[Federal Register Volume 59, Number 126 (Friday, July 1, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-16075]


[[Page Unknown]]

[Federal Register: July 1, 1994]


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ENVIRONMENTAL PROTECTION AGENCY
[FRL-5006-3]

 

Privacy Act of 1974; System of Records

ACTION: Notice of amendment to existing Privacy Act system of records.

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SUMMARY: The Environmental Protection Agency (EPA) proposes to amend 
its Privacy Act system of records, ``Invention Reports Submitted to the 
Environmental Protection Agency,'' previously published at 50 FR 50227 
(December 9, 1985). The primary purpose of this amendment is to clarify 
existing and add new routine uses, to add a new category of individuals 
covered by the system, to reflect changes required by the adoption of a 
computer tracking system for covered records, to more accurately 
describe the sources of records in the system, and to add new data 
elements by which information may be retrieved from the system. All 
other changes to the system are of a minor nature.

EFFECTIVE DATE: This amendment shall become effective without further 
notice forty (40) days after publication unless comments are received 
which dictate a contrary determination.

ADDRESSES: Comments should be addressed to Patent Counsel, U.S. EPA, 
Office of General Counsel, General and Information Law Division (2379), 
401 M Street SW., Washington, DC 20460.

FOR FURTHER INFORMATION CONTACT: Thomas W. Gorman, Patent Counsel, U.S. 
EPA, Office of General Counsel, General and Information Law Division 
(2379), 401 M Street SW., Washington, DC 20460. Tel. (202) 260-1339.

SUPPLEMENTARY INFORMATION: EPA is amending a system of records, 
``Invention Reports Submitted to the Environmental Protection Agency-
EPA/OGC/Grants-16,'' as follows:
    First, EPA is adding new routine uses and revising existing routine 
uses in a manner that is compatible with the purpose for which the 
records were collected. Routine uses 1, 3, 4, 6, 7 in the notice 
(formerly published as numbers 2, 4, 5, 7, and 8, respectively) have 
been reorganized but not altered. Routine use 2 (formerly 3) has been 
revised to clarify that contract patent counsel are engaged by EPA to 
prepare and prosecute patent applications as well as to search patents. 
Routine use 5 (formerly 6) has been amended to reflect disclosures of 
files in connection with EPA's implementation of the Federal Technology 
Transfer Act of 1986. Routine use 8 has been added to enable EPA to 
disclose records to Government contractors, other than contract patent 
counsel covered in a separate routine use, who are engaged to perform 
duties on behalf of the Government. Routine use 9 has been added to 
permit disclosures of records in the system to the Department of 
Justice when EPA is a party to or has an interest in litigation. In 
addition, a list of five general routine uses currently applicable to 
this system of records, but published in a separate Federal Register 
notice (40 FR 43194, September 18, 1975), has been amended and 
republished as routine uses 10 through 14 in this notice. These routine 
uses have been revised to provide more accurate and precise 
descriptions of the permitted disclosures, which include disclosures to 
Congress at an individual's request; for law enforcement purposes; in 
connection with judicial and administrative litigation; and in 
connection with employment, contract and benefit entitlement decisions.
    Second, EPA has developed a computer system which indexes and 
tracks information contained in this system of records. The sections of 
this notice describing ``Storage,'' ``Retrievability,'' and 
``Safeguards'' have been revised to reflect the changes resulting from 
adoption of the computer tracking system.
    Third, the ``Record Source Categories'' section has been revised to 
include U.S. and foreign patent offices, which were inadvertently 
omitted from the prior publication of this notice.
    Fourth, the section on ``Categories of Individuals Covered by this 
System'' is being revised to include a new category of individuals: 
Parties to cooperative research and development agreements under the 
Federal Technology Transfer Act of 1986.
    Fifth, the ``Retrievability'' section of the notice is being 
revised to indicate that information in the system may also be 
retrieved by patent application number and/or patent number.
    The remaining revisions to this system of records are editorial in 
nature or clarify and update the existing notice to reflect 
administrative, organizational, and statutory revisions which have 
occurred since the previous publication of the notice in the Federal 
Register.
    The report on significantly altered systems of records required by 
5 U.S.C. 552a(r) has been submitted to Congress and the Office of 
Management and Budget.

