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to exceed $25, the agency shall notify the requestor, unless the requestor has indicated in advance the willingness to pay higher fees. The following fees shall be charged in accordance with paragraph (a) of this section.

(1) Searches—(i) Manual. The fee charged will be the salary rate(s) (i.e., basic pay plus 16.1 percent) of the employee(s) conducting the search.

(ii) Computer. The fee charged will be the actual direct cost of providing the service including the cost of operating the central processing unit for the operating time that is directly attributed to searching for records responsive to a request and the operator/programmer salary apportionable to the search.

(2) Review. The fee charged will equal the salary rate(s) (basic pay plus 16.1 percent) of the employee(s) conducting the review.

(3) Duplication. Copies of documents photocopied on one-side of a 842 x 11 inch sheet of paper will be provided at $.10 per page. Photocopies on two sides of a single 842 x 11 inch sheet of paper will be provided at $.20 per page. For duplication of other materials, the charge will be the direct cost of duplication.

(c) Restrictions on charging fees. (1) Except for documents provided in response to a commercial use request, the first 100 pages of duplication or the first two (2) hours of search time shall be provided at no charge. For the purposes of this section, two (2) hours of search time by computer entitles the requestor to two (2) hours of computer operator salary translated into computer search costs. Computer Search costs consist of operator salary plus central proceeding unit operating time costs for the duration of the search.

(2) Fees shall not be charged to any requestor, including commercial use requestors, if the cost of collecting a fee would be equal to or greater than the fee itself.

(d) Waiver or reduction of fees. (1) Documents shall be furnished without charge or at reduced charge if disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in

the commercial interest of the requestor.

(2) The following factors shall be used to determine whether a fee will be waived or reduced:

(i) The subject of the request. Whether the subject of the requested records concerns "the operations or activities of the government';

(ii) The informative value of the information to be disclosed. Whether the disclosure is "likely to contribute" to an understanding of government operations or activities;

(iii) The contribution to an understanding of the subject by the general public likely to result from disclosure. Whether disclosure of the requested information will contribute to "public understanding";

(iv) The significance of the contribution to public understanding. Whether disclosure is likely to contribute "significantly” to public understanding of government operations or activities;

(v) The existence and magnitude of a commercial interest. Whether the requestor has a commercial interest that would be furthered by the disclosure; and if so

(vi) The primary interest in disclosure. Whether the magnitude of the identified commercial interest of the requestor is sufficiently large in comparison with the public interest in disclosure, that disclosure is “primarily in the commercial interest of the requester."

(e) Assessment and collection of fees. (1) Interest will accrue from the date the bill is mailed if the fee is not paid within thirty (30) days. Interest will be assessed at the rate prescribed in 31 U.S.C. 3717.

(2) If the agency reasonably believes that a requestor(s) is making multiple requests to avoid the assessment of fees, the agency may aggregate such requests and charge accordingly.

(3) The agency may request an advance payment of the fee if

(1) The allowable charges are likely to exceed $250; or

(ii) The requestor has failed previously to pay a fee in a timely fashion.

(4) When the agency requests an advance payment, the time limits prescribed in section (a)(6) of the Freedom

of Information Act will begin only 1105.735-3 Definitions. after the agency has received full pay

1105.7354 Statutory provisions.

1105.735-5 Conflicts-of-Interest Counselor. ment.

1105.7356 Statements of employment and fl11100.7 Foundation report of actions.

nancial interests.

