This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents. Prices of

new books are listed in the first FEDERAL

REGISTER issue of each week.

Rules and Regulations Federal Register

71007 

Vol. 75, No. 224 

Monday, November 22, 2010 

DEPARTMENT OF THE INTERIOR 

Office of the Secretary 

2 CFR Part 1401 

43 CFR Part 43 

RIN 1093–AA12 

Department of the Interior 

Implementation of OMB Guidance on 

Drug-Free Workplace Requirements 

(Financial Assistance) 

AGENCY: Office of the Secretary, Interior. 

ACTION: Final rule with request for 

comments. 

SUMMARY: The Department of the 

Interior (DOI) is removing its regulation 

implementing the government-wide 

common rule on drug-free workplace 

requirements for financial assistance 

and issuing a new regulation to adopt 

the Office of Management and Budget 

(OMB) guidance. This regulatory action 

implements the OMB’s initiative to 

streamline and consolidate into one title 

of the Code of Federal Regulations all 

Federal regulations on drug-free 

workplace requirements for financial 

assistance. These changes constitute an 

administrative simplification that will 

make no substantive change in DOI 

policy or procedures for drug-free 

workplace. 

DATES: This final rule is effective on 

January 21, 2011 without further action. 

Submit comments by December 22, 

2010 on any unintended changes this 

action makes in Department of the 

Interior policies and procedures for 

drug-free workplace. All comments on 

unintended changes will be considered 

and, if warranted, DOI will revise the 

rule. 

ADDRESSES: You may submit comments, 

on the rulemaking through the Federal 

eRulemaking Portal at http:// 

www.regulations.gov. Please use the 

Regulation Identifier Number (RIN) 

1093–AA12 in your message. Follow the 

instructions on the Web site for 

submitting comments. 

FOR FURTHER INFORMATION CONTACT: 

Anita Hairston, Financial Assistance 

Program Manager, Department of the 

Interior, Office of Acquisition and 

Property Management, telephone (202) 

208–3433, fax (202) 219–4244, or e-mail 

anita_hairston@ios.doi.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

The Drug-Free Workplace Act of 1988 

[Pub. L. 100–690, Title V, Subtitle D; 41 

U.S.C. 701, et seq.] was enacted as a part 

of omnibus drug legislation on 

November 18, 1988. Federal agencies 

issued an interim final common rule to 

implement the act as it applied to grants 

[53 FR 4946, January 31, 1989]. The rule 

was a subpart of the government-wide 

common rule on nonprocurement 

suspension and debarment. The 

agencies issued a final common rule 

after consideration of public comments 

[55 FR 21681, May 25, 1990]. 

The agencies proposed an update to 

the drug-free workplace common rule in 

2002 [67 FR 3266, January 23, 2002] and 

finalized it in 2003 [68 FR 66534, 

November 26, 2003]. The updated 

common rule was redrafted in plain 

language and adopted as a separate part, 

independent from the common rule on 

nonprocurement suspension and 

debarment. Based on an amendment to 

the drug-free workplace requirements in 

41 U.S.C. 702 [Pub. L. 105–85, Div. A, 

Title VIII, Sec. 809, Nov. 18, 1997, 111 

Stat. 1838], the update also allowed 

multiple enforcement options from 

which agencies could select, rather than 

requiring use of a certification in all 

cases. 

When it established Title 2 of the CFR 

as the new central location for OMB 

guidance and agency implementing 

regulations concerning grants and 

cooperative agreements [69 FR 26276, 

May 11, 2004], OMB announced its 

intention to replace common rules with 

OMB guidance that agencies could 

adopt in brief regulations. OMB began 

that process by proposing [70 FR 51863, 

August 31, 2005] and finalizing [71 FR 

66431, November 15, 2006] governmentwide guidance on non-procurement 

suspension and debarment in 2 CFR 

part 180. 

As the next step in that process, OMB 

proposed [73 FR 55776, September 26, 

2008] and finalized [74 FR 28149, June 

15, 2009] government-wide guidance 

with policies and procedures to 

implement drug-free workplace 

requirements for financial assistance. 

The guidance requires each agency to 

replace the common rule on drug-free 

workplace requirements that the agency 

previously issued in its own CFR title 

with a brief regulation in 2 CFR 

adopting the government-wide policies 

and procedures. One advantage of this 

approach is that it reduces the total 

volume of drug-free workplace 

regulations. A second advantage is that 

it collocates OMB’s guidance and all of 

the agencies’ implementing regulations 

in 2 CFR. 

