Privacy Act of 1974: Revisions to Systems of Records; New Systems
Federal RegisterJan 5, 1998
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NATIONAL SCIENCE FOUNDATION
Privacy Act of 1974: Revisions to Systems of Records; New Systems
agency: National Science Foundation.
action: Notice of four revised systems of records and three new
systems.
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summary: Pursuant to the Privacy Act of 1974 (5 U.S.C. 522a), the
National Science Foundation is providing notice of revisions to seven
existing systems of records, the planned creation of four new systems
of records, and the deletion of one system of records. These changes
reflect the additional information to be gathered via project reporting
on projects funded by NSF. The primary purpose of this additional
information is to enable NSF to identify outcomes of projects funded
under NSF awards for use in 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. NSF
also revised the system notice to make them consistent among these
related systems. All revised system notices are reprinted in their
entirety.
The seven revised systems are--NSF-8, ``Employee Grievance Files'';
NSF-12, ``Fellowship and Other Awards''; NSF-18, ``Integrated Personnel
System (IPERS)''; NSF-26, ``Personnel Security''; NSF-50, ``Principal
Investigator/Proposal File and Associated Records''; NSF-51,
``Reviewer/Proposal File and Associated Records''; and NSF-54,
``Reviewer/Fellowship and Other Awards File and Associated Records.''
Both NSF-12 and NSF-50 systems include records maintained by NSF as a
result of applications for financial support and subsequent evaluation
of applicants and their proposals. Systems 12 contains records on
fellowship applicants and on nominees for fellowships by an institution
on behalf of the nominee, and on nominees for other awards. Fellowship
awards are usually administered by the applicant or nominee's home
institution. System 50 contains records on research and other proposals
jointly submitted by individual applicants (principal investigators)
and their home academic or other institutions. NSF makes awards to
these institutions under which the individual applicants serve as
principal investigators. Systems 8, 18, and 26 have been revised to
more adequately describe the systems and update the ``routine uses.''
The new systems and NSF-64, ``Project Participant File'', which
will contain information on participants who do work under NSF-funded
projects, other than principal investigators or project directors
covered by the existing NSF-50; NSF-60, ``NSF Photo Identification Card
Systems'' which will contain information on employees and contractors
who work in the building and have a need for access; NSF-68, ``Project
Results Information Base'', which will contain responses to the
expanded project reporting system to be implemented by the Foundation;
and NSF-69, ``Education and Training Records Files'', which will
consolidate records on NSF education and training programs into an
evaluation and research database.
NSF-9, ``Employee Locator Record Card'' is being deleted. The
records described therein are covered by OPM/Govt-1.
In accordance with the requirements of the Privacy Act, NSF has
provided a report on the proposed systems of records to the Office of
Management and Budget; the Chairman, Senate Committee on Governmental
Affairs; and the Chairman, House Committee on Government Reform and
Oversight.
effective date: Sections 552a(e)(4) and (11) of Title 5 of the U.S.
Code provide the public thirty days to comment on the routine uses of
systems of records. The altered routine uses in this notice will take
effect on February 4, 1998, unless modified by a subsequent notice to
incorporate comments received from the public.
addresses: Written comments should be submitted to the NSF Privacy Act
Officer, National Science Foundation, Division of Contracts, Policy and
Oversight, 4201 Wilson Boulevard, Room 485, Arlington, Virginia 22230.
Dated: December 30, 1997.
Herman G. Fleming,
NSF Privacy Act Officer.
NSF-8
NSF System name:
Employee Grievance Files.
System location:
National Science Foundation, Division of Human Resource Management,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF Employees.
Categories of records in the system:
These files contain all records pertaining to the administrative
grievance system for non-bargaining unit employees and the negotiated
grievance and arbitration procedures for employees in the bargaining
unit.
Authority for maintenance of the system:
5 CFR Part 771--Agency Administrative Grievance System, 5 U.S.C.
1302, 3301, 3302, and 7301.
Purpose of the system:
Records are used in the processing and documentation of grievance
actions taken either by the Office or by agencies against employees in
accord with 5 CFR parts 315 (subparts H and I), 432, 752, or 754 of the
Office's regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The Office of Personnel Management for routine examinations and
audits conducted.
