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866.8 Reports.

On or before March 1 of each calendar year, NED shall submit a reporting covering the preceding calendar year to the Speaker of the House of Representatives and the President of the Senate for referral to the appropriate committees of the Congress. The report shall include those items specified at 5 U.S.C. 552(d).



the role that the disclosed information plays with respect to the requester's commercial interests and the extent to which the disclosed information serves the range of commercial interests of the requester.

(iii) NED shall weigh the magnitude of the identified commercial interest of the requester against the public interest in disclosure in order to determine whether the disclosure is primarily in the commercial interest of the requester. If the magnitude of the public interest in disclosure is greater than the magnitude of the requester's commercial interest, NED shall grant a full or partial fee waiver.

(6) In determining whether to grant a full or partial fee waiver, NED shall, to the extent possible, identify the portion of the information sought by the requester that satisfies the standard governing fee waivers set forth in FOIA, as amended, 5 U.S.C. 552(a)(4)(A)(iii), and in paragraphs (h)(1) through (6) of this section, and grant a fee waiver with respect to those documents. Fees for reproduction of documents that do not satisfy these standards shall be assessed as provided in paragraphs (c) through (g) of this section.

(i) Except as provided in paragraph (h)(5)(i) of this section, a requester may appeal a determination of the fees to be charged or waived under these regulations as he or she would appeal an initial determination of documents to be disclosed under paragraphs (a) and (b) of this section.

Sec. 67.1 Introduction. 67.2 Board of Directors. 67.3 Management. 67.4 Description of functions and proce


AUTHORITY: 22 U.S.C. 4411 et seq.; Title II. Sec. 210, Pub. L. 99-93, 99 Stat. 431 (22 U.S.C. 4415); Pub. L. 105–277, 112 Stat. 2681 et seq.

SOURCE: 51 FR 40164, Nov. 5, 1986, unless otherwise noted. Redesignated at 64 FR 54541, Oct. 7, 1999.

[51 FR 40162, Nov. 5, 1986, as amended at 52 FR 37766, Oct. 9, 1987. Redesignated and amended at 64 FR 54540, Oct. 7, 1999)

$ 67.1 Introduction.

(a) The National Endowment for Democracy (hereinafter “NED") was created in 1983 to stregthen democratic values and institutions around the world through nongovernmental efforts. Incorporated in the District of Columbia and governed by a bipartisan Board of Directors, NED is tax-exempt, nonprofit, private corporation as defined in section 501(c)(3) of the Internal Revenue Code. Through its worldwide grant program, NED seeks to enlist the energies and talents of private citizens and groups to work with partners abroad who wish to build for themselves a democratic future.

(b) Since its establishment in 1983, NED has received an annual appropriation approved by the United States Congress as part of the United States Information Agency budget. Appropriations for NED are authorized in the National Endowment for Democracy Act (the “Act”), 22 U.S.C. 4411 et seq.

(c) The activities supported by NED are guided by the six purposes set forth in NED's Articles of Incorporation and the National Endowment for Democracy Act. These six purposes are:

$66.6 Exemptions.

NED reserves the right to withhold records and information that are exempt from disclosure under FOIA. See 5 U.S.C. 552(b).

$ 66.7 Limitation of exemptions.

FOIA does not authorize withholding of information or limit the availability of NED records to the public except as specifically stated in this part. Nor is authority granted to withhold information from Congress.

