<?xml version="1.0" encoding="UTF-8"?>


<pai>
<agency toc="yes">
<name>NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES</name>
<abbrev>
NFAH
</abbrev>
    <previouslyPublished>
        <url>https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08410.pdf</url>
        <title>NEH Republication of Systems of Records</title>
        <date year="2017" month="4" day="26" />
    </previouslyPublished>


    <routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Statement of General Routine Uses
</b></p><p>The following general routine uses are incorporated by reference into each system of records set forth herein, unless specifically limited in the system description.
</p><p>1. A record may be disclosed as a routine use to a Member of Congress or his or her staff, when the Member of Congress or his or her staff requests the information on behalf of, and at the request of, the individual who is the subject of the record.
</p><p>2. A record may be disclosed as a routine use to designated officers and employees of other agencies and departments of the Federal government having an interest in the subject individual for employment purposes (including the hiring or retention of any employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefits by the requesting agency) to the extent that the information is relevant and necessary to the requesting agency's decision on the matter involved.
</p><p>3. In the event that a record in a system of records maintained by IMLS indicates, either by itself or in combination with other information in IMLS' possession, a violation or potential violation of the law (whether civil, criminal, or regulatory in nature, and whether arising by statute or by regulation, rule, or order issued pursuant thereto), that record may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, or foreign, charged with investigating or prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto. Such referral shall be deemed to authorize: (1) Any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) Such other interagency referrals as may be necessary to carry out the receiving agencies' assigned law enforcement duties.
</p><p>4. The names, Social Security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees may be disclosed as a routine use to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services, as follows:
</p><p>(a) For use in the Federal Parent Locator System (FPLS) and the Federal Tax Offset System for the purpose of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193);
</p><p>(b) For release to the Social Security Administration for the purpose of verifying Social Security numbers in connection with the operation of FPLS; and
</p><p>(c) For release to the U.S. Department of the Treasury (Treasury) for the purpose of payroll, savings bonds, and other deductions; administering the Earned Income Tax Credit Program (section 32, Internal Revenue Code of 1986); and verifying a claim with respect to employment on a tax return, as required by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193);
</p><p>5. A record may be disclosed as a routine use in the course of presenting evidence to a court, magistrate, or administrative tribunal of appropriate jurisdiction, and such disclosure may include disclosures to opposing counsel in the course of settlement negotiations.
</p><p>6. Information from any system of records may be used as a data source for management information, for the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies. Information also may be disclosed to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>7. A record may be disclosed as a routine use to a contractor, expert, or consultant of IMLS (or an office within IMLS) when the purpose of the release is to perform a survey, audit, or other review of IMLS' procedures and operations.
</p><p>8. A record from any system of records may be disclosed as a routine use to the National Archives and Records Administration as part of records management inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>9. A record may be disclosed to a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient's personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interest.
</p><p>10. A record may be disclosed to a contractor, grantee, or other recipient of Federal funds when the recipient has incurred indebtedness to the government through its receipt of government funds, and the release of the record is for the purpose of allowing the debtor to effect a collection against a third party.
</p><p>11. Information in a system of records may be disclosed as a routine use to the Treasury; other Federal agencies; "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)); or private collection contractors for the purpose of collecting a debt owed to the Federal Government as provided in the regulations promulgated by IMLS at 45 CFR 1183.
</p>
<p><b>NATIONAL ENDOWMENT FOR THE ARTS--Statement of General Routine Uses
</b></p><p>The following general routine uses are incorporated by this reference into each system of records set forth herein, unless specifically limited in the system description.
</p><p>1. A record may be disclosed as a routine use to a Member of Congress or his or her staff, when the Member of Congress or his or her staff requests the information on behalf of and at the request of the individual who is the subject of the record.
</p><p>2. A record may be disclosed as a routine use to designated officers and employees of other agencies and departments of the Federal government having an interest in the subject individual for employment purposes (including the hiring or retention of any employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency) to the extent that the information is relevant and necessary to the requesting agency's decision on the matter involved.
</p><p>3. In the event that a record in a system of records maintained by the Endowment indicates, either by itself or in combination with other information in the Endowment's possession, a violation or potential violation of the law (whether civil, criminal, or regulatory in nature, and whether arising by statute or by regulation, rule, or order issued pursuant thereto), that record may be referred, as a routine use, to the appropriate agency, whether Federal, state, local, or foreign, charged with the responsibility of investigating or prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto. Such referral shall be deemed to authorize: (1) Any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) Such other interagency referrals as may be necessary to carry out the receiving agencies' assigned law enforcement duties.
</p><p>4. The names, Social Security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees may be disclosed as a routine use to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services, as follows:
</p><p>(a) For use in the Federal Parent Locator System (FPLS) and the Federal Tax Offset System for the purpose of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193);
</p><p>(b) For release to the Social Security Administration for the purpose of verifying Social Security numbers in connection with the operation of the FPLS; and
</p><p>(c) For release to the U.S. Department of the Treasury (Treasury) for the purpose of payroll, savings bonds, and other deductions; administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986); and verifying a claim with respect to employment on a tax return, as required by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193).
</p><p>5. A record may be disclosed as a routine use in the course of presenting evidence to a court, magistrate, or administrative tribunal of appropriate jurisdiction, and such disclosure may include disclosures to opposing counsel in the course of settlement negotiations.
</p><p>6. Information from any system of records may be used as a data source for management information, for the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies. Information may also be disclosed to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>7. A record may be disclosed as a routine use to a contractor, expert, or consultant of the Endowment (or an office within the Endowment) when the purpose of the release is to perform a survey, audit, or other review of the Endowment's procedures and operations.
</p><p>8. A record from any system of records may be disclosed as a routine use to the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. 2904 and 2906.
</p><p>9. A record may be disclosed to a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient's personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.
</p><p>10. A record may be disclosed to a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.
</p><p>11. Information in a system of records may be disclosed as a routine use to the Treasury; other Federal agencies; "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)); or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in the regulations promulgated by the Endowment and published at 45 CFR part 1150.
</p></xhtmlContent></routineUses>
<section id="" toc="no">
<systemNumber>/IMLS</systemNumber>
<subsection type="systemName">Editorial Note: The National Commission on Libraries and Information Science was abolished by the Act of Dec. 26, 2007 (121 Stat. 2204) and functions transferred to the Institute of Museum and Library Services pursuant to instructions set forth in House Report 10-231 and Senate Report 110-107.</subsection></section>
<section id="imls1" toc="yes">
<systemNumber>/IMLS-1</systemNumber>
<subsection type="systemName">IMLS Reviewers--Application and Award Management System (AAMS)--Automated Systems.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Information Officer, Institute for Museum and Library Services, 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals whom IMLS may ask or has asked to serve as application reviewers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, telefax number, email address, date of birth, identification numbers assigned by IMLS, panel assignments, and other data concerning potential and actual reviewers, including area of expertise.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Museum and Library Services Act of 2010 (20 U.S.C. 9101 et seq.)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a central repository for information about experts who could be or have been called upon to review applications, and to enable staff to retrieve and manage reviewer information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Data in this system may be used for the identification of reviewers, as well as general administration of the grant review process. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained electronically in Microsoft Sequential databases and related automated systems.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, area of expertise, panel assignment, state and other data elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system is maintained in a locked computer room that can be accessed only by authorized employees of IMLS. Access to records in this system is further controlled by password, with different levels of modification rights assigned to individuals and offices at IMLS based upon their specific job functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained and updated on a continuing basis, as new information is received. IMLS staff periodically will request updated information from individuals who are included as reviewers in the AAMS. Records will be removed only with the concurrence of the appropriate discipline directors.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Directors of the Office of Museum Services and Library Services, Institute of Museum and Library Services, 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from IMLS employees involved in the administration of grants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="imls2" toc="yes">
<systemNumber>/IMLS-2</systemNumber>
<subsection type="systemName">IMLS Reviewers--Paper Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Institute of Museum and Library Services, 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals whom IMLS may ask or has asked to serve as application reviewers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system also contains information about potential and actual reviewers, including materials such as resumes, reviewer profile forms, and contracts concerning participation on panels.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Museum and Library Services Act of 2010 (20 U.S.C. 9101 et seq.)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To complement the AAMS (IMLS-1) with information well suited for maintenance in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be used for the general administration of the grant review and award process, as well as identification of reviewers and their activities in this capacity. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>File cabinets containing the records in this system are kept locked.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Discipline offices maintain paper files that grow as individuals, or discipline directors who are processing individuals for service as reviewers, submit resumes. Resumes and profile forms are removed from these files only when they are replaced by more recent information or when the information has been entered into the electronic system. These files may include panelist contracts, copies of which are forwarded to IMLS' Office of the Chief Financial Officer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Directors of the Offices of Museum Services and Library Services, Institute of Museum and Library Services, 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from IMLS employees involved in the administration of grants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="imls3" toc="yes">
<systemNumber>/IMLS-3</systemNumber>
<subsection type="systemName">Payroll/Personnel System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Institute of Museum and Library Services, 1800 M Street NW., 9th Floor, Washington, DC 20036, U.S. Department of Interior, Interior Business Center, Denver, Colorado.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of IMLS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Payroll and personnel information, such as time and attendance data, statements of earnings and leave, training data, wage and tax statements, and payroll and personnel transactions. This system includes data that also is maintained in IMLS' official personnel folders, which are managed in accordance with Office of Personnel Management (OPM) regulations. The OPM has given notice of its system of records covering official personnel folders in OPM/GOVT-1.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Museum and Library Services Act of 2010 (20 U.S.C. 9101 et seq.); Federal Personnel Manual and Treasury Fiscal Requirements Manual.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To document IMLS' personnel processes and to calculate and process payroll.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be transmitted to the U.S. Department of Interior, Interior Business Center, U.S. Department of Treasury, and employee-designated financial institutions to affect issuance of paychecks to employees and distributions of pay according to employee directions for authorized purposes. Data in this system also may be used to prepare payroll, meet government recordkeeping and reporting requirements, and retrieve and apply payroll and personnel information as required for agency needs. See also the list of General and Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic records in this system are maintained off-site by the Department of Interior, Interior Business Center (IBC). Paper records generated through the NBC are maintained in file cabinets by the Offices of the Chief Financial Officer and Human Resources after arriving at IMLS. Discipline offices also may use file cabinets to maintain paper records concerning performance reviews and other personnel actions in their divisions.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, Social Security number, or date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the electronic records in this system is controlled by password on the limited number of IMLS computers that can be used to draw information from the IBC. File cabinets containing the paper records in this system either are kept locked during non-business hours, or are located in rooms that are kept locked during non-business hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Human Resources Officer maintains paper records in this system in accordance with the General Services Administration's General Records Schedule 2. Division offices may maintain paper records concerning performance reviews and other personnel actions in their divisions for the duration of an individual's employment with IMLS.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Human Resources Officer, Institute of Museum and Library Services; 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from IMLS employees involved in the administration of personnel and payroll processes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="imls4" toc="yes">
<systemNumber>/IMLS-4</systemNumber>
<subsection type="systemName">Financial Management System--Delphi.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Enterprise Services Center, 6500 MacArthur Boulevard, Oklahoma City, OK 73169.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of IMLS, application reviewers, grantees, vendors and other Federal Government organizations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, telefax number, email address, payment information, including banking information. This system data is maintained in an Oracle Database.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Museum and Library Services Act of 2010 (20 U.S.C. 9101 et seq.)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a central repository of all financial transactions to enable IMLS to meet its statutory reporting requirements to the Office of Management and Budget, the U.S. Department of Treasury, and Congress.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be used for the general administration of the grant management process and the IMLS accounting process. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic records in this system are maintained off-site by the Department of Transportation's Enterprise Services Center. Associated paper records are also maintained at the Enterprise Services Center. Discipline offices also may use locking file cabinets to maintain paper records concerning financial transactions processed in their divisions.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name and/or purchase order number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Authorized IMLS staff use passwords via a remote secure VPN to gain access to the database. Rooms containing the records in this system are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this database are maintained and updated on a daily basis as financial transactions are processed. Discipline offices maintain paper files that grow as financial transactions are submitted to the Enterprise Services Center for processing. Records are disposed of in accordance with the General Services Administration's General Records Schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of the Chief Financial Officer; 1800 M Street NW., 9th Floor, Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR part 1182.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from IMLS employees involved in the administration of grants, travel, and vendor processes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>


