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(c) The Foundation will attempt to EMPLOYEE PAYROLL-NFAH. respond to a request as to whether a PERSONNEL RECORDS–NFAH. record exists within 10 working days

Accordingly, with respect to requests from the time it receives the request

for records in these systems the Founor from the time any required identifi

dation reserves the rights to require cation is established, whichever is

sufficient identification to identify later.

positively the individual making the § 1115.4 Procedures

request. This might involve independfor requests for

ent verification by the Foundation as access to or disclosure of records per

by phone calls to determine whether taining to an individual.

an individual has made a request, per(a) Any person may request review sonal identification by Foundation emof records pertaining to him by ap ployees who know the individual, or pearing at the National Endowment such other means as are considered for the Arts, Room 1338, 2401 E appropriate under the circumstances. Street, NW., Washington, D.C. 20506,

(c) A written request will be honored or the National Endowment for the only if it contains the following certifiHumanities, Room 1000, 806 15th cation before a duly commissioned Street, NW., Washington, D.C. 20506

notary public of any state or territory on work days between the hours of (or similar official if the request is 9:00 a.m. and 5:30 p.m. or by writing to made outside the United States): the Office of the General Counsel, National Endowment for the Arts, or Na


-(Printed name), do tional Endowment for the Humanities,

hereby certify that I am the individual

about whom the record requested in this Washington, D.C. 20506. (See para

letter pertains or that I am within the class graphs (b) and (c) of this section for

of persons authorized to act on his behalf in identification requirements.) The re accordance with 5 U.S.C. 552a(h). quest should specifically identify the systems or records involved. The Foundation will strive either to make

Signature the record available within 15 working days of the request or to inform the requestor of the need for additional


In the County o--identification or the tendering of fees (as specified in paragraph (d) of this

of----------. On this --day of -section) within 15 working days. (b) In the case of persons making re

(Name of individual) quests by appearing at the Founda- who is personally known to me, did appear tion, the amount of personal identifi- before me and sign the above certificate. cation required will of necessity vary with the sensitivity of the record involved. Except as indicated below, rea

Signature sonable identification such as employment identification cards, drivers li

Date censes, and credit cards will normally

(s) My Commission expires --be accepted as sufficient evidence of identity in the absence of any indica

However, where the record requested tions to the contrary. Records in the is contained in any of the systems of following systems of records, however,

records listed in paragraph (b) of this are considered to contain relatively

section, the Foundation reserves the sensitive and/or detailed personal in

right to require additional identificaformation,

tion and/or to independently verify to

its satisfaction, the identity of the reGRANT APPLICATIONS-NEA.


(d) Charges for copies of records will GRANTS TO INDIVIDUALS AND INSTI

be at the rate of $0.10 per photograTUTIONS-NEH.

phy of each page. Where records are EQUAL EMPLOYMENT OPPORTUNITY not susceptible to photo-copying, e.g., CASE FILE-NFAH NEA/NEH.

punch cards, magnetic tapes or over

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_State size materials, the amount charged quest and/or explaining what correcwill be actual cost as determined on a tion might be made if agreeable to the case-by-case basis. Only one copy of requestor. This letter shall set forth each record requested will be supplied. the reasons for the refusal to honor No charge will be made unless the the request for correction. It shall also charge as computed above would inform him of his right to appeal this exceed $3.00 for each request or relat. decision and include a description of ed series of requests. If a fee in excess the appeals procedure set forth in of $25.00 would be required, the re- paragraph (d) of this section. questor shall be notified and the fee (d) An appeal may be taken from an must be tendered before the records adverse determination under parawill be copied.

graph (c) of this section to the Assist

ant Chairman/Management, National 1115.5 Correction of records.

Endowment for the Arts or the Chair(a) Any individual is entitled to re man, National Endowment for the Huquest amendments of records pertain manities. Such appeal must be made ing to him pursuant to 5 U.S.C. in writing and should clearly indicate 552a(d)(2). Such a request shall be that it is an appeal. The basis for the made in writing and addressed to the appeal should be included, and it Office of the General Counsel, Nation should be mailed to the same address al Endowment for the Arts or National as listed in paragraph (a) of this secEndowment for the Humanities tion. A hearing at the Foundation may Washington, D.C. 20506.