(1) To encourage free and democratic NED's office at 1101 15th Street, NW; institutions throughout the world Suite 700, Washington, DC 20005–5000. through private-sector initiatives, in- (b) All major policy and funding decicluding activities which promote the sions are made by the Board of Direcindividual rights and freedoms (includ- tors. The primary statement of NED's ing internationally recognized human operating philosophy, general prinrights) which are essential to the func- ciples and priorities is contained in the tioning of democratic institutions; National Endowment for Democracy's

(2) To facilitate exchanges between Statement of Principles and Objectives, U.S. private sector groups (especially adopted by the Board of Directors in the two major American political par- December 1984. Copies of this stateties, labor and business) and demo- ment as well as other general informacratic groups abroad;

tion concerning the organization are (3) To promote U.S. nongovernmental

available from NED on request. participation (especially through the (c) As a grantmaking organization, two major American political parties,

NED does not carry out programs dilabor, and business) in democratic rectly. All grants made by the corporatraining programs and democratic in- tion shall be by a two-thirds vote of stitution-building abroad;

those voting at a meeting at which a (4) To strengthen democratic elec- quorum is present. Notwithstanding toral processes abroad through timely

the foregoing, the Board may from measures in cooperation with indige

time to time adopt, upon a two-thirds nous democratic forces;

vote of those voting at a meeting at (5) To support the participation of

which a quorum is present, procedures the two major American political par

to address emergency funding requests ties, labor, business, and other U.S. pri

between meetings of the Board. In advate-sector groups in fostering co

dition, "[a]ny Board member who is an operation with those abroad dedicated

officer or director of an organization to the cultural values, institutions,

seeking to receive grants from the Corand organizations of democratic plu

poration must abstain from considerralism; and

ation of and any vote on such grant"

(Article VI, Section 6). Copies of the (6) To encourage the establishment and growth of democratic development

bylaws are available from NED's of

fices. in a manner consistent both with the broad concerns of United States na- (51 FR 40164, Nov. 5, 1986. Redesignated and tional interests and with the specific amended at 64 FR 54541, Oct. 7, 1999] requirements of the democratic groups in other countries which are aided by

$67.3 Management. NED-supported programs.

(a) NED's operations and staff are

managed by a President selected by the $ 67.2 Board of Directors.

Board of Directors. The President is (a) NED is governed by a bipartisan the chief executive officer of the corboard of Directors of not fewer than poration and manages the business of thirteen and not more than twenty-five the corporation under the policy direcmembers reflecting the diversity of tion of the Board of Directors. The American society. The officers of the President directs a staff whose funccorporation are Chairman and Vice tions are divided among the Office of Chairman of the Board, who shall be the President, a Program Section and a members of the Board, a President, Finance Office. Secretary and Treasurer, and such (b) The Office of the President proother officers as the Board of Directors vides policy direction and is responmay from time to time appoint. Meet- sible for day-to-day management of the ings of the Board of Directors are held organization, including personnel manat times determined by the Board, but agement, liaison with the Board of Diin no event fewer than four times each rectors and preparation of meetings of year. A current list of members of the the Board and Board committees. The Board of Directors and a schedule of President's office also provides inforupcoming meetings is available from mation concerning NED's activities to

the press and public. The Program Section, under the direction of the Director of Program, is responsible for the review and preparation of proposals submitted to the Endowment and for the monitoring and evaluation of all programs funded by NED.

(c) The Finance Office, under the direction of the Comptroller, is responsible, with the President and the Board of Directors, for financial management of NED's affairs, including both administrative financial management and grant management. The Director of Program and the Comptroller report to the NED President.

regions or countries where NED has a special interest, and evaluations of previous or existing efforts to promote democracy. .

(5) International cooperation. NED seeks to encourage regio nal and international cooperation in promoting democracy, including programs that strengthen cohesion among democracies and enhance coordination among democratic forces.

(b) As a grantmaking organization, NED has certain responsibilities that govern its relationship with all potential and actual grantees. Briefly, these



$ 67.4 Description of functions and

procedures. (a) In accordance with the Statement of Principles and Objectives, NED is currently developing and funding programs in five substantive areas:

(1) Pluralism. NED encourages the development of strong, independent private-sector organizations, especially trade unions and business associations. It also supports coope atives, civic and women's organizations, and youth groups, among other organizations. Programs in the areas of labor and business are carried out, respectively, through the Free Trade Union Institute and the Center for International Private Enterprise.

