[Privacy Act Issuances (1997)]
[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
NEA-1 Panelists, Automated Panel Bank System (APBS).
NEA-2 Panelists, Paper Files.
NEA-3 National Council on the Arts (Council).
NEA-4 Grants, Grants Management System (GMS).
NEA-5 Grants, Paper Files.
NEA-6 Contracts and Cooperative Agreements.
NEA-7 Payroll/Personnel System.
NEA-8 Government Purchasing Card Holders
NEA-9 Financial Management Information System (FMIS).
NEA-10 Finance, Subsidiary Tracking Systems.
NEA-11 Finance, Paper Files.
NEA-12 Equal Employment Opportunity Complaint Case Files.
NEA-13 Civil Rights Complaint Case Files.
NEA-14 Office of the Inspector General Investigative Files.
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
Statement of General Routine Uses
The following general routine uses are incorporated by this
reference into each system of records set forth herein, unless
specifically limited in the system description.
1. A record may be disclosed as a routine use to a Member of
Congress or his or her staff, when the Member of Congress or his or
her staff requests the information on behalf of and at the request of
the individual who is the subject of the record.
2. A record may be disclosed as a routine use to designated
officers and employees of other agencies and departments of the
Federal government having an interest in the subject individual for
employment purposes (including the hiring or retention of any
employee; the issuance of a security clearance; the letting of a
contract; or the issuance of a license, grant, or other benefit by
the requesting agency) to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter
involved.
3. In the event that a record in a system of records maintained
by the Endowment indicates, either by itself or in combination with
other information in the Endowment's possession, a violation or
potential violation of the law (whether civil, criminal, or
regulatory in nature, and whether arising by statute or by
regulation, rule, or order issued pursuant thereto), that record may
be referred, as a routine use, to the appropriate agency, whether
Federal, state, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation, or charged with
enforcing or implementing the statute, rule, regulation, or order
issued pursuant thereto. Such referral shall be deemed to authorize:
(1) Any and all appropriate and necessary uses of such records in a
court of law or before an administrative board or hearing; and (2)
Such other interagency referrals as may be necessary to carry out the
receiving agencies' assigned law enforcement duties.
4. The names, Social Security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed as a
routine use to the Office of Child Support Enforcement,
Administration for Children and Families, Department of Health and
Human Services, as follows:
(a) For use in the Federal Parent Locator System (FPLS) and the
Federal Tax Offset System for the purpose of locating individuals to
establish paternity, establishing and modifying orders of child
support, identifying sources of income, and for other child support
enforcement actions as required by the Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193);
(b) For release to the Social Security Administration for the
purpose of verifying Social Security numbers in connection with the
operation of the FPLS; and
(c) For release to the U.S. Department of the Treasury (Treasury)
for the purpose of payroll, savings bonds, and other deductions;
administering the Earned Income Tax Credit Program (Section 32,
Internal Revenue Code of 1986); and verifying a claim with respect to
employment on a tax return, as required by the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub.
L. 104-193).
5. A record may be disclosed as a routine use in the course of
presenting evidence to a court, magistrate, or administrative
tribunal of appropriate jurisdiction, and such disclosure may include
disclosures to opposing counsel in the course of settlement
negotiations.
6. Information from any system of records may be used as a data
source for management information, for the production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies.
Information may also be disclosed to respond to general requests for
statistical information (without personal identification of
individuals) under the Freedom of Information Act.
7. A record may be disclosed as a routine use to a contractor,
expert, or consultant of the Endowment (or an office within the
Endowment) when the purpose of the release is to perform a survey,
audit, or other review of the Endowment's procedures and operations.
8. A record from any system of records may be disclosed as a
routine use to the National Archives and Records Administration in
records management inspections conducted under authority of 44 U.S.C.
2904 and 2906.
9. A record may be disclosed to a contractor, grantee, or other
recipient of Federal funds when the record to be released reflects
serious inadequacies with the recipient's personnel, and disclosure
of the record is for the purpose of permitting the recipient to
effect corrective action in the government's best interests.
10. A record may be disclosed to a contractor, grantee, or other
recipient of Federal funds when the recipient has incurred an
indebtedness to the government through its receipt of government
funds, and release of the record is for the purpose of allowing the
debtor to effect a collection against a third party.
11. Information in a system of records may be disclosed as a
routine use to the Treasury; other Federal agencies; ``consumer
reporting agencies'' (as defined in the Fair Credit Reporting Act, 15
U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31
U.S.C. 3701(a)(3)); or private collection contractors for the purpose
of collecting a debt owed to the Federal government as provided in
the regulations promulgated by the Endowment and published at 45 CFR
part 1150.
Statement of General Routine Uses
The following general routine uses are incorporated by this
reference into each system of records set forth herein, unless
specifically limited in the system description.
1. A record may be disclosed as a routine use to a Member of
Congress or his or her staff, when the Member of Congress or his or
her staff requests the information on behalf of and at the request of
the individual who is the subject of the record.
2. A record may be disclosed as a routine use to designated
officers and employees of other agencies and departments of the
Federal government having an interest in the subject individual for
employment purposes (including the hiring or retention of any
employee; the issuance of a security clearance; the letting of a
contract; or the issuance of a license, grant, or other benefit by
the requesting agency) to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter
involved.
3. In the event that a record in a system of records maintained
by the Endowment indicates, either by itself or in combination with
other information in the Endowment's possession, a violation or
potential violation of the law (whether civil, criminal, or
regulatory in nature, and whether arising by statute or by
regulation, rule, or order issued pursuant thereto), that record may
be referred, as a routine use, to the appropriate agency, whether
Federal, state, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation, or charged with
enforcing or implementing the statute, rule, regulation, or order
issued pursuant thereto. Such referral shall be deemed to authorize:
(1) Any and all appropriate and necessary uses of such records in a
court of law or before an administrative board or hearing; and (2)
Such other interagency referrals as may be necessary to carry out the
receiving agencies' assigned law enforcement duties.
4. The names, Social Security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed as a
routine use to the Office of Child Support Enforcement,
Administration for Children and Families, Department of Health and
Human Services, as follows:
(a) For use in the Federal Parent Locator System (FPLS) and the
Federal Tax Offset System for the purpose of locating individuals to
establish paternity, establishing and modifying orders of child
support, identifying sources of income, and for other child support
enforcement actions as required by the Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 (Pub. L. 104-193);
(b) For release to the Social Security Administration for the
purpose of verifying Social Security numbers in connection with the
operation of the FPLS; and
(c) For release to the U.S. Department of the Treasury (Treasury)
for the purpose of payroll, savings bonds, and other deductions;
administering the Earned Income Tax Credit Program (Section 32,
Internal Revenue Code of 1986); and verifying a claim with respect to
employment on a tax return, as required by the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub.
L. 104-193).
5. A record may be disclosed as a routine use in the course of
presenting evidence to a court, magistrate, or administrative
tribunal of appropriate jurisdiction, and such disclosure may include
disclosures to opposing counsel in the course of settlement
negotiations.
6. Information from any system of records may be used as a data
source for management information, for the production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies.
Information may also be disclosed to respond to general requests for
statistical information (without personal identification of
individuals) under the Freedom of Information Act.
7. A record may be disclosed as a routine use to a contractor,
expert, or consultant of the Endowment (or an office within the
Endowment) when the purpose of the release is to perform a survey,
audit, or other review of the Endowment's procedures and operations.