1105.735–7 Employee conduct. On or before March 1 of each calendar 1105.735-8 Presenting grievances to conrear, each member agency of the Na gress. sional Foundation on the Arts and the

APPENDIX TO PART 1105-RELATED STATUTORY Humanities shall submit a report of its PROVISIONS activities with regard to public infor

AUTHORITY: E.O. 11222 of May 8, 1966, 3 mation requests during the preceding

CFR, 1965 Supp.; 5 CFR 735.104. calendar year to the Speaker of the House of Representatives and to the

SOURCE: 32 FR 17663, Dec. 12, 1967, unless President of the Senate. The report

otherwise noted. shall include:

$1105.735–1 Purpose. (a) The number of determinations made by each member agency of the

While confident of the integrity and National Foundation on the Arts and

sense of responsibility of the employthe Humanities not to comply with re

ees of the National Endowment for the quests for records made to the agency

Arts and the National Endowment for under the provisions of this part and

the Humanities, it is essential to the the reasons for each such determina

Government and to the conduct of the tion;

business of the National Endowment (b) The number of appeals made by

for the Arts and the National Endowpersons under such provision, the re

ment for the Humanities that unususult of such appeals, and the reasons

ally high standards of honesty, integfor the action upon each appeal that

rity, impartiality, and conduct be results in the denial of information;

maintained by employees of the En(c) The names and titles or positions

dowments. In accordance with these of each person responsible for the de

concepts, this part sets forth policies nial of records requested under the pro

and procedures of the Endowments visions of this part and the number of

with respect to employee conduct, cerinstances of participation for each;

tain permissible and prohibited outside (d) The results of each proceeding

activities, and possible conflicts-of-inconducted pursuant to 5 U.S.C.

terest situations. 552(a)(4)(F), as amended, including a report of the disciplinary action taken

1105.735–2 Scope. against the officer of employee who The policies and procedures conwas primarily responsible for improp tained in this part apply to all employerly withholding records or an expla- ees of the Endowments, except that nation of why disciplinary action was specific provision is made in $1105.735 not taken;

6-(b) for the filing of Statements of (e) A copy of every rule made by the Employment and Financial Interests Foundation implementing the provi- by special Government employees. sions of the FOIA. (1) A copy of the fee schedule and the

81105.736–3 Definitions.

$1106.73 total amount of fees collected by the (a) Employee means an officer or emagency for making records available ployee of the National Endowment for under this section; and

the Arts or the National Endowment (8) Such other information as indi. for the Humanities or a member of the cates efforts to administer the provi shared staff of both Endowments. The sions of the FOLA, as amended.

term employee includes both a regular

employee (as defined in this section) and PART 1105-STANDARDS OF a special Government employee unless exCONDUCT OF EMPLOYEES pressly qualified.

(b) Regular employee means a person Sec.

holding an appointment in the com1106.735–1 Purpose.

petitive or excepted service, occupying a position on the staff of either Endow

1105.735-2 Scope.

ment or the shared staff of both Endowments, without regard to assigned working schedule (that is, including full-time, part-time and intermittent schedules), but excluding all special Government employees who have not been designated as regular employees by the Chairman of either Endowment for purposes of these regulations.

(c) Full-time employee means a regular employee with an assigned full-time working schedule.

(d) Part-time employee means a regular employee with an assigned part-time (less than 40 hours a week) work schedule.

(e) Intermittent employee means a regular employee with an assigned intermittent working schedule.

(1) Shared staff and joint employees mean employees performing services for both Endowments on a shared basis.

(g) Special Government employee means a special Government employee as defined in section 202 of title 18 of the United States Code who is employed by the National Endowment for the Arts or the National Endowment for the Humanities, or by both Endowments jointly.

(h) Endowment means either the National Endowment for the Arts or the National Endowment for the Humanities.

(i) Foundation means the National Foundation on the Arts and the Humanities.

(j) Chairman means the Chairman of the National Endowment for the Arts, or the Chairman of the National Endowment for the Humanities. (Sec. 10, 79 Stat. 852 as amended 82 Stat. 186, 84 Stat. 443 (20 U.S.C. 959)) (38 FR 3511, Feb. 7, 1973)

new employee who joins either the National Endowment for the Arts or the National Endowment for the Humanities or becomes a member of the shared staff. (A list of pertinent statutes is provided in the Appendix to this part.) 81105.735_5 Conflicts-of-Interest Coun.

