§ 1600.735-402 Time and place for submission of employee statement. Statement of Employment and Financial Interests shall be submitted by employees covered by § 1600.735-401 within 60 days after issuance of this part for employees on the rolls at that time and for new employees within 30 days of their entrance on duty. Special Government employees will complete duplicate copies of the forms in appendix A at the time of entrance on duty. All other employees required to file Statements of Employment and Financial Interests will complete duplicate copies of the form in appendix B. The completed original of these forms will be sent to the Director of Personnel in a sealed envelope marked on the outside "Confidential Statement Enclosed." The duplicate copy will be retained by the employee. The Personnel Division shall retain files of the Statements of Employment and Financial Interests. § 1600.735-403 Review of statement of employment and financial interests. The Director of Personnel shall review these statements for the purpose of disclosing any conflict of interest or apparent conflict of interest. If such conflict between the interests of an employee or special Government employee and the performance of his services for the Government are found, they shall be brought to the attention of the employee or special Government employee and he shall be granted the opportunity to explain the conflict and attempt to resolve it. If the indicated conflict cannot be resolved, the Director of Personnel should submit a written report with the recommendation for appropriate remedial action to the Chairman through the General Counsel. Changes in, or additions to, the information contained in an employee's Statement of Employment and Financial Interests shall be reported in a supplementary statement as of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts of interest provisions of 18 U.S.C. 208 or this part. 730 This subpart does not require an employee to submit on a statement of employment and financial interests or supplementary statement any information relating to the employee's connection with, or interest in a professional society or a charitable, religious, social, fraternal, recreational public service, civil, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement of employment and financial interests. § 1600.735-408 Confidentiality of em ployees' statements. The agency shall hold each Statement of Employment and Financial Interests, and each supplementary statement, in confidence. The Director of Personnel or other employee authorized to review or retain a statement are responsible for maintaining them in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to carry out the purpose of this part. The agency may not disclose information from a statement except as the Civil Service Commission or the Chairman, EEOC, may determine for good cause shown. § 1600.735-409 Effect of employees' statements on other requirements. The Statements of Employment and Financial Interests and supplementary statements are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation. PROCEDURE TO RECTIFY UNLAWFUL EMPLOYMENT PRACTICES 1601.22 1601.23 Refusal of respondent to cooperate. 1601.24 Confidentiality of endeavors. PROCEDURE AFTER FAILURE OF CONCILIATION 1601.25 Notice to respondent, person filling a charge on behalf of the aggrieved person and aggrieved person. 1601.25a Preliminary or temporary relief. 1601.25b Processing of cases, when notice issues under § 1601.25. 1601.25c Issuance of notice in cases involving Commissioner charges. Conciliation; settlements. 1601.26 Referral to the Attorney General. 1601.27 as Rules to be liberally construed. 1601.2 1601.3 Terms defined in Title VII of the Civil Rights Act of 1964, amended. Title VII, as amended: Commission. 1601.3a Vice Chairman's functions. 1601.33 Action on Petition. AUTHORITY: The provisions of this Part 1601 are issued under sec. 713, 78 Stat. 265; 42 U.S.C. 2000e-12. SOURCE: The provisions of this Part 1601 appear at 30 F.R. 8407, July 1, 1965, unless otherwise noted. § 1601.1 Purpose. The regulations set forth in this Part 1601 contain the procedures established by the Equal Employment Opportunity Commission for carrying out its responsibilities in the administration and enforcement of Title VII of the Civil Rights Act of 1964. Based upon its experience in the administration of the Act and upon its evaluation of suggestions and petitions for amendments submitted by interested persons in accordance with § 1601.32, the Commission may from time to time amend and revise these procedures. § 1601.2 Terms defined in title VII of the Civil Rights Act of 1964, as amended. The terms "person," "employer," "employment agency," "labor organization," "employee," "commerce," "industry affecting commerce," "State," and "religion," as used herein shall have the meanings set forth in section 701 of title VII of the Civil Rights Act of 1964, as amended. [37 FR 9215, May 6, 1972] § 1601.3 Title VII, as amended: Com 732 der him assistance in the filing of a charge. In the alternative, a member of the Commission may file a charge based upon the information, in accordance with § 1601.10. § 1601.6 Charges by or on behalf of aggrieved persons. A charge that any