[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL FOUNDATION ON THE ARTS AND THE HUMANITIES
Alphabetical List of System Names
Institute of Museum Services
Personnel--IMS-2
Reviews and Panelists--IMS-1
National Endowment for the Arts
Consultants-NEA-1
Contracts-NEA-2
Employee Payroll, Leave and Attendance Records and Files-NEA-3
Equal Employment Opportunity Case File-NEA-4
Grant Applications-NEA-5
Grants to Individuals and Institutions-NEA-6
Personnel Records-NEA-7
Fellows-NEA-8
National Endowment for the Humanities
Consultants, Reviewers and Panelists--NEH-1
Contracts--NEH-2
Employee Payroll, Leave and Attendance Records and Files--NEH-3
Equal Employment Opportunity Case File--NEH-4
Grant Applications--NEH-5
Grants to Individuals--NEH-6
Personnel Records--NEH-7
INSTITUTE OF MUSEUM SERVICES
IMS-1
System name: Reviewers and Panelists--IMS-1.
System location:
IMS--1100 Pennsylvania Avenue, NW, Washington, DC 20506.
Categories of individuals covered by the system:
Past and present members of application review panels and experts who
may be called upon to review grant applications.
Categories of records in the system:
Contains name, address and telephone number of individual. Contains
compensation claims, travel diaries, notification of personnel
actions, correspondence. May contain curriculum vitae and press
clippings.
Authority for maintenance of the system:
National Foundation on the Arts and the Humanities Act of 1965, as
amended (20 U.S.C. 965).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records are used by IMS staff in administration of the grant
review system, including identification of experts serve as reviewers
and panelists; disclosure may be made to a congressional office from
the record of an individual in response to an inquiry from the
congressional office made at the request of the individual about whom
the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in 9 inch by 12 inch folders or computer data base.
Retrievability:
Indexed by name or indexed keys.
Safeguards:
Records are maintained in file cabinets in lockable rooms or computer
controlled by passwords.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Rebecca Danvers, Program Director, Institute of Museum Services, 1100
Pennsylvania Avenue, NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Record source categories:
Individual on whom record is maintained, newspapers and journals, IMS
employees.
IMS-2
System name: Personnel Records--IMS-2.
System location:
National Endowment for the Humanities, Room 417, 1100 Pennsylvania
Avenue, NW, Washington, DC 20506.
This system of records is part of the Office of Personnel Management's
government-wide system of personnel records ``OPM/GOVT-1-General
Personnel Records'' and subject to that agency's rules.
NATIONAL ENDOWMENT FOR THE ARTS
NEA-1
System name: Consultants NEA-1.
System location: 2401 E St., NW, Washington, DC 20506.
Categories of individuals covered by the system: Past and present
members of the National Council on the Arts, and grant or policy
panelists serving on advisory panels to the National Endowment for
the Arts.
Categories of records in the system: Contains name, address and
telephone number of individual. Contains correspondence and routine
administrative records relating to travel, and remuneration. May
contain curriculum vitae and press clippings.
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 the purposes of such uses: Identification of NEA
consultants, and their activities; disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Maintained in letter size folder.
Retrievability: Indexed by name.
Safeguards: Records are maintained in lockable drawers or file cabinets.
Retention and disposal: Unscheduled records, disposition to be
determined.
System manager(s) and address: Director, NEA Program Offices, and
Director, Council and Panel Operations, National Endowment for the
Arts, 2401 E St., NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Individual on whom record is maintained,
newspapers and journals, NEA employees.
NEA-2
System name: Contracts NEA-2.
System location: Contracts Section, Office of Administration, Rm. W-728,
2401 E St., NW, Washington, DC 20506.
Categories of individuals covered by the system: Individuals who have
entered into contracts with the National Endowment for the Arts.
Categories of records in the system: Contains contract, contract number,
name and address of contractor, specific and general contract
provisions, contract amendments, correspondence, relevant backup
material.
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 the purposes of such uses: General Accounting Office
audits, general congressional oversight; disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Maintained in legal size folder, and machine-readable file.
Retrievability: Indexed by name and contract number.
Safeguards: Records are maintained in a lockable file cabinet.
Retention and disposal: Disposition in accordance with GRS 3, Item 4a.
System manager(s) and address: Contracting Officer, National Endowment
for the Arts, 2401 E St., NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Individual on whom the record is maintained.
NEA employees involved in contract development, administration, and
execution.