2. A member of Congress regarding the status of an appeal,
complaint, or grievance if the Congressman is acting on the basis of a
request from the individual involved.
3. EEOC investigators and EEO counselors and investigators have
access during the conduct of investigations.
4. 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.
5. 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.
6. 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:
Paper records maintained in file folders.
Retrievability:
Alphabetically by the last name of employee.
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Safeguards:
Building employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Four years after close of case.
System manager(s) and address:
Director, Division of Human Resource Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR Part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information from the employee, supervisor hearing examiner,
witnesses, and others providing input to the particular case.
System exemptions from certain provisions of the Privacy Act:
None.
NSF-12
System name:
Fellowships and Other Awards.
System location:
Numerous files are maintained in paper, microfiche, or electronic
form by individual offices and programs at the National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. Others are
maintained by NSF contractors, currently Oak Ridge Associated
Universities, PO Box 3010, Oak Ridge, Tennessee 37831-2010.
Categories of individuals covered by the system:
Persons applying or nominated for and/or receiving NSF support,
either individually or through an academic institution, including
fellowships or awards of various types.
Categories of records in the system:
Information varies depending on type of fellowship or award.
Normally the information includes personal information supplied with
the application or nomination; reference reports; transcripts and
Graduate Record Examination scores to the extent required during the
application process; abstracts; evaluations and recommendations, review
records and selection process results; administrative data and
correspondence accumulating during fellows' tenure; and other related
materials. There is a cumulative index of all persons applying for or
receiving NSF Graduate and NATO fellowships.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1869, 1870, 1880, 1881a and 20 U.S.C.
3915.
Purpose of the system:
This system enables program offices to maintain appropriate files
and investigatory material in evaluating applications or nominations
for fellowships or other awards. NSF employees may access the system to
make decisions regarding which proposals to fund or awards to make, and
to carry out other authorized internal duties.
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 merged with other computer
files in order to carry out statistical studies. Disclosure may be made
for this purpose to NSF contractors and collaborating researchers,
other Government agencies, and qualified research institutions and
their staffs. The contractors are subject to the provisions of the
Privacy Act. The results of such studies are statistical in nature and
do not identify individuals.
2. Disclosure of information from the system may be made to
qualified reviewers for their opinion and evaluation of applicants or
nominees as part of the application review process; and to other
Government agencies needing data regarding applicants or nominees as
part of the application review process, or in order to coordinate
programs.
3. Information (such as name, Social Security Number, field of
study, and other information directly relating to the fellowship,
review status including the agency's decision, year of first award,
tenure pattern, start time, whether receiving international travel
allowance or a mentoring assistantship) is given to the applicant,
nominating, or grantee institution, or an institution the applicant,
nominee, or fellow or awardee is attending or planning to attend or
employed by for purposes of facilitating review or award decisions or
administering fellowships or awards. Notice of the agency's decision
may be given to nominators.
4. In the case of fellows or awardees receiving stipends directly
from the Government, information is transmitted to the Department of
Treasury for preparation of checks or electronic fund transfer
authorizations.
5. Fellows' or awardees' name, home institution, and field of study
may be released for public information/affairs purposes including press
releases.
6. 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.
7. Information from the system may be given 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. The contractors are subject to the provisions of the
Privacy Act.
8. Information from the system may be given 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.
9. 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.
10. 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.
11. 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:
Paper records are kept in file folders. Some records are maintained
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electronically or on microfiche, including records kept by NSF
contractors. Original application materials are kept at NSF.
Retrievability:
Alphabetically by applicant or nominee name.
Safeguards:
Building is locked during non-business hours. Records at NSF are
kept in rooms that are locked during non-business hours. Records
maintained by NSF contractors are kept in similar rooms and some
records are locked in cabinets. Records maintained in electronic form
are password protected.
