94-18935. Procedures for Coordinating the Investigation of Complaints or Charges of Employment Discrimination Based on Disability Subject to the Americans With Disabilities Act and Section 504 of the Rehabilitation Act of 1973; Final Rule DEPARTMENT ...  

  • [Federal Register Volume 59, Number 149 (Thursday, August 4, 1994)]
    [Unknown Section]
    [Page 0]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 94-18935]
    
    
    [[Page Unknown]]
    
    [Federal Register: August 4, 1994]
    
    
    _______________________________________________________________________
    
    Part V
    
    Department of Justice
    
    Equal Employment Opportunity Commission
    _______________________________________________________________________
    
    
    
    28 CFR Part 37
    
    
    
    29 CFR Part 1640
    
    
    
    
    Procedures for Coordinating the Investigation of Complaints or Charges 
    of Employment Discrimination Based on Disability Subject to the 
    Americans With Disabilities Act and Section 504 of the Rehabilitation 
    Act of 1973; Final Rule
    DEPARTMENT OF JUSTICE
    
    28 CFR Part 37
    
    [A.G. Order No. 1899-94]
    RIN 1190-AA29
    
    EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
    
    29 CFR Part 1640
    
    RIN 3046-AA42
    
     
    Procedures for Coordinating the Investigation of Complaints or 
    Charges of Employment Discrimination Based on Disability Subject to the 
    Americans With Disabilities Act and Section 504 of the Rehabilitation 
    Act of 1973
    
    AGENCIES: Department of Justice and Equal Employment Opportunity 
    Commission.
    
    ACTION: Joint final rule.
    
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    SUMMARY: Section 107(b) of the Americans with Disabilities Act of 1990 
    (ADA) requires that the Department of Justice (the Department), the 
    Equal Employment Opportunity Commission (the Commission or the EEOC), 
    and the Department of Labor's Office of Federal Contract Compliance 
    Programs issue regulations setting forth procedures to coordinate the 
    processing of complaints that fall within the overlapping jurisdiction 
    of title I of the ADA and the Rehabilitation Act of 1973, to ensure 
    that such complaints are dealt with in a manner that avoids duplication 
    of effort and prevents the imposition of inconsistent or conflicting 
    standards. Pursuant to this mandate, the Department of Justice and the 
    EEOC are publishing a joint final rule implementing section 107(b) as 
    it pertains to title I of the ADA and section 504 of the Rehabilitation 
    Act of 1973. In addition, this regulation describes the existing 
    procedures for processing: Employment complaints that fall within the 
    overlapping jurisdiction of title II of the ADA and either title I or 
    section 504 of the Rehabilitation Act, or both; and employment 
    complaints that arise solely under title I or section 504. A joint 
    final rule developed by the EEOC and the Department of Labor 
    implementing section 107(b) as it pertains to title I and section 503 
    of the Rehabilitation Act has been published separately in the Federal 
    Register of January 24, 1992.
    
    EFFECTIVE DATE: August 4, 1994.
    
    FOR FURTHER INFORMATION CONTACT: Merrily A. Friedlander, Acting Chief, 
    Coordination and Review Section, Civil Rights Division, U.S. Department 
    of Justice, P.O. Box 66118, Washington, D.C. 20035-6118. She can also 
    be contacted through the Division's ADA Information Line at (202) 514-
    0301 or (800) 514-0301 (voice), or (202) 514-0383 or (800) 514-0383 
    (TDD).
        Elizabeth M. Thornton, Deputy Legal Counsel, Equal Employment 
    Opportunity Commission, 1801 L Street NW., Washington, DC 20507, (202) 
    663-4638 (voice), (202) 663-7026 (TDD). Only the 800 numbers listed 
    above are toll-free numbers.
        Copies of this rule are available in the following alternate 
    formats: large print, Braille, electronic file or computer disk, and 
    audio tape. Copies may be obtained by calling (800) 669-3362 (voice) or 
    (800) 800-3302 (TDD).
    
    SUPPLEMENTARY INFORMATION:
    
    Background
    
        Title I of the ADA, 42 U.S.C. 12111-12117, prohibits discrimination 
    against qualified individuals with disabilities in all aspects of 
    employment. Title I of the ADA became effective on July 26, 1992, with 
    respect to employers with 25 or more employees. 42 U.S.C. 12111(5)(A). 
    On July 26, 1994, this coverage will be extended to employers with 15 
    or more employees. Id. The EEOC is authorized to investigate and 
    attempt to resolve charges of employment discrimination under title I.
        Subtitle A of title II of the ADA, 42 U.S.C. 12131-12134, prohibits 
    discrimination against qualified individuals with disabilities on the 
    basis of disability by State and local governmental entities in their 
    services, programs, and activities, including employment. As of January 
    26, 1992, the effective date of title II, all State and local 
    governmental entities, regardless of the number of persons they employ, 
    were prohibited from discriminating on the basis of disability in 
    employment. The Department of Justice has issued a regulation 
    implementing title II, which provides that eight designated Federal 
    agencies shall investigate and attempt to resolve complaints of 
    discrimination under title II. Complaints that arise solely under title 
    II are investigated by the designated agency most closely related to 
    the functions exercised by the governmental component against which the 
    complaint is lodged. See 28 CFR part 35 (56 FR 35694, July 26, 1991).
        Section 504 of the Rehabilitation Act of 1973, as amended, 29 
    U.S.C. 794, prohibits discrimination on the basis of disability 
    (formerly, ``handicap'') in programs and activities receiving Federal 
    financial assistance or conducted by any Executive agency. The 
    nondiscrimination requirements of section 504 are applicable to 
    employment in Federally-assisted programs. Each Federal agency that 
    extends Federal financial assistance is responsible for compliance with 
    section 504 in the programs it funds. More than twenty-five Federal 
    agencies have issued regulations implementing section 504 for their 
    Federally-assisted programs. These agencies are referred to in this 
    rule as section 504 agencies.
        The substantive prohibitions and coverage of title I, title II, and 
    section 504 overlap to a significant extent. There is, therefore, a 
    potential for duplicative efforts by the many Federal agencies 
    responsible for ensuring compliance with these laws in their processing 
    of complaints. Thus, pursuant to section 107(b) of the ADA, the 
    Department and the Commission are promulgating this joint final rule to 
    establish procedures for coordinating the processing of complaints that 
    fall within the overlapping jurisdiction of section 504 and title I of 
    the ADA. For convenience and clarity in processing complaints, this 
    rule also incorporates the provisions established by the Department's 
    title II rule at 28 CFR 35.171(b)(2)-(3) for coordinating the 
    processing of complaints against public entities: (i) that fall within 
    the jurisdiction of title II and title I (but are not covered by 
    section 504); and (ii) that are covered by title II, but not title I 
    (whether or not they are also covered by section 504). This reiteration 
    of title II procedures does not amend or change the title II regulation 
    as previously published. The Commission does not express an opinion on 
    the title II procedures set forth herein, since they merely repeat a 
    previously published regulation over which the Commission has no direct 
    authority. The Commission and the Department of Labor also have 
    published joint rules implementing section 107(b) of the ADA as it 
    pertains to title I and section 503 of the Rehabilitation Act. See 29 
    CFR part 1641, 41 CFR part 60-742 (57 FR 2960, January 24, 1992).
    