person has engaged in or is engaging in an unlawful employment practice within the meaning of title VII, as amended, may be made by or on behalf of any person claiming to be aggrieved. A charge on behalf of a person claiming to be aggrieved may be made by any person, agency, or organization. Such charge need not identify by name the person on whose behalf it is made. The person making the charge, however, must provide the Commission with the name and address of the person on whose behalf the charge is made. During the Commission investigation, Commission personnel shall verify the authorization of such charge by the person on whose behalf such charge is made. The Commission shall keep such information confidential and in making deferrals to State and local authorities pursuant to §§ 1601.10 and 1601.12 not disclose such information to the State or local authorities except on condition that the identity of the person on whose behalf the charge is made be kept confidential. If this condition is violated by a recipient agency, the Commission may decline to honor subsequent requests for such information. A person filing a charge on behalf of an aggrieved person shall be considered a party to the Commission's proceeding with respect to receiving notice at each stage at which notice is sent to parties. [37 FR 9215, May 6, 1972] § 1601.7 Where to make a charge. A charge may be made at the offices of the Commission in Washington, D.C., or any of its field offices or with any designated representative of the Commission. [37 FR 9215, May 6, 1972] Such charge shall be in writing and signed, and shall be sworn to before a notary public, designated representative of the Commission, or other person duly authorized by law to administer oaths, and take acknowledgments. Charge forms are available to all persons from all offices of the Commission. Appropriate assistance in filling out forms will be rendered to aggrieved persons or persons filing charges on their behalf by personnel of the Commission. {37 FR 9215, May 6, 1972] § 1601.9 Withdrawal of a charge by an aggrieved person. A charge filed by or on behalf of an aggrieved person may be withdrawn only by the aggrieved person with the consent of the Commission. [37 FR 9215, May 6, 1972] § 1601.10 Charges by members of the Commission. Any member of the Commission may file a charge in writing with the Commission. If section 706(d) of title VII should be applicable, the Commission, before taking any action with respect to the charge, shall notify the appropriate State or local 706 Agency, as defined in § 1601.12 (c), ard offer to refer the charge to it, except for certain section 704 (a) charges as provided in § 1601.12(f). The Commission will allow the State or local authority a 10-day period to request an opportunity to act under its law except when EEOC notifies the appropriate authority in writing of a different time period. [37 FR 9215, May 6, 1972] § 1601.11 Contents; amendment. (a) Each charge should contain the following: (1) The full name and address of the person making the charge. (2) The full name and address of the person against whom the charge is made (hereinafter referred to as the respondent). (3) A clear and concise statement of the facts, including pertinent dates, constituting the alleged unlawful employment practice. (4) If known, the approximate number of employees of the respondent employer or the approximate number of members of the respondent labor organization, as the case may be. (5) A statement disclosing whether proceedings involving the alleged unlawful employment practice have been commenced before a State or local authority charged with the enforcement of fair employment practice laws, and, if so, the date of such commencement and the name of the authority. (b) Notwithstanding the provisions of paragraph (a) of this section, a charge is deemed filed when the Commission receives from the person making a charge a written statement sufficiently precise to identify the parties and to describe generally the action or practices complained of. A charge may be amended to cure technical defects or omissions, including failure to swear to the charge, or to clarify and amplify allegations made therein, and such amendments alleging additional acts which constitute unlawful employment practices directly related to or growing out of the subject matter of the original charge will relate back to the original filing date. [31 FR 10269, July 29, 1966, as amended at 37 FR 9215, May 6, 1972] § 1601.12 733 Deferrals to State and local authorities. (a) In order to give full weight to the policy of section 706 (c) of the Act, which affords State and local fair employment practice agencies that fall within the provisions of that section an opportunity to remedy alleged discrimination concurrently regulated by title VII of the Civil Rights Act of 1964 and State or local law, the Equal Employment Opportunity Commission adopts the following procedures with respect to allegations of discrimination filed with the Commission where there is no evidence that such allegations were earlier presented to an appropriate 706 Agency. It is the intent of the Commission to thereby encourage the maximum degree of effectiveness in the State and local agencies. The