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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.
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
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
speci amit a
inanci: of his
: the port all
interes interes or indir
Lilitles och spe
ernment and when the conflict or apo ating
from the reporting requirement when it mation relating to their financial interese of is determined that:
ests in any professional society not con- Deput (a) The duties of a position are such ducted as a business enterprise as de-Chair that the likelihood of the incumbent's scribed in the next sentence, charitable, involvement in a conflicts-of-interest religious, social, fraternal, recreational, zernie situation is remote; or
public service, civic, political, or similar conflic (b) The duties of a position are at organization not conducted as a business eral C such a level of responsibility that the enterprise. Professional societies, educares, in submission of a statement of employment tional institutions, and other nonprofit and financial interests is not necessary organizations engaged in research, debecause of the degree of supervision and velopment, or related activities involving review over the incumbent or the incon grants of money from, or contracts with, in the sequential effect on the integrity of the the Government are deemed business befor Government.
enterprises” and are required to be in-, (4) Submission of original and supple cluded in employees' statements of emmentary statements. Each employee cov ployment and financial interests. ered by this requirement shall complete (8) Effect of employees' statements on the statement and submit it within 90 other requirements. The statements of days after the effective date of this part. employment and financial interests and Each new employee shall complete and supplementary statements required of submit the statement within 30 days employees are in addition to, and are not after his entrance on duty or within 90 in substitution for, or in derogation of, days after the effective date of this part, any similar requirement imposed by law.et
, ar whichever date is later. All changes in, regulation, or Executive order. The subor additions to, the information con
mission of the statement or supplementained in each employee's original tary statement by an employee does not statement must be reported in a supple
permit him or any other person to parmentary statement submitted by the ticipate in any matter in which his or employee as of June 30 each year. If no
the other person's participation is prochanges or additions occur a negative hibited by law, regulation, or Executive report is required. Not withstanding the order. filing of the annual report required by
(9) Confidentiality of employees' this subparagraph, each employee shall statements. Each statement of employ. at all times avoid acquiring a financial ment and financial interest and each interest that could result, or taking an supplementary statement will be held in may b action that would result, in a violation of strictest confidence. The officials desig- provi
: the conflicts of interest provisions of nated below to receive such statements section 208 of title 18, U.S.C., or
will not allow access to, or information $ 1105.735–7 of this part. The Adminis to be disclosed from, a statement except trative Office of the Foundation is re to carry out a purpose of this part. In-b-7 E sponsible for informing each
formation will not be disclosed from the affected employee of the requirement for statement except as the Civil Service him to submit the statement within 30
Commission or the appropriate Chairdays after his entrance on duty.
man (or Chairmen, in the case of shared (5) Interests of employees' relatives. staff members) may authorize for good For purposes of the statement, the inter cause shown. ests of a spouse, minor child, or any other (10) Review of statements. (1) Each member of an employee's immediate Deputy Chairman will submit his statehousehold who is a blood relation of the ment to the appropriate Endowment employee, are considered to be interests Chairman, of the employee.
(ii) Employees of either Endowment, Oficis (6) Information not known by em shall submit their statements to the ployees. If information required to be in Deputy Chairman of that Endowment cluded on the statement of employment (iii) Joint employees shall submit and financial interests (supplementary their statements to both Deputy or otherwise, including holdings placed Chairmen. in trust) is not known by the employee (iv) When a statement submitted unbut is known to another person, the em der subparagraph (2) or (3) of this pube ployee shall request such other person to paragraph indicates a conflict between submit the information on his behalf. the interests of an employee and the tas prep
(7) Information not required. Em performance of his services for the Govployees are not required to submit infor
employ , theneve ther i interes
agh (9) sivernm her as
an 2 ma! embarra Howeve on of 1
pearance of conflict cannot be resolved (iv) Losing complete independence or by the Deputy Chairman (or by both impartiality: Deputy Chairmen in the case of joint (v) Making a Government decision employees), he shall report the informa outside official channels; or tion concerning the conflict or appear (vi) Affecting adversely the confi
ance of conflict to the Chairman through dence of the public in the integrity of : the General Counsel. In the case of joint the Government.
employees, information concerning the (b) Indebtedness. Employees are exEconflict or appearance of conflict shall be pected to meet their just financial obli
reported to both Chairmen. The employee gations and not to take advantage of concerned shall be given an opportunity the fact that their wages are not subject to explain the conflict or appearance of to garnishment for private debts. Fallconflict before remedial action is ure to meet just financial obligations in initiated.
a proper and timely manner may result (b) Special Government employees. in disciplinary action, up to, and in(1) Each special Government employee cluding, removal. For the purpose of this shall submit a statement of employment, section, a "just financial obligation" and, unless otherwise directed, a state means one acknowledged by the emment of financial interests not later then ployee or reduced to judgment by a court, the time of his employment. It is neces and “in a proper and timely manner" sary that the special Government em means in a manner which the agency ployee report all Federal and non-Federal determines does not, under the circumemployment, and, when a statement of stances, reflect adversely on the Governfinancial interests is required, those fi ment as his employer. In the event of nancial interests which relate, either dispute between an employee and an directly, or indirectly, to his Foundation alleged creditor, this section does not reresponsibilities or duties.
quire the Endowment concerned to (2) Each special Government em determine the validity or amount of the ployee must file a supplementary state disputed debt. ment of employment and financial in (c) Payment of taxes. Employees are terests whenever a significant change expected to meet their obligations for occurs, either in his employment or payment of taxes to Federal, State, and financial interests, in order that his local authorities. Delinquency in paystatement may be kept current.
ment of Federal, State, and local taxes (3) The provisions of paragraph (a) is cause for disciplinary action, up to, (5) through (9) of this section apply to and including, removal. Federal agencies special Government employees in the are required to furnish State taxing ausame manner as to other employees. thorities (including the District of Co$1105.735–7 Employee conduct.
lumbia) with a copy of Form W-2 In
dicating annual earnings and Federal (a) General. (1) Each Endowment as
income tax withheld. Employees are ausumes that an employee will conduct thorized to pay delinquent Federal taxes himself in a manner that will not dis
by payroll deduction: Provided, That credit or embarrass himself or the En they make satisfactory arrangements dowment. However, it is pointed out that with the Internal Revenue Service to the violation of the regulations in this liquidate their tax liabilities in this manpart, or any criminal, infamous, dishon
ner. When such arrangements are not est, immoral, or notoriously disgraceful made, District Directors of Internal Rev. conduct on the part of an employee enue have the authority to levy upon the 'whether in official duty status or not), salaries of Federal employees for the full is cause for immediate disciplinary ac amount of delinquent Federal income tion, up to and including removal.
tax. (2) Employees shall avoid any action, (d) Financial interests. Any employee whether or not specifically prohibited, may hold financial interests and engage which might result in or create the ap in financial transactions in the saine pearance of:
way as any private citizen, provided that (1) Using public office for private such interests or activities are not progain;
hibited by law, Executive order, or the (ii) Giving preferential treatment to regulations in this part. In particular, no any person;
employee may have any direct or in(iii) Impeding Government efficiency direct financial Interest that confiicts or economy;
substantially or appears to confiict sub
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