    Analysis of Comments and Revisions
    
    Overview
    
        The Commission received ten comments in response to a notice of 
    proposed rulemaking (NPRM) published jointly with the Department of 
    Justice on April 21, 1992. 57 FR 14630. In addition, the Commission 
    received comments from various affected Federal agencies on both the 
    proposed regulation and on the draft final regulation, pursuant to 
    interagency coordination under Executive Order 12067. The Commission 
    and the Department of Justice have carefully considered all of the 
    comments and made various revisions in response to them. A number of 
    commenters expressed reservations about the feasibility of the 
    procedures set forth in the NPRM and suggested various alternative 
    procedures. Several commenters strongly urged that procedures similar 
    to those set forth in the regulation promulgated to coordinate 
    processing of complaints of employment discrimination filed against 
    recipients of federal financial assistance be adopted. See 28 CFR part 
    42; 29 CFR part 1691 (hereinafter, the title VI/title VII regulation). 
    The title VI/title VII regulation established procedures for handling 
    complaints of employment discrimination filed against recipients of 
    Federal financial assistance subject to title VI of the Civil Rights 
    Act of 1964, title IX of the Education Amendments of 1972, the State 
    and Local Fiscal Assistance Act of 1972, as amended, and other 
    provisions of Federal law that prohibit discrimination on grounds of 
    race, color, religion, sex, or national origin, in programs or 
    activities receiving Federal financial assistance, when there is 
    overlapping jurisdiction under title VII of the Civil Rights Act of 
    1964.
        Under the NPRM's ``first filed approach,'' the EEOC and any section 
    504 agency with jurisdiction over a charge or complaint would process 
    those charges or complaints that were actually filed with it, pursuant 
    to title I of the ADA or section 504, respectively. In the case of a 
    charge or complaint that was physically filed with both the EEOC and a 
    section 504 agency with jurisdiction, the agency that first received 
    the complaint or charge would process it, absent special circumstances, 
    while the second agency would defer processing pending the conclusion 
    of the first agency's investigation. Numerous section 504 agencies 
    expressed concern about the practical difficulties inherent in the 
    NPRM's approach, including ascertaining which agency actually received 
    a charge or complaint first in the case of a charge or complaint filed 
    with both the EEOC and a section 504 agency. Accordingly, as suggested 
    by a number of commenters, the final regulation adopts an approach 
    similar to that of the title VI/title VII regulation. Under the final 
    rule, a complaint solely alleging employment discrimination against a 
    single individual (hereinafter, an individual complaint) that is filed 
    with a section 504 agency with jurisdiction over the complaint will 
    ordinarily be transferred to the EEOC for processing, unless the 
    complainant specifically requests processing by the section 504 agency. 
    Section 504 agencies, however, will retain for processing any 
    complaints that allege: (i) a pattern or practice of discrimination in 
    employment; or (ii) discrimination both in employment and in other 
    services or practices of a respondent that are covered by section 504. 
    For a comprehensive analysis of the new procedures, see the discussion 
    of Sec. ____.6, below.
        The NPRM presented two options regarding the legal standard to be 
    applied by section 504 agencies, and the preamble to the NPRM discussed 
    the rationale for each option. Although numerous comments on these 
    options were received in response to the NPRM, recent amendments to the 
    Rehabilitation Act have resolved this issue. See section 506 of the 
    Rehabilitation Act Amendments of 1992, Pub. L. 102-569, 106 Stat. 4344. 
    Therefore, as provided in that amendment, the final regulation directs 
    section 504 agencies to apply the standards of title I of the ADA. See 
    the discussion of Sec. ____.12, below.
        Commenters also requested that time frames for the processing of 
    complaints be added to the final regulation. Because, in certain cases, 
    individual agencies may have requirements that preclude meeting fixed 
    time frames for certain stages of the complaint investigation process, 
    this suggestion has not been adopted. For example, when disclosure of 
    the complainant's identity is necessary for the investigation of a 
    section 504 or title II complaint, the Department requires receipt of a 
    signed consent form from the complainant prior to notifying a 
    respondent that the Department has received a complaint of 
    discrimination. Therefore, the final regulation retains the more 
    general requirement that agencies act promptly and in accordance with 
    applicable law.
        Various commenters also noted the inefficiency of the requirement 
    that a section 504 agency refer a complaint to the Civil Rights 
    Division for a determination of jurisdiction when the agency does not 
    have section 504 jurisdiction, but does have title II jurisdiction. In 
    response, the regulation has been revised to require that a complaint 
    be referred to the Civil Rights Division only when the section 504 
    agency that initially receives the complaint has neither section 504 
    nor title II jurisdiction.
    
