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office, must secure the approval of the appropriate Endowment Chairman or, in the case of members of the shared staff, of both Chairmen.

(6) Full-time employees, with the prior consent of the Chairman concerned, or of both Chairmen, in the case of members of the shared staff, may hold positions under a State or local government on a part-time basis only. Intermittent employees may hold full-time or part-time State or local government positions. In both cases, the above restrictions on political activity must be observed.

(n) An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity, such as a lottery or the sale or purchase of numbers, etc. (Sec. 10, 79 Stat. 852, as amended 82 Stat. 186, 84 Stat. 443 (20 U.S.C. 959)) (32 FR 17663, Dec. 12, 1967, as amended at 38 FR 3512, Feb. 7, 1973) 8 1105.735–8 Presenting grievances to

Congress. Nothing in this part shall be construed as abridging in any way the right of employees, either individually or collectively, to petition Congress, or any Member thereof, or to furnish information, when appropriate, to either House of Congress, or to any committee or member thereof.

6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

8. The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a. (c)).

9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

11. The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

14. The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

16. The prohibition against proscribed political activities in Subchapter III of Chapter 73 of Title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608.

17. The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). (32 FR 17663, Dec. 12, 1967, as amended at 33 FR 494, Jan. 13, 1968)





The following is a list of statutes related to the conduct of Government employees and consultants. Upon request, pertinent excerpts of these statutes will be made available by the Administrative Office of the Foundation.

1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the "Code of Ethics for Government Service."

2. Chapter 11 of title 18, United States Code, relating to bribery, graft, and con flicts of interest, as appropriate to the em ployees concerned.

3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

4. The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

1110.1 Purpose.

Application of part. 1110.3 Discrimination prohibited. 1110.3 1110.4 Assurances required. 1110.5 Illustrative applications. 1110.6 Compliance information. 1110.7 Conduct of investigations. 1110.8 Procedure for effecting compliance. 1110.9 Hearings. 1110.10 Decisions and notices. 1110.11 Judicial review. 1110.12 Effect on other regulations; forms

and instructions. 1110.13 Definitions. APPENDIX A

AUTHORITY: Sec. 602, 78 Stat. 252 and sec. 10(a)(1), 79 Stat. 852.

SOURCE: 38 FR 17991, July 5, 1973, unless Other programs under statutes now in otherwise noted.

force or hereinafter enacted may be

added to this list by notice published $ 1110.1 Purpose.

in the FEDERAL REGISTER. The purpose of this part is to effectuate the provisions of title VI of the 8 1110.3 Discrimination prohibited. Civil Rights Act of 1964 (hereafter re

(a) General. No person in the United ferred to as the “Act”) to the end that

States shall, on grounds of race, color, no person in the United States shall,

or national origin be excluded from on the ground of race, color, or nation

participation in, be denied the benefits al origin, be excluded from participation in, be denied the benefits of, or be

of, or be otherwise subjected, to dis

crimination under any program otherwise subjected to discrimination

to under any program or activity receiv

which this part applies. ing Federal financial assistance from

(b) Specific discriminatory actions the National Endowment for the Arts

prohibited. (1) A recipient under any or the National Endowment for the

program to which this part applies Humanities.

may not directly or through contrac

tual or other arrangements, on the § 1110.2 Application of part.

ground of race, color, or national This part applies to any program for origin: which Federal financial assistance is (i) Deny an individual any service, fiauthorized under a law administered nancial aid, or other benefit provided by the National Endowment for the under the program; Arts or the National Endowment for (ii) Provide any service, financial aid, the Humanities including the federal or other benefit to an individual which ly assisted programs and activities is different, or is provided in a differlisted in Appendix A of this part. It ent manner, from that provided to applies to money paid, property trans- others under the program; ferred, or other Federal financial as (iii) Subject an individual to segregasistance extended under any such pro tion or separate treatment in any gram after the effective date of the matter related to his receipt of any part, including assistance pursuant to service, financial aid, or other benefit an application approved prior to such

under the program; date. It also applies to federal finan

(iv) Restrict an individual in any cial assistance extended to any such

way in the enjoyment of any advanprogram prior to the effective date of

tage or privilege enjoyed by others rethis part under a contract or grant

ceiving any service, financial aid, or where the term of the contract or

other benefit under the program; grant continues beyond such date or where the assistance was to provide

(V) Treat an individual differently real or personal property and the re

from others in determining whether cipient or his transferee continues to

he satisfies any admission, enrollment, use or retain ownership or possession

quota, eligibility, membership, or of the property (see 1110.4(a)(1)).

other requirement or condition which This part does not apply to (a) any

individuals must meet in order to be Federal financial assistance by way of

provided any service, financial aid, or insurance or guaranty contract, (b)

other benefit provided under the proany assistance to any individual who is gram; the ultimate beneficiary under any

(vi) Deny an individual an opportusuch program, or (c) any employment

nity to participate in the program practice, under any such program, of through the provision of services or any employer, employment agency, or otherwise or afford him an opportunilabor organization, except to the ty to do so which is different from extent described in § 1110.3. The fact that afforded others under the prothat a program or activity is not listed gram (including the opportunity to in Appendix A shall not mean, if title participate in the program as an emVI of the Act is otherwise applicable, ployee but only to the extent set forth that such program is not covered in paragraph (c) of this section).