Retention and disposal:
Files are maintained in accordance with approved record retention
schedules. For example, fellowship application files for awardees are
kept for 10 years after completion of fellowship or award, then
destroyed, while unsuccessful fellowship application files are
destroyed after three years; files of recipients of the Waterman Award
and National Medal of Science are permanent and eventually retired to
the National Archives; those of non-recipients are destroyed after five
years.
System manager(s) and address:
Division Director of particular office or program maintaining such
records, National Science Foundation, 4201 Wilson Boulevard, Arlington,
VA 22230.
Notification procedure:
Contact the NSF Privacy Act Officer in accordance with procedures
found at 45 CFR Part 613. You can expedite your request if you identify
the fellowship or award program about which you are interested. For
example, indicate whether you applied for or received a ``Graduate
Fellowship'' or a ``Faculty Fellowship in Science'' as opposed to
merely saying you want a copy of your fellowship.
Record access procedure:
See ``Notification'' above.
Contesting record procedure:
See ``Notification'' above.
Record source categories:
Information supplied by or for individuals applying for, nominated
for, or receiving support; references; the Education Testing Service;
educational institutions supplying transcripts; review records and
administrative data developed during selection process and award
tenure.
Systems exempted from certain provisions of the act:
The portions of this system consisting of investigatory material
that would identify references, reviewers, or other persons supplying
evaluations of applicants or nominees for fellowships or other awards
(and where applicable, their proposals) have been exempted at 5 CFR 613
pursuant to 5 U.S.C. 552a(k)(5).
NSF-18
System name:
Integrated Personnel System (IPERS).
System location:
National Science Foundation, Division of Human Resource Management,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Current and former NSF employees.
Categories of records in the system:
Individuals personal particular including such items as appointment
and position information, organization and job identification
information, education, and salary data. Personal information such as
name, home address and phone number of employee and of the employee's
designated emergency contact person is maintained.
Authority for maintenance of the system:
Authority for maintenance of the system includes the following with
any revisions or amendments: 5 U.S.C. 1302, 2951, 3301, 3372, 4118,
8347 and other Executive Orders.
Purpose of the system:
Creates documentation for the Official Personnel Folder (OPF).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses listed in OPM's System, OPM/Govt-1, ``General
Personnel Records,'' are applicable to this system.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are maintained electronically on the agency's internal LAN.
Retrievability:
Employee's LAN ID or last name.
Safeguards:
A LAN and IPERS' password are necessary to access the computer.
Retention and disposal:
Records are maintained indefinitely as part of the history file of
employee.
System manager(s) and address:
Director, Division of Human Resource Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR Part 613.
Record access procedure:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information for this system of records is extracted from the
employee Official Personnel Records.
System exemptions from certain provisions of the Privacy Act:
None.
NSF-26
System name:
Personnel Security.
System location:
National Science Foundation, Division of Human Resource Management,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF employees, IPA's, Visiting Scientists, and NSF Contractors.
Categories of records in the system:
Categories of records in the system include: adjudication files,
databases, card files and file folders. Information in these records
include employee name, clearance level, date of clearance,
investigative report, investigation and security clearance information.
Authority for maintenance of the system:
The Foundation's Personnel Security Program was established
pursuant to Executive Orders 10450, 123656, and 12968, Title 5 U.S.C.
sections 3301, 7312, 7531, and 7532.
Purpose of system:
The information is used track information on personnel security
clearances, and investigations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to:
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1. Security Officers of other Federal agencies.
2. 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.
3. 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.
4. Contractors, grantees, volunteers, experts, advisors, and other
individuals who perform a service to or work on or under a contract,
grant, cooperative agreement, or other arrangement with or for the
Federal government, as necessary to carry out their duties.
5. 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:
Records are maintained in file folders, in a computerized
electronic database (NSF LAN), in a WORD file and Cardex file.
Retrievability:
Records are retrieved alphabetically by last name of employee.
Safeguards:
Building employes security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Destroyed 2 years after separation of employee.
System manager(s) and address:
Personnel Security Officer, NSF, Division of Human Resource
Management, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR Part 613.
Record access procedure:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
From the individual and OPM investigations.
System exemptions from certain provisions of the Privacy Act.
None.
NSF-50
System name:
Principal Investigator/Proposal File and Associated Records.