    Section-by-Section Analysis
    
    Section ____.1 Purpose and Application
        Section ____.1 of the final rule, ``Purpose and application,'' 
    explains that the rule establishes the coordination procedures to be 
    followed by the Federal agencies responsible for processing complaints 
    of employment discrimination filed against recipients of Federal 
    financial assistance and arising under section 504 and title I of the 
    ADA. In addition to establishing those new procedures, the rule also 
    restates and integrates into one comprehensive regulation those 
    provisions of the Department's existing title II regulation that 
    established the procedures for coordinating the processing of 
    complaints covered by title II of the ADA and either title I or section 
    504, or both. The rule does not amend the title II regulation, but 
    simply locates all of the applicable regulations regarding coordination 
    in a single source.
    Section ____.2 Definitions
        Section ____.2 defines a number of terms used in the rule. A 
    definition of the term ``due weight'' has been added, supplementing the 
    discussion in the preamble.
        The definitions of Federal financial assistance and program or 
    activity, both of which relate to the determination of whether 
    jurisdiction exists under section 504, have been revised from those 
    contained in the NPRM. The NPRM originally contained a detailed 
    definition of Federal financial assistance. However, in recognition of 
    the fact that this definition may vary among section 504 agency 
    regulations due to the nature of financial assistance provided by each 
    agency, the new definition simply refers to the definitions adopted by 
    each section 504 agency in its regulation implementing section 504 for 
    Federally-assisted programs.
        The definition of program or activity under section 504 was 
    modified by the Civil Rights Restoration Act of 1987, Pub. L. 100-259, 
    102 Stat. 29, for all section 504 agencies. Therefore, to avoid any 
    inconsistency between this rule and any agency regulations implementing 
    section 504 that may not have been amended to reflect this change to 
    the Rehabilitation Act, the new definition references the statutory 
    definition.
    Section ____.3 Exchange of Information
        Section ____.3 requires the agencies responsible for enforcing the 
    ADA and section 504 to share information.
    Section ____.4 Confidentiality
        Section ____.4(a) states that the confidentiality obligations 
    applicable to the EEOC under the ADA also apply to section 504 agencies 
    and designated agencies when information obtained by the EEOC is 
    transmitted to such agencies, except when the agency receives the same 
    information from a source other than the EEOC. Section ____.4(b) states 
    that when the EEOC receives information from section 504 or designated 
    agencies, the EEOC shall comply with any confidentiality requirements 
    applicable to that information.
    Section ____.5 Date of Receipt
        Section ____.5 states that a complaint or charge of employment 
    discrimination is deemed to be filed, for purposes of determining 
    timeliness, on the date the complaint or charge is first received by a 
    Federal agency with jurisdiction under section 504 or the ADA, 
    regardless of whether it is subsequently transferred to another agency 
    for processing.
    Section ____.6 Processing of Complaints of Employment Discrimination 
    Filed With an Agency Other Than the EEOC
        Section ____.6 describes the basic procedures that section 504 
    agencies and the agencies designated to process complaints under the 
    Department's title II regulation will follow in determining whether to 
    process an employment complaint or to refer it to another agency. The 
    primary purpose of the rule is to establish procedures for coordinating 
    the processing of complaints or charges of employment discrimination 
    arising under section 504 and title I of the ADA. However, the 
    procedures for coordinating the processing of complaints or charges of 
    employment discrimination against public entities: (i) that fall under 
    the jurisdiction of title II and title I (but not section 504); and 
    (ii) that fall under the jurisdiction of title II, but not title I 
    (whether or not covered by section 504) established by Sec. 35.171 of 
    the Department's title II regulation, have been restated here and 
    integrated with the section 504 processing procedures for clarity and 
    ease in processing by the affected agencies.
        Section ____.6 has been revised to eliminate the requirement that 
    the initial receiving agency, or the Civil Rights Division, when a 
    complaint is forwarded to it for a determination of jurisdiction, 
    provide notice to the affected parties. As previously written, the 
    regulation required notification by any agency that came into contact 
    with a complaint or charge even if the complaint or charge was 
    immediately forwarded to another agency. Instead of multiple 
    notifications, the final rule now provides for a more efficient single 
    notification at such time as the appropriate processing agency receives 
    the complaint or charge, in accordance with agency policy and 
    applicable law.
        Paragraph (b) of Sec. ____.6 has been revised to provide that, if 
    an agency determines pursuant to paragraph (a) that it does not have 
    jurisdiction under section 504 or title II, and that the EEOC does not 
    have jurisdiction under title I, the agency shall promptly refer the 
    complaint to the Civil Rights Division. This is a change from the 
    procedure set forth in the NPRM, which required a section 504 agency to 
    refer all title II complaints to the Civil Rights Division. The 
    revision was made in response to various comments pointing out that 
    this was an inefficient procedure when the section 504 agency was 
    certain that it was the designated agency under title II, and that the 
    complaint would be referred back to it by the Civil Rights Division.
        Upon receipt of a referred complaint, the Civil Rights Division 
    will determine whether another Federal agency may have jurisdiction 
    over the complaint under section 504 (that is, a Federal agency may be 
    providing financial assistance to the respondent) or under title II 
    (that is, the entity that is the subject of the complaint may be a 
    public entity). When the Civil Rights Division finds such jurisdiction, 
    it shall promptly refer the complaint to the appropriate agency.
        Paragraph (c) of Sec. ____.6 sets forth the circumstances under 
    which an agency that is a section 504 agency, a designated agency, or 
    both, will promptly refer a complaint to the EEOC for investigation and 
    processing. In addition to: (i) revising the regulation to reflect the 
    procedures of the title VI/title VII regulation (which generally 
    results in individual complaints being referred for processing to the 
    EEOC); and (ii) incorporating the procedures already established by the 
    title II regulation, paragraph (c) and the balance of Sec. ____.6 more 
    specifically set forth the requirements for either referral or 
    retention applicable to each type of agency. Unlike the procedural 
    scheme set forth in the NPRM, under which a complaint or charge could 
    only be dual filed if it were actually filed with both a section 504 
    agency and the EEOC, a complaint or charge filed with one agency will 
    now be deemed to be dual filed under both title I and section 504 under 
    certain circumstances, as set forth in this section and in Sec. ____.7.
        Paragraph (c)(1) of Sec. ____.6 describes the rule applicable to an 
    agency that receives a complaint of employment discrimination under 
    section 504 or title II and determines that it does not have 
    jurisdiction over the complaint. If the agency determines that the EEOC 
    may have jurisdiction, the agency is required to promptly forward the 
    complaint to the EEOC for processing. In certain instances this may 
    require consultation with the EEOC. This paragraph establishes the 
    requirements for section 504 and other agencies and includes the 
    requirements established by Sec. 35.171(b)(2) of the title II 
    regulation with respect to designated agencies.
        Paragraph (c)(2) establishes the referral requirements applicable 
    to section 504 agencies and requires a section 504 agency that 
    otherwise has jurisdiction over a complaint of employment 
    discrimination to refer the complaint to the EEOC when the complaint 
    solely alleges discrimination against an individual, unless the EEOC 
    lacks jurisdiction over the complaint under title I, or the complainant 
    requests that the section 504 agency retain jurisdiction, either 
    independently, or following receipt of the notice letter described in 
    paragraphs (c)(2)(ii)(A) and (c)(2)(ii)(B).
        The referral to the EEOC of complaints solely alleging employment 
    discrimination against individuals is a significant change in procedure 
    from the NPRM. The revision was made in response to numerous comments 
    urging this approach, which is consistent with the title VI/title VII 
    regulation. This approach will serve to minimize duplicative efforts 
    because the EEOC, in general, will be the primary agency investigating 
    individual complaints of disability discrimination in employment. An 
    individual's private right of action under title I of the ADA will also 
    be preserved under this approach, since these section 504 complaints 
    also will be deemed to be dual filed under title I. However, in order 
    to preserve an individual's right to have his or her complaint 
    processed by the section 504 agency, paragraph (c)(2)(i)(B) requires 
    the section 504 agency to retain the complaint for investigation if the 
    complainant so requests.
        Paragraphs (c)(2)(ii)(A) and (c)(2)(ii)(B) describe the notice 
    letter a section 504 agency is required to send promptly to each 
    complainant before the agency refers a complaint solely alleging 
    employment discrimination against an individual to the EEOC. The 
    purpose of the letter is to inform an individual who has initially 
    filed his or her complaint with the appropriate section 504 agency of 
    the basic implications of a referral of that complaint to the EEOC. It 
    is anticipated that the vast majority of individual complaints will be 
    referred to the EEOC, with the section 504 agency deferring its review 
    and processing until the conclusion of the EEOC's processing. However, 
    because an automatic referral to the EEOC of a complaint filed with a 
    section 504 agency may be contrary to the complainant's expectations, 
    complainants will be given the choice of having the EEOC or the section 
    504 agency investigate the complaint.
        Each agency will develop its own letter informing the complainant 
    that the agency will refer the complaint to the EEOC for investigation 
    and processing, unless the agency receives a written request to the 
    contrary from the complainant within twenty days of the date of the 
    notice letter. The agency notice letter shall explain: (i) that 
    agency's procedures for processing section 504 complaints; and (ii) the 
    EEOC's procedures for processing complaints under title I. The agency 
    notice letter shall also inform individuals of the potential for 
    differing remedies under each statute.
        Paragraph (c)(3) describes the procedure for referral by designated 
    agencies, as established by Sec. 35.171(b)(2) of the title II 
    regulation. If a designated agency does not have section 504 
    jurisdiction, and determines that the EEOC may have title I 
    jurisdiction, it shall promptly refer the complaint to the EEOC.
        Paragraph (c)(4)(i) provides that complaints referred to the EEOC 
    by an agency with section 504 jurisdiction will be deemed to be dual 
    filed under both section 504 and title I. As a consequence, the section 
    504 agency, although required to defer its processing of the complaint, 
    will have an opportunity to review the EEOC's findings and take any 
    further action it deems appropriate, as provided in Sec. ____.10. 
    Paragraph (c)(4)(ii) further provides that a complaint referred to the 
    EEOC by an agency that has jurisdiction over the complaint under title 
    II only (and not under section 504) will be treated as a complaint 
    filed under title I only. See 28 CFR 35.171(b)(2).
        The distinction between the treatment of these two types of 
    complaints, those falling within the province of section 504 and those 
    arising only under the ADA, is based on the ADA's statutory mandate to 
    preserve the rights, remedies, and procedures of any Federal law that 
    provides greater or equal protection to individuals with disabilities 
    than are afforded by the ADA. Permitting section 504 agencies to review 
    complaints originally filed with those agencies preserves section 504 
    remedies, including an agency's prerogative to terminate the federal 
    funding of the respondent. It is anticipated that the fact that fund 
    termination is ultimately available as an administrative remedy will 
    encourage respondents to resolve valid claims through negotiation with 
    the EEOC rather than through litigation. Because Sec. ____.10(c) 
    requires the reviewing section 504 agency to give due weight to the 
    EEOC's findings and conclusions, it is also anticipated that, in most 
    instances, further action by the section 504 agency will not be 
    necessary.
        Paragraph (c)(4)(iii) states that any complaint referred to the 
    EEOC shall be processed pursuant to title I procedures. Specifically, 
    the EEOC will notify respondents of its receipt of a complaint in 
    accordance with its usual procedures for notification following receipt 
    of a charge.
        Paragraph (d) of Sec. ____.6 describes the circumstances under 
    which an agency shall retain a complaint for investigation (rather than 
    referring it to the EEOC or the Civil Rights Division). The general 
    rule applicable to section 504 agencies, as stated in paragraph (d)(1), 
    is that a section 504 agency shall retain a complaint when it 
    determines that it has section 504 jurisdiction over the complaint and 
    that any one or more of the following are true: (i) the EEOC does not 
    have jurisdiction over the complaint; (ii) the EEOC has jurisdiction 
    over the complaint, but the complainant requests that the complaint be 
    investigated by the agency rather than being referred; (iii) the 
    complaint alleges discrimination in both employment and in other 
    services or practices of the respondent that are covered by section 
    504; or (iv) the complaint alleges a pattern or practice of 
    discrimination in employment. Such complaints will not be deemed dual 
    filed under title I of the ADA.
        This procedure is consistent with the approach taken in the title 
    VI/title VII regulation. For reasons of efficiency, section 504 
    agencies will ordinarily process complaints that allege disability 
    discrimination in both employment and other practices of a recipient, 
    because the EEOC has no jurisdiction over the latter. Historically, 
    under both section 504 and other civil rights statutes, agencies have 
    also had a particular interest in the enforcement of pattern or 
    practice cases of employment discrimination against recipients of 
    Federal assistance, and agencies shall continue to investigate such 
    complaints. It should be noted that the term ``pattern or practice'' of 
    discrimination is intended to mean systemic or class complaints 
    generally. Although the term ``pattern or practice'' of discrimination 
    is sometimes used in a more narrow sense to refer to intentional 
    discrimination or disparate treatment on a classwide level, the term 
    was used in the title VI/title VII rule to refer to both adverse impact 
    cases and cases of intentional discrimination affecting a class of 
    protected individuals.
        The provisions described above only apply when a complaint is filed 
    with a section 504 agency. The EEOC will always process all charges, 
    including class charges, that are solely filed with the EEOC.
        Paragraph (d)(2) restates the principle established in the title II 
    regulation that an agency shall retain a complaint for investigation 
    when it determines that: (i) it has jurisdiction over the complaint as 
    a designated agency; and (ii) that the EEOC does not have jurisdiction 
    over the complaint under title I. See 28 CFR 35.171(b)(2).
        Paragraph (d)(3) states the rule that complaints retained for 
    investigation under paragraphs (d)(1) and (d)(2) will be investigated 
    and processed under section 504, title II, or both, as applicable, and 
    will not be considered to be dual filed under title I.
    Section ____.7 Processing of Charges of Employment Discrimination Filed 
    With the EEOC
        Section ____.7 outlines the procedures that the EEOC will take in 
    determining whether to process a charge or to refer it to another 
    agency.
        Section .7(a)(1) requires the EEOC, as a first step, to determine 
    whether it has jurisdiction over the charge. If the EEOC has 
    jurisdiction, it shall process the charge in accordance with its 
    customary title I procedures, including notification of the respondent.
        Paragraph (a)(2) sets forth the procedures that apply when the EEOC 
    determines that it does not have jurisdiction over the charge. Under 
    such circumstances, the charge will be promptly forwarded to the Civil 
    Rights Division for referral to the appropriate agency, or retention by 
    the Department for processing, as applicable.
        Paragraph (b)(1) of Sec. ____.7 states the basic rule applicable to 
