[Federal Register Volume 64, Number 105 (Wednesday, June 2, 1999)]
[Notices]
[Pages 29703-29706]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-13950]
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NATIONAL SCIENCE FOUNDATION
Privacy Act of 1974: Revisions to System of Records: Revised
Systems
SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), the
National Science Foundation (NSF) is providing notice of revisions to
two existing systems and the planned creation of one new system. The
revisions to current systems NSF-52 ``Office of Inspector General--
Investigative Files'' and NSF-59 ``Science and Technology Centers (STC)
Database'' are being made to more accurately reflect the current system
records and use. The new system, NSF-71 ``General Correspondence
Files,'' covers general correspondence with individuals that is filed
alphabetically rather than chronologically.
EFFECTIVE DATE: Sections 552a(e)(4) and (11) of Title 5 of the U.S.
Code require that the public have thirty days to comment on the routine
uses of systems of records. The new routine uses that are the subject
of this notice will take effect on July 2, 1999, unless modified by a
subsequent notice to incorporate comments received from the public.
COMMENTS: Written comments should be submitted to Leslie Crawford, NSF
Privacy Act Officer, National Science Foundation, Office of the General
Counsel, 4201 Wilson Boulevard, Room 1265, Arlington, VA 22230.
Dated: May 27, 1999.
Leslie Crawford,
Privacy Act Officer.
NSF-52
System name:
Office of Inspector General--Investigative Files.
System location:
Office of Inspector General, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
In connection with its investigative duties, the Office of
Inspector General (OIG) maintains records on the following categories
of individuals: (a) Individuals or entities who are or have been the
subject of inquiries or investigations conducted by OIG, including
current and former employees of NSF; and current and former contractors
(or applicants for contracts), subcontractors, consultants, or the
recipients of (or applicants for) NSF grants or cooperative agreements,
and their current or former employees, students, or collaborators; and
(b) Individuals who are witnesses; complainants; confidential or
nonconfidential informants; and parties who have been identified by OIG
(on the basis of information received or developed by OIG) as
potentially possessing information relevant to an investigation under
the jurisdiction by the OIG.
Categories of records in the system:
Information relating to investigations including: (a) Letters,
memoranda, and other documents citing complaints or alleged criminal,
civil, or administrative misconduct; (b) Investigative files, which
include: reports of investigations to resolve allegations of misconduct
or violations of law or administrative or ethical requirements;
exhibits, statements, affidavits, or other records obtained or
generated during investigations; prior criminal or noncriminal records
of individuals as they relate to the investigations; reports from or to
other law enforcement bodies; information obtained from informants and
identifying data with respect to such informants; nature of allegations
made against suspects and identifying data concerning such subjects;
and public source materials.
Authority for maintenance of the system:
Inspector General Act, as amended, 5 U.S.C. app.
Purpose(s):
The Office of the Inspector General (OIG) for the National Science
Foundation (NSF) maintains this system of records in order to conduct
its responsibilities pursuant to the Inspector General Act of 1978, as
amended, 5 U.S.C. app. section 4. The OIG is statutorily directed and
authorized to conduct and supervise investigations relating to programs
and operations of NSF, to promote economy, efficiency, and
effectiveness in the administration of such programs and operations,
and to prevent and detect fraud, waste and abuse in such programs and
operations. Accordingly, the records are used in investigations of
individuals and entities suspected of having committed illegal or
unethical acts, and in any resulting criminal prosecutions, civil
proceedings, or administrative actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be disclosed as follows:
1. In the event that records indicate a violation or potential
violation of a requirement, whether criminal, civil, regulatory,
administrative, contractual, or ethical in nature, whether arising by
statute, regulation, rule, order, contract (including a grant or
cooperative agreement), or ethical practices or norms, the relevant
records in the system of records may be disclosed, as a routine use, to
the appropriate entity, whether governmental (federal, foreign, state,
local, or international) or non-governmental, charged with the
responsibility of investigating or prosecuting such violation or
potential violation, or charged with enforcing, implementing, or
complying with such statute, regulation, rule, order, contract, or
ethical practices or norms.
2. Disclosure may be made to appropriate entities, whether
governmental (federal, foreign, state, local or international) or non-
governmental, or to an individual, when necessary to elicit information
that will assist an investigation or audit.
3. Disclosure may be made to a federal, state, local, foreign, or
international entity maintaining civil, criminal, or other relevant
information if necessary to obtain information relevant to an OIG
decision concerning the assignment, hiring, or retention of an
individual and/or employee or disciplinary or other administrative
action concerning an employee, the issuance or revocation of a security
clearance, the reporting of an investigation of an individual and/or
employee, or the award of a contract (including a grant or cooperative
agreement).
