7 

PART 1200 [RESERVED] 

PART 1201—PRODUCTION OR DISCLOSURE OF OFFICIAL INFORMATION IN RESPONSE TO COURT 

ORDERS, SUBPOENAS, NOTICES 

OF DEPOSITIONS, REQUESTS FOR 

ADMISSIONS, INTERROGATORIES, 

OR IN CONNECTION WITH FEDERAL OR STATE LITIGATION 

Sec. 

1201.1 Definitions. 

1201.2 Scope. 

1201.3 Service of summonses and complaints. 

1201.4 Service of subpoenas, court orders, 

and other demands or requests for official information or action. 

1201.5 Testimony and production of documents prohibited unless approved by appropriate Corporation officials. 

1201.6 Procedure when testimony or production of documents is sought. 

1201.7 Procedure when response is required 

prior to receiving instructions. 

1201.8 Procedure in the event of an adverse 

ruling. 

1201.9 Considerations in determining whether the Corporation will comply with a demand or request. 

1201.10 Prohibition on providing expert or 

opinion testimony. 

1201.11 Authority. 

AUTHORITY: 42 U.S.C. 12501 et seq. 

SOURCE: 63 FR 4598, Jan. 30, 1998, unless 

otherwise noted. 

§ 1201.1 Definitions. 

(a) Corporation Employee means the 

Chief Executive Officer of the Corporation and all employees, former employees, National Civilian Community 

Corps Members (hereinafter sometimes 

known as ‘‘Corps Members’’), and 

VISTA Volunteers (hereinafter sometimes also known as 

‘‘AmeriCorps*VISTA Members’’), who 

are or were subject to the supervision, 

jurisdiction, or control of the Chief Executive Officer, except as the Corporation may otherwise determine in a particular case. 

(b) Litigation encompasses all pretrial, trial, and post-trial stages of all 

judicial or administrative actions, 

hearings, investigations, or similar 

proceedings before courts, commissions, boards, or other judicial or 

quasi-judicial bodies or tribunals, 

whether criminal, civil, or administrative in nature. 

(c) Official Information means all information of any kind, however stored, 

that is in the custody and control of 

the Corporation, relates to information 

in the custody and control of the Corporation, or was acquired by individuals connected with the Corporation as 

part of their official status within the 

Corporation while such individuals are 

employed by, or serve on behalf of, the 

Corporation. 

§ 1201.2 Scope. 

(a) This part states the procedures 

followed with respect to: 

(1) Service of summonses and complaints or other requests or demands 

directed to the Corporation or to any 

Corporation employee in connection 

with Federal or State litigation arising 

out of, or involving the performance of, 

official activities of the Corporation; 

and 

(2) Oral or written disclosure, in response to subpoenas, orders, or other 

requests or demands from Federal or 

by State judicial or quasi-judicial authority, whether civil or criminal, or in 

response to requests for depositions, affidavits, admissions, responses to interrogatories, document production, or 

other litigation-related matters of: 

(i) Any material contained in the 

files of the Corporation; or 

(ii) Any information acquired: 

(A) When the subject of the request is 

currently a Corporation employee or 

was a Corporation employee; or 

(B) As part of the performance of the 

person’s duties or by virtue of the person’s position. 

(b) Sections 1201.3 through 1201.10 do 

not apply to: 

(1) Testimony or records provided in 

accordance with the Office of Personnel Management regulations implementing 5 U.S.C. 6322. 

(2) Requests for, and release of, 

records under the Freedom of Information Act, 5 U.S.C. 552, and the Privacy 

Act, 5 U.S.C. 552a. 

(3) Disclosures to the Office of Inspector General or requests by the Office of Inspector General for official information or records. 

(c) The procedures in this part apply 

to Corporation employees and official 


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§ 1201.3 45 CFR Ch. XII (10–1–18 Edition) 

information within the Corporation Office of Inspector General. However, any 

determinations or other actions to be 

made by the General Counsel under 

this part, relating to employees or official information within the Office of 

Inspector General, shall be made by the 

Inspector General. 

[63 FR 4598, Jan. 30, 1998, as amended at 63 

FR 64199, Nov. 19, 1998] 

§ 1201.3 Service of summonses and 

complaints. 

(a) Only the Corporation’s General 

Counsel or his/her designee (hereinafter 

‘‘General Counsel’’), is authorized to 

receive and accept summonses or complaints sought to be served upon the 

Corporation or its employees. All such 

documents should be delivered or addressed to General Counsel, Corporation for National and Community Service, 250 E Street SW., Washington, DC 

20525. 