    charges filed with the EEOC, that is, when the EEOC determines that it 
    has jurisdiction over the charge under title I, it shall retain the 
    charge. Because EEOC processing of a charge filed with the EEOC is 
    consistent with the charging party's expectations when filing the 
    charge, no notice letter to the charging party, similar to the letter 
    required to be sent to complainants under paragraph (c)(2)(ii) of 
    Sec. ____.6, is required.
        Paragraph (b)(2) has been newly added to the final rule. It 
    provides that the EEOC shall refer to a section 504 agency for further 
    action, as appropriate, any cause finding against a recipient that has 
    failed conciliation and that the EEOC has declined to litigate. By 
    providing for agency review under these circumstances, paragraph (b)(2) 
    should promote the ADA's statutory goal of preserving section 504 
    remedies, while the requirement that section 504 agencies give due 
    weight to EEOC findings should eliminate any need for duplicative 
    agency action.
    Section ____.8 Processing of Complaints or Charges of Employment 
    Discrimination Filed With Both the EEOC and a Section 504 Agency
        Section ____.8 sets forth the procedures that the EEOC and section 
    504 agencies shall follow in processing complaints or charges of 
    employment discrimination that have been dual filed with both the EEOC 
    and a section 504 agency.
        Paragraph (a) of Sec. ____.8 sets forth the procedures applicable 
    to complaints or charges of employment discrimination that are dual 
    filed with both a section 504 agency and the EEOC, both of which have 
    jurisdiction over the complaint or charge.
        Under those circumstances, the rule follows the general pattern 
    established by the title VI/title VII regulation, and requires the EEOC 
    to process charges that solely allege employment discrimination against 
    an individual when the individual has not elected section 504 agency 
    processing. Section 504 agencies will process all complaints that 
    allege: (i) discrimination in both employment and other practices or 
    services of the respondent; (ii) a pattern or practice of employment 
    discrimination; or (iii) discrimination solely against an individual, 
    when the individual has elected section 504 agency processing. This 
    allocation of responsibility for complaint processing is the same as 
    the allocation of responsibility for processing complaints originally 
    filed solely with a section 504 agency under Sec. ____.6. However, as 
    discussed below, paragraph (e) of Sec. ____.8 sets forth exceptions to 
    this general scheme for special circumstances.
        Paragraph (b) requires complaints or charges to be referred to the 
    Civil Rights Division if both the EEOC and the section 504 agency 
    determine that they do not have jurisdiction over the complaint or 
    charge. The Civil Rights Division is then responsible for making the 
    appropriate referral to a section 504 or designated agency.
        Paragraph (c) requires the EEOC and each agency with jurisdiction 
    under section 504 to develop procedures for determining whether 
    complaints or charges of discrimination have been filed with the EEOC 
    and with one or more agencies. It is anticipated that the Department, 
    the Commission, and the section 504 agencies will work together to 
    develop materials, such as a uniform filing form (or uniform portion of 
    a filing form) that will facilitate coordination in processing 
    employment complaints.
        Although some commenters requested that these procedures be stated 
    in the final rule, it was decided that this activity is more 
    appropriately conducted at a sub-regulatory level, which will permit 
    more flexibility in developing efficient procedures. In addition, 
    because the rule has been restructured to follow the title VI/title VII 
    regulation rather than the ``first-filed'' approach, there is less need 
    to determine whether a complaint or charge has been filed with more 
    than one agency. For example, under the title VI/title VII model, the 
    EEOC will become the primary agency processing complaints or charges 
    that solely allege discrimination against an individual. Therefore, 
    there is no need to determine whether these complaints or charges have 
    been dual filed in order to establish responsibility for processing. In 
    addition, the notice letter required to be sent to section 504 
    complainants prior to such a referral should provide an efficient 
    mechanism for determining whether a charge has also been filed with the 
    EEOC because it could be used to require complainants to reveal whether 
    they had filed a complaint or charge with another agency.
        Paragraph (d) requires the agency that will process a dual-filed 
    complaint or charge to notify all concerned parties that the other 
    agencies will be deferring their processing, and of the possibility of 
    further action by such agencies pursuant to Secs. ____.10 or ____.11.
        Paragraph (e) establishes that, under certain special circumstances 
    where deferral may be inappropriate, the agencies involved may jointly 
    agree to reallocate investigatory responsibilities. For example, if the 
    section 504 agency would normally process the complaint, but the agency 
    does not receive information that another charge has been filed with 
    the EEOC until after an investigation has been started by the EEOC, 
    this exception permits the agencies jointly to decide that the EEOC 
    should continue processing the charge and that the section 504 agency 
    should defer further action. This exception could also be used in 
    connection with subsequent complaints or charges, such as allegations 
    of retaliation, related to the original complaint or charge.
        The special circumstances listed in paragraph (e) are illustrative 
    and agencies may agree to reallocate investigatory responsibilities 
    under other appropriate circumstances. In such circumstances a 
    complaint or charge will be treated as a deferred complaint or charge 
    with respect to any right to review under Secs. ____.10 and ____.11.
        It is not anticipated that most aggrieved individuals will 
    separately file with both a section 504 agency and the EEOC. Since the 
    substantive protections provided by title I and section 504 are now 
    identical, an individual's rights against discrimination on the basis 
    of disability can be vindicated under either statute. However, an 
    individual who files a complaint with a section 504 agency alleging 
    discrimination both in employment and services, a pattern or practice 
    of discrimination, or who requests section 504 processing, will not 
    preserve a private right of action under title I of the ADA, unless the 
    individual also files a charge with the EEOC under title I of the ADA.
    Section ____.9  Processing of Complaints or Charges of Employment 
    Discrimination Filed With a Designated Agency and Either a Section 504 
    Agency, the EEOC, or Both
        Section ____.9 adds new procedures to the final rule to address the 
    processing of complaints filed with a designated agency and with either 
    a section 504 agency, the EEOC, or both. Generally, the EEOC and the 
    section 504 agencies have primary responsibility for processing 
    complaints of employment discrimination. Therefore, Sec. ____.9 
    provides that a designated agency shall investigate and process a 
    complaint only when: (i) it is either the only agency with jurisdiction 
    to process the complaint; or (ii) it also has jurisdiction to process 
    the complaint under section 504. If another agency has sole 
    jurisdiction over the complaint under either section 504 or title I 
    (and the complaint was actually filed with that agency under section 
    504 or title I), Sec. ____.9 requires the designated agency to forward 
    the complaint to that agency. If a section 504 agency and the EEOC both 
    have jurisdiction over a complaint or charge of employment 
    discrimination, the rule allocates complaint-processing responsibility 
    according to the established pattern of the title VI/title VII rule, 
    that is, individual complaints are forwarded to the EEOC and complaints 
    alleging discrimination in both employment and in other practices or 
    services of the respondent or a pattern or practice of employment 
    discrimination are forwarded to the section 504 agency with 
    jurisdiction.
    Section ____.10 Section 504 Agency Review of Deferred Complaints
        Section ____.10 describes the steps that shall be taken when the 
    EEOC processes a dual-filed complaint or charge (either an individual 
    complaint that is referred to the EEOC or a dual-filed complaint or 
    charge that the EEOC processes) and a section 504 agency defers its 
    investigation.
        Because the rule requires the section 504 agency to defer action 
    until the EEOC resolves the complaint, paragraph (a) outlines the 
    different ways in which any title I charge may be resolved, including 
    litigation by the EEOC. Although the EEOC is the agency primarily 
    responsible for the enforcement of title I, resolution by the Civil 
    Rights Division is also included under paragraphs (a) (3) and (4) 
    because, under title I of the ADA, when there is a cause finding 
    pursuant to 29 CFR 1601.21, the Civil Rights Division has litigation 
    authority for charges against State and local governments, government 
    agencies, and political subdivisions. See 29 CFR 1601.29. The Civil 
    Rights Division is also responsible for issuing right-to-sue letters in 
    such cases. See 29 CFR 1601.28(d).
        Paragraph (b) of Sec. ____.10 provides that, upon resolution of the 
    dual-filed complaint or charge, the EEOC or the Civil Rights Division 
    shall inform the section 504 agency of the resolution. Paragraph (d) 
    provides that, upon written request by the section 504 agency, the EEOC 
    or the Civil Rights Division shall provide the section 504 agency with 
    the materials necessary to evaluate its resolution of the case, such as 
    investigative reports.
        Paragraph (c) of Sec. ____.10 provides that, upon receipt of 
    notification from the EEOC or the Civil Rights Division, as 
    appropriate, the section 504 agency shall determine what further action 
    is warranted. Because, pursuant to the 1992 amendments to the 
    Rehabilitation Act, the substantive standards to be applied to 
    complaints of employment discrimination are now identical, it is 
    anticipated that, except in rare circumstances, the section 504 
    agency's findings and conclusions as to whether a violation has 
    occurred will be consistent with those of the EEOC and those of the 
    Civil Rights Division, as applicable. In order to further promote 
    consistency and avoid duplication of effort, the rule requires that the 
    section 504 agency accord due weight to the findings and conclusions of 
    the EEOC and the Civil Rights Division, as applicable. The term ``due 
    weight'' is adopted from the title VI/title VII regulation, which is 
    referenced in section 107(b) of the ADA. 28 CFR part 42, subpart H; 29 
    CFR part 1691. In giving due weight to the findings and conclusions of 
    the EEOC or the Civil Rights Division, a section 504 agency shall give 
    such full and careful consideration to the findings and conclusions as 
    is appropriate, taking into account such factors as: (i) the extent to 
    which the underlying investigation is complete and the evidence 
    supports the findings and conclusions; (ii) the nature and results of 
    any subsequent proceedings; (iii) the extent to which the findings, 
    conclusions and any actions taken under title I are consistent with the 
    effective enforcement of section 504; and (iv) the agency's 
    responsibilities under section 504.
        Moreover, if the agency proposes to take an action that is 
    inconsistent with such findings and conclusions, the section 504 agency 
    is required to provide written notification of the action that it 
    proposes to take and the basis for that action to the Assistant 
    Attorney General of the Civil Rights Division, the Chairman of the 
    EEOC, and the head of the EEOC office that processed the complaint or 
    charge. This is intended to enable the agencies to identify and resolve 
    any potentially conflicting or inconsistent standards before they are 
    imposed and to prevent duplication of effort.
        What further action the section 504 agency will take will depend on 
    the EEOC's (or, as appropriate, the Civil Rights Division's) findings, 
    conclusions, and resolution. This rule contemplates that in most cases 
    the ``further action'' would be that the section 504 agency would 
    notify the complainant and the respondent that it is closing its file 
    based upon the EEOC's resolution of the charge. For example, closure by 
    the section 504 agency would be the appropriate action when: (i) the 
    EEOC found no cause and issued a right-to-sue letter, and the section 
    504 agency agreed with the determination that no violation occurred; or 
    (ii) the EEOC found cause and the violation was completely remedied 
    through either a conciliation agreement or litigation, and the section 
    504 agency agreed that the violation had been remedied.
    Section ____.11  EEOC Review of Deferred Charges
        Section ____.11 describes the steps that shall be taken when a 
    section 504 agency processes a dual-filed complaint or charge and the 
    EEOC defers its processing of the charge. Paragraph (a) of Sec. ____.11 
    outlines the different ways in which a section 504 complaint may be 
    resolved. Referral to, and action by, the Civil Rights Division is 
    included in Sec. ____.11(a) because one of the options available to a 
    section 504 agency, when it has found a violation and it has not been 
    able to negotiate a voluntary compliance agreement, is referral to the 
    Civil Rights Division for judicial enforcement.
        Paragraphs (b) and (d) of Sec. ____.11 impose the same types of 
    obligations on the section 504 agency to notify the EEOC of its 
    resolution of the complaint and to share with the EEOC any materials 
    related to the resolution of the complaint that would permit the EEOC 
    to evaluate the findings, as paragraphs (b) and (d) of Sec. ____.10 
    impose on the EEOC.
        Paragraph (c) of Sec. ____.11 imposes requirements on the EEOC 
    analogous to those Sec. ____.10(c) imposes on a section 504 agency. 
    This paragraph contemplates that in most cases the appropriate 
    ``further action'' would be that the EEOC would notify the charging 
    party and the respondent that it is closing its file based upon the 
    resolution of the complaint by the section 504 agency, and, where 
    appropriate, would issue a right-to-sue letter. For example, closure 
    and issuance of a right-to-sue letter by the EEOC would be the 
    appropriate action when the section 504 agency found no violation and 
    the EEOC agreed. Alternatively, closure alone would be appropriate when 
    the section 504 agency found a violation and the EEOC agreed that the 
    violation was completely remedied through either a conciliation 
    agreement, an administrative hearing, or judicial enforcement.
    Section ____.12  Standards
        In the NPRM, this section addressed the requirement established by 
    section 107(b) of the ADA to ``[prevent] imposition of inconsistent or 
    conflicting standards for the same requirements under [title I and 
    section 504].''
        As noted earlier, in order to comply with this statutory mandate, 
    the NPRM presented two options for the legal standard to be applied by 
    section 504 agencies in their investigation of complaints that are also 
    subject to title I, and requested comment as to the appropriate 
    standard. However, in the period between the publication of the NPRM 
    and the publication of this final rule, the Rehabilitation Act was 
    specifically amended to provide that the standards of title I of the 
    ADA and the provisions of sections 501 through 504, and 510, of the 
    ADA, as such sections relate to employment, shall be the standards 
    applied by section 504 agencies in investigating complaints of 
    employment discrimination. See section 506 of the Rehabilitation Act 
    Amendments of 1992, Public Law 102-569, 106 Stat. 4344, 4428. The final 
    rule tracks the language of the amendment.
    Section ____.13  Agency Specific Memoranda of Understanding
        This section has been newly added to the final rule, to allow 
    maximum flexibility for the development of agency specific memoranda of 
    understanding (MOU) that would further serve to minimize duplication of 
    effort and fully preserve an aggrieved individual's rights under both 
    statutes. When a section 504 agency amends its regulations to make them 
    consistent with title I of the ADA, the EEOC and the individual section 
    504 agency may enter into an MOU providing for the investigation and 
    processing by the section 504 agency of complaints or charges dual 
    filed under both section 504 and title I of the ADA by the section 504 
    agency. Execution of an MOU would be discretionary on the part of both 
    the EEOC and the particular section 504 agency. Section 504 agencies 
    that amend their regulations to make them consistent with title I 
    standards would have, in agreement with the EEOC, the option of acting 
    as the EEOC's agent for investigating and processing under title I all 
    complaints covered by both title I and section 504 that are filed with 
    the section 504 agency. It is contemplated that the terms of the MOU 
    would be similar to the joint rule implementing section 107(b) as it 
    pertains to section 503 of the Rehabilitation Act and title I. 29 CFR 
    part 1641; 41 CFR part 60-742.
    
