10 CFR Part 1040 — Nondiscrimination in Federally Assisted Programs or Activities

PART 1040—NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS OR ACTIVITIES Authority: 20 U.S.C. 1681-1686; 29 U.S.C. 794; 42 U.S.C. 2000d to 2000d-7, 3601-3631, 5891, 6101-6107, 7101 et seq. Source: 45 FR 40515, June 13, 1980, unless otherwise noted. Subpart A—General Provisions § 1040.1 Purpose. Link to an amendment published at 90 FR 20782, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) The purpose of this part is to implement Title VI of the Civil Rights Act of 1964, Pub. L. 88-352; section 16 of the Federal Energy Administration Act of 1974, as amended, Pub. L. 93-275; section 401 of the Energy Reorganization Act of 1974, Pub. L. 93-438; Title IX of the Education Amendments of 1972, as amended, Pub. L. 92-318, Pub. L. 93-568 and Pub. L. 94-482; section 504 of the Rehabilitation Act of 1973, as amended, Pub. L. 93-112; the Age Discrimination Act of 1975, Pub. L. 94-135; Title VIII of the Civil Rights Act of 1968, Pub. L. 90-284; and civil rights provisions of statutes administered pursuant to authority under the DOE Organization Act, Pub. L. 95-91, so no person shall, on the ground of race, color, national origin, sex (when covered by section 16 and section 401), handicap, or age, be excluded from participation in, be denied the benefits of, be subjected to discrimination under, or be denied employment, where a primary purpose of the Federal financial assistance is to provide employment or when the delivery of services is affected by the recipient's employment practices (under section 504, all grantee and subgrantee employment practices are covered regardless of the purpose of the program), in connection with any program or activity receiving Federal financial assistance from the Department of Energy (after this referred to as DOE or the Department). Employment coverage may be broader in scope when section 16, section 401, or Title IX are applicable. (b) DOE regulations on enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by DOE are in part 1041 of this chapter. (c) DOE regulations on enforcement of nondiscrimination on the basis of sex, under Title IX of the Education Act Amendments of 1972, as amended, are in part 1042 of this chapter. [45 FR 40515, June 13, 1980, as amended at 66 FR 4630, Jan. 18, 2001; 68 FR 51346, Aug. 26, 2003] § 1040.2 Application. (a) The application of this part is to any program or activity for which Federal financial assistance is authorized under laws administered by DOE. Types of Federal financial assistance to which this part applies are listed in Appendix A of this part. appendix A is to be revised from time to time by notice published in the Federal Register. (b) This part does not apply to: (1) Contracts of insurance or guaranty; (2) Employment practices under any program or activity except as provided in §§ 1040.12, 1040.14, 1040.41, 1040.47 and 1040.66; or (3) Procurement contracts under title 41 CFR part 1 or part 9. [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.3 Definitions—General. (a) Academic institution (b) Administrative law judge (c) Agency Federal agency (d) Applicant for assistance (e) Assistant Attorney General (f) Director, FAPD (g) Compliance Review (h) Department (i) FERC (j) Where designation of persons by race, color, or national origin is required, the following designations are to be used: (1) Black, (2) Hispanic. (3) Asian or Pacific Islander. (4) American Indian or Alaskan Native. (5) White, not of Hispanic origin. Additional subcategories based on national origin or primary language spoken may be used where appropriate on either a national or a regional basis. Paragraphs (j) (1) through (5), inclusive, set forth in this section are in conformity with Directive No. 15 of the Office of Federal Statistical Policy and Standards. To the extent that these designations are modified, paragraphs (j) (1) through (5), inclusive, set forth in this section are to be interpreted to conform with those modifications. (k) Director (l) Disposition (m) Employment practices, (n) Facility (o) Federal financial assistance (1) Grants and loans of Federal funds, (2) The grant or donation of Federal property and interest in property, (3) The detail of or provision of services by 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 such property, the furnishing of services 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, lease, or furnishing of services to the recipient, and (5) Any Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance. (p) General Counsel (q) Government organization (r) Investigations (s) Noncompliance (t) Primary recipient (u) Program or activity program (1)(i) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or (ii) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government; (2)(i) A college, university, or other postsecondary institution, or a public system of higher education; or (ii) A local educational agency (as defined in 20 U.S.C. 7801), system of vocational education, or other school system; (3)(i) An entire corporation, partnership, or other private organization, or an entire sole proprietorship— (A) If assistance is extended to such corporation, partnership, private organization, or sole proprietorship as a whole; or (B) Which is principally engaged in the business of providing education, health care, housing, social services, or parks and recreation; or (ii) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any other corporation, partnership, private organization, or sole proprietorship; or (4) Any other entity which is established by two or more of the entities described in paragraph (u)(1), (2), or (3) of this section. (v) Responsible Departmental or DOE Official (w) Reviewing authority (x) Secretary (y) The term United States State (z) Headquarters [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.4 Assurances required and preaward review. (a) Assurances. (b) Duration of obligation. (2) In the case of Federal financial assistance extended to provide personal property, the assurance obligates the recipient for the period during which it retains ownership or possession of the property. (3) In all other cases, the assurance obligates the recipient to all terms and conditions contained in the certificate of assurance for the period during which Federal financial assistance is extended. (c) Covenants. (1) The instrument effecting or recording this transfer is to contain a covenant running with the land to assure nondiscrimination for the period during which the real 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 (2) Where no transfer of property is involved or imposed with Federal financial assistance, the recipient shall agree to include the covenant described in paragraph (c)(1) of this section in the instrument effecting or recording any subsequent transfer of the property. (3) Where Federal financial assistance is provided in the form of real property or interest in the property from the Department, the covenant is to also include a condition coupled with a right to be reserved by the Department to revert title to the property in the event of a material breach of the covenant. If a transferee of real property manages to mortgage or otherwise encumber the real property as security for financing construction of new or improvement of existing facilities on the property for the purpose for which the property was transferred, the Director may, upon request of the transferee and, if necessary to accomplish such financing and upon such conditions, as he or she deems appropriate, agree to forbear the exercise of the right to revert title for so long as the lien of the mortgage or other encumbrance remains effective. (d) Assurances from government agencies. (e) Assurance from academic and other institutions. (2) The assurance required with respect to an academic institution, detention or correctional facility, or any other institution or facility, insofar as the assurance relates 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 such individuals, shall be applicable to the entire institution or facility. (f) Continuing Federal financial assistance. (1) Provide a statement that the program or activity is (or, in the case of a new program or activity, will be) conducted in compliance with applicable subparts; and (2) Provide for such methods of administration as are found by the Director or a designee to give reasonable assurance that the primary recipient and all other recipients of Federal financial assistance under such program will comply with this part. (g) Assistance for construction. (h) Pre-award review. [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.5 Designation of responsible employee. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) Designation of responsible employee. (b) A recipient shall display prominently, in reasonable numbers and places, posters which state that the recipient operates a program or activity subject to the nondiscrimination provisions of applicable subparts, summarize those requirements, note availability of information regarding this part from the recipient and DOE, and explain briefly the procedures for filing a complaint. Information on requirements of this part, complaint procedures and the rights of beneficiaries are to be included in handbooks, manuals, pamphlets, and other materials which are ordinarily distributed to the public to describe the federally assisted programs or activities and the requirements for participation by recipients and beneficiaries. To the extent that recipients are required by law or regulation to publish or broadcast information in the news media, the recipient shall insure that such publications and broadcasts state that the program or activity in question is an equal opportunity program or activity or otherwise indicate that discrimination in the program is prohibited by Federal law. (c) Where a significant number or proportion of the population eligible to be served or likely to be directly affected by a federally assisted program or activity requires service or information in a language other than English in order to be informed of or to participate in the program, the recipient shall take reasonable steps, considering the scope of the program and size and concentration of such population, to provide information in appropriate languages (including braille) to such persons. This requirement applies to written material of the type which is ordinarily distributed to the public. The Department may require a recipient to take additional steps to carry out the intent of this subsection. [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.6 Notice. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) A recipient shall take appropriate, initial and continuing steps to notify participants, beneficiaries, applicants and employees, including those with impaired vision or hearing, and unions or professional organizations holding collective bargaining or professional agreements with the recipient that it does not discriminate on the basis of race, color, national origin, sex (where sec. 16 or sec. 401 apply), handicap, or age. The notification is to state, where appropriate, that the recipient does not discriminate in admission or access to, and treatment of, or employment in its programs or activities and inform employees of their rights under this part. The notification is to include an identification of the responsible employee designated under § 1040.5. A recipient shall make the initial notification required by this paragraph within 90 days of the effective date of this part. Methods of initial and continuing notification may include the posting of notices, publication in newspapers and magazines, placement of notices in recipients' publications, and distribution of memoranda or other written communications. (b) If a recipient publishes or uses recruitment materials or publications containing general information that it makes available to participants, beneficiaries, applicants, or employees, it shall include in those materials or publications a statement of the policy described in paragraph (a) of this section. A recipient may meet the requirement of this paragraph either by including appropriate inserts in existing materials and publications or by revising and reprinting the materials and publications. (c) The provisions of § 1040.5(c) to provide information in appropriate languages (including braille), apply to this section. [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.7 Remedial and affirmative action and self-evaluation. (a) Remedial action. (b) Affirmative action. (c) Self-evaluation. (1) Whenever possible, evaluate, with the assistance of interested persons, including handicapped persons or organizations representing handicapped persons, its current policies and practices and the effects thereof that do not or may not meet the requirements of this part; (2) Modify any policies and practices which do not or may not meet the requirements of this part; and (3) Take appropriate remedial steps to eliminate the effects of discrimination which resulted or may have resulted from adherence to these questionable policies and practices. (d) Availability of self-evaluation and related materials. Recipient shall maintain on file, for at least three years following its completion, the evaluation required under paragraph (c) of this section, and shall provide to the Director, upon request, a description of any modifications made under paragraph (c)(2) of this section and of any remedial steps taken under paragraph (c)(3) of this section. [45 FR 40515, June 13, 1980, as amended at 68 FR 51346, Aug. 26, 2003] § 1040.8 Effect of employment opportunity. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was delayed until Mar. 9, 2026 at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. Due to limited opportunities in the past, certain protected groups may be underrepresented in some occupations or professions. A recipient's obligation to comply with this part is not alleviated by use of statistical information which reflects limited opportunities in those occupations or professions. Subpart B—Title VI of the Civil Rights Act of 1964; Section 16 of the Federal Energy Administration Act of 1974, as Amended; and Section 401 of the Energy Reorganization Act of 1974 § 1040.11 Purpose and application. (a) The purpose of this subpart is to implement title VI of the Civil Rights Act of 1964 (title VI) and the pertinent regulations of DOE so that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity receiving Federal financial assistance of the type subject to title VI. This subpart also implements section 16 of the Federal Energy Administration Act of 1974, as amended (section 16) and section 401 of the Energy Reorganization of 1974 (section 401) so that no person shall be excluded on the ground of sex from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance subject to section 16 or 401. The coverage of employment practices is explained in § 1040.14. (b) The application of this subpart is to delivery of services by and the covered employment practices of recipients and subrecipients administering or participating in any program or activity receiving Federal financial assistance under laws administered by DOE covered by title VI. In addition to services and employment practices, this subpart applies to any activities of recipients or subrecipients receiving Federal financial assistance subject to section 16 and section 401. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.12 Definitions. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) Covered employment (1) Under title VI, such practices are those which: (i) Exist in a program where a primary objective of the Federal financial assistance is to provide employment; or (ii) Cause discrimination on the basis of race, color, or national origin with respect to beneficiaries or potential beneficiaries of the assisted program. (2) Under section 16 and section 401, such practices include, but are not limited to, employment practices covered by title VI when alleging discrimination on the basis of sex. All employment practices of a recipient or subrecipient of Federal financial assistance subject to section 16 and section 401 are covered employment practices. (b) Title VI et seq. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.13 Discrimination prohibited. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) General. (b) Specific discriminatory action prohibited. (1) Deny any individual any disposition, service, financial aid, or benefit provided under the program; (2) Provide any disposition, service, financial aid, or benefit to an individual which is different, or is provided in a different manner, from that provided to others under the program; (3) Subject an individual to segregation or separate treatment in any matter related to his/her receipt of any disposition, service, financial aid, or benefit under the program; (4) Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any disposition, service, financial aid, or benefit under the program; (5) Treat an individual differently from others in determining whether such individual satisfies any admission, enrollment, quota, eligibility, membership, or other requirement or condition which individuals must meet in order to be provided any disposition, service, financial aid, function or benefit provided under the program; (6) Deny an individual an opportunity to participate in the program through the provision of services or otherwise afford such individual an opportunity to do so which is different from that afforded others under the program (including the opportunity to participate in the program as an employee but only to the extent set forth in § 1040.14 of this subpart); or (7) Deny a person the opportunity to participate as a member of a planning or advisory body which is an integral part of the program. (c) A recipient, in determining the type of Federal financial assistance (i.e., disposition, services, financial aid, benefits, or facilities) which will be provided under any program, or the class of individuals to whom, or the situations in which the assistance will be provided, may not, directly or through contractual or other arrangements, utilize criteria or methods of administration which have the effect of subjecting individuals to discrimination because of their race, color, national origin, or sex (when covered by section 16 and section 401) 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, national origin, or sex (when covered by section 16 or section 401). (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 because of race, color, national origin, or sex (when covered by section 16 or 401) or with the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of title VI or this subpart. (e) For the purpose of this section, the disposition, services, financial aid, or benefits provided under a program receiving Federal financial assistance include all portions of the recipient's program or activity, including facilities, equipment, or property provided with the aid of Federal financial assistance. (f) The enumeration of specific forms of prohibited discrimination in this paragraph and in § 1040.14 of this subpart does not limit the generality of the prohibition in paragraph (a) of this section. (g) Exemptions. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.14 Covered employment. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) Employment practices. (i) To assist individuals through employment to meet expenses incident to the commencement or continuation of their education or training; (ii) To provide work experience which contributes to the education or training of the individuals involved; (iii) To reduce the unemployment of individuals or to help them through employment to meet subsistence needs; or (iv) To provide employment to individuals who, because of handicaps, cannot be readily absorbed in the competitive labor market. The requirements applicable to construction under any such program are to be those specified in or under part III of Executive Order 11246, as amended, or any Executive Order which supersedes it. (2) In regard to Federal financial assistance which does not have provision of employment as a primary objective, the provisions of paragraph (a)(1) of this section apply to the employment practices of the recipient if discrimination on the ground of race, color, national origin, or sex (when covered by section 16 or section 401) in such employment practices tends to exclude persons from participation in, deny them the benefits of, or subject them to discrimination under the program receiving Federal financial assistance. In any such case, the provisions of paragraph (a)(1) of this section apply to the extent necessary to assure equality of opportunity to and nondiscriminatory treatment of beneficiaries. (3) Paragraph (a)(1) also applies to covered employment as defined in § 1040.12(a)(2). (b) Enforcement of title VI compliance with respect to covered employment practices is not to be superseded by State or local merit systems relating to the employment practices of the same recipient. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] Subpart C [Reserved] Subpart D—Nondiscrimination on the Basis of Handicap—Section 504 of the Rehabilitation Act of 1973, as Amended General Provisions § 1040.61 Purpose and application. (a) The purpose of this subpart is to implement sec. 504 of the Rehabilitation Act of 1973, which is designed to eliminate discrimination on the basis of handicap in any program or activity receiving Federal financial assistance. (b) This subpart applies to each recipient or subrecipient of Federal financial assistance from DOE and to each program or activity that receives assistance. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.62 Definitions. (a) Executive Order (b) Section 504 (c) Handicapped person (d) As used in paragraph (c) of this section, the phrase: (1) Physical or mental impairment (i) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive, digestive, genito-urinary; hemic and lymphatic; skin; and endocrine; or (ii) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. The term physical or mental impairment (2) Major life activities (3) Has a record of such an impairment (4) Is regarded as having an impairment (i) Has a physical or mental impairment that does not substantially limit major life activities but that is treated by a recipient as constituting such a limitation; (ii) Has a physical or mental impairment that substantially limits major life activities only as a result of the attitudes of others toward such impairment; or (iii) Has none of the impairments defined in paragraphs (d)(1) (i) and (ii) of this section, but is treated by a recipient as having such an impairment. (e) Qualified handicapped person (1) With respect to employment, a handicapped person who, with reasonable accommodation, can perform the essential functions of the job in question; (2) With respect to public preschool, elementary, secondary, or adult education services, a handicapped person: (i) Of an age during which non-handicapped persons are provided such services; (ii) Of any age during which it is mandatory under state law to provide such services to handicapped persons; or (iii) To whom a state is required to provide a free appropriate public education under sec. 612 of the Education for All Handicapped Children Act of 1975, Pub. L. 94-142. (3) With respect to postsecondary and vocational education services, a handicapped person who meets the academic and technical standards requisite to admission or participation in the recipient's education program or activity; and (4) With respect to other services, a handicapped person who meets the essential eligibility requirements for the receipt of such services. (f) Handicap (g) Historic properties (h) Building alterations (i) Structural changes The definitions set forth in § 1040.3 of this part, to the extent not inconsistent with this subpart, are made applicable to and incorporated into this subpart. § 1040.63 Discrimination prohibited. (a) General. (b) Discriminatory actions prohibited. (i) Deny a qualified person the opportunity to participate in or benefit from the aid, benefit or service; (ii) Afford a qualified handicapped person an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others; (iii) Provide a qualified handicapped person with an aid, benefit, or service that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others; (iv) Provide different or separate aid, benefits, or services to handicapped persons or to any class of handicapped persons than is provided to others unless the action is necessary to provide qualified handicapped persons with aid, benefits, or services that are as effective as those provided to others; (v) Aid or perpetuate discrimination against a qualified handicapped person by providing significant assistance to an agency, organization, or person that discriminates on the basis of handicap in providing any aid, benefit, or services to beneficiaries of the recipient's program or activity; (vi) Deny a qualified handicapped person the opportunity to participate as a member of planning or advisory boards; or (vii) Otherwise limit a qualified handicapped person in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving the aid, benefit or service. (2) For purposes of this part, aids, benefits, and services, to be equally effective, are not required to produce the identical result or level of achievement for handicapped and nonhandicapped persons, but must afford handicapped persons equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement in the most integrated setting appropriate to the person's needs. (3) Despite the existence of permissible separate or different aid, benefits, or services, a recipient may not deny a qualified handicapped person the opportunity to participate in aid, benefits, or services that are not separate or different. (4) A recipient may not, directly or through contractual or other arrangements, utilize criteria or methods of administration that: (i) Have the effect of subjecting qualified handicapped persons to discrimination on the basis of handicap; (ii) Have the purpose or effect of defeating or substantially impairing accomplishment of the objectives of the recipient's program or activity with respect to handicapped persons; or (iii) Perpetuate the discrimination of another recipient if both recipients are subject to common administrative control or are agencies of the same state. (5) In determining the site of a facility, an applicant for assistance or a recipient may not make selections that— (i) Have the effect of excluding handicapped persons from, denying them the benefits of, or otherwise subjecting them to discrimination under any program or activity that receives Federal financial assistance from DOE; or (ii) Have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the program or activity with respect to handicapped persons. (6) As used in this section, the aid, benefit, or service provided under a program or activity receiving from Federal financial assistance includes any aid, benefit, or service provided in or through a facility that has been constructed, expanded, altered, leased or rented, or otherwise acquired, in whole or in part, with Federal financial assistance. (c) Aid, benefits, or services limited by Federal law. (d) Recipients shall take appropriate steps to ensure that communications with their applicants, employees and handicapped persons participating in federally assisted programs or activities or receiving aids, benefits or services, are available to persons with impaired vision and hearing. (e) 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. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.64 Effect of State or local law or other requirements and effect of employment opportunities. (a) The obligation to comply with this subpart is not obviated or alleviated by the existence of any State or local law or other requirement that, on the basis of handicap, imposes prohibitions or limits upon the eligibility of qualified handicapped persons to receive services or to practice any occupation or profession. (b) The obligation to comply with this part is not obviated or alleviated because employment opportunities in any occupation or profession are or may be more limited for handicapped persons than for non-handicapped persons. (c) Effect of other regulations. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.65 Procedures. The procedural provisions applicable to Title VI of the Civil Rights Act of 1964 are adopted and incorporated in this section by reference. These procedures may be found in subparts G and H of this part. Employment Practices § 1040.66 Discrimination prohibited. (a) General. (2) A recipient shall make all decisions concerning employment under any program or activity to which this part applies in a manner which ensures that discrimination on the basis of handicap does not occur and may not limit, segregate, or classify applicants or employees in any way that adversely affects their opportunities or status because of handicap. (3) A recipient may not participate in a contractual or other relationship that has the effect of subjecting qualified handicapped applicants or employees to discrimination prohibited by this subpart. The relationships referred to in this paragraph include relationships with employment and referral agencies, labor unions, organizations providing or administering fringe benefits to employees of the recipient, and organizations providing training and apprenticeships. (b) Specific activities. (1) Recruitment, advertising, and processing of applications for employment; (2) Hiring, upgrading, promotion, award of tenure, demotion, transfer, layoff, termination, right of return from layoff, and rehiring; (3) Rates of pay or any other form of compensation and changes in compensation; (4) Job assignments, job classifications, organizational structures, position descriptions, lines of progression, and seniority lists; (5) Leaves of absence, sick or otherwise; (6) Fringe benefits available by virtue of employment, whether administered by the recipient or not; (7) Selection and provision of financial support for training, including apprenticeship, professional meetings, conferences, and other related activities, and selection for leaves of absence to pursue training; (8) Employer sponsored activities, including those that are social or recreational; and (9) Any other term, condition, or privilege of employment. (c) A recipient's obligation to comply with this subpart is not affected by any inconsistent term of any collective bargaining agreement to which it is a party. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.67 Reasonable accommodation. (a) A recipient shall make reasonable accommodation to the known physical or mental limitations of an otherwise qualified handicapped applicant or employee unless the recipient can demonstrate that the accommodation would impose an undue hardship on the operation of its program or activity. (b) Reasonable accommodation may include: (1) Making facilities used by employees readily accessible to and usable by handicapped persons; and (2) Job restructuring, part-time or modified work schedules, acquisition or modification of equipment or devices, the provision of readers or interpreters, and other similar actions. (c) In determining, under paragraph (a) of this section, whether an accommodation would impose an undue hardship on the operation of a recipient's program or activity, factors to be considered include: (1) The overall size of the recipient's program or activity with respect to number of employees, number and type of facilities, and size of budget; (2) The type of the recipient's operation, including the composition and structure of the recipient's workforce; and (3) The nature and cost of the accommodation needed. (d) A recipient may not deny any employment opportunity to a qualified handicapped employee or applicant if the basis for the denial is the need to make reasonable accommodation to the physical or mental limitations of the employee or applicant. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.68 Employment criteria. (a) A recipient may not use any employment test or other selection criterion that screens out or tends to screen out handicapped persons unless the test score or other selection criterion, as used by the recipient, is shown to be job-related for the position in question. (b) A recipient shall select and administer tests concerning employment to best ensure that, when administered to an applicant or employee who has a handicap that impairs sensory, manual, or speaking skills, the test results accurately reflect the applicant's or employee's job skills, aptitude or other factors the test purports to measure except where those skills are the factors that the test purports to measure. § 1040.69 Preemployment inquiries. (a) Except as provided in paragraphs (b) and (c) of this section, a recipient may not conduct a pre-employment medical examination or may not make pre-employment inquiry of an applicant as to whether the applicant is a handicapped person or as to the nature or severity of a handicap. A recipient may, however, make pre-employment inquiry into an applicant's ability to perform job-related functions. (b) When a recipient is taking remedial action to correct the effects of past discrimination, under § 1040.7 of this part, or is taking voluntary action to overcome the effects of conditions that resulted in limited participation in its federally assisted program or activity under § 1040.7 of subpart A of this part, or when a recipient is taking affirmative action under Sec. 503 of the Rehabilitation Act of 1973, as amended, the recipient may invite applicants for employment to indicate whether, and to what extent, they are handicapped Provided that: (1) The recipient states clearly on any written questionnaire used for this purpose or makes clear orally, if no written questionnaire is used, that the information requested is intended for use solely in connection with its remedial action obligations or its voluntary or affirmative action efforts; and (2) The recipient states clearly that the information is requested on a voluntary basis, that it will be kept confidential as provided in paragraph (d) of this section, that refusal to provide it will not subject the applicant or employee to any adverse treatment, and that it will be used only in accordance with this subpart. (c) Nothing in this section is to prohibit a recipient from conditioning an offer of employment on the results of a medical examination conducted prior to the employee's entrance on duty provided that all entering employees are subjected to the examination regardless of handicap or absence of handicap and results of the examination are used only in accordance with the requirements of this subpart. (d) Information obtained in accordance with this section concerning the medical condition or history of the applicant is to be collected and maintained on separate forms that are to be accorded confidentiality as medical records, except that: (1) Supervisors and managers may be informed regarding restrictions on the work or duties of handicapped persons and regarding necessary accommodations; (2) First aid and safety personnel may be informed, where appropriate, if the condition might require emergency treatment; and (3) Government officials investigating compliance with Sec. 504 of the Rehabilitation Act of 1973, as amended, shall be provided relevant information upon request. Accessibility § 1040.71 Discrimination prohibited. No handicapped person shall, because a recipient's facilities are inaccessible to or unuseable by handicapped persons, be denied the benefits of, be excluded from participation in, or be subjected to discrimination under any program or activity that receives or benefits from Federal financial assistance from DOE. § 1040.72 Existing facilities. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) Accessibility. (b) Methods. (c) Time period. (d) Transition plan. (1) Identify physical obstacles in the recipient's facilities that limit the accessibility to and usability by handicapped persons of its program or activity. (2) Describe in detail the methods that will be used to make the facilities accessible; (3) Specify the schedule for taking the steps necessary to achieve full accessibility under § 1040.72(a) and, if the time period or the transition plan is longer than one year, identify steps that will be taken during each year of the transition period; and (4) Indicate the person responsible for implementation of the plan. (e) Notice. [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] § 1040.73 New construction. Link to an amendment published at 90 FR 20786, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 10, 2025, at 90 FR 43907, Sept. 11, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56968, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10954, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39850, July 1, 2026. (a) Design and construction. (b) Alteration. (c) Conformance with Uniform Federal Accessibility Standards. (2) For purposes of this section, section 4.1.6(1)(g) of UFAS shall be interpreted to exempt from the requirements of UFAS only mechanical rooms and other spaces that, because of their intended use, will not require accessibility to the public or beneficiaries or result in the employment or residence therein of persons with physical handicaps. (3) This section does not require recipients to make building alterations that have little likelihood of being accomplished without removing or altering a load-bearing structural member. [45 FR 40515, June 13, 1980, as amended at 55 FR 52138, 52140, Dec. 19, 1990] § 1040.74 Accessibility in historic properties. (a) Methods to accomplish accessibility. (1) Methods to accomplish accessibility without building alterations or structural changes. (i) Reassigning aid, benefits, or services to accessible locations within the facility. (ii) Assigning persons to aid handicapped persons into or through an otherwise inaccessible facility. (iii) Delivering aid, benefits, or services at alternative accessible sites operated by or available for such use by the recipient. (iv) Adopting other innovative methods which make aid, benefits, or services accessible to the handicapped. (2) Methods to accomplish accessibility resulting in building alterations. (3) Methods to accomplish accessibility resulting in structural changes. (b) Modification or waiver of accessibility standards. (National Historic Preservation Act of 1966, Pub. L. 89-665, 80 Stat 915, 16 U.S.C. 470; 11593, 3 CFR 1971 Comp., p. 154; 36 CFR part 800) [45 FR 40515, June 13, 1980, as amended at 68 FR 51347, Aug. 26, 2003] Subpart E—Nondiscrimination on the Basis of Age—Age Discrimination Act of 1975, as Amended Authority: Age Discrimination Act of 1975, as amended (42 U.S.C. 6101 et seq. Source: 50 FR 8089, Feb. 27, 1985, unless otherwise noted. General Provisions § 1040.81 Purpose. The purpose of these regulations is to implement the Age Discrimination Act of 1975, as Amended, which prohibits discrimination on the basis of age in programs or activities receiving Federal financial assistance. In accordance with the Age Discrimination Act, federally assisted programs or activities and recipients of Federal funds may continue to use age distinctions and factors other than age which meet the requirements of the Act and these regulations. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.82 Application. (a) These regulations apply to each program or activity which receives Federal financial assistance provided by DOE. (b) These regulations do not apply to— (1) An age distinction contained in that part of a Federal, State, or local statute or ordinance adopted by an elected, general purpose legislative body which: (i) Provides any benefits or assistance to persons based on age; or (ii) Establishes criteria for participation in age-related terms; or (iii) Describes intended beneficiaries or target groups in age-related terms. (2) Any employment practice of any employer, employment agency, labor organization, or any labor-management joint apprenticeship training program. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.83 Definitions. (a) Act et seq. (b) Action (c) Age (d) Age distinction (e) Age-related term (f) Days (g) Discrimination (h) FERC (i) Field Civil Rights Officer (j) Recipient (k) Secretary [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] Standards for Determining Age Discrimination § 1040.84 Rules against age discrimination. The rules stated in this section are limited by the exceptions contained in § 1040.86 and of these regulations. (a) General rule. (b) Specific rules. (1) Excluding individuals from, denying them the benefits of, or subjecting them to discrimination under, a program or activity receiving Federal financial assistance; or (2) Denying or limiting individuals in their opportunity to participate in any program or activity receiving Federal financial assistance. (3) The specific forms of age discrimination listed in paragraph (b) of this section do not necessarily constitute a complete list. § 1040.85 Definitions of “Normal Operation” and “Statutory Objective”. For purpose of §§ 1040.86 and 1040.87, the terms normal operation statutory objective (a) Normal operation (b) Statutory objective § 1040.86 Exceptions to the rules against age discrimination. Normal operation or statutory objective of any program or activity. A recipient is permitted to take an action, otherwise prohibited by § 1040.84, if the action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity. An action reasonably takes into account age as a factor necessary to the normal operation of a program or activity if: (a) Age is used as a measure or approximation of one or more other characteristics; (b) The other characteristic(s) must be measured or approximated in order for the normal operation of the program or activity to continue or to achieve any statutory objective of the program or activity; (c) The other characteristic(s) can be reasonably measured or approximated by the use of age; and (d) The other characteristic(s) are impractical to measure directly on an individual basis. § 1040.87 Exceptions to the rules against age discrimination. Reasonable factors other than age. A recipient is permitted to take an action otherwise prohibited by § 1040.84 which is based on a factor other than age, even though that action may have a disproportionate effect on persons of different ages. An action may be based on a factor other than age only if the factor bears a direct and substantial relationship to the normal operation of the program or activity or to the achievement of a statutory objective. § 1040.88 Remedial and affirmative action by recipients. (a) Where a recipient is found to have discriminated on the basis of age, the recipient shall take such remedial action as the Director, Office of Civil Rights and Diversity, considers necessary to overcome the effects of the discrimination. (b) Even in the absence of a finding of discrimination, a recipient may take affirmative action to overcome the effects of conditions that resulted in limited participation in the recipient's program or activity on the basis of age. (c) If a recipient operating a program or activity which serves the elderly or children, in addition to persons of other ages, provides special benefits to the elderly or to children, the provision of those benefits shall be presumed to be voluntary affirmative action provided that it does not have the effect of excluding otherwise eligible persons from participation in the program or activity. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89 Burden of proof. The burden of proving that an age distinction or other action falls within the exceptions outlined in §§ 1040.86 and 1040.87 is on the recipient of Federal financial assistance. Responsibilities of DOE Recipients § 1040.89-1 General responsibilities. Each DOE recipient has primary responsibility to ensure that its programs or activities are in compliance with the Act and these regulations. A recipient also has responsibility to maintain records, provide information, and afford access to its records to DOE, to the extent required to determine whether it is in compliance with the Act and these regulations. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-2 Notice to subrecipients. Where a recipient awards Federal financial assistance from DOE to its subrecipients, the recipient shall provide the subrecipients written notice of their obligations under these regulations. § 1040.89-3 Information requirements. Each recipient shall: (a) Upon request make available to DOE information necessary to determine whether the recipient is complying with the Act and these regulations. (b) Permit reasonable access by DOE, upon request, to the books, records, accounts, and other recipient facilities and sources of information to the extent necessary to determine whether the recipient is in compliance with the Act and these regulations. Investigation, Conciliation and Enforcement Procedures § 1040.89-4 Compliance reviews. (a) DOE may conduct preaward and postaward compliance reviews of recipients as prescribed in this part or use other similar procedures that will permit it to investigate and correct violations of the Act and these regulations. DOE may conduct these reviews even in the absence of a complaint against a recipient. The review may be as comprehensive as necessary to determine whether a violation of these regulations has occurred. (b) If a compliance review indicates a violation of the Act or these regulations, DOE will attempt to achieve voluntary compliance with the Act. If voluntary compliance cannot be achieved, DOE will arrange for enforcement as described in § 1040.89-10. § 1040.89-5 Complaints. (a) Any person, individually or as a member of a class or on behalf of others, may file a written complaint with DOE alleging discrimination prohibited by the Act or these regulations. A complainant must file a complaint within 180 days from the date he/she first had knowledge of the alleged act of discrimination. For good cause shown, however, the Director, Office of Civil Rights and Diversity, may extend the time limit for filing a complaint. Complaints may be submitted to Field Civil Rights Officers located in DOE's field offices or to the Director, Office of Civil Rights and Diversity, Forrestal Building, 1000 Independence Avenue, SW., Washington, D.C. 20585. (b) The Director, Office of Civil Rights and Diversity, will attempt to facilitate the filing of complaints wherever possible, including taking the following measures: (1) Accepting as a sufficient complaint any written statement which identifies the parties involved and the date the complainant first had knowledge of the alleged violation, describes generally the action or practice complained of, and is signed by the complainant. (2) Freely permitting a complainant to add information to the complaint to meet the requirements of a sufficient complaint. (3) Widely disseminating information regarding the obligations of recipients under the Act and these regulations. (4) Notifying the complainant and the recipient of their rights and obligations under the complaint procedure, including the right to have a representative at all stages of the complaint procedure. (5) Notifying the complainant and the recipient (or their representatives) of their right to contact DOE for information and assistance regarding the complaint resolution process. (c) The Director, Office of Civil Rights and Diversity, will refer any complaint outside the jurisdiction of DOE to the proper Federal department or agency and will also notify the complainant and the recipient of the referral. The notification will contain an explanation for the referral and the name, telephone number, and address of the Federal department or agency office having jurisdiction over the matter complained. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-6 Mediation. (a) Referral of complaints for mediation. (1) Fall within the jurisdiction of the Act and these regulations; and (2) Contain all information necessary for further processing. (b) Both the complainant and the recipient shall participate in the mediation process to the extent necessary to reach an agreement or make an informed judgment that an agreement is not possible. There must be at least one meeting with the mediator before the Director, Office of Civil Rights and Diversity, will accept a judgment that an agreement is not possible. However, the recipient and the complainant need not meet with the mediator at the same time. (c) If the complainant and the recipient reach an agreement, the mediator shall prepare a written statement of the agreement and have the complainant and the recipient sign it. The mediator shall send a copy of the agreement to the Director, Office of Civil Rights and Diversity, DOE. DOE will take no further action on the complaint unless the complainant or the recipient fails to comply with the agreement. (d) DOE will use the mediation process for a maximum of 60 days after referring a complaint to mediation. Mediation ends if: (1) 60 days elapse from the time the mediation agency receives the complaint; or (2) Prior to the end of the 60 day mediation period, an agreement is reached; or (3) Prior to the end of that 60 day mediation period, the mediator determines that an agreement cannot be reached. (e) The mediator shall return unresolved complaints to the Director, Office of Civil Rights and Diversity, DOE. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-7 Investigation. (a) Informal Investigation. (2) As part of this review, Field Civil Rights Officers will use informal fact finding methods, including joint or separate discussions with the complainant and recipient, to establish the facts and, if possible, settle the complaint on terms that are mutually agreeable to the parties. (3) If the complaint is resolved during the informal investigation, DOE will put the agreement in writing and have it signed by the parties and the Director, Office of Civil Rights and Diversity. (4) The settlement shall not affect the operation of any other enforcement effort of DOE, including compliance reviews and investigation of other complaints which may involve the recipient. (5) The settlement is not a finding of discrimination against a recipient. (b) Formal Investigation. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-8 Prohibition against intimidation or retaliation. A recipient may not engage in acts of intimidation or retaliation against any person who: (a) Attempts to assert a right protected by the Act or these regulations; or (b) Cooperates in any mediation, investigation, hearing, or other part of DOE's investigation, conciliation, and enforcement process. § 1040.89-9 Compliance procedure. (a) DOE may enforce the Act and these regulations through procedures precribed in subpart H of DOE regulation 10 CFR part 1040—Nondiscrimination in Federally Assisted Programs or Activities, which calls for— (1) Termination of a recipient's Federal financial assistance from DOE for a program activity in which the recipient has violated the Act or these regulations. The determination of the recipient's violation may be made only after a recipient has had an opportunity for a hearing on the record before the Federal Energy Regulatory Commission (FERC). Therefore, cases which are settled in mediation, or prior to a hearing, will not involve termination of a recipient's Federal financial assistance from DOE under this section. (2) Any other means authorized by law including, but not limited to: (i) Referral to the Department of Justice for proceedings to enforce any rights of the United States or obligations of the recipient created by the Act or these regulations, or under the terms of the Federal financial assistance. (ii) Use of any requirement of, or referral to, any Federal, State, or local government agency that will have the effect of correcting a violation of the Act of these regulations. (b) DOE will limit any termination under § 1040.89-9(a)(1) to the particular recipient and particular program or activity DOE finds in violation of these regulations. DOE will not base any part of a termination on a finding with respect to any program or activity of the recipient which does not receive Federal financial assistance from DOE. (c) DOE will take no action under paragraph (a) until: (1) The Director, Office of Civil Rights and Diversity, has advised the recipient of its failure to comply with the Act, these regulations, or the terms of the Federal financial assistance and has determined that voluntary compliance cannot be obtained. (2) Thirty (30) days have elapsed after the Secretary or the Secretary's designee has sent a written report of the circumstances and grounds of the action to the committees of the Congress having legislative jurisdiction over the program or activity involved. The Secretary will file a report whenever any action is taken under paragraph (a) of this section. (d) DOE also may defer granting new Federal financial assistance to a recipient when a hearing under § 1040.89-10 is initiated. (1) New Federal financial assistance from DOE includes all assistance for which DOE requires an application or approval, including renewal or continuation of existing activities, or authorization of new activities during the deferral period. New Federal financial assistance from DOE does not include increases in funding as a result of changes, computation of formula awards, or assistance awarded prior to the beginning of a hearing under § 1040.89-10. (2) DOE will not defer new assistance until the recipient has received a notice of an opportunity for a hearing under § 1040.89-10. DOE will not continue a deferral for more than 60 days unless a hearing has begun within that time or the time for beginning the hearing has been extended by mutual consent of the recipient and FERC. DOE will not continue a deferral for more than 30 days after the close of the hearing, unless the hearing resulted in a finding against the recipient. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-10 Hearings, decisions, post-termination proceedings. DOE procedural provisions applicable to title VI of the Civil Rights Act of 1964 apply to DOE enforcement of these regulations. They are 10 CFR subpart H §§ 1040.121 through 1040.124. § 1040.89-11 Remedial action by recipients. Where the Director, Office of Civil Rights and Diversity, finds a recipient has discriminated on the basis of age, the recipient shall take such remedial action as the Director, OEO, may require to end the discrminatory practice or policy and/or to overcome the effects of the discrimination. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-12 Alternate funds disbursal procedure. (a) When DOE withholds funds from a recipient under these regulations, the Secretary or designee may disburse the withheld funds directly to an alternate recipient(s), any public or private organization or agency, or State or political subdivision of the State. (b) The Secretary or designee will require any alternate recipient to demonstrate: (1) The ability to comply with these regulations; and (2) The ability to achieve the goals of the Federal statute authorizing the Federal financial assistance. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] § 1040.89-13 Exhaustion of administrative remedies. (a) A complainant may file a civil action following the exhaustion of administrative remedies under the Act. Administrative remedies are exhausted if: (1) One hundred eighty (180) days have elapsed since the complainant filed the complaint and DOE has made no findings with regard to the complainant; or (2) DOE issues any findings in favor of the recipient. (b) If DOE fails to make a finding within 180 days or issues a finding in favor of the recipient, the Director, Office of Civil Rights and Diversity, will: (1) Promptly advise the complainant of this fact; and (2) Advise the complainant of his or her right to bring a civil action for injunctive relief; and (3) Inform the complainant: (i) That the complainant may bring a civil action only in a United States District Court for the district in which the recipient is located or transacts business; (ii) That a complainant prevailing in a civil action has the right to be awarded the costs of the action, including reasonable attorney fees, but that the complainant must demand these costs in the complaint; (iii) That, before commencing the action, the complainant shall give 30 days notice, by registered mail, to the Secretary of DOE, the Secretary of the Department of Health and Human Services, the Attorney General of the United States, and the recipient; (iv) That the notice must state: the alleged violation of the Act and these regulations; the relief requested; the court in which the complainant is bringing the action; and whether or not attorney fees are demanded in the event the complainant prevails; and (v) That the complainant may not bring an action if the same alleged violation of the Act by the same recipient is the subject of a pending action in any court of the United States. [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] Appendix A to Subpart E of Part 1040—DOE Federally Assisted Programs Containing Age Distinctions Statute, Name, Public Law, and U.S. Code Section and age distinction Use of age/age related team Popular name CFDA No. Conditions benefits or assistance Establishes criteria for participation Describes beneficiaries or target groups Energy Conservation and Production Act, Title IV, Part A; Public Law 94-385, 42 U.S.C. 6861-6870 Section 413(a). The Administrator shall develop and conduct, in accordance with the purpose and provisions of this part, a weatherization program. In developing and conducting such program, the Administrator may, in accordance with this part and regulations promulgated under this part, make grants (1) to States, and (2) in accordance with the provisions of subsection (d), to Indian tribal organizations to serve Native Americans. Such grants shall be made for the purpose of providing financial assistance with regard to projects designed to provide for the weatherization of dwelling units, particularly those where elderly or handicapped low-income persons reside, in which the head of the household is a low-income person X Weatherization Assistance Program for Low-Income Persons 81.042 Interagency Agreement between the United States Department of Energy and the United States Department of Labor, Interagency Agreement No. 99-9-1656-07-11; Authority: Comprehensive Employment and Training Act of 1978 (CETA) (Pub. L. 95-524, October 27, 1978; 92 Stat. 1909; 29 U.S.C. 801), the Energy Reorganization Act of 1974, as amended (Pub. L. 93-438, October 11, 1974; 88 Stat. 1233), and the Department of Energy Organization Act (DOE Act) (Pub. L. 95-91, August 4, 1977); 91 Stat. 565; 42 U.S.C. 7101) Interagency Agreement, Section 1, Purpose: “The purpose of this agreement is to provide for a transfer of funds from the Department of Labor, Employment and Training Administration (ETA), Office of Youth Programs (OYP) to the Department of Energy, Directorate of Administration (AD), Office of Industrial Relations (OIR), to fund the Summer Science Student Program (SSSP). The SSSP will grant monies from DOL through DOE/OIR to DOE contractors to fund 480 participant slots for economically disadvantaged youths in an integrated program of career motivation and basic academic skill enrichment. The program is designed to motivate economically disadvantaged and academically talented youths to continue their education and to pursue energy-related careers upon graduation from high school X Summer Science Student Program N/A Executive Office of the President, Office of Science and Technology Policy, Memorandum, Subject: Research Apprenticeships for Minority High Schoolers, dated October 23, 1979 Quotation from October 23, 1979 memorandum, paragraph 2, “The objectives are to stimulate broader interest in the minority communities in careers in science and engineering and to establish individual working relationships of high school students with active researchers who may become helpful mentors when students need advice on college and careers and need letters of recommendation” X Summer Research Apprenticeship Program N/A [50 FR 8089, Feb. 27, 1985, as amended at 68 FR 51348, Aug. 26, 2003] Subpart F—Nondiscrimination Under Title VIII of the Civil Rights Act of 1968, as Amended [Reserved] Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. Subpart G—Program Monitoring Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. § 1040.101 Compliance reviews. (a) The Director shall periodically conduct compliance reviews of selected recipients of DOE Federal financial assistance. (b) The