8. A record from any system of records may be disclosed as a
routine use to the National Archives and Records Administration in
records management inspections conducted under authority of 44 U.S.C.
2904 and 2906.
9. A record may be disclosed to a contractor, grantee, or other
recipient of Federal funds when the record to be released reflects
serious inadequacies with the recipient's personnel, and disclosure
of the record is for the purpose of permitting the recipient to
effect corrective action in the government's best interests.
10. A record may be disclosed to a contractor, grantee, or other
recipient of Federal funds when the recipient has incurred an
indebtedness to the government through its receipt of government
funds, and release of the record is for the purpose of allowing the
debtor to effect a collection against a third party.
11. Information in a system of records may be disclosed as a
routine use to the Treasury; other Federal agencies; ``consumer
reporting agencies'' (as defined in the Fair Credit Reporting Act, 15
U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31
U.S.C. 3701(a)(3)); or private collection contractors for the purpose
of collecting a debt owed to the Federal government as provided in
the regulations promulgated by the Endowment and published at 45 CFR
part 1150.
NEA-1
System name:
Panelists, Automated Panel Bank System (APBS).
System location:
Information Management Division; 1100 Pennsylvania Avenue, NW;
Washington, DC 20506.
Categories of individuals covered by the system:
Individuals whom the Endowment may ask or has asked to serve on
application review panels.
Categories of records in the system:
Name, address, telephone number, Social Security number, and
other data concerning potential and actual panelists, including
information about areas of artistic expertise and prior panel
service.
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.)
Purpose(s):
To provide a central repository for information about art experts
who could be or have been called upon to serve on application review
panels and make recommendations on grant awards.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system is used for identification of panelists and
their activities in this capacity. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in an electronic database.
Retrievability:
Records in this system are retrieved by name or Social Security
number.
Safeguards:
This system is maintained in a locked computer room that can be
accessed only by authorized employees of the Endowment or the
National Endowment for the Humanities. Access to records in this
system is further controlled by password, with different levels of
modification rights assigned to individuals and offices at the
Endowment based on their specific job functions.
Retention and disposal:
Records in this system are maintained and updated on a continuing
basis, as new information is received by the Office of Guidelines and
Panel Operations. Endowment staff will periodically request updated
information from individuals who are registered in the APBS.
Endowment staff will also periodically purge the APBS of records
pertaining to individuals who have been in the APBS for three to five
years, but who have not served on a panel or had their records
updated. Records will be removed only with the concurrence of the
appropriate discipline directors.
System manager(s) and address:
Director of Guidelines and Panel Operations and/or Director of
Information Management; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees and other individuals
nominating potential panelists.
Exemptions claimed for the system:
None.
NEA-2
System name:
Panelists, Paper Files.
System location:
1100 Pennsylvania Avenue, NW; Washington, DC 20506.
Categories of individuals covered by the system:
Individuals whom the Endowment may ask or has asked to serve on
application review panels.
Categories of records in the system:
Additional information about potential and actual panelists. This
system includes materials such as resumes, panelist profile forms,
and contracts concerning participation on panels.
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.)
Purpose(s):
To supplement the APBS with information well suited for
maintenance in hard copy form.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system is used for identification of panelists and
their activities in this capacity. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in filing cabinets.
Retrievability:
Records in this system are retrieved by name.
Safeguards:
Rooms containing the records in this system are kept locked
during non-working hours.
Retention and disposal:
The Office of Guidelines and Panel Operations maintains paper
files that grow as individuals, or discipline directors who are
proposing individuals for service on panels, submit resumes. Resumes
and profile forms are removed from these files only when they are
replaced by more recent information or when individuals are purged
from the APBS, as described above. Discipline offices may also
maintain paper files about individuals who have served on panels for
their divisions. These files may include panelist contracts, copies
of which are forwarded to the Endowment's Finance office. Each office
destroys its panelist contracts after a set interval.
System manager(s) and address:
Coordinator of Panel Operations and/or Director of Finance/CFO;
National Endowment for the Arts; 1100 Pennsylvania Avenue, NW.,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees and other individuals
nominating potential panelists.
Exemptions claimed for the system:
None.
NEA-3
System name:
National Council on the Arts (Council).
System location:
Office of Council Operations; 1100 Pennsylvania Avenue, NW.,
Washington, DC 20506.
Categories of individuals covered by the system:
Past and present members of the National Council on the Arts.
Categories of records in the system:
Name, address, telephone number, Social Security number, and
other information concerning past and present members of the Council,
such as press clippings and 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.).
Purpose(s):
To provide a central repository for information about past and
present members of the Council.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system is used for identification of members of the
Council and their activities in this capacity. See also the list of
General Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in file cabinets.
Retrievability:
Records in this system are retrieved by name.
Safeguards:
Rooms containing the records in this system are kept locked
during non-working hours.
Retention and disposal:
Records in this system are maintained on an indefinite basis for
reference purposes.
System manager(s) and address:
Coordinator of Council Operations; National Endowment for the
Arts; 1100 Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved with the
activities of the Council.
Exemptions claimed for the system:
None.
NEA-4
System name:
Grants, Grants Management System (GMS).
System location:
Information Management Division; 1100 Pennsylvania Avenue, NW;
Washington, DC 20506.
Categories of individuals covered by the system:
Individuals who have applied to the Endowment for financial
assistance in the form of grants.
Categories of records in the system:
Name, address, telephone number, date of birth, Social Security
number, identification numbers assigned by the Endowment, National
Standard and agency-established codes, and grant action dates.
Financial and banking information is not maintained in the GMS.
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).
Purpose(s):
To provide a central repository for information about grant
applicants, recipients, and awards.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be used for general administration of the
grant review and award process, statistical research, Congressional
oversight, and analysis of trends. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in an electronic database.
Retrievability:
Records in this system are retrieved by name, application number,
grant number, or constituent identification number.
Safeguards:
This system is maintained in a locked computer room that can be
accessed only by authorized employees of the Endowment and the
National Endowment for the Humanities. Access to records in this
system is further controlled by password, with different levels of
modification rights assigned to individuals and offices at the
Endowment based on their specific job functions.
Retention and disposal:
Records in this system are maintained on an indefinite basis for
reference purposes.
System manager(s) and address:
Director of Grants and Contracts and/or Director of Information
Management; National Endowment for the Arts; 1100 Pennsylvania
Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved in the
administration of grants.
Exemptions claimed for the system:
None.
NEA-5
System name:
Grants, Paper Files.
System location:
1100 Pennsylvania Avenue, NW; Washington, DC 20506.
Categories of individuals covered by the system:
Individuals who have applied to the Endowment for financial
assistance in the form of grants.
Categories of records in the system:
Additional information concerning Endowment decisions to award
grants, disburse funds, and close out grants. Materials include grant
applications, samples of work, award notification letters and any
approved amendments, payment requests, correspondence, and final
reports.
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.)
Purpose(s):
To supplement the GMS with information well suited for
maintenance in hard copy form.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be used for general administration of the
grant review and award process, statistical research, Congressional
oversight, and analysis of trends. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in file cabinets.
Retrievability:
Records in this system are retrieved by name, application number,
or grant number.
Safeguards:
Rooms containing records in this system are kept locked during
non-working hours.