    Regulatory Process Matters
    
        This rule takes effect immediately, rather than 30 days after 
    publication, because it solely concerns agency procedure and practice.
        This final rule has been drafted in accordance with Executive Order 
    12866, section 1(b), Principles of Regulation. The Department of 
    Justice and the Equal Employment Opportunity Commission have determined 
    that it is not a ``significant regulatory action'' under Executive 
    Order 12866, section 3(f), Regulatory Planning and Review, and 
    accordingly this rule has not been reviewed by the Office of Management 
    and Budget.
        Executive Order 12875 prohibits executive departments and agencies 
    from promulgating any regulation that is not required by statute and 
    that creates a mandate upon a state, local, or tribal government unless 
    certain conditions are met. Although the procedures for processing 
    complaints or charges of employment discrimination established by this 
    regulation may affect complaints or charges of employment 
    discrimination filed against such entities, the final rule does not 
    create any mandates affecting such entities and may, in fact, reduce 
    any current burden by streamlining the processing of complaints and 
    charges at the Federal level.
        The Attorney General and the Chairman of the EEOC have reviewed 
    this regulation in accordance with the Regulatory Flexibility Act (5 
    U.S.C. 605(b)), and by approving it certify that this regulation will 
    not have a significant economic impact on a substantial number of small 
    entities.
        This final rule does not establish reporting or record-keeping 
    requirements that are considered to be information collection 
    requirements as that term is defined by the Office of Management and 
    Budget in 5 CFR part 1320.
        This part will be added to the rules of the Department of Justice 
    at 28 CFR chapter I as a new part 37, and to the rules of the Equal 
    Employment Opportunity Commission at 29 CFR chapter XIV as a new part 
    1640. Since the parts are identical, the text of the joint final rule 
    is set out only once at the end of the joint preamble. The part 
    heading, list of subjects, table of contents, and authority citation 
    for the parts as they will appear in each CFR title follow the text of 
    the joint rule.
    
    Text of Final Joint Rule
    
        The text of the final joint rule, as adopted by the agencies 
    specified in this document, appears below:
    
    PART ____--PROCEDURES FOR COORDINATING THE INVESTIGATION OF 
    COMPLAINTS OR CHARGES OF EMPLOYMENT DISCRIMINATION BASED ON 
    DISABILITY SUBJECT TO THE AMERICANS WITH DISABILITIES ACT AND 
    SECTION 504 OF THE REHABILITATION ACT OF 1973
    
    Sec.
    ____.1 Purpose and application.
    ____.2 Definitions.
    ____.3 Exchange of information.
    ____.4 Confidentiality.
    ____.5 Date of receipt.
    ____.6 Processing of complaints of employment discrimination filed 
    with an agency other than the EEOC.
    ____.7 Processing of charges of employment discrimination filed with 
    the EEOC.
    ____.8 Processing of complaints or charges of employment 
    discrimination filed with both the EEOC and a section 504 agency.
    ____.9 Processing of complaints or charges of employment 
    discrimination filed with a designated agency and either a section 
    504 agency, the EEOC, or both.
    ____.10 Section 504 agency review of deferred complaints.
    ____.11 EEOC review of deferred charges.
    ____.12 Standards.
    ____.13 Agency specific memoranda of understanding.
    
    
    Sec. ____.1  Purpose and application.
    
        (a) This part establishes the procedures to be followed by the 
    Federal agencies responsible for processing and resolving complaints or 
    charges of employment discrimination filed against recipients of 
    Federal financial assistance when jurisdiction exists under both 
    section 504 and title I.
        (b) This part also repeats the provisions established by 28 CFR 
    35.171 for determining which Federal agency shall process and resolve 
    complaints or charges of employment discrimination:
        (1) That fall within the overlapping jurisdiction of titles I and 
    II (but are not covered by section 504); and
        (2) That are covered by title II, but not title I (whether or not 
    they are also covered by section 504).
        (c) This part also describes the procedures to be followed when a 
    complaint or charge arising solely under section 504 or title I is 
    filed with a section 504 agency or the EEOC.
        (d) This part does not apply to complaints or charges against 
    Federal contractors under section 503 of the Rehabilitation Act.
        (e) This part does not create rights in any person or confer agency 
    jurisdiction not created or conferred by the ADA or section 504 over 
    any complaint or charge.
    
