SECTION 268.710-Compliance Procedures
(a) Applicability. Except as provided in paragraph (b)
of this section, this section, rather than subpart B and section 268.203
of this part, applies to all allegations of discrimination on the
basis of a disability in programs or activities conducted by the Board.
(b) Employment complaints. The Board shall process complaints
alleging discrimination in employment on the basis of a disability
in accordance with subparts A through G of this part.
(c) Responsible official. The EEO programs director
shall be responsible for coordinating implementation of this section.
(d) Filing the complaint
(1) Who may file. Any person who believes that he or
she has been subjected to discrimination prohibited by this subpart
may, personally or by his or her authorized representative, file a
complaint of discrimination with the EEO programs director.
(2) Confidentiality.
The EEO programs director shall not reveal the identity of any person
submitting a complaint, except when authorized to do so in writing
by the complainant, and except to the extent necessary to carry out
the purposes of this subpart, including the conduct of any investigation,
hearing, or proceeding under this subpart.
(3) When to file. Complaints shall be filed within 180
days of the alleged act of discrimination. The EEO programs director
may extend this time limit for good cause shown. For the purpose of
determining when a complaint is timely filed under this paragraph
(d), a complaint mailed to the Board shall be deemed filed on the
date it is postmarked. Any other complaint shall be deemed filed on
the date it is received by the Board.
(4) How to file. Complaints may be delivered or mailed
to the administrative governor, the staff director for management,
the EEO programs director, the Federal Women's Program manager, the
Hispanic Program coordinator, or the Disabled Persons Program coordinator.
Complaints should be sent to the EEO Programs Director, Board of Governors
of the Federal Reserve System, 20th and C Street NW., Washington,
DC, 20551. If any Board official other than the EEO programs director
receives a complaint, he or she shall forward the complaint to the
EEO programs director.
(e) Acceptance of complaint.
(1) The EEO programs director shall accept a complete complaint that
is filed in accordance with paragraph (d) of this section and over
which the Board has jurisdiction. The EEO programs director shall
notify the complainant of receipt and acceptance of the complaint.
(2) If the EEO programs director receives a complaint that is not
complete, he or she shall notify the complainant, within 30 days of
receipt of the incomplete complaint, that additional information is
needed. If the complainant fails to complete the complaint within
30 days of receipt of this notice, the EEO programs director shall
dismiss the complaint without prejudice.
(3) If the EEO programs director receives a complaint over which the
Board does not have jurisdiction, the EEO programs director shall
notify the complainant and shall make reasonable efforts to refer
the complaint to the appropriate government entity.
(f) Investigation/conciliation.
(1) Within 180 days of the receipt of a complete complaint, the EEO
programs director shall complete the investigation of the complaint,
attempt informal resolution of the complaint, and if no informal resolution
is achieved, the EEO programs director shall forward the investigative
report to the staff director for management.
(2) The EEO programs director may request Board employees to cooperate
in the investigation and attempted resolution of complaints. Employees
who are requested by the EEO programs director to participate in any
investigation under this section shall do so as part of their official
duties and during the course of regular duty hours.
(3) The EEO programs director shall furnish the complainant with a
copy of the investigative report promptly after completion of the
investigation and provide the complainant with an opportunity for
informal resolution of the complaint.
(4) If a complaint is resolved informally, the terms of the agreement
shall be reduced to writing and made a part of the complaint file,
with a copy of the agreement provided to the complainant. The written
agreement may include a finding on the issue of discrimination and
shall describe any corrective action to which the complainant has
agreed.
(g) Letter of findings.
(1) If an informal resolution of the complaint is not reached, the
EEO programs director shall transmit the complaint file to the staff
director for management. The staff director for management shall,
within 180 days of the receipt of the complete complaint by the EEO
programs director, notify the complainant of the results of the investigation
in a letter sent by certified mail, return receipt requested, containing-
(i) findings of fact and conclusions of law;
(ii) a description of a remedy for each violation found;
(iii) a notice of right of the complainant to appeal the letter of
findings under paragraph (k) of this section; and
(iv) a notice of right of the complainant to request a hearing.
(2) If the complainant does not file a notice of appeal or does not
request a hearing within the times prescribed in paragraph (h)(1)
and (j)(1) of this section, the EEO programs director shall certify
that the letter of findings under this paragraph (g) is the final
decision of the Board at the expiration of those times.
(h) Filing an appeal.
(1) Notice of appeal, with or without a request for hearing, shall
be filed by the complainant with the EEO programs director within
30 days of receipt from the staff director for management of the letter
of findings required by paragraph (g) of this section.
(2) If the complainant does not request a hearing, the EEO programs
director shall notify the Board of Governors of the appeal by the
complainant and that a decision must be made under paragraph (k) of
this section.
(i) Acceptance of appeal. The EEO programs director
shall accept and process any timely appeal. A complainant may appeal
to the administrative governor from a decision by the EEO programs
director that an appeal is untimely. This appeal shall be filed within
15 calendar days of receipt of the decision from the EEO programs
director.
(j) Hearing.
(1) Notice of a request for a hearing, with or without a request for
an appeal, shall be filed by the complainant with the EEO programs
director within 30 days of receipt from the staff director for management
of the letter of findings required by paragraph (g) of this section.
