available: community, business
and labor leaders, representatives from volunteer stations, public and
private agencies, and persons specializing in the fields of aging, child
development and voluntarism. In addition, at least one-fourth of the
Advisory Council shall be low-income persons aged 60 or over. This group
must include Foster Grandparents as voting members. The sponsor's chief
executive or designee, one member of its governing board, and the
project director should be members of the Advisory Council but may not
be officers of the Advisory Council. The sponsor's chief executive and
the project director may not be voting members. The member representing
the sponsor's governing board may be a voting member. The provisions of
Sec. 1208.5-1(d), Nondiscrimination, apply to the Advisory Council;
(d) Meet on a regular schedule and establish its own procedures,
including election of officers and terms of office;
(e) Conduct an annual appraisal of project operation and submit a
report to the sponsor, which shall be attached to the continuation grant
application;
(f) Have an opportunity to advise the sponsor in advance on the
selection or termination of the project director; and
[[Page 56]]
(g) Ensure procedures are in effect to hear an appeal to actions
affecting a Foster Grandparent adversely.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983]
Sec. 1208.3-4 Volunteer station responsibility.
(a) Normally the volunteer station is an organization other than the
sponsoring organization. The sponsor may function as a Foster
Grandparent volunteer station only if the sponsor is:
(1) A state organization administering a statewide Foster
Grandparent project where the volunteer station is part of the state
organization, (2) a Federally recognized Indian tribal government, or
(3) in a sparsely populated area. In such sparsely populated areas, up
to 10% of the enrolled volunteers may be placed directly by the sponsor.
(b) Volunteer Station responsibilites include:
(1) Assisting with or arranging for volunteer transportation on or
between assignments;
(2) Assisting in the provision of appropriate volunteer recognition;
(3) Developing and monitoring volunteer assignments, selecting
children to be served, supervising the volunteers, assisting the sponsor
in matching volunteers to assignments and in providing pre-service
orientation and in-service training for the Foster Grandparents;
(4) Providing for volunteer safety;
(5) Keeping records and preparing reports required by the sponsor;
and
(6) Signing, prior to the placement of Foster Grandparents, a
Memorandum of Understanding with the sponsor establishing working
relationships and mutual responsibilities, and detailing the
responsibilities outlined above, as well as other agreed upon
responsibilities, including the particulars of the volunteers'
supervision.
(i) When Foster Grandparents are to serve in private homes, the
Memorandum of Understanding shall also require that the volunteer
station obtain a Letter of Agreement from the child's parent(s)
authorizing or requesting volunteer service in the home and indicating
what specific activities are to be performed. This agreement will
constitute an individual care plan and will be followed for the child
served by a Foster Grandparent in an in-home placement.
(ii) The Memorandum of Understanding is to be reviewed and, as
appropriate, changed annually. It may be amended at any time by mutual
agreement and must be signed and dated annually to indicate that review
and update, if needed, have been accomplished.
Sec. 1208.3-5 Foster grandparents.
(a) Eligibility. (1) Foster Grandparents shall be 60 years of age or
older, no longer in the regular work force, determined by a physical
examination to be capable of serving children with exceptional or
special needs without detriment to either themselves or the children
served, and willing to accept supervision as required.
(2) Eligibility to be a Foster Grandparent may not be restricted on
the basis of education, experience, citizenship, race, color, creed,
belief, sex, national origin, handicap, or political affiliation.
(3) To be enrolled, a Foster Grandparent cannot have an annual
income from all sources, after deducting allowable medical expenses,
which exceeds ACTION's income eligibility guidelines for the state in
which he or she resides. The ACTION income eligibility guidelines for
each state is 125 percent of the poverty line as set forth in section
625 of the Economic Opportunity Act of 1964, as amended by Pub. L. 92-
424 (42 U.S.C. 2971d), except: (i) In those primary metropolitan
statistical areas (PMSA), metropolitan statistical areas (MSA) and
nonmetropolitan counties identified by the Director as being higher in
cost of living, as determined by application of the VISTA subsistence
rates, in which case the guideline shall be 10 percent above that
amount; and (ii) in Alaska, where the guideline may be waived by the
ACTION State Director for individual locations if a project demonstrates
that low-income individuals in that location are participating in the
project. No Foster Grandparent currently participating in the Program,
shall become ineligible as a result of this change in guidelines.
(4) Once enrolled, a Foster Grandparent shall remain eligible to
serve
[[Page 57]]
and to receive a stipend as long as his or her annual income, after
deducting allowable medical expenses, does not exceed the prescribed
ACTION income eligibility guideline by 20 percent. Income eligibility
shall be reviewed annually by the sponsor.
(5) Recruitment and selection of a Foster Grandparent may not be
based on any requirement of employment experience or formal education.
(b) Terms of service. (1) Foster Grandparents serve a total of
twenty hours a week, usually five days a week. Travel time between the
volunteer's home and place of assignment may not be considered part of
the service schedule and is not stipended. Travel time between
individual assignments is a part of the service schedule. Meal time may
be part of the service schedule only if meals are taken with the
individual served, and the taking of meals together is deemed by the
sponsor and the volunteer station to be beneficial to the person served.
(2) Foster Grandparents are volunteers, not employees, of the
sponsor.
(c) Direct benefits. The total of direct benefits for Foster
Grandparents, including stipends, insurance, transportation, meals,
physical examinations, recognition, and uniforms if appropriate, shall
be a sum equal to at least 90 percent of the amount of the ACTION
federal share of the grant award. In exceptional circumstances, the
Director may waive this requirement. Federal and non-federal resources
can be used to make up this sum. Direct benefits may not be subject to
any tax or charge or be treated as wages or compensation for the
purposes of unemployment insurance, temporary disability, retirement,
public assistance, or similar benefit payments or minimum wage laws.
Direct Benefits include:
(1) Insurance. Foster Grandparents shall be provided with the
ACTION-specified minimum levels of accident insurance, personal
liability insurance and, when appropriate, excess automobile liability
insurance.
(i) Accident insurance. Accident insurance shall cover Foster
Grandparents for personal injury during travel between their homes and
places of assignment, during their volunteer service, during meal
periods while serving as a volunteer, and while attending project-
sponsored activities, such as recognition activities, orientation and
Advisory Council meetings. Protection shall be provided against claims
in excess of any benefits or services for medical care or treatment
available to the volunteer from other sources, including:
(A) Health insurance coverage;
(B) Other hospital or medical service plans;
(C) Any coverage under labor-management trusteed plans, union
welfare plans, employer organization plans, or employee benefit
organization plans; and
(D) Coverage under any governmental programs, or coverage provided
by any statute.
When benefits are provided in the form of services rather than by cash
payments, the reasonable cash value of each service rendered shall be
considered in determining the applicability of this provision. The
benefits payable under a plan shall include the benefits that would have
been payable had a claim been duly made therefor. The benefits payable
shall be reduced to the extent necessary so that the sum of such reduced
benefits and all the benefits provided for by any other plan shall not
exceed the total expenses incurred by the volunteer.
(ii) Personal Liability Insurance. Protection shall be provided
against claims in excess of protection provided by other insurance.
(iii) Excess Automobile Liability Insurance. Protection shall be
provided against claims in excess of the greater of either:
(A) Liability insurance volunteers carry on their own automobiles,
or
(B) The limits of applicable state financial responsibility law, or
(C) In the absence of a state financial responsibility law, levels
of protection to be determined by ACTION for each person, each accident,
and for property damage.
Foster Grandparents who drive their personal vehicles to or on
assignments or project-related activities must maintain personal
automobile liability insurance equal to or exceeding the
[[Page 58]]
levels established by paragraph (c)(1)(iii) (B) or (C) of this section.
(2) Meals. Within the limits of available resources and project
policy, Foster Grandparents will be provided or will receive assistance
with the cost of meals taken during their service schedule.
(3) Physical Examinations. Foster Grandparents are required to have
a physical examination prior to assignment and annually thereafter.
(4) Appropriate Recognition will be provided for Foster
Grandparents.
(5) Stipends. A Foster Grandparent will receive a stipend in an
amount determined by ACTION and payable in regular installments. The
minimum amount of the stipend is set by law and may be adjusted by the
Director from time to time. When both the eligible husband and wife
serve as a Foster Grandparent or Senior Companion, only one spouse shall
be entitled to receive a stipend. Both spouses in such cases shall be
entitled to other direct benefits. Only in cases where enrolled Foster
Grandparents or Senior Companions marry, may each continue to receive a
stipend.
(6) Transportation. Foster Grandparents shall be provided
transportation or receive assistance with the cost of transportation to
and from volunteer assignments and official project activities,
including orientation, training, advisory council meetings and
recognition events. Reimbursement will be within the limits of available
resources and project policy. Project funds may not be utilized to
reimburse Foster Grandparents for transportation provided for or on
behalf of children.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983, as amended at
59 FR 15122, Mar. 31, 1994]
Sec. 1208.3-6 Foster grandparent assignments.
(a) Foster Grandparents shall serve children with special or
exceptional needs.
(b) Priority consideration shall be given to placing Foster
Grandparents in assignments where: those assignments constitute early
intervention; there is a possibility for significant improvement in the
quality of life for the children served, and there is a probability of a
long-term relationship between the Foster Grandparent and the child.
(c) Priority consideration shall also be given to preventing or
minimizing institutionalization by placing Foster Grandparents with
children in-home, in special education classes, in special training
centers, in developmental centers, in day care centers for children with
exceptional or special needs, in hospitals, and in the juvenile justice
system.
(d) The individualized care plan for a Foster Grandparent to follow
in each in-home assignment he or she receives, should include the
projected role and functions of the Foster Grandparent, be updated on a
regular basis, and be used as a guide for evaluating the child's
development and the Foster Grandparent's role.
(e) Where state, county or local sponsor's definition(s) of children
having exceptional needs and children with special needs vary from the
definitions in Sec. 1208.1-2 of these regulations, ACTION will determine
the suitability of non-ACTION definition(s) in regard to placement of
Foster Grandparents with children.
(f) Foster Grandparent activities develop person-to-person,
supportive relationships with children and do not provide service to
volunteer stations or any other agency or organization where volunteers
serve. Activities of Foster Grandparents should serve the dual purpose
of being personally meaningful to the volunteers themselves and
providing support and companionship to the children served.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983]
Sec. 1208.3-7 Children served.
(a) Identification of individual children to receive supportive
person-to-person services from a Foster Grandparent is a responsibility
of volunteer station professional staff and will be made in accordance
with criteria specified in Sec. 1208.3-6. Actual Foster Grandparent
assignments to individual children and a determination of the length of
time each child should receive such services will be made with
concurrence of the sponsor or his or her designee,
[[Page 59]]
usually the project director, in accordance with the Memorandum of
Understanding described in Sec. 1208.3-1(l).
(b) Foster Grandparent concurrence with assignments to individual
children is required.
(c) Preference will be given to assigning Foster Grandparents to
young children. Each Foster Grandparent shall preferably, but not
exclusively, be assigned to two children.
(d) When a Foster Grandparent is assigned to a mentally retarded
child, that assignment may continue beyond the child's 21st birthday,
provided:
(1) That such child was receiving such services prior to attaining
the chronological age of 21;
(2) That the public or private nonprofit agency (volunteer station)
responsible for providing services to the child determines that it is in
the best interest of both the Foster Grandparent and the child; and
(3) There is mutual agreement by all parties with respect to
provision of services to the child involved.
[48 FR 26809, June 10, 1983; 48 FR 44797, 44798, Sept. 30, 1983]
Sec. 1208.3-8 Non-stipended volunteers.
(a) Purpose: Projects are encouraged to enroll persons aged 60 and
over, who are not low-income, as non-stipended volunteers in order to:
(1) Open opportunities for and tap the unused resources of older
Americans, and
(2) Expand needed services to unserved and underserved populations.
(b) Conditions of Service: (1) Over-income persons, age 60 or over,
may not be enrolled in FGP projects as non-stipended volunteers in
communities where a Retired Senior Volunteer Program (RSVP) project is
available and the RSVP project is willing and able to assume the
management role of placing the volunteer at an FGP volunteer station.
When a Foster Grandparent project is contacted by an individual
expressing an interest in serving as a non-stipended volunteer, the
project shall contact the ACTION State Office for its determintion as to
whether:
(i) Enrollment in the project is appropriate,
(ii) The volunteer should be referred to an RSVP project that has
agreed, in writing, to serve in the prescribed management role.
(2) Non-stipended volunteers serve under the following conditions:
(i) Their service must not supplant, replace, or displace any
stipended volunteers.
(ii) No special privilege or status is granted or created among
volunteers, stipended or non-stipended, and equal treatment is required.
(iii) Training, supervision, and other support services and direct
benefits, other than the stipend, are available equally to all
volunteers.
(iv) All regulations and requirements applicable to the program,
with the exception listed in paragraph (b)(2)(vi) of this section, apply
to all volunteers.
(v) Non-stipended volunteers may be placed in separate volunteer
stations where warranted.
(vi) Non-stipended volunteers serving in FGP volunteer stations will
be encouraged but not required to serve 20 hours per week and 50 weeks
per year. Volunteers will maintain a close one-to-one relationship with
clients, and will serve a minimum of two clients on a regular basis.
(vii) Non-stipended volunteers may contribute the cost of direct
benefits.
(3) There are no requirements on either FGP or RSVP projects to
enroll non-stipended volunteers. Implementation of these regulations by
a local project may not be a factor in awarding new or renewal grants.
(c) Funding: No appropriated funds for FGP may be used to pay any
cost, including any administrative cost, incurred in implementing these
regulations. Such costs may be paid with:
(1) Funds received by the Director as unrestricted gifts.
(2) Funds received by the Director as gifts to pay such costs.
(3) Funds contributed by non-stipended volunteers.
(4) Locally-generated contributions in excess of the amount required
by law.
[52 FR 32134, Aug. 26, 1987]
[[Page 60]]
Subpart D--Non-ACTION Funded Projects
Sec. 1208.4-1 Memorandum of agreement.