Director shall seek to review those recipients which have the most serious equal opportunity problems which cause the greatest disparity in delivery of services on a nondiscriminatory basis. Selection for review is to be made on the basis of the following criteria, among others: (1) The relative disparity between the percentage of minorities, women, or handicapped persons, in the relevant labor market, and the percentage of minorities, women, or handicapped persons, employed by the recipient if employment practices are covered by this part; (2) The percentage of individuals covered by the Age Discrimination Act of 1975, minorities, women and handicapped persons in the population receiving program benefits. (3) The number and nature of discrimination complaints filed against a recipient with DOE or other Federal agencies; (4) The scope of the problems revealed by an investigation commenced on the basis of a complaint filed with DOE against a recipient; and (5) The amount of assistance provided to the recipient. (c) After selection of a recipient for review, the Director Federally Assisted Programs Division or the Director's designee, shall inform the recipient of the selection. The notice shall be in writing and posted thirty days prior to the scheduled review. The letter will ordinarily request data pertinent to the review and advise the recipient of: (1) The practices to be reviewed; (2) The programs or activities affected by the review; (3) The opportunity to make, at any time prior to receipt of DOE's finding, a written submission responding to DOE which explains, validates, or otherwise addresses the practices under review; and (4) The schedule under which the review will be conducted and a determination of compliance or noncompliance made. (d) Within 90 days of arriving on-site to conduct the review, the Director, FAPD, shall advise the recipient, in writing, of: (1) Preliminary findings; (2) Where appropriate, recommendations for achieving voluntary compliance; and (3) The opportunity to request DOE to engage in voluntary compliance negotiations prior to the Director's final determination of compliance or noncompliance. The Director or the Director's designee shall notify the Assistant Attorney General at the same time the recipient is notified of any matter where recommendations for achieving voluntary compliance are made. (e) If, within 45 days of the recipient's notification under paragraph (d) of this section, the Director's (FAPD) recommendations for compliance are not met, or voluntary compliance is not secured, or the preliminary findings are not shown to be false, the matter will be forwarded to the Director for a determination of compliance or noncompliance. The determination is to be made no later than 60 days after the recipient has been notified of the preliminary findings. If the Director makes a determination of noncompliance, the Department shall institute actions specified in subparts G and H. (f) Where the Director makes a formal determination of noncompliance, the recipient and the Assistant Attorney General shall be immediately advised, in writing, of the determination and of the fact that the recipient has an additional 10 days in which to come into voluntary compliance. If voluntary compliance has not been achieved within the 10 days, the Director shall institute proceedings under subpart H. (g) All agreements to come into voluntary compliance shall be in writing and signed by the Director and an official who has authority to legally bind the recipient. § 1040.102 Compliance information. Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. (a) Cooperation and assistance. (b) Compliance reports. (c) Access to sources of information. (d) Information to beneficiaries and participants. § 1040.103 [Reserved] § 1040.104 Complaint investigation. (a) The Director, FAPD, shall investigate complaints of discrimination that allege a violation of— (1) Title VI of the Civil Rights Act of 1964, Sec. 16 of the Federal Energy Administration Act of 1974, as amended, or Sec. 401 of the Energy Reorganization Act of 1974; (2) Title IX of the Education Amendments of 1972, as amended; (3) Section 504 of the Rehabilitation Act of 1973, as amended; (4) Age Discrimination Act of 1975, as amended, (reserved in this part); (5) Title VIII of the Civil Rights Act of 1968, as amended, (reserved in this part); (6) This part; and (7) Civil rights provisions of statutes administered pursuant to the DOE Organization Act, Pub. L. 95-91. (b) No complaint will be investigated if it is received by an appropriate Departmental official more than 180 days after the date of the alleged discrimination, unless the time for filing is extended by the Director, FAPD, for good cause shown. Where a complaint is accepted for investigation, the Director, FAPD, will initiate a DOE investigation. The Director, FAPD, who is responsible for the investigation, shall notify the complainant, in writing, if the complaint has been accepted or rejected. (c) The Director, FAPD, or his/her designee shall conduct investigations of complaints as follows: (1) Within 35 days of receipt of a complaint, the Director, FAPD, shall: (i) determine whether DOE has jurisdiction under paragraphs (a) and (b) of this section; (ii) If jurisdiction is not found, wherever possible, refer the complaint to the Federal agency with such jurisdiction and advise the complainant; (iii) If jurisdiction is found, notify the recipient alleged to be discriminating of receipt of the complaint; and (iv) Initiate the investigation. (2) The investigation will ordinarily be initiated by a letter requesting data pertinent to the complaint and advising the recipient of: (i) The nature of the complaint and, with the written consent of the complainant, the identity of the complainant. The identity of the complainant may be revealed by the Director, FAPD, OEO, without the complainant's written consent if the Director, FAPD, OEO, determines that such action is necessary for resolution of the complaint; (ii) The program or activities affected by the complaint; (iii) The opportunity to make, at any time prior to receipt of DOE's findings, a documentary submission responding to, rebutting, or denying the allegations made in the complaint; and (iv) The schedule under which the complaint will be investigated and a determination of compliance made. (3) Within 90 days of initiating the investigation, the Director, FAPD, shall advise the recipient, in writing of: (i) Preliminary findings; (ii) Where appropriate, recommendations for achieving voluntary compliance; and (iii) The opportunity to request DOE to engage in voluntary compliance negotiations prior to the Director's final determination of compliance or noncompliance. The Director or the Director's designee shall notify the Assistant Attorney General and the recipient of any matter where recommendations for achieving voluntary compliance are made. (4) If, within 45 days of the recipient's notification under paragraph (c)(3) of this section, the Director's (FAPD) recommendations for compliance are not met, or voluntary compliance is not secured, or the preliminary findings are not shown to be false, the matter will be forwarded to the Director, OEO, for a determination of compliance or noncompliance. The determination is to be made no later than 60 days after the recipient has been notified of the preliminary findings. If the Director makes a determination of noncompliance, the Department shall institute actions specified in subpart H. (5) Where the Director makes a formal determination of noncompliance, the recipient and the Assistant Attorney General shall be immediately advised, in writing, of the determination and of the fact that the recipient has an additional 10 days in which to come into voluntary compliance. If voluntary compliance has not been achieved within the 10 days, the Director shall institute proceedings under subpart H. All agreements to come into voluntary compliance shall be in writing and signed by the Director, OEO, and an official who has authority to legally bind the recipient. The complainant shall also be notified of any action taken including the closing of the complaint or achievement of voluntary compliance. (6) If the complainant or party other than the Attorney General has filed suit in Federal or State court alleging the same discrimination alleged in a complaint to DOE, and if during DOE's investigation, the trial of that suit would be in progress, DOE will consult with the Assistant Attorney General and court records to determine the need to continue or suspend the investigation and will monitor the litigation through the court docket and contacts with the complainant. Upon receipt of notice that the court has made a finding of discrimination against a recipient that would constitute a violation of this part, the DOE may institute administrative proceedings as specified in subpart H after DOE has advised the recipient, in writing, of an opportunity to request voluntary compliance under this section. All agreements to come into voluntary compliance shall be in writing and signed by the Director and an official who has authority to legally bind the recipient. (7) The time limits listed in paragraphs (c)(1) through (c)(6) of this section shall be appropriately adjusted where DOE requests another Federal agency to act on the complaint. DOE is to monitor the progress of the matter through liaison with the other agency. Where the request to act does not result in timely resolution of the matter, DOE is to institute appropriate proceedings as required by this part. (d) Intimidatory or retaliatory acts prohibited. Subpart H—Enforcement Link to an amendment published at 90 FR 20783, May 16, 2025. This amendment was delayed until Sept. 12, 2025, at 90 FR 31140, July 14, 2025. This amendment was further delayed until Dec. 9, 2025, at 90 FR 43539, Sept. 10, 2025. This amendment was further delayed until Mar. 9, 2026, at 90 FR 56967, Dec. 9, 2025. This amendment was further delayed until July 6, 2026, at 91 FR 10955, Mar. 6, 2026. This amendment was further delayed until Dec. 28, 2026, at 91 FR 39851, July 1, 2026. Means of Effecting Compliance § 1040.111 Means