<section id="nea1" toc="yes">
<systemNumber>/NEA-1</systemNumber>
<subsection type="systemName">Panelists Automated Panel Bank System (APBS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Information &amp; Technology Management Division, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals whom the Endowment may ask or has asked to serve on application review panels.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, Social Security number, and other data concerning potential and actual panelists, including information about areas of artistic expertise and prior panel service.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To provide a central repository for information about art experts who could be or have been called upon to serve on application review panels and make recommendations on grant awards.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system is used for identification of panelists and their activities in this capacity. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name or Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system is maintained in a locked computer room that can be accessed only by authorized employees of the Endowment or the National Endowment for the Humanities. Access to records in this system is further controlled by password, with different levels of modification rights assigned to individuals and offices at the Endowment based on their specific job functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained and updated on a continuing basis, as new information is received by the Office of Guidelines and Panel Operations. Endowment staff will periodically request updated information from individuals who are registered in the APBS. Endowment staff will also periodically purge the APBS of records pertaining to individuals who have been in the APBS for three to five years, but who have not served on a panel or had their records updated. Records will be removed only with the concurrence of the appropriate discipline directors.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Information Officer, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees and other individuals nominating potential panelists.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea2" toc="yes">
<systemNumber>/NEA-2</systemNumber>
<subsection type="systemName">Panelists, Paper Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals whom the Endowment may ask or has asked to serve on application review panels.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Additional information about potential and actual panelists. This system includes materials such as resumes and panelist profile forms.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To supplement the APBS with information well suited for maintenance in hard copy form. </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system is used for identification of panelists and their activities in this capacity. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in filing cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Rooms containing the records in this system are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Office of Guidelines and Panel Operations maintains paper files that are expanded as individuals, or discipline directors who are proposing individuals for service on panels, submit resumes. Resumes and profile forms are removed from these files only when they are replaced by more recent information or when individuals are purged from the APBS, as described above. Discipline offices may also maintain paper files about individuals who have served on panels for their divisions. The Endowment's Finance Office maintains copies of panelist contracts. Each Discipline office destroys its panelist contracts after the conclusion of the panel.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Guidelines and Panel Operations, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees and other individuals nominating potential panelists.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea3" toc="yes">
<systemNumber>/NEA-3</systemNumber>
<subsection type="systemName">National Council on the Arts (Council).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Council Operations, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present members of the National Council on the Arts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, Social Security number, and other information concerning past and present members of the Council, such as press clippings and correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To provide a central repository for information about past and present members of the Council. </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system is used for identification of members of the Council and their activities in this capacity. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained both electronically and in paper files kept in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Rooms containing the paper records in this system are kept locked during non-working hours. The electronic records in this system are maintained on the office hard drive which is password-protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on an indefinite basis for reference purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Council Operations, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved with the activities of the Council.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea4" toc="yes">
<systemNumber>/NEA-4</systemNumber>
<subsection type="systemName">Grants, Grants Management System (GMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Information and Technology Management Division, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have applied to the Endowment for financial assistance in the form of grants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, date of birth, Social Security number, identification numbers assigned by the Endowment, National Standard and agency-established codes, and grant action dates. Financial and banking information is not maintained in the GMS.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To provide a central repository for information about grant applicants, recipients, and awards.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be used for general administration of the grant review and award process, statistical research, and Congressional oversight and analysis of trends. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, application number, grant number, or constituent identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system is maintained in a locked computer room that can be accessed only by authorized employees of the Endowment and the National Endowment for the Humanities. Access to records in this system is further controlled by password, with different levels of modification rights assigned to individuals and offices at the Endowment based on their specific job functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on an indefinite basis for reference purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Grants and Contracts and/or Director of Information and Technology Management, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved in the administration of grants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea5" toc="yes">
<systemNumber>/NEA-5</systemNumber>
<subsection type="systemName">Grants, Paper Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have applied to the Endowment for financial assistance in the form of grants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Additional information concerning Endowment decisions to award grants, disburse funds, and close out grants. Materials include grant applications, samples of work, award notification letters and any approved amendments, payment requests, correspondence, and final reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>)
</p><p>Purpose(s):</p>
<p>To supplement the GMS with information well suited for maintenance in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be used for general administration of the grant review and award process, statistical research, and Congressional oversight and analysis of trends. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, application number, or grant number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Rooms containing records in this system are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Grants and Contracts Office maintains grant paper files, which are retired and destroyed after seven years. Discipline offices also maintain paper files about grants in their divisions. When the final descriptive and financial status reports are received and accepted, the discipline office files are retired first to the Federal Records Center, and then to the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Grants and Contracts and/or Director of Administrative Services, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved in the administration of grants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea6" toc="yes">
<systemNumber>/NEA-6</systemNumber>
<subsection type="systemName">Contracts and Cooperative Agreements.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have entered into administrative contracts or cooperative agreements with the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Relevant information concerning the contract or cooperative agreement, such as copies of the signed document and requests for payment/invoices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To maintain a record of contracts and cooperative agreements entered into by the Endowment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be used for General Accounting Office audits and Congressional oversight. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The Grants and Contracts Office maintains records in this system in an electronic database, word processing files, and file cabinets. The Finance office also maintains paper files in this system in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Database files are retrieved by name or by contract or cooperative agreement number. Word processing files are retrieved by contract or cooperative agreement number. Paper files maintained by the Grants and Contracts Office are retrieved by name. Paper files maintained by the Finance Office are retrieved by name, Social Security number, or vendor number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Database and word processing files are protected by a password available to Grants and Contracts Office staff. Rooms containing paper files are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Database and word processing files are maintained on an indefinite basis for reference purposes. Paper files maintained by the Grants and Contracts Office are shipped to the National Archives and Records Administration after the contract or cooperative agreement is physically completed, and they are destroyed six years and three months later. Paper files maintained by the Finance Office are also maintained for six years and three months, and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Grants and Contracts and/or Director of Finance/CFO, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved in contract development, administration, and execution.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea7" toc="yes">
<systemNumber>/NEA-7</systemNumber>
<subsection type="systemName">Payroll/Personnel System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Payroll and personnel information, such as time and attendance data, statements of earnings and leave, training data, wage and tax statements, and payroll and personnel transactions. This system includes data that is also maintained in the Endowment's official personnel folders, which are managed in accordance with Office of Personnel Management (OPM) regulations. The OPM has given notice of its system of records covering official personnel folders in OPM/GOVT-1.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>); Federal Personnel Manual and Treasury Fiscal Requirements Manual.
</p><p>Purpose(s):</p>
<p>To document the Endowment's personnel processes and to calculate and process payroll.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be transmitted to the U.S. Departments of Agriculture and Treasury, and employee-designated financial institutions to effect issuance of paychecks to employees and distributions of pay according to employee directions for authorized purposes. Data in this system may also be used to prepare payroll, meet government recordkeeping and reporting requirements, and retrieve and apply payroll and personnel information as required for agency needs. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic records in this system are maintained off-site by the Department of Agriculture's National Finance Center (NFC) but can be accessed by individuals in the Office of Human Resources and by timekeepers for each of the Endowment's offices. Paper records generated through the NFC are maintained in file cabinets by the Office of Human Resources. The Office of Human Resources also maintains paper records of security folders, training folders, and health records in file cabinets. Office timekeepers maintain paper time and attendance records for three years in file cabinets in their offices. Discipline offices also may use file cabinets to maintain paper records concerning performance reviews and other personnel actions.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, Social Security number, or date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the electronic records in this system is controlled by password on the limited number of Endowment computers that can be used to draw information from the NFC. File cabinets containing the paper records in this system are kept locked.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Office of Human Resources maintains paper records in this system in accordance with the General Services Administration's General Records Schedule 2. Division offices may maintain paper records concerning performance reviews and other personnel actions in their divisions for the duration of an individual's employment with the Endowment or another indefinite period.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Human Resources, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved in the administration of personnel and payroll processes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea8" toc="yes">
<systemNumber>/NEA-8</systemNumber>
<subsection type="systemName">Government Purchasing Card Holders.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Endowment employees who have been issued credit cards to make official purchases.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, office, account number, and spending limits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To maintain a record of Endowment employees authorized to use government purchasing cards.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The Grants and Contracts Office maintains records in this system in an electronic database and in paper records in file cabinets. The Finance Office maintains additional paper records in this system in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic records in this system are retrieved by name, office, account number, or spending limit. Paper records in this system are retrieved by name or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records in this system is controlled by a password, which is available only to the Coordinator of Contracts and Cooperative Agreements. Rooms containing paper records in this system are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on an indefinite basis for reference purposes. Records concerning individuals not issued credit cards are destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Grants and Contracts and/or Director of Finance/CFO, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system, as well as from Endowment employees involved in administration and oversight of government purchasing cards.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea9" toc="yes">
<systemNumber>/NEA-9</systemNumber>
<subsection type="systemName">DELPHI (the Department of Transportation's Oracle Federal Financial System that cross-services the Endowment).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Information and Technology Management Division, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grant recipients, Endowment employees, vendors, and other individuals involved in financial transactions with the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, Social Security number, object class, category code, discipline code, office code, sub-object class code, bank information, Common Accounting Number, Council meeting number, document number, schedule number, tax/employee identification number, vendor number, funding fiscal year, transaction processing dates, and fund type.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To promote effective fund control and financial management; to provide a central repository for information about the Endowment's financial transactions; and to enable the Budget and Finance offices to share a common system for entering allocation, commitment, and obligation information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the list of General Routine Uses contained in the Preliminary Statement. In addition, this system interfaces with the Grants Management System (GMS) (see NEA-4) and extracts data from a magnetic tape containing Payroll/Personnel information generated by the Department of Agriculture's National Finance Center (NFC).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in computer processible storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, Social Security number, tax/employee identification number, or vendor number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system is maintained in a locked computer room that can be accessed only by authorized employees of the Endowment and the National Endowment for the Humanities. Access to records in this system is further controlled by password, available to the Budget, Finance, and Information and Technology Management Offices. Different levels of modification rights are assigned to these three offices and Endowment employees therein, based on their specific job functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on an indefinite basis for reference purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Finance/CFO, National Endowment for the Arts, 1100 Pennsylvania Avenue,
NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system and from Endowment employees who are involved with the Endowment's fund control and financial management.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea10" toc="yes">
<systemNumber>/NEA-10</systemNumber>
<subsection type="systemName">Finance, Subsidiary Tracking Systems.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Finance Office, 1100 Pennsylvania Avenue, Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grant recipients, Endowment employees, vendors, and other individuals involved in financial transactions with the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain payment information for processing all payments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To supplement DELPHI with electronic records that cannot be maintained within that system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in electronic databases.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in the Secure Payment System (SPS) are retrieved by name, Social Security number, taxpayer identification number, or supplier number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to records in this system is controlled by password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on an indefinite basis for reference purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Finance/CFO, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system and from Endowment employees who are involved with the management of these subsidiary tracking systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea11" toc="yes">
<systemNumber>/NEA-11</systemNumber>
<subsection type="systemName">Finance, Paper Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Finance Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grant recipients, Endowment employees, vendors, and other individuals involved in financial transactions with the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) The Accounts Receivables Files contain data concerning the type and amount of debts owed to the Endowment, as well as debt collection efforts. These files contain, as appropriate, the name and address of the debtor; taxpayer's identification number; basis of the debt; date a debt became delinquent; amounts accrued for interest, penalties, administrative costs, and payment on account; date the debt was referred to the Treasury for offset; and basis for termination of debt. These files also include copies of bills for collection; invoices; correspondence between the Endowment and the debtor relating to the debt; and documents required to refer accounts to the Treasury, other Federal agencies, or private collection contractor for debt collection.
</p><p>(2) The Donations to Gift Fund Files contain copies of checks and letters submitted by donors.
</p><p>(3) The 1099 Files contain data concerning expenses over $600 per calendar year that are reported to the Internal Revenue Service.
</p><p>(4) The Travel Credit Cards Files contain applications for credit cards and credit score reports.
</p><p>(5) The Travel Authorizations Files contain employee data for travel duty.
</p><p>(6) The Travel Vouchers Files contain employee expense data from travel duty.
</p><p>(7) The Employee Reimbursement Files contain data concerning local taxi and similar reimbursements to Endowment employees for authorized Endowment expenses.
</p><p>(8) The Star Awards Files contain data concerning awards for Endowment employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>). In addition, the maintenance of debt collection records in the Accounts Receivables Files is authorized by the Debt Collection Act of 1982, Public Law 97-365; the Cash Management Improvement Act Amendments of 1992; and the Debt Collection Improvement Act of 1996 (Pub. L. 104-134).
</p><p>Purpose(s):</p>
<p>To supplement DELPHI with information well suited for maintenance in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system  are retrieved by name, Social Security number, taxpayer identification number, or contract  number of the employee, contractor, or grantee.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Rooms containing the records in this system are kept locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention and disposal of debt collection records in the Accounts Receivables Files are covered by the General Services Administration's General Records Schedule 6. Other records in this system are retained on site or in storage for six years and three months, and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Finance/CFO, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system,  Endowment employees, creditor agencies, collection agencies, credit bureaus, Federal employing agencies, and other Federal agencies furnishing identifying information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea12" toc="yes">
<systemNumber>/NEA-12</systemNumber>
<subsection type="systemName">Equal Employment Opportunity Complaint Case Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Civil Rights Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Endowment employees and applicants for employment at the Endowment who have filed formal complaints of discrimination against the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Relevant information  concerning the complaint of discrimination, such as correspondence and documentation concerning the filing of the complaint and stages leading to its disposition.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.).</i>
</p><p>Purpose(s):</p>
<p>To enable the Endowment to investigate and adjudicate internal complaints of discrimination.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be disclosed as necessary to enforce or implement the statute, rule, regulation, or order under which the charge of discrimination has been filed. This authorization includes disclosures of data to a Federal, state, or local agency charged with the responsibility of investigating, enforcing, or implementing such a statute, rule, regulation, or order. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained on computer diskettes and in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system  are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Diskettes are kept in a locked file. Paper files are kept in a locked file cabinet.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Complaint files are destroyed four years after resolution of the case.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Civil Rights,  National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system and from Endowment employees who are involved with the claim or proceeding.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nfah" toc="yes">
<systemNumber>/NEA-13</systemNumber>
<subsection type="systemName">Civil Rights Complaint Case Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Civil Rights Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have filed formal complaints of discrimination against the Endowment. However, this system does not include complaints made by either Endowment employees or applicants for employment at the Endowment, which are covered as described above.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Relevant information concerning the complaint of discrimination, including correspondence and documentation concerning the filing of the complaint and stages leading to its disposition.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose(s):</p>
<p>To enable the Endowment to investigate and adjudicate external complaints of discrimination.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be disclosed as necessary to enforce or implement the statute, rule, regulation, or order under which the charge of discrimination has been filed. This authorization includes disclosures of data to a Federal, state, or local agency charged with the responsibility of investigating, enforcing, or implementing such a statute, rule, regulation, or order. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained on computer diskettes and in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name or a control number assigned to each external complaint of discrimination.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Diskettes are kept in a locked file. Paper files are kept in a locked file cabinet.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Complaint files are destroyed four years after resolution of the case.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Civil Rights, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system and from Endowment employees who are involved with the claim or proceeding.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea14" toc="yes">
<systemNumber>/NEA-14</systemNumber>
<subsection type="systemName">Office of the Inspector General Investigative Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Inspector General, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals and entities who are or have been the subject of investigations by the Office of the Inspector General, or who provide information in connection with such investigations. These individuals include, but are not limited to, former and present Endowment employees; former and present Endowment grant recipients; former and present contractors and subcontractors, and their employees; former and present consultants; and other individuals and entities that had, have, or are seeking to obtain business relationships with the Endowment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence relevant to the investigation; working papers of the staff, investigative notes, internal staff memoranda, and other documents and records relating to the investigation; information about criminal, civil, or administrative referrals; information provided by subjects of the investigation, individuals with whom the subjects are associated, complainants, or witnesses; information provided by Federal, State, or local governmental investigative or law enforcement agencies, or other organizations; copies of subpoenas issued during the investigation; and opening reports, progress reports, and closing reports, with recommendations for corrective action.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Inspector General Act of 1978, as amended (5 U.S.C. app. 3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain files of investigative and reporting activities carried out by the Office of the Inspector General.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system may be disclosed to any source, either private or governmental, to the extent necessary to secure from such source information relevant to, and sought in furtherance of, a legitimate investigation or audit. Data in this system may also be disclosed to the Office of the Inspector General's or the Endowment's legal representative, including the U.S. Department of Justice and other outside legal counsel, when the Office of the Inspector General or the Endowment is a party in actual or anticipated litigation or has an interest in such litigation. See also the list of General Routine Uses contained in the Preliminary Statement.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name, report number, or chronological ordering.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Work papers for allegation and other investigative reviews conducted by or for the Office of the Inspector General are kept in a locked file cabinet. All records in this system are kept in rooms that are locked during non-working hours and are accessible to the Inspector General only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained on-site until eligible for destruction. Workpapers used in evaluating grantees' audit reports and financial statements are destroyed on a three-year cycle. Workpapers and correspondence prepared and/or obtained during the clearance process of audit recommendations are destroyed on a six-year cycle from the date that the recommendations are cleared. All other records in this system are destroyed on a seven-year cycle.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Inspector General, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this system is not subject to exemption, it is subject to access. A determination as to exemption shall be made at the time a request for access is received. Access requests must be sent to the Office of the General Counsel in accordance with the procedures published at 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this system is not subject to exemption, it is subject to access and contest. A determination as to exemption shall be made at the time a request for access is received. Access requests must be sent to the Office of the General Counsel in accordance with the procedures published at 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals who are covered by the system, as well as from individuals with whom the subjects are associated; Federal, State, or local governmental investigative or law enforcement agencies; and other organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempted from 5 U.S.C. 552a except subsections (b); (c)(1) and (2); (e)(4)(A) through (F); (e)(6), (7), (9), (10), and (11); and (i) under 552a(j)(2) to the extent that the system pertains to enforcement of criminal laws. This system is exempted from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (1); and (f) under 5 U.S.C. 552a(k)(2) to the extent that the system consists of investigatory material compiled for law enforcement purposes, other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2). These exemptions are contained in 45 CFR Part 1159.
</p></xhtmlContent></subsection></section>
<section id="nea15" toc="yes">
<systemNumber>/NEA-15</systemNumber>
<subsection type="systemName">Senate Nomination Files--National Council on the Arts
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of General Counsel, 1100 Pennsylvania Avenue, NW., Suite 518,  Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of the National Council on the Arts (NCA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Confidential Financial Disclosure Reports (SF-450), and clearance letters to the U.S. Senate for nominees to the NCA.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>)  5 CFR 2634.901 <i>et seq.</i>
</p><p>Purpose(s):</p>
<p>To maintain a record of the members of the NCA's financial disclosure reports upon nomination.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system is used by the Designated Agency Ethics Officer only.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in this system are maintained in paper format in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system is maintained in a locked file cabinet within an office that is locked during non-business hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained for a period of six years after the member rotates off of the NCA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Designated Agency Ethics Officer, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington,  DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea16" toc="yes">
<systemNumber>/NEA-16</systemNumber>
<subsection type="systemName">Jazz Masters Recipients.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Arts Education/Music/Opera/Presenting Division, 1100 Pennsylvania Avenue, NW., Suite 703, Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals nominated to receive a Jazz Masters award from the Endowment and recipients of the award.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, biographical information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose:</p>
<p>To create a central repository for information about individuals who have been nominated to receive a Jazz Masters award and to create a record of Jazz Masters recipients.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system is used to compile nominee packages for review by a panel in selecting the recipients of Jazz Masters award.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>All records in this system are maintained in paper format in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name of nominee or by name of recipient.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are maintained in a locked file cabinet located within an office that is kept locked during non-business hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records pertaining to nominees are maintained for five years. After five years have passed, nominee records are shredded. Records pertaining to recipients are maintained permanently at the Endowment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Coordinator, Arts Education/Music/Opera/Presenting Division, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea17" toc="yes">
<systemNumber>/NEA-17</systemNumber>
<subsection type="systemName">National Heritage Fellowship Recipients.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Folk &amp; Traditional/Musical Theater/Theater Division, 1100 Pennsylvania Avenue, NW., Suite 720, Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals nominated to receive a National Heritage Fellowship from the Endowment and recipients of the fellowship.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, biographical information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose:</p>
<p>To create a central repository for information about individuals who have been nominated to receive a National Heritage Fellowship and to create a record of National Heritage Fellowship recipients.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system is used to compile nominee packages for review by a panel in selecting the recipients of National Heritage Fellowships.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>All records in this system are maintained in paper format in locked file cabinets and in electronic form in a database accessible only to division staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name of nominee or by name of recipient.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Papers in this system are maintained in a locked file cabinet located within an office that is kept locked during non-business hours. Electronic records in this system are password protected and accessible only to division staff.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records pertaining to nominees are maintained for five years. After five years have passed, nominee records are shredded. Records pertaining to recipients are maintained permanently at the Endowment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Coordinator, Folk &amp; Traditional/Musical Theater/Theater, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea18" toc="yes">
<systemNumber>/NEA-18</systemNumber>
<subsection type="systemName">Literature Fellowship Recipients.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Literature Division, 1100 Pennsylvania Avenue, NW., Suite 722, Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual applicants for a Literature Fellowship from the Endowment and recipients of the fellowship.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, biographical information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i> et seq.</i>).
</p><p>Purpose:</p>
<p>To create a central repository for information about individuals who have been nominated to receive a Literature Fellowship and to create a record of Literature Fellowship recipients.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system is used to compile nominee packages for review by a panel in selecting the recipients of Literature Fellowships.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>All records in this system are maintained in paper format in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name of nominee or by name of recipient.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are maintained in a locked file cabinet.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records pertaining to unsuccessful applicants are shredded. Records pertaining to recipients are maintained permanently at the Endowment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Coordinator; Literature Division, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="nea19" toc="yes">
<systemNumber>/NEA-19</systemNumber>
<subsection type="systemName">Opera Honor Award Recipients.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Arts Education/Music/Opera/Presenting Division, 1100 Pennsylvania Avenue, NW., Suite 703, Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals nominated to receive an Opera Honor Award from the Endowment and recipients of the award.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, biographical information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951 <i>et seq.</i>).
</p><p>Purpose:</p>
<p>To create a central repository for information about individuals who have been nominated to receive an Opera Honor Award and to create a record of Opera Honor Award recipients.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system is used to compile nominee packages for review by a panel in selecting the recipients of the Opera Honor Awards.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>All records in this system are maintained in paper format in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrieved by name of nominee or by name of recipient.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are maintained in a locked file cabinet located within an office that is kept locked during non-business hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records pertaining to nominees are maintained for five years. After five years have passed, nominee records are shredded. Records pertaining to recipients are maintained permanently at the Endowment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Coordinator; Arts Education/Music/Opera/Presenting Division, National Endowment for the Arts, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See 45 CFR Part 1159.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data in this system is obtained from individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
    