Retention and disposal:
The Grants and Contracts Office maintains grants paper files,
which are retired and destroyed after seven years. Discipline offices
also maintain paper files about grants in their divisions. When the
final descriptive and financial status reports are received and
accepted, the discipline office files are retired first to the
Federal Records Center, and then to the National Archives and Records
Administration.
System manager(s) and address:
Director of Grants and Contracts and/or Director of
Administrative Services; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved in the
administration of grants.
Exemptions claimed for the system:
None.
NEA-6
System name:
Contracts and Cooperative Agreements.
System location:
1100 Pennsylvania Avenue, NW; Washington, DC 20506.
Categories of individuals covered by the system:
Individuals who have entered administrative contracts or
cooperative agreements with the Endowment.
Categories of records in the system:
Relevant information concerning the contract or cooperative
agreement, such as copies of the signed document and requests for
payment/invoices.
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).
Purpose(s):
To maintain a record of contracts and cooperative agreements
entered by the Endowment.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be used for General Accounting Office
audits and Congressional oversight. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Grants and Contracts Office maintains records in this system
in an electronic database, word processing files, and file cabinets.
The Finance office also maintains paper files in this system in file
cabinets.
Retrievability:
Database files are retrieved by name or by contract or
cooperative agreement number. Word processing files are retrieved by
contract or cooperative agreement number. Paper files maintained by
the Grants and Contracts Office are retrieved by name. Paper files
maintained by the Finance Office are retrieved by name, Social
Security number, vendor number, or cooperative agreement number.
Safeguards:
Database and word processing files are protected by a password
available to Grants and Contracts Office staff. Rooms containing
paper files are kept locked during non-working hours.
Retention and disposal:
Database and word processing files are maintained on an
indefinite basis for reference purposes. Paper files maintained by
the Grants and Contracts Office are shipped to the National Archives
and Records Administration after the contract or cooperative
agreement is physically completed, and they are destroyed six years
and three months later. Paper files maintained by the Finance Office
are also maintained for six years and three months, and then
destroyed.
System manager(s) and address:
Director of Grants and Contracts and/or Director of Finance/CFO;
National Endowment for the Arts; 1100 Pennsylvania Avenue, NW.,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved in contract
development, administration, and execution.
Exemptions claimed for the system:
None.
NEA-7
System name:
Payroll/Personnel System.
System location:
1100 Pennsylvania Avenue, NW., Washington, DC 20506.
Categories of individuals covered by the system:
Employees of the Endowment.
Categories of records in the system:
Payroll and personnel information, such as time and attendance
data, statements of earnings and leave, training data, wage and tax
statements, and payroll and personnel transactions. This system
includes data that is also maintained in the Endowment's official
personnel folders, which are managed in accordance with Office of
Personnel Management (OPM) regulations. The OPM has given notice of
its system of records covering official personnel folders in OPM/
GOVT-1.
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.
Purpose(s):
To document the Endowment's personnel processes and to calculate
and process payroll.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be transmitted to the U.S. Departments of
Agriculture and Treasury, and employee-designated financial
institutions to effect issuance of paychecks to employees and
distributions of pay according to employee directions for authorized
purposes. Data in this system may also be used to prepare payroll,
meet government record keeping and reporting requirements, and
retrieve and apply payroll and personnel information as required for
agency needs. See also the list of General Routine Uses contained in
the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records in this system are maintained off-site by the
Department of Agriculture's National Finance Center (NFC). Paper
records generated through the NFC are maintained in file cabinets by
the Offices of Human Resources, Finance, and Budget after arriving at
the Endowment. Discipline offices may also use file cabinets to
maintain paper records concerning performance reviews and other
personnel actions in their divisions.
Retrievability:
Records in this system are retrieved by name, Social Security
number, or date of birth.
Safeguards:
Access to the electronic records in this system is controlled by
password on the limited number of Endowment computers that can be
used to draw information from the NFC. File cabinets containing the
paper records in this system are either kept locked during non-
business hours, or are file cabinets are located in rooms which are
kept locked during non-business hours.
Retention and disposal:
The Office of Human Resources maintains paper records in this
system in accordance with the General Services Administration's
General Records Schedule 2. Division offices may maintain paper
records concerning performance reviews and other personnel actions in
their divisions for the duration of an individual's employment with
the Endowment. The Finance Office maintains its records for six years
and three months before destroying them.
System manager(s) and address:
Director of Human Resources; National Endowment for the Arts;
1100 Pennsylvania Avenue, NW., Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved in the
administration of personnel and payroll processes.
Exemptions claimed for the system:
None.
NEA-8
System name:
Government Purchasing Card Holders
System location:
1100 Pennsylvania Avenue, NW, Washington, DC 20506.
Categories of individuals covered by the system:
Endowment employees who have been issued credit cards to make
official purchases.
Categories of records in the system:
Name, office, account number, and spending limits.
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.).
Purpose(s):
To maintain a record of Endowment employees authorized to use
government purchasing cards.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the list of General Routine Uses contained in the Preliminary
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Grants and Contracts Office maintains records in this system
in an electronic database. The Finance Office maintains additional
paper records in this system in file cabinets.
Retrievability:
Electronic records in this system are retrieved by name, office,
account number, or spending limit. Paper records in this system are
retrieved by name or social security number.
Safeguards:
Access to electronic records in this system is controlled by a
password, which is available only to the Coordinator of Contracts and
Cooperative Agreements. Rooms containing paper records in this system
are kept locked during non-working hours.
Retention and disposal:
Records in this system are maintained on an indefinite basis for
reference purposes.
System manager(s) and address:
Director of Grants and Contracts and/or Director of Finance/CFO;
National Endowment for the Arts; 1100 Pennsylvania Avenue, NW,
Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, as well as from Endowment employees involved in
administration and oversight of government purchasing cards.
Exemptions claimed for the system:
None.
NEA-9
System name:
Financial Management Information System (FMIS).
System location:
Information Management Division; 1100 Pennsylvania Avenue, NW,
Washington, DC 20506.
Categories of individuals covered by the system:
Grant recipients, Endowment employees, vendors, and other
individuals involved in financial transactions with the Endowment.
Categories of records in the system:
Name, address, Social Security number, object class, category
code, discipline code, office code, sub-object class code, bank
information, Common Accounting Number, Council meeting number,
document number, schedule number, tax/employee identification number,
vendor number, funding fiscal year, transaction processing dates, and
fund type.
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.).
Purpose(s):
To promote effective fund control and financial management; to
provide a central repository for information about the Endowment's
financial transactions; and to enable the Budget and Finance offices
to share a common system for entering allocation, commitment, and
obligation information.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the list of General Routine Uses contained in the Preliminary
Statement. In addition, this system interfaces with the Grants
Management System (GMS) (see NEA-4) and extracts data from a magnetic
tape containing Payroll/Personnel information generated by the
Department of Agriculture's National Finance Center (NFC).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in computer processible
storage media. Paper records are maintained in file cabinets.
Retrievability:
Records in this system are retrieved by name, Social Security
number, tax/employee identification number, vendor number, document
number, or coding elements.
Safeguards:
This system is maintained in a locked computer room that can be
accessed only by authorized employees of the Endowment and the
National Endowment for the Humanities. Access to records in this
system is further controlled by password, available to the Budget,
Finance, and Information Management Offices. Different levels of
modification rights are assigned to these three offices and Endowment
employees therein, based on their specific job functions. Rooms
containing paper files are kept locked during non-working hours.