be requested. Such hearing will be in. (b) The request should specify the formal, and shall be before the Assistrecord and systems of records in ant Chairman/Management, National volved, and should specify the exact Endowment for the Arts, the Chaircorrection desired and state that the man, National Endowment for the Hurequest is made pursuant to the Priva- manities, or an appointed designee. If cy Act. An edited copy of the record no hearing is requested, the request showing the desired correction is desir- for appeal should include the basis for able. Within 10 working days of the re- the appeal. Where no hearing is receipt of a properly addressed request quested the Assistant Chairman or (or within 10 working days of the time Chairman before whom the appeal is the General Counsel, National Endow taken shall render his decision within ment for the Arts or the General thirty working days after receipt of Counsel, National Endowment for the the written appeal at the Foundation, Humanities becomes aware that a par- unless the Assistant Chairman or ticular communication not addressed Chairman before whom the appeal is as prescribed above is a request for taken, for good cause shown, extends correction of a record under the Priva the 30-day period and the appellant is cy Act), the General Counsel's office advised in writing of such extension. If shall acknowledge receipt of the re a hearing is requested, the Foundation quest.

will attempt to contact the appellant (c) The General Counsel's office within five working days and arrange upon receipt of such a request shall a suitable time for the hearing. In promptly confer with the office within such cases the decision of the Assistthe Foundation responsible for the ant Chairman or Chairman shall be record. In the event it is felt that cor- made within 30 working days after the rection is not warranted in whole or in hearing unless the time is extended part, the matter shall be brought to and the appellant is advised in writing the attention of the Deputy Chairman of such extension. of the Endowment involved. If, after (e) The final decision of the Assistreview by the Deputy Chairman of the ant Chairman or Chairman in an involved Endowment and discussion appeal shall be in writing, and, if adwith the request or, if deemed helpful, verse to the appellant, set forth the it is determined that correction as re reasons for the refusal to amend the quested is not warranted, a letter shall record and advise him of his right to be sent by the Deputy Chairman's appeal the decision under 5 U.S.C. office to the requestor denying his re- 552a(g)(1)(A). The individual shal


also be notified that he has the right tion of the Foundation, if the written to file with the Foundation a concise consent of the individual to whom statement setting forth the reasons they pertain has been obtained or if for this disagreement with the refusal such release would be authorized of the Foundation to amend his under 5 U.S.C. 552a(b)(1) or (3)-(11). record.

$ 1115.7 Exemptions. $1115.6 Disclosure of records to agencies or persons other than the individual to

(a) Fellowships and grants. Pursuant whom the record pertains.

to 5 U.S.C. 552a(k)(5), the Foundation

hereby exempts from the application Records subject to the Privacy Act

of section 552a(d) any materials which that are requested by any person

would disclose the identity of referother than the individual to whom

ences for fellowship or grant applithey pertain will not be made availa

cants contained in any of the Foundable except under the following circumstances:

tion's systems of records. (a) Records required to be made

(b) Applicants for employment. Puravailable by the Freedom of Informa

suant to 5 U.S.C. 552a(k)(5), the Fountion Act will be released in response to

dation hereby exempts from the applia request formulated in accordance cation of 5 U.S.C. 552a(d) any materiwith Foundation regulations found at als which would disclose the identity 45 CFR Part 1100.

of references of applicants for employ(b) Records not required by the ment at the Foundation contained in Freedom of Information Act to be re- the system of records entitled “Offileased may be released, at the discre- cial Personnel Folders”.




shall be performed in accordance with LECTION ACT OF 1966

the applicable standards prescribed in 4 CFR Parts 101 through 105, which

are incorporated by reference and sup1150.1 Scope.

plemented in this subpart. 1150.2 Incorporation of joint standards by reference.

$ 1150.3 Subdivision and joining of claims. 1150.3 Subdivision and joining of claims. 1150.4 Referral of claims to the General

(a) A debtor's liability arising from a Counsel.

particular transaction or contract 1150.5 Accounting control.

shall be considered as a single claim in 1150.6 Record retention.

determining whether the claim is one 1150.7 Suspension or revocation of eligibil

not exceeding $20,000 exclusive of inity. 1150.8 Standards for collection of claims.

terest for the purpose of compromise 1150.9 Standards for compromise of claims.

or termination of collection action. 1150.10 Standards for suspension or termi. Such a claim may not be subdivided to nation of collection action.

avoid the monetary ceiling established 1150.11 Referral to GAO or Justice De- by the Act. partment.

