[Federal Register Volume 82, Number 79 (Wednesday, April 26, 2017)]
[Notices]
[Pages 19263-19275]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-08410]


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NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES

National Endowment for the Humanities


Privacy Act of 1974; System of Records Notice

AGENCY: National Endowment for the Humanities, National Foundation on 
the Arts and the Humanities.

ACTION: Notice of republication of systems of records and new routine 
uses.

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SUMMARY: The National Endowment for the Humanities (``NEH'') is 
publishing a notice of its systems of records with descriptions of the 
systems and the ways in which they are maintained, as required by the 
Privacy Act of 1974.
    NEH's mission has not changed since its inception in 1965: It 
extends federal financial assistance to support humanities-related 
projects, conducted by both individuals and organizations. In that 
endeavor, it employs staff and special government employees, and 
engages academic peer reviewers, to evaluate grant applications. NEH 
created several systems of records to maintain records concerning the 
individuals with whom it regularly interacts: e.g., grant applicants, 
employees, peer reviewers, contractors and vendors. As with its 
mission, the categories of individuals with whom NEH interacts and the 
systems it created to host records regarding such individuals have not 
changed significantly since NEH's inception.
    This notice reflects administrative and operational changes that 
have been made at NEH since it last published notice of its systems of 
records, such as agency restructuring and the increased use of 
electronic technology. This notice will enable individuals who wish to 
access information maintained in NEH systems of records to make 
accurate and specific requests for such information. This notice does 
not reflect, nor has NEH undertaken, significant changes to the numbers 
or categories of individuals about whom it maintains records in its 
systems of records, the categories of records maintained in these 
systems, the purpose for which it maintains these systems, or the 
availability of information contained in these systems.
    This notice also reflects certain new routine uses requested by the 
Office of Management and Budget and the Office of Government 
Information Services of the National Archives and Records 
Administration, as well as routine uses that are standard within other 
federal agencies.

DATES: With the exception of new routine uses, this System of Records 
Notice is effective upon publication in the Federal Register. Any new 
routine use published in this System of Records Notice shall be 
effective 30 days from the date of publication, pursuant to 5 U.S.C. 
552a(e)(11).

ADDRESSES: Adam M. Kress, Senior Agency Official for Privacy, 400 7th 
Street SW., Room 4060, Washington, DC 20506; (202) 606-8323; 
[email protected].

FOR FURTHER INFORMATION CONTACT: Adam M. Kress, (202) 606-8323; 
[email protected].

SUPPLEMENTARY INFORMATION: In accordance with 5 U.S.C. 552a(e)(4),

[[Page 19264]]

NEH is today republishing a notice of the existence and character of 
its systems of records in order to make available in one place in the 
Federal Register the most up-to-date information regarding these 
systems. This republication reflects administrative changes, such as 
agency restructuring and the increased use of electronic technology 
that NEH has implemented since it last published notice of its systems 
of records.

Table of Contents

    This document gives notice that the following NEH systems of 
records are in effect:

NEH-1 Grants and Cooperative Agreements: Electronic Grant Management 
System
NEH-2 Financial Management System
NEH-3 Requisition System
NEH-4 Employee Payroll and Leave and Attendance Records
NEH-5 Office of the Inspector General Investigative Files
NEH-6 Humanities Magazine Contact Database

NEH-1

SYSTEM NAME:
    Grants and Cooperative Agreements: Electronic Grant Management 
System (``eGMS'').

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Authorized NEH staff may access NEH's electronic grant management 
system via an online web portal.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.
    In addition to the above records, eGMS contains grant applications, 
including r[eacute]sum[eacute]s, 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.
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    National Foundation on the Arts and the Humanities Act of 1965, as 
amended (20 U.S.C. 951, et seq.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    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.
    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.
    NEH publicly discloses on its Web site 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.
    NEH also uses eGMS for statistical research, congressional 
oversight and trend analysis.
    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:
    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:
    a. NEH;
    b. Any employee or former employee of NEH in his or her official 
capacity;
    c. Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    d. The U.S. Government or any agency thereof.
    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.
    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.
    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.

[[Page 19265]]

    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.
    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.
    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.
    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.
    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.
    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.
    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.
    12. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. 2904 and 
2906.
    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.
    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.
    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.
    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.
    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.

Purpose(s):
    NEH established eGMS to provide a central repository for 
information about its application review panelists, grant applicants, 
award recipients and awards.

Disclosure to Consumer Reporting Agencies:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    NEH maintains records in this system in an electronic database and 
a digital file repository.

Retrievability:
    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.

Safeguards:
    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.
    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.