    
    <section id="neh1" toc="yes">
        <systemNumber>/NEH-1</systemNumber>
        <subsection type="systemName"> Grants and Cooperative Agreements: Electronic Grant Management System ("eGMS")</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> Unclassified.</p> </xhtmlContent>
            </subsection>
   
        <subsection type="systemLocation">
            <xhtmlContent>
                <p> Authorized NEH staff may access NEH’s electronic grant management system via an online web portal.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> (1) Individuals who have applied to NEH for financial assistance; (2) in the case of organizations who have applied to NEH for financial assistance, the organization’s designated grant administrator and/or project director, as well as other individuals affiliated with the applicant; (3) individuals that have applied to, or received financial assistance, from NEH grantees, including fellows and subgrantees; (4) individuals who have attended NEH-funded seminars; (5) individuals who have applied to or have served as application review panelists; and (6) individuals who serve or have served as members of the National Council on the Humanities.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Names of individuals, Social Security numbers (only for those grant applicants and panelists receiving payment from NEH), eGMS personal identification number, U.S. citizenship status, race and ethnicity (no longer actively collected), email address, telephone and fax number, home and work address, current institutional affiliations, categorical information on disciplines and expertise, and NEH subscriptions.</p>
                <p> In addition to the above records, eGMS contains grant applications, including résumés, samples of work and proposed budgets, award notification letters, notices of agency action, grantee performance reports, panelist and staff evaluations and write-ups, funding decisions, written communications between NEH and grantees and other background materials received from grantees.</p>
                <p> eGMS also contains information pertaining to NEH peer review panels, including the identity of panelists, date of panel meetings, applications considered, notes and evaluations, as well as travel reimbursement, evaluation and other instructions that NEH sends to the panels to facilitate their review.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p> Routine Use(s)</p>
                <p> NEH program and grant administration staff use eGMS to evaluate applications to NEH for federal financial assistance, manage active grants and cooperative agreement awards, and communicate with grantees.  NEH’s financial management system draws upon contact and other information within eGMS to process the disbursement of grant funds to grantees as well as the payment of honoraria and travel expense to panelists.</p>
                <p> NEH application review panelists have limited access to eGMS.  They may only access eGMS to review grant applications assigned to the panels on which they have been asked to serve, as well as review panel instructions uploaded to eGMS.  NEH application review panelists use their limited access to review grant applications, as well as prepare and submit grant evaluations.</p>
                <p> NEH publicly discloses on its website information pertaining to funded projects, including the grantee and/or project director’s name and institutional affiliation, dollar amount of the grant, application identification number, title and summary of the project, field of study under which the project falls, and NEH program and division responsible for administering the grant.  In addition, NEH often discloses the identity of successful grant applicants via press release.</p>
                <p> NEH also uses eGMS for statistical research, congressional oversight and trend analysis.</p>
                <p> In addition to the above uses and disclosures, as well as the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside NEH as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</p>
                <p>1.  To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a. NEH;</p>
                <p>b.   Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c.   Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d. The U.S. Government or any agency thereof.</p>
                <p>2.  To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>3.  To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>4.  To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>5.  To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.</p>
                <p>6.  To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>7.  To any source from which additional information is requested by NEH relevant to an NEH determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.</p>
                <p>8.  To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.</p>
                <p>9.  To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>10.  To a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient’s personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.</p>
                <p>11.  To a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.</p>
                <p>12.  To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>13.  To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>14.  To the Treasury, other Federal agencies, "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f)), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)), or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in regulations promulgated by NEH and published at 45 CFR 1150.</p>
                <p>15.  To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>16.  To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>17.  To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH established eGMS to provide a central repository for information about its application review panelists, grant applicants, award recipients and awards.</p>
                <p> Disclosure to Consumer Reporting Agencies</p>
                <p> Pursuant to 5 U.S.C. 552a(b)(12), NEH may disclose information from its financial management system to a consumer reporting agency as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3)).</p>
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage:</p>
                <p> NEH maintains records in this system in an electronic database and a digital file repository.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> NEH staff may retrieve records in this system by name, email address, eGMS personal identification number or by the identification number of any application associated with the individual in his or her capacity as an applicant, project director/grant administrator and/or peer reviewer.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within this system to authorized personnel whose official duties require such access.  For example, NEH limits access of its program staff to those functions necessary to processing and evaluation of applications.  NEH limits the access of its grant management staff to those functions necessary to managing active grants and disbursing funds.</p>
                <p> NEH protects records in this system through user identification, passwords, database permissions, and software controls, and it encrypts all Social Security numbers stored within eGMS.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH’s Comprehensive Records Control Schedule provides disposition authority with respect to various records stored within eGMS.</p>
                <p> NEH has authority to destroy applications for projects not selected for funding, or withdrawn from NEH, when five years old.</p>
                <p> With respect to projects funded by NEH, NEH has authority to retain the official case file associated with such projects for twenty-five years. After the retention period, NEH may destroy case file records or select unique case files for permanent retention at the National Archives and Records Administration. Official case files consist of the application, award notification letter, notices of agency action, grantee performance reports, reviewer and panelist comments and summaries, staff comments and recommendations, written communications between NEH and grantees and other background materials received from the grantee.</p>
                <p> With respect to reference files on peer review panels and panelists, such as meeting minutes and evaluative material for unfunded applications, lists of panelists and applications to be reviewed, and correspondence between NEH and panelists, NEH has authority to destroy such records when three years old.</p>
                <p> NEH otherwise maintains records in eGMS on an indefinite basis for reference purposes.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Director of the Office of Information Resource Management, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system, as well as from NEH program officers, application review panelists, grant management personnel and accounting personnel.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p> Per 5 U.S.C. 552a(k)(5) and 45 CFR 1115.7, NEH has exempted from the Privacy Act’s access and amendment provision (5 U.S.C. 552a(d)) any material that would disclose the identity of references for grant applications, including the identity of application review panelists selected to review a particular application.</p>
            </xhtmlContent></subsection></section>


    <section id="neh2" toc="yes">
        <systemNumber>/NEH-2</systemNumber>
        <subsection type="systemName"> Financial Management System</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> Unclassified.</p>
           </xhtmlContent> </subsection>
    
        <subsection type="systemLocation">
            <xhtmlContent>
                <p> Authorized NEH staff may access NEH’s financial management system electronically via an online web portal.  The system is hosted by Oracle at its Managed Cloud Services’ (MCS) facility in Austin, Texas.  NEH stores certain supporting documents in hard-copy files within its Accounting Office, Office of Management and Budget and Administrative Services Office.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> Individual grant recipients (e.g., fellows and independent scholars), individuals who have served as application review panelists, NEH employees and contractors, individual vendors and sole proprietors, individuals who donate funds to NEH, and other individuals involved in financial transactions with NEH.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Names, home and/or work addresses, employee supplier numbers, Social Security numbers, bank name and banking account and routing numbers for electronic fund transfer payments, and information regarding transactions between NEH and the covered individual, including dates, amounts paid, purpose of the transaction, and payee type (e.g., grantee, vendor, application review panelist).</p>
                <p> In addition to the above records, NEH’s financial management system may contain requisitions, payment request forms, invoices, receipts, credit card statements, travel vouchers, expense reimbursement request forms, contracts, automated clearing house ("ACH") enrollment forms, wire transfer instructions, voided checks, fellowship acceptance forms, tax forms, demand letters, quotes, Internal Revenue Service confirmations of an individual payee’s tax identification number, payment restriction notices, email and other communications between or about payments to or from covered individuals, and other documents as needed to substantiate the transaction.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p>Routine Use(s)</p>
                <p> NEH’s financial management system supports agency-wide financial management by providing a standardized, automated capability for performing administrative control of funds, general accounting, billing and collecting, payments, management reporting, and regulatory reporting.</p>
                <p> NEH specifically uses the financial management system to manage and disburse awards to grant recipients, pay honoraria to and reimburse travel expenses incurred by NEH application review panelists, reimburse travel and other work-related expenses incurred by NEH employees, pay vendors and other contractors who provide goods to or perform services on behalf of the agency, accept cash donations, and generate financial reports.</p>
                <p> NEH staff from its Office of Accounting, Office of Planning and Budget, and Office of Information Resource Management have access to the financial management system for the reasons described above.  Authorized members of NEH’s Administrative Services Office may also access the financial management system to process requisition requests for payment to vendors and employees.  In addition, staff from Oracle Corporation may access the financial management system, upon the request of NEH’s Director of Accounting, to provide technical assistance as needed.</p>
                <p> With respect to payments made to individuals covered by the system, the financial management system interacts with and automatically draws contact information (name, address, and Social Security number) from NEH’s electronic grants management system and requisition system.  (See NEH-1 and NEH-3.)</p>
                <p> NEH also uses its financial management system for statistical research, congressional oversight and trend analysis</p>
                <p> In addition to the above uses and disclosures, as well as the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside NEH as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</p>
                <p>1.  To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a. NEH;</p>
                <p>b.   Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c.   Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d. The U.S. Government or any agency thereof.</p>
                <p>2.   To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>3.   To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>4.   To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>5.   To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.</p>
                <p>6.   To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>7.   To any source from which additional information is requested by NEH relevant to an NEH determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.</p>
                <p>8.   To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.</p>
                <p>9.   To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>10.   To a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient’s personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.</p>
                <p>11.   To a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.</p>
                <p>12.   To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>13.   To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>14.   To the Treasury, other Federal agencies, "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f)), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)), or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in the regulations promulgated by NEH and published at 45 CFR 1150.</p>
                <p>15.   To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>16.   To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>17.   To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH established its financial management system to facilitate core accounting functions, including: (i) supporting and documenting expenses incurred in the performance of official agency duties, (ii) tendering payment to grantees, vendors and contractors; (iii) accounting for goods and services rendered; (iv) accounting for funds paid and received; and (v) processing travel authorizations and claims.</p>
                <p>Disclosure to Consumer Reporting Agencies</p>
                <p> Pursuant to 5 U.S.C. 552a(b)(12), NEH may disclose information from its financial management system to a consumer reporting agency as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3)).</p>
                 </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage</p>
                <p> NEH maintains records in this system in an electronic database.  NEH maintains supporting documentation in paper format in file cabinets and stores retired paper records at Washington Federal Records Center.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> NEH staff may retrieve electronic records by name, Social Security number, bank account number or an electronic identification number generated automatically by the financial management system and associated with each individual for which the system maintains a record.  NEH may retrieve some supporting hard-copy documents by name.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within its financial management system to authorized personnel whose official duties require such access.  NEH protects electronic records through user identification, passwords, database permissions, and software controls.  The financial management system’s underlying software application—Oracle Federal Financials—is compliant with the Federal Risk and Authorization Management Program.  NEH staff employs Https protocol when accessing this application.</p>
                <p> NEH maintains paper records in locked file cabinets or locked file rooms accessible to authorized personnel only.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH maintains records in this system in accordance with the General Records Schedule (GRS), including GRS 1.1, which covers financial management records.  Retention periods may vary according to the subject matter and NEH needs.  For example, GRS 1.1 authorizes NEH to destroy certain financial transaction records related to its procurement of goods and services six years after final payment or cancellation, but also authorizes longer retention if NEH requires such records for a business use.  By contrast, NEH may destroy contracts, requisition requests, and purchase orders immediately once they no longer serve a business purpose.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Accounting Director, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
                <p> </p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system, as well as from NEH employees involved in NEH’s fund control and financial management functions.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent></subsection></section>


    <section id="neh3" toc="yes">
        <systemNumber>/NEH-3</systemNumber>
        <subsection type="systemName"> Requisition System</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> Unclassified.</p> </xhtmlContent>
            </subsection>
   
        <subsection type="systemLocation">
            <xhtmlContent>
                <p> Authorized NEH staff may access NEH’s Requisition System electronically via an online web portal.  NEH stores supporting documents in hard-copy files within its Administrative Services Office.  These supporting documents are also part of NEH’s financial management system.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> Individuals requiring or requesting payment from NEH for goods and services rendered to the agency, including NEH employees and contractors, application review panelists, individual vendors and sole proprietors.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Names, home and/or work addresses, Social Security numbers, email addresses, home and/or work phone numbers, and information regarding transactions between NEH and the covered individual, including date of the payment request, amount requested, purpose of the transaction, NEH division or office responsible for the request, and description of the request.</p>
                <p> In addition to the above records, NEH’s requisition system may contain payment request forms, invoices, receipts, credit card statements, travel vouchers, expense reimbursement request forms, contracts, email and other communications between or about payments to or from covered individuals, and other documents as needed to substantiate the requisition.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p>Routine Use(s)</p>
                <p> NEH uses its requisition system to process requests from or on behalf of employees, individual contractors, individual vendors, and application review panelists for payment from the agency, including for travel and training expenses, honoraria, and goods and services provided to NEH, but not including employee payroll.  NEH’s financial management system draws upon contact and other information within the requisition system to process payment to covered individuals.</p>
                <p> In addition to the above uses and disclosures, as well as the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside NEH as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</p>
                <p>1.   To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a. NEH;</p>
                <p>b.   Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c.   Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d. The U.S. Government or any agency thereof.</p>
                <p>2.   To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>3.   To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>4.   To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>5.   To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.</p>
                <p>6.   To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>7.   To any source from which additional information is requested by NEH relevant to an NEH determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.</p>
                <p>8.   To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.</p>
                <p>9.   To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>10.   To a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient’s personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.</p>
                <p>11.   To a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.</p>
                <p>12.   To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>13.   To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>14.   To the Treasury, other Federal agencies, "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)), or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in the regulations promulgated by NEH and published at 45 CFR 1150.</p>
                <p>15.   To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>16.   To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>17.   To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH established its requisition system to process and track requests for payment to personnel and third-parties providing goods and services to the agency.</p>
                <p> Disclosure to Consumer Reporting Agencies</p>
                <p> Pursuant to 5 U.S.C. 552a(b)(12), NEH may disclose information from its requisition system to a consumer reporting agency as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3)).</p>
                  </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage</p>
                <p> NEH maintains records in this system in an electronic database.  NEH maintains supporting documentation in paper format in file cabinets and stores retired paper records at Washington Federal Records Center.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> NEH staff may retrieve electronic and some supporting hard-copy documents by name.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within its electronic financial management system to authorized personnel whose official duties require such access.  Certain authorized staff members from NEH’s Administrative Services Office and Office of Information Resource Management have access to the entire requisition system, while staff members from other divisions and offices have limited system access for the purpose of submitting requests and viewing and tracking requests submitted by their assigned offices.  NEH protects electronic records through user identification, passwords, database permissions, and software controls.</p>
                <p>
                    NEH maintains paper records in locked file cabinets or locked file rooms accessible to authorized personnel only.

