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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.

PART 1100_STATEMENT FOR THE (b) The Endowments accomplish their

GUIDANCE OF THE PUBLIC_OR missions primarily by providing financial GANIZATION, PROCEDURE AND

assistance for projects in the arts and

the humanities, including the making of AVAILABILITY OF INFORMATION

fellowship and other awards to individSec.

uals as well as awards to nonprofit or1100.1 Organization.

ganizations. By statute, awards made to 1100.2 Procedures and transaction of busi

organizations by the National Endowness,

ment for the Arts may not exceed one1100.3 Availability of information to the

half the cost of the project, except that public.

a percentage of the Arts Endowment's AUTHORITY: The provisions of this part funds may be used for nonmatching 1100 issued under 7 U.S.C. 2243.

grants to organizations which show that SOURCE: The provisions of this part 1100 they have attempted unsuccessfully to appear at 32 F.R. 10513, July 18, 1967, unless secure funds equal to the amounts apotherwise noted.

plied for. § 1100.1 Organization.

(c) The organizational arrangement

of the Foundation is as follows: (a) The National Foundation on the

(1) National Endowment for the Arts and the Humanities was established

Arts—(i) Office of the Chairman. The by the National Foundation on the Arts

Endowment is headed by the Chairman, and the Humanities Act of 1965 (79 Stat,

who is also Chairman of the National 845; 20 U.S.C. 951). The Foundation is

Council on the Arts and a member of composed of a National Endowment for

the Federal Council on the Arts and the the Arts, a National Endowment for the

Humanities. The Chairman, with the adHumanities and a Federal Council on the

vice of the National Council on the Arts Arts and the Humanities. Each Endow

and the Federal Council on the Arts and ment is headed by a Chairman and has

the Humanities, is responsible for esa National Council composed of 26 Presi

tablishing Endowment policies and for dential appointees, with the Chairman of developing and carrying out programs to the Endowment also serving as Chair provide support for projects and proman of the Council. The purpose of the ductions in the arts. The Chairman is Foundation is to develop and promote a assisted by a Deputy Chairman, who is broadly conceived national policy of sup appointed by him. port for the humanities and the arts in (ii) Program Activities of the Arts En. the United States.

dowment. The activities of the Endow

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

basis after a review process involving (2) If the appropriate Deputy Chairstaff members and outside experts. The man concludes that an identified record Endowments publish various announce exempt under 5 U.S.C. 552(b) need not be ments and booklets describing their pro withheld from public inspection, it will grams and explaining their procedures. be made available to the requestor for inFor example, the booklet "National En spection at the office of the Endowment dowment for the Humanities - Program or a copy ill be provided to him. In the Information 1968", provides a compre latter case, an appropriate charge may hensive description of the programs, be made, taking into account all relefunctions and procedures of the National vant costs to the Endowment for providEndowment for the Humanities. Forms ing such service. Such payment is payor instructions for application to par able in advance of fulfilling the request. ticipate in the programs of the Endow In any event, provision of records, ments are obtainable on request. All pro whether at the Endowments' offices or gram announcements, publications or through the making of copies available, application forms may be obtained by shall be on a facilities available basis, applying either to the National Endow taking into account normal business acment for the Arts or the National En tivities of the Endowments. dowment for the Humanities or by calling (e) Appeals. Any person aggrieved by in person at their Washington offices. any determination made, or action taken, $ 1100.3 Availability of information to

pursuant to the foregoing provisions of the public.

this part may, within 30 days, request

the Chairman of the Endowment con(a) Statutory requirements. 5 U.S.C.

cerned to review that determination or 552(a) (3) requires each Agency, upon action. A letter or other written staterequest for identifiable records made in

ment setting forth the pertinent facts accordance with published rules stating

shall be sufficient for this purpose. Each the time, place, fees to the extent au

Chairman reserves the right to request thorized by statute, and procedure to be

the person involved to provide additional followed, to make such records promptly

information in support of his request for available to any person. 5 U.S.C. 552(b)

review. The Chairman concerned will exempts specified classes of records from

promptly consider each such request for the public access requirements of 5 U.S.C. review and notify the person involved of 552(a) (3) and permits them to be with

his decision, which will constitute the held when the public interest so requires.

final decision of the Endowment. (5) Purpose. This section is designed to

(32 F.R. 10514, July 18, 1967; 32 F.R. 11215, provide the rules referred to in 5 U.S.C.

