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(1) Has, is seeking, or is likely to 128527 of the Comptroller General seek, assistance, support, or funds dated March 7, 1967. from an Endowment; or

(g) Outside employment and other (2) Conducts operations or activities activity. (1) Employees shall not which are involved with, or are sup- engage in any outside employment or ported by, an Endowment; or

other outside activity not compatible (3) Has interests which might be with the full and proper discharge of substantially affected by the employ

their duties and responsibilities. Inee's performance or nonperformance compatible activities include, but are of duties; or

not limited to, acceptance of anything (4) May be attempting to affect the

of monetary value which may result in employee's official actions.

or create the appearance of a conflict

of interest. (i) An employee shall not solicit a contribution from another employee

(2) Employees shall not engage in for a gift to an official superior, make

outside employment which tends to a donation as a gift to an official supe

impair their health or capacity to dis

charge acceptably their duties and rerior, or accept a gift from an employee

sponsibilities. receiving less pay than himself (5 U.S.C. 7351). However, this paragraph

(3) Regular employees shall not re

ceive anything of value from a private does not prohibit a voluntary gift of nominal value or donation in a nomi

source as compensation for their ac

tivities as endowment employees. nal amount made on a special occasion

(4) Employees shall not engage in such as marriage, illness, or retire

teaching, lecturing, or writing which is ment.

dependent on official information ob(ii) Employees are not permitted to

tained as a result of Government emaccept a gift, or decoration, or other

ployment, except when the informaobjects from a foreign government

tion has been, or is being made availunless authorized by Congress as pro

able to the general public, or will be vided by the Constitution and in 5

made available to the public on reU.S.C. 7342.

quest, or when the Chairman (iii) Employees may accept promo- Deputy Chairman of the Endowment tional material of nominal intrinsic

concerned gives written authorization value such as pens, pencils, note pads, for the use of nonpublic information calendars, etc. Employees may, on in- on the basis that the use is in the frequent occasions, accept items of public interest. However, employees nominal value such as food in the ordi

are encouraged to engage in teaching, nary course of a luncheon or dinner

lecturing, and writing not prohibited meeting, site visit, or professional con- by the regulations in this part, by law, ference, when the employee is proper- or by Executive order. ly in attendance.

(5) Employees shall not receive any(iv) Neither this paragraph nor para- thing of monetary value for any congraph (g) of this section precludes an sulting, lecturing, discussion, writing, employee from receipt of bona fide re- or presentation, the subject of which imbursement, unless prohibited by is devoted to the responsibilities, prolaw, for expenses of travel and such grams, or operations of an Endowother necessary subsistence as is com- ment, or which draws on official data patible with this part for which no or ideas which have not become part Government payment or reimburse- of the body of public information. ment is made. However, this para- (6) Employees shall not serve as orgraph does not allow an employee to ganizers or directors of conferences, be reimbursed, or payment to be made colloquia or similar events supported on his behalf, for excessive personal by grant or contract from an Endowliving expenses, gifts, entertainment ment, but may otherwise participate or other personal benefits, nor does it in such events provided they do not reallow an employee to be reimbursed by ceive any compensation or economic a person for travel on official business benefit for such participation. under agency orders when reimburse- (7) Employees may, however, particiment is proscribed by Decision B- pate in the affairs of, and accept an


award for meritorious public contribu- which has not been made available to tion or achievement given by a chari- the general public. table, religious, fraternal, educational, (1) Compensation from endowment recreational, public service, or civic or- awarded funds. No regular employee ganization.

may receive any compensation, either (h) Advice or assistance to nonprofit directly or indirectly, from funds or commercial organizations. The con- awarded to contractors or grantees by ditions under which full-time employ

either endowment. ees may offer assistance or advice to (k) Use of Federal property. No emnonprofit or commercial organizations ployee may use Federal property or faare set forth in this paragraph (h). Al

cilities of any kind for other than offithough these conditions are stated as cially approved activities. Every emgeneral rules, illustrative applications ployee has the responsibility to proto specific situations are set forth as

tect and conserve all Federal property an aid to interpretation:

which has been entrusted to him. (1) General rules. While not on offi

(1) Exercise of notary powers. Emcial duty, an employee may provide

ployees who are notaries public may advice or assistance and receive com

not charge or receive any compensapensation therefor, to either nonprofit

tion for performing any notarial act or commercial organizations: Provided,

during working hours, including the That such services are unrelated to his

luncheon period. Government activities and do not draw

(m) Political activity. Restrictions in

this section are applicable to employupon information deriving from Gov. ernment sources not publicly avail.

ees on leave, leave without pay, or fur. able.

lough, as well as to other regular em(2) Specific examples. (i) Visiting

ployees. Individuals whose employ.

ment is on an intermittent basis (not committees. Employees should not participate in the deliberations of a

occupying a substantial portion of college or university visiting commit

their time) are subject to the political

activities restrictions only while they tee; however, an employee may meet

are in an active duty status. The with such groups as an Endowment official where it would be appropriate to

period of active duty status for a par

ticular employee includes the entire attend a similar meeting with any

24-hour period of any day of actual other comparable group requesting his

employment. The “Federal Personnel assistance.