    Dated: June 16, 1994.
Jonathan Cannon,
Assistant Administrator for Administration and Resources Management.
EPA-16
    Invention Reports Submitted to the EPA.
    U.S. Environmental Protection Agency, Office of General Counsel, 
General and Information Law Division (2379), 401 M Street SW., 
Washington, DC 20460.
    EPA employees and employees of contractors, subcontractors, 
grantees, cooperative agreement recipients (40 CFR part 30), and 
parties to cooperative research and development agreements (15 U.S.C. 
3710a) who have submitted invention reports to EPA.
    Invention reports, patent applications, patents, patent 
assignments, licenses, procurement requests, Government purchase 
orders, and other documents relevant to inventions made under EPA 
sponsorship.
    E.O. 9865, E.O. 10096, 35 U.S.C. Ch. 18 (Patent Rights in 
Inventions Made with Federal Assistance), 37 CFR parts 101 and 404, 40 
CFR part 30, 48 CFR parts 27 and 52.
    Records are maintained for the purpose of documenting inventions 
made under EPA sponsorship, including filing patent applications, 
determining rights to inventions, licensing inventions, and 
ascertaining inventorship and priority of invention.
    These records may be disclosed routinely:
    1. To scientific personnel who possess the expertise to understand 
the invention and evaluate its importance to the Government and/or the 
public.
    2. To contract patent counsel and their employees retained by the 
Agency for patent searching, preparation and prosecution of United 
States and foreign patent applications.
    3. To Government agencies whom we contact regarding possible use, 
interest in or ownership rights in our inventions.
    4. To the National Technical Information Service of the Department 
of Commerce for inclusion in their invention licensing program.
    5. To technology assistance personnel, technology evaluators, 
technology finders and prospective licensees who may further make the 
invention available to the public through evaluation, promotion, sale, 
use or publication.
    6. To parties, such as supervisors of inventors, whom we contact to 
determine ownership rights, and to those parties contacting us to 
determine the Government's ownership.
    7. To the United States and foreign Patent and Trademark Offices 
when we file U.S. and foreign patent applications.
    8. To Federal Government contractors, grantees, or volunteers who 
have been engaged to assist the Federal Government in the performance 
of a contract, grant, cooperative agreement or other activity related 
to this system of records and who need to have access to the records in 
order to perform the activity. Recipients are required to maintain the 
records in accordance with the requirements of the Privacy Act.
    9. To the Department of Justice to the extent that each 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) EPA or 
any of its components, (b) an EPA employee in his or her official 
capacity, (c) an EPA employee in his or her individual capacity where 
the Department of Justice is representing or considering representation 
of the employee, or (d) the United States where EPA determines that the 
litigation is likely to affect the Agency.
    10. In a proceeding before a court, other adjudicative body or 
grand jury, or in an administrative or regulatory proceeding, to the 
extent that each disclosure is compatible with the purpose for which 
the record was collected and is relevant and necessary to the 
proceeding in which one of the following is a party or has an interest: 
(a) EPA or any of its components, (b) an EPA employee in his or her 
official capacity, (c) an EPA employee in his or her individual 
capacity where the Department of Justice is representing or considering 
representation of the employee, or (d) the United States where EPA 
determines that the litigation is likely to affect the Agency. Such 
disclosures include, but are not limited to, those made in the course 
of presenting evidence, conducting settlement negotiations, and 
responding to requests for discovery.
    11. To a Member of Congress or a congressional office in response 
to an inquiry from that Member or office made at the request of the 
individual to whom the record pertains.
    12. To a Federal agency which has requested information relevant to 
its decision in connection with the firing or retention of an employee; 
the reporting of an investigation on an employee; the letting of a 
contract; or the issuance of a security clearance, license, grant, or 
other benefit.
    13. To a Federal, State or local agency where necessary to enable 
EPA to obtain information relevant to an EPA decision concerning the 
hiring or retention of an employee; the letting of a contract; or the 
issuance of a security clearance, license, grant or other benefit.
    14. To an appropriate Federal, State, local or foreign agency 
responsible for investigation, prosecuting, enforcing, or implementing 
a statute, rule, regulation or order, where there is an indication of a 
violation or potential violation of the statute, rule, regulation or 
order and the information disclosed is relevant to the matter.
    Individual file folders in file cabinets and indexed on computer 
tracking system.
    Indexed and retrieved by inventor's name, by case identification 
number, and by patent application number or patent number.
    Access is limited to EPA personnel with an official need to know. 
During non-business hours, the files are kept in a locked room in a 
building with controlled access. In addition, access to the 
computerized index is limited to EPA personnel with an official need to 
know and an authorized password.
    The records are maintained for seventeen years after completion or 
termination of action on the disclosed invention, such as issuance of a 
patent. The records are maintained at EPA for approximately three to 
eight years and are then sent to a Federal Records Center for the 
remainder of the applicable retention period.
    Associate General Counsel, General and Information Law Division 
(2379), Office of General Counsel, U.S. Environmental Protection 
Agency, 401 M Street, SW, Washington, DC 20460.
    Notification procedure:
    Written inquiries should be directed to the System Manager at the 
address listed above. The System Manager will provide additional 
information or requirements if necessary.
    Same as Notification Procedure. In addition, individuals seeking 
access should reasonably specify the record contents being sought.
    Same as Notification Procedure. In addition, individuals contesting 
records should reasonably identify the record and specify the 
information being contested. The corrective action being sought and 
supporting justification for that action should be provided.
    Records in the system are obtained from invention report submitters 
covered by this system, their supervisors, other persons with knowledge 
of the invention or expertise in the particular area of the invention, 
EPA Patent Counsel, EPA contractors who have searched the invention, 
prepared a patent application on the invention and/or otherwise 
performed work relating to a patent application, and the United States 
and foreign patent offices.
    None.

[FR Doc. 94-16075 Filed 6-30-94; 8:45 am]
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