Upon a timely request for a hearing, the EEO programs director shall
request that the Board of Governors, or its designee, appoint an administrative
law judge to conduct the hearing. The administrative law judge shall
issue a notice to the complainant and the Board specifying the date,
time, and place of the scheduled hearing. The hearing shall be commenced
no earlier than 15 calendar days after the notice is issued and no
later than 60 days after the request for a hearing is filed, unless
all parties agree to a different date.
(2) The hearing, decision, and any administrative review thereof shall
be conducted in conformity with 5 USC 554 557. The administrative
law judge shall have the duty to conduct a fair hearing, to take all
necessary actions to avoid delay, and to maintain order. He or she
shall have all powers necessary to these ends, including (but not
limited to) the power to-
(i) arrange and change the dates, times, and places of hearings and
prehearing conferences and to issue notice thereof;
(ii) hold conferences to settle, simplify, or determine the issues
in a hearing, or to consider other matters that may aid in the expeditious
disposition of the hearing;
(iii) require parties to state their positions in writing with respect
to the various issues in the hearing and to exchange such statements
with all other parties;
(iv) examine witnesses and direct witnesses to testify;
(v) receive, rule on, exclude, or limit evidence;
(vi) rule on procedural items pending before him or her; and
(vii) take any action permitted to the administrative law judge as
authorized by this subpart G or by the provisions of the Administrative
Procedures Act (5 USC 554 557).
(3) Technical rules of evidence shall not apply to hearings conducted
pursuant to this paragraph (j), but rules or principles designed to
ensure production of credible evidence and to subject testimony to
cross-examination shall be applied by the administrative law judge
wherever reasonably necessary. The administrative law judge may exclude
irrelevant, immaterial, or unduly repetitious evidence. All documents
and other evidence offered or taken for the record shall be open to
examination by the parties, and opportunity shall be given to refute
facts and arguments advanced on either side of the issues. A transcript
shall be made of the oral evidence except to the extent the substance
thereof is stipulated for the record. All decisions shall be based
upon the hearing record.
(4) The costs and expenses for the conduct of a hearing shall be allocated
as follows:
(i) Employees of the Board shall, upon the request of the administrative
law judge, be made available to participate in the hearing and shall
be on official-duty status for this purpose. They shall not receive
witness fees.
(ii) Employees of other federal agencies called to testify at a hearing,
at the request of the administrative law judge and with the approval
of the employing agency, shall be on official-duty status during any
absence from normal duties caused by their testimony, and shall not
receive witness fees.
(iii) The fees and expenses of other persons called to testify at
a hearing shall be paid by the party requesting their appearance.
(iv) The administrative law judge may require the Board to pay travel
expenses necessary for the complainant to attend the hearing.
(v) The Board shall pay the required expenses and charges for the
administrative law judge and court reporter.
(vi) All other expenses shall be paid by the parties incurring them.
(5) The administrative law judge shall submit in writing recommended
findings of fact, conclusions of law, and remedies to the complainant
and the EEO programs director within 30 days, after the receipt of
the hearing transcripts, or within 30 days after the conclusion of
the hearing if no transcripts are made. This time limit may be extended
with the permission of the EEO programs director.
(6) Within 15 calendar days after receipt of the recommended decision
of the administrative law judge, the complainant may file exceptions
to the recommended decision with the EEO programs director. On behalf
of the Board, the EEO programs director may, within 15 calendar days
after receipt of the recommended decision of the administrative law
judge, take exception to the recommended decision of the administrative
law judge and shall notify the complainant in writing of the Board's
exception. Thereafter, the complainant shall have 10 calendar days
to file reply exceptions with the EEO programs director. The EEO programs
director shall retain copies of the exceptions and replies to the
Board's exception for consideration by the Board. After the expiration
of the time to reply, the recommended decision shall be ripe for a
decision under paragraph (k) of this section.
(k) Decision.
(1) The EEO programs director shall notify the Board of Governors
when a complaint is ripe for decision under this paragraph (k). At
the request of any member of the Board of Governors made within 3
business days of such notice, the Board of Governors shall make the
decision on the complaint. If no such request is made, the administrative
governor, or the staff director for management if he or she is delegated
the authority to do so, shall make the decision on the complaint.
The decision shall be made based on information in the investigative
record and, if a hearing is held, on the hearing record. The decision
shall be made within 60 days of the receipt by the EEO programs director
of the notice of appeal and investigative record pursuant to paragraph
(h)(1) of this section or 60 days following the end of the period
for filing reply exceptions set forth in paragraph (j)(6) of this
section, whichever is applicable. If the decision maker under this
paragraph (k) determines that additional information is needed from
any party, the decision maker shall request the information and provide
the other party or parties an opportunity to respond to that information.
The decision maker shall have 60 days from receipt of the additional
information to render the decision on the appeal. The decision maker
shall transmit the decision by letter to all parties. The decision
shall set forth the findings, any remedial actions required, and the
reasons for the decision. If the decision is based on a hearing record,
the decision maker shall consider the recommended decision of the
administrative law judge and render a final decision based on the
entire record. The decision maker may also remand the hearing record
to the administrative law judge for a fuller development of the record.
(2) The Board shall take any action required under the terms of the
decision promptly. The decision maker may require periodic compliance
reports specifying-
(i) the manner in which compliance with the provisions of the decision
has been achieved;
(ii) the reasons any action required by the final Board decision has
not been taken; and
(iii) the steps being taken to ensure full compliance.
(3) The decision maker may retain responsibility for resolving disputes
that arise between parties over interpretation of the final Board
decision, or for specific adjudicatory decisions arising out of implementation.