NEA-3
System name: Employee Payroll, and Leave and Attendance Records,
NEA-3.
System location: Personnel Division, Rm. W-711, 2401 E St., NW,
Washington, DC 20506.
Categories of individuals covered by the system: NEA employees.
Categories of records in the system: Records consist of manual and
machine-readable files containing payroll-related information for
NEA employees. Payroll and leave and attendance records and
information includes many records or information also maintained in
employee's official personnel folder and related files maintained in
accordance with Office of Personnel Management regulations and of
which notice has been given in its notice of Government wide systems
of personnel records. Payroll and related information consists of
various forms which disclose on a biweekly, year-to-date, and in
some cases an annual basis, payroll and leave data for each employee
relating to rate and amount of pay, leave, and hours worked, and
leave balance; tax and retirement deductions; life insurance and
health insurance deductions; savings allotments; savings bond and
charity deductions; mailing addresses and home addresses.
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.),
Federal Personnel Manual and Treasury Fiscal Requirements Manual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used to prepare payroll and
to meet Government payroll recordkeeping and reporting requirements,
and for retrieving and supplying payroll and leave information as
required for agency needs. Office of Personnel Management Notice of
Governmentwide Systems of Personnel Records: ``OPM--General
Personnel Records (Official Personnel folder and records related
thereto)''; disclosure may be made to a congressional office from
the record of an individual in response to an inquiry from the
congressional office made at the request of the individual about
whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual files, and GSA administered MAPS, automated payroll
system.
Retrievability: Indexed by name, and social security number.
Safeguards: Manual records are maintained in locked file cabinet.
Accessibility to MAPS system limited to authorized personnel using
code.
Retention and disposal: Records maintained for three years or until
audited by the General Accounting Office.
System manager(s) and address:
Personnel Officer, Room W-711, 2401 E St., NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
NEA-4
System name: Equal Employment Opportunity Case File, NEA-4.
System location:
Equal Employment Opportunity Program, Room 1300, 2401 E St., NW,
Washington, DC 20506.
Categories of individuals covered by the system:
NEA employees and job applicants.
Categories of records in the system:
Contains transcripts, documentation concerning pre-complaint
counseling activities, documentation concerning filing of complaint,
written records of terms of adjustment and disposition of complaint.
Authority for maintenance of the system:
Title 5 CFR chapter I, part 713.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Implementation of NEA program for equal opportunity in employment and
personnel operations; disclosure may be made to a congressional office
from the record of an individual in response to an inquiry from the
congressional office made at the request of the individual about whom
the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in legal size folder.
Retrievability:
Retrievable by name.
Safeguards:
Maintained in lockable filing cabinets.
Retention and disposal:
Disposition in accordance with GRS 1, Item 26.
System manager(s) and address:
Equal Employment Opportunity Officer, National Endowment for the Arts,
2401 E St., NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained. NEA employees involved in
the claim or proceeding.
NEA-5
System name: Grant Applications, NEA-5.
System location: 2401 E St., NW, Washington, DC 20506.
Categories of individuals covered by the system: Individuals applying to
the National Endowment for the Arts for financial assistance.
Categories of records in the system: Grant application, sample of work
where appropriate.
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 the purposes of such uses: General Administration of
grant review process; statistical research; congressional oversight
and analysis of trends; disclosure may be made to a congressional
office from the record of an individual in response to an inquiry
from the congressional office made at the request of the individual
about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Grant applications maintained in legal size folder, and related
machine-readable files stored in an automated grants management
system.
Retrievability: Indexed by name and application number.
Safeguards: Records are maintained in a lockable file cabinet.
Retention and disposal: Unscheduled records, disposition to be
determined.
System manager(s) and address: Grants Officer, National Endowment for
the Arts, Room 1144, 2401 E St., NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Individual on whom the record is maintained.
NEA-6
System name: Grants to Individuals, NEA-6.
System location: Grants Office, 2401 E St., NW, Washington, DC 20506
Categories of individuals covered by the system: Individuals receiving
grant awards (fellowships) from the National Endowment for the Arts.
Categories of records in the system: Grant application, including sample
of work where appropriate, award notification letter, grant award
acceptance agreement, payment schedule, relevant correspondence,
final report.
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 the purposes of such uses: General administration of
grant review and award process; statistical research; congressional
oversight and analysis of trends; disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Grant case file maintained in legal size folder, and related
machine-readable file stored in an automated grants management
system.
Retrievability: Indexed by name and grant number.