selor. (a) Conflicts-of-Interest Counselor. The General Counsel of the Foundation is designated the Conflicts-of-Interest Counselor, with responsibility for providing, on request from any employee, counsel regarding conflicts-of-interest regulations and requirements, as well as their applicability in particular situations. Each employee is responsible for seeking the advice of the Conflictsof-Interest Counselor whenever it appears that he may be, or may become, involved in a possible conflicts-of-interest situation. Any supervisor may refer to the Conflicts-of-Interest Counselor any possible conflicts-of-interest situation involving a subordinate of his whenever he deems such action appropriate. In such cases, the subordinate concerned shall be informed that the matter has been referred for consideration and shall be afforded the opportunity to state his case. The General Counsel of the Foundation is responsible for reviewing conflicts-of-interest matters brought to his attention and for attempting to work with the employees concerned in resolving such situations, and for offering employees an opportunity to explain any conflict or appearance of conflict. Matters which cannot be satisfactorily resolved in this manner will be referred to the Chairman of the Endowment concerned, or, in the case of a share staff member, to the Chairmen of both Endowments, for decision and appropriate action. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.

(b) Disciplinary and other remedial actions. When there is a final decision that a conflicts-of-interest situation requires disciplinary or other remedial action, such action shall be taken promptly to end the conflict or appear. ance of conflict of interest and to carry out any appropriate disciplinary meas

1105.735-4 Statutory provisions.

Each employee is responsible for acquainting himself not only with the provisions of this part, but also with applicable portions of each Federal statute relating to his conduct as an employee of the National Endowment for the Arts or the National Endowment for the Humanities and of the U.S. Government. This part will be called to the attention of all employees by the Administrative Officer of the Foundation at least once a year and he will provide a copy of the part to each

ure. Any action taken, whether disciplinary or otherwise, shall be effected in accordance with applicable laws, Executive orders, Civil Service Commission regulations and the regulations in this part. The action taken may involve, among other things:

(1) Divestment by the employee of his conflicting interest:

(2) Changes in existing duties;

(3) Disqualification for a particular 1 assignment;

(4) Appropriate disciplinary action, up to and including removal. (32 FR 17663, Dec. 12, 1967, as amended at 33 FR 494, Jan. 13, 1968)

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(6) All special assistants to the chairman and deputy chairman.

(c) All program, division and office directors.

(ii) National Endowment for the Humanities:

(a) Deputy chairman.

(6) All assistants (including special assistants) to the chairman and deputy chairman.

(c) All program and office directors (but not including the Public Information Director).

(d) All program officers classified at GS-13 and above.

(iii) Shared staff: (a) All attorneys.

(6) Director and Assistant Director of Administration.

(c) All auditors classified at GS-13 and above.

(d) Financial manager.
(e) Administrative services officer.
U All grants officers.

(3) Inclusion and exclusion of positions. (1) Whenever appropriate, the Chairman of an Endowment may amend paragraph (a)(2) of this section to include additional positions in his Endowment that entail submission of such statements or may exclude any positions in his Endowment listed in paragraph (a)(2) of this section the inclusion of which is not required by the general requirement in paragraph (a)(1) of this section. Inclusion or elimination of shared positions will be accomplished by agreement of both Chairmen. Each supervisor is responsible for bringing to the attention of the appropriate Chairman (through the Deputy Chairman) any position which the supervisor believes should be covered or excluded by this requirement.

(ii) If an employee believes that his position has been improperly included among those for which a Statement of Employment and Financial Interests is required, he may bring this matter, via the Foundation's grievance procedures, to the attention of the appropriate Deputy Chairman or, in the case of shared staff, to the attention of both Deputy Chairmen. In the event that the recommendation is made that the position be included, the employee may appeal to the Chairman of the Endowment concerned, or, in the case of

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81106.735–6 Statements of employment

and financial interests. (a) Employees other than special Government employees (1) General requirement. Statements of employment and financial interests are required of all Federal employees occupying positions at or above Grade 16 or the equivalent, as well as all employees occupying positions which either require the exercise of judgment in making a Government decision, or in taking Government action with regard to:

(1) Contracting or procurement;

(ii) Administering monitoring grants or subsidies;

(111) Regulating or auditing private or other non-Federal enterprises;

(lv) Other activities where the decision or action has an economic impact on the interest of a particular non-Federal enterprise; or require the incumbent to report in order to avoid involvement in a possible conflicts-of-interest situation and carry out the purpose of law.