System location:
Numerous files are maintained by individual NSF offices and
programs at the National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230. Some records are kept electronically.
Categories of individuals covered by the system:
Persons who request or have previously requested and/or received
support from the National Science Foundation, either individually or
through an academic or other institution.
Categories of records in the system:
The names of principal investigators and other identifying
information, addresses of principal investigators, demographic data,
the proposal and its identifying number, supporting data from the
academic institution or other applicant, proposal evaluations from peer
reviewers, a review record, financial data, and other related material.
Other related material includes, for example, committee or panel
discussion summaries and comments on the proposal or the proposers from
peer reviewers.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose of the system:
This system enables program offices to maintain appropriate files
and investigatory material in evaluating applications for grants or
other support. NSF employees may access the system to make decisions
regarding which proposal to fund, and to carry out other authorized
internal duties. Information on principal investigators is also entered
in System 51, ``Reviewer/Proposal File and Associated Records'', a
subsystem of this system, to be used as a source of potential
candidates to serve as reviewers as part of the merit review process,
or for inclusion on a panel of advisory committee.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. Disclosure of information from the system may be made to
qualified reviewers for their opinion and evaluation of applicants and
their proposals as part of the application review process; and to other
Government agencies needing information regarding applicants or
nominees as part of the application review process, or in order to
coordinate programs.
2. Information from the system may be provided to the applicant or
grantee institution to provide or obtain data regarding the application
review process or award decisions, or administering grant awards.
3. 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.
4. 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.
5. The contractors are subject to the provisions of the Privacy
Act. Information from the system may be merged with other computer
files in order to carry out statistical studies or otherwise assist NSF
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. Disclosures are made only after scrutiny of research
protocols and with appropriate controls. The results of such studies
are statistical in nature and do not identify individuals.
6. 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.
[[Page 268]]
7. 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.
8. 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.
9. 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:
Various portions of the system are maintained electronically or in
paper files, depending on the individual program office.
Retrievability:
Information can be retrieved electronically using an applicant's
name or identifying number. An individual's name may be used to
manually access material in alphabetized paper files.
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained in
electronic form are password protected.
Retention and disposal:
Files are maintained in accordance with approved record retention
schedules. Awarded proposals are transferred to the Federal Records
Center for permanent retention. Declined proposals are destroyed five
years after they are closed out.
System manager(s) and address:
Division Director of particular office or program 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:
Information is obtained from the principal investigator, academic
institution or other applicant, peer reviewers, and others.
Systems exempted from certain provisions of the act:
The portions of this system consisting of investigatory material
that would identify reviewers or other persons supplying evaluations of
NSF applicants and their proposals have been exempted at 5 CFR 613
pursuant to 5 U.S.C. 552a(k)(5).
NSF-51
System name:
Reviewer/Proposal File and Associated Records.
System location:
Numerous files are maintained by individual NSF offices and
programs at the National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230. Records are also kept electronically.
Categories of individuals covered by the system:
Reviewers who evaluate Foundation applicants and their proposals,
either by submitting comments through the mail or serving on review
panels or site visit teams.
Categories of records in the system:
The ``Reviewer/Proposal File and Associated Records'' system is a
subsystem of the ``Principal Investigator/Proposal File and Associated
Records'' system (NSF-50), and contains the reviewer's name, proposal
title and its identifying number, and other related material.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose of the system:
This system enables program offices to reference specific reviewers
and maintain appropriate files for use in evaluating applications for
grants or other support. NSF employees may access the system to help
select reviewers as part of the merit review process, and to carry out
other authorized internal duties.
Routine uses of record maintained in the system, including categories
of users and the purposes of such uses:
Disclosures of information in this system may be made to:
1. Federal government agencies needing names of potential reviewers
and specialists in particular fields.
2. Contractors, grantees, volunteers, experts, advisors, and other
individuals who perform a service to or work on 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. The contractors are subject to the provisions
of the Privacy Act.
3. 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.
4. Another Federal agencies, 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.
5. 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.
6. 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:
Various portions of the system are maintained electronically or in
paper files, depending on the individual program office.