The Current Regulatory Actions 

As the OMB guidance requires, DOI is 

taking two regulatory actions. First, we 

are removing the drug-free workplace 

common rule from 43 CFR part 43. 

Second, to replace the common rule, we 

are issuing a brief regulation in 2 CFR, 

Subtitle B, Chapter XIV, part 1401 to 

adopt the government-wide policies and 

procedures in the OMB guidance. 

Invitation To Comment 

Taken together, these regulatory 

actions are solely an administrative 

simplification and are not intended to 

make any substantive change in policies 

or procedures. In soliciting comments 

on these actions, we therefore are not 

seeking to revisit substantive issues that 

were resolved during the development 

of the final common rule in 2003. We 

are inviting comments specifically on 

any unintended changes in substantive 

content that the new part in 2 CFR 

would make relative to the DOI common 

rule at 43 CFR part 43. 

Administrative Procedure Act 

Under the Administrative Procedure 

Act, 5 U.S.C. 553, agencies generally 

propose a regulation and offer interested 

parties the opportunity to comment 

before it becomes effective. However, as 

described in the ‘‘Background’’ section 

of this preamble, the policies and 

procedures in this regulation have been 

proposed for comment two times—one 

time by Federal agencies as a common 

rule in 2002 and a second time by OMB 

as guidance in 2008—and adopted each 

time after resolution of the comments 

received. 


jlentini on DSKJ8SOYB1PROD with RULES
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This direct final rule is solely an 

administrative simplification that would 

make no substantive change in the DOI 

policy or procedures for drug-free 

workplace. We therefore believe that the 

rule is noncontroversial and do not 

expect to receive adverse comments, 

although we are inviting comments on 

any unintended substantive change this 

rule makes. 

Accordingly, we find that the 

solicitation of public comments on this 

direct final rule is unnecessary and that 

‘‘good cause’’ exists under 5 U.S.C. 

553(b)(B). This rule will be effective on 

January 21, 2011 without further action, 

unless we receive adverse comment by 

December 22, 2010. If any comment on 

unintended changes is received, it will 

be considered and, if warranted, we will 

publish a timely revision of the rule. 

Executive Order 12866 

This document is not a significant 

rule and is not subject to review by the 

Office of Management and Budget under 

Executive Order 12866. 

(1) This rule will not have an effect of 

$100 million or more on the economy. 

It will not adversely affect in a material 

way the economy, productivity, 

competition, jobs, the environment, 

public health or safety, or State, local, 

or Tribal governments or communities. 

(2) This rule will not create a serious 

inconsistency or otherwise interfere 

with an action taken or planned by 

another agency. 

(3) This rule does not alter the 

budgetary effects or entitlements, grants, 

user fees, or loan programs or the rights 

or obligations of their recipients. 

(4) This rule does not raise novel legal 

or policy issues. 

Regulatory Flexibility Act of 1980 

(5 U.S.C. 605(b)) 

DOI certifies that this document will 

not have a significant economic effect 

on a substantial number of small entities 

under the Regulatory Flexibility Act, 

5 U.S.C. 601 et seq. 

Small Business Regulatory Enforcement 

Fairness Act (SBREFA) 

This rule is not a major rule under 

5 U.S.C. 804(2), the Small Business 

Regulatory Enforcement Fairness Act. 

This rule: 

a. Does not have an annual effect on the 

economy of $100 million or more. 

b. Does not represent a major increase in 

costs or prices for consumers, individual 

industries, Federal, State, or local 

government agencies, or geographic regions. 

c. Does not have significant adverse effects 

on competition, employment, investment, 

productivity, innovation, or the ability of 

U.S.-based enterprises to compete with 

foreign-based enterprises. 

Unfunded Mandates Act of 1995 

(Sec. 202, Pub. L. 104–4) 

This rule does not impose an 

unfunded mandate on State, local, or 

Tribal governments or the private sector 

of more than $100 million per year. The 

rule does not have a significant or 

unique effect on State, local or Tribal 

governments or the private sector. A 

statement containing the information 

required by the Unfunded Mandates 

Reform Act, 2 U.S.C. 1531 et seq., is not 

required. 

Takings (E.O. 12630) 

In accordance with Executive Order 

12630, the rule does not have significant 

takings implications. A takings 

implication assessment is not required. 

Paperwork Reduction Act of 1995 

(44 U.S.C., Chapter 35) 

This regulation does not require an 

information collection from 10 or more 

parties and a submission under the 

Paperwork Reduction Act is not 

required. An OMB form 83–I is not 

required. 

Federalism (Executive Order 13132) 

This proposed regulatory action does 

not have Federalism implications, as set 

forth in Executive Order 13132. It will 

not have substantial direct effects on the 

States, on the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. 