(b) In the event any summons or 

complaint is delivered to a Corporation 

Employee other than in the manner 

specified in this part, such attempted 

service shall be ineffective, and the recipient thereof shall either decline to 

accept the proffered service or return 

such document under cover of a written communication that refers the person attempting to effect service to the 

procedures set forth in this part. 

(c) Except as otherwise provided in 

§1201.4(c), the Corporation is not an authorized agent for service of process 

with respect to civil litigation against 

Corporation Employees purely in their 

personal, non-official capacity. Copies 

of summonses or complaints directed 

to Corporation Employees in connection with legal proceedings arising out 

of the performance of official duties 

may, however, be served upon the General Counsel. 

[63 FR 4598, Jan. 30, 1998, as amended at 81 

FR 12600, Mar. 10, 2016] 

§ 1201.4 Service of subpoenas, court 

orders, and other demands or requests for official information or 

action. 

(a) Except in cases in which the Corporation is represented by legal counsel who have entered an appearance or 

otherwise given notice of their representation, only the General Counsel 

is authorized to receive and accept subpoenas, or other demands or requests 

directed to any component of the Corporation or Corporation Employees, 

whether civil or criminal in nature, 

for: 

(1) Material, including documents, 

contained in the files of the Corporation; 

(2) Information, including testimony, 

affidavits, declarations, admissions, response to interrogatories, or informal 

statements, relating to material contained in the files of the Corporation or 

which any Corporation employee acquired in the course and scope of the 

performance of official duties; 

(3) Garnishment or attachment of 

compensation of Corporation Employees; or 

(4) The performance or non-performance of any official Corporation duty. 

(b) In the event that any subpoena, 

demand, or request is sought to be delivered to a Corporation Employee 

other than in the manner prescribed in 

paragraph (a) of this section, such attempted service shall be ineffective. 

Such Corporation Employee shall, after 

consultation with the General Counsel, 

decline to accept the subpoena, and demand or request the return of it under 

cover of a written communication referring to the procedures prescribed in 

this part. 

(c) Except as otherwise provided in 

this part, the Corporation is not an 

agent for service or otherwise authorized to accept on behalf of Corporation 

Employees any subpoenas, show-cause 

orders, or similar compulsory process 

of federal or state courts, or requests 

from private individuals or attorneys, 

which are not related to the employees’ 

official duties except upon the express, 

written authorization of the individual 

Corporation Employee to whom such 

demand or request is directed. 

(d) Acceptance of such documents by 

the General Counsel does not constitute a waiver of any defenses that 

might otherwise exist with respect to 

service under the Federal Rules of Civil 

or Criminal Procedure at 28 U.S.C. Appendix, Rules 4–6 or 18 USC Appendix 

or other applicable rules. 


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Corporation for National and Community Service § 1201.7 

§ 1201.5 Testimony and production of 

documents prohibited unless approved by appropriate Corporation 

officials. 

(a) Unless authorized to do so by the 

General Counsel, no Corporation Employee shall, in response to a demand 

or request in connection with any litigation, whether criminal or civil, provide oral or written testimony by deposition, declaration, affidavit, or otherwise concerning any information acquired: 

(1) While such person was a Corporation Employee; 

(2) As part of the performance of that 

person’s official duties; or 

(3) By virtue of that person’s official 

status. 

(b) No Corporation Employee shall, 

in response to a demand or request in 

connection with any litigation, 

produce for use at such proceedings 

any document or any other material 

acquired as part of the performance of 

that individual’s duties or by virtue of 

that individual’s official status, unless 

authorized to do so by the General 

Counsel. 

§ 1201.6 Procedure when testimony or 

production of documents is sought. 

(a) If Official Information is sought, 

either through testimony or otherwise, 

the party seeking such information 

must (except as otherwise required by 

federal law or authorized by the General Counsel) set forth in writing with 

as much specificity as possible, the nature and relevance of the Official Information sought. The party must identify the record or reasonably describe 

it in terms of date, format, subject 

matter, the offices originating or receiving the record, and the names of all 

persons to whom the record is known 

to relate. Corporation Employees may 

produce, disclose, release, comment 

upon, or testify concerning only those 

matters that were specified in writing 

and properly approved by the General 

Counsel. The General Counsel may 

waive this requirement in appropriate 

circumstances. 