(2) A recipient, in determining the criminatory practice or usage tends, types of services, financial aid, or on the grounds of race, color, or naother benefits, or facilities which will tional origin, to exclude individuals be provided under any such program, from participation in, to deny them or the class of individuals to whom, or the benefits of, or to subject them to the situations in which, such services, discrimination under any program or financial aid, other benefits, or facili- activity to which this regulation apties will be provided under any such plies the applicant or recipient has an program, or the class of individuals to obligation to take reasonable action to be afforded an opportunity to partici- remove or overcome the consequences pate in any such program, may not di of the prior discriminatory practice or rectly or through contractual or other usage, and to accomplish the purposes arrangements, utilize criteria or meth- of the Act. ods of administration which have the (c) Employment practices. (1) Where effect of subjecting individuals to dis- a primary objective of the Federal ficrimination because of their race, nancial assistance to a program to color, or national origin, or have the which this part applies is to provide effect of defeating or substantially im employment, a recipient may not dipairing accomplishment of the objec- rectly or through contractual or other tives of the program as respects indi- arrangements subject an individual to viduals of a particular race, color, or discrimination on the ground of race, national origin.

color, or national origin in its employ(3) In determining the site or loca- ment practices under such program tion of facilities, a recipient or appli. (including recruitment or recruitment cant may not make selections with the advertising employment, layoff or terpurpose or effect of excluding individ- mination, upgrading, demotion, or uals from, denying them the benefits transfer, rates of pay or other forms of, or subjecting them to discrimina- of compensation and use of facilities), tion under any program to which this including programs where a primary regulation applies, on the grounds of objective of the Federal financial asrace, color, or national origin; or with sistance is (i) to assist such individuals the purpose or effect of defeating or through employment to meet exsubstantially impairing the accom penses incident to the commencement plishment of the objectives of the Act or continuation of their education or or this regulation.

training or (ii) to provide work experi(4) As used in this section, the serv ence which contributes to the educaices, financial aid, or other benefits tion or training of such individuals or provided under a program receiving (iii) to reduce the unemployment of Federal financial assistance shall be such individuals or to help them deemed to include any service, finan through employment to meet subsistcial aid, or other benefit provided in orence needs. through a facility provided with the (2) The requirements applicable to aid of Federal financial assistance. construction employment under any

(5) The enumeration of specific such program shall be those specified forms of prohibited discrimination in in or pursuant to Executive Order this paragraph and paragraph (c) of 11246 or any executive order which suthis section does not limit the general. persedes it. ity of the prohibition in paragraph (a) (3) Where a primary objective of the of this section.

Federal financial assistance is not to (6) This regulation does not prohibit provide employment, but discriminathe consideration of race, color, or na tion on the grounds of race, color, or tional origin if the purpose and effect national origin in the employment are to remove or overcome the conse- practices of the recipient or other perquences of practices or impediments sons subject to the regulation tends, which have restricted the availability on the grounds of race, color, or naof, or participation in, the program or tional origin, to exclude individuals activity receiving Federal financial as- from participation in, to deny them sistance, on the grounds of race, color, the benefits of, or to subject them to or national origin. Where previous dis- discrimination under any program to

which this regulation applies, the provisions of the foregoing subparagraph of this paragraph (c) shall apply to the employment practices of the recipient or other persons subject to the regulation, to the extent necessary to assure equality of opportunity to and nondiscriminatory treatment of, beneficiaries.

(d) Medical emergencies. Notwithstanding the foregoing provisions of this section, a recipient of Federal financial assistance shall not be deemed to have failed to comply with paragraph (a) of this section if immediate provision of a service or other benefit to an individual is necessary to prevent his death or serious impairment of his health and such service or other benefit cannot be provided except by or through a medical institution which refuses or fails to comply with paragraph (a) of this section. § 1110.4 Assurances required.