(a) If an eligible agency or organization wishes to sponsor a
project without ACTION funding, and wishes to receive technical
assistance and materials from ACTION, it must sign a Memorandum of
Agreement with ACTION identifying mutual responsibilities and certifying
its intent to comply with ACTION regulations.
(b) A non-ACTION funded project sponsor's noncompliance with the
Memorandum of Agreement may result in suspension or termination of
ACTION's technical assistance to the project.
(c) Termination of the agreement by either the project sponsor or
ACTION will result in loss of the tax exempt status of volunteer direct
benefits allowable to Foster Grandparents and loss of coverage by the
statutory provision that receipt of the stipend will not affect the
volunteers' eligibility for any governmental assistance.
(d) Entry into a Memorandum of Agreement with a sponsoring agency
which does not receive ACTION funds will not, under any circumstances,
create a financial obligation on the part of ACTION for costs associated
with the project including increases in required payments to volunteers
which may result from changes in the Act or in ACTION regulations.
Subpart E--Sanctions and Legal Representation
Sec. 1208.5-1 Special limitations.
(a) Political activities. (1) No part of any grant shall be used to
finance, directly or indirectly, any activity to influence the outcome
of any election to public office, or any voter registration activity.
(2) No project shall be conducted in a manner involving the use of
funds, the provision of services or the employment or assignment of
personnel in a matter supporting or resulting in the identification of
such project with (i) any partisan or nonpartisan political activity
associated with a candidate, or contending faction or group, in an
election, or (ii) any activity to provide voters or prospective voters
with transportation to the polls or similar assistance in connection
with any such election, or (iii) any voter registration activity.
(3) No Foster Grandparent or employee of a sponsor or volunteer
station may take any action, when serving in such capacity, with respect
to a partisan or nonpartisan political activity that would result in the
identification or apparent identification of the Foster Grandparent
Program with such activity.
(4) No grant funds may be used by the sponsor in any activity for
the purpose of influencing the passage or defeat of legislation or
proposals by initiative petition, except
(i) In any case in which a legislative body, a committee of a
legislative body, or a member of a legislative body requests a Foster
Grandparent, a sponsor chief executive, his or her designee, or project
staff to draft, review or testify regarding measures or to make
representation to such legislative body, committee or member; or
(ii) In connection with an authorization or appropriations measure
directly affecting the operation of the Foster Grandparent Program.
Prohibitions on Electoral and Lobbying-Activities are fully set forth in
45 CFR part 1226.
(b) Restrictions on State or local Government Employees. If the
sponsor is a State or local government agency which receives a grant
from ACTION, certain restrictions contained in chapter 15 of title 5 of
the United States Code are applicable. They are related to persons who
are principally employed in activities associated with the project. The
restrictions are not applicable to employees of educational or research
institutions. An employee subject to these restrictions may not:
(1) Use his/her official authority or influence for the purpose of
interfering with or affecting the result of an election or nomination
for office;
(2) Directly or indirectly coerce, attempt to coerce, command or
advise a State or local officer or employee to pay, lend, or contribute
anything of value to a party, committee, organization agency, or person
for political purposes; or
[[Page 61]]
(3) Be a candidate for elective office, except in a nonpartisan
election.
Nonpartisan election means an election at which none of the candidates
is to be nominated or elected as representing a political party any of
whose candidates for Presidential elector received votes in the last
preceding election at which Presidential electors were selected.
(c) Religious activities. Foster Grandparents and project staff
funded by ACTION shall not give religious instruction, conduct worship
services or engage in any form of proselytization as part of their
duties.
(d) Nondiscrimination. For purposes of this subpart, and for
purposes of title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000 d
et seq.). Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794),
and the Age Discrimination Act of 1975 (Pub. L. 94-135, title III; 42
U.S.C. 6101 et seq.), any program, project, or activity to which
volunteers are assigned under this Act shall be deemed to be receiving
Federal financial assistance.
(1) No person with responsibility in the operation of a project
shall discriminate with respect to any activity or program because of
race, creed, belief, color, national origin, sex, age, handicap, or
political affiliation.
(2) Sponsors are required to take affirmative action to overcome the
effects of prior discrimination. Even in the absence of prior
discrimination, a sponsor may take affirmative action to overcome
conditions which resulted in limiting participation.
(3) No person in the United States shall on the ground of sex be
excluded from participation in, be denied the benefits of, be subjected
to discrimination under, or be denied employment in connection with a
Foster Grandparent project.
(e) Labor and Anti-Labor Activity. No grant funds shall be directly
or indirectly utilized to finance labor or anti-labor organization or
related activity.
(f) Nondisplacement of Employed Workers. A Foster Grandparent may
not perform any service or duty or engage in any activity which would
otherwise be performed by an employed worker or which would supplant the
hiring of employed workers.
(g) Nonimpairment of Contracts. A Foster Grandparent may not perform
any service or duty or engage in any activity which impairs an existing
contract for service. The term ``contract for service'' includes but is
not limited to contracts, understandings, and arrangements, either
written or oral, to provide professional, managerial, technical, or
administrative service.
(h) Noncompensation for Services. No person, organization, or agency
shall request or receive any compensation for services of Foster
Grandparents.
(i) Nepotism. Persons selected for project staff positions may not
be related by blood or marriage to other project staff, sponsor staff or
officers, or members of the sponsor Board of Directors, unless there is
concurrence by the Advisory Council, with notification to ACTION.
(j) Volunteer Separation. A sponsor may separate a volunteer for
cause, including, but not limited to, extensive or unauthorized
absences, misconduct, inability to perform assignments or having income
in excess of the eligibility level established by ACTION.
[48 FR 26809, June 10, 1983; 48 FR 44797, Sept. 30, 1983]
Sec. 1208.5-2 Legal representation.
Counsel may be employed and counsel fees, court costs, bail and
other expenses incidental to the defense of a Foster Grandparent may be
paid in a criminal, civil or administrative proceeding, when such a
proceeding arises directly out of performance of the Foster
Grandparent's activities. 45 CFR part 1220 establishes the circumstances
under which ACTION may pay such expenses.
PART 1209--RETIRED SENIOR VOLUNTEER PROGRAM--Table of Contents
Subpart A--General
Sec.
1209.1-1 Purpose of the program.
1209.1-2 Definitions.
1209.1-3 Coordination.
Subpart B--Project Development and Funding
1209.2-1 Inquiries.
1209.2-2 Budget support.
[[Page 62]]
1209.2-3 Sponsor eligibility and solicitation of proposals.
1209.2-4 Project proposals.
1209.2-5 Review of project proposals.
1209.2-6 Awards.
1209.2-7 Grant management.
1209.2-8 Suspension, termination, denial of refunding.
Subpart C--Project Operations
1209.3-1 Sponsors responsibility.
1209.3-2 Project staff.
1209.3-3 RSVP Advisory Council.
1209.3-4 Volunteer station responsibility.
1209.3-5 RSVP volunteers.
1209.3-6 Volunteer assignments.
1209.3-7 Service area.
Subpart D--Non-ACTION Funded RSVP Projects
1209.4-1 Memorandum of agreement.
Subpart E--Sanctions
1209.5-1 Special limitations.
1209.5-2 Legal representation.
Authority: Secs. 201, 212, 221, 222, 223, 402(14), 418 and 420 of
Pub. L. 93-113, 83 Stat. 108, 87 Stat. 403, 404 and 414, 42 U.S.C. 5001,
5012, 5021, 5022, 5023, 5042(14), 5058 and 5060.
Source: 48 FR 26815, June 10, 1983, unless otherwise noted.
Subpart A--General
Sec. 1209.1-1 Purpose of the program.
The Retired Senior Volunteer program (RSVP) is authorized under
title II, part A, of the Domestic Volunteer Service Act of 1973, as
amended (Pub. L. 93-113). The purpose of the program is to provide a
variety of opportunities for retired persons aged 60 or over to
participate more fully in the life of their community through
significant volunteer service.
Sec. 1209.1-2 Definitions.
Terms used in this part are defined as follows:
Act is the Domestic Volunteer Service Act of 1973, as amended (Pub.
L. 93-113, 87 Stat. 394, 42 U.S.C. 4951).
Advisory Council is a group of persons formally organized by the
project sponsor for the purpose of advising and supporting the sponsor
in operating the project effectively.
Agency is the federal ACTION Agency.
Director is the Director of ACTION.
Handbook is the RSVP Operations Handbook No. 4405.92 which contains
policies for implementing this regulation.
Handicapped is a person or persons having physical or mental
impairments that substantially limit one or more major life activities.
Hard-to-reach individuals are those who are physically or socially
isolated because of factors such as language, disability, or inadequate
transportation.
Letter of Agreement is a written agreement between a volunteer
station, the project sponsor, and the person served or the person
legally responsible for the person served. The agreement authorizes
assignment of an RSVP volunteer in the home of the person served,
defines volunteer activities and specific arrangements for supervision.
Memorandum of Understanding is a statement prepared and signed by
the administrator of a volunteer station and the RSVP director which
identifies mutual responsibilities and working relationships.
OAVP refers to the Older American Volunteer Programs, which include:
the Retired Senior Volunteer Program, the Foster Grandparent Program,
and the Senior Companion Program.
Project is the locally planned and implemented Retired Senior
Volunteer Program activity as agreed upon between ACTION and the
sponsor.
Service Area is a geographically defined area in which volunteers
are recruited, enrolled, and placed on assignments.
Sponsor is a public agency or private nonprofit organization which
is responsible for the operation of the local RSVP project.
United States and States means the several states, the District of
Columbia, the Virgin Islands, Puerto Rico, Guam, American Samoa, and the
Trust Territories of the Pacific Islands.
Volunteer Station is a public or private non-profit organization, or
a proprietary health care agency or organization that accepts
responsibility for assignment and supervison of volunteers. Each
volunteer station must be licensed or otherwise certified, when
required, by appropriate state or local
[[Page 63]]
government. Private homes are not volunteer stations.
[48 FR 26815, June 10, 1983; 48 FR 44797, 44798, Sept. 30, 1983]
Sec. 1209.1-3 Coordination.
The sponsor shall coordinate activities with project-related groups
and individuals, including those representing government, industry,
labor, volunteer organizations, programs for the aging, including State
and Area Agencies on Aging, and other ACTION programs, to facilitate
cooperation with existing or planned community services and to develop
community support.
Subpart B--Project Development and Funding
Sec. 1209.2-1 Inquiries.
Inquiries regarding the Retired Senior Volunteer Program application
process, program criteria, or the availability of funds, should be
directed to the ACTION State Office serving the inquirer's own state.
ACTION headquarters office in Washington, DC, will assist in directing
inquiries to the appropriate state office.
Sec. 1209.2-2 Budget support.
(a) An RSVP sponsor is responsible for generating needed financial
support for the RSVP project from all sources, federal and non-federal,
including grants, cash and in-kind contributions, to meet budgeted costs
of the project. The sponsor will supplement an ACTION grant with other
support to the fullest extent possible and at least equal in amount to
that negotiated between ACTION and the sponsor. The following
percentages will be used as a guide by ACTION in negotiating the level
of local support a sponsor will be required to contribute to the total
project budget. In no event shall the required proportion of local
support (including in-kind contributions) be more than 10% in the first
year, 20% in the second year, 30% in the third year, 40% in the fourth
year, and 50% in the fifth and succeeding years. The level of local
support negotiated may be higher or lower than these percentages, as
mutually agreed to by ACTION and the sponsor, and as justified by local
conditions. Sponsors proposing to contribute local support of less than
30% of the total project budget for the third or succeeding years must
provide ACTION with an acceptable written justification for the lower
level of support.
(b) The total of Volunteer Expenses for Senior Volunteers, including
insurance, transportation, meals, and recognition activities, shall be
an amount equal to at least 25% of the amount of the ACTION grant award.
Federal and non-Federal resources may be used to make up this sum.
Exceptions to this requirement may be requested of the Director,
Older American Volunteer Programs, through the ACTION State Director by
an RSVP Sponsor who can clearly demonstrate that (1) this requirement
will result in undue hardship in the conduct of project operation, and
(2) a lesser amount will meet the volunteer expense needs of the number
of volunteers budgeted.
Sec. 1209.2-3 Sponsor eligibility and solicitation of proposals.
(a) Sponsor eligibility. ACTION will award grants only to public
agencies and private non-profit organizations in the United States which
have the authority to accept and the capability to administer such
grants.
(b) Solicitation of proposals. (1) Any eligible organization may
file an application for a grant. Applicants may also be solicited by
ACTION pursuant to its objective of achieving equitable program resource
distribution. Solicited applications are not assured of selection or
approval and may have to compete with other solicited or unsolicited
applications.
(2) The Director may not award any grant or contract for a project
in any state to any agency or organization unless, if such state has a
state agency established or designated pursuant to Section 305(a)(1) of
the Older Americans Act of 1965, as amended (42 U.S.C. 3025(a)(1)), such
agency itself is the recipient of the award, or such agency has been
afforded at least 45 days in which to review and make recommendations on
new grant applications.
[[Page 64]]
Sec. 1209.2-4 Project proposals.
(a) Applicants shall use standard forms prescribed by ACTION. ACTION
State Offices will provide applicants with guidance and any additional
instructions necessary to plan and budget proposed program activities.
(b) Agencies and organizations submitting grant applications must
comply with the provisions of Executive Order 12372, the
``Intergovernmental Review of Federal Programs and Activities,'' as set
forth in 45 CFR part 1232.
(c) A potential sponsor must submit one copy of an application for a
new RSVP project to the State Agency on Aging, which has 45 days to
review the application and make recommendations. The State Agency on
Aging shall state in writing to ACTION its recommendations and reasons
within this time period or will be considered to have waived its rights
under this part.
Sec. 1209.2-5 Review of project proposals.
(a) The ACTION State Office for the applicant's state will review
the grant application to ensure that program requirements are complied
with and that required documentation has been attached.
(b) If not approved, the application will be returned to the
applicant with an explanation of ACTION's decision. The unsuccessful
applicant may reapply when the inadequacy, if any, found in the
application is resolved.