Retention and disposal:
Records in this system are maintained for six years and three
months.
System manager(s) and address:
Director of Finance/CFO; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system and from Endowment employees who are involved with the
Endowment's fund control and financial management.
Exemptions claimed for the system:
None.
NEA-10
System name:
Finance, Subsidiary Tracking Systems.
System location:
Finance Office; 1100 Pennsylvania Avenue, NW; Washington, DC
20506.
Categories of individuals covered by the system:
Grant recipients, Endowment employees, vendors, and other
individuals involved in financial transactions with the Endowment.
Categories of records in the system:
(1) The Electronic Certification System (ECS) Files contain
payment information for processing all payments.
(2) The Metro Fare Card Program Files contain data concerning
Endowment employees' applications for mass transit fare cards, and
subsequent transactions.
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.).
Purpose(s):
To supplement the FMIS with electronic records that cannot be
maintained within that system.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the list of General Routine Uses contained in the Preliminary
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in electronic databases.
Retrievability:
(1) Records in the Electronic Certification System (ECS) are
retrieved by name, Social Security number, or vendor number.
(2) Records in the Metro Fare Card Program Files are retrieved by
name or Social Security number.
Safeguards:
Access to records in this system is controlled by password.
Retention and disposal:
Records in this system are maintained on an indefinite basis for
reference purposes.
System manager(s) and address:
Director of Finance/CFO; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system and from Endowment employees who are involved with the
management of these subsidiary tracking systems.
Exemptions claimed for the system:
None.
NEA-11
System name:
Finance, Paper Files.
System location:
Finance Office; 1100 Pennsylvania Avenue, NW; Washington, DC
20506.
Categories of individuals covered by the system:
Grant recipients, Endowment employees, vendors, and other
individuals involved in financial transactions with the Endowment.
Categories of records in the system:
(1) The Accounts Receivables Files contain data concerning the
type and amount of debts owed to the Endowment, as well as debt
collection efforts. These files contain, as appropriate, the name and
address of the debtor; taxpayer's identification number; basis of the
debt; date a debt became delinquent; amounts accrued for interest,
penalties, administrative costs, and payment on account; date the
debt was referred to the Treasury for offset; and basis for
termination of debt. These files also include copies of bills for
collection; invoices; correspondence between the Endowment and the
debtor relating to the debt; and documents required to refer accounts
to the Treasury, other Federal agencies, or private collection
contractor for debt collection.
(2) The Donations to Gift Fund Files contain copies of checks and
letters submitted by donors.
(3) The 1099 Files contain data concerning expenses over $600 per
calendar year that are reported to the Internal Revenue Service.
(4) The Travel Credit Cards Files contain applications for credit
cards.
(5) The Travel Authorizations Files contain employee data for
travel duty.
(6) The Travel Vouchers Files contain employee expense data from
travel duty.
(7) The Imprest Fund Files contain data concerning local taxi and
similar reimbursements to Endowment employees for authorized
Endowment expenses.
(8) The Star Awards Files contain data concerning awards for
Endowment employees.
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.). In addition, the maintenance of
debt collection records in the Accounts Receivables Files is
authorized by the Debt Collection Act of 1982, Pub. L. 97-365; the
Cash Management Improvement Act Amendments of 1992; and the Debt
Collection Improvement Act of 1996 (Pub. L. 104-134).
Purpose(s):
To supplement the FMIS with information well suited for
maintenance in hard copy form.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the list of General Routine Uses contained in the Preliminary
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in file cabinets.
Retrievability:
Records in this system are retrieved by name; Social Security
number; taxpayer identification number; or contract number of the
employee, contractor, or grantee.
Safeguards:
Rooms containing the records in this system are kept locked
during non-working hours.
Retention and disposal:
The retention and disposal of debt collection records in the
Accounts Receivables Files are covered by the General Services
Administration's General Records Schedule 6. Other records in this
system are retained on site or in storage for six years and three
months, and then destroyed.
System manager(s) and address:
Director of Finance/CFO; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system, Endowment employees, creditor agencies, collection agencies,
credit bureaus, Federal employing agencies, and other Federal
agencies furnishing identifying information.
Exemptions claimed for the system:
None.
NEA-12
System name:
Equal Employment Opportunity Complaint Case Files.
System location:
Civil Rights Office; 1100 Pennsylvania Avenue, NW; Washington, DC
20506.
Categories of individuals covered by the system:
Endowment employees and applicants for employment at the
Endowment who have filed formal complaints of discrimination against
the Endowment.
Categories of records in the system:
Relevant information concerning the complaint of discrimination,
such as correspondence and documentation concerning the filing of the
complaint and stages leading to its disposition.
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.).
Purpose(s):
To enable the Endowment to investigate and adjudicate internal
complaints of discrimination.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be disclosed as necessary to enforce or
implement the statute, rule, regulation, or order under which the
charge of discrimination has been filed. This authorization includes
disclosures of data to a Federal, state, or local agency charged with
the responsibility of investigating, enforcing, or implementing such
a statute, rule, regulation, or order. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained on computer diskettes and
in file cabinets.
Retrievability:
Records in this system are retrieved by name.
Safeguards:
Diskettes are kept in a locked file. Paper files are kept in a
locked file cabinet.
Retention and disposal:
Complaint files are destroyed four years after resolution of the
case.
System manager(s) and address:
Director of Civil Rights; National Endowment for the Arts; 1100
Pennsylvania Avenue, NW; Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system and from Endowment employees who are involved with the claim
or proceeding.
Exemptions claimed for the system:
None.
NEA-13
System name:
Civil Rights Complaint Case Files.
System location:
Civil Rights Office, 1100 Pennsylvania Avenue, NW., Washington,
DC 20506.
Categories of individuals covered by the system:
Individuals who have filed formal complaints of discrimination
against the Endowment. However, this system does not include
complaints made by either Endowment employees or applicants for
employment at the Endowment, which are covered as described above.
Categories of records in the system:
Relevant information concerning the complaint of discrimination,
including correspondence and documentation concerning the filing of
the complaint and stages leading to its disposition.
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.).
Purpose(s):
To enable the Endowment to investigate and adjudicate external
complaints of discrimination.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be disclosed as necessary to enforce or
implement the statute, rule, regulation, or order under which the
charge of discrimination has been filed. This authorization includes
disclosures of data to a Federal, state, or local agency charged with
the responsibility of investigating, enforcing, or implementing such
a statute, rule, regulation, or order. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained on computer diskettes and
in file cabinets.
Retrievability:
Records in this system are retrieved by name or a control number
assigned to each external complaint of discrimination.
Safeguards:
Diskettes are kept in a locked file. Paper files are kept in a
locked file cabinet.
Retention and disposal:
Complaint files are destroyed four years after resolution of the
case.
System manager(s) and address:
Director of Civil Rights, National Endowment for the Arts, 1100
Pennsylvania Avenue, NW, Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
See 45 CFR part 1159.
Contesting record procedures:
See 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals covered by the
system and from Endowment employees who are involved with the claim
or proceeding.
Exemptions claimed for the system:
None.
NEA-14
System name:
Office of the Inspector General Investigative Files.
System location:
Office of the Inspector General, 1100 Pennsylvania Avenue, NW.,
Washington, DC 20506.