                </p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH maintains records in this system in accordance with General Records Schedule (GRS) 1.1, which covers financial management records.  Among other things, GRS 1.1 authorizes NEH to destroy requisitions immediately once they no longer serve a business purpose.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Director, Office of Administrative Services, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
                <p> Director of the Office of Information Resource Management, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system, as well as from NEH employees involved in agency operations related to the requisition.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
           </xhtmlContent></subsection></section>


    <section id="neh4" toc="yes">
        <systemNumber>/NEH-4</systemNumber>
        <subsection type="systemName">
            Employee Payroll and Leave and Attendance Records.
        </subsection>
        <subsection type="systemLocation">
            <xhtmlContent>
                <p> National Endowment for the Humanities, Department of Human Resources, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
                <p> Pursuant to an Interagency Agreement between NEH and the National Finance Center ("NFC"), a component organization of the United States Department of Agriculture’s Office of the Chief Financial Officer, NFC provides NEH with the following services:  payroll processing, payroll account processing, salary payment processing, receipt and processing of time and attendance data, and other functions necessary to perform these services.  NFC provides these services using the Department of Agriculture’s payroll systems, which are covered under Department of Agriculture System of Record Notice OP-1.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> Current and former NEH employees.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Employee name, address, phone number, Social Security number, and organizational code, pay rate and grade, salary, retirement, and location data, length of service, pay, leave, time and attendance, allowances, and cost distribution records, deductions for Medicare/FICA, savings bonds, Federal Employee Group Life Insurance (FEGLI), Long Term Care Insurance, union dues, Federal, State, and city tax withholdings, allotments, designated charities, health benefits, Thrift Savings Plan contributions, Flexible Spending Account, awards, shift schedules, pay differentials, IRS tax lien data, commercial garnishments, child support and/or alimony wage assignments; information on debts owed to the government as a result of overpayment, refunds owed, or a debt referred for collection on a transferred employee.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p> Routine Use(s)</p>
                <p>   NEH may disclose all or a portion of the records contained within this system as follows:</p>
                <p>1. To provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. Sec. 7111 and 7114, including for the purpose of providing information as to the identity of NEH employees contributing union dues each pay period and the amount of dues withheld from each contributor.</p>
                <p>2. To the other federal agencies who provide payroll personnel processing services under a cross-servicing agreement for purposes relating to the conversion of NEH employee payroll and personnel processing services, the issuance of paychecks to employees and distribution of wages, and the distribution of allotments and deductions to financial and other institutions, including through electronic funds transfer.</p>
                <p>3. To provide wage and separation information to another federal agency as required by law for payroll purposes.</p>
                <p>4. To the Office of Personnel Management, the Merit System Protection Board, Federal Labor Relations Authority, Federal Thrift Retirement Investment Board or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties.</p>
                <p>5. To the Department of Labor in connection with a claim filed by an employee for compensation due to a job-connected injury or illness.</p>
                <p>6. To the Department of Treasury to issue checks.</p>
                <p>7. To appropriate Federal and State agencies to provide required reports including data on unemployment insurance.</p>
                <p>8. To Federal Employee’s Group Life Insurance or Health Benefits carriers in connection with survivor annuity or health benefits claims or records reconciliations.</p>
                <p>9. To the Internal Revenue Service and State and local tax authorities for which an employee is or was subject to tax regardless of whether tax is or was withheld in accordance with Treasury Fiscal Requirements, as required.</p>
                <p>10. To any source from which additional information is requested by NEH relevant to an NEH determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.</p>
                <p>11. To the Social Security Administration and the Department of the Treasury to disclose pay data on an annual basis.</p>
                <p>12. To a federal agency or in response to a congressional inquiry when additional or statistical information is requested relevant to the NEH Transportation Fringe Benefit Program.</p>
                <p>13. To the Department of Health and Human Services for the purpose of providing information on new hires and quarterly wages as required under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996.</p>
                <p>14. To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a) NEH;</p>
                <p>b) Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c) Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d) The U.S. Government or any agency thereof.</p>
                <p>15. To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>16. To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>17. To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>18. To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.</p>
                <p>19. To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>20. To any source from which additional information is requested by NEH relevant to an NEH determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.</p>
                <p>21. To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.</p>
                <p>22. To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>23. To a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient’s personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.</p>
                <p>24. To a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.</p>
                <p>25. To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>26. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>27. To the Department of the Treasury, other Federal agencies, "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)), or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in the regulations promulgated by NEH and published at 45 CFR 1150.</p>
                <p>28. To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>29. To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>30. To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH established this system of records to ensure proper payment of salary and benefits to NEH personnel, and to track time worked, leave, or other absences for reporting and compliance purposes.</p>
                <p> Disclosure to Consumer Reporting Agencies</p>
                <p> Pursuant to 5 U.S.C. 552a(b)(12), NEH may disclose information from this system to a consumer reporting agency as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3)).</p>
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage</p>
                <p> NEH maintains paper records in filing cabinets.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> NEH may retrieve records in this system by an individual’s name.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within this system to authorized personnel whose official duties require such access:  namely, Office of Human Resources personnel and senior staff.  NEH keeps paper records in this system in locked file cabinets.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH maintains records in this system in accordance with General Records Schedule (GRS) 2, which covers Payrolling and Pay Administration Records.  For example, GRS 2, Item 1(b) requires that NEH transfer an employee’s payroll records to the National Personnel Records Center, which NEH does 90 days after the employee separates from NEH, and requires that the National Personnel Records Center destroy these records when 56 years old.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Director of the Office of Human Resources, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system, as well as from NEH employees involved in the administration of personnel and payroll processes.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
           </xhtmlContent></subsection></section>


    <section id="neh5" toc="yes">
        <systemNumber>/NEH-5</systemNumber>
        <subsection type="systemName"> Office of the Inspector General Investigative Files</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> Unclassified.</p> </xhtmlContent>
            </subsection>
           <subsection type="systemLocation">
            <xhtmlContent>
                <p> Office of the Inspector General (OIG), 400 Seventh Street, SW., Washington, D.C. 20506.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> Individuals who are or have been the subject of investigations by the OIG.  These individuals include (1) former and present NEH employees, (2) former and present individual grant recipients (e.g., fellows and public scholars), (3) grant administrators, project directors and employees of organizational grant recipients; (4) former and present contractors and vendors, and their employees, (5) former and present application review panelists; and (6) other individuals that had, have, or are seeking to obtain business or other relationships with NEH.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Investigative reports and related materials pertaining to allegations of fraud, waste, abuse, mismanagement, danger to public health or safety, violations of law, misconduct and irregularities by individuals covered by the system.  These records include:  (1) correspondence relevant to the investigation; (2) working papers of OIG staff; (3) OIG investigative notes, internal memoranda, and other documents and records relating to the investigation; (4) subpoenas issued by the Inspector General and documents submitted to OIG in response to subpoenas; (5) criminal, civil, or administrative referrals; (6) affidavits, statements, documentation and other information provided by subjects of the investigation, individuals with whom the subjects are associated, complainants, or witnesses; (7) information provided by Federal, State, or local governmental investigative or law enforcement agencies, or other organizations; and (8) opening reports, progress reports, and closing reports from OIG, with recommendations for corrective action.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> Inspector General Act of 1978, 5 U.S.C. app. 1, sections 1-13; National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p> Routine Use(s)</p>
                <p> OIG staff uses records in this system to conduct and report investigations of fraud, waste, abuse of authority, research misconduct (fabrication, falsification, plagiarism), mismanagement and misconduct in or pertaining to NEH programs and activities, as well as the programs and activities of those receiving financial assistance from NEH, and by those who do business with NEH.</p>
                <p> OIG may disclose data in this system to any source, either private or governmental, to the extent necessary to secure from such source information relevant to, and sought in furtherance of, a legitimate OIG investigation.  OIG may also disclose data in this system to NEH’s legal representatives, including the United States Department of Justice and other outside legal counsel, when OIG or NEH is a party in actual or anticipated litigation or has an interest in such litigation.</p>
                <p> In addition to the above uses and disclosures, as well as the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside NEH as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</p>
                <p>1.   To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, other federal agencies or outside legal counsel conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a. NEH;</p>
                <p>b.   Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c.   Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d. The U.S. Government or any agency thereof.</p>
                <p>2.   To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>3.   To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>4.   To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>5.   To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.</p>
                <p>6.   To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>7.     To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>8.   To a contractor, grantee, or other recipient of Federal funds when the record to be released reflects serious inadequacies with the recipient’s personnel, and disclosure of the record is for the purpose of permitting the recipient to effect corrective action in the government's best interests.</p>
                <p>9.   To a contractor, grantee, or other recipient of Federal funds when the recipient has incurred an indebtedness to the government through its receipt of government funds, and release of the record is for the purpose of allowing the debtor to effect a collection against a third party.</p>
                <p>10.   To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>11.   To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>12.   To the Treasury, other Federal agencies, "consumer reporting agencies" (as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f)), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)), or private collection contractors for the purpose of collecting a debt owed to the Federal government as provided in the regulations promulgated by NEH and published at 45 CFR 1150.</p>
                <p>13.   To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>14.   To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>15.   To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.</p>
                <p>16.   To complainants and victims to the extent necessary to provide such persons with information and explanations concerning the progress or results of the investigation arising from the matters of which they complained or of which they were a victim.</p>
                <p>17.   To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH created this system to maintain files of investigative activities carried out by OIG.</p>
                <p> Disclosure to Consumer Reporting Agencies</p>
                <p> Pursuant to 5 U.S.C. 552a(b)(12), NEH may disclose information from its financial management system to a consumer reporting agency as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3))</p>
                   </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage</p>
                <p> NEH maintains paper records in filing cabinets and retired records at the Washington Federal Records Center.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> OIG retrieves records within this system by the name of the individual formerly or currently under investigation.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within this system to authorized personnel whose official duties require such access:  namely, OIG staff.  NEH maintains records in locked file cabinets or locked file rooms accessible to authorized personnel only.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH maintains records in this system according to records disposition schedules and requirements of the National Archives and Records Administration (NARA).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Inspector General, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> Many of the records contained within this system are exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) or (k)(2).  NEH shall make a determination as to an exemption at the time it receives a request.  Requests for access must be sent to the Office of the General Counsel in accordance with the procedures set forth in 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> Many of the records contained within this system are exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) or (k)(2).  NEH shall make a determination as to an exemption at the time it receives a request.  Requests for correction must be sent to the Office of the General Counsel in accordance with the procedures set forth in 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system, individuals or entities with whom such individuals are associated, complainants, witnesses, Federal, State, or local governmental investigative or law enforcement agencies, NEH staff, and from OIG employees authorized to conduct internal investigations.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>          This system of records, to the extent that it consists of information compiled for law enforcement purposes, may be exempt from the Privacy Act’s access and correction provisions pursuant to 5 U.S.C. 552a(j)(2) and/or (k)(2).  In addition, this system of records, to the extent that it consists of investigatory material compiled for purposes of determining suitability, eligibility, or qualifications for federal financial assistance from NEH, or employment with NEH, the release of which would reveal the identity of references for such assistance or employment, is exempt from the Privacy Act’s access and correction provisions pursuant to 5 U.S.C. 552a(k)(5) and 45 CFR 1115.7.  Records in this system that originated in another system of records shall be governed by the exemptions claimed for this system as well as any additional exemptions claimed for the other system.</p>
           </xhtmlContent></subsection></section>


    <section id="neh6" toc="yes">
        <systemNumber>/NEH-6</systemNumber>
        <subsection type="systemName"> Humanities Magazine Contact Database</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> Unclassified.</p></xhtmlContent>
            </subsection>
            <subsection type="systemLocation">
            <xhtmlContent>
                <p> Authorized NEH staff may access NEH’s Humanities Magazine Contact Database via Microsoft Access.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> Individuals who receive complimentary copies of Humanities Magazine, the Magazine of the National Endowment for the Humanities, including members of the National Council on the Humanities, application review panelists, donors, staff of state humanities councils, museum directors and college administrators, members of Congress and Congressional staff, members of the media, and officers and employees of other federal agencies.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Names, home and/or work addresses, email addresses, home and/or work phone numbers and fax numbers, a database identification number unique to the individual, institutional affiliation, and category of subscriber (e.g., National Council member, member of Congress, etc.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> National Foundation on the Arts and the Humanities Act of 1965, as amended (20 U.S.C. 951, et seq.).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p> Routine Use(s)</p>
                <p> NEH uses this system to store address and other contact information of those who receive complimentary copies of Humanities Magazine so it may periodically mail copies of Humanities Magazine to those individuals.</p>
                <p> In addition to the above uses and disclosures, as well as the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside NEH as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</p>
                <p>1.   To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies conducting litigation in or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in the litigation:</p>
                <p>a. NEH;</p>
                <p>b.   Any employee or former employee of NEH in his or her official capacity;</p>
                <p>c.   Any employee or former employee of NEH in his or her individual capacity when DOJ or NEH has agreed to represent the employee;</p>
                <p>d. The U.S. Government or any agency thereof.</p>
                <p>2.   To a Member of Congress or his or her staff, or Committee of Congress, when the Member of Congress or his or her staff, or Committee, requests the information on behalf of and at the request of the individual who is the subject of the record.</p>
                <p>3.   To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  This referral shall be deemed to authorize:  (1) any and all appropriate and necessary uses of such records in a court of law or before an administrative board or hearing; and (2) such other interagency referrals as may be necessary to carry out the receiving agencies’ assigned law enforcement duties.</p>
                <p>4.   To a court, magistrate, or administrative tribunal of appropriate jurisdiction in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.</p>
                <p>5.   To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders</p>
                <p>6.   To contactors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for NEH, when necessary to accomplish an agency function related to this system of records.  Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to NEH personnel.</p>
                <p>7.   To another federal agency, contractor, expert, or consultant of NEH when for the purpose of performing a survey, audit, or other review of NEH's procedures and operations.</p>
                <p>8.   To the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. Sec. 2904 and 2906.</p>
                <p>9.   To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(b) to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA) and to facilitate OGIS’s offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.</p>
                <p>10.   To appropriate agencies, entities, and persons when (1) NEH suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) NEH has determined that as a result of the suspected or confirmed compromise there is a risk of harm to individuals, NEH, (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with NEH’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>11.   To another Federal agency or Federal entity, when NEH determines that information from such system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                <p>12.   To the news media and the public, with the approval of the Senior Agency Official for Privacy, in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of NEH or is necessary to demonstrate the accountability of NEH’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> NEH established its Humanities Magazine Contact Database to create a central database of contact information for those who receive complimentary copies of Humanities Magazine.</p>
                <p>Disclosure to Consumer Reporting Agencies</p>
                <p> None.</p>
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p> Storage:</p>
                <p> NEH maintains records in this system in an electronic database accessible via Microsoft Access.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p> NEH staff may retrieve electronic records by name or database identification number.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p> NEH limits access to records within this system of records to personnel whose official duties require such access.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> NEH maintains records in this system indefinitely, but may remove records when NEH determines to stop providing a particular individual with a complimentary copy of Humanities Magazine or a particular individual asks to no longer receive a copy of Humanities Magazine.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Director, Office of Administrative Services, National Endowment for the Humanities, 400 Seventh Street, SW., Washington, D.C. 20506.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> See 45 CFR 1115.3.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.4.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> See 45 CFR 1115.5.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> NEH obtains records in this system from individuals covered by the system.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p> None.</p>
            </xhtmlContent></subsection></section>