Sec. 1209.2-6 Awards.
(a) ACTION will, within funds available, award a grant in writing to
those applicants whose grant proposals provide the best potential for
serving the purpose of the program. The award will be documented by
Notice of Grant Award (NGA).
(b) The parties to the NGA are ACTION and the sponsoring
organization. The NGA will document the sponsor's commitment to fulfill
specific programmatic objectives and financial obligations. It will
document the extent of ACTION's obligation to provide financial support
to the sponsor.
(c) A sponsor may receive a grant award for more than one OAVP
project.
Sec. 1209.2-7 Grant management.
(a) Sponsors shall manage grants awarded to them in accordance with
provisions of these regulations; ACTION Handbook No. 2650.2, Grants
Management Handbook for Grantees, and ACTION Handbook No. 4405.92, RSVP
Operations Handbook. A copy of each document will be furnished to the
sponsor at the time the initial grant is awarded.
(b) Project support provided under an ACTION grant shall be
furnished at the lowest possible cost consistent with the effective
operation of the project.
(c) Project costs for which ACTION funds are budgeted must be
justified as being essential to project operation.
Sec. 1209.2-8 Suspension, termination and denial of refunding.
Grant suspension, termination and denial of refunding procedures are
set forth in 45 CFR part 1206, chapter XII, and in ACTION Handbook
2650.2.
Subpart C--Project Operations
Sec. 1209.3-1 Sponsor responsibility.
The sponsor is responsible for all programmatic and fiscal aspects
of the project and may not delegate or contract this responsibility to
another entity. The sponsor has the responsibility to:
(a) Employ, supervise, and support a project director, who will be
directly responsible to the sponsor for the management of the project,
including selection, training and supervision of project staff;
(b) Provide for the recruitment, assignment, supervision and support
of volunteers. Special efforts are to be made toward recruitment and
assignment of older persons from minority groups, handicapped and hard-
to-reach individuals, and groups in the community which are under-
represented in the project. The sponsor will stress the recruitment and
enrollment of persons not already volunteering:
(c) Provide financial and in-kind support to fulfill the project's
local support commitment;
(d) Establish, orient and support an independent RSVP Advisory
Council;
[[Page 65]]
(e) Provide the volunteers with not less than the minimum accident,
personal liability, and excess auto liability insurance required by
ACTION;
(f) Provide for appropriate recognition of the volunteers and their
activities;
(g) Establish personnel practices, including provision of position
descriptions for project staff and grievance and appeal procedures for
both volunteers and project staff;
(h) Ensure compliance with ACTION requirements relating to
nondiscrimination, religious activity, political activity, lobbying,
patronage toward persons related by blood or marriage, labor and anti-
labor organization or related activities, nondisplacement of employed
workers, nonimpairment of contracts, and noncompensation for services;
(i) Maintain project records in accordance with generally accepted
accounting practices and provide for accurate and timely preparation and
submission of reports required by ACTION;
(j) Develop volunteer service opportunities through volunteer
stations;
(k) Negotiate, prior to placement of volunteers, a written
Memorandum of Understanding with each volunteer station, identifying
sponsor responsibilities, volunteer station responsibilities, and joint
responsibilities;
(l) Orient volunteer station staff to RSVP and its activities;
(m) Provide pre-service orientation to the volunteers on RSVP goals
and activities;
(n) Arrange for in-service training of the volunteers by volunteer
stations or other sources of training as needed;
(o) Provide or arrange for volunteer benefits in a timely manner;
(p) Ensure provision for volunteer safety;
(q) Comply with program regulations, policies and procedures
prescribed by ACTION;
(r) Ensure that appropriate liability insurance is maintained for
owned, non-owned, or hired vehicles used in the project; and
(s) Develop a realistic transportation plan for the project based on
the lowest cost transportation modes.
[48 FR 26815, June 10, 1983; 48 FR 44798, Sept. 30, 1983]
Sec. 1209.3-2 Project staff.
(a) Project staff are employees of the sponsor and subject to its
personnel policies and practices.
(b) ACTION must concur in writing with the sponsor's selection of a
project director before such person is employed or earns pay from grant
funds.
(c) A project director shall serve full-time and may not be employed
or serve concurrently in another capacity, paid or unpaid, during
established working hours, without prior approval from ACTION. This does
not preclude participation of the project director in activities of
related local agencies, boards or organizations for the purposes of
coordination and facilitating achievement of project goals and
objectives.
(d) Compensation levels of the project staff, including wages,
salaries and fringe benefits, should be comparable to like or similar
positions in the sponsor organization and in the community.
Sec. 1209.3-3 RSVP Advisory Council.
An Advisory Council shall be established to advise and assist the
project sponsor and staff. There shall be a separate Advisory Council
for each Older American Volunteer Program administered by the sponsor.
When a small number of volunteers is enrolled or other special
conditions prevail, this requirement may be waived by the Director of
OAVP. The Advisory Council shall:
(a) Advise the project director in the formulation of local policy,
planning, and the development of operational procedures and practices
consistent with program policies;
(b) Assist the sponsor by promoting community support for the
project, advise on personnel actions affecting volunteers and project
staff, and assist in developing local financial and in-kind resources;
(c) Include in its membership, when available; community business
and labor leaders, representatives from volunteer stations, public and
private agencies, and persons specializing in the fields of aging or
voluntarism. In addition at least one-fourth of the Advisory Council
shall be persons aged 60 or over. This group must include RSVP
[[Page 66]]
volunteers as voting members. The sponsor's chief executive or designee,
one member of its governing board, and the project director should be
members of the Advisory Council but may not be officers of the Advisory
Council. The sponsor's chief executive and the project director may not
be voting members. The member representing the sponsor's governing board
may be a voting member. The provisions of Sec. 1209.5-1(c).
Nondiscrimination, apply to the Advisory Council;
(d) Meet on a regular schedule and establish its own procedures,
including election of officers and terms of office;
(e) Conduct an annual appraisal of project operation and submit a
report to the sponsor, which shall be attached to the continuation grant
application;
(f) Have an opportunity to advise the sponsor in advance on the
selection or termination of the project director; and
(g) Ensure procedures are in effect to hear an appeal to actions
affecting a volunteer adversely.
Sec. 1209.3-4 Volunteer station responsibility.
(a) Normally the volunteer station is an organization other than the
sponsoring organization. The sponsor may function as a volunteer
station, provided that not more than 5% of the total number of
volunteers budgeted for the project are assigned to it. This limitation
does not apply to the assignment of volunteers to other programs
administered by the sponsor. Also, the RSVP project itself may function
as a volunteer station or may initiate special volunteer activities
which temporarily function at that location, provided ACTION agrees that
these activities are in accord with program objectives and will not
hinder overall project operation.
(b) Volunteer stations at which volunteers serve will be in the
community where such persons live or in nearby communities. Volunteer
services will be performed either on publicly owned and operated
facilities or projects, or on local projects sponsored by private
nonprofit organizations (other than political parties), other than
projects involving construction, operation, or so much of any facility
used or to be used for sectarian instruction or as a place of religious
worship.
(c) Volunteer station responsibilities include: (1) Assisting with
or arranging for volunteer transportation and meals, and assisting in
the provision of appropriate volunteer recognition:
(2) Developing and monitoring volunteer assignments, assigning,
supervising and training volunteers and providing them with preservice
orientation and in-service training;
(3) Providing for volunteer safety;
(4) Keeping records and preparing reports required by sponsor;
(5) Signing, prior to placement of volunteers, a Memorandum of
Understanding with the sponsor establishing working relationships and
mutual responsibilities, and detailing responsibilities outlined above
as well as other agreed-upon responsibilities. The Memorandum of
Understanding is to be reviewed and, as appropriate, changed annually.
The Memorandum may be amended at any time by mutual agreement and must
be signed and dated annually to indicate that review and update, if
needed, have been accomplished.
Sec. 1209.3-5 RSVP volunteers.
(a) Eligibility. (1) To be eligible for enrollment as an RSVP
volunteer, a person must be 60 years of age or over, retired, willing to
serve on a regular basis, and willing to accept instruction and
supervision as required.
(2) Eligibility to be an RSVP volunteer may not be restricted on the
basis of education, income, experience, citizenship, race, color, creed,
belief, sex, national origin, political affiliation, or handicap.
(b) Volunteer expenses. (1) Within the limits of a project's
approved budget and in accordance with provisions of the RSVP Operations
Handbook, volunteers will be provided transportation or will receive
assistance with costs of transportation, recognition activities, and,
when possible, meals. Project funds may not be used to reimburse
volunteers for volunteer expenses, including transportation costs,
incurred while performing their volunteer assignments. Provision shall
be made by the sponsor to obtain ACTION specified minimum levels of
accident insurance, personal liability insurance and, when
[[Page 67]]
appropriate, excess automobile liability insurance.
(i) Accident insurance: Accident insurance shall cover RSVP
volunteers for personal injury during travel between their homes and
places of assignment, during their volunteer service, during meal
periods while serving as a volunteer, and while attending project-
sponsored activities, such as recognition activities, orientation and
Advisory Council meetings. Protection shall be provided against claims
in excess of any benefits or services for medical care or treatment
available to the volunteer from other sources, including:
(A) Health insurance coverage;
(B) Other hospital or medical service plans;
(C) Any coverage under labor-management trusteed plans, union
welfare plans, employer organization plans, or employee benefit
organization plans; and
(D) Coverage under any governmental programs, or provided by any
statute. When benefits are approved in the form of services rather than
by cash payments, the reasonable cash value of each service rendered
shall be considered in determining the applicability of this provision.
The benefits payable under a plan shall include the benefits that would
have been payable had a claim been duly made therefor. The benefits
payable shall be reduced to the extent necessary so that the sum of such
reduced benefits and all the benefits provided for by any other plan
shall not exceed the total expenses incurred by the volunteer.
(ii) Personal Liability Insurance: Protection shall be provided
against claims in excess of protection provided by other insurance.
(iii) Excess Automobile Liability Insurance: Protection shall be
provided against claims in excess of the greater of either:
(A) Liability insurance volunteers carry on their own automobiles,
or
(B) The limits of applicable state financial responsibility law, or
(C) In the absence of a state financial responsibility law, levels
of protection to be determined by ACTION for each person, each accident,
and for property damage.
Volunteers who drive their personal vehicles to or on assignments or
project-related activities, must maintain personal automobile liability
insurance equal to or exceeding the levels established by paragraphs
(b)(1)(iii) (B) and (C) of this section.
Sec. 1209.3-6 Volunteer assignments.
(a) A variety of assignnments shall be developed prior to the
recruitment of RSVP volunteers. Assignments shall include opportunities
to respond to significant community needs.
(b) Assignments shall be matched to the interests, abilities,
preferences and availability of volunteers. Special consideration shall
be given to developing assignments that allow for the limited physical
strength and mobility of the handicapped older volunteer.
Sec. 1209.3-7 Service area.
The service area of a project identified in the approved grant
application may not be redefined without prior written approval from
ACTION.
Subpart D--Non-ACTION Funded RSVP Projects
Sec. 1209.4-1 Memorandum of agreement.
(a) If an eligible agency or organization wishes to sponsor an RSVP
project without ACTION funding, and wishes to receive technical
assistance and materials from ACTION, it must sign a Memorandum of
Agreement with ACTION identifying mutual responsibilities and certifying
its intent to comply with ACTION regulations.
(b) A non-ACTION funded project sponsor's noncompliance with the
Memorandum of Agreement may result in suspension or termination of
ACTION's technical assistance to the project.
(c) Entry into a Memorandum of Agreement with a sponsoring agency
which does not receive ACTION funds will not, under any circumstances,
create a financial obligation on the part of ACTION for costs associated
with the project.
[[Page 68]]
Subpart E--Sanctions
Sec. 1209.5-1 Special limitations.
(a) Political activities. (1) No part of any grant shall be used to
finance, directly or indirectly, any activity to influence the outcome
of any election to public office, or any voter registration activity.
(2) No project shall be conducted in a manner involving the use of
funds, the provision of services, or the employment or assignment of
personnel in a manner supporting or resulting in the identification of
such project with (i) any partisan or nonpartisan political activity
associated with a candidate, or contending faction or group, in an
election, or (ii) any activity to provide voters or prospective voters
with transportation to the polls or similar assistance in connection
with any such election, or (iii) any voter registration activity.
(3) No RSVP volunteer or employee of a sponsor or volunteer station
may take any action, when serving in such capacity, with respect to a
partisan or nonpartisan political activity that would result in the
identification or apparent identification of the Retired Senior
Volunteer Program with such activity.
(4) No grant funds may be used by the sponsor in any activity for
the purpose of influencing the passage or defeat of legislation or
proposals by initiative petition, except:
(i) In any case in which a legislative body, a committee of a
legislative body, or a member of a legislative body requests an RSVP
volunteer, a sponsor chief executive, his or her designee, or project
staff to draft, review or testify regarding measures or to make
representation to such legislative body, committee or member, or
(ii) In connection with an authorization or appropriation measure
directly affecting the operation of the Retired Senior Volunteer
Program.
(5) Prohibitions on Electoral and Lobbying Activities are fully set
forth in 45 CFR part 1226.
(b) Restrictions on State or Local Government Employees. If the
sponsor is a State or local government agency which received a grant
from ACTION, certain restrictions contained in Chapter 15 of Title 5 of
the United States Code are applicable to persons who are principally
employed in activities associated with the project. The restrictions are
not applicable to employees of educational or research institutions. An
employee subject to these restrictions may not:
(1) Use his or her official authority or influence for the purpose
of interfering with or affecting the result of an election or nomination
for office; or
(2) Directly or indirectly coerce, attempt to coerce, command or
advise a State or local officer or employee to pay, lend, or contribute
anything of value to a party, committee, organization, agency, or person
for political purposes; or
(3) Be a candidate for elective office, except in a nonpartisan
election. ``Nonpartisan election'' means an election at which none of
the candidates is to be nominated or elected as representing a political
party any of whose candidates for Presidential elector received votes in
the last preceding election at which Presidential electors were
selected.