(b) Joining of two or more single AUTHORITY: Federal Claims Collection Act claims in a demand upon a particular of 1966.

debtor for payment totaling more SOURCE: 40 FR 51196, Nov. 4, 1975, unless

than $20,000 does not preclude comotherwise noted.

promise or termination of collection

action with respect to any one of such $ 1150.1 Scope.

claims that does not exceed $20,000 exThis subpart sets forth the regula clusive of interest. tions of the National Endowment for the Arts implementing the Federal

$ 1150.4 Referral of claims to the General Claims Collection Act of 1966 (the

Counsel. Act) in conformity with the standards (a) Authority of the General Counsel. jointly promulgated by the Attorney The General Counsel shall exercise General and the Comptroller General the powers and perform the duties of in 4 CFR Parts 101 through 105. The the head of the agency to compromise Act (a) requires the head of an agency or to suspend or terminate collection or his designee to attempt collection of action on all claims not exceeding all claims of the United States for $20,000 exclusive of interest. Claims money or property arising out of the shall be referred to the General Coun

ivities of the National Endowment sel well within the applicable statute for the Arts; and (b) authorizes the of limitations (28 U.S.C. 2415 and head of an agency or his designee to 2416), but in no event more than 2 compromise such claims that do not years after the claims accrued. exceed $20,000 exclusive of interest, or (b) Exclusions. There shall be no to suspend or terminate collection compromise or terminated collection action where it appears that no person action with respect to any claim: (1) liable on such claims has the present As to which there is an indication of or prospective financial ability to pay fraud, the presentation of a false any significant sum thereon or that claim, or misrepresentation on the the cost of collecting such claim is part of the debtor or any other party likely to exceed the amount of recov having an interest in the claim; (2) ery.

based in whole or in part on conduct

in violation of the anti-trust laws; (5) $ 1150.2 Incorporation of joint standards

based on tax statutes; or (4) arising by reference.

from an exception made by the Gener: All administrative actions to collect al Accounting Office in the account 01 claims arising out of the activities of an accountable officer. Such claims

shall be promptly referred to the Jus- (c) Liquidation of collateral. When tice Department or GAO, as appropri- the Endowment holds security or colate.

lateral that may be liquidated and the

proceeds applied on debts due it $ 1150.5 Accounting control.

through the exercise of a power of The General Counsel shall process sale in the security instrument or a all claims collections through the ap nonjudicial foreclosure, such procepropriate accounting office and report dures should be followed if the debtor the collection, compromise, suspension fails to pay his debt within a reasonand termination of all claims to the able time after demand, unless the appropriate accounting office for re cost of disposing of the collateral will cording.

be disproportionate to its value or spe

cial circumstances require judicial § 1150.6 Record retention.

foreclosure. The file of each claim on which ad (d) Collection in installments. ministrative collection action has been Claims with accrued interest should be completed shall be retained by the ap collected in full or one lump sum propriate office or the General Coun

whenever this is possible. However, if sel not less than 1 year after the appli

the debtor is financially unable to pay cable statute of limitations has run.

the indebtedness in one lump sum,

payment may be accepted in regular 8 1150.7 Suspension or revocation of eligi

installments. bility.

(e) Interest. In the event prejudg(a) In the event a contractor, grant

ment interest is not mandated by statee, or other participant in programs

ute, contract or regulation, the intersponsored by the Endowment fails to

est shall be assessed at 7 percent. Prepay his debts to the Endowment

judgment interest may be waived as an within a reasonable time after

inducement to voluntary payment. In demand, the fact shall be reported by

such cases demand letters should the Grants, Audit, or other appropri.

inform the debtor that prejudgment ate office to the General Counsel, who shall place such defaulting partici

interest will be collected if suit be

comes necessary. When a debt is paid pant's name on the Endowment's list

in installments and interest is collectof debarred, suspended and ineligible

ed, installment payments will first be contractors and grantees and the participant will be so advised.

applied to the payment of accrued in

terest and then to principal in accord(b) The failure of any surety to honor its obligations in accordance

ance with the so-called “U.S. Rule" with 6 U.S.C. 11 is to be reported at

unless a different rule is prescribed by once to the General Counsel who shall

statute, contract or regulation. Pre

judgment interest shall not be deso advise the Treasury Department. The Treasury Department will notify

manded or collected on civil penalty the Endowment when a surety's certif

and forfeiture claims unless the staticate of authority to do business with

ute under which the claim arises authe Government has been revoked or

thorizes the collection of such interforfeited.


(f) Omission not a defense. Failure § 1150.8 Standards for collection of to comply with any standard preclaims.

scribed in 4 CFR Chapter II or in this (a) Demand for payment. Appropri

subpart shall not be available as a deate written demands shall be made fense to any debtor. upon the debtor which shall include

$ 1150.9 Standards for compromise of information relating to the conse

claims. quences of his failure to cooperate.

(b) Collection by offset. Collection by (a) Compromise offer. An offer to offset will be administratively under compromise may be accepted (1) if taken on claims which are liquidated there is real doubt concerning the Naor certain in amount in every instance tional Endowment for the Arts' ability where this is feasible.

to prove its case in court for the full

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