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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 primarlly 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 one1100.8 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 5 U.S.O. 552.

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—(1) 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 (11) Program Activities of the Arts Enthe United States.

dowment. The activities of the Endow

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

(a) State and Community Operations.

(6) 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—(1) 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 institutionsschools, 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. (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 Humaniti 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 (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 will 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. (b) 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 the Arts and the National Endowment

PART 1105-STANDARDS OF 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. Deputy Chairman of the Endowment

1105.735–5 Conflicts-of-Interest Counselor. concerned between 9 a.m. and 5:30 p.m.,

1105.735–6 Statements of employment and

financial interests. 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 sufficiently identified, shall determine

visions of this part

1105 issued under Executive Order 11222 of whether the record is subject to exemp

May 8, 1965, 3 CFR, 1965 Supp.; 5 CFR 735.104. tion from public inspection under the 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

f 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 66-100 0-72

489 32

of the National Endowment for the Arts and the National Endowment for the Humanities, it is essential to the Government and to the conduct of the business of the National Endowment for the Arts and the National Endowment for the Humanities that unusually high standards of honesty, integrity, impartiality, and conduct be maintained by employees of the Endowments. In accordance with these concepts, this part sets forth policies and procedures of the Endowments with respect to employee conduct, certain permissible and prohibited outside activities, and possible conflicts-of-interest situations. $ 1105.735–2 Scope.

The policies and procedures contained in this part apply to all employees of the Endowments, except that specific provision is made in § 1105.735–6–(b) for the filing of Statements of Employment and Financial Interests by special Government employees. § 1105.735–3 Definitions.

In this part:

(a) “Employee" means an officer or employee of the National Endowment for the Arts or the National Endowment for the Humanities, or a member of the shared staff of both Endowments. The term "employee" includes a “special Government employee" unless expressly qualified.

(b) “Shared staff" and "joint employees” mean employees performing services for both Endowments on a shared basis.

(c) “Endowment” means either the National Endowment for the Arts, or the National Endowment for the Humanities.

(d) “Foundation" means the National Foundation on the Arts and the Humanities.

(e) “Chairman” means the Chairman of the National Endowment for the Arts or the Chairman of the National Endowment for the Humanities.

(f) "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. $ 1105.7354 Statutory provisions.

Each employee is responsible for acquainting himself not only with the provisions of this part, but also with appli

cable 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 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.) § 1105.735–5 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 Conflicts-ofInterest 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 re- employees occupying the following quires disciplinary or other remedial positions: action, such action shall be taken (1) National Endowment for the Arts: promptly to end the conflict or appear- (a) Deputy Chairman. ance of conflict of interest and to carry

(6) Special Assistant to the Chairout any appropriate disciplinary meas

man. ure. Any action taken, whether disci

(c) Special Assistant to the Deputy plinary or otherwise, shall be effected in

Chairman. accordance with applicable laws, Execu

(d) Director of Intergovernmental tive orders, Civil Service Commission regulations and the regulations in this

and Congressional Relations.

(e) Director, Office of State and Compart. The action taken may involve,

munity Operations. among other things:

(f) Directors of Programs. (1) Divestment by the employee of

(ii) National Endowment for the his conflicting interest;

Humanities: (2) Changes in existing duties;

(a) Deputy Chairman. (3) Disqualification for a particular assignment;

(b) Special Assistant to the Chair

man. (4) Appropriate disciplinary action,

(c) Division Directors. up to and including removal.

(d) Director of Planning and Analysis. (32 F.R. 17663, Dec. 12, 1967, as amended at 33 F.R. 494, Jan, 13, 1968]

(e) Program Officers.

(f) Director, Office of Grants. $ 1105.735–6 Statements of employment (iii) Shared Staff: and financial interests.

(a) General Counsel. (a) Employees other than special

(6) Administrative Officer. Government employees—(1) General re- (3) Inclusion and exclusion of posiquirement. Statements of employment tions. (i) Whenever appropriate, the and financial interests are required of all

Chairman of an Endowment may amend Federal employees occupying positions subparagraph (2) of this paragraph to at or above Grade 16 or the equivalent, include additional positions in his Enas well as all employees occupying posi- dowment that entail submission of such tions which either require the exercise statements or may exclude any positions of judgment in making a Government

in his Endowment listed in subparagraph decision, or in taking Government ac- (2) of this paragraph the inclusion of tion with regard to:

which is not required by the general re(1) Contracting or procurement;

quirement in subparagraph (1) of this (ii) Administering

or
monitoring

paragraph. Inclusion or elimination of grants or subsidies;

shared positions will be accomplished by (iii) Regulating or auditing private

agreement of both Chairmen. Each suor other non-Federal enterprises;

pervisor is responsible for bringing to (iv) Other activities where the deci

the attention of the appropriate Chairsion or action has an economic impact

man (through the Deputy Chairman) on the interest of a particular non

any position which the supervisor beFederal enterprise; or

lieves should be covered or excluded by

this requirement. require the incumbent to report in order (i) If an employee believes that his to avoid involvement in a possible con

position has been improperly included flicts-of-interest situation and carry out among those for which a Statement of 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,

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