4. Disclosure may be made to a federal, state, local, foreign, or
international entity in response to its request in connection with the
assignment, hiring, or retention of an individual and/or employee, or
disciplinary or other administrative action concerning an employee, the
issuance or revocation of a security clearance, the reporting of an
investigation of an individual and/or employee, or the award of a
contract
[[Page 29704]]
(including a grant or cooperative agreement) 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.
5. Disclosure may be made to the Office of Personnel Management or
the Merit Systems Protection Board (including the Office of the Special
Counsel) of information relevant and necessary to carrying out their
functions.
6. In the event OIG is aware of information about possible
misconduct in science and engineering, disclosure of relevant records
may be made by OIG to institutions or entities that have proposed or
received contracts, grants, or cooperative agreements so that they can
conduct inquiries and investigations into possible misconduct in
science and engineering pursuant to 45 CFR part 689.
7. Disclosure may also be made to independent auditors,
contractors, experts, and other individuals who perform a service to or
work on or under a contract, or other arrangement with or for the
federal government, as necessary to carry out their duties. Such
contractors will be required to maintain Privacy Act safeguards with
respect to such records.
8. Disclosure may be made to another federal agency, a court, or a
party in litigation before a court or in an administrative proceeding
being conducted by a federal agency when the government is a party to
the judicial or administrative proceeding.
9. In the event the OIG deems it desirable or necessary, in
processing a Freedom of Information Act or Privacy Act request,
disclosure may be made to the Department of Justice or the Office of
Management and Budget for the purpose of obtaining its advice.
10. Disclosure may be made to the Department of Justice, to the
extent it is compatible with the purpose for which the record was
collected, and is relevant and necessary to litigation or anticipated
litigation, in which one of the following is a party or has an
interest: (a) NSF or any of its components; (b) an NSF employee in his
or her official capacity; (c) an NSF employee in his or her official
capacity when the Department of Justice is representing or considering
representing the employee; or (d) the United States, when NSF
determines that litigation is likely to affect NSF.
11. 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 that individual.
12. Disclosure may be made to representatives of the General
Services Administration and the National Archives and Records
Administration who are conducting record management inspections under
44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The OIG Investigative Files consist of automated data and paper
records. The paper records are stored in file cabinets and the
automated data are maintained in computers in OIG.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are kept in OIG offices within limited access areas
of the National Science Foundation during duty hours, and in locked
offices at all other times. Passwords are required to access the
automated data.
Retention and disposal:
The Investigative Files are kept indefinitely pending adoption of
an NSF-specific approved records retention schedule.
System manager(s) and address:
Inspector General, Office of Inspector General, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR part 613.
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 of records 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 Privacy Act
Officer in accordance with procedures found at 45 CFR part 613.
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 of records 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 contest is received. Requests must be sent to the Privacy
Act Officer in accordance with procedures found at 45 CFR part 613.
Record source categories:
The subjects of investigations; individuals with whom the subjects
of investigations are associated; current and former NSF employees;
federal, state, local, and foreign law enforcement and non-law
enforcement agencies; private citizens; witnesses; confidential and
nonconfidential informants; and public source materials.
Systems exempted from certain provisions of the act:
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 522a(j)(2) to the extent the system of records
pertains to enforcement of criminal laws; and 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 the system of records 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 613.
NSF-59
System name:
Science and Technology Centers (STC) Database.
System location:
Office of Integrative Activities, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Individuals participating in NSF funded Science and Technology
Center (STC) Activities.
Categories of records in the system:
Records vary by year. From FY90 until FY98, the records may include
name, institution, social security number, gender, ethnicity, year of
highest degree, citizenship, areas of research, type of financial
support and other related information. These STC databases may also
include the results of follow-up surveys of STC Center participants.
The records will be used to help evaluate the STC Center's achievement
of program goals. Evaluation may include follow-up surveys of STC
Center participants. The results of evaluations will be statistical and
will not identify individual participants.
[[Page 29705]]
Beginning with FY98, covered records include only faculty names
associated with type of financial support. Other program records from
FY98 forward are not part of this system of records because they
include no individual names or identifiers. These records report only
the number of STC participants by STC Center categorized as faculty,
postdoctoral fellows, graduate students, undergraduate students,
visiting scientists, support staff (scientific, technical, and
administrative), and precollege students and teachers. These records
include data on gender, disability status, citizenship, ethnicity/race,
areas of research, shared experimental facilities, type of financial
support, and other related information. Because these data are
collected without individual name or other identifier, it cannot be so
retrieved and are not part of this system.