Manual" may be consulted in the (ii) (Reserved)

Foundation Administrative Office. If (iii) Membership and office holding

an employee is in doubt about permisin professional societies. An employee sible activities, he should contact the may be a member of a professional so- Administrative Office for clarification. ciety, but may not serve as an officer

(1) Employees may not use their ofexcept where the society has not re- ficial positions or influence for the ceived any support from an Endow

purpose of interfering with an election ment during the preceding three years and they may not take an active part and the employee has no reason to in political management or in political expect it to seek support during the campaigns, except as provided in paratenure of his office. If the society later graphs (m) (4) and (5) of this section. requests support from an Endowment, (2) No employee may discriminate the employee should resign his office against another employee because of in the society or request permission to his political opinions or affiliations. remain in such office.

(3) An employee may not become a (i) Misuse of information. For the candidate for nomination or election purpose of furthering a private inter- to a Federal, State, county, or municiest, employees shall not (except as pal office on a partisan political ticket. provided in paragraph (g)(4) of this Nor may an employee become a candisection) directly or indirectly use, or date as an independent when opposed allow the use of, official information by partisan political candidate, obtained through, or in connection except as provided in paragraph with, his Government employment (m)(4) of this section.




(4) Certain political subdivisions in the vicinity of Washington, D.C., as well as other municipalities, designated by the Civil Service Commission, have been granted a limited exception to the rules prohibiting political management or candidacy for local office. In such municipalities, employees may become candidates as independents, even when opposed by partisan political candidates.

(5) In general, employees are encouraged to be candidates for, and to hold, State, county, or municipal offices of a nonpartisan nature when permitted by law. Employees desiring to be candidates for, or to hold, a State or local office or to undertake the political management of a candidacy for such office, must secure the approval of the appropriate Endowment Chairman or, in the case of members of the shared staff, of both Chairmen.

(6) Full-time employees, with the prior consent of the Chairman concerned, or of both Chairmen, in the case of members of the shared staff, may hold positions under a State or local government on a part-time basis only. Intermittent employees may hold full-time or part-time State or local government positions. In both cases, the above restrictions on political activity must be observed.

(n) An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity, such as a lottery or the sale or purchase of numbers, etc.

The following is a list of statutes related to the conduct of Government employees and consultants. Upon request, pertinent excerpts of these statutes will be made available by the Administrative Office of the Foundation.

1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the “Code of Ethics for Government Service."

2. Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

4. The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

8. The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a. (c)).

9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

11. The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

14. The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

16. The prohibition against proscribed political activities in Subchapter III of Chapter 73 of Title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608.

17. The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

(Sec. 10, 79 Stat. 852, as amended 82 Stat. 186, 84 Stat. 443 (20 U.S.C. 959)) (32 FR 17663, Dec. 12, 1967, as amended at 38 FR 3512, Feb. 7, 1973]

8 1105.735–8 Presenting grievances to

Congress. Nothing in this part shall be construed as abridging in any way the right of employees, either individually or collectively, to petition Congress, or any Member thereof, or to furnish information, when appropriate, to either House of Congress, or to any committee or member thereof.

[32 FR 17663, Dec. 12, 1967, as amended at 33 FR 494, Jan. 13, 1968)


Sec. 1110.1 Purpose. 1110.2 Application of part. 1110.3 Discrimination prohibited. 1110.4 Assurances required. 1110.5 Tlustrative applications. 1110.6 Compliance information. 1110.7 Conduct of investigations. 1110.8 Procedure for effecting compliance. 1110.9 Hearings. 1110.10 Decisions and notices. 1110.11 Judicial review. 1110.12 Effect on other regulations; forms

and instructions. 1110.13 Definitions. APPENDIX A-FEDERAL FINANCIAL ASSISTANCE

TO WHICH THIS PART APPLIES AUTHORITY: Sec. 602, 78 Stat. 252 and sec. 10(a)(1), 79 Stat. 852.