Categories of individuals covered by the system:
Individuals and entities who are or have been the subject of
investigations by the Office of the Inspector General, or who provide
information in connection with such investigations. These individuals
include, but are not limited to, former and present Endowment
employees; former and present Endowment grant recipients; former and
present contractors and subcontractors, and their employees; former
and present consultants; and other individuals and entities that had,
have, or are seeking to obtain business relationships with the
Endowment.
Categories of records in the system:
Correspondence relevant to the investigation; working papers of
the staff, investigative notes, internal staff memoranda, and other
documents and records relating to the investigation; information
about criminal, civil, or administrative referrals; information
provided by subjects of the investigation, individuals with whom the
subjects are associated, complainants, or witnesses; information
provided by Federal, State, or local governmental investigative or
law enforcement agencies, or other organizations; copies of subpoenas
issues during the investigation; and opening reports, progress
reports, and closing reports, with recommendations for corrective
action.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended (5 U.S.C. app. 3).
Purpose(s):
To maintain files of investigative and reporting activities
carried out by the Office of the Inspector General.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in this system may be disclosed to any source, either
private or governmental, to the extent necessary to secure from such
source information relevant to, and sought in furtherance of, a
legitimate investigation or audit. Data in this system may also be
disclosed to the Office of the Inspector General's or the Endowment's
legal representative, including the U.S. Department of Justice and
other outside legal counsel, when the Office of the Inspector General
or the Endowment is a party in actual or anticipated litigation or
has an interest in such litigation. See also the list of General
Routine Uses contained in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in file cabinets.
Retrievability:
Records in this system are retrieved by name, report number, or
chronological ordering.
Safeguards:
Work papers for allegation and other investigative reviews
conducted by or for the Office of the Inspector General are kept in a
locked file cabinet. All records in this system are kept in rooms
that are locked during non-working hours.
Retention and disposal:
Records in this system are maintained on-site until eligible for
destruction. Work papers used in evaluating grantees' audit reports
and financial statements are destroyed on a three-year cycle. Work
papers and correspondence prepared and/or obtained during the
clearance process of audit recommendations are destroyed on a six-
year cycle from the date that the recommendations are cleared. All
other records in this system are destroyed on a seven-year cycle.
System manager(s) and address:
Inspector General, National Endowment for the Arts, 1100
Pennsylvania Avenue, NW., Washington, DC 20506.
Notification procedure:
See 45 CFR part 1159.
Record access procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this
system is not subject to exemption, it is subject to access. A
determination as to exemption shall be made at the time a request for
access is received. Access requests must be sent to the Office of the
General Counsel in accordance with the procedures published at 45 CFR
part 1159.
Contesting record procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this
system is not subject to exemption, it is subject to access and
contest. A determination as to exemption shall be made at the time a
request for access is received. Access requests must be sent to the
Office of the General Counsel in accordance with the procedures
published at 45 CFR part 1159.
Record source categories:
Data in this system is obtained from individuals who are covered
by the system, as well as from individuals with whom the subjects are
associated; Federal, State, or local governmental investigative or
law enforcement agencies; and other organizations.
Exemptions claimed for the system:
This system is exempted from 5 U.S.C. 552a except subsections
(b); (c)(1) and (2); (e)(4)(A) through (F); (e)(6), (7), (9), (10),
and (11); and (i) under 552a(j)(2) to the extent that the system
pertains to enforcement of criminal laws. This system is exempted
from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and
(f) under 5 U.S.C. 552a(k)(2) to the extent that the system consists
of investigatory material compiled for law enforcement purposes,
other than material within the scope of the exemption at 5 U.S.C.
552a(j)(2). These exemptions are contained in 45 CFR part 1159.
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.
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''.
PART 1159--IMPLEMENTATION OF THE PRIVACY ACT OF 1974
Sec.
1159.1 What definitions apply to these regulations?
1159.2 What is the purpose of these regulations?
1159.3 Where should individuals send inquiries about the Endowment's
systems of records or implementation of the Privacy Act?
1159.4 How will the public receive notification of the Endowment's
systems of records?
1159.5 What government entities will the Endowment notify of proposed
changes to its systems of records?
1159.6 What limits exist as to the contents of the Endowment's systems
of records?
1159.7 Will the Endowment collect information from me for its records?
1159.8 How can I acquire access to Endowment records pertaining to me?
1159.9 What identification will I need to show when I request access
to Endowment records pertaining to me?
1159.10 How can I pursue amendments to or corrections of an Endowment
record?
1150.11 How can I appeal a refusal to amend or correct an Endowment
record?
1159.12 Will the Endowment charge me fees to locate, review, or copy
records?
1159.13 In what other situations will the Endowment disclose its
records?
1159.14 Will the Endowment maintain a written account of disclosures
made from its systems of records?
1159.15 Who has the responsibility for maintaining adequate technical,
physical, and security safeguards to prevent unauthorized disclosure
or destruction of manual and automatic record systems?
1159.16 Will the Endowment take steps to ensure that its employees
involved with its systems of records are familiar with the
requirements and implications of the Privacy Act?
1150.17 Which of the Endowment's systems of records are covered by
exemptions in the Privacy Act?
1159.18 What are the penalties for obtaining an Endowment record under
false pretenses?
1159.19 What restrictions exist regarding the release of mailing
lists?
Authority: 5 U.S.C. 552a(f)
Source:65 FR 46371, Jul. 26, 2000
Sec. 1159.1 What definitions apply to these regulations?
The definitions of the Privacy Act apply to this part. In addition, as
used in this part:
(a) Agency means any executive department, military department,
government corporation, or other establishment in the executive branch
of the Federal government, including the Executive Office of the
President or any independent regulatory agency.
(b) Business day means a calendar day, excluding Saturdays, Sundays,
and legal public holidays.
(c) Chairperson means the Chairperson of the Endowment, or his or her
designee;
(d) Endowment means the National Endowment for the Arts;
(e) Endowment system means a system of records maintained by the
Endowment;
(f) General Counsel means the General Counsel of the Endowment, or his
or her designee.
(g) Individual means any citizen of the United States or an alien
lawfully admitted for permanent residence;
(h) Maintain means to collect, use, store, or disseminate records, as
well as any combination of these recordkeeping functions. The term also
includes exercise of control over and, therefore, responsibility and
accountability for, systems of records;
(i) Privacy Act means the Privacy Act of 1974, as amended (5 U.S.C.
552a);
(j) Record means any item, collection, or grouping of information
about an individual that is maintained by an agency and contains the
individual's name or another identifying particular, such as a number or
symbol assigned to the individual, or his or her fingerprint, voice
print, or photograph. The term includes, but is not limited to,
information regarding an individual's education, financial transactions,
medical history, and criminal or employment history;
(k) Routine use means, with respect to the disclosure of a record, the
use of a record for a purpose that is compatible with the purpose for
which it was collected;
(l) Subject individual means the individual to whom a record pertains.
Uses of the terms ``I'', ``you'', ``me'', and other references to the
reader of the regulations in this part are meant to apply to subject
individuals as defined in this paragraph (l); and
(m) System of records means a group of records under the control of
any agency from which information is retrieved by use of the name of the
individual or by some number, symbol, or other identifying particular
assigned to the individual.
Sec. 1159.2 What is the purpose of these regulations?