    <regulations id="reg1" toc="yes">
<regulationsTitle number="45">
<heading>Public Welfare</heading>
<regulationsChapter number="XI">
<heading> National Foundation on the Arts and the Humanities </heading>
<regulationsPart number="1115">
<heading> PRIVACY ACT REGULATIONS </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>1115.1 Purpose and scope. 
</p>
<p>1115.2 Definitions. 
</p>
<p>1115.3 Procedures for notification of existence of records pertaining to individuals. 
</p>
<p>1115.4 Procedures for requests for access to or disclosure of records pertaining to an individual. 
</p>
<p>1115.5 Correction of records. 
</p>
<p>1115.6 Disclosure of records to agencies or persons other than the individual to whom the record pertains. 
</p>
<p>1115.7 Exemptions.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a(f). 
</p>
<p><b>Source:</b> 40 FR 49286, Oct. 21, 1975, unless otherwise noted. 
</p>
<p><b>&#167; 1115.1
 Purpose and scope. 
</b></p>
<p>This part sets forth the National Foundation on the Arts and the Humanities' procedures under the Privacy Act of 1974 as required by 5 U.S.C. 552a(f). Internal guidance for Foundation staff and other regulations implementing the Privacy Act are contained or will be contained in Foundation circulars. 
</p>
<p><b>&#167; 1115.2
 Definitions. 
</b></p>
<p>For purposes of this part: 
</p>
<p>(a) <i>Foundation</i> means the National Foundation on the Arts and the Humanities. 
</p>
<p>(b) <i>Act</i> means the Privacy Act of 1974 (Pub. L. 93-579). 
</p>
<p>(c) <i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence. 
</p>
<p>(d) <i>Maintain,</i> used with reference to a record means to collect, to use, to disseminate, to have control over and responsibility for such record. 
</p>
<p>(e) <i>Record</i> means any item, collection or grouping of information about an individual that is maintained by the Foundation and that is retrievable by his or her name or an identifying particular, such as a number, symbol, fingerprint, or photograph of the individual. Information maintained by the Foundation includes, but is not limited to, education, financial transactions, medical history, employment history and criminal history. 
</p>
<p>(f) <i>Routine use</i> means, with respect to the disclosure of a record, the use of such a record for a purpose which is compatible with the purpose for which it was collected. The routine uses of record systems maintained by the Foundation were established pursuant to notice in the <i>Federal Register</i>. 
</p>
<p>(g) <i>System of records</i> means a group of any records under the control of the Foundation from which information about an individual is retrievable by his or her name or by some identifying particular. 
</p>
<p><b>&#167; 1115.3
 Procedures for notification of existence of records pertaining to individuals. 
</b></p>
<p>(a) The systems of records, as defined in the Privacy Act of 1974, maintained by the National Foundation on the Arts and the Humanities are listed annually in the <i>Federal Register</i> as required by that Act. Any person who wishes to know whether a system of records contains a record pertaining to him may appear in person at the National Endowment for the Arts, Room 1338, 2401 E Street NW., Washington, DC 20506 or the National Endowment for the Humanities, Room 1000, 806 15th Street NW., Washington, DC 20506, on work days between the hours of 9:00 a.m. and 5:30 p.m. or by writing to the Office of the General Counsel, National Endowment for the Arts or National Endowment for the Humanities, Washington, DC 20506. It is recommended that requests be made in writing, since in many cases it will take several days to ascertain whether a record exists. 
</p>
<p>(b) Requests for notification of the existence of a record should specifically identify the system of records involved and should state, if the requestor is other than the individual to whom the record pertains, the relationship of the requestor to that individual. (Note that requests will not be honored by the Foundation pursuant to the Privacy Act unless made (1) by the individual to whom the record pertains, (2) by such individual's parent if the individual is a minor, or (3) by such individual's legal guardian if the individual has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction). 
</p>
<p>(c) The Foundation will attempt to respond to a request as to whether a record exists within 10 working days from the time it receives the request or from the time any required identification is established, whichever is later. 
</p>
<p><b>&#167; 1115.4
 Procedures for requests for access to or disclosure of records pertaining to an individual. 
</b></p>
<p>(a) Any person may request review of records pertaining to him by appearing at the National Endowment for the Arts, Room 1338, 2401 E Street, NW., Washington, DC 20506, or the National Endowment for the Humanities, Room 1000, 806 15th Street, NW., Washington, DC 20506 on work days between the hours of 9:00 a.m. and 5:30 p.m. or by writing to the Office of the General Counsel, National Endowment for the Arts, or National Endowment for the Humanities, Washington, DC 20506. (See paragraphs (b) and (c) of this section for identification requirements.) The request should specifically identify the systems or records involved. The Foundation will strive either to make the record available within 15 working days of the request or to inform the requestor of the need for additional identification or the tendering of fees (as specified in paragraph (d) of this section) within 15 working days. 
</p>
<p>(b) In the case of persons making requests by appearing at the Foundation, the amount of personal identification required will of necessity vary with the sensitivity of the record involved. Except as indicated below, reasonable identification such as employment identification cards, drivers licenses, and credit cards will normally be accepted as sufficient evidence of identity in the absence of any indications to the contrary. Records in the following systems of records, however, are considered to contain relatively sensitive and/or detailed personal information--

</p>
<p>GRANT APPLICATIONS--NEA. 
</p>
<p>GRANT APPLICATIONS--NEH. 
</p>
<p>GRANTS TO INDIVIDUALS--NEA. 
</p>
<p>GRANTS TO INDIVIDUALS AND INSTITUTIONS--NEH. 
</p>
<p>EQUAL EMPLOYMENT OPPORTUNITY CASE FILE--NFAH NEA/NEH. 
</p>
<p>EMPLOYEE PAYROLL--NFAH. 
</p>
<p>PERSONNEL RECORDS--NFAH. 

</p>
<p>Accordingly, with respect to requests for records in these systems the Foundation reserves the rights to require sufficient identification to identify positively the individual making the request. This might involve independent verification by the Foundation as by phone calls to determine whether an individual has made a request, personal identification by Foundation employees who know the individual, or such other means as are considered appropriate under the circumstances.
</p>
<p>(c) A written request will be honored only if it contains the following certification before a duly commissioned notary public of any state or territory (or similar official if the request is made outside the United States): 

</p>
<p>I,____________________(Printed name), do hereby certify that I am the individual about whom the record requested in this letter pertains or that I am within the class of persons authorized to act on his behalf in accordance with 5 U.S.C. 552a(h).
</p>
<p>___________________________
</p><p>Signature
</p>
<p>___________________________
</p><p>Date
</p>
<p>In the County of____________________ State of____________________. On this ____day of 
________ 
</p><p>
___________________________
</p><p>
(Name of individual) 
</p><p>who is personally known to me, did appear before me and sign the above certificate.
</p>
<p>____________________________
  </p><p>Signature
</p><p>  ____________________________
  </p><p>Date(s) My Commission expires
</p>
<p>However, where the record requested is contained in any of the systems of records listed in paragraph (b) of this section, the Foundation reserves the right to require additional identification and/or to independently verify to its satisfaction, the identity of the requestor. 
</p>
<p>(d) Charges for copies of records will be at the rate of $0.10 per photography of each page. Where records are not susceptible to photo-copying, e.g., punch cards, magnetic tapes or oversize materials, the amount charged will be actual cost as determined on a case-by-case basis. Only one copy of each record requested will be supplied. No charge will be made unless the charge as computed above would exceed $3.00 for each request or related series of requests. If a fee in excess of $25.00 would be required, the requestor shall be notified and the fee must be tendered before the records will be copied. 
</p>
<p><b>&#167; 1115.5
 Correction of records. 
</b></p>
<p>(a) Any individual is entitled to request amendments of records pertaining to him pursuant to 5 U.S.C. 552a(d)(2). Such a request shall be made in writing and addressed to the Office of the General Counsel, National Endowment for the Arts or National Endowment for the Humanities, Washington, DC 20506. 
</p>
<p>(b) The request should specify the record and systems of records involved, and should specify the exact correction desired and state that the request is made pursuant to the Privacy Act. An edited copy of the record showing the desired correction is desirable. Within 10 working days of the receipt of a properly addressed request (or within 10 working days of the time the General Counsel, National Endowment for the Arts or the General Counsel, National Endowment for the Humanities becomes aware that a particular communication not addressed as prescribed above is a request for correction of a record under the Privacy Act), the General Counsel's office shall acknowledge receipt of the request. 
</p>
<p>(c) The General Counsel's office upon receipt of such a request shall promptly confer with the office within the Foundation responsible for the record. In the event it is felt that correction is not warranted in whole or in part, the matter shall be brought to the attention of the Deputy Chairman of the Endowment involved. If, after review by the Deputy Chairman of the involved Endowment and discussion with the request or, if deemed helpful, it is determined that correction as requested is not warranted, a letter shall be sent by the Deputy Chairman's office to the requestor denying his request and/or explaining what correction might be made if agreeable to the requestor. This letter shall set forth the reasons for the refusal to honor the request for correction. It shall also inform him of his right to appeal this decision and include a description of the appeals procedure set forth in paragraph (d) of this section. 
</p>
<p>(d) An appeal may be taken from an adverse determination under paragraph (c) of this section to the Assistant Chairman/Management, National Endowment for the Arts or the Chairman, National Endowment for the Humanities. Such appeal must be made in writing and should clearly indicate that it is an appeal. The basis for the appeal should be included, and it should be mailed to the same address as listed in paragraph (a) of this section. A hearing at the Foundation may be requested. Such hearing will be informal, and shall be before the Assistant Chairman/Management, National Endowment for the Arts, the Chairman, National Endowment for the Humanities, or an appointed designee. If no hearing is requested, the request for appeal should include the basis for the appeal. Where no hearing is requested the Assistant Chairman or Chairman before whom the appeal is taken shall render his decision within thirty working days after receipt of the written appeal at the Foundation, unless the Assistant Chairman or Chairman before whom the appeal is taken, for good cause shown, extends the 30-day period and the appellant is advised in writing of such extension. If a hearing is requested, the Foundation will attempt to contact the appellant within five working days and arrange a suitable time for the hearing. In such cases the decision of the Assistant Chairman or Chairman shall be made within 30 working days after the hearing unless the time is extended and the appellant is advised in writing of such extension. 
</p>
<p>(e) The final decision of the Assistant Chairman or Chairman in an appeal shall be in writing, and, if adverse to the appellant, set forth the reasons for the refusal to amend the record and advise him of his right to appeal the decision under 5 U.S.C. 552a(g)(1)(A). The individual shall also be notified that he has the right to file with the Foundation a concise statement setting forth the reasons for this disagreement with the refusal of the Foundation to amend his record. 
</p>
<p><b>&#167; 1115.6
 Disclosure of records to agencies or persons other than the individual to whom the record pertains. 
</b></p>
<p>Records subject to the Privacy Act that are requested by any person other than the individual to whom they pertain will not be made available except under the following circumstances: 
</p>
<p>(a) Records required to be made available by the Freedom of Information Act will be released in response to a request formulated in accordance with Foundation regulations found at 45 CFR part 1100. 
</p>
<p>(b) Records not required by the Freedom of Information Act to be released may be released, at the discretion of the Foundation, if the written consent of the individual to whom they pertain has been obtained or if such release would be authorized under 5 U.S.C. 552a(b)(1) or (3) through (11). 
</p>
<p><b>&#167; 1115.7
 Exemptions. 
</b></p>
<p>(a) <i>Fellowships and grants.</i> Pursuant to 5 U.S.C. 552a(k)(5), the Foundation hereby exempts from the application of section 552a(d) any materials which would disclose the identity of references for fellowship or grant applicants contained in any of the Foundation's systems of records. 
</p>
<p>(b) <i>Applicants for employment.</i> Pursuant to 5 U.S.C. 552a(k)(5), the Foundation hereby exempts from the application of 5 U.S.C. 552a(d) any materials which would disclose the identity of references of applicants for employment at the Foundation contained in the system of records entitled "Official Personnel Folders".
</p></xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>