(c) Religious activities. RSVP volunteers and project staff funded
by ACTION shall not give religious instruction, conduct worship services
or engage in any form of proselytization as part of their duties.
(d) Nondiscrimination. For purposes of this subpart, and for
purposes of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et
seq.), Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794),
and the Age Discrimination Act of 1975 (Pub. L. 94-135, Title III; 42
U.S.C. 6101 et seq.), any project or activity to which volunteers are
assigned shall be deemed to be receiving federal financial assistance.
(1) No person with responsibility in the operation of a project
shall discriminate with respect to any activity or program because of
race, creed. belief, color, national origin, sex, age, handicap, or
political affiliation.
(2) Sponsors are required to take affirmative action to overcome the
effects of prior discrimination. Even in the absence of prior
discrimination, a sponsor may take affirmative action to overcome
conditions which resulted in limiting participation.
(3) No person in the United States shall, on the ground of sex, be
excluded
[[Page 69]]
from participation in, be denied the benefits of, be subjected to
discrimination under, or be denied employment in connection with any
project.
(e) Labor or Anti-Labor Activity. No grant funds shall be directly
or indirectly utilized to finance labor or anti-labor organization or
related activity.
(f) Nondisplacement of Employed Workers. An RSVP volunteer may not
perform any service or duty or engage in any activity which would
otherwise be performed by an employed worker or which would supplant the
hiring of employed workers.
(g) Nonimpairment of Contracts. An RSVP volunteer may not perform
any service or duty, or engage in any activity which impairs an existing
contract for service. The term ``contract for service'' includes but is
not limited to contracts, understandings and arrangements, either
written or oral, to provide professional, managerial, technical, or
administrative service.
(h) Noncompensation for Services. No person, organization, or agency
shall request or receive any compensation for services of RSVP
voluneers.
(i) Volunteer Status. RSVP volunteer service shall not be deemed
employment for any purpose.
(j) Nepotism. Persons selected for project staff positions may not
be related by blood or marriage to other project staff, sponsor staff or
officers, or members of the sponsor Board of Directors, unless there is
concurrence by the Advisory Council, with notification to ACTION.
(k) Volunteer Separation. A volunteer may be separated from the
program for cause, including, but not limited to, extensive absences,
misconduct, or inability to perform assignments.
Sec. 1209.5-2 Legal representation.
Counsel may be employed and counsel fees, court costs, bail, and
other expenses incidental to the defense of a Senior Volunteer may be
paid in a criminal, civil or administrative proceeding, when such a
proceeding arises directly out of performance of the RSVP volunteer's
activities. 45 CFR part 1220 establishes the circumstances under which
ACTION may pay such expenses.
PART 1210--VISTA TRAINEE DESELECTION AND VOLUNTEER EARLY TERMINATION PROCEDURES--Table of Contents
Subpart A--General
Sec.
1210.1-1 Purpose.
1210.1-2 Scope.
1210.1-3 Definitions.
Subpart B--VISTA Trainee Deselection
1210.2-1 Grounds for deselection.
1210.2-2 Procedure for deselection.
Subpart C--VISTA Volunteer Early Termination
1210.3-1 Grounds for termination.
1210.3-2 Removal from project.
1210.3-3 Suspension.
1210.3-4 Initiation of termination.
1210.3-5 Preparation for appeal.
1210.3-6 Appeal of termination.
1210.3-7 Inquiry by Hearing Examiner.
1210.3-8 Termination file and Examiner's report.
1210.3-9 Decision by Director of VISTA.
1210.3-10 Reinstatement of Volunteer.
1210.3-11 Disposition of termination and appeal files.
Subpart D--National Grant Trainees and Volunteers
1210.4 Early termination procedures for National Grant Trainees and
Volunteers.
Appendix A to Part 1210--Standard for Examiners
Authority: Secs. 103(c), 402(14), Pub. L. 93-113, 87 Stat. 397 and
407.
Source: 46 FR 35512, July 9, 1981, unless otherwise noted.
Subpart A--General
Sec. 1210.1-1 Purpose.
This part establishes procedures under which certain Trainees and
Volunteers serving in ACTION programs under Pub. L. 93-113 will be
deselected from training or termininated from service and how they may
appeal their deselection or termination.
Sec. 1210.1-2 Scope.
(a) This part applies to all Trainees and Volunteers enrolled under
part A of Title I of the Domestic Volunteer Service Act of 1973, Pub. L.
93-113, as
[[Page 70]]
amended, (42 U.S.C. 4951 et seq.,) (hereinafter the ``Act'') and full-
time Volunteers serving under part C of title I of the Act.
(b) This part does not apply to the medical separation of any
Trainee or Volunteer. Separate procedures, as detailed in the VISTA
Handbook, are applicable for such separations.
Sec. 1210.1-3 Definitions.
(a) Trainee means a person enrolled in a program under part A of
Title I of the Act or for full-time volunteer service under part C of
Title I of the Act who has reported to training but has not yet
completed training and been assigned to a project.
(b) Volunteer means a person enrolled and currently assigned to a
project as a full-time Volunteer under part A of title I of the Act, or
under part C of title I of the Act.
(c) Sponsor means a public or private nonprofit agency to which
ACTION has assigned Volunteers.
(d) Hearing Examiner or Examiner means a person having the
qualifications described in Appendix A who has been appointed to conduct
an inquiry with respect to a termination.
(e) National Grant Program means a program operated under part A,
title I of the Act in which ACTION has awarded a grant to provide the
direct costs of supporting VISTA Volunteers on a national or multi-
regional basis. VISTA Volunteers may be assigned to local offices or
project affiliates. The national grantee provides overall training,
technical assistance and management support for project operations.
(f) Local component means a local office or project affiliate of a
national grantee to which VISTA Volunteers are assigned under the VISTA
National Grants Program.
(g) Termination means the removal of a Volunteer from VISTA service
by ACTION, and does not refer to removal of a Volunteer from a
particular project which has been requested by a sponsor or Governor
under Sec. 1210.3-2.
(h) Deselection means the removal of a Trainee from VISTA service by
ACTION.
Subpart B--VISTA Trainee Deselection
Sec. 1210.2-1 Grounds for deselection.
ACTION may deselect a Trainee out of a training program for any of
the following reasons:
(a) Failure to meet training selection standards which includes, but
is not limited to, the following conduct:
(1) Inability or refusal to perform training assignments;
(2) Disruptive conduct during training sessions;
(b) Conviction of any criminal offense under Federal, State or local
statute or ordinance;
(c) Violation of any provision of the Domestic Volunteer Service Act
of 1973, as amended, or any ACTION policy, regulation, or instruction;
(d) Intentional false statement, omission, fraud, or deception in
obtaining selection as a Volunteer; or
(e) Refusal to accept Volunteer Placement.
Sec. 1210.2-2 Procedure for deselection.
(a) The Regional Director or designee shall notify the Trainee in
writing that ACTION intends to deselect the Trainee. The notice must
contain the reasons for the deselection and indicate that the Trainee
has 5 days to appeal.
(b) The Trainee is placed on Administrative Hold at the time of the
notice of deselection.
(c) The Trainee has 5 days after receipt of the notice to appeal in
writing to the Regional Director, or designee specified in the notice,
furnishing any supportive documentation. In the appeal letter, the
Trainee may request an opportunity to present his or her case in person.
(d) If the Trainee does not respond to the notice, deselection
becomes effective at the expiration of the Trainee's time to appeal.
(e) Within 5 days after receiving the Trainee's appeal, if no
personal presentation is requested, the Regional Director or designee
must issue a decision. If a personal presentation is requested, the
Regional Director or designee must schedule it within 5 days, and must
issue a decision 5 days after such presentation. In either case, the
decision of
[[Page 71]]
the Regional Director or designee is final.
Subpart C--VISTA Volunteer Early Termination
Sec. 1210.3-1 Grounds for termination.
ACTION may terminate or suspend a Volunteer based on the Volunteer's
conduct for the following reasons:
(a) Conviction of any criminal offense under Federal, State, or
local statute or ordinance;
(b) Violation of any provision of the Domestic Volunteer Service Act
of 1973, as amended, or any ACTION policy, regulation, or instruction;
(c) Failure refusal or inability to perform prescribed project
duties as outlined in the Project Narrative and/or volunteer assignment
description and as directed by the sponsoring organization to which the
Volunteer is assigned;
(d) Involvement in activities which substantially interfere with the
Volunteer's performance of project duties;
(e) Intentional false statement, omission, fraud, or deception in
obtaining selection as a Volunteer;
(f) Any conduct on the part of the Volunteer which substantially
diminishes his or her effectiveness as a VISTA Volunteer; or
(g) Unsatisfactory performance of Volunteer assignment.
Sec. 1210.3-2 Removal from project.
(a) Removal of a Volunteer from the project assignment may be
requested and obtained by a written request supported by a statement of
reason by:
(1) The Governor or chief executive officer of the State or similar
jurisdiction in which the Volunteer is assigned or,
(2) The sponsoring organization. The sole responsibility for
terminating or transferring a Volunteer rests with the ACTION Agency.
(b) A request for removal of a Volunteer must be submitted to the
ACTION State Director, who will in turn notify the Volunteer of the
request. The State Director, after discussions with the Volunteer and in
consultation with the Regional Director, if necessary, has 15 days to
attempt to resolve the situation with the sponsor or the Governor's
office. If the situation is not resolved at the end of the 15 day
period, the Volunteer will be removed from the project and placed on
Administrative Hold, pending a decision as set forth in paragraph (c) of
this section.
(c) The State office will take one of the following actions
concerning a Volunteer who has been removed from a project assignment:
(1) Accept the Volunteer's resignation;
(2) If removal was requested for reasons other than those listed in
Sec. 1210.3-1, ACTION will attempt to place the Volunteer on another
project. If reassignment is not possible, the Volunteer will be
terminated for lack of suitable assignment, and he or she will be given
special consideration for reinstatement; or
(3) If removal from the project is approved based on any of the
grounds for early termination as set forth in Sec. 1210.3-1, the
Volunteer may appeal the termination grounds as detailed in subpart C of
this part to establish whether such termination is supported by
sufficient evidence. If ACTION determines that the removal based on
grounds detailed in Sec. 1210.3-1 is not established by adequate
evidence, then the procedures outlined in Sec. 1210.3-2(c)(2) will be
followed.
(d) A Volunteer's removal during a term of service may also occur as
a result of either the termination of, or refusal to renew, the
Memorandum of Agreement between ACTION and the sponsoring organization,
or the termination or completion of the initial Volunteer assignment. In
such cases, the Volunteer will be placed in Administrative Hold status
while the Regional Office attempts to reassign the Volunteer to another
project. If no appropriate reassignment within the Region is found
within the Administrative Hold period, the Volunteer will be terminated
but will receive special consideration for reinstatement as soon as an
appropriate assignment becomes available. If appropriate reassignment is
offered the Volunteer and declined, ACTION has no obligation to offer
additional or alternative assignments.
[[Page 72]]
Sec. 1210.3-3 Suspension.
(a) The ACTION State Director may suspend a Volunteer for up to 30
days in order to determine whether sufficient evidence exists to start
termination proceedings against the Volunteer. Suspension is not
warranted if the State Director determines that sufficient grounds
already exist for the initiation of termination. In that event, the
termination procedures contained in Sec. 1210.3-4 will be followed.
(b) Notice of suspension may be written or verbal and is effective
upon delivery to the Volunteer. Within 3 days after initiation of the
suspension, the Volunteer will receive a written notice of suspension
setting forth in specific detail the reason for the suspension. During
the suspension period the Volunteer may not engage in project
activities, but will continue to receive all allowances, including
stipend.
(c) At the end of the suspension period, the Volunteer must either
be reassigned to a project, or termination proceedings must be
initiated.
Sec. 1210.3-4 Initiation of termination.
(a) Opportunity for Resignation. In instances where ACTION has
reason to believe that a Volunteer is subject to termination for any of
the grounds cited in Sec. 1210.3-1, an ACTION staff member will discuss
the matter with the Volunteer. If, after the discussion, the staff
member believes that grounds for termination exist, the Volunteer will
be given an opportunity to resign. If the Volunteer chooses not to
resign, the administrative procedures outlined below will be followed.
(b) Notification of Proposed Termination. The Volunteer will be
notified, in writing by certified mail, of ACTION's intent to terminate
him or her by the ACTION State Director at least 15 days in advance of
the proposed termination date. The letter must give the reasons for
termination, and notify the Volunteer that he or she has 10 days within
which to answer in writing and to furnish any affidavits or written
material. This answer must be submitted to the ACTION State Director or
a designee identified in the notice of proposed termination.
(c) Review and Notice of Decision. (1) Within 5 working days after
the date of receipt of the Volunteer's answer, the State Director or
designee will send a written Notice of Decision to the Volunteer by
certified mail. (If no answer is received from the Volunteer within the
time specified, the State Director or designee will send such notice
within 5 days after the expiration of the Volunteer's time to answer.)
(2) If the decision is to terminate the Volunteer, the Notice will
set forth the reasons for the decision, the effective date of
termination (which, if the Volunteer has filed an answer, may not be
earlier than 10 days after the date of the Notice of Decision), and the
fact that the Volunteer has 10 days in which to submit a written appeal
to the Regional Director.
(3) A Volunteer who has not filed an answer pursuant to the
procedures outlined above is not entitled to appeal the decision or
request a hearing and may be terminated on the date of the Notice.
(d) Allowances and Project Activities. (1) A Volunteer who files an
answer within the 10 days allowed by Sec. 1210.3-4(b) with the State
Director or designee following receipt of the notice of proposed
termination, will be placed in Administrative Hold status, and may
continue to receive regular allowances, but no stipend, in accordance
with ACTION policy, until the appeal is finally decided. The Volunteer
may not engage in any project related activities during this time.
(2) If the proposed termination is reversed, the Volunteer's stipend
and any other allowances lost during the period of review will be
reinstated retroactively.
Sec. 1210.3-5 Preparation for appeal.