Commission shall endeavor to maintain close communication with the State and local agencies with respect to all matters forwarded to such agencies and shall provide such assistance to the State and local agency as is permitted by law and is practicable. It is the experience of the Commission that because of the complexities of the present procedures, persons who seek the aid of the Commission are often confused and even risk loss of the protection of the Act. Accordingly, it is the intent of the Commission to simplify filing procedures for parties in deferral States and localities and thereby avoid the accidental forfeiture of important Federal rights. (b) The following procedures shall be followed with respect to cases arising in the jurisdiction of "706 Agencies" to which the Commission defers as further defined in paragraph (c) of this section: (1) Any document, whether or not verified, received by the Equal Employment Opportunity Commission as provided in § 1601.7, which may constitute a charge cognizable under title VII, shall be deferred to the appropriate 706 Agency, as further defined in paragraph (c) of this section, pursuant to the procedures set forth below. (i) All such documents shall be dated and time stamped on receipt. (ii) A copy of the original document shall be transmitted by registered mail, return receipt requested, to the appropriate State or local agency, or, where the State or local agency has consented thereto, by certified mail, by regular mail or by hand delivery. (iii) The aggrieved party and any person filing a charge on behalf of an aggrieved party shall be notified, in writing, that the document which he sent to the Commission has been forwarded tc the State or local agency pursuant to the provisions of section 706(c), and that unless the Commission is notified to the contrary, on the termination of State or local proceedings, or after 60 days have passed, whichever comes first, the Commission will consider the charge to be filed with the Commission and commence processing the case. Where the State or local agency terminates its proceedings within 60 days without notification to the Commission of such action, the Commission will consider the charge to be filed with it on the date the person making the charge was notified of the termination. (iv) The 60-day period shall be deemed to have commenced at the time such document is mailed or delivered to the State or local authority. On notification of the termination of State proceedings or the expiration of 60 days, whichever comes first, the Commission will consider the charge to be filed with the Commission and will commence processing the case. (v) In cases where the document is filed with the Commission more than 240 days following the alleged act of discrimination but less than 300 days therefrom, the case shall be deferred pursuant to procedures set forth above: Provided, however, That unless the Commission is earlier notified of the termination of the State or local proceeding, the Commission will consider the charge to be filed with the Commission on the 299th day following the alleged discrimination and will commence processing the case. Where the State or local agency terminates its proceeding prior to the 299th day following the alleged act of discrimination, without notification to the Commission of such action, the Commission will consider the charge to be filed with it on the date the person making the charge was notified of the termination. (vi) In any case where the State or local agency has not formally notified the Commission as to the termination of the State or local proceeding, the Commission shall serve the notice required by § 1601.13 within 10 days from the date it is made aware of the termination of such proceedings. (c) 706 Agency defined: For the purposes of this section and § 1601.10, the term "706 Agency" shall include only those agencies which have applied for formal designation by the Commission in accord with the procedures set forth in paragraph (e) of this section; have been formally designated by the Commission in accord with the procedures set forth in paragraph (g) of this section; and have not had their formal designation withdrawn by the Commission in accord with the procedures set forth in paragraph (h) of this section. (1) Provided, That effective immediately and until July 1, 1973, the Commission will consider the agencies designated by public notice as described in paragraph (d) as Provisional 706 Agencies and procedures for deferral of cases in paragraph (b) of this section and § 1601.10 will be followed with respect to them until that date. (2) Provided, further, That no agency on such provisional list will be considered a 706 Agency for the purposes of according weight to its findings pursuant to § 1601.19d until it has complied with the procedures for application for formal designation and has received such formal designation by the Commission and has been listed in these regulations by formal amendment to paragraph (k) of this section. (d) Provisional 706 Agencies and Provisional Notice Agencies: (1) Provisional 706 agencies.-Until July 1, 1974, the Commission will defer charges alleging employment discrimination on the grounds of race, color, re734 |