The regulations in this part set forth the Endowment's procedures
under the Privacy Act, as required by 5 U.S.C. 552a(f), with respect to
systems of records maintained by the Endowment. These regulations
establish procedures by which an individual may exercise the rights
granted by the Privacy Act to determine whether an Endowment system
contains a record pertaining to him or her; to gain access to such
records; and to request correction or amendment of such records. These
regulations also set identification requirements, prescribe fees to be
charged for copying records, and establish exemptions from certain
requirements of the Act for certain Endowment systems or components
thereof.
Sec. 1159.3 Where should individuals send inquiries about the
Endowment's systems of records or implementation of the Privacy Act?
Inquiries about the Endowment's systems of records or implementation
of the Privacy Act should be sent to the following address: National
Endowment for the Arts; Office of the General Counsel; 1100 Pennsylvania
Avenue, NW; Room 518; Washington, DC 20506.
Sec. 1159.4 How will the public receive notification of the
Endowment's systems of records?
(a) From time to time, the Endowment shall review its systems of
records in the Federal Register, and publish, if necessary, any
amendments to those systems of records. Such publication shall not be
made for those systems of records maintained by other agencies while in
the temporary custody of the Endowment.
(b) At least 30 days prior to publication of information under
paragraph (a) of this section, the Endowment shall publish in the
Federal Register a notice of its intention to establish any new routine
uses of any of its systems of records, thereby providing the public an
opportunity to comment on such uses. This notice published by the
Endowment shall contain the following:
(1) The name of the system of records for which the routine use is to
be established;
(2) The authority for the system;
(3) The purpose for which the record is to be maintained;
(4) The proposed routine use(s);
(5) The purpose of the routine use(s); and
(6) The categories of recipients of such use.
(c) Any request for additions to the routine uses of Endowment systems
should be sent to the Office of the General Counsel (see Sec. 1159.3 of
this part).
(d) Any individual who wishes to know whether an Endowment system
contains a record pertaining to him or her should write to the Office of
the General Counsel (see Sec. 1159.3 of this part). Such individuals may
also call the Office of the General Counsel at (202) 682-5418 on
business days, between the hours of 9 a.m. and 5:30 p.m., to schedule an
appointment to make an inquiry in person. In either case, inquiries
should be presented in writing and should specifically identify the
Endowment systems involved. The Endowment will attempt to respond to an
inquiry as to whether a record exists within 10 business days of
receiving the inquiry.
Sec. 1159.5 What government entities will the Endowment notify of
proposed changes to its systems of records?
When the Endowment proposes to establish or significantly changes any
of its systems of records, it shall provide adequate advance notice of
such proposal to the Committee on Government Reform of the House of
Representatives, the Committee on Governmental Affairs of the Senate,
and the Office of Management and Budget (OMB), in order to permit an
evaluation of the probable or potential effect of such proposal on the
privacy or other rights of individuals. This report will be submitted in
accordance with guidelines provided by the OMB.
Sec. 1159.6 What limits exist as to the contents of the Endowment's
systems of records?
(a) The Endowment shall maintain only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency required by statute or by executive order of the President. In
addition, the Endowment shall maintain all records that are used in
making determinations about any individual with such accuracy,
relevance, timeliness, and completeness as is reasonably necessary to
ensure fairness to that individual in the making of any determination
about him or her. However, the Endowment shall not be required to update
retired records.
(b) The Endowment shall not maintain any record about any individual
with respect to or describing how such individual exercises rights
guaranteed by the First Amendment of the Constitution of the United
States, unless expressly authorized by statute or by the subject
individual, or unless pertinent to and within the scope of an authorized
law enforcement activity.
Sec. 1159.7 Will the Endowment collect information from me for its
records?
The Endowment shall collect information, to the greatest extent
practicable, directly from you when the information may result in
adverse determinations about your rights, benefits, or privileges under
Federal programs. In addition, the Endowment shall inform you of the
following, either on the form it uses to collect the information or on a
separate form that you can retain, when it asks you to supply
information:
(a) The statutory or executive order authority that authorizes the
solicitation of the information;
(b) Whether disclosure of such information is mandatory or voluntary;
(c) The principal purpose(s) for which the information is intended to
be used;
(d) The routine uses that may be made of the information, as published
pursuant to Sec. 1159.4 of this part; and
(e) Any effects on you of not providing all or any part of the
required or requested information.
Sec. 1159.8 How can I acquire access to Endowment records pertaining
to me?
The following procedures apply to records that are contained in an
Endowment system:
(a) You may request review of records pertaining to you by writing to
the Office of the General Counsel (see Sec. 1159.3 of this part). You
may also call the Office of the General Counsel at (202) 682-5418 on
business days, between the hours of 9 a.m. and 5:30 p.m., to schedule an
appointment to make such a request in person. In either case, your
request should be presented in writing and should specifically identify
the Endowment systems involved.
(b) Access to the record, or to any other information pertaining to
you that is contained in the system, shall be provided if the
identification requirements of Sec. 1159.9 of this part are satisfied
and the record is otherwise determined to be releasable under the
Privacy Act and these regulations. The Endowment shall provide you an
opportunity to have a copy made of any such record about you. Only one
copy of each requested record will be supplied, based on the fee
schedule in Sec. 1159.12 of this part.
(c) The Endowment will comply promptly with requests made in person at
scheduled appointments, if the requirements of this section are met and
the records sought are immediately available. The Endowment will
acknowledge mailed requests, or personal requests for documents that are
not immediately available, within 10 business days, and the information
requested will be provided promptly thereafter.
(d) If you make your request in person at a scheduled appointment, you
may, upon your request, be accompanied by a person of your choice to
review your record. The Endowment may require that you furnish a written
statement authorizing discussion of your record in the accompanying
person's presence. A record may be disclosed to a representative chosen
by you upon your proper written consent.
(e) Medical or psychological records pertaining to you shall be
disclosed to you unless, in the judgment of the Endowment, access to
such records might have an adverse effect upon you. When such
determination has been made, the Endowment may refuse to disclose such
information directly to you. The Endowment will, however, disclose this
information to a licensed physician designated by you in writing.
Sec. 1159.9 What identification will I need to show when I request
access to Endowment records pertaining to me?
The Endowment shall require reasonable identification of all
individuals who request access to records in an Endowment system to
ensure that they are disclosed to the proper person.
(a) The amount of personal identification required will of necessity
vary with the sensitivity of the record involved. In general, if you
request disclosure in person, you shall be required to show an
identification card, such as a driver's license, containing your
photograph and sample signature. However, with regard to records in
Endowment systems that contain particularly sensitive and/or detailed
personal information, the Endowment reserves the right to require
additional means of identification as are appropriate under the
circumstances. These means include, but are not limited to, requiring
you to sign a statement under oath as to your identity, acknowledging
that you are aware of the penalties for improper disclosure under the
provisions of the Privacy Act.
(b) If you request disclosure by mail, the Endowment will request such
information as may be necessary to ensure that you are properly
identified. Authorized means to achieve this goal include, but are not
limited to, requiring that a mail request include certification that a
duly commissioned notary public of any State or territory (or a similar
official, if the request is made outside of the United States) received
an acknowledgment of identity from you.
(c) If you are unable to provide suitable documentation or
identification, the Endowment may require a signed, notarized statement
asserting your identity and stipulating that you understand that
knowingly or willfully seeking or obtaining access to records about
another person under false pretenses is punishable by a fine of up to
$5,000.
