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10 CFR 1040.11
TITLE 10--ENERGY
CHAPTER X--DEPARTMENT OF ENERGY (GENERAL PROVISIONS)
PART 1040--NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS
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
Sec. 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
Sec. 1040.14.
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(b) The application of this subpart is to delivery of services by
and the covered employment practices of recipients and subrecipients
administering, participating in, or substantially benefiting from 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.
Sec. 1040.12 Definitions.
(a) Covered employment means employment practices covered by title
VI, section 16 and section 401.
(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 refers to title VI of the Civil Rights Act of 1964, 42
U.S.C. 2000d et seq. which prohibits discrimination on the ground of
race, color or national origin in programs and activities receiving
Federal financial assistance. The definitions set forth in Sec. 1040.3
of subpart A to the extent not inconsistent with this subpart, are
applicable to and incorporated into this subpart.
Sec. 1040.13 Discrimination prohibited.
(a) General. No person in the United States shall be excluded on the
ground of race, color, national origin, or sex (when covered by section
16 or section 401), from participation in, be denied the benefits of, or
be otherwise subjected to discrimination under any program to which this
subpart applies.
(b) Specific discriminatory action prohibited. A recipient under any
program to which this subpart applies may not, directly or through
contractual or other arrangements, on the ground of race, color,
national origin or sex (when covered by section 16 or section 401):
(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 Sec. 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,
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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 program objectives 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 any portion of any program, function, or
activity conducted by a recipient of Federal financial assistance in
which the program, function, or activity is directly or indirectly
improved, enhanced, enlarged, or benefited by the Federal financial
assistance or by which the recipient makes use of any facility,
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 Sec. 1040.14 of this subpart does not limit the
generality of the prohibition in paragraph (a) of this section.
(g) Exemptions. Exclusion from programs for protected groups. An
individual is not to be considered subjected to discrimination by reason
of his/her exclusion from the benefits of a program limited to
individuals of a particular race, color, national origin or sex
different from his/hers when the exclusion is provided for or required
by Federal law, for example, programs funded exclusively to serve on-
reservation Indians.
Sec. 1040.14 Covered employment.
(a) Employment practices. (1) Whenever a primary objective of the
Federal financial assistance to a program to which this subpart applies
is to provide employment, a recipient of the assistance may not
(directly or through contractual or other arrangements) subject any
individual to discrimination on the grounds of race, color, national
origin, or sex (when covered by section 16 and section 401) in its
employment practices under the program (including recruitment or
recruitment advertising, employment, layoff, or termination, upgrading,
demotion or transfer, training, participation in upward mobility
programs, rates of pay or other forms of compensation, and use of
facilities). This prohibition also applies to programs where the primary
objective of the Federal financial assistance is:
(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
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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 Sec. 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.
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