<regulations id="reg2" toc="yes">
<regulationsTitle number="45">
<heading>Public Welfare
</heading>
<regulationsChapter number="XI">
<heading> Institute of Museum and Library Services </heading>
<regulationsPart number="1182">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent>
<p>Sec.
</p>
<p>1182.1 Purpose and scope of these regulations.
</p>
<p>1182.2 Definitions.
</p>
<p>1182.3 Inquiries about the Institute's systems of records or implementation of the Privacy Act.
</p>
<p>1182.4 Procedures for notifying the public of the Institute's systems of records.
</p>
<p>1182.5 Procedures for notifying government entities of the Institute's proposed changes to its systems of records.
</p>
<p>1182.6 Limits that exist as to the contents of the Institute's systems of records.
</p>
<p>1182.7 Institute procedures for collecting information from individuals for its records.
</p>
<p>1182.8 Procedures for acquiring access to Institute records pertaining to an individual.
</p>
<p>1182.9 Identification required when requesting access to Institute records pertaining to an individual.
</p>
<p>1182.10 Procedures for amending or correcting an individual's Institute record.
</p>
<p>1182.11 Procedures for appealing a refusal to amend or correct an Institute record.
</p>
<p>1182.12 Fees charged to locate, review, or copy records.
</p>
<p>1182.13 Policies and procedures for Institute disclosure of its records.
</p>
<p>1182.14 Procedures for maintaining accounts of disclosures made by the Institute from its systems of records.
</p>
<p>1182.15 Institute responsibility for maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems.
</p>
<p>1182.16 Procedures to ensure that Institute employees involved with its systems of records are familiar with the requirements and of the Privacy Act.
</p>
<p>1182.17 Institute systems of records that are covered by exemptions in the Privacy Act.
</p>
<p>1182.18 Penalties for obtaining an Institute record under false pretenses.
</p>
<p>1182.19 Restrictions that exist regarding the release of mailing lists.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a(f).
</p>
<p><b>Source:</b> 71 FR 6375, Feb. 8, 2006, unless otherwise noted.
</p>
<p><b>&#167; 1182.1
 Purpose and scope of these regulations.
</b></p>
<p>The regulations in this part set forth the Institute's procedures under the Privacy Act, as required by 5 U.S.C. 552a(f), with respect to systems of records maintained by the Institute. These regulations establish procedures by which an individual may exercise the rights granted by the Privacy Act to determine whether an Institute system contains a record pertaining to him or her; to gain access to such records; and to request correction or amendment of such records. These regulations also set identification requirements, prescribe fees to be charged for copying records, and establish exemptions from certain requirements of the Act for certain Institute systems or components thereof:
</p>
<p><b>&#167; 1182.2
 Definitions.
</b></p>
<p>The definitions of the Privacy Act apply to this part. In addition, as used in this part:
</p>
<p>(a) <i>Agency</i> means any executive department, military department, government corporation, or other establishment in the executive branch of the Federal government, including the Executive Office of the President or any independent regulatory agency.
</p>
<p>(b) <i>Business day</i> means a calendar day, excluding Saturdays, Sundays, and legal public holidays.
</p>
<p>(c) <i>Director</i> means the Director of the Institute, or his or her designee;
</p>
<p>(d) <i>General Counsel</i> means the General Counsel of the Institute, or his or her designee.
</p>
<p>(e) <i>Individual</i> means any citizen of the United States or an alien lawfully admitted for permanent residence;
</p>
<p>(f) <i>Institute</i> means the Institute of Museum and Library Services;
</p>
<p>(g) <i>Institute system</i> means a system of records maintained by the Institute;
</p>
<p>(h) <i>Maintain</i> means to collect, use, store, or disseminate records, as well as any combination of these recordkeeping functions. The term also includes exercise of control over and, therefore, responsibility and accountability for, systems of records;
</p>
<p>(i) <i>Privacy Act</i> or <i>Act</i> means the Privacy Act of 1974, as amended (5 U.S.C. 552a);
</p>
<p>(j) <i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by an agency and contains the individual's name or another identifying particular, such as a number or symbol assigned to the individual, or his or her fingerprint, voice print, or photograph. The term includes, but is not limited to, information regarding an individual's education, financial transactions, medical history, and criminal or employment history;
</p>
<p>(k) <i>Routine use</i> means, with respect to the disclosure of a record, the use of a record for a purpose that is compatible with the purpose for which it was collected;
</p>
<p>(l) <i>Subject individual</i> means the individual to whom a record pertains. Uses of the terms "I", "you", "me", and other references to the reader of the regulations in this part are meant to apply to subject individuals as defined in this paragraph (l); and
</p>
<p>(m) <i>System of records</i> means a group of records under the control of any agency from which information is retrieved by use of the name of the individual or by some number, symbol, or other identifying particular assigned to the individual.
</p>
<p><b>&#167; 1182.3
 Inquiries about the Institute's systems of records or implementation of the Privacy Act.
</b></p>
<p>Inquiries about the Institute's systems of records or implementation of the Privacy Act should be sent to the following address: Institute of Museum and Library Services; Office of the General Counsel; 1800 M Street, NW., 9th Floor, Washington, DC 20036.
</p>
<p><b>&#167; 1182.4
 Procedures for notifying the public of the Institute's systems of records.
</b></p>
<p>(a) From time to time, the Institute shall review its systems of records in the <i>Federal Register,</i> and publish, if necessary, any amendments to those systems of records. Such publication shall not be made for those systems of records maintained by other agencies while in the temporary custody of the Institute.
</p>
<p>(b) At least 30 days prior to publication of information under paragraph (a) of this section, the Institute shall publish in the <i>Federal Register</i> a notice of its intention to establish any new routine uses of any of its systems of records, thereby providing the public an opportunity to comment on such uses. This notice published by the Institute shall contain the following:
</p>
<p>(1) The name of the system of records for which the routine use is to be established;
</p>
<p>(2) The authority for the system;
</p>
<p>(3) The purpose for which the record is to be maintained;
</p>
<p>(4) The proposed routine use(s);
</p>
<p>(5) The purpose of the routine use(s); and
</p>
<p>(6) The categories of recipients of such use.
</p>
<p>(c) Any request for additions to the routine uses of Institute systems should be sent to the Office of the General Counsel (see &#167; 1182.3).
</p>
<p>(d) Any individual who wishes to know whether an Institute system contains a record pertaining to him or her should write to the Office of the General Counsel (see &#167; 1182.3). Such individuals may also call the Office of the General Counsel at (202) 653-4787 on business days, between the hours of 9 a.m. and 5 p.m., to schedule an appointment to make an inquiry in person. Inquiries should be presented in writing and should specifically identify the Institute systems involved. The Institute will attempt to respond to an inquiry regarding whether a record exists within 10 business days of receiving the inquiry.
</p>
<p><b>&#167; 1182.5
 Procedures for notifying government entities of the Institute's proposed changes to its systems of records.
</b></p>
<p>When the Institute proposes to establish or significantly change any of its systems of records, it shall provide adequate advance notice of such proposal to the Committee on Government Reform of the House of Representatives, the Committee on Governmental Affairs of the Senate, and the Office of Management and Budget (OMB), in order to permit an evaluation of the probable or potential effect of such proposal on the privacy or other rights of individuals. This report will be submitted in accordance with guidelines provided by the OMB.
</p>
<p><b>&#167; 1182.6
 Limits that exist as to the contents of the Institute's systems of records.
</b></p>
<p>(a) The Institute shall maintain only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required by statute or by executive order of the President. In addition, the Institute shall maintain all records that are used in making determinations about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to that individual in the making of any determination about him or her. However, the Institute shall not be required to update retired records.
</p>
<p>(b) The Institute shall not maintain any record about any individual with respect to or describing how such individual exercises rights guaranteed by the First Amendment of the Constitution of the United States, unless expressly authorized by statute or by the subject individual, or unless pertinent to and within the scope of an authorized law enforcement activity.
</p>
<p><b>&#167; 1182.7
 Institute procedures for collecting information from individuals for its records.
</b></p>
<p>The Institute shall collect information, to the greatest extent practicable, directly from you when the information may result in adverse determinations about your rights, benefits, or privileges under Federal programs. In addition, the Institute shall inform you of the following, either on the form it uses to collect the information or on a separate form that you can retain, when it asks you to supply information:
</p>
<p>(a) The statutory or executive order authority that authorizes the solicitation of the information;
</p>
<p>(b) Whether disclosure of such information is mandatory or voluntary;
</p>
<p>(c) The principal purpose(s) for which the information is intended to be used;
</p>
<p>(d) The routine uses that may be made of the information, as published pursuant to &#167; 1182.4; and
</p>
<p>(e) Any effects on you of not providing all or any part of the required or requested information.
</p>
<p><b>&#167; 1182.8
 Procedures for acquiring access to Institute records pertaining to an individual.
</b></p>
<p>The following procedures apply to records that are contained in an Institute system:
</p>
<p>(a) You may request review of records pertaining to you by writing to the Office of the General Counsel (see &#167; 1182.3). You also may call the Office of the General Counsel at (202) 653-4787 on business days, between the hours of 9 a.m. and 5 p.m., to schedule an appointment to make such a request in person. A request for records should be presented in writing and should identify specifically the Institute systems involved.
</p>
<p>(b) Access to the record, or to any other information pertaining to you that is contained in the system shall be provided if the identification requirements of &#167; 1182.9 are satisfied and the record is determined otherwise to be releasable under the Privacy Act and these regulations. The Institute shall provide you an opportunity to have a copy made of any such record about you. Only one copy of each requested record will be supplied, based on the fee schedule in &#167; 1182.12.
</p>
<p>(c) The Institute will comply promptly with requests made in person at scheduled appointments, if the requirements of this section are met and the records sought are immediately available. The institute will acknowledge, within 10 business days, mailed requests or personal requests for documents that are not immediately available, and the information requested will be provided promptly thereafter.
</p>
<p>(d) If you make your request in person at a scheduled appointment, you may, upon your request, be accompanied by a person of your choice to review your record. The Institute may require that you furnish a written statement authorizing discussion of your record in the accompanying person's presence. A record may be disclosed to a representative chosen by you upon your proper written consent.
</p>
<p>(e) Medical or psychological records pertaining to you shall be disclosed to you unless, in the judgment of the Institute, access to such records might have an adverse effect upon you. When such a determination has been made, the Institute may refuse to disclose such information directly to you. The Institute will, however, disclose this information to a licensed physician designated by you in writing.
</p>
<p><b>&#167; 1182.9
 Identification required when requesting access to Institute records pertaining to an individual.
</b></p>
<p>The Institute shall require reasonable identification of all individuals who request access to records in an Institute system to ensure that they are disclosed to the proper person.
</p>
<p>(a) The amount of personal identification required will of necessity vary with the sensitivity of the record involved. In general, if you request disclosure in person, you shall be required to show an identification card, such as a driver's license, containing your photograph and sample signature. However, with regard to records in Institute systems that contain particularly sensitive and/or detailed personal information, the Institute reserves the right to require additional means of identification as are appropriate under the circumstances. These means include, but are not limited to, requiring you to sign a statement under oath as to your identity, acknowledging that you are aware of the penalties for improper disclosure under the provisions of the Privacy Act.
</p>
<p>(b) If you request disclosure by mail, the Institute will request such information as may be necessary to ensure that you are properly identified. Authorized means to achieve this goal include, but are not limited to, requiring that a mail request include certification that a duly commissioned notary public of any State or territory (or a similar official, if the request is made outside of the United States) received an acknowledgment of identity from you.
</p>
<p>(c) If you are unable to provide suitable documentation or identification, the Institute may require a signed, notarized statement asserting your identity and stipulating that you understand that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000.
</p>
<p><b>&#167; 1182.10
 Procedures for amending or correcting an individual's Institute record.
</b></p>
<p>(a) You are entitled to request amendments to or corrections of records pertaining to you pursuant to the provisions of the Privacy Act, including 5 U.S.C. 552a(d)(2). Such a request should be made in writing and addressed to the Office of the General Counsel (see &#167; 1182.3).
</p>
<p>(b) Your request for amendments or corrections should specify the following:
</p>
<p>(1) The particular record that you are seeking to amend or correct;
</p>
<p>(2) The Institute system from which the record was retrieved;
</p>
<p>(3) The precise correction or amendment you desire, preferably in the form of an edited copy of the record reflecting the desired modification; and
</p>
<p>(4) Your reasons for requesting amendment or correction of the record.
</p>
<p>(c) The Institute will acknowledge a request for amendment or correction of a record within 10 business days of its receipt, unless the request can be processed and the individual informed of the General Counsel's decision on the request within that 10-day period.
</p>
<p>(d) If after receiving and investigating your request, the General Counsel agrees that the record is not accurate, timely, or complete, based on a preponderance of the evidence, then the record will be corrected or amended promptly. The record will be deleted without regard to its accuracy, if the record is not relevant or necessary to accomplish the Institute function for which the record was provided or is maintained. In either case, you will be informed in writing of the amendment, correction, or deletion. In addition, if accounting was made of prior disclosures of the record, all previous recipients of the record will be informed of the corrective action taken.
</p>
<p>(e) If after receiving and investigating your request, the General Counsel does not agree that the record should be amended or corrected, you will be informed promptly in writing of the refusal to amend or correct the record and the reason for this decision. You also will be informed that you may appeal this refusal in accordance with &#167; 1182.11.
</p>
<p>(f) Requests to amend or correct a record governed by the regulations of another agency will be forwarded to such agency for processing, and you will be informed in writing of this referral.
</p>
<p><b>&#167; 1182.11
 Procedures for appealing a refusal to amend or correct an Institute record.
</b></p>
<p>(a) You may appeal a refusal to amend or correct a record to the Director. Such appeal must be made in writing within 10 business days of your receipt of the initial refusal to amend or correct your record. Your appeal should be sent to the Office of the General Counsel (see &#167; 1182.3), should indicate that it is an appeal, and should include the basis for the appeal.
</p>
<p>(b) The Director will review your request to amend or correct the record, the General Counsel's refusal, and any other pertinent material relating to the appeal. No hearing will be held.
</p>
<p>(c) The Director shall render his or her decision on your appeal within 30 business days of its receipt by the Institute, unless the Director, for good cause shown, extends the 30-day period. Should the Director extend the appeal period, you will be informed in writing of the extension and the circumstances of the delay.
</p>
<p>(d) If the Director determines that the record that is the subject of the appeal should be amended or corrected, the record will be so modified, and you will be informed in writing of the amendment or correction. Where an accounting was made of prior disclosures of the record, all previous recipients of the record will be informed of the corrective action taken.
</p>
<p>(e) If your appeal is denied, you will be informed in writing of the following:
</p>
<p>(1) The denial and the reasons for the denial;
</p>
<p>(2) That you may submit to the Institute a concise statement setting forth the reasons for your disagreement as to the disputed record. Under the procedures set forth in paragraph (f) of this section, your statement will be disclosed whenever the disputed record is disclosed; and
</p>
<p>(3) That you may seek judicial review of the Director's determination under 5 U.S.C. 552a(g)(1)(a).
</p>
<p>(f) Whenever you submit a statement of disagreement to the Institute in accordance with paragraph (e)(2) of this section, the record will be annotated to indicate that it is disputed. In any subsequent disclosure, a copy of your statement of disagreement will be disclosed with the record. If the Institute deems it appropriate, a concise statement of the Director's reasons for denying our appeal also may be disclosed with the record. While you will have access to this statement of the Director's reasons for denying your appeal, such statement will not be subject to correction or amendment. Where an accounting was made of prior disclosures of the record, all previous recipients of the record will be provided a copy of your statement of disagreement, as well as any statement of the Director's reasons for denying your appeal.
</p>
<p><b>&#167; 1182.12
 Fees charged to locate, review, or copy records.
</b></p>
<p>(a) The Institute shall charge no fees for search time or for any other time expended by the Institute to review a record. However, the Institute may charge fees where you request that a copy be made of a record to which you have been granted access. Where a copy of the record must be made in order to provide access to the record (e.g., computer printout where no screen reading is available), the copy will be made available to you without cost.
</p>
<p>(b) Copies of records made by photocopy or similar process will be charged to you at the rate of $0.10 per page. Where records are not susceptible to photocopying (e.g., punch cards, magnetic tapes, or oversize materials), you will be charged actual cost as determined on a case-by-case basis. A copying fee totaling $3.00 or less shall be waived, but the copying fees for contemporaneous requests by the same individual shall be aggregated to determine the total fee.
</p>
<p>(c) Special and additional services provided at your request, such as certification or authentication, postal insurance, and special mailing arrangement costs, will be charged to you.
</p>
<p>(d) A copying fee shall not be charged or, alternatively, it may be reduced, when the General Counsel determines, based on a petition, that the petitioning individual is indigent and that the Institute's resources permit a waiver of all or part of the fee.
</p>
<p>(e) All fees shall be paid before any copying request is undertaken. Payments shall be made by check or money order payable to the "Institute of Museum and Library Services."
</p>
<p><b>&#167; 1182.13
 Policies and procedures for Institute disclosure of its records.
</b></p>
<p>(a) The Institute not disclose any record that is contained in a system of records to any person or to another agency, except pursuant to a written request by or with the prior written consent of the subject individual, unless disclosure of the record is:
</p>
<p>(1) To those officers or employees of the Institute who maintain the record and who have a need for the record in the performance of their official duties;
</p>
<p>(2) Required under the provisions of the Freedom of Information Act (5 U.S.C. 552). Records required to be made available by the Freedom of Information Act will be released in response to a request to the Institute formulated in accordance with the National Foundation on the Arts and the Humanities regulations published at 45 CFR part 1100;
</p>
<p>(3) For a routine use as published in the annual notice in the <i>Federal Register;</i>
</p>
<p>(4) To the Census Bureau for purpose of planning or carrying out a census; survey, or related activity pursuant to the provisions of Title 13 of the United States Code;
</p>
<p>(5) To a recipient who has provided the Institute with adequate advance written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(6) To the National Archives and Records Administration as a record that has sufficient historical or other value to warrant its continued preservation by the United States government, or for evaluation by the Archivist of the United States, or his or her designee, to determine whether the record has such value;
</p>
<p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity, if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the Institute for such records specifying the particular portion desired and the law enforcement activity for which the record is sought. The Institute also may disclose such a record to a law enforcement agency on its own initiative in situations in which criminal conduct is suspected, provided that such disclosure has been established as a routine use, or in situations in which the misconduct is directly related to the purpose for which the record is maintained;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if, upon such disclosure, notification is transmitted to the last known address of such individual;
</p>
<p>(9) To either House of Congress, or, to the extent of matter within its jurisdictions, any committee or subcommittee thereof, any joint committee of Congress, or subcommittee of any such joint committee;
</p>
<p>(10) To the Comptroller General, or any of his or her authorized representatives, in the course of the performance of official duties of the General Accounting Office;
</p>
<p>(11) To a consumer reporting agency in accordance with 31 U.S.C. 3711(e); or
</p>
<p>(12) Pursuant to an order of a court of competent jurisdiction. In the event that any record is disclosed under such compulsory legal process, the Institute shall make reasonable efforts to notify the subject individual after the process becomes a matter of public record.
</p>
<p>(b) Before disseminating any record about any individual to any person other than an Institute employee, the Institute shall make reasonable efforts to ensure that such records are, or at the time they were collected were, accurate, complete, timely, and relevant for Institute purposes. This paragraph (b) does not apply to dissemination made pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552) and paragraph (a)(2) of this section.
</p>
<p><b>&#167; 1182.14
 Procedures for maintaining accounts of disclosures made by the Institute from its systems of records.
</b></p>
<p>(a) The Office of the General Counsel shall maintain a log containing the date, nature, and purpose of each disclosure of a record to any person or to another agency. Such accounting also shall contain the name and address of the person or agency to whom each disclosure was made. This log need not include disclosures made to Institute employees in the course of their official duties, or pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552).
</p>
<p>(b) The Institute shall retain the accounting of each disclosure for at least five years after the accounting is made or for the life of the record that was disclosed, whichever is longer.
</p>
<p>(c) The Institute shall make the accounting of disclosures of a record pertaining to you available to you at your request. Such a request should be made in accordance with the procedures set forth in &#167; 1182.8. This paragraph (c) does not apply to disclosures made for law enforcement purposes under 5 U.S.C. 552a(b)(7) and &#167; 1182.13(a)(7).
</p>
<p><b>&#167; 1182.15
 Institute responsibility for maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems.
</b></p>
<p>The Chief Information Officer has the responsibility of maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems. These security safeguards shall apply to all systems in which identifiable personal data are processed or maintained, including all reports and outputs from such systems that contain identifiable personal information. Such safeguards must be sufficient to prevent negligent, accidental, or unintentional disclosure, modification or destruction of any personal records or data, and must furthermore minimize, to the extent practicable, the risk that skilled technicians or knowledgeable persons could improperly obtain access to modify or destroy such records or data and shall further insure against such casual entry by unskilled persons without official reasons for access to such records or data.
</p>
<p>(a) <i>Manual systems.</i> (1) Records contained in a system of records as defined in this part may be used, held, or stored only where facilities are adequate to prevent unauthorized access by persons within or outside the Institute.
</p>
<p>(2) All records, when not under the personal control of the employees authorized to use the records, must be stored in a locked filing cabinet. Some systems of records are not of such confidential nature that their disclosure would constitute a harm to an individual who is the subject of such record. However, records in this category also shall be maintained in locked filing cabinets or maintained in a secured room with a locking door.
</p>
<p>(3) Access to and use of a system of records shall be permitted only to persons whose duties require such access within the Institute, for routine uses as defined in &#167; 1182.1 as to any given system, or for such other uses as may be provided in this part.
</p>
<p>(4) Other than for access within the Institute to persons needing such records in the performance of their official duties or routine uses as defined in &#167; 1182.1, or such other uses as provided in this part, access to records within a system of records shall be permitted only to the individual to whom the record pertains or upon his or her written request to the General Counsel.
</p>
<p>(5) Access to areas where a system of records is stored will be limited to those persons whose duties require work in such areas. There shall be an accounting of the removal of any records from such storage areas utilizing a log, as directed by the Chief Information Officer. The log shall be maintained at all times.
</p>
<p>(6) The Institute shall ensure that all persons whose duties require access to and use of records contained in a system of records are adequately trained to protect the security and privacy of such records.
</p>
<p>(7) The disposal and destruction of records within a system of records shall be in accordance with rules promulgated by the General Services Administration.
</p>
<p>(b) <i>Automated systems.</i> (1) Identifiable personal information may be processed, stored, or maintained by automated data systems only where facilities or conditions are adequate to prevent unauthorized access to such systems in any form. Whenever such data, whether contained in punch cards, magnetic tapes, or discs, are not under the personal control of an authorized person, such information must be stored in a locked or secured room, or in such other facility having greater safeguards than those provided for in this part.
</p>
<p>(2) Access to and use of identifiable personal data associated with automated data systems shall be limited to those persons whose duties require such access. Proper control of personal data in any form associated with automated data systems shall be maintained at all times, including maintenance of accountability records showing disposition of input and output documents.
</p>
<p>(3) All persons whose duties require access to processing and maintenance of identifiable personal data and automated systems shall be adequately trained in the security and privacy of personal data.
</p>
<p>(4) The disposal and disposition of identifiable personal data and automated systems shall be done by shredding, burning, or, in the case of tapes or discs, degaussing, in accordance with regulations of the General Services Administration or other appropriate authority.
</p>
<p><b>&#167; 1182.16
 Procedures to ensure that Institute employees involved with its systems of records are familiar with the requirements and of the Privacy Act.
</b></p>
<p>(a) The Director shall ensure that all persons involved in the design, development, operation, or maintenance of any Institute system are informed of all requirements necessary to protect the privacy of subject individuals. The Director also shall ensure that all Institute employees having access to records receive adequate training in their protection, and that records have adequate and proper storage with sufficient security to assure the privacy of such records.
</p>
<p>(b) All employees shall be informed of the civil remedies provided under 5 U.S.C. 552a(g)(1) and other implications of the Privacy Act, and the fact that the Institute may be subject to civil remedies for failure to comply with the provisions of the Privacy Act and the regulations in this part.
</p>
<p><b>&#167; 1182.17
 Institute systems of records that are covered by exemptions in the Privacy Act.
</b></p>
<p>(a) Pursuant to and limited by 5 U.S.C. 552a(j)(2), the Institute system entitled "Office of the Inspector General Investigative Files" shall be exempted from the provisions of 5 U.S.C. 552a, except for subsections (b); (c)(1) and (2); (e)(4)(A) through (F); (e)(6), (7), (9), (10), and (11); and (i), insofar as that Institute system contains information pertaining to criminal law enforcement investigations.
</p>
<p>(b) Pursuant to and limited by 5 U.S.C. 552a(k)(2), the Institute system entitled "Office of the Inspector General Investigative Files" shall be exempted from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f), insofar as that Institute system consists of investigatory material compiled for law enforcement purposes, other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2).
</p>
<p>(c) The Institute system entitled "Office of the Inspector General Investigative Files" is exempt from the provisions of the Privacy Act noted in this section because their application might alert investigation subjects to the existence or scope of investigations; lead to suppression, alteration, fabrication, or destruction of evidence; disclose investigative techniques or procedures; reduce the cooperativeness or safety of witnesses; or otherwise impair investigations.
</p>
<p><b>&#167; 1182.18
 Penalties for obtaining an Institute record under false pretenses.
</b></p>
<p>(a) Under 5 U.S.C. 552a(i)(3), any person who knowingly and willfully requests or obtains any record from the Institute concerning an individual under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000.
</p>
<p>(b) A person who falsely or fraudulently attempts to obtain records under the Privacy Act also may be subject to prosecution under other statutes, including 18 U.S.C. 494, 495, and 1001.
</p>
<p><b>&#167; 1182.19
 Restrictions that exist regarding the release of mailing lists.
</b></p>
<p>The Institute may not sell or rent an individual's name and address unless such action specifically is authorized by law. This section shall not be construed to require the withholding of names and addresses otherwise permitted to be made public.