Sec. 1159.10 How can I pursue amendments to or corrections of an
Endowment record?
(a) You are entitled to request amendments to or corrections of
records pertaining to you pursuant to the provisions of the Privacy Act,
including 5 U.S.C. 552a(d)(2). Such a request should be made in writing
and addressed to the Office of the General Counsel (see Sec. 1159.3 of
this part).
(b) Your request for amendments or corrections should specify the
following:
(1) The particular record that you are seeking to amend or correct;
(2) The Endowment system from which the record was retrieved;
(3) The precise correction or amendment you desire, preferably in the
form of an edited copy of the record reflecting the desired
modification; and
(4) Your reasons for requesting amendment or correction of the record.
(c) The Endowment will acknowledge a request for amendment or
correction of a record within 10 business days of its receipt, unless
the request can be processed and the individual informed of the General
Counsel's decision on the request within that 10-day period.
(d) If after receiving and investigating your request, the General
Counsel agrees that the record is not accurate, timely, or complete,
based on a preponderance of the evidence, then the record will be
corrected or amended promptly. The record will be deleted without regard
to its accuracy, if the record is not relevant or necessary to
accomplish the Endowment function for which the record was provided or
is maintained. In either case, you will be informed in writing of the
amendment, correction, or deletion. In addition, if accounting was made
of prior disclosures of the record, all previous recipients of the
record will be informed of the corrective action taken.
(e) If after receiving and investigating your request, the General
Counsel does not agree that the record should be amended or corrected,
you will be informed promptly in writing of the refusal to amend or
correct the record and the reason for this decision. You will also be
informed that you may appeal this refusal in accordance with
Sec. 1159.11 of this part.
(f) Requests to amend or correct a record governed by the regulations
of another agency will be forwarded to such agency for processing, and
you will be informed in writing of this referral.
Sec. 1150.11 How can I appeal a refusal to amend or correct an
Endowment record?
(a) You may appeal a refusal to amend or correct a record to the
Chairperson. Such appeal must be made in writing within 10 business days
of your receipt of the initial refusal to amend or correct your record.
Your appeal should be sent to the Office of the General Counsel (see
Sec. 1159.3 of this part), should indicate that it is an appeal, and
should include the basis for the appeal.
(b) The Chairperson will review your request to amend or correct the
record, the General Counsel's refusal, and any other pertinent material
relating to the appeal. No hearing will be held.
(c) The Chairperson shall render his or her decision on your appeal
within 30 business days of its receipt by the Endowment, unless the
Chairperson, for good cause shown, extends the 30-day period. Should the
Chairperson extend the appeal period, you will be informed in writing of
the extension and the circumstances of the delay.
(d) If the Chairperson determines that the record that is the subject
of the appeal should be amended or corrected, the record will be so
modified, and you will be informed in writing of the amendment or
correction. Where an accounting was made of prior disclosures of the
record, all previous recipients of the record will be informed of the
corrective action taken.
(e) If your appeal is denied, you will be informed in writing of the
following:
(1) The denial and the reasons for the denial;
(2) That you may submit to the Endowment a concise statement setting
forth the reasons for your disagreement as to the disputed record. Under
the procedures set forth in paragraph (f) of this section, your
statement will be disclosed whenever the disputed record is disclosed;
and
(3) That you may seek judicial review of the Chairperson's
determination under 5 U.S.C. 552a(g)(1)(a).
(f) Whenever you submit a statement of disagreement to the Endowment
in accordance with paragraph (e)(2) of this section, the record will be
annotated to indicate that it is disputed. In any subsequent disclosure,
a copy of your statement of disagreement will be disclosed with the
record. If the Endowment deems it appropriate, a concise statement of
the Chairperson's reasons for denying your appeal may also be disclosed
with the record. While you will have access to this statement of the
Chairperson's reasons for denying your appeal, such statement will not
be subject to correction or amendment. Where an accounting was made of
prior disclosures of the record, all previous recipients of the record
will be provided a copy of your statement of disagreement, as well as
any statement of the Chairperson's reasons for denying your appeal.
Sec. 1159.12 Will the Endowment charge me fees to locate, review, or
copy records?
(a) The Endowment shall charge no fees for search time or for any
other time expended by the Endowment to review a record. However, the
Endowment may charge fees where you request that a copy be made of a
record to which you have been granted access. Where a copy of the record
must be made in order to provide access to the record (e.g., computer
printout where no screen reading is available), the copy will be made
available to you without cost.
(b) Copies of records made by photocopy or similar process will be
charged to you at the rate of $0.10 per page. Where records are not
susceptible to photocopying (e.g., punch cards, magnetic tapes, or
oversize materials), you will be charged actual cost as determined on a
case-by-case basis. A copying fee totaling $3.00 or less shall be
waived, but the copying fees for contemporaneous requests by the same
individual shall be aggregated to determine the total fee.
(c) Special and additional services provided at your request, such as
certification or authentication, postal insurance, and special mailing
arrangement costs, will be charged to you.
(d) A copying fee shall not be charged or, alternatively, it may be
reduced, when the General Counsel determines, based on a petition, that
the petitioning individual is indigent and that the Endowment's
resources permit a waiver of all or part of the fee.
(e) All fees shall be paid before any copying request is undertaken.
Payments shall be made by check or money order payable to the ``National
Endowment for the Arts.''
Sec. 1159.13 In what other situations will the Endowment disclose
its records?
(a) The Endowment shall not disclose any record that is contained in a
system of records to any person or to another agency, except pursuant to
a written request by or with the prior written consent of the subject
individual, unless disclosure of the record is:
(1) To those officers or employees of the Endowment who maintain the
record and who have a need for the record in the performance of their
official duties;
(2) Required under the provisions of the Freedom of Information Act (5
U.S.C. 552). Records required to be made available by the Freedom of
Information Act will be released in response to a request to the
Endowment formulated in accordance with the National Foundation on the
Arts and the Humanities regulations published at 45 CFR part 1100;
(3) For a routine use as published in the annual notice in the Federal
Register;
(4) To the Census Bureau for purposes of planning or carrying out a
census, survey, or related activity pursuant to the provisions of Title
13 of the United States Code;
(5) To a recipient who has provided the Endowment with adequate
advance written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives and Records Administration as a record
that has sufficient historical or other value to warrant its continued
preservation by the United States government, or for evaluation by the
Archivist of the United States, or his or her designee, to determine
whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity, if the activity is
authorized by law, and if the head of the agency or instrumentality has
made a written request to the Endowment for such records specifying the
particular portion desired and the law enforcement activity for which
the record is sought. The Endowment may also disclose such a record to a
law enforcement agency on its own initiative in situations in which
criminal conduct is suspected, provided that such disclosure has been
established as a routine use, or in situations in which the misconduct
is directly related to the purpose for which the record is maintained;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, upon such
disclosure, notification is transmitted to the last known address of
such individual;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress, or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of his or her authorized
representatives, in the course of the performance of official duties of
the General Accounting Office;
(11) To a consumer reporting agency in accordance with 31 U.S.C.
3711(e); or
(12) Pursuant to an order of a court of competent jurisdiction. In the
event that any record is disclosed under such compulsory legal process,
the Endowment shall make reasonable efforts to notify the subject
individual after the process becomes a matter of public record.