Civil Justice Reform (E.O. 12988) 

In accordance with Executive Order 

12988, this rule does not unduly burden 

the judicial system and meets the 

requirements of sections 3(a) and 3(b)(2) 

of the Order. 

List of Subjects 

2 CFR Part 1401 

Administrative practice and 

procedure, Drug abuse, Grant programs, 

Reporting and recordkeeping 

requirements. 

43 CFR Part 43 

Administrative practice and 

procedure, Drug abuse, Grant programs, 

Reporting and recordkeeping 

requirements. 

Pamela Haze, 

Acting Assistant Secretary for Policy, 

Management and Budget. 

■ Accordingly, for the reasons set forth 

in the preamble, and under the 

authority of 5 U.S.C. 301, the 

Department of the Interior amends 2 

CFR, Subtitle B, Chapter XIV, part 1401, 

and 43 CFR part 43 as follows: 

TITLE 2—GRANTS AND AGREEMENTS 

■ 1. In Subtitle B, Chapter XIV, add new 

part 1401 to read as follows: 

PART 1401—REQUIREMENTS FOR 

DRUG-FREE WORKPLACE 

(FINANCIAL ASSISTANCE) 

Sec. 

Subpart A—Purpose and Coverage 

1401.100 What does this part do? 

1401.105 Does this part apply to me? 

1401.110 What policies and procedures 

must I follow? 

1401.115 Are any of my Federal assistance 

awards exempt from this part? 

1401.120 Does this part affect the Federal 

contracts that I receive? 

Subpart B—Definitions 

1401.205 Award. 

1401.210 Controlled substance. 

1401.215 Conviction. 

1401.220 Cooperative agreement. 

1401.225 Criminal drug statue. 

1401.230 Debarment. 

1401.235 Drug-free workplace. 

1401.240 Employee. 

1401.245 Federal agency or agency. 

1401.250 Grant. 

1401.255 Individual. 

1401.260 Recipient. 

1401.265 State. 

1401.270 Suspension. 

Subpart C—Requirements for Recipients 

Other Than Individuals 

1401.300 What must I do to comply with 

this part? 

1401.305 What must I include in my drugfree workplace statement? 

1401.310 To whom must I distribute my 

drug-free workplace statement? 

1401.315 What must I include in my drugfree awareness program? 

1401.320 By when must I publish my drugfree workplace statement and establish 

my drug-free awareness program? 

1401.325 What actions must I take 

concerning employees who are convicted 

of drug violations in the workplace? 

1401.330 How and when must I identify 

workplaces? 

1401.335 Whom in the DOI does a recipient 

other than an individual notify about a 

criminal drug conviction? 

Subpart D—Requirements for Recipients 

Who Are Individuals 

1401.400 What must I do to comply with 

this part if I am an individual recipient? 

1401.401 Whom in the DOI does a recipient 

who is an individual notify about a 

criminal drug conviction? 

Subpart E—Responsibilities of Department 

of the Interior Awarding Officials 

1401.500 What are my responsibilities as a 

DOI awarding official? 

Subpart F—Violations of this Part and 

Consequences 

1401.600 How are violations of this part 

determined for recipients other than 

individuals? 


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1401.605 How are violations of this part 

determined for recipients who are 

individuals? 

1401.610 What actions will the Federal 

Government take against a recipient 

determined to have violated this part? 

1401.615 Are there any exceptions to those 

actions? 

Authority: 5 U.S.C. 301; 31 U.S.C. 6101 

note, 7501; 41 U.S.C. 252a; 41 U.S.C. 701– 

707. 

Subpart A—Purpose and Coverage 

§ 1401.100 What does this part do? 

This part requires that the award and 

administration of the DOI grants and 

cooperative agreements comply with 

Office of Management and Budget 

(OMB) guidance implementing the 

portion of the Drug-Free Workplace Act 

of 1988, 41 U.S.C. 701–707, as amended 

(hereinafter, ‘‘the Act’’) that applies to 

grants. It thereby— 

(a) Gives regulatory effect to the OMB 

guidance (Subparts A through F of 2 

CFR Part 182) for DOI’s grants and 

cooperative agreements; and 

(b) Establishes DOI policies and 

procedures for compliance with the Act 

that are the same as those of other 

Federal agencies, in conformance with 

the requirement in 41 U.S.C. 705 for 

government-wide implementing 

regulations. 

§ 1401.105 Does this part apply to me? 