Retrievability:
Information can be accessed from the electronic database by
addressing data contained in the database, including individual
reviewer names. An individual's name may be used to manually access
material in alphabetized paper files.
[[Page 269]]
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained in
electronic form are password protected.
Retention and disposal:
File is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program 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:
Information is obtained from the individual reviewers, suggestions
from other reviewers, the ``Principal Investigator/Proposal File''
(NSF-50), other applicants for NSF funding or other members of the
research community, and from NSF program officers.
Systems exempted from certain provisions of the act:
The portions of this system consisting of investigatory material
which would identify reviewers or other persons supplying evaluations
of NSF applicants and their proposals have been exempted at 5 CFR 613.6
pursuant to 5 U.S.C. 552a(k)(5).
NSF-54
System name:
Reviewer/Fellowships and Other Awards File and Associated Records.
System location:
Records are maintained by individual NSF offices and programs at
the National Science Foundation, 4201 Wilson Boulevard, Arlington,
Virginia 22230. Some Fellowship reviewer records are maintained by
contractor, currently: Oak Ridge Associated Universities, PO Box 3010,
Oak Ridge, Tennessee 37831-2010.
Categories of Individuals covered by the system:
Reviewers who evaluate Foundation fellowship or other applications
or nominations, either by submitting comments through the mail or
serving on review panels.
Categories of Records in the system:
Th ``Reviewer/Fellowships, and Other Awards File and Associated
Records'' system is a subsystem of the ``Fellowships and Other Awards``
system (NSF-12), and contains the reviewer's name, nominator or
applicant's name and identifying number, and other related material.
Information supplied by potential reviewers includes their affiliation,
contact information, educational degrees, and research experiences.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1869, 1870, 1880, 1881a and 20 U.S.C.
3915.
Purpose of the system:
This system enables the NSF program offices and contractors to
reference specific reviewers and maintain appropriate files for use in
evaluating applications for fellowships, awards and other support. NSF
employees and contractors may access the system to help select reviews
as part of the merit process and to carry out other authorized internal
duties.
Routine used of records maintained in the system, including categories
of users and the purpose of such uses:
Disclosure of information in this system may be made to:
1. Federal government agencies needing names of potential reviewers
and specialities in particular fields.
2. 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. The contractors are subject to the
provisions of the Privacy Act.
3. 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.
4. 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.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record as 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 his/her official capacity; (c) as
NSF employee in his/her individual capacity when the Department of
Justice is representing or considering representing the employee; or
(d) and United States, when NSF determines that litigation is likely to
affect the Agency.
6. 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:
Various portions of the systems are maintained electronically or in
paper files. Certain Fellowship records are maintained electronically
by the contractor, currently: Oak Ridge Associated Universities, Oak
Ridge, Tennessee. Some information may be maintained in paper copy.
Retrievability:
Information can be accessed from the electronic database by
addressing data contained in the database, including individual
reviewer names. An individual's name may be used manually access
material alphabetized paper files.
Safeguards:
Records containing personal information are maintained in secured
file cabinets or in password protected electronic files.
Retention and disposal:
File is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program 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 procedure:
See ``Notification Procedure'' above.
Contesting record procedure:
See ``Notification Procedure'' above.
Record source categories:
Informaiton is obtained from the individual reviewers, suggestions
from other reviewers, applicants for NSF
[[Page 270]]
funding or other members of the research community, public documents
such as American Men and Women in Science, and from NSF program
officers.
Systems exempted from certain provisions of the act:
The portions of this system consisting of investigatory material
that would identify references, reviewers, or other persons supplying
evaluations of applicants or nominees for fellowships or other awards
(and where applicable, their proposals) have been exempted at 5 CFR 613
pursuant to 5 U.S.C. 552a(k)(5).
NSF-64
System name:
Project Participant File.
System location:
Central electronic data system of the National Science Foundation.
Excerpts may be extracted or printed and held in separate files
maintained by individual NSF offices and programs. National Science
Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Categories of individuals covered by the system:
Individual participants who do work under NSF-supported projects,
other than principal investigators or project directors. Includes, for
example, other investigators, post-doctoral associates, graduate and
undergraduate assistants.
