[Federal Register Volume 61, Number 191 (Tuesday, October 1, 1996)]
[Notices]
[Pages 51306-51307]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-25075]
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NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES
Process for Reconsideration of Declined General Applications for
Federal Assistance
AGENCY: National Endowment for the Arts.
ACTION: Notice.
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SUMMARY: The National Endowment for the Arts has been restructured. The
Notices of Process for Reconsideration of Declined General Applications
published on January 14, 1992 and March 29, 1993, are amended herein to
reflect the agency's new structure, including new office and division
names.
FOR FURTHER INFORMATION CONTACT: Karen K. Christensen, General Counsel
(202) 682-5418, National Endowment for the Arts, 1100 Pennsylvania
Avenue, NW., Room 518, Washington, DC 20506.
1. Purpose
The processes by which the National Endowment for the Arts (the
``Endowment'') offers financial and technical assistance have been
designed to result in supporting projects of artistic excellence and
merit. The Endowment relies on discipline review and advisory panel
review of grant applications to assure that projects are of substantial
artistic and cultural significance. Panel recommendations are
subsequently reviewed by the National Council on the Arts, which
provides advice to the Endowment's chairperson who then decides whether
to approve the applications recommended by the Council.
This Circular modifies the procedure for reconsideration of
applications for financial and technical assistance which have been
declined by the National Endowment for the Arts based on negative
recommendations of the advisory panel. This procedure does not include
reconsideration of grant amounts once a grant is awarded. This process
does not apply to applications recommended by the advisory panel but
rejected by the Council or Chairperson. Reconsideration of such
applications is had at the discretion of the Chairperson only. These
revisions are being made in light of a major restructuring of the
Endowment and its grant making process. The provisions of this
Circular, which updates and amends the earlier Circulars on this
subject, dated December 16, 1992 and March 29, 1983, do not apply to
procurement governed by the Federal Acquisition Regulations. These
provisions will apply to all requests for reconsideration filed after
October 1, 1996.
2. Policy
(a) Statement. Award of financial and technical assistance is
discretionary. Discipline and panel recommendations are made using
criteria described in the Endowment guidelines. Criteria that involve
subjective, qualitative judgments are not subject to reconsideration.
Notwithstanding this fact, a Project Director, Authorizing Official, or
individual whose application has been declined (hereafter referred to
as ``applicant'') may obtain an explanation of the declination from the
appropriate Endowment Discipline Director (hereafter referred to as
``Director``). Following receipt of the explanation, if the applicant
believes that the declination was based on one or more of the following
Grounds for Reconsideration, reconsideration may be obtained under the
procedure outlined in Section 3, below.
(b) Ground(s) for Reconsideration. Reconsideration of application
declinations is available solely for one or more of the following three
reasons relating to procedural impropriety or error:
(i) Discipline reviewers or advisory panel considered criteria
other than those appearing in the relevant guidelines.
(ii) Individual(s) with conflict of interest served as a discipline
reviewer or on the advisory panel.
(iii) Information relevant to the deliberations was provided by
staff, reviewers, panelists, or others, but not including the
applicant, which was inaccurate or incomplete, despite the fact that
the applicant provided the Endowment staff with accurate and
[[Page 51307]]
complete information as part of the regular application process.
3. Procedure To Be Followed for Reconsideration
(a) Explanation by Director. Within 30 days following written
notification from the Endowment of its decision on any application, the
applicant may request an explanation for a declined application from
the appropriate Director. This initial request may be by telephone, in
person or in writing. The Director will explain within 30 days
following the applicant's request the basis for declination which may
include a summary of the discipline review, advisory panel comments,
applicable on-site evaluation reports, the names of all discipline
reviewers, panel and staff members, and other information not otherwise
exempt from disclosure requested by the applicant. If the Director
cannot provide such explanation within 30 days, the applicant will
receive a written explanation of the need for more time and an estimate
of when the results can be expected.
The Director may designate another Endowment official to provide
the explanation for the declination to the applicant. The term
``Director'' as used here applies to such designees.