This part and, through this part, 

pertinent portions of the OMB guidance 

in Subparts A through F of 2 CFR part 

182 apply if you are— 

(a) A recipient of an assistance award 

from the Department of the Interior; or 

(b) The Department of the Interior 

awarding official. 

The following table (will be 

incorporated into 2 CFR part 182) shows 

the subparts that apply to you: 

If you are See subparts 

(1) A recipient who is not an 

individual.

A, C and F. 

(2) A recipient who is an individual.A, D and F. 

(3) A Department of the Interior awarding official.A, E and F. 

§ 1401.110 What policies and procedures 

must I follow? 

(a) General. You must follow the 

policies and procedures specified in 

applicable sections of the OMB 

guidance in Subparts A through F of 2 

CFR part 182, as implemented by this 

part. 

(b) In implementing OMB guidance in 

2 CFR part 182, this part supplements 

four sections of the guidance, as shown 

in the following table. For each of those 

sections, you must follow the policies 

and procedures set forth in the OMB 

guidance, as supplemented by this part. 

Section of OMB guidance 

Section in this 

part where 

supplemented 

What the supplementation clarifies 

(1) 2 CFR 182.225(a) .............................. § 1401.335 Whom in the DOI a recipient other than an individual must notify if an employee 

is convicted for a violation of a criminal drug statute in the workplace. 

(2) 2 CFR 182.300(b) .............................. § 1401.401 Whom in the DOI a recipient who is an individual must notify if he or she is convicted of a criminal drug offense resulting from a violation occurring during the 

conduct of any award activity. 

(3) 2 CFR 182.500 .................................. § 1401.600 Who in the DOI is authorized to determine that a recipient other than an individual is in violation of the requirements of 2 CFR Part 182, as implemented by 

this part. 

(4) 2 CFR 182.505 .................................. § 1401.605 Who in the DOI is authorized to determine that a recipient who is an individual is 

in violation of the requirements of 2 CFR Part 182, as implemented by this part. 

(c) Sections of the OMB guidance that 

this part does not supplement. For any 

section of OMB guidance in Subparts A 

through F of 2 CFR Part 182 that is not 

listed in paragraph (b) of this section, 

DOI policies and procedures are the 

same as those in the OMB guidance. 

§ 1401.115 Are any of my Federal 

assistance awards exempt from this part? 

This part does not apply to any award 

if the Director, Office of Acquisition and 

Property Management (PAM), 

determines that the application of this 

part would be inconsistent with the 

international obligations of the United 

States or the laws or regulations of a 

foreign government. 

§ 1401.120 Does this part affect the 

Federal contracts that I receive? 

It will affect future contract awards 

indirectly if you are debarred or 

suspended for a violation of the 

requirements of this part, as described 

in § 1401.610(c). However, this part 

does not directly apply to procurement 

contracts. The portion of the Drug-Free 

Workplace Act of 1988 that applies to 

Federal procurement contracts is carried 

out through the Federal Acquisition 

Regulation in 48 CFR part 23, subpart 

23.5. 

Subpart F—Definitions 

§ 1401.205 Award. 

Award means an award of financial 

assistance by DOI or other Federal 

agency directly to a recipient. 

(a) The term award includes: 

(1) A Federal grant or cooperative 

agreement, in the form of money or 

property in lieu of money. 

(2) A block grant or a grant in an 

entitlement program, whether or not the 

grant is exempted from coverage under 

the Departmental rules at 43 CFR part 

12, subpart C, ‘‘Uniform Administrative 

Requirements for Grants and 

Cooperative Agreements to State and 

Local Governments.’’ 

(b) The term award does not include: 

(1) Technical assistance that provides 

services instead of money. 

(2) Loans. 

(3) Loan guarantees. 

(4) Interest subsidies. 

(5) Insurance. 

(6) Direct appropriations. 

(7) Veterans’ benefits to individuals 

(i.e., any benefit to veterans, their 

families, or survivors by virtue of the 

service of a veteran in the Armed Forces 

of the United States). 

§ 1401.210 Controlled substance. 

Controlled substance means any 

controlled substance identified in 

schedules I through V of the Controlled 

Substances Act, 21 U.S.C. 812, and as 

further defined by regulations at 21 CFR 

1308.11 through 1308.15. 

§ 1401.215 Conviction. 

Conviction means a finding of guilt 

(including a plea of nolo contendere) or 

imposition of sentence, or both, by any 

judicial body charged with the 

responsibility to determine violations of 

the Federal or State criminal drug 

statutes. 

§ 1401.220 Cooperative agreement. 