(2) Requirements of the National Endowment for the Arts and the National Endowment for the Humanities. In order to fulfill the Endowments' obligations under the general Government requirement described in paragraph (a)(1) of this section, it has been determined that a Statement of Employment and Financial Interests must be completed and submitted in accordance with the procedures set forth in this section by employees occupying the following positions:

(1) National Endowment for the Arts: (a) Deputy chairman.


shared staff, to both Chairmen, whose (6) Information not known by employruling shall be final.

ees. If information required to be in(iii) Although an employee's position cluded on the statement of employmay generally be included within the ment and financial interests (suppleterms of paragraph (a)(1) of this sec- mentary or otherwise, including holdtion, such position may be excluded ings placed in trust) is not known by from the reporting requirement when the employee but is known to another it is determined that:

person, the employee shall request (a) The duties of a position are such such other person to submit the inforthat the likelihood of the incumbent's mation on his behalf. involvement in a conflicts-of-interest (7) Information not required. Employsituation is remote; or

ees are not required to submit informa(6) The duties of a position are at tion relating to their financial intersuch a level of responsibility that the ests in any professional society not submission of a statement of employ- conducted as a business enterprise as ment and financial interests is not nec- described in the next sentence, chariessary because of the degree of super- table, religious, social, fraternal, recvision and review over the incumbent reational, public service, civic, politior the inconsequential effect on the in cal, or similar organization not contegrity of the Government.

ducted as a business enterprise. Profes(4) Submission of original and supple sional societies, educational institumentary statements. Each employee cov tions, and other nonprofit organizaered by this requirement shall com tions engaged in research, develop plete the statement and submit it ment, or related activities involving within 90 days after the effective date grants of money from, or contracts of this part. Each new employee shall with, the Government are deemed complete and submit the statement “business enterprises" and are required within 30 days after his entrance on to be included in employees' stateduty or within 90 days after the effec- ments of employment and financial intive date of this part, whichever date is terests. later. All changes in, or additions to, (8) Effect of employees' statements on the information contained in each em- other requirements. The statements of ployee's original statement must be re- employment and financial interests ported in a supplementary statement and supplementary statements resubmitted by the employee as of June quired of employees are in addition to, 30 each year. If no changes or additions and are not in substitution for, or in occur a negative report is required. Not derogation of, any similar requirement withstanding the filing of the annual imposed by law, regulation, or Execureport required by this subparagraph, tive order. The submission of the stateeach employee shall at all times avoid ment or supplementary statement by acquiring a financial interest that an employee does not permit him or could result, or taking an action that any other person to participate in any would result, in a violation of the con- matter in which his or the other perflicts of interest provisions of section son's participation is prohibited by 208 of title 18, U.S.C., or $1105.735–7 of law, regulation, or Executive order. this part. The Administrative Office of (9) Confidentiality of employees' statethe Foundation is responsible for in- ments. Each statement of employment forming each new, affected employee of and financial interest and each supplethe requirement for him to submit the mentary statement will be held in statement within 30 days after his en strictest confidence. The officials destrance on duty.

ignated below to receive such state(6) Interests of employees' relatives. For ments will not allow access to, or inpurposes of the statement, the inter formation to be disclosed from, a stateests of a spouse, minor child, or any ment except to carry out a purpose of other member of an employee's imme- this part. Information will not be disdiate household who is a blood relation closed from the statement except as of the employee, are considered to be the Civil Service Commission or the interests of the employee.

appropriate Chairman (or Chairmen, in

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