Safeguards: Records are maintained in lockable filing cabinets.
Retention and disposal: Unscheduled records, disposition to be
determined.
System manager(s) and address: Grants Officer, National Endowment for
the Arts, Room 1144, 2401 E St., NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Individual on whom the record is maintained.
NEA employees involved in the administration of the grant.
NEA-7
System name: Personnel Records, NEA-7.
System location:
Personnel Division, Room W-717, 2401 E St., NW, Washington, DC 20506.
Categories of individuals covered by the system:
NEA employees.
Categories of records in the system:
Contains copies of official peronnel records.
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 the purposes of such uses:
Identification of NEA employees and their personnel records. Used for
internal reporting; also referred to any appropriate agency, private
organization or official in the course of an employment or security
clearance investigation; disclosure may be made to a congressional
office from the record of an individual in response to an inquiry from
the congressional office made at the request of an individual about
whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in letter size folder.
Retrievability:
Retrieved by name.
Safeguards:
Stored in lockable file cabinets.
Retention and disposal:
Retained during course of employment and for one month subsequent to
termination thereof; thereafter sent to St. Louis, Mo.
System manager(s) and address:
Personnel Officer, National Endowment for the Arts, Room W-711, 2401 E
St., NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual to whom the record pertains, NEA employees.
NEA-8
System name: Fellows, NEA-8.
System location:
Fellowship Program, Rm. 1323, 2401 E St., NW, Washington, DC 20506.
Categories of individuals covered by the system:
Past and present participants in the National Endowment Fellowship
Program.
Categories of records in the system:
Contains resume and essay submitted by candidate, letters of
recommendation, grant award letter, cash request, correspondence.
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 the purposes of such uses:
Identification of past and present participants in the National
Endowment Fellowship Program, general reference purposes; disclosure
may be made to a congressional office from the record of an individual
in response to an inquiry from the congressional office made at the
request of the individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in legal size folder.
Retrievability:
Indexed by name.
Safeguards:
Records are maintained in lockable filing cabinets.
Retention and disposal:
Unscheduled records, disposition to be determined.
System manager(s) and address:
Fellowship Program Officer, National Endowment for the Arts, Room
1323, 2401 E St., NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained, reference sources for
individual.
NATIONAL ENDOWMENT FOR THE HUMANITIES
NEH-1
System name: Consultants, Reviewers and Panelists--NEH--1.
System location: NEH--806 15th Street, NW, Washington, DC 20506.
Categories of individuals covered by the system: Past and present
members of the National Council on the Humanities, Advisory Panels
to the Humanities Endowment, and scholars and experts who may be
called upon to serve on advisory panels or to review applications.
Categories of records in the system: Contains name, address and
telephone number of individual. Contains compensation claims, travel
diaries, notification of personnel actions, correspondence. May
contain curriculum vitae and press clippings.
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.).
The records are used by Endowment staff in administration of our peer
review system, including identification of scholars to serve as
consultants, reviewers and panelists; disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Maintained in 9 inch by 12 inch folders or computer data base.
Retrievability: Indexed by name or indexed keys.
Safeguards: Records are maintained in lockable drawers, file cabinets,
or computer controlled by passwords.
Retention and disposal: Retained indefinitely.
System manager(s) and address: Secretary to the National Endowment for
the Humanities, ADP Systems, Room 817, 1100 Pennsylvania Avenue NW,
Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Record source categories: Individual on whom record is maintained,
newspapers and journals, Endowment employees.
NEH-2
System name: Contract--NEH-2.
System location:
NEH--Office of the General Counsel, Room 530-1100 Pennsylvania Avenue,
NW, Washington, DC 20506.
Categories of individuals covered by the system:
Individuals who have entered into contracts with the Endowment.
Categories of records in the system:
Contains contract, including name and address of contractor, specific
and general contract provisions, contract amendments, correspondence,
relevant back-up material.
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 the purposes of such uses:
General Accounting Office audits; reporting on agency contracting
activities to the Federal Procurement Data Center and other agencies,
general congressional oversight; disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12). Disclosure may be made
from this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Act
of 1982 (31 U.S.C. 3711(d)(4)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in 12 inch by 10 inch folders.
Retrievability:
Indexed by name and number.
Safeguards:
Records are maintained in a lockable file cabinet.
Retention and disposal:
Scheduled for destruction 6 years, 3 months after final payment is
made.