Categories of records in the system:
Information gathered primarily through reporting on funded projects
about those who are supported by NSF awards or otherwise involved in
projects supported by NSF awards. The information is electronic and
retrievable by various forms of search, most likely by name of
individual and award number. The information includes: name; project
identity or identities; involvement in project--nature and description
of involvement, level of effort, whether financially supported by NSF;
tracking data--social security number and date of birth; and
demographic data--information on gender, race/ethnicity, disability
status, and citizenship. Submission of tracking and demographic data is
voluntary. The individual participant may report ``Do not wish to
provide''.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose of the system:
Supplements other information gathered via project reporting on
projects funded by NSF. The primary purpose is to enable NSF to
identify outcomes of projects funded under NSF awards 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. Information on participants will normally
be aggregated, usually statistically, to identify outcomes of NSF
programs. On occasion non-sensitive information might be used to
identify persons who have achieved distinction in science, engineering,
education, or the like (for example, by award of a prize) as
beneficiaries of NSF support.
The information in the system may also be used secondarily for
compatible purposes including to:
Identify and contact scientists, engineers, or educators
who may be interested in applying for support, in attending a
scientific or similar meeting, in applying for a position, or in taking
advantage of some similar opportunity;
Identify and contact possible candidates to serve as
reviewers in the peer review system or for inclusion on a panel or
advisory committee (information from this system may be entered in the
NSF's reviewer databases, NSF-51 and NSF-54, for this purpose);
Supply the same information in connection with a later
interaction between the individual and NSF--as, for example, when a
former graduate student who worked on an NSF-supported project now
applies for an NSF award directly. (NSF supplies the information
electronically so that the individual need not reenter the same
information. The individual can correct or update the information
supplies.)
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
An individual participant's name; the identify of any project on
which the participant worked; and information on the nature and extent
of the individual's involvement, level of effort, and NSF support may
be publicly released.
Tracking and demographic data pertaining to any individual may be
released only to:
1. Contractors who perform a service to or work on or under a
contract with the Federal government in pursuit of a purpose described
above. Individuals will be given access only if needed for their
specific job. The contractors are subject to the provisions of the
Privacy Act.
2. A Federal agency so that it can identify and contract persons
who might be interested in a scientific, technical, or educational
program, meeting, vacancy, or similar opportunity.
3. A Federal agency, or a researcher with appropriate scholarly
credentials, to use the data for scholarly studies or for Federal
program management, evaluation, or reporting only after scrutiny of
research protocols and with appropriate controls. Information from this
system may be merged with other computer files to complete such studies
or evaluations. The results of such studies or evaluations are
statistical in nature and do not identify individuals.
4. 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.
5. 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:
Primary storage is in centralized electronic data tables. Extracts
or paper printouts may be maintained in computers or paper files in
individual program offices.
Retrievability:
Information can be retrieved electronically using participant names
or social security numbers.
Safeguards:
NSF employees, contractors, advisers, and so on will have access
only after entering the NSF data system using a personal identifier and
password only as needed for their specific assignments. Principal
investigators will have access only to information about their own
awards, and only after identifying themselves using a personal
identifier and personal identification number. Even then, they will not
have access through this system to tracking and demographic data on
individual participants other than themselves.
Persons covered by the system will have access only to information
about themselves. Normally they will get such access after identifying
themselves
[[Page 271]]
using a personal identifier and personal identification number.
Retention and disposal:
The file is cumulative and is maintained indefinitely.
System manager(s) and address:
Chief Information Officer, 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:
Persons covered by the system may obtain electronic access to
information about themselves. Normally they will get such access after
identifying themselves using a personal identifier and personal
identification number. Or see ``Notification Procedure'' above.
Contesting record procedures:
Persons covered by the system, having obtained electronic access as
described above, may update or correct certain information directly,
using the electronic system. They may notify NSF if they believe any
other information is incorrect or inaccurate, using the electronic
system. Or see ``Notification Procedure'' above.