Cooperative agreement means an 

award of financial assistance that, 

consistent with 31 U.S.C. 6305, is used 

to enter into the same kind of 

relationship as a grant (see definition of 


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grant in section 1401.250), except that 

substantial involvement is expected 

between the Federal agency and the 

recipient when carrying out the activity 

contemplated by the award. The term 

does not include cooperative research 

and development agreements as defined 

in 15 U.S.C. 3710a. 

§ 1401.225 Criminal drug statute. 

Criminal drug statute means a Federal 

or non-Federal criminal statute 

involving the manufacture, distribution, 

dispensing, use, or possession of any 

controlled substance. 

§ 1401.230 Debarment. 

Debarment means an action taken by 

a Federal agency to prohibit a recipient 

from participating in Federal 

Government procurement contracts and 

covered non-procurement transactions. 

A recipient so prohibited is debarred, in 

accordance with the Federal Acquisition 

Regulation for procurement contracts 

(48 CFR part 9, subpart 9.4) and 2 CFR 

part 180. 

§ 1401.235 Drug-free workplace. 

Drug-free workplace means a site for 

the performance of work done in 

connection with a specific award at 

which employees of the recipient are 

prohibited from engaging in the 

unlawful manufacture, distribution, 

dispensing, possession, or use of a 

controlled substance. 

§ 1401.240 Employee. 

(a) Employee means the employee of 

a recipient directly engaged in the 

performance of work under the award, 

including— 

(1) All direct charge employees; 

(2) All indirect charge employees, 

unless their impact or involvement in 

the performance of work under the 

award is insignificant to the 

performance of the award; and 

(3) Temporary personnel and 

consultants who are directly engaged in 

the performance of work under the 

award and who are on the recipient’s 

payroll. 

(b) This definition does not include 

workers not on the payroll of the 

recipient (e.g., volunteers, even if used 

to meet a matching requirement; 

consultants or independent contractors 

not on the payroll; or employees of subrecipients or subcontractors in covered 

workplaces). 

§ 1401.245 Federal agency or agency. 

Federal agency or agency means any 

United States executive department, 

military department, government 

corporation, government controlled 

corporation, any other establishment in 

the executive branch (including the 

Executive Office of the President), or 

any independent regulatory agency. 

§ 1401.250 Grant. 

Grant means an award of financial 

assistance that, consistent with 31 

U.S.C. 6304, is used to enter into a 

relationship whereby— 

(a) The principal purpose of which is 

to transfer a thing of value to the 

recipient to carry out a public purpose 

of support or stimulation authorized by 

a law of the United States, rather than 

to acquire property or services for the 

Federal Government’s direct benefit or 

use; and 

(b) In which substantial involvement 

is not expected between the Federal 

agency and the recipient when carrying 

out the activity contemplated by the 

award. 

§ 1401.255 Individual. 

Individual means a natural person. 

§ 1401.260 Recipient. 

Recipient means any individual, 

corporation, partnership, association, 

unit of government (except a Federal 

agency) or legal entity, however 

organized, that receives an award 

directly from a Federal agency. 

§ 1401.265 State. 

State means any of the States of the 

United States, the District of Columbia, 

the Commonwealth of Puerto Rico, or 

any territory or possession of the United 

States. 

§ 1401.270 Suspension. 

Suspension means an action taken by 

a Federal agency that immediately 

prohibits a recipient from participating 

in Federal Government procurement 

contracts and covered non-procurement 

transactions for a temporary period, 

pending completion of an investigation 

and any judicial or administrative 

proceedings that may ensue. A recipient 

so prohibited is suspended, in 

accordance with the Federal Acquisition 

Regulation for procurement contracts 

(48 CFR part 9, subpart 9.4) and 2 CFR 

part 180. Suspension of a recipient is a 

distinct and separate action from 

suspension of an award or suspension of 

payments under an award. 

Subpart C—Requirements for 

Recipients Other Than Individuals 

§ 1401.300 What must I do to comply with 

this part? 

There are two general requirements if 

you are a recipient other than an 

individual. 

(a) First, you must make a good faith 

effort, on a continuing basis, to maintain 

a drug-free workplace. You must agree 

to do so as a condition for receiving any 

award covered by this part. The specific 

measures that you must take in this 

regard are described in more detail in 

subsequent sections of this subpart. 

Briefly, those measures are to— 

(1) Publish a drug-free workplace 

statement and establish a drug-free 

awareness program for your employees; 

and 

(2) Take actions concerning 

employees who are convicted of 

violating drug statutes in the workplace. 

(b) Second, you must identify all 

known workplaces under your Federal 

awards. 

§ 1401.305 What must I include in my 

drug-free workplace statement? 