Authority for maintenance of the system:
42 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
Information from this system may be used to enable NSF to identify
research areas under STC Center awards and determine the level of
support for STC Center personnel and STC Center research; to help
evaluate the STC Center's achievement of program goals, such as
enhancement of skills; to report periodically, in statistical form
only, on the participation of men and women by ethnicity, disability,
discipline, and citizenry; and to enable NSF to monitor the
effectiveness of NSF-sponsored STC Centers for management evaluation
and for reporting to the Administration and Congress, especially under
the Government Performance and Results Act, 5 U.S.C. 306 and 39 U.S.C.
2801-2805.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. An STC Center and its authorized personnel may have access to
data submitted by that Center for the purpose of administration and for
other uses consistent with the purpose above.
2. 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 that individual.
3. Information from the system may be disclosed to contractors,
grantees, volunteers, experts, advisors, and other individuals who
perform a service to or work on or under a contract, grant, cooperative
agreement, advisory committee, committee of visitors, or other
arrangement with or for the Federal government, as necessary to carry
out their duties in pursuit of the purposes described above. The
contractors are subject to the provisions of the Privacy Act.
4. Information from the system may be merged with other computer
files in order to carry out statistical studies or assist with program
management, evaluation, and reporting. Disclosure may be made for this
purpose to NSF contractors and collaborating researchers, other
Government agencies, and qualified research institutions and their
staffs. The results of such studies, evaluations, or reports are
statistical in nature and do not identify individuals.
5. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
6. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when the
Government is a party to the judicial or administrative proceeding.
7. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following is
a party or has an interest: (a) NSF or any of its components; (b) an
NSF employee in his/her official capacity; (c) an NSF employee in his/
her individual capacity when the Department of Justice is representing
or considering representing the employee; or (d) the United States,
when NSF determines that litigation is likely to affect the Agency.
8. Records from this system may be disclosed to representatives of
the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Some of the records are stored electronically and some are stored
in paper format in file folders.
Retrievability:
By the STC Center and then alphabetically by individual.
Safeguards:
Building is locked during non-business hours. Records at NSF are
kept in rooms that are locked during non-business hours. Records
maintained in electronic form are password protected.
Retention and disposal:
The file for each STC Center is cumulative and maintained
indefinitely pending adoption of an approved records retention
schedule.
System manager(s) and address:
Director, Office of Integrative Activities, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Science and Technology Centers.
Systems exempted from certain provisions of the act:
None.
NSF-71
System name:
General Correspondence Files.
System location:
Correspondence files maintained by name, rather than
chronologically, in some NSF offices or divisions at the National
Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Most NSF general correspondence is filed chronologically. This
system covers only individuals who write to the NSF or its officers or
employees, or individuals whose letter has been referred to NSF by
other parts of the Federal government when such general correspondence
is filed by name of the sender rather than chronologically.
Categories of records in the system:
The system includes the original correspondence received as well as
any response, referral letters concerning the correspondence and copies
of any enclosures.
Authority for maintenance of the system:
These records are kept for administrative convenience pursuant to
44 U.S.C. 3101.
[[Page 29706]]
Purpose(s):
These records are kept for administrative convenience to document
responses to general correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. Information from the system may be provided to a referrer of the
original correspondence.
2. 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 that individual.
3. Information from the system may be disclosed to contractors,
volunteers, advisors, and other individuals who perform a service to or
work on or under a contract, or other arrangement with or for the
Federal government, as necessary to carry out their duties. The
contractors are subject to the provisions of the Privacy Act.
4. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
5. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when the
Government is a party to the judicial or administrative proceeding.
6. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following is
a party or has an interest: (a) NSF or any of its components; (b) an
NSF employee in his/her official capacity; (c) an NSF employee in his/
her individual capacity when the Department of Justice is representing
or considering representing the employee; or (d) the United States,
when NSF determines that litigation is likely to affect the Agency.
7. Records from this system may be disclosed to representatives of
the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The material is stored in file folders within file cabinets in
individual Offices or Divisions of NSF.
Retrievability:
The system covers correspondence maintained within individual
Offices or Divisions that is arranged alphabetically by name of
original correspondent.
Safeguards:
Correspondence is maintained in rooms occupied by office personnel
during the work day and locked during non-business hours.
Retention and disposal:
Records are maintained and disposed of in accordance with approved
record retention plans, and are maintained for a minimum of three
months.
System manager(s) and address:
Director of Division or Office maintaining such records, National
Science Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Letters received from the original correspondent along with any
referral letters, and the NSF office which wrote the response, along
with any transmitted information or enclosures.
Systems exempted from certain provisions of the act:
None.
[FR Doc. 99-13950 Filed 6-1-99; 8:45 am]
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