System manager(s) and address:
General Counsel--NEH Room 530, 1100 Pennsylvania Avenue, NW,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained. Foundation employees
involved in contract development, administration, and execution.
NEH-3
System name: Employee Payroll and Leave and Attendance Records
and Files--NEH-3.
System location: Payroll Processing Branch, 1500 Bannister Road, Kansas
City, MO 64131.
Categories of individuals covered by the system: Endowment employees.
Categories of records in the system: Records consist of manual and
automated files containing payroll-related information for Endowment
employees. Payroll and leave and attendance records and information
includes many records or information also maintained in employee's
official folder and related files maintained in accordance with
Office of Personnel Management regulations and of which notice has
been given by the OPM in its notice of Governmentwide systems of
personnel records. Payroll and related information consists of
various forms which disclose on a biweekly, year-to-date, and in
some cases an annual basis, payroll and leave data for each employee
relating to rate and amount of pay, leave, and hours worked, and
leave balances; tax and retirement deductions; life insurance and
health insurance deductions; savings allotments; savings bond and
charity deductions; mailing addresses and home addresses.
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.),
Federal Personnel Manual and Treasury Fiscal Requirements Manual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Used to prepare payroll and
to meet Government payroll recordkeeping and reporting requirements,
and for retrieving and supplying payroll and leave information as
required for agency needs. Notice of Governmentwide Systems of
Personnel Records: ``C.S.C.--General Personnel Records (Official
Personnel folder and records related thereto)''; disclosure may be
made to a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the
request of the individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Time and attendance files maintained on 8 inch by 5 inch cards
included with other information maintained in 9 inch by 12 inch
folders or computer data base.
Retrievability: Indexed by name.
Safeguards: Records are maintained in a lockable file cabinet, or
computer data base controlled by password.
Retention and disposal: Records maintained for three years or until
audited by the General Accounting Office.
System manager(s) and address: Accounting Officer, Room 317, 1100
Pennsylvania Avenue, NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Record source categories: Individual on whom the record is maintained.
NEH-4
System name: Equal Employment Opportunity Case File-NEH-4.
System location: Room 506, 806 15th Street, NW, Washington, DC 20506.
Categories of records in the system: Contains transcripts, documentation
concerning pre-complaint counseling activities, documentation
concerning filing of complaint, written records of terms of
adjustment and disposition of complaint.
Authority for maintenance of the system: Title 5 CFR, chapter I, part
713.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Implementation of Endowment
program for equal opportunity in employment and personnel
operations; disclosure may be made to a congressional office from
the record of an individual in response to an inquiry from the
congressional office made at the request of the individual about
whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Maintained in 9 inch by 12 inch folders.
Retrievability: Retrievable by name.
Safeguards: Maintained in lockable filing cabinets.
Retention and disposal: Retained for four years after resolution of the
case, then destroyed.
System manager(s) and address: Equal Employment Opportunity Officer,
Room 506, 806 15th St., NW, Washington, DC 20506.
Notification procedure: See 45 CFR part 1115.
Record access procedures: Same as above.
Record source categories: Individual on whom the record is maintained.
Foundation employees involved in the claim or proceeding.
NEH-5
System name: Grant Applications--NEH-5.
System location:
1100 Pennsylvania Avenue, NW, Washington, DC 20506.
Categories of individuals covered by the system:
Individuals and institutions applying to the National Endowment for
the Humanities for financial assistance.
Categories of records in the system:
Grant application, sample of work where appropriate.
Authority for maintenance of the system:
National Foundation on the Arts and 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 the purposes of such uses:
Grant applications, as part of the Endowment's grant review process,
are reviewed and discussed by peer review panels comprised of scholars
and other experts, by Endowment staff, and by members of the National
Council on the Humanities. In addition, in some programs, applications
are also evaluated by specialist reviewers in the specific fields
addressed by the applications. Applications are also used for
statistical research; congressional oversight and analysis of trends.
Disclosures may be made as part of the grant review process or to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of the
individual about whom the record is maintained.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
9 inch by 12 inch folders.
Retrievability:
Indexed by name of applicant.
Retention and disposal:
Successful applicants are merged into ``Grants to Individuals and
Institutions'' file. Rejected applications are retained for five years
then destroyed.
System manager(s) and address:
Grants Officer--NEH, Room 310, 1100 Pennsylvania Avenue, NW,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Record source categories:
Individual and institution on whom the record is maintained.
NEH-6
System name: Grants to Individuals and Institutions- NEH-6.