(a) Entitlement to Representation. A Volunteer may be accompanied,
represented and advised by a representative of the Volunteer's own
choice at any stage of the appeal. A person chosen by the Volunteer must
be willing to act as representative and not be disqualified because of
conflict of position.
(b) Time for Preparation and Presentation. (1) A Volunteer's
representative, if a Volunteer or an employee of ACTION, must be given a
reasonable
[[Page 73]]
amount of time off from assignment to present the appeal.
(2) ACTION will not pay travel expenses or per diem travel
allowances for either a Volunteer or the Volunteer's representative in
connection with the preparation of the appeal, except to attend the
hearing as provided in Sec. 1210.3-7(c)(5).
(c) Access to Agency Records. (1) A Volunteer is entitled to review
any material in his or her official Volunteer folder and any relevant
Agency documents to the extent permitted by the Privacy Act and the
Freedom of Information Act, (5 U.S.C. 552a; 5 U.S.C. 552). Examples of
documents which may be withheld from Volunteers include references
obtained under a pledge of confidentiality, official Volunteer folders
of other Volunteers and privileged intra-Agency memoranda.
(2) A Volunteer may review relevant documents in the possession of a
sponsor to the same extent ACTION would be entitled to review them.
Sec. 1210.3-6 Appeal of termination.
(a) Appeal to Regional Director. A Volunteer has 10 days from the
Notice of Decision issued by the State Director or designee in which to
appeal to the Regional Director. The appeal must be in writing and
specify the reasons for the Volunteer's disagreement with the decision.
The Regional Director has 10 days in which to render a written decision
on the Volunteer's appeal, indicating the reason for the decision. In
notifying the Volunteer of the decision, the Regional Director must also
inform the Volunteer of his or her opportunity to request the
appointment of a Hearing Examiner and the procedure to be followed.
(b) Referral to Hearing Examiner. If the Volunteer is dissatisfied
with the decision of the Regional Director, the Volunteer has 5 days in
which to request the appointment of a Hearing Examiner. The Regional
Director must act on that request within 5 days. The Hearing Examiner
must possess the qualifications specified in Appendix A to this part,
and may not be an employee of ACTION unless his or her principal duties
are those of Hearing Examiner.
Sec. 1210.3-7 Inquiry by Hearing Examiner.
(a) Scope of Inquiry. (1) The Examiner shall conduct an inquiry of a
nature and scope appropriate to the issues involved in the termination.
If the Examiner determines that the termination involves relevant
disputed issues of fact, the Examiner must hold a hearing unless it is
waived by the Volunteer. If the Examiner determines that the termination
does not involve relevant disputed issues of facts, the Examiner need
not hold a hearing, but must provide the parties an opportunity for oral
presentation of their respective positions. At the Examiner's
discretion, the inquiry may include:
(i) The securing of documentary evidence;
(ii) Personal interviews, including telephone interviews;
(iii) Group meetings; or
(iv) Affidavits, written interrogatories or depositions.
(2) The Examiner's inquiry shall commence within 7 days after
referral by the Regional Director. The Examiner shall issue a report as
soon as possible, but within 30 days after referral, except when a
hearing is held. If hearing is held, the Examiner shall issue a report
within 45 days after the referral.
(b) Conduct of Hearing. If a hearing is held, the conduct of the
hearing and production of witnesses shall conform with the following
requirements:
(1) The hearing shall be held at a time and place determined by the
Examiner who shall consider the convenience of parties and witnesses and
expense to the Government in making the decision.
(2) Ordinarily, attendance at the hearing will be limited to persons
determined by the Examiner to have a direct connection with it. If
requested by the Volunteer, the Examiner must open the hearing to the
public.
(3) The hearing shall be conducted so as to bring out pertinent
facts, including the production of pertinent records.
(4) Rules of evidence shall not be applied strictly, but the
Examiner may exclude irrelevant or unduly repetitious testimony or
evidence.
(5) Decisions on the admissibility of evidence or testimony shall be
made by the Examiner.
[[Page 74]]
(6) Testimony shall be under oath or affirmation, administered by
the Examiner.
(7) The Examiner shall give the parties an opportunity to present
oral and written testimony that is relevant and material, and to cross-
examine witnesses who appear to testify.
(8) The Examiner may exclude any person from the hearing for conduct
that obstructs the hearing.
(c) Witnesses. (1) All parties are entitled to produce witnesses.
(2) Volunteers, employees of a sponsor, and employees of ACTION
shall be made available as witnesses when requested by the Examiner. The
Examiner may request witnesses on his or her own initiative. Parties
shall furnish to the Examiner and to opposing parties a list of proposed
witnesses, and an explanation of what the testimony of each is expected
to show, at least 10 days before the date of the hearing. The Examiner
may waive the time limit in appropriate circumstances.
(3) Employees of ACTION shall remain in a duty status during the
time they are made available as witnesses.
(4) Volunteers, employees and any other persons who serve as
witnesses shall be free from coercion, discrimination, or reprisal for
presenting their testimony.
(5) The Examiner must authorize payment of travel expense and per
diem at standard Government rates for the Volunteer and a representative
to attend the hearing.
(6) The Examiner may authorize payment of travel expense and per
diem at standard Government rates for other necessary witnesses to
attend the hearing if he or she determines that the required testimony
cannot be satisfactorily obtained by affidavit, written interrogatories
or deposition at less cost.
(d) Report of Hearing. (1) The Examiner shall determine how any
hearing shall be reported and shall have either a verbatim transcript or
written summary of the hearing prepared, which shall include all
pertinent documents and exhibits submitted and accepted. If the hearing
is reported verbatim, the Examiner shall make the transcript a part of
the record of the proceedings.
(2) If the hearing is not reported verbatim, a suitable summary of
pertinent portions of the testimony shall be made part of the record of
proceedings. When agreed to in writing, the summary constitutes the
report of the hearing. If the Examiner and the parties fail to agree on
the hearing summary, the parties are entitled to submit written
exceptions to any part of the summary, and these written exceptions and
the summary will constitute the report of the hearing and shall be made
part of the record of proceedings.
(3) The Volunteer may make a recording of the hearing at the
Volunteer's own expense if no verbatim transcript is made.
Sec. 1210.3-8 Termination file and Examiner's report.
(a) Preparation and Content. The Examiner shall establish a
termination file containing documents related to the termination,
including statements of witnesses, records or copies thereof, and the
report of the hearing when a hearing was held. The Examiner shall also
prepare a report of findings and recommendations which shall be made
part of the termination file.
(b) Review by Volunteer. On completion of the termination file, the
Examiner shall make it available to the Volunteer and representative for
review and comment before submission to the Director of VISTA. Any
comments by the Volunteer or representative should be submitted to the
Hearing Examiner for inclusion in the termination file not later than 5
days after the file is made available to them. The comments should
identify those parts of the Examiner's report which support the appeal.
(c) Submission of termination file. Immediately upon receiving the
comments from the Volunteer the Hearing Examiner shall submit the
termination file to the Director of VISTA.
Sec. 1210.3-9 Decision by Director of VISTA.
The Director of VISTA shall issue a written decision, including a
statement of the basis for the decision, within 10 days after receipt of
the termination file. The decision of the Director of VISTA is the final
Agency decision.
[[Page 75]]
Sec. 1210.3-10 Reinstatement of Volunteer.
(a) If the Regional Director or Director of VISTA reinstates the
Volunteer, the Regional Director may at his or her discretion reassign
the Volunteer to the Volunteer's previous project or to another project.
The Regional Director, in making such a decision, must request the
Volunteer's views, but has the final decision on the Volunteer's
placement.
(b) If the Volunteer's termination is reversed, stipend and other
allowances lost during the appeal period will be paid retroactively.
Sec. 1210.3-11 Disposition of termination and appeal files.
All termination and appeal files shall be forwarded to the Director
of VISTA after a final decision has been made and are subject to the
provisions of the Privacy Act and Freedom of Information Act. No part of
any successful termination appeal may be made part of, or included in, a
Volunteer's official folder.
Subpart D--National Grant Trainees and Volunteers
Sec. 1210.4 Early termination procedures for National Grant Trainees and Volunteers.
Trainees and Volunteers serving in the National Grant Program as
defined in Sec. 1210.1-3(e) will be subject to the same termination
procedure as standard VISTA Trainees and Volunteers with the following
exceptions:
(a) For Trainees, the deselection procedure, [See Sec. 1210.2-2]
will be handled by the Project Manager in ACTION/Headquarters.
(b) The Initiation of termination, [See Sec. 1210.3-4 (a) and (b)]
will be handled by the VISTA Project Manager in ACTION/Headquarters,
with the concurrence of the appropriate State Director. The Review and
Notice of Decision, [See Sec. 1210.3-4(c)] will be handled by the VISTA
Project Manager in ACTION/Headquarters.
(c) The Appeal of termination, [See Sec. 1210.3-6(a)] will be
handled by the Chief of VISTA Branch and not the Regional Director.
(d) The final decision on a Volunteer appeal will be made by the
Director of VISTA as provided in Sec. 1210.3.
Appendix A to Part 1210--Standard for Examiners
(a) An Examiner must meet the requirements specified in either
paragraph (1), (2), (3), or (4) of this appendix:
(1)(a) Current employment in Grades GS-12 or equivalent, or above;
(b) Satisfactory completion of a specialized course of training
prescribed by the Office of Personnel Management for Examiners;
(c) At least four years of progressively responsible experience in
administrative, managerial, professional, investigative, or technical
work which has demonstrated the possession of:
(i) The personal attributes essential to the effective performance
of the duties of an Examiner, including integrity, discretion,
reliability, objectivity, impartiality, resourcefulness, and emotional
stability.
(ii) A high degree of ability to:
--Identify and select appropriate sources of information; collect,
organize, analyze and evaluate information; and arrive at sound
conclusions on the basis of that information;
--Analyze situations; make an objective and logical determination of
the pertinent facts; evaluate the facts; and develop practical
recommendations or decisions on the basis of facts;
--Recognize the causes of complex problems and apply mature judgment
in assessing the practical implications of alternative solutions to
those problems;
--Interpret and apply regulations and other complex written
material;
--Communicate effectively orally and in writing, including the
ability to prepare clear and concise written reports; and
--Deal effectively with individuals and groups, including the
ability to gain the cooperation and confidence of others.
(iii) A good working knowledge of:
--The relationship between Volunteer administration and overall
management concerns; and
--The principles, systems, methods and administrative machinery for
accomplishing the work of an organization.
(2) Designation as an arbitrator on a panel of arbitrators
maintained by either the Federal Mediation and Conciliation Service or
the American Arbitration Association.
(3) Current or former employment as, or current eligibility on the
Office of Personnel Management's register for Hearing Examiner, GS-935-
0.
(4) Membership in good standing in the National Academy of
Arbitrators.
(b) A former Federal employee who, at the time of leaving the
Federal service, was in Grade GS-12 or equivalent, or above, and
[[Page 76]]
who meets all the requirements specified for an Examiner except
completion of the prescribed training course, may be used as an Examiner
upon satisfactory completion of the training course.
PART 1211--VOLUNTEER GRIEVANCE PROCEDURES--Table of Contents
Sec.
1211.1-1 Purpose.
1211.1-2 Applicability.
1211.1-3 Definitions.
1211.1-4 Policy.
1211.1-5 Matters not covered.
1211.1-6 Freedom to initiate grievances.
1211.1-7 Entitlement to representation.
1211.1-8 Time for preparation and presentation.
1211.1-9 Access to agency records.
1211.1-10 Informal grievance procedure.
1211.1-11 Initiation of formal grievance procedure.
1211.1-12 Investigation by Grievance Examiner.
1211.1-13 Grievance file and examiner's report.
1211.1-14 Final determination by Director of VISTA.
1211.1-15 Disposition of grievance appeal files.
1211.1-16 Grievance procedure for National VISTA Grant Volunteers.
Appendix A to Part 1211--Standards for Examiners
Authority: Secs. 104(d), 402(14), 420, Pub. L. 93-113, 87 Stat.
398, 407, and 414.
Source: 45 FR 39271, June 10, 1980, unless otherwise noted.
Sec. 1211.1-1 Purpose.
This part establishes procedures under which certain volunteers
enrolled under Pub. L. 93-113 may present and obtain resolution of
grievances.
Sec. 1211.1-2 Applicability.
This part applies to all volunteers enrolled under part A of title I
of the Domestic Volunteer Service Act of 1973, as amended, Pub. L. 93-
113, (42 U.S.C. 4951 et seq.).
Sec. 1211.1-3 Definitions.
(a) Volunteer means a person enrolled and currently serving as a
full-time volunteer under part A of title I of the Domestic Volunteer
Service Act of 1973. For the purpose of this part, a volunteer whose
service has terminated shall be deemed to be a volunteer for a period of
90 days thereafter.
(b) Grievance means a matter arising out of, and directly affecting,
the volunteer's work situation, or a violation of those regulations
governing the terms and conditions of service resulting in the denial or
infringement of a right or benefit to the grieving volunteer. Terms and
conditions of service refer to those rights and privileges accorded the
volunteer either through statute, Agency regulation, or Agency policy.
(1) The relief requested must be directed toward the correction of
the matter involving the affected individual volunteer or the affected
group of volunteers and may request the revision of existing policies
and procedures to ensure against similar occurrences in the future.
Requests for relief by more than one volunteer arising from a common
cause within one region may be treated as a single grievance. The
following are examples of grievable matters:
(i) A volunteer is assigned to an area of harsh climate where
special clothing is necessary and not already possessed by the
volunteer. A request for a special allowance for such clothing is
arbitrarily refused.
(ii) A volunteer submits a request for reimbursement for
transportation costs incurred while on authorized emergency leave which
is denied.
(iii) The project sponsor fails to provide adequate support to the
volunteer necessary for that volunteer to perform the assigned work,
such as the sponsor's failure to provide materials to the volunteer
which is necessary for the performance of the volunteer's work.
(c) State Program Officer means that ACTION official who is directly
responsible at the first level for the project in which the volunteer is
serving.
(d) Sponsor means a public or private nonprofit agency to which
ACTION has assigned volunteers.