available. If there appears to be a failure or threatened failure to comply with any of the provisions of this part, and if the noncompliance or threatened noncompliance cannot be corrected by voluntary means, compliance with this part may be effected by the suspension, termination of, or refusal to grant or to continue Federal financial assistance, or by any other means authorized by law. Such other means may include, but are not limited to: (a) Referral to the Department of Justice with a recommendation that appropriate proceedings be brought to enforce any rights of the United States under any law including the Civil Rights Act of 1964, other statutes to which this part applies, or any assurance or other contractual undertaking; and (b) Any applicable proceeding under State or local law. § 1040.112 Noncompliance with assurances. If an applicant fails or refuses to furnish an assurance required under § 1040.4 of subpart A of this part, or otherwise fails or refuses to comply with a requirement imposed by this part, such as § 1040.102(c), subpart G of this part, action to refuse Federal financial assistance shall be taken in accordance with procedures of § 1040.114 of this subpart. § 1040.113 Deferral. DOE may defer action on pending applications for assistance in such a case during pendency of administrative proceedings under § 1040.114 of this subpart. § 1040.114 Termination of or refusal to grant or to continue Federal financial assistance. No order suspending, terminating, or refusing to grant or continue Federal financial assistance is to become effective until: (a) Informational notice of the proposed order is given to the Executive Assistant to the Secretary, if the action is contemplated against a State or local government; (b) The Director has advised the applicant or recipient of his/her failure to comply and has determined that compliance cannot be secured by voluntary means. (It will be determined by the Director that compliance cannot be secured by voluntary means if it has not been secured within the time periods specifically set forth by this part.) (c) There has been an express finding on the record, after opportunity for hearing, of a failure by the applicant or recipient to comply with the requirement imposed by or under this part: (d) The FERC has notified the Secretary of its finding of noncompliance; and (e) The expiration of 30 days after the Secretary or a designee has filed with the committee of the House of Representatives and the committee of the Senate having legislative jurisdiction over the program involved, a full written report of the circumstances and the grounds for such action. Any action to suspend, terminate, or to refuse to grant or to continue Federal financial assistance is to be limited to the particular political entity or part of that entity or other applicant or recipient to whom the finding has been made and shall be limited in its effect to the particular program or part of the program in which the noncompliance has been found. § 1040.115 Other means authorized by law. No action to effect compliance by any other means authorized by law is to be taken until— (a) The Director has determined that compliance cannot be secured by voluntary means; (b) The recipient or other person has been notified by the Director, in writing, that it has been found in formal noncompliance and that it has 10 days before formal enforcement proceedings begin in which to enter into a written voluntary compliance agreement. (c) The expiration of at least ten (10) days from the mailing of the notice to the recipient or other person. Opportunity for Hearing § 1040.121 Notice of opportunity for hearing. (a) Whenever an opportunity for hearing is required by § 1040.113, the Director, OEO, or his/her designee shall serve on the applicant or recipient, by registered, certified mail, or return receipt requested, a notice of opportunity for hearing which will: (1) Inform the applicant or recipient of the action proposed to be taken and of his/her right within twenty (20) days of the date of the notice of opportunity for hearing, or another period which may be specified in the notice, to request a hearing; (2) Set forth the alleged item or items of noncompliance with this part; (3) Specify the issues; (4) State that compliance with this part may be effected by an order providing for the termination of or refusal to grant or to continue assistance, as appropriate, under the program involved; and (5) Provide that the applicant or recipient may file a written answer with the Director, OEO, to the notice of opportunity for hearing under oath or affirmation within twenty (20) days of its date, or another period which may be specified in the notice. (b) An applicant or recipient may file an answer, and waive or fail to request a hearing, without waiving the requirement for findings of fact and conclusions of law or the right to seek review by the FERC in accordance with the provisions established by the FERC. At the time an answer is filed, the applicant or recipient may also submit written information or argument for the record if he/she does not request a hearing. (c) An answer or stipulation may consent to the entry of an order in substantially the form set forth in the notice of opportunity for hearing. The order may be entered by the General Counsel or his/her designee. The consent of the applicant or recipient to the entry of an order shall constitute a waiver by him/her of a right to: (1) A hearing under Sec. 902 of title IX of the Education Amendments of 1972, Section 602 of title VI of the Civil Rights Act of 1964, Section 16, Section 401 and § 1040.113; (2) Findings of fact and conclusions of law; and (3) Seek review by the FERC. (d) The failure of an applicant or recipient to file an answer within the period prescribed or, if the applicant or recipient requests a hearing, his failure to appear at the hearing shall constitute a waiver by him/her of a right to: (1) A hearing under Section 902 of title IX of the Education Amendments of 1972, Section 602 of title VI of the Civil Rights Act of 1964, Section 16, Section 401, and § 1040.113; (2) Conclusions of law; and (3) Seek review by the FERC. In the event of such a waiver, the Secretary or a designee may find the facts on the basis of the record available and enter an order in substantially the form set forth in the notice of opportunity for hearing. (e) An order entered in accordance with paragraph (c) or (d) of this section shall constitute the final decision of DOE unless the FERC, within forty-five (45) days after entry of the order, issues a subsequent decision which shall then constitute the final decision of DOE. (f) A copy of an order entered by the FERC official shall be mailed to the applicant or recipient and to the complainant, if any. § 1040.122 Request for hearing or review. Whenever an applicant or recipient requests a hearing or review in accordance with § 1040.121(a)(1) or (b), the DOE General Counsel or his/her designee shall submit such request along with other appropriate documents to the FERC. § 1040.123 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 to implement the requirements of the laws cited in this part, the Secretary or a designee, in coordination with FERC may, by agreement with other departments or agencies, where applicable, provide for the conduct of consolidated or joint hearings and for the application to such hearings of rules of procedure not inconsistent with this part. Final decision in such cases, insofar as programs subject to this part are concerned, shall be made in accordance with procedures established by the FERC. § 1040.124 Responsibility of the Federal Energy Regulatory Commission. The FERC has authority under section 402(b) of the DOE Organization Act, Pub. L. 95-91, to promulgate regulations regarding the conduct of hearings to deny or terminate Federal financial assistance. Rules for conduct of hearings will be published by the FERC and will be placed in title 18 CFR. Judicial Review § 1040.131 Judicial review. Final DOE actions taken under this part to withhold or terminate Federal financial assistance are subject to judicial review under the following laws: (a) Title VI—Section 603 of the Civil Rights Act of 1964; (b) Title IX—Section 903 of the Education Amendments of 1972; (c) Section 16, Section 401, Section 504—Pub. L. 89-554, 5 U.S.C. 702; (d) Section 419 and Section 420 of the Energy Conservation and Production Act of 1976, as amended. Appendix A to Part 1040—Federal Financial Assistance of the Department of Energy to Which This Part Applies 1. Access permits. 2. Motion pictures film libraries. 3. Granting of patent licenses. 4. University Laboratory Cooperative Program. 5. Facility training institutes, short courses, and workshops on energy and environmental subjects. 6. Reactor sharing and fuel assistance. 7. Traineeships for graduate students in energy related fields. 8. Energy related laboratory equipment grants. 9. Information services exhibits, public speakers publications, reference and analysis. 10. Payments in lieu of property taxes. 11. Radiological emergency assistance. et seq.; 12. Nuclear industry seminars. 13. Work experience. 14. Citizens: Workshops. 15. Research and development in energy conservation. 16. Energy related inventions. 17. Research and development fission, fossil, solar, geothermal, electric and storage systems, magnetic fusion. 18. Energy Information Administration Clearinghouse (EIAC). 19. National Energy Information Center (NEIC). 20. Grants for Offices of Consumer Services. 21. State Energy Conservation Program. 22. Weatherization Assistance Program for low income persons. 23. Supplemental State Energy Conservation Program. et seq.; 24. Public education in energy. 25. Special studies and projects in energy education and training. 26. Research and development in biomedical and environmental sciences. 27. Preface (Pre-Freshman and Cooperative Education for Minorities In Engineering). 28. Materials allocation. 29. Basic energy sciences, high energy and nuclear physics, and advanced technology and assessment projects. 30. Energy Extension Service.

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