(2) Democratic governance and political processes. NED seeks


promote strong, stable political parties committed to the democratic process. It also supports programs in election administration and law, as well as programs that promote dialogue among different sectors of society and advance democratic solutions to national problems.

(3) Education, culture and communications. NED funds programs that nourish a strong democratic civic culture, including support for publications and other communications media and training programs for journalists; the production and dissemination of books and other materials to strengthen popular understanding and intellectual advocacy of democracy; and programs of democratic education.

(4) Research. A modest portion of NED's resources is reserved for research, including studies of particular

(1) Setting program priorities within the framework of the purposes outlined in NED's articles of incorporation and contained in the legislation, and guided by the general policy Statement of the Board of Directors;

(2) Reviewing and vetting proposals, guided by the general guidelines and selection criteria adopted by the NED Board;

(3) Coordinating among all grantees to avoid duplication and to assure maximum program effectiveness;

(4) Negotiating grant agreement which ensures a high standard of accountability on the part of each grantee;

(5) Financial and programmatic monitoring following the approval and negotiation of a grant, and ongoing and/or follow-up evaluation of programs prior to any subsequent funding of either a particular grantee or a specific program. Grantees will also be expected to monitor projects, to provide regular reports to NED on the progress of programs, and to inform NED promptly of any significant problems that could affect the successful implementation of the project. NED grantees will also conduct their own evaluations of programs.

(6) As a recipient of congressionally appropriated funds, NED has a special responsibility to:

(i) Operate openly,

(ii) Provide relevant information on programs and operations to the public, and

(iii) Ensure that funds are spent wisely, efficiently, and in accordance with all relevant regulations.


(c) Institutes representing business, posal NED considers whether the grant labor, and the major political parties application: carry out programs which are central (1) Proposes a program that will to NED's purposes. As a result of their make a concrete contribution to assistunique relationship to NED, institute ing foreign individuals or groups who programs are an integral part of NED's

are working for democratic ends and priorities and the institutes themselves

who need NED's assistance. are “core” grantees. As such, the insti

(2) Proposes a program, project or actutes, while subject to all the normal

tivity which is consistent with current procedures governing NED's relationships with grantees, will be treated dif

NED program priorities and contribferently in the following respects:

utes to overall program balance and ef

fectiveness. (1) The institutes will have the mandate to carry out programs funded by

(3) Proposes an activity that meets NED in their respective sectors of busi

an especially urgent need. ness, labor and political parties.

(4) Does not overlap with what others (2) As an integral part of the process are doing well. of budgeting and setting program pri- (5) Proposes a program that will enorities, the NED Board will target a courage an intellectual climate which certain amount of its annual resources is favorable to the growth of demofor institute programs in their respec- cratic institutions. tive fields of activity.

(6) Proposes a program that is not (3) Unlike its practice for the major- only culturally or intellectually apity of its grantees, NED will fund sig

pealing, but will affect the education nificant administrative costs for each

and the awareness of minorities and/or of the core grantees.

the less privileged members of a soci(4) Institute staff will assume respon

ety. sibility for program development and

(7) Originates from an organization preparation of proposals for the Board

within in each field of activity for which it

particular country rephas a special mandate.

resenting the group whose needs are to (5) NED will expect its core grantees

be addressed. to perform their monitoring/evaluation

(8) Appears to be well thought out, function described in programmatic

avoiding imprudent activities and posmonitoring under Financial and pro

sibilities for negative repercussions. grammatic monitoring above in a manner (9) Takes into consideration not only that will minimize the need to devote what objectively could be significant NED resources for these purposes. (In- to a certain society, but how the culdividual copies of the Grants Policy are tural traditions and values of that sociavailable from the NED office.)