(e) Grievance Examiner or Examiner means a person having the
qualifications described in Appendix A who is appointed to conduct an
inquiry or hearing with respect to a grievance.
(f) National VISTA Grants Program means a program operated under
part A, title I of the Domestic Volunteer
[[Page 77]]
Service Act in which ACTION awards a grant to a national grantee to
operate a VISTA Volunteer program on a national or multi-regional basis.
(g) Local component means a local office or project affiliate of a
national grantee which has VISTA Volunteers assigned to it under the
National VISTA Grants Program.
(h) The Act means the Domestic Volunteer Service Act of 1973, Pub.
L. 93-113, (42 U.S.C. 4951 et seq.), as amended.
Sec. 1211.1-4 Policy.
It is ACTION's policy to provide volunteers the widest latitude to
present their grievances and concerns to appropriate officials of ACTION
and of sponsoring organizations. This regulation is designed to assure
that the rights of individual volunteers are recognized and to provide
formal ways for them to seek redress with confidence that they will
obtain just treatment.
Sec. 1211.1-5 Matters not covered.
Matters not within the definition of a grievance as defined in
Sec. 1211.1-3(b) are not eligible for processing under this procedure.
The following are specific examples of excluded areas and are not
intended as a complete listing of the matters excluded by this part:
(a) The establishment of a volunteer project, its continuance or
discontinuance, the number of volunteers assigned to it, increases or
decreases in the level of support provided to a project, suspension or
termination of a project, or selection and retention of project staff.
(b) Matters for which a separate administrative procedure is
provided.
(c) The content of any law, published rule, regulation, policy or
procedure.
(d) Matters which are, by law, subject to final administrative
review outside ACTION.
(e) Actions taken in compliance with the terms of a contract, grant,
or other agreement.
(f) The internal management of the ACTION Agency unless such
management is specifically shown to individually and directly affect the
volunteer's work situation or the terms and conditions of service as
defined in Sec. 1211.1-3(b).
Sec. 1211.1-6 Freedom to initiate grievances.
The initiation of a grievance shall not be construed as reflecting
on a volunteer's standing, performance or desirability as a volunteer.
ACTION intends that each supervisor and sponsor, as well as ACTION and
its employees, maintain a healthy atmosphere in which a volunteer can
speak freely and have frank discussions of problems. A volunteer who
initiates a grievance shall not as a result of such an action be
subjected to restraint, interference, coercion, discrimination or
reprisal.
Sec. 1211.1-7 Entitlement to representation.
A volunteer may be accompanied, represented, and advised by a
representative of the volunteer's own choice at any stage of the
proceeding. The volunteer shall designate his or her representative in
writing. A person chosen by the volunteer must be willing to act as
representative and have no conflict between his or her position and the
subject matter of the grievance.
Sec. 1211.1-8 Time for preparation and presentation.
(a) Both a volunteer and a volunteer's representative, if another
volunteer or an employee of ACTION, must be given a reasonable amount of
administrative leave from their assignments to present a grievance or
appeal.
(b) ACTION will not pay travel expense or per diem travel allowances
for either a volunteer or his or her representative in connection with
the preparation of a grievance or appeal, except in connection with a
hearing and the examination of the grievant file as provided in
Sec. 1211.1-12(c).
Sec. 1211.1-9 Access to agency records.
(a) A volunteer is entitled to review any material in his or her
official volunteer folder and any relevant Agency documents to the
extent permitted by the Freedom of Information Act and the Privacy Act,
as amended, 5 U.S.C. 552, U.S.C. 552a. Examples of documents which may
be withheld from volunteers include references obtained
[[Page 78]]
under a pledge of confidentiality, official volunteer folders of other
volunteers, and privileged intra-agency documents.
(b) A volunteer may review relevant documents in the possession of a
sponsor to the extent such documents are disclosable under the Freedom
of Information Act and Privacy Act.
Sec. 1211.1-10 Informal grievance procedure.
(a) Initiation of grievance. A volunteer may initiate a grievance
within 15 calendar days after the event giving rise to the grievance
occurs, or within 15 calendar days after becoming aware of the event. A
grievance arising out of a continuing condition or practice that
individually affects the volunteer may be brought at any time. A
volunteer initiates a grievance by presenting it in writing to the chief
executive officer of the sponsor, or the representative designated to
receive grievances from volunteers. The designated representative may
not be the immediate supervisor of volunteers assigned to the sponsor.
The chief executive officer of the sponsor or the designated
representative shall respond in writing to the grievance within five (5)
working days after receipt. The chief executive officer or designee may
not refuse to respond to a complaint on the basis that it is not a
grievance as defined in Sec. 1211.1-3(b), or that it is excluded from
coverage under Sec. 1211.1-5, but may, in the written response, refuse
to grant the relief requested on either of these grounds.
If the grievance involves a matter over which the sponsor has no
control, or if the chief executive officer is the immediate supervisor
of the volunteer, the procedures described in this section may be
omitted, and the volunteer may present the grievance in writing directly
to the State Director or designee as described in paragraph (b) of this
section within the time limits specified in this paragraph (a).
(b) Consideration by ACTION State Director or designee. If the
matter is not resolved to the volunteer's satisfaction by the sponsor's
chief executive officer, the volunteer may submit the grievance in
writing to the ACTION State Director or designee within five (5) working
days after receipt of the decision of the sponsor's chief executive
officer. The State Director or designee may not refuse to receive a
complaint, even if he or she believes it does not constitute a
grievance, and shall respond to it in writing within five (5) working
days after receipt. The response may indicate that the matter is not
grievable. If the State Director or designee fails to meet the time
limit for response, the volunteer may initiate a formal grievance.
(c) Discussion. All parties to the informal grievance procedure must
be prepared to participate in full discussion of the grievance, and to
permit the participation of others who may have knowledge of the
circumstances of the grievance in the discussion. State Program Officers
and other ACTION employees may participate in discussions and provide
guidance with respect to ACTION policies and procedures, at the request
of any party, even prior to submission of a grievance to them.
(d) Sponsor grievance procedure. A sponsor may substitute its own
grievance procedure for the procedure described in paragraph (a) of this
section. Any such procedure must provide the volunteer with an
opportunity to present a grievance at least as comprehensive as that
contained in this section, must meet the time limits of this section,
and must be provided in writing to all volunteers. In order to utilize
its own grievance procedures, the sponsor must obtain approval of the
procedure from the ACTION State Director and file a copy of this
approved procedure with the State Office.
Sec. 1211.1-11 Initiation of formal grievance procedure.
(a) Submission of grievance to Regional Director. If a volunteer is
dissatisfied with the response of the State Director or designee
required by Sec. 1211.1-10(b), he or she may present the grievance in
writing to the Regional Director. To be eligible for the formal
grievance procedure, the volunteer must have completed action under the
informal procedure contained in Sec. 1211.1-10 or have alleged that the
State Director or designee exceeded the time specified for response.
[[Page 79]]
(b) Contents of grievance. The volunteer's grievance must be in
writing, contain sufficient detail to identify the subject matter of the
grievance, specify the relief requested, and be signed by the volunteer
or a person designated in writing by the volunteer to be the
representative for the purpose of the grievance.
(c) Time limit. The volunteer must submit the grievance to the
Regional Director or designee no later than 15 calendar days after
receipt of the informal response by the State Director or designee. If
no response is received by the volunteer 15 calendar days after the
grievance is received by the State Director or designee, the volunteer
may submit the grievance directly to the Regional Director or designee
for consideration.
(d) Within ten (10) working days of the receipt of the grievance,
the Regional Director or designee shall, in whole or in part, either
decide it on its merits or reject the grievance. A grievance may be
rejected, in whole or in part, for the following reasons:
(1) It was not filed within the time limit specified in paragraph
(c) of this section, or
(2) The grievance consists of matters not contained within the
definition of a grievance.
(e) Rejection of a grievance by the Regional Director or designee
may be appealed by the volunteer within ten (10) days of receipt of the
notice to the Office of General Counsel. The Office shall immediately
request the grievance file from the Regional Director and, within five
(5) working days of receipt of it, determine the appropriateness of the
rejection. If the grievance was properly rejected by the Regional
Director, the Office shall so notify the volunteer of its opinion and
the reasons supporting it, and that such rejection is the final Agency
decision in the matter. If the Office determines that the grievance was
improperly rejected, it shall return the grievance to the Regional
Director for a determination on its merits by the Regional Director.
Within ten (10) working days of such notification and receipt of the
grievance file, the Regional Director or designee shall notify the
volunteer in writing of the decision on the merits and specify the
grounds for the decision and of the volunteer's right to appeal.
(f) Time Limit. If a volunteer is dissatisfied with the decision of
the Regional Director or designee on the merits of the grievance, he or
she shall notify the Regional Director within five (5) calendar days
from receipt of the decision and request the appointment of an Examiner.
If the volunteer receives no response from the Regional Director or
Office of General Counsel as required by paragraphs (d) and (e) of this
section within five (5) calendar days after the prescribed time limits,
the volunteer may request in writing that the Regional Director appoint
a Grievance Examiner. Upon receipt of this request, the Regional
Director or designee shall appoint within five (5) calendar days an
Examiner who shall possess the qualifications specified in Appendix A to
this part.
Sec. 1211.1-12 Investigation by Grievance Examiner.
(a) Scope of investigation. The Examiner shall conduct an
investigation of a nature and scope appropriate to the issues involved
in the grievance.
Unless waived by the volunteer, a hearing must be held if the
Examiner finds that the grievance involves disputed questions of fact
that go to the heart of the agency determination. Only those facts found
necessary by the Examiner on which to base his or her findings go to the
heart of the Agency determination.
If the grievance does not involve such disputed questions of fact,
or if the volunteer waives a hearing, the Examiner need not hold a
hearing but must provide the parties an opportunity for presentation of
their respective positions. At the Examiner's discretion, the
investigation may include:
(1) The securing of documentary evidence,
(2) Personal interviews, including telephone interviews,
(3) Group meetings,
(4) Affidavits, written interrogatories or depositions.
(b) Conduct of Hearing. If a hearing is held, the conduct of the
hearing and production of witnesses shall conform with the following
requirements:
[[Page 80]]
(1) The hearing shall be held at a time and place determined by the
Examiner who shall consider the convenience of parties and witnesses and
expense to the Government in making his or her decision.
(2) Attendance at the hearing will be limited to persons determined
by the Examiner to have a direct connection with the grievance. If
requested by the volunteer, the Examiner must open the hearing to the
public.
(3) The hearing shall be conducted so as to bring out pertinent
facts, including the production of pertinent records.
(4) Formal rules of evidence shall not be applied strictly, but the
Examiner may exclude irrelevant or unduly repetitious testimony or
evidence.
(5) Decisions on the admissibility of evidence or testimony shall be
made by the Examiner.
(6) Testimony shall be under oath or affirmation, administered by
the Examiner.
(7) The Examiner shall give the parties an opportunity to present
oral and written testimony that is relevant and material, and to cross-
examine witnesses who testify.
(8) The Examiner may exclude any person from the hearing for conduct
that obstructs the hearing.
(c) Witnesses. (1) All parties are entitled to produce witnesses.
(2) Volunteers, employees of a sponsor, and employees of ACTION
shall be made available as witnesses when requested by the Examiner. The
Examiner may request witnesses on his or her initiative. Parties shall
furnish to the Examiner and to opposing parties a list of proposed
witnesses, and an explanation of what the testimony of each is expected
to show, at least ten (10) calendar days before the date of the hearing.
The Examiner may waive the time limit in appropriate circumstances.
(3) Employees of ACTION shall remain in a duty status during the
time they are made available as witnesses.
(4) Volunteers, employees and any other persons who serve as
witnesses shall be free from coercion, discrimination or reprisal for
presenting their testimony.
(5) The Examiner must authorize payment of travel expenses and per
diem at standard Government rates for the volunteer and the
representative to attend the hearing. Payment of travel expenses and per
diem at standard Government rates for other witnesses to attend the
hearing are authorized only after the Examiner determines that the
required testimony cannot be satisfactorily obtained by affidavit,
written interrogatories, or deposition, at a lesser cost.
(d) Recording of Hearing. A grievant may make a recording of the
hearing at his or her own expense if no verbatim transcript is made.
Such a recording is in no way to be treated as the official transcript
of the hearing.
(e) Report of Hearing. The Examiner shall normally prepare a written
summary of the hearing which shall include all documents and exhibits
submitted to and accepted by the Examiner during the course of the
grievance. An Examiner may require a verbatim transcript if he or she
determines that the grievance is so complex as to require such a
transcript. If the hearing is reported verbatim, the Examiner shall make
the transcript a part of the record of the proceedings. If the hearing
is not reported verbatim, a suitable summary of pertinent portions of
the testimony shall be made part of the record of proceedings. In such
cases, the summary together with exhibits shall constitute the report of
the hearing. The parties are entitled to submit written exceptions to
any part of the summary, and these written exceptions shall be made part
of the record of proceedings.
Sec. 1211.1-13 Grievance file and examiner's report.
(a) Preparation and content. The Examiner shall establish a
grievance file containing all documents related to the grievance,
including statements of witnesses, records or copies thereof, and the
report of the hearing when a hearing was held. The file shall also
contain the Examiner's report of findings and recommendations.
(b) Review by volunteer. On completion of the inquiry, the Examiner
shall make the grievance file available to the volunteer and the
representative, if any, for review and comment. Their coments, if any,
shall be submitted to
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the Examiner within five (5) calendar days after the file is made
available and shall be included in the file.
(c) Examiner's report. After the volunteer has been given an
opportunity to review the grievance file, the Examiner shall submit the
complete grievance file to the Director of VISTA.
Sec. 1211.1-14 Final determination by Director of VISTA.
The Director of VISTA or designee shall issue a written decision on
the appeal to the volunteer within ten (10) working days after receipt
of the appeal file. The decision shall include a statement of the basis
for the determination, and shall be the final Agency decision.
Sec. 1211.1-15 Disposition of grievance appeal files.