(b) To the extent it deems necessary 

or appropriate, the Corporation may 

also require from the party seeking 

such testimony or documents a schedule of all reasonably foreseeable demands, including but not limited to the 

names of all current and former Corporation Employees from whom discovery will be sought, areas of inquiry, 

expected duration of proceedings requiring oral testimony, and identification of potentially relevant documents. 

(c) The General Counsel will notify 

the Corporation Employee and such 

other persons as circumstances may 

warrant of the decision regarding compliance with the request or demand. 

(d) The General Counsel will consult 

with the Department of Justice regarding legal representation for Corporation Employees in appropriate cases. 

§ 1201.7 Procedure when response to 

demand is required prior to receiving instructions. 

(a) If a response to a demand or request for Official Information pursuant 

to litigation is required before the General Counsel renders a decision, the 

Corporation will request that either a 

Department of Justice attorney or a 

Corporation attorney designated for 

the purpose: 

(1) Appear, if feasible, with the employee upon whom the demand has 

been made; 

(2) Furnish the court or other authority with a copy of the regulations contained in this part; 

(3) Inform the court or other authority that the demand or request has 

been or is being, as the case may be, referred for the prompt consideration of 

the General Counsel; and 

(4) Respectfully request the court or 

authority to stay the demand or request pending receipt of the requested 

instructions. 

(b) In the event that an immediate 

demand or request for production or 

disclosure is made in circumstances 

that would preclude the proper designation or appearance of a Department of Justice or Corporation attorney on behalf of the Corporation employee, the Corporation Employee shall 

respectfully request the court or other 

authority for a reasonable stay of proceedings for the purpose of obtaining 

instructions from the Corporation. 


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§ 1201.8 45 CFR Ch. XII (10–1–18 Edition) 

§ 1201.8 Procedure in the event of an 

adverse ruling. 

If the court or other authority declines to stay the effect of the demand 

or request in response to a request 

made pursuant to §1201.7, or if the 

court or other authority rules that the 

demand or request must be complied 

with irrespective of the Corporation’s 

instructions not to produce the material or disclose the information sought, 

the Corporation Employee upon whom 

the demand or request has been made 

shall, if so directed by the General 

Counsel, respectfully decline to comply 

with the demand or request, citing 

United States ex rel. Touhy v. Ragen, 340 

U.S. 462 (1951), and the regulations in 

this part. 

§ 1201.9 Considerations in determining 

whether the Corporation will comply with a demand or request. 

(a) In deciding whether to comply 

with a demand or request, Corporation 

officials and attorneys are encouraged 

to consider: 

(1) Whether such compliance would 

be unduly burdensome or otherwise inappropriate under the applicable rules 

of discovery or the rules of procedure 

governing the case or matter in which 

the demand arose; 

(2) Whether compliance is appropriate under the relevant substantive 

law concerning privilege or disclosure 

of information; 

(3) The public interest; 

(4) The need to conserve the time of 

Corporation Employees for the conduct 

of official business; 

(5) The need to avoid spending the 

time and money of the United States 

for private purposes; 

(6) The need to maintain impartiality 

between private litigants in cases 

where a government interest is not implicated; 

(7) Whether compliance would have 

an adverse effect on performance by 

the Corporation of its mission and duties; and 

(8) The need to avoid involving the 

Corporation in controversial issues not 

related to its mission. 

(b) Among those demands and requests in response to which compliance 

may not ordinarily be authorized are 

those when compliance would: 

(1) Violate a statute, a rule of procedure, a specific regulation, or an executive order; 

(2) Reveal information properly classified in the interest of national security; 

(3) Reveal confidential commercial or 

financial information or trade secrets 

without the owner’s consent; 

(4) Reveal the internal deliberative 

processes of the Executive Branch; or 

(5) Potentially impede or prejudice 

an ongoing law enforcement investigation. 

§ 1201.10 Prohibition on providing expert or opinion testimony. 

(a) Except as provided in this section, 

Corporation Employees shall not provide opinion or expert testimony based 

upon information that they acquired in 

the scope and performance of their official Corporation duties, except on behalf of the United States or a party 

represented by the Department of Justice. 

(b) Upon a showing by the requester 

of exceptional need or unique circumstances and that the anticipated 

testimony will not be adverse to the interests of the United States, the General Counsel, in the exercise of discretion, may grant special, written authorization for Corporation Employees 

to appear and testify as expert witnesses at no expense to the United 

States. 