SOURCE: 38 FR 17991, July 5, 1973, unless otherwise noted.

cial assistance extended to any such program prior to the effective date of this part under & contract or grant where the term of the contract or grant continues beyond such date or where the assistance was to provide real or personal property and the recipient or his transferee continues to use or retain ownership or possession of the property (see $ 1110.4(a)(1)). This part does not apply to (a) any Federal financial assistance by way of insurance or guaranty contract, (b) any assistance to any individual who is the ultimate beneficiary under any such program, or (c) any employment practice, under any such program, of any employer, employment agency, or labor organization, except to the extent described in § 1110.3. The fact that a program or activity is not listed in Appendix A shall not mean, if Title VI of the Act is otherwise applicable, that such program is not covered. Other programs under statutes now in force or hereinafter enacted may be added to this list by notice published in the FEDERAL REGISTER.

8 1110.1 Purpose.

The purpose of th part is to effectuate the provisions of Title VI of the Civil Rights Act of 1964 (hereafter referred to as the “Act”) to the end that no person in the United States shall, 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 any program or activity receiving Federal financial assistance from the National Endowment for the Arts or the National Endowment for the Humanities.

§ 1110.2 Application of part.

This part applies to any program for which Federal financial assistance is authorized under a law administered by the National Endowment for the Arts or the National Endowment for the Humanities including the federally assisted programs and activities listed in Appendix A of this part. It applies to money paid, property transferred, or other Federal financial assistance extended under any such program after the effective date of the part, including assistance pursuant to an application approved prior to such date. It also applies to federal finan

8 1110.3 Discrimination prohibited.

(a) General. No person in the United States shall, on grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected, to discrimination under any program to which this part applies.

(b) Specific discriminatory actions prohibited. (1) A recipient under any program to which this part applies may not directly or through contractual or other arrangements, on the ground of race, color, or national origin:

(i) Deny an individual any service, financial aid, or other benefit provided under the program;

(ii) Provide any service, financial aid, or other benefit to an individual which is different, or is provided in a different manner, from that provided to others under the program;

(iii) Subject an individual to segregation or separate treatment in any matter related to his receipt of any service, financial aid, or other benefit under the program;


(iv) Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service, financial aid, or other benefit under the program;

(v) Treat an individual differently from others in determining whether he satisfies any admission, enrollment, quota, eligibility,

eligibility, membership, other requirement or condition which individuals must meet in order to be provided any service, financial aid, or other benefit provided under the program;

(vi) Deny an individual an opportunity to participate in the program through the provision of services or otherwise or afford him an opportuni. ty to do so which is different from that afforded others under the program (including the opportunity to participate in the program as an employee but only to the extent set forth in paragraph (c) of this section).

(2) A recipient, in determining the types of services, financial aid, or other benefits, or facilities which will be provided under any such program, or the class of individuals to whom, or the situations in which, such services, financial aid, other benefits, or facilities will be provided under any such program, or the class of individuals to be afforded an opportunity to participate in any such program, may not directly or through contractual or other arrangements, utilize criteria or methods of administration which have the effect of subjecting individuals to discrimination because of their race, color, or national origin, or have the effect of defeating or substantially impairing accomplishment of the objectives of the program as respects individuals of a particular race, color, or national origin.

(3) In determining the site or location of facilities, a recipient or applicant may not make selections with the purpose or effect of excluding individuals from, denying them the benefits of, or subjecting them to discrimination under any program to which this regulation applies, on the grounds of race, color, or national origin; or with the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the Act or this regulation.

(4) As used in this section, the services, financial aid, or other benefits provided under a program receiving Federal financial assistance shall be deemed to include any service, financial aid, or other benefit provided in or through a facility provided with the aid of Federal financial assistance.

(5) The enumeration of specific forms of prohibited discrimination in this paragraph and paragraph (c) of this section does not limit the generality of the prohibition in paragraph (a) of this section.

(6) This regulation does not prohibit the consideration of race, color, or national origin if the purpose and effect are to remove or overcome the consequences of practices or impediments which have restricted the availability of, or participation in, the program or activity receiving Federal financial assistance, on the grounds of race, color, or national origin. Where previous discriminatory practice or usage tends, on the grounds of race, color, or national origin, to exclude individuals from participation in, to deny them the benefits of, or to subject them to discrimination under any program or activity to which this regulation applies the applicant or recipient has an obligation to take reasonable action to remove or overcome the consequences of the prior discriminatory practice or usage, and to accomplish the purposes of the Act.

(c) Employment practices. (1) Where a primary objective of the Federal financial assistance to a program to which this part applies is to provide employment, a recipient may not directly or through contractual or other arrangements subject an individual to discrimination on the ground of race, color, or national origin in its employment practices under such program (including recruitment or recruitment advertising employment, layoff or termination, upgrading, demotion, transfer, rates of pay or other forms of compensation and use of facilities), including programs where a primary objective of the Federal financial assistance is (i) to assist such individuals through employment to meet penses incident to the commencement or continuation of their education or training or (ii) to provide work experi



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