</p></xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
<regulations id="reg3" toc="yes">
<regulationsTitle number="45">
<heading> Public Welfare </heading>
<regulationsChapter number="XI">
<heading> National Endowment for the Arts </heading>
<regulationsPart number="1159">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent> 
<p>Sec.
</p>
<p>1159.1 What definitions apply to these regulations?
</p>
<p>1159.2 What is the purpose of these regulations?
</p>
<p>1159.3 Where should individuals send inquiries about the Endowment's systems of records or implementation of the Privacy Act?
</p>
<p>1159.4 How will the public receive notification of the Endowment's systems of records?
</p>
<p>1159.5 What government entities will the Endowment notify of proposed changes to its systems of records?
</p>
<p>1159.6 What limits exist as to the contents of the Endowment's systems of records?
</p>
<p>1159.7 Will the Endowment collect information from me for its records?
</p>
<p>1159.8 How can I acquire access to Endowment records pertaining to me?
</p>
<p>1159.9 What identification will I need to show when I request access to Endowment records pertaining to me?
</p>
<p>1159.10 How can I pursue amendments to or corrections of an Endowment record?
</p>
<p>1159.11 How can I appeal a refusal to amend or correct an Endowment record?
</p>
<p>1159.12 Will the Endowment charge me fees to locate, review, or copy records?
</p>
<p>1159.13 In what other situations will the Endowment disclose its records?
</p>
<p>1159.14 Will the Endowment maintain a written account of disclosures made from its systems of records?
</p>
<p>1159.15 Who has the responsibility for maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems?
</p>
<p>1159.16 Will the Endowment take steps to ensure that its employees involved with its systems of records are familiar with the requirements and implications of the Privacy Act?
</p>
<p>1159.17 Which of the Endowment's systems of records are covered by exemptions in the Privacy Act?
</p>
<p>1159.18 What are the penalties for obtaining an Endowment record under false pretenses?
</p>
<p>1159.19 What restrictions exist regarding the release of mailing lists?
</p>
<p><b>Authority:</b> 5 U.S.C. 552a(f).
</p>
<p><b>Source:</b> 65 FR 46371, July 28, 2000, unless otherwise noted.
</p>
<p><b>&#167; 1159.1
 What definitions apply to these regulations?
</b></p>
<p>The definitions of the Privacy Act apply to this part. In addition, as used in this part:
</p>
<p>(a) <i>Agency</i> means any executive department, military department, government corporation, or other establishment in the executive branch of the Federal government, including the Executive Office of the President or any independent regulatory agency.
</p>
<p>(b) <i>Business day</i> means a calendar day, excluding Saturdays, Sundays, and legal public holidays.
</p>
<p>(c) <i>Chairperson</i> means the Chairperson of the Endowment, or his or her designee;
</p>
<p>(d) <i>Endowment</i> means the National Endowment for the Arts;
</p>
<p>(e) <i>Endowment</i> system means a system of records maintained by the Endowment;
</p>
<p>(f) <i>General Counsel</i> means the General Counsel of the Endowment, or his or her designee.
</p>
<p>(g) <i>Individual</i> means any citizen of the United States or an alien lawfully admitted for permanent residence;
</p>
<p>(h) <i>Maintain</i> means to collect, use, store, or disseminate records, as well as any combination of these recordkeeping functions. The term also includes exercise of control over and, therefore, responsibility and accountability for, systems of records;
</p>
<p>(i) <i>Privacy Act</i> means the Privacy Act of 1974, as amended (5 U.S.C. 552a);
</p>
<p>(j) <i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by an agency and contains the individual's name or another identifying particular, such as a number or symbol assigned to the individual, or his or her fingerprint, voice print, or photograph. The term includes, but is not limited to, information regarding an individual's education, financial transactions, medical history, and criminal or employment history;
</p>
<p>(k) <i>Routine</i> use means, with respect to the disclosure of a record, the use of a record for a purpose that is compatible with the purpose for which it was collected;
</p>
<p>(l) <i>Subject individual</i> means the individual to whom a record pertains. Uses of the terms "I", "you", "me", and other references to the reader of the regulations in this part are meant to apply to subject individuals as defined in this paragraph (l); and
</p>
<p>(m) <i>System of records</i> means a group of records under the control of any agency from which information is retrieved by use of the name of the individual or by some number, symbol, or other identifying particular assigned to the individual.
</p>
<p><b>&#167; 1159.2
 What is the purpose of these regulations?
</b></p>
<p>The regulations in this part set forth the Endowment's procedures under the Privacy Act, as required by 5 U.S.C. 552a(f), with respect to systems of records maintained by the Endowment. These regulations establish procedures by which an individual may exercise the rights granted by the Privacy Act to determine whether an Endowment system contains a record pertaining to him or her; to gain access to such records; and to request correction or amendment of such records. These regulations also set identification requirements, prescribe fees to be charged for copying records, and establish exemptions from certain requirements of the Act for certain Endowment systems or components thereof.
</p>
<p><b>&#167; 1159.3
 Where should individuals send inquiries about the Endowment's systems of records or implementation of the Privacy Act?
</b></p>
<p>Inquiries about the Endowment's systems of records or implementation of the Privacy Act should be sent to the following address: National Endowment for the Arts; Office of the General Counsel; 1100 Pennsylvania Avenue, NW; Room 518; Washington, DC 20506.
</p>
<p><b>&#167; 1159.4
 How will the public receive notification of the Endowment's systems of records?
</b></p>
<p>(a) From time to time, the Endowment shall review its systems of records in the <i>Federal Register,</i> and publish, if necessary, any amendments to those systems of records. Such publication shall not be made for those systems of records maintained by other agencies while in the temporary custody of the Endowment.
</p>
<p>(b) At least 30 days prior to publication of information under paragraph (a) of this section, the Endowment shall publish in the <i>Federal Register</i> a notice of its intention to establish any new routine uses of any of its systems of records, thereby providing the public an opportunity to comment on such uses. This notice published by the Endowment shall contain the following:
</p>
<p>(1) The name of the system of records for which the routine use is to be established;
</p>
<p>(2) The authority for the system;
</p>
<p>(3) The purpose for which the record is to be maintained;
</p>
<p>(4) The proposed routine use(s);
</p>
<p>(5) The purpose of the routine use(s); and
</p>
<p>(6) The categories of recipients of such use.
</p>
<p>(c) Any request for additions to the routine uses of Endowment systems should be sent to the Office of the General Counsel (see &#167; 1159.3 of this part).
</p>
<p>(d) Any individual who wishes to know whether an Endowment system contains a record pertaining to him or her should write to the Office of the General Counsel (see &#167; 1159.3 of this part). Such individuals may also call the Office of the General Counsel at (202) 682-5418 on business days, between the hours of 9 a.m. and 5:30 p.m., to schedule an appointment to make an inquiry in person. In either case, inquiries should be presented in writing and should specifically identify the Endowment systems involved. The Endowment will attempt to respond to an inquiry as to whether a record exists within 10 business days of receiving the inquiry.
</p>
<p><b>&#167; 1159.5
 What government entities will the Endowment notify of proposed changes to its systems of records?
</b></p>
<p>When the Endowment proposes to establish or significantly changes any of its systems of records, it shall provide adequate advance notice of such proposal to the Committee on Government Reform of the House of Representatives, the Committee on Governmental Affairs of the Senate, and the Office of Management and Budget (OMB), in order to permit an evaluation of the probable or potential effect of such proposal on the privacy or other rights of individuals. This report will be submitted in accordance with guidelines provided by the OMB.
</p>
<p><b>&#167; 1159.6
 What limits exist as to the contents of the Endowment's systems of records?
</b></p>
<p>(a) The Endowment shall maintain only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required by statute or by executive order of the President. In addition, the Endowment shall maintain all records that are used in making determinations about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to that individual in the making of any determination about him or her. However, the Endowment shall not be required to update retired records.
</p>
<p>(b) The Endowment shall not maintain any record about any individual with respect to or describing how such individual exercises rights guaranteed by the First Amendment of the Constitution of the United States, unless expressly authorized by statute or by the subject individual, or unless pertinent to and within the scope of an authorized law enforcement activity.
</p>
<p><b>&#167; 1159.7
 Will the Endowment collect information from me for its records?
</b></p>
<p>The Endowment shall collect information, to the greatest extent practicable, directly from you when the information may result in adverse determinations about your rights, benefits, or privileges under Federal programs. In addition, the Endowment shall inform you of the following, either on the form it uses to collect the information or on a separate form that you can retain, when it asks you to supply information:
</p>
<p>(a) The statutory or executive order authority that authorizes the solicitation of the information;
</p>
<p>(b) Whether disclosure of such information is mandatory or voluntary;
</p>
<p>(c) The principal purpose(s) for which the information is intended to be used;
</p>
<p>(d) The routine uses that may be made of the information, as published pursuant to &#167; 1159.4 of this part; and
</p>
<p>(e) Any effects on you of not providing all or any part of the required or requested information.
</p>
<p><b>&#167; 1159.8
 How can I acquire access to Endowment records pertaining to me?
</b></p>
<p>The following procedures apply to records that are contained in an Endowment system:
</p>
<p>(a) You may request review of records pertaining to you by writing to the Office of the General Counsel (see &#167; 1159.3 of this part). You may also call the Office of the General Counsel at (202) 682-5418 on business days, between the hours of 9 a.m. and 5:30 p.m., to schedule an appointment to make such a request in person. In either case, your request should be presented in writing and should specifically identify the Endowment systems involved.
</p>
<p>(b) Access to the record, or to any other information pertaining to you that is contained in the system, shall be provided if the identification requirements of &#167; 1159.9 of this part are satisfied and the record is otherwise determined to be releasable under the Privacy Act and these regulations. The Endowment shall provide you an opportunity to have a copy made of any such record about you. Only one copy of each requested record will be supplied, based on the fee schedule in &#167; 1159.12 of this part.
</p>
<p>(c) The Endowment will comply promptly with requests made in person at scheduled appointments, if the requirements of this section are met and the records sought are immediately available. The Endowment will acknowledge mailed requests, or personal requests for documents that are not immediately available, within 10 business days, and the information requested will be provided promptly thereafter.
</p>
<p>(d) If you make your request in person at a scheduled appointment, you may, upon your request, be accompanied by a person of your choice to review your record. The Endowment may require that you furnish a written statement authorizing discussion of your record in the accompanying person's presence. A record may be disclosed to a representative chosen by you upon your proper written consent.
</p>
<p>(e) Medical or psychological records pertaining to you shall be disclosed to you unless, in the judgment of the Endowment, access to such records might have an adverse effect upon you. When such determination has been made, the Endowment may refuse to disclose such information directly to you. The Endowment will, however, disclose this information to a licensed physician designated by you in writing.
</p>
<p><b>&#167; 1159.9
 What identification will I need to show when I request access to Endowment records pertaining to me?
</b></p>
<p>The Endowment shall require reasonable identification of all individuals who request access to records in an Endowment system to ensure that they are disclosed to the proper person.
</p>
<p>(a) The amount of personal identification required will of necessity vary with the sensitivity of the record involved. In general, if you request disclosure in person, you shall be required to show an identification card, such as a driver's license, containing your photograph and sample signature. However, with regard to records in Endowment systems that contain particularly sensitive and/or detailed personal information, the Endowment reserves the right to require additional means of identification as are appropriate under the circumstances. These means include, but are not limited to, requiring you to sign a statement under oath as to your identity, acknowledging that you are aware of the penalties for improper disclosure under the provisions of the Privacy Act.
</p>
<p>(b) If you request disclosure by mail, the Endowment will request such information as may be necessary to ensure that you are properly identified. Authorized means to achieve this goal include, but are not limited to, requiring that a mail request include certification that a duly commissioned notary public of any State or territory (or a similar official, if the request is made outside of the United States) received an acknowledgment of identity from you.
</p>
<p>(c) If you are unable to provide suitable documentation or identification, the Endowment may require a signed, notarized statement asserting your identity and stipulating that you understand that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000.
</p>
<p><b>&#167; 1159.10
 How can I pursue amendments to or corrections of an Endowment record?
</b></p>
<p>(a) You are entitled to request amendments to or corrections of records pertaining to you pursuant to the provisions of the Privacy Act, including 5 U.S.C. 552a(d)(2). Such a request should be made in writing and addressed to the Office of the General Counsel (see &#167; 1159.3 of this part).
</p>
<p>(b) Your request for amendments or corrections should specify the following:
</p>
<p>(1) The particular record that you are seeking to amend or correct;
</p>
<p>(2) The Endowment system from which the record was retrieved;
</p>
<p>(3) The precise correction or amendment you desire, preferably in the form of an edited copy of the record reflecting the desired modification; and
</p>
<p>(4) Your reasons for requesting amendment or correction of the record.
</p>
<p>(c) The Endowment will acknowledge a request for amendment or correction of a record within 10 business days of its receipt, unless the request can be processed and the individual informed of the General Counsel's decision on the request within that 10-day period.
</p>
<p>(d) If after receiving and investigating your request, the General Counsel agrees that the record is not accurate, timely, or complete, based on a preponderance of the evidence, then the record will be corrected or amended promptly. The record will be deleted without regard to its accuracy, if the record is not relevant or necessary to accomplish the Endowment function for which the record was provided or is maintained. In either case, you will be informed in writing of the amendment, correction, or deletion. In addition, if accounting was made of prior disclosures of the record, all previous recipients of the record will be informed of the corrective action taken.
</p>
<p>(e) If after receiving and investigating your request, the General Counsel does not agree that the record should be amended or corrected, you will be informed promptly in writing of the refusal to amend or correct the record and the reason for this decision. You will also be informed that you may appeal this refusal in accordance with &#167; 1159.11 of this part.
</p>
