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CHAPTER XI-NATIONAL FOUNDATION ON THE

ARTS AND THE HUMANITIES

Part

1100 Statement for the guidance of the public-organization, procedure and

availability of information.

1105 Standards of conduct of employees.

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(a) The National Foundation on the Arts and the Humanities was established by the National Foundation on the Arts and the Humanities Act of 1965 (79 Stat. 845; 20 U.S.C. 951). The Foundation is composed of a National Endowment for the Arts, a National Endowment for the Humanities and a Federal Council on the Arts and the Humanities. Each Endowment is headed by a Chairman and has a National Council composed of 26 Presidential appointees, with the Chairman of the Endowment also serving as Chairman of the Council. The purpose of the Foundation is to develop and promote a broadly conceived national policy of support for the humanities and the arts in the United States.

(b) The Endowments accomplish their missions primarily by providing financial assistance for projects in the arts and the humanities, including the making of fellowship and other awards to individuals as well as awards to nonprofit organizations. By statute, awards made to organizations by the National Endowment for the Arts may not exceed onehalf the cost of the project, except that a percentage of the Arts Endowment's funds may be used for nonmatching grants to organizations which show that they have attempted unsuccessfully to secure funds equal to the amounts applied for.

(c) The organizational arrangement of the Foundation is as follows:

(1) National Endowment for the Arts-(1) Office of the Chairman. The Endowment is headed by the Chairman, who is also Chairman of the National Council on the Arts and a member of the Federal Council on the Arts and the Humanities. The Chairman, with the advice of the National Council on the Arts and the Federal Council on the Arts and the Humanities, is responsible for establishing Endowment policies and for developing and carrying out programs to provide support for projects and productions in the arts. The Chairman is assisted by a Deputy Chairman, who is appointed by him.

(ii) Program Activities of the Arts Endowment. The activities of the Endow

ment are carried out with the aid of the following program offices:

(a) State and Community Operations. (b) Architecture, Planning and Design.

(c) Creative Writing.

(d) Education and Public Media.
(e) Music.

(f) Theater and Dance.
(g) Visual Arts.

Each of the above offices assists the Chairman in developing programs to provide support for activities in its area of interest.

(2) National Endowment for the Humanities—(i) Office of the Chairman. The Endowment is headed by the Chairman, who is also Chairman of the National Council on the Humanities and a member of the Federal Council on the Arts and the Humanities. The Chairman, with the advice of the National Council on the Humanities and the Federal Council on the Arts and the Humanities, is responsible for establishing Endowment policies and for developing and carrying out programs to provide support for research in the humanities, for strengthening the research potential of the United States in the humanities, or providing fellowships for training in the humanities, for fostering the interchange of information in the humanities and for fostering public understanding and appreciation of the humanities. The Chairman is assisted by a Deputy Chairman, who is appointed by him.

(ii) Program Activities of the Humanities Endowment. (a) The program activities of the Endowment are carried out through three divisions:

(1) The Division of Research and Publication.

(2) The Division of Fellowships and Stipends.

(3) The Division of Education and Special Projects.

(b) The Division of Research and Publication supports research and programs to strengthen the research potential of the United States, as well as to encourage the preparation of scholarly works in the humanities.

(c) The Division of Fellowships and Stipends supports individual scholarship and training by providing individuals with time uninterrupted by other responsibilities.

(d) The Division of Educational and Special Projects provides support primarily to institutions-schools, colleges,

universities, museums, public agencies, and private nonprofit groups-to increase public understanding and appreciation of the humanities.

(3) Legal, financial and administrative activities. (i) These services are provided to the two Endowments on a shared basis. The Officers involved are (a) the General Counsel and (b) the Administrative Officer.

(ii) The General Counsel provides legal advice and counsel to the Chairmen of the National Endowment for the Arts and the National Endowment for the Humanities, to the National Council on the Arts and the National Council on the Humanities, and to the Federal Council on the Arts and the Humanities as well as to the divisions and offices of the Foundation.

(iii) The Administrative Officer is responsible for the administrative and financial procedures of the Foundation, including financial records, accounting and personnel matters.

§ 1100.2 Procedures and transaction of business.

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(a) Inquiries and transaction of business. All inquiries, submittals or requests should be addressed as follows: (1) Those involving the work of the National Endowment for the Arts should be addressed to the National Endowment for the Arts, Washington, D.C. 20506, or a member of the public may call at the Endowment's offices at 1800 G Street NW., Washington, D.C., during normal business hours which are 9 a.m. to 5:30 p.m., Monday through Friday; (2) requests involving the National Endowment for the Humanities should be addressed to the National Endowment for the Humanities, Washington, D.C. 20506, or a member of the public may call at the Endowment's offices at 1800 G Street NW., Washington, D.C. during normal business hours which are 9 a.m. to 5:30 p.m., Monday through Friday. If a person is uncertain as to which organization an inquiry should be addressed, he should address his inquiry to the National Foundation on the Arts and the Humanities, Washington, D.C. 20506.