Retention and Disposal:
    NEH's Comprehensive Records Control Schedule provides disposition 
authority with respect to various records stored within eGMS.
    NEH has authority to destroy applications for projects not selected 
for funding, or withdrawn from NEH, when five years old.
    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

[[Page 19266]]

panelist comments and summaries, staff comments and recommendations, 
written communications between NEH and grantees and other background 
materials received from the grantee.
    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.
    NEH otherwise maintains records in eGMS on an indefinite basis for 
reference purposes.

SYSTEMS MANAGER(S) AND ADDRESS:
    Director of the Office of Information Resource Management, National 
Endowment for the Humanities, 400 Seventh Street SW., Washington, DC 
20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    See 45 CFR 1115.4.

CONTESTING RECORD PROCEDURE:
    See 45 CFR 1115.5.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    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.
NEH-2

SYSTEM NAME:
    Financial Management System.

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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).
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    National Foundation on the Arts and the Humanities Act of 1965, as 
amended (20 U.S.C. 951, et seq.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    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.
    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.
    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.
    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. (See NEH-1.)
    NEH also uses its financial management system for statistical 
research, congressional oversight and trend analysis
    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:
    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:
    a. NEH;
    b. Any employee or former employee of NEH in his or her official 
capacity;
    c. Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    d. The U.S. Government or any agency thereof.
    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.
    3. To an appropriate federal, state, tribal, territorial, local, 
international, or foreign law enforcement agency or other appropriate 
authority charged with

[[Page 19267]]

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.
    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.
    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.
    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.
    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.
    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.
    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.
    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.
    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.
    12. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. 2904 and 
2906.
    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.
    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.
    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.
    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.
    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.

Purpose(s):
    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.

Disclosure to Consumer Reporting Agencies:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    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.

Retrievability:
    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.

[[Page 19268]]

Safeguards:
    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.
    NEH maintains paper records in locked file cabinets or locked file 
rooms accessible to authorized personnel only.

 Retention and Disposal:
    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.

SYSTEMS MANAGER(S) AND ADDRESS:
    Accounting Director, National Endowment for the Humanities, 400 
Seventh Street SW., Washington, DC 20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    See 45 CFR 1115.4.

CONTESTING RECORD PROCEDURE:
    See 45 CFR 1115.5.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
NEH-3

SYSTEM NAME:
    Requisition System.

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    National Foundation on the Arts and the Humanities Act of 1965, as 
amended (20 U.S.C. 951, et seq.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    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.
    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:
    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:
    a. NEH;
    b. Any employee or former employee of NEH in his or her official 
capacity;
    c. Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    d. The U.S. Government or any agency thereof.
    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.
    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.
    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.
    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.
    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

[[Page 19269]]

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.
    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.
    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.
    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.
    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.
    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.
    12. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. Sec. 2904 
and 2906.
    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.
    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.
    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.
    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.
    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.

Purpose(s):
    NEH established its requisition system to process and track 
requests for payment to personnel and third-parties providing goods and 
services to the agency.

Disclosure to Consumer Reporting Agencies:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    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.

Retrievability:
    NEH staff may retrieve electronic and some supporting hard-copy 
documents by name.

Safeguards:
    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.
    NEH maintains paper records in locked file cabinets or locked file 
rooms accessible to authorized personnel only.

Retention and Disposal:
    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.

SYSTEMS MANAGER(S) AND ADDRESS:
    Director, Office of Administrative Services, National Endowment for 
the Humanities, 400 Seventh Street SW., Washington, DC 20506.
    Director of the Office of Information Resource Management, National 
Endowment for the Humanities, 400 Seventh Street SW., Washington, DC 
20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    See 45 CFR 1115.4.

CONTESTING RECORD PROCEDURE:
    See 45 CFR 1115.5.

RECORD SOURCE CATEGORIES:
    NEH obtains records in this system from individuals covered by the 
system,

[[Page 19270]]

as well as from NEH employees involved in agency operations related to 
the requisition.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
NEH-4

SYSTEM NAME:
    Employee Payroll and Leave and Attendance Records.

SYSTEM LOCATION:
    National Endowment for the Humanities, Department of Human 
Resources, 400 Seventh Street SW., Washington, DC 20506.
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former NEH employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    National Foundation on the Arts and the Humanities Act of 1965, as 
amended (20 U.S.C. 951, et seq.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    NEH may disclose all or a portion of the records contained within 
this system as follows:
    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.
    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.
    3. To provide wage and separation information to another federal 
agency as required by law for payroll purposes.
    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.
    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.
    6. To the Department of the Treasury to issue checks.
    7. To appropriate Federal and State agencies to provide required 
reports including data on unemployment insurance.
    8. To Federal Employee's Group Life Insurance or Health Benefits 
carriers in connection with survivor annuity or health benefits claims 
or records reconciliations.
    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.
    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.
    11. To the Social Security Administration and the Department of the 
Treasury to disclose pay data on an annual basis.
    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.
    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.
    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:
    (a) NEH;
    (b) Any employee or former employee of NEH in his or her official 
capacity;
    (c) Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    (d) The U.S. Government or any agency thereof.
    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.
    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.
    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

[[Page 19271]]

settlement negotiations or in connection with criminal law proceedings.
    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.
    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.
    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.
    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.
    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.
    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.
    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.
    25. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. Sec. 2904 
and 2906.
    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.
    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.
    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.
    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.
    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.