You must publish a statement that— 

(a) Tells your employees that the 

unlawful manufacture, distribution, 

dispensing, possession, or use of a 

controlled substance is prohibited in 

your workplace; 

(b) Specifies the actions that you will 

take against employees for violating that 

prohibition; and 

(c) Lets each employee know that, as 

a condition of employment under any 

award, he or she: 

(1) Will abide by the terms of the 

statement; and 

(2) Must notify you in writing if he or 

she is convicted for a violation of a 

criminal drug statute occurring in the 

workplace and must do so no more than 

five calendar days after the conviction. 

§ 1401.310 To whom must I distribute my 

drug-free workplace statement? 

You must require that a copy of the 

statement described in § 1401.305 be 

given to each employee who will be 

engaged in the performance of any 

Federal award. 

§ 1401.315 What must I include in my 

drug-free awareness program? 

You must establish an ongoing drugfree awareness program to inform 

employees about— 

(a) The dangers of drug abuse in the 

workplace; 

(b) Your policy of maintaining a drugfree workplace; 

(c) Any available drug counseling, 

rehabilitation, and employee assistance 

programs; and 

(d) The penalties that you may impose 

upon them for drug abuse violations 

occurring in the workplace. 

§ 1401.320 By when must I publish my 

drug-free workplace statement and 

establish my drug-free awareness 

program? 

If you are a new recipient that does 

not already have a policy statement as 

described in § 1401.305 and an ongoing 


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awareness program as described in 

§ 1401.315, you must publish the 

statement and establish the program by 

the time given in the following table: 

If . . . then you . . . 

(a) The performance period of the award is less than 30 days .............. must have the policy statement and program in place as soon as possible, but before the date on which performance is expected to be 

completed. 

(b) The performance period of the award is 30 days or more ................ must have the policy statement and program in place within 30 days 

after award. 

(c) You believe there are extraordinary circumstances that will require 

more than 30 days for you to publish the policy statement and establish the awareness program.

may ask the Department of the Interior awarding official to give you 

more time to do so. The amount of additional time, if any, to be 

given is at the discretion of the awarding official. 

§ 1401.325 What actions must I take 

concerning employees who are convicted 

of drug violations in the workplace? 

There are two actions you must take 

if an employee is convicted of a drug 

violation in the workplace: 

(a) First, you must notify Federal 

agencies if an employee who is engaged 

in the performance of an award informs 

you about a conviction, as required by 

§ 1401.305(c)(2), or you otherwise learn 

of the conviction. Your notification to 

the Federal agencies must— 

(1) Be in writing; 

(2) Include the employee’s position 

title; 

(3) Include the identification 

number(s) of each affected award; 

(4) Be sent within ten calendar days 

after you learn of the conviction; and 

(5) Be sent to every Federal agency on 

whose award the convicted employee 

was working. It must be sent to every 

awarding official or his or her official 

designee, unless the Federal agency has 

specified a central point for the receipt 

of the notices. 

(b) Second, within 30 calendar days of 

learning about an employee’s 

conviction, you must either— 

(1) Take appropriate personnel action 

against the employee, up to and 

including termination, consistent with 

the requirements of the Rehabilitation 

Act of 1973, 29 U.S.C. 794, as amended; 

or 

(2) Require the employee to 

participate satisfactorily in a drug abuse 

assistance or rehabilitation program 

approved for these purposes by a 

Federal, State or local health, law 

enforcement, or other appropriate 

agency. 

§ 1401.330 How and when must I identify 

workplaces? 

(a) You must identify all known 

workplaces under each DOI award. A 

failure to do so is a violation of your 

drug-free workplace requirements. You 

may identify the workplaces— 

(1) To the DOI official that is making 

the award, either at the time of 

application or upon award; or 

(2) In documents that you keep on file 

in your offices during the performance 

of the award, in which case you must 

make the information available for 

inspection upon request by DOI officials 

or their designated representatives. 

(b) Your workplace identification for 

an award must include the actual 

address of buildings (or parts of 

buildings) or other sites where work 

under the award takes place. Categorical 

descriptions may be used (e.g., all 

vehicles of a mass transit authority or 

State highway department while in 

operation, State employees in each local 

unemployment office, performers in 

concert halls or radio studios). 

(c) If you identified workplaces to the 

DOI awarding official at the time of 

application or award, as described in 

paragraph (a)(1) of this section, and any 

workplace that you identified changes 

during the performance of the award, 

you must inform the DOI awarding 

official. 

§ 1401.335 Whom in the DOI does a 

recipient other than an individual notify 

about a criminal drug conviction? 

The DOI is not designating a central 

location for the receipt of these reports. 