(b) General method of functioning, procedures, forms, descriptions of programs. In general, the Endowments provide financial support for activities in the arts and humanities on the basis of applications submitted by the person or organization desiring support. In general, such awards are made on a merit

basis after a review process involving staff members and outside experts. The Endowments publish various announcements and booklets describing their programs and explaining their procedures. For example, the booklet "National Endowment for the Humanities-Program Information 1968", provides a comprehensive description of the programs, functions and procedures of the National Endowment for the Humanities. Forms or instructions for application to participate in the programs of the Endowments are obtainable on request. All program announcements, publications or application forms may be obtained by applying either to the National Endowment for the Arts or the National Endowment for the Humanities or by calling in person at their Washington offices. § 1100.3 Availability of information to the public.

(a) Statutory requirements. 5 U.S.C. 552(a)(3) requires each Agency, upon request for identifiable records made in accordance with published rules stating the time, place, fees to the extent authorized by statute, and procedure to be followed, to make such records promptly available to any person. 5 U.S.C. 552(b) exempts specified classes of records from the public access requirements of 5 U.S.C. 552(a)(3) and permits them to be withheld when the public interest so requires.

(5) Purpose. This section is designed to provide the rules referred to in 5 U.S.C. 552(a) (3) with respect to public access to records of the National Endowment for the Arts and the National Endowment for the Humanities.

(c) Time, place, and form. Requests for access to records of the National Endowment for the Arts and the National Endowment for the Humanities may be filed, in person or by mail, with the Deputy Chairman of the Endowment concerned between 9 a.m. and 5:30 p.m., Monday through Friday, except holidays.

(d) Procedure. (1) Upon receipt of a request for a record, the Deputy Chairman of the Endowment concerned, after determining that the record requested is sufficiently identified, shall determine whether the record is subject to exemption from public inspection under the provisions of 5 U.S.C. 552(b). If he determines it is subject to exemption and that the requested record should be withheld in the public interest, the requestor shall be notified that his request has been denied.

(2) If the appropriate Deputy Chairman concludes that an identified record exempt under 5 U.S.C. 552(b) need not be withheld from public inspection, it will be made available to the requestor for inspection at the office of the Endowment or a copy will be provided to him. In the latter case, an appropriate charge may be made, taking into account all relevant costs to the Endowment for providing such service. Such payment is payable in advance of fulfilling the request. In any event, provision of records, whether at the Endowments' offices or through the making of copies available, shall be on a facilities available basis, taking into account normal business activities of the Endowments.

(e) Appeals. Any person aggrieved by any determination made, or action taken, pursuant to the foregoing provisions of this part may, within 30 days, request the Chairman of the Endowment concerned to review that determination or action. A letter or other written statement setting forth the pertinent facts shall be sufficient for this purpose. Each Chairman reserves the right to request the person involved to provide additional information in support of his request for review. The Chairman concerned will promptly consider each such request for review and notify the person involved of his decision, which will constitute the final decision of the Endowment.

[32 F.R. 10514, July 18, 1967; 32 F.R. 11215, Aug. 2, 1967]

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stantially with his duties and responsibilities as an Endowment employee. No employee shall carry out Endowment duties involving any organization in which he has a direct or indirect financial interest. No employee shall engage directly or indirectly in any financial transaction resulting from, or primarily relying on, information obtained through his employment, or use his employment to coerce, or give the appearance of coercing, a person, to provide financial benefit to himself or another.

(e) Participation in Endowment grants by former Endowment employees. In cases not directly coming under the prohibitions of 18 U.S.C. 207 (relating to activities of former Government officials), the following rules shall apply:

(1) In addition to the statutory bars against ever dealing with the U.S. Government in connection with a particular matter in which he participated personally and substantially while an employee, and against dealing with the Government for 1 year after leaving in connection with a matter under his official responsibility while in the Government, a former full-time employee of an Endowment may not negotiate with either Endowment, with a view to obtaining support for himself or his organization, within 1 year after having left the Endowment, except with the written permission of the Chairman of the Endowment in which he had been employed.

(2) A former full-time employee of an Endowment may not be compensated from an Endowment grant directly or indirectly within 1 year of his leaving the Endowment, except with the written permission of the Chairman of the Endowment in which he had been employed.

(3) In the case of joint employees, the written permission referred to in subparagraphs (1) and (2) of this paragraph must be given by both Chairmen.

(f) Gifts, entertainment, and favors. Employees may not solicit, or accept directly or indirectly from any person, institution, corporation, or group, anything of economic value as a gift, gratuity, favor, entertainment, or loan, which might be reasonably interpreted by others as being of such a nature that it would affect his impartiality. This is especially applicable in those instances where the employee has reason to believe that the person, institution, corporation, or group:

(1) Has, is seeking, or is likely to seek, assistance, support, or funds from an Endowment; or

(2) Conducts operations or activities which are involved with, or are supported by, an Endowment; or

(3) Has interests which might be substantially affected by the employee's performance or nonperformance of duties;

or

(4) May be attempting to affect the employee's official actions.

(i) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(ii) Employees are not permitted to accept a gift, or decoration, or other objects from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 7342.

(iii) Employees may accept promotional material of nominal intrinsic value such as pens, pencils, note pads, calendars, etc. Employees may, on infrequent occasions, accept items of nominal value such as food in the ordinary course of a luncheon or dinner meeting, site visit, or professional conference, when the employee is properly in attendance.

(iv) Neither this paragraph nor paragraph (g) of this section precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967.

(g) Outside employment and other activity. (1) Full-time employees shall not engage in any outside employment or other outside activity not compatible with the full and proper discharge of

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