Purpose(s):
    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.

Disclosure to Consumer Reporting Agencies:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    NEH maintains paper records in filing cabinets.

Retrievability:
    NEH may retrieve records in this system by an individual's name.

Safeguards:
    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.

Retention and Disposal:
    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.

SYSTEMS MANAGER(S) AND ADDRESS:
    Director of the Office of Human Resources, National Endowment for 
the Humanities, 400 Seventh Street SW., Washington, DC 20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    See 45 CFR 1115.4.

CONTESTING RECORD PROCEDURE:
    See 45 CFR 1115.5.

RECORD SOURCE CATEGORIES:
    NEH obtains records in this system from individuals covered by the 
system,

[[Page 19272]]

as well as from NEH employees involved in the administration of 
personnel and payroll processes.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
NEH-5

SYSTEM NAME:
    Office of the Inspector General Investigative Files.

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office of the Inspector General (OIG), 400 Seventh Street SW., 
Washington, DC 20506.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    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.
    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.
    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:
    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:
    a. NEH;
    b. Any employee or former employee of NEH in his or her official 
capacity;
    c. Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    d. The U.S. Government or any agency thereof.
    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.
    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.
    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.
    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.
    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.
    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.
    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.
    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

[[Page 19273]]

government funds, and release of the record is for the purpose of 
allowing the debtor to effect a collection against a third party.
    10. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. Sec. 2904 
and 2906.
    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.
    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.
    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.
    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.
    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.
    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.
    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.

Purpose(s):
    NEH created this system to maintain files of investigative 
activities carried out by OIG.

Disclosure to Consumer Reporting Agencies:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    NEH maintains paper records in filing cabinets and retired records 
at the Washington Federal Records Center.

Retrievability:
    OIG retrieves records within this system by the name of the 
individual formerly or currently under investigation.

Safeguards:
    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.

Retention and Disposal:
    NEH maintains records in this system according to records 
disposition schedules and requirements of the National Archives and 
Records Administration (NARA).

SYSTEMS MANAGER(S) AND ADDRESS:
    Inspector General, National Endowment for the Humanities, 400 
Seventh Street SW., Washington, DC 20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURE:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    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

[[Page 19274]]

exemptions claimed for the other system.
NEH-6

SYSTEM NAME:
    Humanities Magazine Contact Database.

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Authorized NEH staff may access NEH's Humanities Magazine Contact 
Database via Microsoft Access.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    National Foundation on the Arts and the Humanities Act of 1965, as 
amended (20 U.S.C. 951, et seq.).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
Routine Use(s):
    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.
    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:
    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:
    a. NEH;
    b. Any employee or former employee of NEH in his or her official 
capacity;
    c. Any employee or former employee of NEH in his or her individual 
capacity when DOJ or NEH has agreed to represent the employee;
    d. The U.S. Government or any agency thereof.
    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.
    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.
    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.
    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
    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.
    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.
    8. To the National Archives and Records Administration in records 
management inspections conducted under authority of 44 U.S.C. 2904 and 
2906.
    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.
    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.
    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.
    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

[[Page 19275]]

of a particular case would constitute an unwarranted invasion of 
personal privacy.

Purpose(s):
    NEH established its Humanities Magazine Contact Database to create 
a central database of contact information for those who receive 
complimentary copies of Humanities Magazine.

Disclosure to Consumer Reporting Agencies:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    NEH maintains records in this system in an electronic database 
accessible via Microsoft Access.

Retrievability:
    NEH staff may retrieve electronic records by name or database 
identification number.

Safeguards:
    NEH limits access to records within this system of records to 
personnel whose official duties require such access.

Retention and Disposal:
    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.

SYSTEMS MANAGER(S) AND ADDRESS:
    Director, Office of Administrative Services, National Endowment for 
the Humanities, 400 Seventh Street SW., Washington, DC 20506.

NOTIFICATION PROCEDURE:
    See 45 CFR 1115.3.

RECORD ACCESS PROCEDURE:
    See 45 CFR 1115.4.

CONTESTING RECORD PROCEDURE:
    See 45 CFR 1115.5.

RECORD SOURCE CATEGORIES:
    NEH obtains records in this system from individuals covered by the 
system.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    Dated: April 21, 2017.
Adam M. Kress,
Senior Agency Official for Privacy.
[FR Doc. 2017-08410 Filed 4-25-17; 8:45 am]
 BILLING CODE 7536-01-P