<p>(f) Requests to amend or correct a record governed by the regulations of another agency will be forwarded to such agency for processing, and you will be informed in writing of this referral.
</p>
<p><b>&#167; 1159.11
 How can I appeal a refusal to amend or correct an Endowment record?
</b></p>
<p>(a) You may appeal a refusal to amend or correct a record to the Chairperson. Such appeal must be made in writing within 10 business days of your receipt of the initial refusal to amend or correct your record. Your appeal should be sent to the Office of the General Counsel (see &#167; 1159.3 of this part), should indicate that it is an appeal, and should include the basis for the appeal.
</p>
<p>(b) The Chairperson will review your request to amend or correct the record, the General Counsel's refusal, and any other pertinent material relating to the appeal. No hearing will be held.
</p>
<p>(c) The Chairperson shall render his or her decision on your appeal within 30 business days of its receipt by the Endowment, unless the Chairperson, for good cause shown, extends the 30-day period. Should the Chairperson extend the appeal period, you will be informed in writing of the extension and the circumstances of the delay.
</p>
<p>(d) If the Chairperson determines that the record that is the subject of the appeal should be amended or corrected, the record will be so modified, and you will be informed in writing of the amendment or correction. Where an accounting was made of prior disclosures of the record, all previous recipients of the record will be informed of the corrective action taken.
</p>
<p>(e) If your appeal is denied, you will be informed in writing of the following:
</p>
<p>(1) The denial and the reasons for the denial;
</p>
<p>(2) That you may submit to the Endowment a concise statement setting forth the reasons for your disagreement as to the disputed record. Under the procedures set forth in paragraph (f) of this section, your statement will be disclosed whenever the disputed record is disclosed; and
</p>
<p>(3) That you may seek judicial review of the Chairperson's determination under 5 U.S.C. 552a(g)(1)(a).
</p>
<p>(f) Whenever you submit a statement of disagreement to the Endowment in accordance with paragraph (e)(2) of this section, the record will be annotated to indicate that it is disputed. In any subsequent disclosure, a copy of your statement of disagreement will be disclosed with the record. If the Endowment deems it appropriate, a concise statement of the Chairperson's reasons for denying your appeal may also be disclosed with the record. While you will have access to this statement of the Chairperson's reasons for denying your appeal, such statement will not be subject to correction or amendment. Where an accounting was made of prior disclosures of the record, all previous recipients of the record will be provided a copy of your statement of disagreement, as well as any statement of the Chairperson's reasons for denying your appeal.
</p>
<p><b>&#167; 1159.12
 Will the Endowment charge me fees to locate, review, or copy records?
</b></p>
<p>(a) The Endowment shall charge no fees for search time or for any other time expended by the Endowment to review a record. However, the Endowment may charge fees where you request that a copy be made of a record to which you have been granted access. Where a copy of the record must be made in order to provide access to the record (<i>e.g.,</i> computer printout where no screen reading is available), the copy will be made available to you without cost.
</p>
<p>(b) Copies of records made by photocopy or similar process will be charged to you at the rate of $0.10 per page. Where records are not susceptible to photocopying (<i>e.g.,</i> punch cards, magnetic tapes, or oversize materials), you will be charged actual cost as determined on a case-by-case basis. A copying fee totaling $3.00 or less shall be waived, but the copying fees for contemporaneous requests by the same individual shall be aggregated to determine the total fee.
</p>
<p>(c) Special and additional services provided at your request, such as certification or authentication, postal insurance, and special mailing arrangement costs, will be charged to you.
</p>
<p>(d) A copying fee shall not be charged or, alternatively, it may be reduced, when the General Counsel determines, based on a petition, that the petitioning individual is indigent and that the Endowment's resources permit a waiver of all or part of the fee.
</p>
<p>(e) All fees shall be paid before any copying request is undertaken. Payments shall be made by check or money order payable to the "National Endowment for the Arts."
</p>
<p><b>&#167; 1159.13
 In what other situations will the Endowment disclose its records?
</b></p>
<p>(a) The Endowment shall not disclose any record that is contained in a system of records to any person or to another agency, except pursuant to a written request by or with the prior written consent of the subject individual, unless disclosure of the record is:
</p>
<p>(1) To those officers or employees of the Endowment who maintain the record and who have a need for the record in the performance of their official duties;
</p>
<p>(2) Required under the provisions of the Freedom of Information Act (5 U.S.C. 552). Records required to be made available by the Freedom of Information Act will be released in response to a request to the Endowment formulated in accordance with the National Foundation on the Arts and the Humanities regulations published at 45 CFR part 1100;
</p>
<p>(3) For a routine use as published in the annual notice in the <i>Federal Register</i>;
</p>
<p>(4) To the Census Bureau for purposes of planning or carrying out a census, survey, or related activity pursuant to the provisions of Title 13 of the United States Code;
</p>
<p>(5) To a recipient who has provided the Endowment with adequate advance written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(6) To the National Archives and Records Administration as a record that has sufficient historical or other value to warrant its continued preservation by the United States government, or for evaluation by the Archivist of the United States, or his or her designee, to determine whether the record has such value;
</p>
<p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity, if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the Endowment for such records specifying the particular portion desired and the law enforcement activity for which the record is sought. The Endowment may also disclose such a record to a law enforcement agency on its own initiative in situations in which criminal conduct is suspected, provided that such disclosure has been established as a routine use, or in situations in which the misconduct is directly related to the purpose for which the record is maintained;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if, upon such disclosure, notification is transmitted to the last known address of such individual;
</p>
<p>(9) To either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress, or subcommittee of any such joint committee;
</p>
<p>(10) To the Comptroller General, or any of his or her authorized representatives, in the course of the performance of official duties of the General Accounting Office;
</p>
<p>(11) To a consumer reporting agency in accordance with 31 U.S.C. 3711(e); or
</p>
<p>(12) Pursuant to an order of a court of competent jurisdiction. In the event that any record is disclosed under such compulsory legal process, the Endowment shall make reasonable efforts to notify the subject individual after the process becomes a matter of public record.
</p>
<p>(b) Before disseminating any record about any individual to any person other than an Endowment employee, the Endowment shall make reasonable efforts to ensure that such records are, or at the time they were collected were, accurate, complete, timely, and relevant for Endowment purposes. This paragraph (b) does not apply to disseminations made pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552) and paragraph (a)(2) of this section.
</p>
<p><b>&#167; 1159.14
 Will the Endowment maintain a written account of disclosures made from its systems of records?
</b></p>
<p>(a) The Office of the General Counsel shall maintain a written log containing the date, nature, and purpose of each disclosure of a record to any person or to another agency. Such accounting shall also contain the name and address of the person or agency to whom each disclosure was made. This log need not include disclosures made to Endowment employees in the course of their official duties, or pursuant to the provisions of the Freedom of Information Act (5 U.S.C. 552).
</p>
<p>(b) The Endowment shall retain the accounting of each disclosure for at least five years after the accounting is made or for the life of the record that was disclosed, whichever is longer.
</p>
<p>(c) The Endowment shall make the accounting of disclosures of a record pertaining to you available to you at your request. Such a request should be made in accordance with the procedures set forth in &#167; 1159.8 of this part. This paragraph (c) does not apply to disclosures made for law enforcement purposes under 5 U.S.C. 552a(b)(7) and &#167; 1159.13(a)(7) of this part.
</p>
<p><b>&#167; 1159.15
 Who has the responsibility for maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems?
</b></p>
<p>The Deputy Chairman for Management and Budget has the responsibility of maintaining adequate technical, physical, and security safeguards to prevent unauthorized disclosure or destruction of manual and automatic record systems. These security safeguards shall apply to all systems in which identifiable personal data are processed or maintained, including all reports and outputs from such systems that contain identifiable personal information. Such safeguards must be sufficient to prevent negligent, accidental, or unintentional disclosure, modification or destruction of any personal records or data, and must furthermore minimize, to the extent practicable, the risk that skilled technicians or knowledgeable persons could improperly obtain access to modify or destroy such records or data and shall further insure against such casual entry by unskilled persons without official reasons for access to such records or data.
</p>
<p>(a) <i>Manual systems.</i> (1) Records contained in a system of records as defined herein may be used, held or stored only where facilities are adequate to prevent unauthorized access by persons within or outside the Endowment.
</p>
<p>(2) All records, when not under the personal control of the employees authorized to use the records, must be stored in a locked metal filing cabinet. Some systems of records are not of such confidential nature that their disclosure would constitute a harm to an individual who is the subject of such record. However, records in this category shall also be maintained in locked metal filing cabinets or maintained in a secured room with a locking door.
</p>
<p>(3) Access to and use of a system of records shall be permitted only to persons whose duties require such access within the Endowment, for routine uses as defined in &#167; 1159.1 as to any given system, or for such other uses as may be provided herein.
</p>
<p>(4) Other than for access within the Endowment to persons needing such records in the performance of their official duties or routine uses as defined in &#167; 1159.1, or such other uses as provided herein, access to records within a system of records shall be permitted only to the individual to whom the record pertains or upon his or her written request to the General Counsel.
</p>
<p>(5) Access to areas where a system of records is stored will be limited to those persons whose duties require work in such areas. There shall be an accounting of the removal of any records from such storage areas utilizing a written log, as directed by the Deputy Chairman for Management and Budget. The written log shall be maintained at all times.
</p>
<p>(6) The Endowment shall ensure that all persons whose duties require access to and use of records contained in a system of records are adequately trained to protect the security and privacy of such records.
</p>
<p>(7) The disposal and destruction of records within a system of records shall be in accordance with rules promulgated by the General Services Administration.
</p>
<p>(b) <i>Automated systems.</i> (1) Identifiable personal information may be processed, stored or maintained by automated data systems only where facilities or conditions are adequate to prevent unauthorized access to such systems in any form. Whenever such data, whether contained in punch cards, magnetic tapes or discs, are not under the personal control of an authorized person, such information must be stored in a locked or secured room, or in such other facility having greater safeguards than those provided for herein.
</p>
<p>(2) Access to and use of identifiable personal data associated with automated data systems shall be limited to those persons whose duties require such access. Proper control of personal data in any form associated with automated data systems shall be maintained at all times, including maintenance of accountability records showing disposition of input and output documents.
</p>
<p>(3) All persons whose duties require access to processing and maintenance of identifiable personal data and automated systems shall be adequately trained in the security and privacy of personal data.
</p>
<p>(4) The disposal and disposition of identifiable personal data and automated systems shall be done by shredding, burning or in the case of tapes or discs, degaussing, in accordance with any regulations now or hereafter proposed by the General Services Administration or other appropriate authority.
</p>
<p><b>&#167; 1159.16
 Will the Endowment take steps to ensure that its employees involved with its systems of records are familiar with the requirements and implications of the Privacy Act?
</b></p>
<p>(a) The Chairperson shall ensure that all persons involved in the design, development, operation or maintenance of any Endowment system are informed of all requirements necessary to protect the privacy of subject individuals. The Chairperson shall also ensure that all Endowment employees having access to records receive adequate training in their protection, and that records have adequate and proper storage with sufficient security to assure the privacy of such records.
</p>
<p>(b) All employees shall be informed of the civil remedies provided under 5 U.S.C. 552a(g)(1) and other implications of the Privacy Act, and the fact that the Endowment may be subject to civil remedies for failure to comply with the provisions of the Privacy Act and these regulations.
</p>
<p><b>&#167; 1159.17
 Which of the Endowment's systems of records are covered by exemptions in the Privacy Act?
</b></p>
<p>(a) Pursuant to and limited by 5 U.S.C. 552a(j)(2), the Endowment system entitled "Office of the Inspector General Investigative Files" shall be exempted from the provisions of 5 U.S.C. 552a, except for subsections (b); (c)(1) and (2); (e)(4)(A) through (F); (e)(6), (7), (9), (10), and (11); and (i), insofar as that Endowment system contains information pertaining to criminal law enforcement investigations.
</p>
<p>(b) Pursuant to and limited by 5 U.S.C. 552a(k)(2), the Endowment system entitled "Office of the Inspector General Investigative Files" shall be exempted from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f), insofar as that Endowment system consists of investigatory material compiled for law enforcement purposes, other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2).
</p>
<p>(c) The Endowment system entitled "Office of the Inspector General Investigative Files" is exempt from the above-noted provisions of the Privacy Act because their application might alert investigation subjects to the existence or scope of investigations; lead to suppression, alteration, fabrication, or destruction of evidence; disclose investigative techniques or procedures; reduce the cooperativeness or safety of witnesses; or otherwise impair investigations.
</p>
<p><b>&#167; 1159.18
 What are the penalties for obtaining an Endowment record under false pretenses?
</b></p>
<p>(a) Under 5 U.S.C. 552a(i)(3), any person who knowingly and willfully requests or obtains any record concerning an individual from the Endowment under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000.
</p>
<p>(b) A person who falsely or fraudulently attempts to obtain records under the Privacy Act may also be subject to prosecution under other statutes, including 18 U.S.C. 494, 495, and 1001.
</p>
<p><b>&#167; 1159.19
 What restrictions exist regarding the release of mailing lists?
</b></p>
<p>The Endowment may not sell or rent an individual's name and address unless such action is specifically authorized by law. This section shall not be construed to require the withholding of names and addresses otherwise permitted to be made public.
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>