Therefore you shall provide this report 

to every grant officer, or other designee 

within a bureau or office of the 

Department on whose grant activity the 

convicted employee was working. 

Subpart D—Requirements for 

Recipients Who Are Individuals 

§ 1401.400 What must I do to comply with 

this part if I am an individual recipient? 

As a condition of receiving a DOI 

award, if you are an individual 

recipient, you must agree that— 

(a) You will not engage in the 

unlawful manufacture, distribution, 

dispensing, possession, or use of a 

controlled substance in conducting any 

activity related to the award; and 

(b) If you are convicted of a criminal 

drug offense resulting from a violation 

occurring during the conduct of any 

award activity, you will report the 

conviction: 

(1) In writing. 

(2) Within 10 calendar days of the 

conviction. 

(3) To the Department of the Interior 

awarding official or other designee for 

each award that you currently have, 

unless § 1401.401 or the award 

document designates a central point for 

the receipt of the notices. When notice 

is made to a central point, it must 

include the identification number(s) of 

each affected award. 

§ 1401.401 Whom in the DOI does a 

recipient who is an individual notify about 

a criminal drug conviction? 

The DOI is not designating a central 

location for the receipt of these reports. 

Therefore you shall provide this report 

to every grant officer, or other designee 

within a bureau or office of the 

Department on whose grant activity the 

convicted employee was working. 

Subpart E—Responsibilities of DOI 

Awarding Officials 

§ 1401.500 What are my responsibilities as 

a DOI awarding official? 

To obtain a recipient’s agreement to 

comply with applicable requirements in 

the OMB guidance at 2 CFR part 182, 

you must include the following term or 

condition in the award: 

Drug-free workplace. You, as the recipient, 

must comply with drug-free workplace 

requirements in subpart B (or subpart C, if 

the recipient is an individual) of part 1401, 

which adopts the government-wide 

implementation of 2 CFR part 182; sections 

5152–5158 of the Drug-Free Workplace Act of 

1988, Pub. L. 100–690, Title V, Subtitle D; 41 

U.S.C. 701–707. 

Subpart F—Violations of this Part and 

Consequences 

§ 1401.600 How are violations of this part 

determined for recipients other than 

individuals? 

A recipient other than an individual 

is in violation of the requirements of 

this part if the Director, PAM 

determines, in writing, that— 

(a) The recipient has violated the 

requirements of subpart B of this part; 

or 


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71012 Federal Register / Vol. 75, No. 224 / Monday, November 22, 2010 / Rules and Regulations 

(b) The number of convictions of the 

recipient’s employees for violating 

criminal drug statutes in the workplace 

is large enough to indicate that the 

recipient has failed to make a good faith 

effort to provide a drug-free workplace. 

§ 1401.605 How are violations of this part 

determined for recipients who are 

individuals? 

An individual recipient is in violation 

of the requirements of this part if the 

Director, PAM determines, in writing, 

that— 

(a) The recipient has violated the 

requirements of subpart C of this part; 

or 

(b) The recipient is convicted of a 

criminal drug offense resulting from a 

violation occurring during the conduct 

of any award activity. 

§ 1401.610 What actions will the Federal 

Government take against a recipient 

determined to have violated this part? 

If a recipient is determined to have 

violated this part, as described in 

§ 1401.600 or § 1401.605, DOI may take 

one or more of the following actions— 

(a) Suspension of payments under the 

award; 

(b) Suspension or termination of the 

award; and 

(c) Suspension or debarment of the 

recipient under 2 CFR part 180, for a 

period not to exceed five years. 

§ 1401.615 Are there any exceptions to 

those actions? 

The Secretary of the Interior may 

waive with respect to a particular 

award, in writing, a suspension of 

payments under an award, suspension 

or termination of an award, or 

suspension or debarment of a recipient 

if the Secretary of the Interior 

determines that such a waiver would be 

in the public interest. This exception 

authority cannot be delegated to any 

other official. 

TITLE 43—PUBLIC LANDS 

■ 2. In title 43, remove part 43. 

[FR Doc. 2010–29371 Filed 11–19–10; 8:45 am] 

BILLING CODE 4310–RK–P 

FEDERAL FINANCIAL INSTITUTIONS 

EXAMINATION COUNCIL 

12 CFR Part 1101 

[FFIEC–2010–0002] 

Description of Office, Procedures, and 

Public Information 

AGENCY: Federal Financial Institutions 

Examination Council. 

ACTION: Final rule. 

SUMMARY: The Federal Financial 

Institutions Examination Council 

(Council or FFIEC), on behalf of its 

members, is amending its Freedom of 

Information Act (FOIA) regulations. 

