Page images

ments or agencies where applicable, shall be given in writing to the appliprovide for the conduct of consolidat cant or recipient and to the complained or joint hearings and for the appli ant if any. cation to such hearings of rules or pro (c) Decisions on record where a hearcedures not inconsistent with this ing is waived. Whenever a hearing is part. Final decisions in such cases, in waived pursuant to $ 1110.9(a) a decisofar as this regulation is concerned, sion shall be made by the responsible shall be made in accordance with Endowment official on the record and $ 1110.10.

a copy of such decision shall be given

in writing to the applicant or recipi$ 1110.10 Decisions and notices.

ent, and to the complainant, if any. (a) Decision by person other than the (d) Rulings required. Each decision responsible Endowment official. If the of a hearing officer or responsible En. hearing is held by a hearing examiner dowment official shall set forth his such hearing examiner shall either ruling on each finding, conclusion, or make an initial decision, if so author- exception presented, and shall identify ized, or certify the entire record in the requirement or requirements imcluding his recommended findings and posed by or pursuant to this part with proposed decision to the responsible which it is found that the applicant or Endowment official for a final deci recipient has failed to comply. sion, and a copy of such initial deci (e) Approval by Chairman. Any final sion or certification shall be mailed to decision of a responsible Endowment the applicant or recipient. Where the official (other than the Chairman) initial decision is made by the hearing which provides for the suspension or examiner the applicant or recipient termination of, or the refusal to grant may within 30 days of the mailing of or continue Federal financial assistsuch notice of initial decision file with ance, or the imposition of any other the responsible Endowment official sanction available under this part or his exceptions to the initial decision, the Act, shall promptly be transmitted with his reasons therefor. In the ab to the Chairman, who may approve sence of exceptions, the responsible such decision, may vacate it, or remit Endowment official may on his own or mitigate any sanction imposed. motion within 45 days after the initial (f) Content of orders. The final decidecision serve on the applicant or re sion may provide for suspension or tercipient a notice that he will review the mination of, or refusal to grant or condecision. Upon the filing of such ex tinue Federal financial assistance, in ceptions or of such notice of review whole or in part, under the program the responsible Endowment official involved, and may contain such terms, shall review the initial decision and conditions, and other provisions as are issue his own decision thereon includ consistent with and will effectuate the ing the reasons therefor. In the ab purposes of the Act and this part, insence of either exceptions or a notice cluding provisions designed to assure of review the initial decision shall con that no Federal financial assistance stitute the final decision of the re will thereafter be extended under such sponsible Endowment official.

program to the applicant or recipient (b) Decisions on record or review by determined by such decision to be in the responsible Endowment official. default in its performance of an assurWhenever a record is certified to the ance given by it pursuant to this part, responsible Endowment official for de or to have otherwise failed to comply cision or he reviews the decision of a with this part, unless and until it corhearing examiner pursuant to para rects its noncompliance and satisfies graph (a) of this section, or whenever the responsible Endowment official the responsible Endowment official that it will fully comply with this part. conducts the hearing, the applicant or (g) Post termination proceedings. (1) recipient shall be given reasonable op An applicant or recipient adversely afportunity to file with him briefs or fected by an order issued under paraother written statements of its conten graph (f) of this section shall be retions, and a copy of the final decision stored to full eligibility to receive Fedof the responsible Endowment official eral financial assistance if it satisfies


the terms and conditions of that order for such eligibility or if it brings itself into compliance with this regulation and provides reasonable assurance that it will fully comply with this regulation. (An elementary or secondary school or school system which is unable to file an assurance of compliance with $ 1110.3 shall be restored to full eligibility to receive Federal financial assistance, if it files a court order or a plan for desegregation which meets the requirements of g 1110.4(c), and provides reasonable assurance that it will comply with this court order or plan.)

(2) Any applicant or recipient adversely affected by an order entered pursuant to paragraph (f) of this section may at any time request the responsible Endowment official to restore fully its eligibility to receive Federal financial assistance. Any such request shall be supported by information showing that the applicant or recipient has met the requirements of paragraph (g)(1) of this section. If the responsible Endowment official determines that those requirements have been satisfied, he shall restore such eligibility.

(3) If the responsible Endowment official denies any such request, the applicant or recipient may submit a request for a hearing in writing, specifying why it believes such official to have been in error. It shall thereupon be given an expeditious hearing, with a decision on the record, in accordance with rules of procedure issued by the responsible Endowment official. The applicant or recipient will be restored to such eligibility if it proves at such a hearing that it satisfied the requirements of paragraph (g)(1) of this section. While proceedings under this paragraph are pending, the sanctions imposed by the order issued under paragraph (f) of this section shall remain in effect.

8 1110.12 Effect other regulations;

forms and instructions. (a) Effects on other regulations. Nothing in this part shall be deemed to supersede any of the following (including future amendments thereof): (1) Executive Orders 10925, 11114, and 11246, and regulations issued thereunder, or (2) Executive Order 11063 and regulations issued thereunder or any other regulations or instructions insofar as such order, regulations, or instructions prohibit discrmination on the grounds of race, color, or national origin in any program or situation to which this part is inapplicable, or prohibit discrimination on any other ground.