Record source categories:
Information other than tracking and demographic data is entered by
the principal investigator on the relevant award. Tracking and
demographic data is obtained either by having the individual
participant enter it directly (preferred) or by having the principal
investigator enter it on the participant's behalf.
Systems exempted from certain provisions of the act:
None.
NSF-66
System name:
NSF Photo Identification Card System.
System location:
National Science Foundation, Division of Human Resource Management,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF Employees and NSF Contractors who work in the building and have
a need for an ID pass.
Categories of records in the system:
Digital photograph, LAN ID, name, social security number, proximity
card number, signature, date of birth.
Authority for maintenance of the system:
Authority for maintenance of Photo Id cards is 44 U.S.C. 3101 and
42 U.S.C. 1870. Other authorities include: Presidential Order dated
June 28, 1995, subject: ``Upgrading Security at Federal Facilities.''
The report establishes ``agency photo ID for all personnel displayed at
all times'' as a minimum standard for Level IV facilities. NSF has been
designated as a Level IV facility.
Purpose of system:
The information is used for producing identification cards used for
access to the building as well as for building security, to identify
the bearer of the card as a Federal employee, and for tracking stolen
or lost cards.
Routine uses of records maintained in the system, including categories
of uses and the purposes of such uses:
Information from this system may be disclosed to:
1. Security guards for verifying building access in cases of lost
identification cards.
2. Individuals, as necessary, for tracking stolen or lost
identification cards.
3. 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.
4. Contractors, grantees, volunteers, experts, advisors, and other
individuals who perform a service to or work on or under a contract,
grant, cooperative agreement, or other arrangement with or for the
Federal government, as necessary to carry out their duties.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored locally on a stand-alone Personal Computer.
Retrievability:
Records may be retrieved by LAN ID, name, social security number,
proximity card number, date of birth and digital photograph.
Safeguards:
Information is controlled by password and in an area that is locked
during non-business hours.
Retention and disposal:
information is retained on all current employees and contractors.
Employees and contractors separating return their Identification cards
when they are no longer employed by the agency. Their records will be
deleted in the IVIS 2000 System and the ID card, with photo, destroyed.
System manager and address:
Division Director, Human Resource Management, 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:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
See ``Notification'' above.
System exemptions from certain provisions of the Privacy Act of 1974:
None.
NSF-68
System name:
Project Results Information Base.
System location:
Central electronic data system of the National Science Foundation,
4201 Wilson Boulevard, Arlington, Virginia 22230. Excerpts may be
extracted or printed and held in separate files maintained by
individual NSF offices and programs.
Categories of individuals covered by the system:
Persons who have received support from the National Science
Foundation, either individually or through an academic or other
institution.
Categories of records in the system:
The ``Project Results Information Base'' system contains reports on
results of projects funded by NSF. Project reports may include
information on participants, major research activities and findings,
research training, or educational and outreach activities, products
such as publications produced,
[[Page 272]]
contributions resulting from the research, and other related material.
Most project reporting information will be available to the public
under the Freedom of Information Act.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose of the system:
The primary purpose of project reporting information is to enable
NSF to identify outcomes of projects funded under NSF awards for
program 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. Information from the system may be provided to the applicant or
grantee institution.
2. Disclosure may be 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.
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 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:
Primary storage is in centralized electronic data tables or boxes.
Extracts or paper printouts may be maintained in computers or paper
files in individual program offices.
Retrievability:
Information can be retrieved electronically using an awardee's name
or identifying number.
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained in
electronic form are password protected.
Retention and disposal:
The file is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program 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:
Persons covered by the system may obtain electronic access to
information about themselves. Normally they will get such access after
identifying themselves using a personal identifier and personal
identification number. Or see ``Notification Procedure'' above.
Contesting record procedures:
Persons covered by the system, having obtained electronic access as
described above, may update or correct certain information directly,
using the electronic system. They may notify NSF if they believe any
other information is incorrect or inaccurate, using the electronic
system. Or see ``Notification Procedure'' above.
Record source categories:
Information obtained voluntarily from individual.
System exemptions from certain provisions of the privacy act:
None.
NSF-69
System name:
Education and Training Records.