All grievance appeal files shall be retained by the Director of
VISTA after the grievance has been settled, or a final decision has been
made and implemented. No part of a grievance or appeal file may be made
part of, or included in, a volunteer's official folder.
Sec. 1211.1-16 Grievance procedure for National VISTA Grant Volunteers.
The grievance procedure for National VISTA Grant Volunteers shall be
the same as that provided in this part with the following substitutions
of officials:
(a) Informal grievance procedure:
(1) The initiation of an informal grievance for a National Grant
VISTA, see Sec. 1211.1-10, shall normally be to the sponsor of the local
component. If the grievance involves a matter solely within the control
of the ACTION State Office, the volunteer may present the grievance to
the State Director or designee in lieu of the local component sponsor.
(2) If the volunteer is not satisfied with the response of the
appropriate official (sponsor of local component, or State Director or
designee), the volunteer may submit the grievance to the chief executive
of the national grantee.
(b) Formal grievance procedure:
The Chief, VISTA Program Development Branch or designee shall
replace the Regional Director as the official in Sec. 1211.1-11.
Appendix A to Part 1211--Standards for Examiners
An examiner must meet the requirements specified in either paragraph
(1), (2), (3), or (4) of this appendix:
(1) Current or former federal employees now or formerly in grade GS-
12 or equivalent, or above who have:
(a) At least four (4) years of progressively responsible experience
in administrative, managerial, professional, investigative, or technical
work which has demonstrated the possession of:
(i) The personal attributes essential to the effective performance
of the duties of an Examiner, including integrity, discretion,
reliability, objectivity, impartiality, resourcefulness, and emotional
stability.
(ii) A high degree of ability to:
Identify and select appropriate sources of information; collect,
organize, analyze, and evaluate information; and arrive at sound
conclusions on the basis of that information;
Analyze situations; make an objective and logical determinationn of
the pertinent facts; evaluate the facts; and develop practicable
recommendations or decisions on the basis of facts;
Recognize the causes of complex problems and apply mature judgment
in assessing the practical implications of alternative solutions to
those problems;
Interpret and apply regulations and other complex written material;
Communicate effectively, orally and in writing, including the
ability to prepare clear and concise written reports; and
Deal effectively with individuals and groups, including the ability
to gain the cooperation and confidence of others.
(iii) A good working knowledge of:
The relationship between volunteer administration and overall
management concerns; and
The principles, systems, methods, and administrative machinery for
accomplishing the work of an organization.
(2) Designation as an arbitrator on a panel of arbitrators
maintained by either the Federal Mediation and Conciliation Service or
the American Arbitration Association.
(3) Current or former employment as, or current eligibility on the
Office of Personnel Management register for Examiners
GS-935-0.
(4) Membership in good standing in the National Academy of
Arbitrators.
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PART 1212--VOLUNTEER AGENCIES PROCEDURES FOR NATIONAL GRANT VOLUNTEERS [RESERVED]
PART 1213--ACTION COOPERATIVE VOLUNTEER PROGRAM--Table of Contents
Subpart A--General
Sec.
1213.1-1 Introduction.
Subpart B--Description of Volunteer Service
1213.2-1 Enrollment and duration of service.
1213.2-2 Provisional volunteers.
1213.2-3 Extension of service and reenrollment.
1213.2-4 Living conditions.
1213.2-5 Role of the volunteer.
Subpart C--ACTION Provided Volunteer Support
1213.3-1 Financial support.
1213.3-2 Transportation.
1213.3-3 Health support.
1213.3-4 Legal support.
1213.3-5 Insurance.
1213.3-6 Leave.
1213.3-7 Federal service.
1213.3-8 Lost property.
Subpart D--Sponsor Provided Volunteer Support
1213.4-1 Training.
1213.4-2 Supervision.
1213.4-3 Job-related transportation.
1213.4-4 Supplies and equipment and office facilities.
1213.4-5 Emergencies.
Subpart E--Administrative Hold--Grievances, Removal, Resignation,
Suspension, and Termination
1213.5-1 Administrative hold.
1213.5-2 Volunteer grievances.
1213.5-3 Resignation.
1213.5-4 Sponsor request for removal of volunteer.
1213.5-5 Suspension and termination.
Subpart F--Special Conditions Affecting Volunteer Service
1213.6-1 Sponsor's employment of volunteer.
1213.6-2 Nondisplacement of employees and impairment of contracts of
service.
1213.6-3 Nonappropriate assignments.
1213.6-4 Political activities and limitation of unlawful activities.
1213.6-5 Nondiscrimination.
1213.6-6 Religious activities.
1213.6-7 Evaluation.
1213.6-8 Limitation on labor and anti-labor activities.
1213.6-9 Loans and debts.
Subpart G--Miscellaneous
1213.7-1 Student loan deferrals.
1213.7-2 Death benefits.
1213.7-3 Firearms.
Authority: Secs. 121, 122, 402 (12) and (14) and 420 of Pub. L. 93-
113, 87 Stat. 395, 400, 401, 407 and 414.
Source: 40 FR 10670, Mar. 7, 1975, unless otherwise noted.
Subpart A--General
Sec. 1213.1-1 Introduction.
(a) Section 122(a), part C, of the Domestic Volunteer Service Act of
1973 (the Act), Pub. L. 93-113, 87 Stat. 401, authorizes the Director of
ACTION to conduct and to make contracts for special volunteer programs
to encourage wider volunteer participation on a full-time basis to
strengthen and supplement efforts to meet a broad range of human,
social, and environmental needs, particularly those related to poverty.
The ACTION Cooperative Volunteer Program (ACV) is one of these special
volunteer programs. It provides full-time volunteer service
opportunities for individuals in assignments with nonprofit and public
agency sponsors involving a broad range of human, social, and
environmental needs, particularly those related to poverty.
Organizations wishing to become sponsors enter into an agreement with
ACTION to share expenses associated with ACV volunteer assignments. The
sponsor's share consists of reimbursing ACTION for the direct costs of
volunteer support, i.e. allowances, stipend and other direct benefits.
(b) Section 122(b) requires that the assignment of ACV volunteers be
on such terms and conditions as the Director shall determine.
(c) Section 122(c) provides that the Director may provide to persons
serving as full-time volunteers in a program of at least one year's
duration such allowances and stipends as he determines are necessary.
The kinds and
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amount of such allowances and stipends may not exceed those authorized
to be provided to VISTA volunteers (part A, title I, Pub. L. 93-113).
Subpart B--Description of Volunteer Service
Sec. 1213.2-1 Enrollment and duration of service.
ACTION enrolls an individual in ACV during the preservice processing
it provides. Such enrollment is for a period comprising the time of such
processing, ACTION preservice orientation, and a one-year assignment to
a project.
Sec. 1213.2-2 Provisional volunteers.
Individuals are considered to be provisional volunteers during the
period of pre-service processing and ACTION preservice orientation. They
have all the rights and benefits and are subject to all the duties of
volunteers, except as expressly provided in these regulations or where
it would appear from the language of a section of the regulations to be
inappropriate.
Sec. 1213.2-3 Extension of service and reenrollment.
In certain situations, a volunteer may have his period of volunteer
service extended for not more than one year, at the request of a sponsor
and the concurrence of the appropriate ACTION Regional Director.
A volunteer may only be reenrolled for a period of at least one
year. A sponsor must request the reenrollment and it must be approved by
the appropriate ACTION Regional Director. No volunteer may serve for
more than a total of five years in full-time volunteer programs under
Title I of Pub. L. 93-113.
Such extensions and reenrollments may be for the same or different
projects and may include interregional and intraregional transfers.
Sec. 1213.2-4 Living conditions.
To the extent practicable volunteers are expected to make a personal
commitment to live among and at the economic level of the people served
by the project in which the volunteer works. The sponsor will insure
that this commitment is observed.
Sec. 1213.2-5 Role of the volunteer.
The volunteer's assignments are carried out under the auspices of
the sponsor. The volunteer assumes a ``live-in'' obligation carrying his
work into all facets of community life and social activity. He is
available for service without regard to regular working hours seven days
a week, except for periods of approved leave.
Subpart C--ACTION Provided Volunteer Support
Sec. 1213.3-1 Financial support.
(a) Food and lodging. Each ACV volunteer receives from ACTION a food
and lodging allowance approximately commensurate with the actual
standard of living of the residents of the community to which he is
assigned. The amount of this allowance is determined by the Regional
Office after consultation with the sponsor.
(b) Personal living allowance. ACTION also provides each volunteer a
personal living allowance of $75 per month. It is intended to cover
incidental expenses and local travel.
(c) Adjustment allowance. At the beginning of service, a volunteer
may receive from ACTION an adjustment allowance when necessary to cover
the initial cost of securing and setting up living quarters. Such an
allowance is usually provided only to volunteers who serve outside their
home area. It is not usually available to volunteers recruited locally
for an assignment in their home or nearby communities.
(d) Stipend. At the conclusion of the term of service, each
volunteer receives a stipend of $50 for each month of service on an ACV
project. Volunteers may be authorized to make bi-weekly allotments from
the stipend, not in excess of $12.50, in extraordinary circumstances.
These may include allotments for obligations incurred prior to service
for family support, insurance or loan payments and income taxes.
(e) Provisional volunteers. Provisional volunteers do not receive
any allowances nor do they accrue stipends. During the period they are
provisional volunteers their food and lodging is provided by ACTION and
they receive a
[[Page 84]]
nominal amount of money for living expenses.
(f) Emergencies. In case of emergencies, ACTION may provide the
volunteer with assistance and support to prevent injury or hardship to
him, including a $500 advance against allowances and stipends due the
volunteer or to be paid subsequently to him during his volunteer
service.
(g) No dependent support. ACTION assumes no financial responsibility
for a non-volunteer spouse, a volunteer's children or other dependents.
Sec. 1213.3-2 Transportation.
ACTION will be responsible for providing the volunteer with needed
transportation for the following purposes:
(a) To, and when appropriate, from volunteer/sponsor staging;
(b) To the pre-service processing site, whether it is the ACTION
Regional Office or any other designated facility;
(c) To the project site following completion of pre-service
processing, and at the beginning of the volunteer's terms of service;
(d) For the return trip from the projects site to the volunteer's
home of record following completion of service;
(e) Whenever necessary to enable the volunteer to travel outside the
geographic area to which he has been assigned when he does so at the
request of the Government;
(f) When approved in cases of emergency.
For the purpose of paragraph (d) of this section, the term ``home of
record'' shall be either:
(1) The legal residence of the volunteer's parent or legal guardian
if the volunteer had been residing with the parent or legal guardian
immediately prior to entering ACTION service, or if the volunteer was a
full-time student whose permanent residency was with the parent or legal
guardian.
(2) The residence established by the volunteer while attending
college immediately prior to entering ACTION.
(3) The residence established by the volunteer while employed
immediately prior to entering ACTION.
(4) The legal residence established by the volunteer for purposes of
voting and/or payment of state tax.
Each volunteer must specify a home of record at the time he is
enrolled. Subsequent modification of the home of record may be
authorized in certain circumstances at the discretion of the Regional
Director.
Sec. 1213.3-3 Health support.
ACTION provides ACV volunteers with a health benefits program at no
cost to the volunteers.
Coverage includes most medical and surgical costs, hospitalization,
prescription drugs, and emergency dental care. ACTION reserves the right
to alter the extent, or the method of providing health care for
volunteers. In nonemergency situations, the Regional Office must clear
hospitalization or other serious (in excess of $150) treatments.
Sec. 1213.3-4 Legal support.
ACTION will pay certain legal expenses where volunteers are involved
in criminal or civil judicial or administrative proceedings to the
extent provided in part 1220.
Sec. 1213.3-5 Insurance.
(a) ACV volunteers are covered by the Federal Employees Compensation
Act. This provides a broad-based workmen's compensation-type coverage
for volunteer job-related accidents and occupational sickness.
(b) ACV volunteers are also Federal employees for the purpose of the
Federal Tort Claims Act. Any third-party claims for injury or damage to
property arising out of the volunteer's job-related activities will be
treated as claims against the United States.
Sec. 1213.3-6 Leave.
(a) Vacation leave. Once on the job for four months, an ACV
volunteer earns one day of leave for each full month of service up to a
maximum of seven days, including one weekend. No leave is to be granted
during the last month of service, except for emergencies. During leave,
the volunteer's regular support allowances are continued. No leave may
be taken without the approval of the sponsor.
(b) Emergency leave. Should a member of a volunteer's immediate
family--spouse, mother, father, sister, brother,
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child or guardian--become critically ill or die, emergency leave may be
granted by the sponsor for a period of up to one week. Any additional
time requires the approval of the ACTION Regional Office. It does not
count against vacation leave. The volunteer will be paid for
transportation by the fastest scheduled carrier to and from the
emergency site and for actual travel expenses incurred, but not in
excess of those authorized in standard government travel regulations.
Sec. 1213.3-7 Federal service.
Section 415(c) of the Act provides that should an ACV volunteer
subsequently enter Federal service, his period of volunteer service
counts as a like period of Federal service for certain purposes,
including job security and retirement benefits.
Sec. 1213.3-8 Lost property.
(a) The Regional Director may at his discretion reimburse volunteers
or trainees for or replace lost, damaged, or stolen property; cash
representing certain allowances; and equipment and supplies if:
(1) Reimbursement is essential to the volunteer's capacity to serve
effectively in his particular assignment for the duration of his
service, and
(2) The loss, damage, or theft did not result from the volunteer's
negligence.
(b) Lost or stolen cash may be reimbursed only if it represents the
volunteer's food and lodging or living allowance or other payments
essential to the volunteer's service. Lost or stolen cash representing
payment of stipend or vacation allowances will not be reimbursed.
(c) No reimbursement will be made for luxury items, such as
photographic or phonographic equipment or jewelry.
Subpart D--Sponsor Provided Volunteer Support
Sec. 1213.4-1 Training.
(a) The sponsor is fully responsible for designing and implementing
a program of in-service training which will completely equip the
volunteer to perform the tasks to which he has been assigned.
