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....
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
Other Popular 1997 Privacy Act Documents Documents:
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