    
    Sec. ____.2  Definitions.
    
        As used in this part, the term:
        Americans with Disabilities Act of 1990 or ADA means the Americans 
    with Disabilities Act of 1990 (Pub. L. 101-336, 104 Stat. 327, 42 
    U.S.C. 12101-12213 and 47 U.S.C. 225 and 611).
        Assistant Attorney General refers to the Assistant Attorney 
    General, Civil Rights Division, United States Department of Justice, or 
    his or her designee.
        Chairman of the Equal Employment Opportunity Commission refers to 
    the Chairman of the United States Equal Employment Opportunity 
    Commission, or his or her designee.
        Civil Rights Division means the Civil Rights Division of the United 
    States Department of Justice.
        Designated agency means any one of the eight agencies designated 
    under Sec. 35.190 of 28 CFR part 35 (the Department's title II 
    regulation) to implement and enforce title II of the ADA with respect 
    to the functional areas within their jurisdiction.
        Dual-filed complaint or charge means a complaint or charge of 
    employment discrimination that:
        (1) Arises under both section 504 and title I;
        (2) Has been filed with both a section 504 agency that has 
    jurisdiction under section 504 and with the EEOC, which has 
    jurisdiction under title I; and
        (3) Alleges the same facts and raises the same issues in both 
    filings.
        Due weight shall mean, with respect to the weight a section 504 
    agency or the EEOC shall give to the other agency's findings and 
    conclusions, such full and careful consideration as is appropriate, 
    taking into account such factors as:
        (1) The extent to which the underlying investigation is complete 
    and the evidence is supportive of the findings and conclusions;
        (2) The nature and results of any subsequent proceedings;
        (3) The extent to which the findings, conclusions and any actions 
    taken:
        (i) Under title I are consistent with the effective enforcement of 
    section 504; or
        (ii) Under section 504 are consistent with the effective 
    enforcement of title I; and
        (4) The section 504 agency's responsibilities under section 504 or 
    the EEOC's responsibilities under title I.
        Equal Employment Opportunity Commission or EEOC refers to the 
    United States Equal Employment Opportunity Commission, and, when 
    appropriate, to any of its headquarters, district, area, local, or 
    field offices.
        Federal financial assistance shall have the meaning, with respect 
    to each section 504 agency, as defined in such agency's regulations 
    implementing section 504 for Federally- assisted programs.
        Program or activity shall have the meaning defined in the 
    Rehabilitation Act of 1973 (Pub. L. 93-112, 87 Stat. 394, 29 U.S.C. 
    794), as amended.
        Public entity means:
        (1) Any State or local government;
        (2) Any department, agency, special purpose district, or other 
    instrumentality of a State or States or local government; and
        (3) The National Railroad Passenger Corporation, and any commuter 
    authority (as defined in section 103(8) of the Rail Passenger Service 
    Act, 45 U.S.C. 502(8)).
        Recipient means any State, political subdivision of any State, or 
    instrumentality of any State or political subdivision, any public or 
    private agency, institution, organization, or other entity, or any 
    individual, in any State, to whom Federal financial assistance is 
    extended, directly or through another recipient, for any program, 
    including any successor, assignee, or transferee thereof, but such term 
    does not include any ultimate beneficiary under such program.
        Section 504 means section 504 of the Rehabilitation Act of 1973 
    (Pub. L. 93-112, 87 Stat. 394, 29 U.S.C. 794), as amended.
        Section 504 agency means any Federal department or agency that 
    extends Federal financial assistance to programs or activities of 
    recipients.
        Title I means title I of the ADA.
        Title II means subtitle A of title II of the ADA.
    
    
    Sec. ____.3  Exchange of information.
    
        The EEOC, section 504 agencies, and designated agencies shall share 
    any information relating to the employment policies and practices of a 
    respondent that may assist each agency in carrying out its 
    responsibilities, to the extent permissible by law. Such information 
    shall include, but is not limited to, complaints, charges, 
    investigative files, compliance review reports and files, affirmative 
    action programs, and annual employment reports.
    
    
    Sec. ____.4  Confidentiality.
    
        (a) When a section 504 agency or a designated agency receives 
    information obtained by the EEOC, such agency shall observe the 
    confidentiality requirements of section 706(b) and section 709(e) of 
    the Civil Rights Act of 1964, as amended (42 U.S.C. 2000e-5(b) and 
    2000e-8(e)), as incorporated by section 107(a) of the ADA, to the same 
    extent as these provisions would bind the EEOC, except when the agency 
    receives the same information from a source independent of the EEOC. 
    Agency questions concerning the confidentiality requirements of title I 
    shall be directed to the Associate Legal Counsel for Legal Services, 
    Office of Legal Counsel, the EEOC.
        (b) When the EEOC receives information from a section 504 or a 
    designated agency, the EEOC shall observe any confidentiality 
    requirements applicable to that information.
    
    
    Sec. ____.5  Date of receipt.
    
        A complaint or charge of employment discrimination is deemed to be 
    filed, for purposes of determining timeliness, on the date the 
    complaint or charge is first received by a Federal agency with section 
    504 or ADA jurisdiction, regardless of whether it is subsequently 
    transferred to another agency for processing.
    
    
    Sec. ____.6  Processing of complaints of employment discrimination 
    filed with an agency other than the EEOC.
    
        (a) Agency determination of jurisdiction. Upon receipt of a 
    complaint of employment discrimination, an agency other than the EEOC 
    shall:
        (1) Determine whether it has jurisdiction over the complaint under 
    section 504 or under title II of the ADA; and
        (2) Determine whether the EEOC may have jurisdiction over the 
    complaint under title I of the ADA.
        (b) Referral to the Civil Rights Division. If the agency determines 
    that it does not have jurisdiction under section 504 or title II, and 
    determines that the EEOC does not have jurisdiction under title I, the 
    agency shall promptly refer the complaint to the Civil Rights Division. 
    The Civil Rights Division shall determine if another Federal agency may 
    have jurisdiction over the complaint under section 504 or title II, 
    and, if so, shall promptly refer the complaint to a section 504 or a 
    designated agency with jurisdiction over the complaint.
        (c) Referral to the EEOC.--(1) Referral by an agency without 
    jurisdiction. If an agency determines that it does not have 
    jurisdiction over a complaint of employment discrimination under either 
    section 504 or title II and determines that the EEOC may have 
    jurisdiction under title I, the agency shall promptly refer the 
    complaint to the EEOC for investigation and processing under title I of 
    the ADA.
        (2) Referral by a section 504 agency. (i) A section 504 agency that 
    otherwise has jurisdiction over a complaint of employment 
    discrimination under section 504 shall promptly refer to the EEOC, for 
    investigation and processing under title I of the ADA, any complaint of 
    employment discrimination that solely alleges discrimination against an 
    individual (and that does not allege discrimination in both employment 
    and in other practices or services of the respondent or a pattern or 
    practice of employment discrimination), unless:
        (A) The section 504 agency determines that the EEOC does not have 
    jurisdiction over the complaint under title I; or
        (B) The EEOC has jurisdiction over the complaint under title I, but 
    the complainant, either independently, or following receipt of the 
    notification letter required to be sent to the complainant pursuant to 
    paragraph (c)(2)(ii) of this section, specifically requests that the 
    complaint be investigated by the section 504 agency.
        (ii) Prior to referring an individual complaint of employment 
    discrimination to the EEOC pursuant to paragraph (c)(2)(i) of this 
    section (but not prior to making such a referral pursuant to paragraph 
    (c)(1) of this section), a section 504 agency that otherwise has 
    jurisdiction over the complaint shall promptly notify the complainant, 
    in writing, of its intention to make such a referral. The notice letter 
    shall:
        (A) Inform the complainant that, unless the agency receives a 
    written request from the complainant within twenty days of the date of 
    the notice letter requesting that the agency retain the complaint for 
    investigation, the agency will forward the complaint to the EEOC for 
    investigation and processing; and
        (B) Describe the basic procedural differences between an 
    investigation under section 504 and an investigation under title I, and 
    inform the complainant of the potential for differing remedies under 
    each statute.
        (3) Referral by a designated agency. A designated agency that does 
    not have section 504 jurisdiction over a complaint of employment 
    discrimination and that has determined that the EEOC may have 
    jurisdiction over the complaint under title I shall promptly refer the 
    complaint to the EEOC.
        (4) Processing of complaints referred to the EEOC. (i) A complaint 
    referred to the EEOC in accordance with this section by an agency with 
    jurisdiction over the complaint under section 504 shall be deemed to be 
    a dual-filed complaint under section 504 and title I. When a section 
    504 agency with jurisdiction over a complaint refers the complaint to 
    the EEOC, the section 504 agency shall defer its processing of the 
    complaint pursuant to Sec. --.10, pending resolution by the EEOC.
        (ii) A complaint referred to the EEOC by an agency that has 
    jurisdiction over the complaint solely under title II (and not under 
    section 504) will be treated as a complaint filed under title I only.
        (iii) Any complaint referred to the EEOC pursuant to this section 
    shall be processed by the EEOC under its title I procedures.
        (d) Retention by the agency for investigation--(1) Retention by a 
    section 504 agency. A section 504 agency shall retain a complaint for 
    investigation when the agency determines that it has jurisdiction over 
    the complaint under section 504, and one or more of the following 
    conditions are met:
        (i) The EEOC does not have jurisdiction over the complaint under 
    title I; or
        (ii) The EEOC has jurisdiction over the complaint, but the 
    complainant elects to have the section 504 agency process the complaint 
    and the section 504 agency receives a written request from the 
    complainant for section 504 agency processing within twenty days of the 
    date of the notice letter required to be sent pursuant to paragraph 
    (c)(2)(ii) of this section; or
        (iii) The complaint alleges discrimination in both employment and 
    in other practices or services of the respondent that are covered by 
    section 504; or
        (iv) The complaint alleges a pattern or practice of employment 
    discrimination.
        (2) Retention by a designated agency. A designated agency that does 
    not have jurisdiction over the complaint under section 504 shall retain 
    a complaint for investigation when the agency determines that it has 
    jurisdiction over the complaint under title II of the ADA and that the 
    EEOC does not have jurisdiction over the complaint under title I.
        (3) Processing of complaints retained by an agency. Any complaint 
    retained for investigation and processing by an agency pursuant to 
    paragraphs (d)(1) and (d)(2) of this section will be investigated and 
    processed under section 504, title II, or both, as applicable, and will 
    not be considered to be dual filed under title I.
    