(b) In-service training will be conducted by the sponsor in
accordance with plans agreed upon during the program development
process, and submitted to ACTION as part of the agreement. Those plans
must be tailored to the volunteer's needs for additional skills and
information in the performance of assigned tasks.
Sec. 1213.4-2 Supervision.
The sponsor has the sole responsibility for providing appropriate
supervision, leadership, and direction to the volunteers in conformance
with the plan prepared in cooperation with ACTION and submitted with the
project proposal. The plan is to be executed in such a manner that the
volunteers can attain project goals within the proposed time frame.
Sec. 1213.4-3 Job-related transportation.
The sponsor is responsible for determining the job-related
transportation needs of the volunteer. The volunteers are expected to
use public transportation in connection with their work whenever it is
available and adequate. When it is not, the sponsor shall provide
suitable private transportation, including obtaining and maintaining
motor vehicles for the job-related use of the volunteers as appropriate.
Whether the sponsor purchases vehicles or obtains them through a leasing
arrangement, he is responsible for monitoring the use of those vehicles
and restricting the use of transportation provided to volunteers to work
on the project. The volunteer and the sponsor are jointly responsible
for compliance with all state and local laws concerning vehicle
registration, operator licensing, and financial responsibility on any
private vehicles used by the volunteer, either as part of his work
assignment or for personal convenience.
Sec. 1213.4-4 Supplies and equipment and office facilities.
The sponsor is responsible for providing most job-related support
involving facilities, equipment, and consumable supplies needed by the
volunteer, including telephone and secretarial support.
[[Page 86]]
Sec. 1213.4-5 Emergencies.
In case of emergencies in which it is not possible for ACTION to
provide a volunteer with the necessary assistance and support in time to
prevent injury or hardship to him, the sponsor may furnish the needed
assistance, including an advance of up to $500 from its own funds to the
volunteer. Such advances, however, should be cleared in advance by
telephone with the ACTION Regional Director or designee.
Subpart E--Administrative Hold--Grievances, Removal, Resignation,
Suspension and Termination
Sec. 1213.5-1 Administrative hold.
(a) Volunteers will be placed in Administrative Hold Status under
the following circumstances:
(1) No placement after training.
(2) Pending transfer to a new project.
(3) Leave taken for personal reasons in excess of the seven days for
vacation leave, seven days for emergency leave, seven days for extension
beyond three months, and fourteen days for reenrollment.
(4) Absence from project site without authority of the sponsoring
organization.
(5) During termination action.
(6) Arrest and placement in jail without bail, depending on nature
of charges.
(7) Removal from site at request of sponsoring organization, pending
decision on transfer to new assignment.
(b) Exceptions to these guidelines must be authorized by the
Regional Director. Volunteers may be placed in Administrative Hold
status for up to 30 days. In exceptional circumstances, the Regional
Director may extend this period of time as appropriate. The Regional
Director may modify any and all allowances, including stipend, when a
volunteer is placed in Administrative Hold status.
Sec. 1213.5-2 Volunteer grievances.
(a) At times, a volunteer will consider that he has been adversely
affected in some matter arising out of his work situation or the terms
and conditions of his service. The Volunteer Grievance Procedure, part
1211, furnished to each volunteer, applies to certain of these matters.
This procedure is applicable to situations in which the volunteer
believes there has been a deviation from, misinterpretation or
misapplication of laws, regulations, policies or procedures governing
his service.
(b) The Grievance Procedure establishes a formal and informal
mechanism to resolve such problems. The informal mechanism aims to
resolve disputes at the level of the sponsor and the state program
officer. The formal part of the Grievance Procedure provides a hearing
in certain cases and includes appeals to ACTION's national office in
Washington.
(c) The procedure that the sponsor employs at the informal stage of
the ACTION Grievance Procedure will also be used for any disputes
between the sponsor and a volunteer not involving a law or regulation or
an ACTION policy and procedure.
Sec. 1213.5-3 Resignation.
A volunteer may resign at any time, by notifying the sponsoring
organization and the Regional Office. When practicable, thirty days
advance notice should be given to insure that the departure will be only
minimally disruptive to the project. In case of resignation, all
outstanding advances, including unearned vacation allowances, are
deducted from the volunteer's stipend. The volunteer receives his final
stipend check three to five weeks after regional submission of the
termination papers to ACTION/Washington.
Sec. 1213.5-4 Sponsor request for removal of volunteer.
The sponsoring organization may request ACTION to remove a volunteer
whose performance in its view is unsatisfactory at any time. Before
resorting to a formal request for removal the sponsor should contact the
appropriate ACTION state official to seek help in trying to resolve any
problem with a volunteer. The sponsor may then prepare a written request
for removal and submit it to the Regional Office. ACTION may, depending
on the circumstances, follow one of three courses of action: (a) Suspend
the volunteer, (b)
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terminate him, or (c) transfer him to another project.
Sec. 1213.5-5 Suspension and termination.
(a) Causes. ACTION may suspend or terminate a volunteer for any of
the following reasons:
(1) Conviction of any criminal offense under Federal, state, or
local statute or ordinance;
(2) Violation of any provision of the Domestic Volunteer Service Act
of 1973, or any ACTION policy, regulation or instruction;
(3) Failure, refusal or inability to perform prescribed project
duties as outlined in the project proposal and directed by the
sponsoring organization to which the volunteer is assigned;
(4) Involvement in activities which substantially interfere with the
volunteer's performance of his/her duties on the project;
(5) Intentional false statement, omission, fraud, or deception in
obtaining selection as a volunteer;
(6) Any conduct on the part of the volunteer which substantially
diminishes his/her effectiveness as a volunteer;
(7) Inability to perform the project duties because of serious
illness, medical disability, or pregnancy, as determined by the
attending physician, in accordance with ACTION policy;
(8) Lack of a viable job for which the volunteer is qualified if the
initial job assignment ends or is terminated prior to completion of a
period of service;
(9) Unsatisfactory job performance. Procedures for the suspension
and termination of volunteers are contained in part 1210.
(b) Suspension. Volunteers may be suspended for up to 30 days to
enable ACTION to determine whether termination proceedings should be
started against the volunteer. Suspension is not warranted if sufficient
evidence exists to start termination proceedings.
(c) Termination of or refusal to renew ACTION/sponsoring
organization agreement. If the Memorandum of Agreement between ACTION
and a sponsoring organization is terminated or not renewed, a volunteer
who is removed from the project and whose removal was not caused by
conduct which would otherwise be grounds for termination is entitled to
the following administrative considerations:
(1) Reassignment to another project where possible.
(2) If reassignment is not possible at the time of project close-
out, and if the volunteer wishes to resume service (provided that his/
her job performance has been satisfactory), he/she may, at the
discretion of the Regional Director, receive special consideration for
reinstatement as soon as an appropriate slot is open.
If a volunteer wishes, he/she may terminate without prejudice in the
event that a Memorandum of Agreement between ACTION and the sponsor is
terminated.
(d) Deselection of a provisional volunteer. The Regional Director
may deselect a provisional volunteer on the grounds listed in paragraph
(a) of this section or for a failure to meet training or selection
standards during pre-service orientation. Procedures for such
deselection are contained in part 1210.
[40 FR 10670, Mar. 7, 1975; 46 FR 6951, Jan. 22, 1981]
Subpart F--Special Conditions Affecting Volunteer Service
Sec. 1213.6-1 Sponsor's employment of volunteer.
ACV volunteers make a commitment to one full year of ACTION service.
Similarly, ACTION asks that the sponsor on his part must honor the
spirit of that commitment and refrain from offering fully paid
employment to volunteers during their first year of service. Volunteers
may not perform services or duties or engage in activities for which the
sponsor receives or requests any compensation. Volunteers may not
receive any other compensation, directly or indirectly, from a sponsor
while serving as a volunteer.
Sec. 1213.6-2 Nondisplacement of employees and impairment of contracts of service.
An ACV volunteer's assignment is limited to activities that would
not otherwise be performed by employed workers and which will not
supplant the hiring of or result in the displacement of employed
workers, or impair
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existing contracts for service. (part 1216 implements this provision.)
Sec. 1213.6-3 Nonappropriate assignments.
(a) An assignment is not appropriate for a volunteer if:
(1) The service, duty, or activity is principally administrative or
clerical, or
(2) The volunteer is not directly in contact with groups or
individuals who are to be served by the project or is not performing
services, duties, or engaged in activities which are authorized under
section 122(a) of the Act.
Sec. 1213.6-4 Political activities and limitation of unlawful activities.
(a) ACV volunteers are covered by the Hatch Act to the same extent
as Federal employees. This Act prohibits volunteers from engaging in
partisan political activities of any sort at any and all times during
their terms of service, including periods of official leave.
(b) Section 403 of Pub. L. 93-113 requires that a sponsor's project
be operated in such a manner as to avoid involvement of ACV volunteers
in any partisan or nonpartisan political activity in an election for
public or party office, voter transportation during elections, and voter
registration drives.
(c) While engaged in carrying out their duties volunteers may, as a
part of the project, participate in lawful and nonpolitical
demonstrations and protest activities which are approved by the sponsor
as a part of its project activity and which are not in violation of any
ACTION policies.
Sec. 1213.6-5 Nondiscrimination.
Part 1203 provides regulations concerning nondiscrimination in
ACTION programs and activities.
(a) No person with responsibilities in the operation of an ACV
project shall discriminate with respect to such program because of race,
creed, belief, color, national origin, sex, age, or political
affiliation.
Sec. 1213.6-6 Religious activities.
Volunteers will not give religious instruction, conduct worship
services, or engage in any other religious activity as part of their
duties. Volunteers who serve in an institution that gives religious
instruction or engages in other religious activities will not be used as
replacements for regular personnel of the institution. For example,
volunteers assigned to serve in a program conducted under the auspices
of a church-related school may not be used as substitutes for regular
teachers in the school. They may, however, work in new programs which
are carried on in addition to the school's regular programs and which
are conducted in conformance with the above restrictions.
Sec. 1213.6-7 Evaluation.
(a) On a quarterly basis and two months prior to the termination of
a volunteer's year of service, and at any other time which circumstances
may dictate, ACTION may inspect that portion of a project with which the
volunteer is involved. The purpose of the inspection will be to
independently observe and judge the extent to which the volunteer's work
has contributed to the objectives of the program described in the
project proposal.
(b) The sponsor is expected to cooperate fully with ACTION
representatives, and ACTION will in turn review results of the
evaluation with the sponsor.
Sec. 1213.6-8 Limitation on labor and anti-labor activities.
Volunteers may not engage in any activities, services, or duties
which assist any labor or anti-labor organizing activity, or related
activity.
Sec. 1213.6-9 Loans and debts.
(a) ACVs have the same legal and financial responsibilities as do
all other persons. Volunteers are encouraged to pay all legal debts
promptly to avoid creating a situation which would impair the
volunteer's ability to function. In cases of continued financial
irresponsibility by a volunteer to the extent of embarrassment or
adverse reflection upon the sponsor organization's project or ACTION,
administrative or disciplinary action may be taken by the Regional
Office, up to and including termination, where appropriate.
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(b) Volunteers are not authorized to obtain extension of credit by
representing themselves as a Federal Government employee.
Subpart G--Miscellaneous
Sec. 1213.7-1 Student loan deferrals.
(a) The Higher Education Act of 1965, as amended, exempts full-time
domestic volunteers from repayment of National Defense Education Act
loans for a period of service not to exceed three years. Volunteers
wishing to defer repayment of NDEA loans must obtain the necessary forms
from their universities. Regional Offices are authorized to certify
these forms, but if the university or volunteer should submit the form
to Headquarters for certification, it will be sent to the appropriate
Regional Office for completion.
(b) If the volunteer is still in service at the time of ACTION's
certification, his anticipated termination date will be furnished to the
lender.
(c) Repayment of other college loans may also be deferred. These
repayments, however, are deferred at the discretion of the lender. If
the lender is willing to defer payment, volunteers must obtain the
necessary forms from the lender and forward them to the Regional Office
for certification. If forms are not available from the lender, a letter
to the university or lender may be prepared certifying the dates of the
volunteer's service.
Sec. 1213.7-2 Death benefits.
In case of the death of a volunteer away from his home of record,
certain costs associated with transportation of the body are
reimbursable either under the Federal Employees Compensation Act or
ACTION policy. Volunteers whose death results from personal injury or
illness sustained in the performance of his project duties are eligible
for reimbursement of certain funeral expenses. Monthly benefits for
eligible dependents of deceased volunteers may be available under the
Federal Employees Compensation Act. In certain other unusual
circumstances, payment of certain funeral expenses for volunteers not
meeting the above requirements may be authorized.
Sec. 1213.7-3 Firearms.
ACTION volunteers may not normally possess, use, or carry firearms.
If a volunteer wishes to keep firearms for hunting, approval must be
obtained from the sponsor, State Program Director and the ACTION
Regional Director in the region where the volunteer is assigned. The
volunteer must request approval for possession or use of firearms from
his sponsor and his State Program Director. If he receives their
approval, his request may then be considered by his ACTION Regional
Director. If approval is granted by the ACTION Regional Director, the
volunteer must adhere to all state and local regulations relating to the
possession and use of firearms.
PART 1214--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY ACTION--Table of Contents
Sec.
1214.101 Purpose.
1214.102 Application.
1214.103 Definitions.
1214.104--1214.109 [Reserved]
1214.110 Self-evaluation.
1214.111 Notice.
1214.112--1214.129 [Reserved]
1214.130 General prohibitions against discrimination.
1214.131--1214.139 [Reserved]
1214.140 Employment.
1214.141--1214.148 [Reserved]
1214.149 Program accessibility: Discrimination prohibited.
1214.150 Program accessibility: Existing facilities.
1214.151 Program accessibility: New construction and alterations.
1214.152--1214.159 [Reserved]
1214.160 Communications.
1214.161--1214.169 [Reserved]
1214.170 Compliance procedures.
Authority: 29 U.S.C. 794; 42 U.S.C. 5057.
Source: 55 FR 47761, Nov. 15, 1990, unless otherwise noted.