Aug. 2, 1967) 552(a) (3) with respect to public access to records of the National Endowment for

PART 1105-STANDARDS OF the Arts and the National Endowment for the Humanities.

CONDUCT OF EMPLOYEES (c) Time, place, and form. Requests Sec. for access to records of the National En 1105.735–1 Purpose. dowment for the Arts and the National 1105.735–2 Scope. Endowment for the Humanities may be

1105.735–3 Definitions. filed, in person or by mail, with the

1105.735-4 Statutory provisions.

1105.735–5 Conflicts-of-Interest Counselor. Deputy Chairman of the Endowment

1105.735-6 Statements of employment and concerned between 9 a.m. and 5:30 p.m.,

financial interest. Monday through Friday, except holidays. 1105.735–7 Employee conduct.

(d) Procedure. (1) Upon receipt of a 1105.735–8 Presenting grievances to Conrequest for a record, the Deputy Chair

gress. man of the Endowment concerned, after

Appendix-Related Statutory Provisions. determining that the record requested is AUTHORITY: The provisions of this part sufficiently identified, shall determine 1105 issued under Executive Order 11222 of whether the record is subject to exemp May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; tion from public inspection under the

5 CFR 735.104. provisions of 5 U.S.C. 552(b). If he de SOURCE: The provisions of this Part 1105 termines it is subject to exemption and

appear at 32 F.R. 17663, Dec. 12, 1967, unless

otherwise noted. that the requested record should be withheld in the public interest, the requestor § 1105.735-1 Purpose. shall be notified that his request has been While confident of the integrity and denied.

sense of responsibility of the employees

of the National Endowment for the Arts cable portions of each Federal statute and the National Endowment for the relating to his conduct as an employee Humanities, it is essential to the Govern of the National Endowment for the Arts ment and to the conduct of the business or the National Endowment for the Huof the National Endowment for the Arts manities and of the U.S. Government. and the National Endowment for the This part will be called to the attention Humanities that unusually high stand of all employees by the Administrative ards of honesty, integrity, impartiality, Officer of the Foundation at least once and conduct be maintained by employees a year and he will provide a copy of the of the Endowments. In accordance with part to each new employee who joins these concepts, this part sets forth poli either the National Endowment for the cies and procedures of the Endowments Arts or the National Endowment for the with respect to employee conduct, certain Humanities or becomes a member of the permissible and prohibited outside ac shared staff. (A list of pertinent statutes tivities, and possible conflicts-of-interest is provided in the Appendix to this part.) situations.

$ 1105.735–5 Conflicts-of-Interest Coun$ 1105.735-2 Scope.

selor. The policies and procedures contained (a) Conflicts-of-Interest Counselor. in this part apply to all employees of the The General Counsel of the Foundation Endowments, except that specific provi is designated the Conflicts-of-Interest sion is made in § 1105.735–6–(b) for the Counselor, with responsibility for profiling of statements of Employment and viding, on request from any employee, Financial Interests by special Govern counsel regarding conflicts-of-interest ment employees.

regulations and requirements, as well as $ 1105.735–3 Definitions.

their applicability in particular situa

tions. Each employee is responsible for In this part:

seeking the advice of the Conflicts-of(a) "Employee" means an officer or Interest Counselor whenever it appears employee of the National Endowment for that he may be, or may become, involved the Arts or the National Endowment for in a possible conflicts-of-interest situathe Humanities, or a member of the tion. Any supervisor may refer to the shared staff of both Endowments. The Conflicts-of-Interest Counselor any posterm "employee" includes a "special Gov sible conflicts-of-interest situation inernment employee" unless expressly volving a subordinate of his whenever qualified.

he deems such action appropriate. In (b) "Shared staff” and “joint em such cases, the subordinate concerned ployees' mean employees performing shall be informed that the matter has services for both Endowments on been referred for consideration and shall shared basis.

be afforded the opportunity to state his (c) “Endowment” means either the case. The General Counsel of the FounNational Endowment for the Arts, or the dation is responsible for reviewing conNational Endowment for the Humanities. flicts-of-interest matters brought to his

(d) "Foundation" means the National attention and for attempting to work Foundation on the Arts and the with the employees concerned in reHumanities.