    
    Sec. ____.7  Processing of charges of employment discrimination filed 
    with the EEOC.
    
        (a) EEOC determination of jurisdiction. Upon receipt of a charge of 
    employment discrimination, the EEOC shall:
        (1) Determine whether it has jurisdiction over the charge under 
    title I of the ADA. If it has jurisdiction, except as provided in 
    paragraph (b)(2) of this section, the EEOC shall process the charge 
    pursuant to title I procedures.
        (2) If the EEOC determines that it does not have jurisdiction under 
    title I, the EEOC shall promptly refer the charge to the Civil Rights 
    Division. The Civil Rights Division shall determine if a Federal agency 
    may have jurisdiction over the charge under section 504 or title II, 
    and, if so, shall refer the charge to a section 504 agency or to a 
    designated agency with jurisdiction over the complaint.
        (b) Retention by the EEOC for investigation. (1) The EEOC shall 
    retain a charge for investigation when it determines that it has 
    jurisdiction over the charge under title I.
        (2) Referral to an agency. Any charge retained by the EEOC for 
    investigation and processing will be investigated and processed under 
    title I only, and will not be deemed dual filed under section 504, 
    except that ADA cause charges (as defined in 29 CFR 1601.21) that also 
    fall within the jurisdiction of a section 504 agency and that the EEOC 
    (or the Civil Rights Division, if such a charge is against a 
    government, governmental agency, or political subdivision) has declined 
    to litigate shall be referred to the appropriate section 504 agency for 
    review of the file and any administrative or other action deemed 
    appropriate under section 504. Such charges shall be deemed complaints, 
    dual filed under section 504, solely for the purposes of the agency 
    review and action described in this paragraph. The date of such dual 
    filing shall be deemed to be the date the complaint was received by the 
    EEOC.
    
    
    Sec. ____.8  Processing of complaints or charges of employment 
    discrimination filed with both the EEOC and a section 504 agency.
    
        (a) Procedures for handling dual-filed complaints or charges. As 
    between the EEOC and a section 504 agency, except as provided in 
    paragraph (e) of this section, a complaint or charge of employment 
    discrimination that is dual filed with both the EEOC and a section 504 
    agency shall be processed as follows:
        (1) EEOC processing. The EEOC shall investigate and process the 
    charge when the EEOC determines that it has jurisdiction over the 
    charge under title I and the charge solely alleges employment 
    discrimination against an individual, unless the charging party elects 
    to have the section 504 agency process the charge and the section 504 
    agency receives a written request from the complainant for section 504 
    agency processing within twenty days of the date of the notice letter 
    required to be sent pursuant to Sec. ____.6(c)(2)(ii).
        (2) Section 504 agency processing. A section 504 agency shall 
    investigate and process the complaint when the agency determines that 
    it has jurisdiction over the complaint under section 504, and:
        (i) The complaint alleges discrimination in both employment and in 
    other practices or services of the respondent; or
        (ii) The complaint alleges a pattern or practice of discrimination 
    in employment; or
        (iii) In the case of a complaint solely alleging employment 
    discrimination against an individual, the complainant elects to have a 
    section 504 agency process the complaint and the section 504 agency 
    receives a written request from the complainant for section 504 agency 
    processing within twenty days of the date of the notice letter required 
    to be sent pursuant to Sec. ____.6(c)(2)(ii).
        (b) Referral to the Civil Rights Division. If the EEOC determines 
    that it does not have jurisdiction under title I, and the section 504 
    agency determines that it does not have jurisdiction under section 504 
    or title II, the complaint or charge shall be promptly referred to the 
    Civil Rights Division. The Civil Rights Division shall determine if 
    another Federal agency may have jurisdiction over the complaint under 
    section 504 or title II, and, if so, shall promptly refer the complaint 
    to a section 504 or a designated agency with jurisdiction over the 
    complaint.
        (c) Procedures for determining whether a complaint or charge has 
    been dual filed. The EEOC and each agency with jurisdiction to 
    investigate and process complaints of employment discrimination under 
    section 504 shall jointly develop procedures for determining whether 
    complaints or charges of discrimination have been dual filed with the 
    EEOC and with one or more other agencies.
        (d) Notification of deferral. The agency required to process a 
    dual-filed complaint or charge under this section shall notify the 
    complainant or charging party and the respondent that the complaint or 
    charge was dual filed with one or more other agencies and that such 
    other agencies have agreed to defer processing and will take no further 
    action except as provided in Sec. ____.10 or Sec. ____.11, as 
    applicable.
        (e) Exceptions. When special circumstances make deferral as 
    provided in this section inappropriate, the EEOC, and an agency with 
    investigative authority under section 504, may jointly determine to 
    reallocate investigative responsibilities. Special circumstances 
    include, but are not limited to, cases in which the EEOC has already 
    commenced its investigation at the time that the agency discovers that 
    the complaint or charge is a dual-filed complaint or charge in which 
    the complainant has elected section 504 processing, alleged 
    discrimination in both employment and in other practices or services of 
    the respondent, or alleged a pattern or practice of employment 
    discrimination.
    
    
    Sec. ____.9  Processing of complaints or charges of employment 
    discrimination filed with a designated agency and either a section 504 
    agency, the EEOC, or both.
    
        (a) Designated agency processing. A designated agency shall 
    investigate and process a complaint that has been filed with it and 
    with the EEOC, a section 504 agency, or both, when either of the 
    following conditions is met:
        (1) The designated agency determines that it has jurisdiction over 
    the complaint under title II and that neither the EEOC nor a section 
    504 agency (other than the designated agency, if the designated agency 
    is also a section 504 agency) has jurisdiction over the complaint; or
        (2) The designated agency determines that it has jurisdiction over 
    the complaint under section 504 and the complaint meets the 
    requirements for processing by a section 504 agency set forth in 
    Sec. ____.8(a)(2).
        (b) Referral by a designated agency. A designated agency that has 
    jurisdiction over a complaint solely under title II (and not under 
    section 504) shall forward a complaint that has been filed with it and 
    with the EEOC, a section 504 agency, or both, to either the EEOC or to 
    a section 504 agency, as follows:
        (1) If the designated agency determines that the EEOC is the sole 
    agency, other than the designated agency, with jurisdiction over the 
    complaint, the designated agency shall forward the complaint to the 
    EEOC for processing under title I; or
        (2) If the designated agency determines that the section 504 agency 
    is the sole agency, other than the designated agency, with jurisdiction 
    over the complaint, the designated agency shall forward the complaint 
    to the section 504 agency for processing under section 504; or
        (3) If the designated agency determines that both the EEOC and a 
    section 504 agency have jurisdiction over the complaint, the designated 
    agency shall forward the complaint to the EEOC if it determines that 
    the complaint solely alleges employment discrimination against an 
    individual, or it shall forward the complaint to the section 504 agency 
    if it determines that the complaint meets the requirements for 
    processing by a section 504 agency set out in Sec. ____.8(a)(2)(i) or 
    (a)(2)(ii).
    
    
    Sec. ____.10  Section 504 agency review of deferred complaints.
    