Among other things, this final rule 

revises the procedures to be used by 

members of the public in requesting 

records maintained by the Council, the 

time limits in which the Council must 

make a determination on disclosure in 

response to a request for records, and 

the time period in which a requester has 

the right to administratively appeal any 

adverse determination made on a 

request for records, and provides 

procedures to be used to request 

expedited processing of FOIA requests. 

DATES: Effective November 22, 2010. 

FOR FURTHER INFORMATION CONTACT: Paul 

Sanford, Executive Secretary, Federal 

Financial Institutions Examination 

Council, via telephone: (703) 516–5590, 

or via e-mail: PaSanford@FDIC.gov. 

SUPPLEMENTARY INFORMATION: The 

Council is publishing a final rule 

revising its regulations implementing 

the FOIA. On September 3, 2010, the 

Council published for comment a notice 

of proposed rulemaking (NPRM) in the 

Federal Register that proposed revisions 

to the Council’s regulations at 12 CFR 

part 1101, implementing the FOIA, 5 

U.S.C. 552, as amended. 75 FR 54052, 

September 3, 2010. Interested persons 

were afforded an opportunity to 

participate in the rulemaking process 

through submission of written 

comments on the NPRM. The Council 

received no public comments. The 

Council has reviewed the proposed 

regulations and adopts them in this final 

rule. 

I. Background 

The Council makes a number of 

substantive and technical changes to its 

regulations implementing the FOIA (5 

U.S.C. 552, as amended) that fall within 

two general categories. First, the 

Council modifies its existing regulations 

to reflect the amendments to the FOIA 

contained in the Electronic Freedom of 

Information Act Amendments of 1996, 

Public Law 104–231, 110 Stat. 3048, and 

the OPEN Government Act, Public Law 

110–175, 121 Stat. 2524. The Electronic 

Freedom of Information Act 

Amendments increased the FOIA’s basic 

time limit for agency responses to FOIA 

requests, and provided for expedited 

processing of FOIA requests under 

certain conditions, among other 

procedural revisions. The OPEN 

Government Act also amended various 

FOIA administrative procedures, such 

as when an agency may toll the 

statutory time for responding to FOIA 

requests, and how to indicate 

exemptions authorizing deletion of 

materials under the FOIA on a 

responsive record. 

Second, the Council revises its 

regulations to further clarify its policies 

and procedures relating to the 

processing of FOIA requests and the 

administration of its FOIA operations. 

II. Section-by-Section Analysis 

In 12 CFR 1101.3(e), the Council 

revises the paragraph by providing the 

current address of the Council’s offices. 

In 12 CFR 1101.4(a), the Council 

revises the paragraph by providing the 

current address of the Council’s offices 

and clarifying that Council policies and 

interpretations may be withheld from 

disclosure under exemptions to the 

FOIA. 

In 12 CFR 1101.4(b), the Council 

revises the wording of the section 

heading. 

In 12 CFR 1101.4(b)(1), the Council 

revises the wording of the paragraph to 

explain that Council records that are not 

published in the Federal Register or 

available for inspection and copying at 

the Council’s offices are available to the 

public upon request, except to the 

extent that such records are exempt 

from disclosure under the FOIA. 

In 12 CFR 1101.4(b)(1)(i), the Council 

capitalizes the word ‘‘Order’’ when 

referring to an Executive Order. 

In 12 CFR 1101.4(b)(1)(v), the Council 

adds language to protect from disclosure 

records of deliberations and meetings of 

the Council, its committees, and staff, 

that are not subject to the Government 

in the Sunshine Act, 5 U.S.C. 552b. 

In 12 CFR 1101.4(b)(1)(vii), the 

Council revises the paragraph by 

substituting a reference to the statutory 

citation for Exemption 7 of the FOIA, 

5 U.S.C. 552(b)(7), for the list of the 

specific substantive provisions of the 

exemption in the existing regulation. In 

addition, the term ‘‘state or federal’’ has 

been inserted to clarify that records of 

state financial regulatory agencies in the 

possession of the Council are exempt 

from disclosure under Exemption 7, as 

are the records of federal regulatory 

agencies. 

In 12 CFR 101.4(b)(1)(viii), the 

Council revises the paragraph by 

eliminating a listing of the types of 

financial institutions covered by 

Exemption 8 of the FOIA, 5 U.S.C. 

552(b)(8), and inserting the term ‘‘state 

or federal’’ to clarify that records of state 

financial regulatory agencies in the 

possession of the Council are exempt 

from disclosure under Exemption 8. 


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