(b) Forms and instructions. Each responsible Endowment official shall issue and promptly make available to interested persons forms and detailed instructions and procedures for effectuating this part as applied to programs to which this part applies and for which he is responsible.

(c) Supervision and coordination. The Chairman of an Endowment may from time to time assign to other officials of the Endowment or to officials of other departments or agencies of the Government, with the consent of such departments or agencies, responsibilities in connection with the effectuation of the purposes of Title VI of the Act and this part, including the achievement of effective coordination and maximum uniformity within the Endowment and within the executive branch of the Government in the application of title VI and this part of similar programs and in similar situations. Any action taken, determination made, or requirement imposed by an official of another department or agency acting pursuant to an assignment of responsibility under this subsection shall have the same effect as though such action had been taken by the responsible official of this agency.

8 1110.11 Judicial review.

Action taken pursuant to section 602 of the Act is subject to judicial review as provided in section 603 of the Act.

8 1110.13 Definitions.

As used in this part:

(a) The term "Foundation" means the National Foundation for the Arts and the Humanities, and includes the National Endowment for the Arts, the National Endowment for the Human

ities, and each of their organizational furnishing services, financial aid or units.

other benefits to individuals. The serv. (b) The term "Endowment" means ice, financial aid, or other benefits prothe National Endowment for the Arts vided under a program receiving Fed. or the National Endowment for the

eral financial assistance shall be Humanities.

deemed to include any services, finan(c) The term "Chairman" means the

cial aid, or other benefits provided Chairman of the National Endowment

with the aid of Federal financial asfor the Arts or the Chairman of the

sistance or with the aid of any nonNational Endowment for the Human

Federal funds, property, or other reities. (d) The term "responsible Endow

sources required to be expended or

made available for the program to ment official" with respect to any program receiving Federal financial as

meet matching requirements or other sistance means the Chairman of any

conditions which must be met in order Endowment or other Endowment offi

to receive the Federal financial assistcial designated by the Chairman.

ance, and to include any services, fi(e) The term “United States” means

nancial aid, or other benefits provided the States of the United States, the

in or through a facility provided with District of Columbia, Puerto Rico, the the aid of Federal financial assistance Virgin Islands, American Samoa, or such non-Federal resources. Guam, Wake Island, the Canal Zone, (h) The term “facility” includes all and the territories and possessions of or any portion of structures, equipthe United States, and the term ment, or other real or personal proper"State" means any one of the forego ty or interests therein, and the provi. ing.

sion of facilities includes the construc(f) The term “Federal financial as tion, expansion, renovation, remodelsistance" includes (1) grants and loans

ing, alteration or acquisition of faciliof Federal funds, (2) the grant or the ties. donation of Federal property and in

(i) The term “recipient” means any terests in property, (3) the detail of

State, political subdivision of any Federal personnel, (4) the sale and

State, or instrumentality of any State lease of, and the permission to use (on other than a casual or transient basis),

or political subdivision, any public or Federal property or any interest in

private agency, institution, or organisuch property without consideration

zation, or other entity or any individor at a nominal consideration, or at a

ual, in any State, to whom Federal ficonsideration which is reduced for the

nancial assistance is extended, directly purpose of assisting the recipient, or

or through another recipient, for any in recognition of the public interest to program, including any successor, be served by such sale or lease to the assign, or transferee thereof, but such recipient, and (5) any Federal agree term does not include any ultimate ment, arrangement, or other contract beneficiary under any such program. which has as one of its purposes the (j) The term “primary recipients" provision of assistance.

means any recipient which is author. (g) The term “program” includes ized or required to extend Federal fiany program, project, or activity in nancial assistance to another recipient volving the provision of services, finan for the purposes of carrying out a procial aid, or other benefits to individ

gram. uals (including education or training,

(k) The term “applicant” means one health, housing, or other services,

who submits an application, request, whether provided through employees

or plan required to be approved by a of the recipient of Federal financial

responsible Endowment official, or by assistance provided by others through contracts or other arrange

a primary recipient, as a condition to

eligibility for Federal financial assistments with the recipient, and including work opportunities and cash or

ance, and the term “application" loan or other assistance to individ

means such an application, request, or uals), or for provision of facilities for





1. Assistance to groups for projects and productions in the arts.

2. Surveys, research and planning in the arts.

3. Assistance to State arts agencies for projects and productions in the arts.

4. Support of research in the humanities.

5. Support of educational programs in the humanities, including the training of students and teachers.

6. Assistance to promote the interchange of information in the humanities.

7. Assistance to foster public understanding and appreciation of the humanities.

8. Support of the publication of scholarly works in the humanities.

(C) “Individual" means a citizen of the United States or an alien lawfully admitted for permanent residence.

(d) “Maintain”, used with reference to a record means to collect, to use, to disseminate, to have control over and responsibility for such record.

(e) "Record” means any item, collection or grouping of information about an individual that is maintained by the Foundation and that is retrievable by his or her name or an identifying particular, such as a number, symbol, fingerprint, or photograph of the individual. Information maintained by the Foundation includes, but is not limited to, education, financial transactions, medical history, employment history and criminal history.