System location:
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA
22230 and NSF-contractors who participate in collecting and cleaning
data records (currently includes but not limited to), Abt Associates,
Inc., 55 Wheeler Street, Cambridge, MA 20850-3129; COSMOS Corporation,
7475 Wisconsin Avenue, Suite 900, Bethesda, MD 20814; SRI
International, 1611 North Kent Street, Arlington, VA, 22209; Quantum
Research Corporation, 7315 Wisconsin Avenue, Suite 400W, Bethesda, MD
20814-3202; Urban Institute, 2100 M Street, NW, Washington, DC 20037;
Westat, Inc., 1650 Research Boulevard, Rockville, MD 20850-3129.
Categories of individuals covered by the system:
The system includes individuals who have studied or taught in the
United States in a variety of pre-kindergarten through post-doctoral
level educational or educational related institutions or participated
in science, mathematics, or technology education projects funded by the
National Science Foundation.
Categories of records in the system:
Records vary by program and may include name, mailing address, e-
mail address, personal web url, Social Security Number, gender,
disability status, birth date, citizenship, ethnicity/race, education
history, education plans, grade point average, courses studied,
standardized test scores, degree status, years of study, sources of
financial support during study or participation in NSF-funded project,
post-graduation plans, parents' education level, parents' occupation,
post-project plans, discipline of major, degree year, matriculation
year, graduation date,
[[Page 273]]
academic accomplishments, mentoring activities, outreach activities,
discipline of practice, teaching load, teaching history, military
service history/status, media exposure, awards, honorary degrees,
employment category.
Authority for maintenance of the system:
42 U.S.C. 1862, 1870, and 1885d; 20 U.S.C. 5422; Senate Reports
101-474, 102-107, and 102-356.
Purpose of the system:
Information from this system may be used:
1. To provide a source of information on demographic and
educational characteristics and employment plans of participants in
NSF-funded educational projects, in compliance with Foundation
responsibilities to monitor scientific and technical resources.
2. To provide indicators of the state of science and engineering
education in the United States.
3. To report periodically on the participation of men and women by
ethnicity, disability, educational level, and discipline.
4. To enable NSF to monitor the effectiveness of NSF-sponsored
projects and identify outcomes of projects funded under NSF awards 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.
5. To create public use files (which contain no personally
identifiable information) for research purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system of records may be released to:
1. Contractors, grantees, volunteers, advisers, 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 assignment for the Federal Government in pursuit of
a purpose described above. Such individuals will be given access only
if needed for their specific job. The contractors are subject to the
provisions of the Privacy Act.
2. A Federal agency or grantee so that it can identify and contact
persons who might be interested in a scientific, technical, or
educational program, meeting, vacancy, or similar opportunity.
3. A Federal agency, or a researcher with appropriate scholarly
credentials, to use the data for scholarly studies or for Federal
program management, evaluation, or reporting only after scrutiny of
research protocols and with appropriate controls. Information from this
system may be merged with other computer files to complete such studies
or evaluations. The results of such studies or evaluations are
statistical in nature and do not identify individuals.
4. The Department of Justice or the Office of Management and Budget
for the purpose of obtaining advice on application of the Freedom of
Information Act or Privacy Act to the records.
5. 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. Individuals selected by NSF to act as beta testers for
preliminary versions of public use files.
7. 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. 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, some are stored in
paper format in file folders; and some are stored on microfiche.
Retrievability:
Alphabetically by last name of individual or other personal
identifiers.
Safeguards:
Data are kept in secured areas with access limited to authorized
personnel. Questionnaires, in paper copy or in microfiche, are kept in
locked cabinets. Records in electronic format are password protected.
Published findings are in formats that preclude individual
identification.
Retention and disposal:
Records are cumulative and maintained indefinitely.
System manager(s) and address:
Division Director, Research, Evaluation, and Communication,
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA
22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance with
the procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information obtained from individuals and from grant recipients.
System exemptions from certain provisions of the privacy act:
None.
[FR Doc. 98-090 Filed 1-2-98; 8:45 am]
BILLING CODE 7555-01-M
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.