solving
such

situations, and for (e) "Chairman" means the Chairman offering employees an opportunity to of the National Endowment for the Arts explain any conflict or appearance of or the Chairman of the National Endow conflict. Matters which cannot be satisment for the Humanities.

factorily resolved in this manner will be (f) "Special Government employee”

referred to the Chairman of the Endowmeans a "special Government employee"

ment concerned, or, in the case of a as defined in section 202 of Title 18 of the

shared staff member, to the Chairman United States Code who is employed by

of both Endowments, for decision and the National Endowment for the Arts or appropriate action. Remedial action, the National Endowment for the Hu

whether disciplinary or otherwise, shall manities or by both Endowments jointly.

be effected in accordance with any ap

plicable laws, Executive orders, and $ 1105.735–4 Statutory provisions.

regulations. Each employee is responsible for ac (b) Disciplinary and other remedial quainting himself not only with the pro actions. When there is a final decision visions of this part, but also with appli that a conflicts-of-interest situation re

a

quires disciplinary or other remedial (6) Special Assistant to the Chairaction, such action shall be taken man. promptly to end the conflict or appear (c) Special Assistant to the Deputy ance of conflict of interest and to carry Chairman. out any appropriate disciplinary meas (d) Director of Intergovernmental ure. Any action taken, whether disci and Congressional Relations. plinary or otherwise, shall be effected in (e) Director, Office of State and Comaccordance with applicable laws, Execu munity Operations. tive orders, Civil Service Commission (f) Directors of Programs. regulations and the regulations in this (ii) National Endowment for the part. The action taken may involve, Humanities: among other things:

(a) Deputy Chairman. (1) Divestment by the employee of (6) Special Assistant to the Chairhis conflicting interest;

man. (2) Changes in existing duties;

(c) Division Directors. (3) Disqualification for a particular (d) Director of Planning and Analysis. assignment;

(e) Program Officers. (4) Appropriate disciplinary action, (f) Director, Office of Grants. up to and including removal.

(iii) Shared Staff:

(a) General Counsel. $ 1105.735–6 Statements of employment and financial interests.

(b) Administrative Officer.

(3) Inclusion and exclusion of posi(a) Employees other than special tions. (i) Whenever appropriate, the Government employees—(1) General re Chairman of an Endowment may amend quirement. Statements of employment subparagraph (2) of this paragraph to and financial interests are required of all include additional positions in his EnFederal employees occupying positions dowment that entail submission of such at or above Grade 16 or the equivalent, statements or may exclude any positions as well as all employees occupying posi in his Endowment listed in subparagraph tions which either require the exercise (2) of this paragraph the inclusion of of judgment in making a Government which is not required by the general redecision, or in taking Government ac quirement in subparagraph (1) of this tion with regard to:

paragraph. Inclusion or elimination of (i) Contracting or procurement; shared positions will be accomplished by

(ii) Administering monitoring agreement of both Chairmen. Each sugrants or subsidies;

pervisor is responsible for bringing to (iii) Regulating or auditing private the attention of the appropriate Chairor other non-Federal enterprises;

man (through the Deputy Chairman) (iv) Other activities where the deci

any position which the supervisor besion or action has an economic impact

lieves should be covered or excluded by on the interest of a particular non

this requirement. Federal enterprise; or

(ii) If an employee believes that his require the incumbent to report in order

position has been improperly included to avoid involvement in a possible con

among those for which a Statement of flicts-of-interest situation and carry out the purpose of law.

Employment and Financial Interests is (2) Requirements of the National En

required, he may bring this matter, via dowment for the Arts and the National

the Foundation's grievance procedures, Endowment for the Humanities. In order

to the attention of the appropriate Depto fulfill the Endowments' obligations

uty Chairman or, in the case of shared under the general Government require

staff, to the attention of both Deputy ment described in subparagraph (1) of Chairmen. In the event that the recomthis paragraph, it has been determined mendation is made that the position be that a Statement of Employment and included, the employee may appeal to the Financial Interests must be completed Chairman of the Endowment concerned, and submitted in accordance with the or, in the case of shared staff, to both procedures set forth in this section by Chairmen, whose ruling shall be final. employees occupying the following (iii) Although an employee's position positions:

may generally be included within the (i) National Endowment for the Arts: terms of subparagraph (1) of this para(a) Deputy Chairman.

graph, such position may be excluded

or

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