        (a) Deferral by the section 504 agency. When a section 504 agency 
    refers a complaint to the EEOC pursuant to Sec. ____.6(c)(2) or when it 
    is determined that, as between the EEOC and a section 504 agency, the 
    EEOC is the agency that shall process a dual-filed complaint or charge 
    under Sec. ____.8(a)(1) or Sec. ____.8(e), the section 504 agency shall 
    defer further action until:
        (1) The EEOC issues a no cause finding and a notice of right-to-sue 
    pursuant to 29 CFR 1601.19; or
        (2) The EEOC enters into a conciliation agreement; or
        (3) The EEOC issues a cause finding and a notice of failure of 
    conciliation pursuant to 29 CFR 1601.21, and:
        (i) If the recipient is not a government, governmental agency, or 
    political subdivision, the EEOC completes enforcement proceedings or 
    issues a notice of right-to-sue in accordance with 29 CFR 1601.28; or
        (ii) If the recipient is a government, governmental agency, or 
    political subdivision, the EEOC refers the charge to the Civil Rights 
    Division in accordance with 29 CFR 1601.29, and the Civil Rights 
    Division completes enforcement proceedings or issues a notice of right-
    to-sue in accordance with 29 CFR 1601.28(d); or
        (4) The EEOC or, when a case has been referred pursuant to 29 CFR 
    1601.29, the Civil Rights Division, otherwise resolves the charge.
        (b) Notification of the deferring agency. The EEOC or the Civil 
    Rights Division, as appropriate, shall notify the agency that has 
    deferred processing of the charge upon resolution of any dual-filed 
    complaint or charge.
        (c) Agency review. After receipt of notification that the EEOC or 
    the Civil Rights Division, as appropriate, has resolved the complaint 
    or charge, the agency shall promptly determine what further action by 
    the agency is warranted. In reaching that determination, the agency 
    shall give due weight to the findings and conclusions of the EEOC and 
    to those of the Civil Rights Division, as applicable. If the agency 
    proposes to take an action inconsistent with the EEOC's or the Civil 
    Rights Division's findings and conclusions as to whether a violation 
    has occurred, the agency shall notify in writing the Assistant Attorney 
    General, the Chairman of the EEOC, and the head of the EEOC office that 
    processed the complaint. In the written notification, the agency shall 
    state the action that it proposes to take and the basis of its decision 
    to take such action.
        (d) Provision of information. Upon written request, the EEOC or the 
    Civil Rights Division shall provide the section 504 agency with any 
    materials relating to its resolution of the charge, including its 
    findings and conclusions, investigative reports and files, and any 
    conciliation agreement.
    
    
    Sec. ____.11  EEOC review of deferred charges.
    
        (a) Deferral by the EEOC. When it is determined that a section 504 
    agency is the agency that shall process a dual-filed complaint or 
    charge under Sec. ____.8(a)(2) or Sec. ____.8(e), the EEOC shall defer 
    further action until the section 504 agency takes one of the following 
    actions:
        (1) Makes a finding that a violation has not occurred;
        (2) Enters into a voluntary compliance agreement;
        (3) Following a finding that a violation has occurred, refers the 
    complaint to the Civil Rights Division for judicial enforcement and the 
    Civil Rights Division resolves the complaint;
        (4) Following a finding that a violation has occurred, resolves the 
    complaint through final administrative enforcement action; or
        (5) Otherwise resolves the charge.
        (b) Notification of the EEOC. The section 504 agency shall notify 
    the EEOC upon resolution of any dual-filed complaint or charge.
        (c) Agency review. After receipt of notification that the section 
    504 agency has resolved the complaint, the EEOC shall promptly 
    determine what further action by the EEOC is warranted. In reaching 
    that determination, the EEOC shall give due weight to the section 504 
    agency's findings and conclusions. If the EEOC proposes to take an 
    action inconsistent with the section 504 agency's findings and 
    conclusions as to whether a violation has occurred, the EEOC shall 
    notify in writing the Assistant Attorney General, the Chairman of the 
    EEOC, and the head of the section 504 agency that processed the 
    complaint. In the written notification, the EEOC shall state the action 
    that it proposes to take and the basis of its decision to take such 
    action.
        (d) Provision of information. Upon written request, the section 504 
    agency shall provide the EEOC with any materials relating to its 
    resolution of the complaint, including its conclusions, investigative 
    reports and files, and any voluntary compliance agreement.
    
    
    Sec. ____.12  Standards.
    
        In any investigation, compliance review, hearing or other 
    proceeding, the standards used to determine whether section 504 has 
    been violated in a complaint alleging employment discrimination shall 
    be the standards applied under title I of the ADA and the provisions of 
    sections 501 through 504, and 510, of the ADA, as such sections relate 
    to employment. Section 504 agencies shall consider the regulations and 
    appendix implementing title I of the ADA, set forth at 29 CFR part 
    1630, and case law arising under such regulations, in determining 
    whether a recipient of Federal financial assistance has engaged in an 
    unlawful employment practice.
    
    
    Sec. ____.13  Agency specific memoranda of understanding.
    
        When a section 504 agency amends its regulations to make them 
    consistent with title I of the ADA, the EEOC and the individual section 
    504 agency may elect to enter into a memorandum of understanding 
    providing for the investigation and processing of complaints dual filed 
    under both section 504 and title I of the ADA by the section 504 
    agency.
    
    Adoption of the Joint Final Rule
    
        The agency-specific adoption of the joint final rule, which appears 
    at the end of the joint preamble, appears below:
    
    Title 28--Judicial Administration Department of Justice
    
    28 CFR Part 37
    
    List of Subjects in 28 CFR Part 37
    
        Administrative practice and procedure, Individuals with 
    disabilities, Equal employment opportunity, Intergovernmental 
    relations.
    
        Accordingly, title 28, chapter I of the Code of Federal Regulations 
    is amended as set forth below.
    
        Signed at Washington, D.C. this 26th day of July, 1994.
    
        For the Department:
    Janet Reno,
    Attorney General.
        Part 37 is added to 28 CFR chapter I to read as set forth at the 
    end of the joint preamble.
    
    PART 37--PROCEDURES FOR COORDINATING THE INVESTIGATION OF 
    COMPLAINTS OR CHARGES OF EMPLOYMENT DISCRIMINATION BASED ON 
    DISABILITY SUBJECT TO THE AMERICANS WITH DISABILITIES ACT AND 
    SECTION 504 OF THE REHABILITATION ACT OF 1973
    
    Sec.
    37.1  Purpose and application.
    37.2  Definitions.
    37.3  Exchange of information.
    37.4  Confidentiality.
    37.5  Date of receipt.
    37.6  Processing of complaints of employment discriminationfiled 
    with an agency other than the EEOC.
    37.7  Processing of charges of employment discrimination filed with 
    the EEOC.
    37.8  Processing of complaints or charges of employment 
    discrimination filed with both the EEOC and a section 504 agency.
    37.9  Processing of complaints or charges of employment 
    discrimination filed with a designated agency and either a section 
    504 agency, the EEOC, or both.
    37.10  Section 504 agency review of deferred complaints.
    37.11  EEOC review of deferred charges.
    37.12  Standards.
    37.13  Agency specific memoranda of understanding.
    
        Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510; 29 U.S.C. 794 (d); 
    42 U.S.C. 12117(b); 28 CFR 0.50(l).
    
    Title 29--Labor
    
    Equal Employment Opportunity Commission
    
     29 CFR Part 1640
    
    List of Subjects in 29 CFR Part 1640
    
        Administrative practice and procedure, Individuals with 
    disabilities, Equal employment opportunity, Intergovernmental 
    relations.
        Accordingly, title 29, chapter XIV of the Code of Federal 
    Regulations is amended as set forth below.
    
        Signed at Washington, DC this 27th day of June, 1994.
    
        For the Commission:
    Tony E. Gallegos,
    Chairman.
        Part 1640 is added to 29 CFR chapter XIV to read as set forth at 
    the end of the joint preamble.
    
    PART 1640--PROCEDURES FOR COORDINATING THE INVESTIGATION OF 
    COMPLAINTS OR CHARGES OF EMPLOYMENT DISCRIMINATION BASED ON 
    DISABILITY SUBJECT TO THE AMERICANS WITH DISABILITIES ACT AND 
    SECTION 504 OF THE REHABILITATION ACT OF 1973
    
    Sec.
    1640.1  Purpose and application.
    1640.2  Definitions.
    1640.3  Exchange of information.
    1640.4  Confidentiality.
    1640.5  Date of receipt.
    1640.6  Processing of complaints of employment discrimination filed 
    with an agency other than the EEOC.
    1640.7  Processing of charges of employment discrimination filed 
    with the EEOC.
    1640.8  Processing of complaints or charges of employment 
    discrimination filed with both the EEOC and a section 504 agency.
    1640.9  Processing of complaints or charges of employment 
    discrimination filed with a designated agency and either a section 
    504 agency, the EEOC, or both.
    1640.10  Section 504 agency review of deferred complaints.
    1640.11  EEOC review of deferred charges.
    1640.12  Standards.
    1640.13  Agency specific memoranda of understanding.
    
        Authority: 5 U.S.C. 301; 29 U.S.C. 794(d); 42 U.S.C. 12117(b).
    [FR Doc. 94-18935 Filed 8-3-94; 8:45 am]
    BILLING CODE 4410-01-P, 6750-06-P
    
    
    

Document Information

Published:
08/04/1994
Entry Type:
Uncategorized Document
Action:
Joint final rule.
Document Number:
94-18935
Dates:
August 4, 1994.
Pages:
0-0 (1 pages)
Docket Numbers:
Federal Register: August 4, 1994
CFR: (28)
28 CFR 37.1
28 CFR 37.2
28 CFR 37.3
28 CFR 37.4
28 CFR 37.5
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