(a) General. (1) Every application for Federal financial assistance to carry out a program to which this part applies, and every application for Federal financial assistance to provide a facility shall, as a condition to its approval and the extension of any Federal financial assistance pursuant to the application, contain or be accompanied by an assurance that the program will be conducted or the facility operated in compliance with all requirements imposed by or pursuant to this part. In the case where the Federal financial assistance is to provide or is in the form of personal property, or real property or interest therein or structures thereon, the assurance shall obli. gate the recipient, or, in the case of a subsequent transfer, the transferee, for the period during which the prop erty is used for a purpose for which the Federal financial assistance is extended or for another purpose involv. ing the provision of similar services and benefits, or for as long as the recipient retains ownership or possession of the property, whichever is longer; and any other type or form of assist ance, the assurances shall be in effect for the duration of the period during which Federal financial assistance is extended to the program. The responsible Endowment official shall specify

the form of the foregoing assurances for each program and the extent to which like assurances will be required of subgrantees, contractors and subcontractors, successors in interest, and other participants in other participants in

the program. Any such assurance shall include provisions which give the United States a right to seek its judicial enforcement.

(2) In the case of real property, structures or improvements thereon, or interests therein, which was acquired through a program of Federal financial assistance, or in the case where Federal financial assistance is provided in the form of a transfer of real property or interest therein from the Federal Government, the instrument effecting or recording the transfer, shall contain a covenant running with the land assuring nondiscrimination for the period during which the real property is used for a purpose for which the Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. Where no transfer of property is involved, but property is improved under a program of Federal financial assistance, the recipients shall agree to include such a covenant in any subsequent transfer of such property. Where the property is obtained from the Federal Government, such covenant may also include a condition coupled with a right to be reserved by the Endowment to revert title to the property in the event of a breach of the covenant where, in the discretion of the responsible Endowment official, such a condition and right of reverter is appropriate to the program under which the real property is obtained and to the nature of the grant and the grantee. In the event a transferee of real property proposes to mortgage or otherwise encumber the real property as security for financing construction of new, or improvement of existing, facilities on such property for the purposes for which the property was transferred, the Chairman of the Endowment concerned may agree, upon request of the transferee and if necessary to accomplish such financing, and upon such conditions as he deems appropriate, to forebear the exercise of such right to revert title for

so long as the lien of such mortgage or final order of a court of the United other encumbrance remains effective. States for the desegregation of such

(3) Transfers of surplus property are school or school system is entered subject to regulations issued by the after submission of such a plan, such Administrator of the General Services plan shall be revised to conform to Administration. (41 CFR 101-6.2)

such final order, including any future (b) Continuing State programs. modification of such order. Every application by a State or a State (d) Assurances from institutions. (1) agency to carry out a program involv- In the case of any application for Feding continuing Federal financial assist- eral financial assistance to an instituance to which this part applies shall as tion of higher education (including asa condition to its approval and the ex- sistance for construction, for research, tension of any Federal financial assist- for a special training project, or for ance pursuant to the application (1)

any other purpose), the assurance recontain or be accompanied by a state

quired by this section shall extend to ment that the program is (or, in the

admission practices and to all other case of a new program, will be) con

practices relating to the treatment of ducted in compliance with all require

students. ments imposed by or pursuant to this

(2) The assurance required with repart, and (2) provide or be accompa

spect to an institution of higher edunied by provision for such methods of

cation or any other institution, insofar administration for the program as are

as the assurance relates to the institufound by the responsible Endowment

tion's practices with respect to admisofficial to give reasonable assurance

sion or other treatment of individuals that the applicant and all recipients of

as students, or clients of the instituFederal financial assistance under

tion or to the opportunity to partici. such program will comply with all re

pate in the provision of services or quirements imposed by or pursuant to

other benefits to such individuals, this part.

shall be applicable to the entire insti(c) Elementary and secondary

tution unless the applicant establishes, schools. The requirements of para

to the satisfaction of the responsible graph (a) of this section with respect

Endowment official, that the instituto any elementary or secondary school

tion's practices in designated parts or or school system shall be deemed to be satisfied if such school or school

programs of the institution will in no system (1) is subject to a final order of

way affect its practices in the program

of the institution for which Federal fia court of the United States for the desegregation of such school or school

nancial assistance is sought, or the

beneficiaries of or participants in, system, and provides an assurance that it will comply with such order, in

such program. If in any such case the cluding any future modification of

assistance sought is for the construcsuch order, or (2) submits a plan for

tion of a facility or part of a facility, the desegregation of such school or

the assurance shall in any event school system which the responsible

extend to the entire facility and to official of the Department of Health,

facilities operated in connection thereEducation, and Welfare determines is

with. adequate to accomplish the purposes of the Act and this part within the

8 1110.5 Illustrative applications. earliest practicable time and provides The following examples will illusreasonable assurance that it will carry trate the application of the foregoing out such plan. In any case of continu provisions to some of the activities for ing Federal financial assistance, the which Federal financial assistance is responsible official of the Department provided by the Endowments. (In all of Health, Education, and Welfare cases the discrimination prohibited is may reserve the right to redetermine, discrimination on the ground of race, after such period as may be specified color, or national origin prohibited by by him, the adequacy of the plan to title VI of the Act and this part, as a accomplish the purposes of the Act condition of the receipt of Federal fiand this part. In any case in which a nancial assistance.)

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