Home > 1997 Privacy Act Documents > Privacy Act: [ NEH-6] Grants to Individuals and Institutions- NEH-6....

Privacy Act: [ NEH-6] Grants to Individuals and Institutions- NEH-6....


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       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.

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