System location:
1100 Pennsylvania Avenue, NW, Washington, DC 20506.
Categories of individuals covered by the system:
Individuals and institutions receiving grant awards from the National
Endowment for the Humanities.
Categories of records in the system:
Grant application including sample of work where appropriate, award
notification letter, grant award acceptance agreement, payment
schedule, relevant correspondence, final report.
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 the purposes of such uses:
Administrative processing, general statistical research, congressional
analysis of trends, disclosure may be made to a congressional office
from the record of an individual in response to an inquiry from the
congressional office made at the request of the individual about whom
the record is maintained.
Information concerning grantees, principal investigator's location of
grantees, title of grant, field of study, type of grantee, special
characteristics, length of award, application date, date of
recommendation, grant number, division and program element, amount and
brief description of purpose of award is routinely forwarded to the
Smithsonian Science Information Exchange (SSIE) and the Foreign Area
Research Unit (FARU) in the Intelligence and Research Office of the
Department of State.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b) (12): Disclosure may be made
from this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f) or the Debt Collection Act of
1982 (31 U.S.C. 3711(d)(4)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in 9 inch by 12 inch folders.
Retrievability:
Indexed by name of individual, name of institution and number.
Safeguards:
Records are maintained in a lockable filing cabinet.
Retention and disposal:
After receipt of final reports. Retained for ten years.
System manager(s) and address:
Grants Office-- NEH, Room 310, 1100 Pennsylvania Avenue, NW,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1115.
Record access procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained. Employees involved in
administration of the grant.
NEH-7
System name: Personnel Records--NEH-7.
System location: Room 410, 806 15th Street, NW, Washington, DC 20506.
This system of records is part of the Office of Personnel Management's
government-wide system of personnel records ``OPM/GOVT--1--General
Personnel Records'' and subject to that agency's rules.
PRIVACY ACT RULES
ARTS AND THE HUMANITIES, NATIONAL FOUNDATION
Title 45-Public Welfare
Chapter XI-National Foundation on the Arts and the Humanities
PART 1115--PRIVACY ACT REGULATIONS
Sec.
1115.1 Purpose and scope.
1115.2 Definitions.
1115.3 Procedures for notification of existence of records pertaining
to individuals.
1115.4 Procedures for requests for access to or disclosure of records
pertaining to an individual.
1115.5 Correction of records.
1115.6 Disclosure of records to agencies or persons other than the
individual to whom the record pertains.
1115.7 Exemptions.
Authority: 5 U.S.C. 552a(f).
Source: 40 FR 49286, Oct. 21, 1975, unless otherwise noted.
Sec. 1115.1 Purpose and scope.
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.
Sec. 1115.2 Definitions.
For purposes of this part:
(a) ``Foundation'' means the National Foundation on the Arts and the
Humanities.
(b) ``Act'' means the Privacy Act of 1974 (Pub. L. 93-579).
(c) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(d) ``Maintain'', used with reference to a record means to collect, to
use, to disseminate, to have control over and responsibility for such
record.
(e) ``Record'' 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.
(f) ``Routine use'' 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
Federal Register.
(g) ``System of records'' 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.
Sec. 1115.3 Procedures for notification of existence of records
pertaining to individuals.
(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 Federal Register 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 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.
(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).
(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.
Sec. 1115.4 Procedures for requests for access to or disclosure of
records pertaining to an individual.
(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 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.
(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--
GRANT APPLICATIONS--NEA.
GRANT APPLICATIONS--NEH.
GRANTS TO INDIVIDUALS--NEA.
GRANTS TO INDIVIDUALS AND INSTITUTIONS--NEH.
EQUAL EMPLOYMENT OPPORTUNITY CASE FILE--NFAH NEA/NEH.
EMPLOYEE PAYROLL--NFAH.
PERSONNEL RECORDS--NFAH.
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.
(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):
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).
Signature
Date
In the County of--------------------State of--------------------.
On this ----day of
(Name of individual)
who is personally known to me, did appear before me and sign the above
certificate.
Signature
Date
(s) My Commission expires
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.
(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.
1115.5 Correction of records.
(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.
(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.
(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.
(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.
(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.
Sec. 1115.6 Disclosure of records to agencies or persons other than
the individual to whom the record pertains.
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:
(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.
(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)-
(11).
Sec. 1115.7 Exemptions.
(a) Fellowships and grants. 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.
(b) Applicants for employment. 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''.