(b) Request for Reconsideration. If the Director's explanation
appears to the applicant to indicate the presence of one or more of the
``Grounds for Reconsideration'' listed in paragraph 2(b) above, the
applicant may submit to the Deputy Chairperson for Grants and
Partnership (hereafter referred to as ``the Deputy'') a written Request
for Reconsideration. This written request must reference the particular
ground(s) for reconsideration and specify the facts supporting his or
her claim, with enough particularity to enable the Deputy to determine
whether the claim is meritorious. A request of this nature will be
considered only if (a) the Request for Reconsideration is based on one
or more of the grounds listed in paragraph 2(b); (b) the applicant has
obtained an explanation from the appropriate Director, (c) the
applicant has specified with sufficient particularity the facts
supporting his or her claim; and (d) the Request for Reconsideration is
received by the Deputy within 30 days after the date of the Director's
explanation.
(c) Action by the Deputy.
(i) The Deputy will review the applicant's Request for
Reconsideration, records of the discipline review and panel
discussions, the applicant's application file, and any other relevant
materials to determine if the recommendations were influenced by one or
more of the grounds listed in paragraph 2(b). In conducting this
review, the Deputy may request additional information from the
applicant, obtain advice from an advisory panel, or conduct additional
investigation or review. However, no revisions or additions to the
grant application materials will be accepted in connection with the
Request for Reconsideration except to the extent that additional
materials are necessary to substantiate the applicant's claim that one
or more of the grounds listed in paragraph 2(b) exists.
(ii) The Deputy may conduct the reconsideration personally or may
designate another Endowment official who had no part in the initial
evaluation to do so. The term ``the Deputy'', as used here, applies to
such designees.
(iii) The Deputy will provide written notification of the results
of the reconsideration within 45 days following receipt of the Request
for Reconsideration. If the Deputy cannot provide such notice within 45
days, the applicant will receive a written explanation of the need for
more time and an estimate of when the results can be expected.
(d) Resolution of Requests for Reconsideration. Reconsideration is
not an adversarial process and a formal hearing is not provided. The
Endowment cannot assure applicants that reconsideration will result in
the award of a grant even if error is established in connection with
the initial evaluation. The Deputy shall make one of the following four
determinations. The determinations of the Deputy shall be in writing
and shall be final.
(i) If the Deputy determines that none of the grounds listed in
paragraph 2(b) existed, the declination will be affirmed.
(ii) If the Deputy determines that one or more of the grounds
listed in paragraph 2(b) existed, but the recommendation of the
advisory panel was not affected materially, the declination will be
affirmed.
(iii) If the Deputy determines that one or more of the grounds
listed in 2(b) existed, and he or she can determine, based on the
materials reviewed, that but for the infirmity in the review process,
the application would have been recommended, the application will be
considered by the National Council on the Arts at its next regularly
scheduled meeting. The Chairperson of the Endowment then will decide
whether to approve applications recommended by the Council.
(iv) If the Deputy determines that one or more of the grounds
listed in paragraph 2(b) occurred, but he or she cannot determine
whether, but for the infirmity, the advisory panel would have
recommended that application, the application will be reviewed by a
panel. If the panel recommends the application for support, the
National Council on the Arts will review it at the next regularly
scheduled meeting. The Chairperson of the Endowment then will decide
whether to approve applications recommended by the Council.
4. Reporting Requirements
The Deputy will maintain a record of Requests for Reconsideration
in accordance with the Endowment's Records Disposition schedule. The
record will include the date of receipt, the name of the applicant,
including name of organization or institution where applicable, the
application number, the determinations of the Deputy, and once the
Deputy's review is complete, the date on which each applicant was
notified of the results of the reconsideration, and what those results
were.
Dated: September 23, 1996.
Karen Christensen,
General Counsel, National Endowment for the Arts.
[FR Doc. 96-25075 Filed 9-30-96; 8:45 am]
BILLING CODE 7536-01-M