(c) If, despite the final determination 

of the General Counsel, a court of competent jurisdiction or other appropriate authority orders the appearance 

and expert or opinion testimony of a 

Corporation Employee such individual 

shall immediately inform the General 

Counsel of such order. If the General 

Counsel determines that no further 

legal review of or challenge to the 

court’s order will be made, the Corporation Employee shall comply with 

the order. If so directed by the General 

Counsel, however, the individual shall 

respectfully decline to testify. 

§ 1201.11 Authority. 

The Corporation receives authority 

to change its governing regulations 

from the National and Community 

Service Act of 1990 as amended (42 

U.S.C. 12501 et seq.). 


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Corporation for National and Community Service § 1203.3 

PART 1203—NONDISCRIMINATION 

IN FEDERALLY ASSISTED PROGRAMS—EFFECTUATION OF TITLE 

VI OF THE CIVIL RIGHTS ACT OF 

1964 

Sec. 

1203.1 Purpose. 

1203.2 Application of this part. 

1203.3 Definitions. 

1203.4 Discrimination prohibited. 

1203.5 Assurances required. 

1203.6 Compliance information. 

1203.7 Conduct of investigations. 

1203.8 Procedure for effecting compliance. 

1203.9 Hearings. 

1203.10 Decisions and notices. 

1203.11 Judicial review. 

1203.12 Effect on other regulations, forms, 

and instructions. 

APPENDIX A TO PART 1203—PROGRAMS TO

WHICH THIS PART APPLIES

APPENDIX B TO PART 1203—PROGRAMS TO

WHICH THIS PART APPLIES WHEN A PRIMARY OBJECTIVE OF THE FEDERAL FINANCIAL ASSISTANCE IS TO PROVIDE EMPLOYMENT

AUTHORITY: Sec. 602, 78 Stat. 252; 42 U.S.C. 

2000d–1. 

SOURCE: 39 FR 27322, July 26, 1974, unless 

otherwise noted. 

§ 1203.1 Purpose. 

The purpose of this part is to effectuate the provisions of title VI of the 

Civil Rights Act of 1964 (hereafter referred to as title VI), to the end that a 

person in the United States shall not, 

on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or 

be otherwise subjected to discrimination under a program or activity receiving Federal financial assistance 

from ACTION. 

§ 1203.2 Application of this part. 

(a) This part applies to each program 

for which Federal financial assistance 

is authorized under a law administered 

by ACTION, including the types of Federal financial assistance listed in appendix A to this part. It also applies to 

money paid, property transferred, or 

other Federal financial assistance extended after the effective date of this 

part pursuant to an application approved before that effective date. This 

part does not apply to: 

(1) Federal financial assistance by 

way of insurance or guaranty contracts; 

(2) Money paid, property transferred, 

or other assistance extended before the 

effective date of this part, except when 

the assistance was subject to the title 

VI regulations of an agency whose responsibilities are now exercised by ACTION; 

(3) Assistance to any individual who 

is the ultimate beneficiary; or 

(4) Employment practices, under a 

program, of an employer, employment 

agency, or labor organization, except 

to the extent described in §1203.4(c). 

The fact that a type of Federal financial assistance is not listed in Appendix 

A to this part does not mean, if title VI 

is otherwise applicable, that a program 

is not covered. Other types of Federal 

financial assistance under statutes now 

in force or hereinafter enacted may be 

added to Appendix A to this part. 

(b) In a program receiving Federal financial assistance in the form, or for 

the acquisition, of real property or an 

interest in real property, to the extent 

that rights to space on, over, or under 

that property are included, the nondiscrimination requirement of this part 

extends to a facility located wholly or 

in part in that space. 

[39 FR 27322, July 26, 1974, as amended at 68 

FR 51387, Aug. 26, 2003] 

§ 1203.3 Definitions. 

Unless the context requires otherwise, in this part: 

(a) Applicant means a person who submits an application, request, or plan 

required to be approved by ACTION, or 

by a primary recipient, as a condition 

to eligibility for Federal financial assistance, and ‘‘application’’ means that 

application, request, or plan. 

(b) Facility includes all or any part of 

structures, equipment, or other real or 

personal property or interests therein, 

and the provision of facilities includes 

the construction, expansion, renovation, remodeling, alteration, or acquisition of facilities. 

(c) Federal financial assistance includes: 

(1) Grants and loans of Federal funds; 

(2) The grant or donation of Federal 

property and interests in property; 

(3) The detail of Federal personnel; 


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