(f) “Routine use" means, with respect to the disclosure of a record, the use of such a record for a purpose which is compatible with the purpose for which it was collected. The routine uses of record systems maintained by the Foundation were established pursuant to notice in the FEDERAL REGISTER.

(g) "System of records" means a group of any records under the control of the Foundation from which information about an individual is retrievable by his or her name or by some identifying particular.



Sec. 1115.1 Purpose and scope. 1115.2 Definitions. 1115.3 Procedures for notification of exist

ence of records pertaining to individuals. 1115.4 Procedures for requests for access to

or disclosure of records pertaining to an

individual. 1115.5 Correction of records. 1115.6 Disclosure of records to agencies or

persons other than the individual to

whom the record pertains. 1115.7 Exemptions.

AUTHORITY: 5 U.S.C. 552a(f).

SOURCE: 40 FR 49286, Oct. 21, 1975, unless otherwise noted.

8 1115.1 Purpose and scope.

This part sets forth the National Foundation on the Arts and the Humanities' procedures under the Privacy Act of 1974 as required by 5 U.S.C. 552a(f). Internal guidance for Foundation staff and other regulations implementing the Privacy Act are contained or will be contained in Foundation circulars.

8 1115.3 Procedures for notification of ex

istence of records pertaining to individ

uals. (a) The systems of records, as defined in the Privacy Act of 1974, maintained by the National Foundation on the Arts and the Humanities are listed annually in the FEDERAL REGISTER as required by that Act. Any person who wishes to know whether a system of records contains a record pertaining to him may appear in person at the National Endowment for the Arts, Room 1338, 2401 E Street NW., Washington, DC 20506 or the National Endowment for the Humanities, Room 1000, 806 15th Street NW., Washington, DC 20506, on work days between the hours of 9:00 a.m. and 5:30 p.m. or by writing to the Office of the General Counsel, National Endowment for the Arts or National Endowment for the Humanities, Washington, DC 20506. It

8 1115.2 Definitions.

For purposes of this part:

(a) “Foundation" means the National Foundation on the Arts and the Humanities.

(b) “Act” means the Privacy Act of 1974 (Pub. L. 93-579).

is recommended that requests be made in writing, since in many cases it will take several days to ascertain whether a record exists.

(b) Requests for notification of the existence of a record should specifically identify the system of records involved and should state, if the requestor is other than the individual to whom the record pertains, the relationship of the requestor to that indi. vidual. (Note that requests will not be honored by the Foundation pursuant to the Privacy Act unless made (1) by the individual to whom the record pertains, (2) by such individual's parent if the individual is a minor, or (3) by such individual's legal guardian if the individual has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction).

(c) The Foundation will attempt to respond to a request as to whether a record exists within 10 working days from the time it receives the request or from the time any required identification is establis ed, whichever is later.

(b) In the case of persons making requests by appearing at the Foundation, the amount of personal identification required will of necessity vary with the sensitivity of the record involved. Except as indicated below, reasonable identification such as employment identification cards, drivers li. censes, and credit cards will normally be accepted as sufficient evidence of identity in the absence of any indications to the contrary. Records in the following systems of records, however, are considered to contain relatively sensitive and/or detailed personal informationGRANT APPLICATIONS-NEA. GRANT APPLICATIONS-NEH. GRANTS TO INDIVIDUALS–NEA. GRANTS TO INDIVIDUALS AND INSTI.


CASE FILE–NFAH NEA/NEH. EMPLOYEE PAYROLLNFAH. PERSONNEL RECORDS–NFAH. Accordingly, with respect to requests for cords in these systems the Foundation reserves the rights to require sufficient identification to identify positively the individual making the request. This might involve independent verification by the Foundation as by phone calls to determine whether an individual has made a request, personal identification by Foundation employees who know the individual, or such other means as are considered appropriate under the circumstances.

(c) A written request will be honored only if it contains the following certification before a duly commissioned notary public of any state or territory (or similar official if the request is made outside the United States):

8 1115.4 Procedures for requests for

access to or disclosure of records per

taining to an individual. (a) Any person may request review of records pertaining to him by appearing at the National Endowment for the Arts, Room 1338, 2401 E Street, NW., Washington, DC 20506, or the National Endowment for the Humanities, Room 1000, 806 15th Street, NW., Washington, DC 20506 on work days between the hours of 9:00 a.m. and 5:30 p.m. or by writing to the Office of the General Counsel, National Endowment for the Arts, or National Endowment for the Humanities, Washington, DC 20506. (See paragraphs (b) and (c) of this section for identification requirements.) The request should specifically identify the systems records involved. The Foundation will strive either to make the record available within 15 working days of the request or to inform the requestor of the need for additional identification or the tendering of fees (as specified in paragraph (d) of this section) within 15 working days.


-(Printed name), do hereby certify that I am the individual about whom the record requested in this letter pertains or that I am within the class of persons authorized to act on his behalf in accordance with 5 U.S.C. 552a(h).




« PreviousContinue »