Number: 

DAO 201-7

SECTION 1.  PURPOSE.

.01    This Order establishes policies and procedures for enforcing non-discrimination laws and regulations as they pertain to programs and activities receiving Federal financial assistance from the Department of Commerce (the Department).

.02    This revision is a substantive update of the entire Order.  It also reflects a title change.

SECTION 2.  PROGRAMS TO WHICH ORDER APPLIES.

.01    Federally Assisted Programs and Activities.  This Order applies to each recipient program or activity receiving Federal financial assistance from the Department, including all Departmental offices and operating units.

.02    This Order does not apply to employment or application for employment with the Department.  The policies and procedures for processing discrimination complaints for employees and applicants are set forth in Department Administrative Order 215-9, "Processing Complaints of Discrimination."

SECTION 3.  AUTHORITIES.

.01    Recipients of Federal financial assistance and other parties may be required to comply with the following laws and regulations, as applicable:

a.    Department of Commerce regulations, 15 CFR, Parts 8, 8a, 8b, 8c, and 20;

b.    Economic Development Administration regulations, 13 CFR § 302.20;

c.    Title VI of the Civil Rights Act of 1964, 42 U.S.C. §§ 2000d–2000d-7;

d.    Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794;

e.    The Age Discrimination Act of 1975, 42 U.S.C. § 6101, et seq.;

f.    Title IX of the Education Amendments Act of 1972, 20 U.S.C. § 1681, et seq.;

g.    The Public Works and Economic Development Act, as amended, 42 U.S.C. § 3123;

h.    The Public Works Employment Act of 1976, 42 U.S.C. § 6709; and

i.    Any other Federal funding statutes and regulations not identified in this list that include non-discrimination requirements as a condition of receipt of federal financial assistance.

SECTION 4.  DEPARTMENTAL ENFORCEMENT RESPONSIBILITY.

.01    The Chief Financial Officer and Assistant Secretary for Administration (CFO/ASA), by Department Organization Order 10-5, is authorized to carry out the Secretary's responsibilities for fulfilling the objectives of and effecting compliance throughout the Department with respect to non-discrimination laws and their implementing regulations identified in this Order.  The CFO/ASA is also authorized to act as Grants Officer for the Department, and to exercise signature authority to award Federal financial assistance in consideration of recommendations made by Department program officials.

.02    The Director, Office of Civil Rights (OCR), by Department Organization Order 20-10, is authorized, subject to the limitations on redelegation set forth in the statutes and implementing regulations in this Order, to carry out the CFO/ASA's responsibilities with respect to ensuring compliance with federal non-discrimination laws and their implementing regulations discussed in this Order.

SECTION 5.  ASSIGNMENT OF RESPONSIBILITIES.

.01    OCR, on behalf of the CFO/ASA, shall:

a.    Coordinate and conduct the day-to-day operations of the External Civil Rights Program, which handles the Departmental responsibilities of the statutes and regulations identified in this Order;

b.    With Operating Units, when involving Operating Unit's Federal financial assistance, and OGC input when requested and/or appropriate, review and make recommendations to the CFO/ASA concerning the approval of the form and content of non-discrimination clauses, instructions, procedures, interpretations and other materials of general applicability proposed for use or issuance in relation to the implementation or compliance with non-discrimination requirements identified in this Order by a Departmental office or primary operating unit;

c.    Represent the Department in the development of and participation in Government-wide systems and groups required to coordinate and administer non-discrimination laws and their implementing regulations; assign responsibilities, with their consent, to officials of other departments or agencies of the Government in connection with accomplishing the purposes of said laws and regulations; and act otherwise to achieve effective coordination and maximum uniformity within the Department and within the Executive Branch;

d.    Develop methods, in conjunction with applicable Departmental offices and primary operating units, and with OGC input, when requested and/or appropriate, for conducting annual compliance reviews in order to determine whether a recipient is in compliance with applicable non-discrimination requirements of the statutes and regulations in this Order;

e.    Carry out the methods developed in paragraph d of this subsection for determining for which recipients to conduct a compliance review, conducting the review, determining whether a violation of a statute or regulation has occurred, negotiating voluntary compliance if necessary, and if agreement is reached, carrying out the agreement;

f.    Develop methods, with OGC input, when requested and/or appropriate, for conducting complaint investigations to determine whether a recipient is in compliance with applicable non-discrimination requirements of the statutes and regulations in this Order;

g.    Carry out the methods developed in paragraph f of this subsection for determining when to open an investigation, investigating, determining whether a violation of a statute or regulation in this Order has occurred, conducting negotiations to seek voluntary compliance if necessary, and if agreement is reached, carrying out the agreement;

h.    Issue formal determinations of compliance, voluntary resolution agreement, and/or formal investigation closure, in conjunction with applicable Departmental office or primary operating unit, and OGC input, when requested and/or appropriate, to complete a compliance review or complaint process;

i.    Prepare any required reports; and

j.    Serve as advisor to the CFO/ASA on matters pertaining to external civil rights.

.02    The head of each Departmental office or primary operating unit or their designee, with respect to financial assistance programs for which their office is responsible, shall:

a.    Prepare and issue statements of assurance, non-discrimination clauses, and other forms and instructions, as appropriate;

b.    Provide applicants, recipients, and other parties access to the regulations and forms and instructions, including statements of assurance, compliance reports, etc.;

c.    Develop methods, in conjunction with OCR and with OGC input, when requested and/or appropriate, for conducting annual compliance reviews to determine whether a recipient is in compliance with applicable non-discrimination requirements of the statutes and regulations in this Order;

d.    Develop methods, in collaboration with OCR, to inform applicants, recipients, other parties, beneficiaries, program participants, and other interested parties of the laws and the regulations set forth in Section 3, and of their rights and responsibilities pursuant thereto;

e.    Provide information to OCR regarding whether an entity that is alleged to have discriminated is a recipient of Federal financial assistance of that Departmental office or operating unit when requested;

f.    Develop methods to inform staff within their Departmental office or operating unit of and ensure compliance with the requirements of this Order; and

g.    Designate an official within the Departmental office or operating unit to exercise general oversight for the effective implementation of this Order and to coordinate with OCR and other Departmental offices, as applicable.

.03    The Office of the General Counsel shall:

a.    Provide input, when requested and/or appropriate, to OCR and applicable Departmental offices and primary operating units, for conducting annual compliance reviews to determine whether a recipient is in compliance with applicable non-discrimination requirements of the statutes and regulations in this Order;

b.    Provide input, when requested and/or appropriate, to OCR and appropriate Departmental offices and operating units, review and make recommendations to the CFO/ASA concerning the approval of the form and content of non-discrimination clauses, instructions, procedures, interpretations, and other materials of general applicability proposed for use or issuance to implement the statutes and their implementing regulations identified in this Order;

c.    Provide input, when requested and/or appropriate, to OCR in developing methods for conducting complaint investigations in order to determine whether a recipient is in compliance with applicable non-discrimination requirements of the statutes and regulations in this Order; and

d.    Provide input, when requested and/or appropriate, to OCR in conducting formal investigations, voluntary resolution negotiations, drafting voluntary resolution agreements, monitoring recipient compliance, determining compliance with agreement, and/or closing a formal investigation.

SECTION 6.  EFFECT ON OTHER ORDERS.

.01    This Order supersedes Department Administrative Order 201-7, dated June 10, 2009.

Signed by: Director for Civil Rights

Approved by: Chief Financial Officer and Assistant Secretary for Administration

Office of Primary Interest: Office of Civil Rights