(b) Before disseminating any record about any individual to any person
other than an Endowment employee, the Endowment shall make reasonable
efforts to ensure that such records are, or at the time they were
collected were, accurate, complete, timely, and relevant for Endowment
purposes. This paragraph (b) does not apply to disseminations made
pursuant to the provisions of the Freedom of Information Act (5 U.S.C.
552) and paragraph (a)(2) of this section.
Sec. 1159.14 Will the Endowment maintain a written account of
disclosures made from its systems of records?
(a) The Office of the General Counsel shall maintain a written log
containing the date, nature, and purpose of each disclosure of a record
to any person or to another agency. Such accounting shall also contain
the name and address of the person or agency to whom each disclosure was
made. This log need not include disclosures made to Endowment employees
in the course of their official duties, or pursuant to the provisions of
the Freedom of Information Act (5 U.S.C. 552).
(b) The Endowment shall retain the accounting of each disclosure for
at least five years after the accounting is made or for the life of the
record that was disclosed, whichever is longer.
(c) The Endowment shall make the accounting of disclosures of a record
pertaining to you available to you at your request. Such a request
should be made in accordance with the procedures set forth in
Sec. 1159.8 of this part. This paragraph (c) does not apply to
disclosures made for law enforcement purposes under 5 U.S.C. 552a(b)(7)
and Sec. 1159.13(a)(7) of this part.
Sec. 1159.15 Who has the responsibility for maintaining adequate
technical, physical, and security safeguards to prevent unauthorized
disclosure or destruction of manual and automatic record systems?
The Deputy Chairman for Management and Budget has the responsibility
of maintaining adequate technical, physical, and security safeguards to
prevent unauthorized disclosure or destruction of manual and automatic
record systems. These security safeguards shall apply to all systems in
which identifiable personal data are processed or maintained, including
all reports and outputs from such systems that contain identifiable
personal information. Such safeguards must be sufficient to prevent
negligent, accidental, or unintentional disclosure, modification or
destruction of any personal records or data, and must furthermore
minimize, to the extent practicable, the risk that skilled technicians
or knowledgeable persons could improperly obtain access to modify or
destroy such records or data and shall further insure against such
casual entry by unskilled persons without official reasons for access to
such records or data.
(a) Manual systems.
(1) Records contained in a system of records as defined herein may be
used, held or stored only where facilities are adequate to prevent
unauthorized access by persons within or outside the Endowment.
(2) All records, when not under the personal control of the employees
authorized to use the records, must be stored in a locked metal filing
cabinet. Some systems of records are not of such confidential nature
that their disclosure would constitute a harm to an individual who is
the subject of such record. However, records in this category shall also
be maintained in locked metal filing cabinets or maintained in a secured
room with a locking door.
(3) Access to and use of a system of records shall be permitted only
to persons whose duties require such access within the Endowment, for
routine uses as defined in Sec. 1159.1 as to any given system, or for
such other uses as may be provided herein.
(4) Other than for access within the Endowment to persons needing such
records in the performance of their official duties or routine uses as
defined in Sec. 1159.1, or such other uses as provided herein, access to
records within a system of records shall be permitted only to the
individual to whom the record pertains or upon his or her written
request to the General Counsel.
(5) Access to areas where a system of records is stored will be
limited to those persons whose duties require work in such areas. There
shall be an accounting of the removal of any records from such storage
areas utilizing a written log, as directed by the Deputy Chairman for
Management and Budget. The written log shall be maintained at all times.
(6) The Endowment shall ensure that all persons whose duties require
access to and use of records contained in a system of records are
adequately trained to protect the security and privacy of such records.
(7) The disposal and destruction of records within a system of records
shall be in accordance with rules promulgated by the General Services
Administration.
(b) Automated systems.
(1) Identifiable personal information may be processed, stored or
maintained by automated data systems only where facilities or conditions
are adequate to prevent unauthorized access to such systems in any form.
Whenever such data, whether contained in punch cards, magnetic tapes or
discs, are not under the personal control of an authorized person, such
information must be stored in a locked or secured room, or in such other
facility having greater safeguards than those provided for herein.
(2) Access to and use of identifiable personal data associated with
automated data systems shall be limited to those persons whose duties
require such access. Proper control of personal data in any form
associated with automated data systems shall be maintained at all times,
including maintenance of accountability records showing disposition of
input and output documents.
(3) All persons whose duties require access to processing and
maintenance of identifiable personal data and automated systems shall be
adequately trained in the security and privacy of personal data.
(4) The disposal and disposition of identifiable personal data and
automated systems shall be done by shredding, burning or in the case of
tapes or discs, degaussing, in accordance with any regulations now or
hereafter proposed by the General Services Administration or other
appropriate authority.
Sec. 1159.16 Will the Endowment take steps to ensure that its
employees involved with its systems of records are familiar with the
requirements and implications of the Privacy Act?
(a) The Chairperson shall ensure that all persons involved in the
design, development, operation or maintenance of any Endowment system
are informed of all requirements necessary to protect the privacy of
subject individuals. The Chairperson shall also ensure that all
Endowment employees having access to records receive adequate training
in their protection, and that records have adequate and proper storage
with sufficient security to assure the privacy of such records.
(b) All employees shall be informed of the civil remedies provided
under 5 U.S.C. 552a(g)(1) and other implications of the Privacy Act, and
the fact that the Endowment may be subject to civil remedies for failure
to comply with the provisions of the Privacy Act and these regulations.
Sec. 1150.17 Which of the Endowment's systems of records are covered
by exemptions in the Privacy Act?
(a) Pursuant to and limited by 5 U.S.C. 552a(j)(2), the Endowment
system entitled ``Office of the Inspector General Investigative Files''
shall be exempted from the provisions of 5 U.S.C. 552a, except for
subsections (b); (c)(1) and (2); (e)(4)(A) through (F); (e)(6), (7),
(9), (10), and (11); and (i), insofar as that Endowment system contains
information pertaining to criminal law enforcement investigations.
(b) Pursuant to and limited by 5 U.S.C. 552a(k)(2), the Endowment
system entitled ``Office of the Inspector General Investigative Files''
shall be exempted from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H),
and (I); and (f), insofar as that Endowment system consists of
investigatory material compiled for law enforcement purposes, other than
material within the scope of the exemption at 5 U.S.C. 552a(j)(2).
(c) The Endowment system entitled ``Office of the Inspector General
Investigative Files'' is exempt from the above-noted provisions of the
Privacy Act because their application might alert investigation subjects
to the existence or scope of investigations; lead to suppression,
alteration, fabrication, or destruction of evidence; disclose
investigative techniques or procedures; reduce the cooperativeness or
safety of witnesses; or otherwise impair investigations.
Sec. 1159.18 What are the penalties for obtaining an Endowment
record under false pretenses?
(a) Under 5 U.S.C. 552a(i)(3), any person who knowingly and willfully
requests or obtains any record concerning an individual from the
Endowment under false pretenses shall be guilty of a misdemeanor and
fined not more than $5,000.
(b) A person who falsely or fraudulently attempts to obtain records
under the Privacy Act may also be subject to prosecution under other
statutes, including 18 U.S.C. 494, 495, and 1001.
Sec. 1159.19 What restrictions exist regarding the release of
mailing lists?
The Endowment may not sell or rent an individual's name and address
unless such action is specifically authorized by law. This section shall
not be construed to require the withholding of names and addresses
otherwise permitted to be made public.