ety will react to the project. (6) As stated above, in awarding (10) Incorporates an analysis of the grants the Board is guided by estab- problem of democracy in the area in lished grant selection critieria. In addi- question and the method by which the tion to evaluating how a program fits

proposed program will have a construcwithin NED's overall priorities, the

tive impact on the problem. Board considers factors such as the ur

(11) Proposes a program that will engency of a program, its relevance to specific needs and conditions in a par

hance our understanding of what really ticular country, and the democratic

helps in aiding democracy. commitment and experience of the ap

(12) Creatively enlists supports for plicant. NED is especially interested in

foreign democratic organizations. proposals that originate with indige

(13) Encourages democratic solutions nous democratic groups. It is also in- and peaceful resolution of conflict in terested in nonpartisan programs seek

situations otherwise fraught with vioing to strengthen democratic values

lence. among all sectors of the democratic po- (14) Proposes a program, project or litical spectrum.

activity that is clearly relevant to (d) Selection criteria. In determining NED program objectives and not better the relative merit of a particular pro- funded by other government or private

organizations. (Proposing organizations will be be referred to other funding organizations where substantial overlap exists.)

(15) Proposes a program or strategy that is appropriate to the circumstances in the country concerned.

(16) Proposes a program that can be expected to have a multiplier effect, hence having an impact broader than that of the specific project itself; or establishes a model that could be readily replicated in other countries or institutions.

(17) Proposes appropriate, qualified staff who have a demonstrated ability to administer programs capably so as to accomplish stated goals and objectives.

(18) Proposes an appropriate ratio of administrative to program funds.

(19) Is responsive to NED suggestions with regard to program revisions.

(20) Proposes a realistic budget that is consistent with NED perceptions of project value and is performed within a stated and realistic time frame; and

(21) Proposes a program that has, as one of its principal aspects, a major impact on the role of women and/or minorities.

(e) The following guidelines also apply to all projects funded by NED.

(1) The proposing organization must be able to show that it is a responsible, credible organization or group that has a serious and demonstrable commitment to democratic values. (Various factors may be considered in this regard: recognized democratic orientation; established professional reputation; proven ability to perform; existence of organization charter, board of directors, regular audits, etc.);

(2) The proposing organization must be willing to comply with all provisions of the National Endowment for Democracy Act as well as all provisions of current and subsequent agreements between the USIA and NED;

(3) The proposing organization must agree not to use grant funds for the purpose of educating, training, or informing United States audiences of any U.S. political party's policy or practice, or candidate for office. (This condition does not exclude making grants or expenditures for the purpose of educating, training or informing audiences

of other countries on the institutions and values of democracy that may incidentally educate, train, or inform American participants);

(4) The proposing organization must agree that no NED funds will be used for lobbying or propaganda that is directed at influencing public policy decisions of the government of the United States or of any state or locality thereof;

(5) The proposing organization must agree that there shall be no expenditure of NED funds for the purpose of supporting physical violence by individuals, groups or governments;

(6) The proposing organization may not employ any person engaged in intelligence activity on behalf of the United States government or any other government;

(7) NED will not normally reimburse grantees for expenses incurred prior to the signing of a grant agreement with NED;

(8) Each grant made by NED will be an independent action implying no future commitment on NED's part to a project or program;

(9) NED may, from time to time, fund feasibility studies. Applications for grants in this category should include, but not be limited to, the following: Scope, method and objective of the study; Calendar; Proposed administration of the study; and Detailed budget. The funding of a feasibility study by NED does not imply support for any project growing out of the study. It does, however, imply interest by NED in the area under study and a willingness to entertain a project proposal growing out of the study; and

(10) The proposing organization may not use NED funds to finance the campaigns of candidates for public office.

(f) All proposals received by NED are reviewed by the staff in order to determine their congruence with NED's purposes as stated in the organization's Articles of Incorporation and the NED Act.

(g) Grant applications must contain the following information:

(1) A one-page summary of the proposed program;

(2) Organizational background and biographical information on staff and directors in the U.S. and abroad;

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