[Federal Register Volume 60, Number 14 (Monday, January 23, 1995)]
[Notices]
[Pages 4449-4451]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-1616]



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NATIONAL SCIENCE FOUNDATION


Privacy Act of 1974: Revision to Two Systems of Records

AGENCY: National Science Foundation.

ACTION: Notice of revised systems of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), the 
National Science Foundation is providing notice of a revision to two 
systems of records--NSF-12, ``Fellowships and other Awards'' and NSF-
50, ``Principal Investigator/Proposal File and Associated Records''. 
Both systems include records maintained by NSF as a result of 
applications for financial support and subsequent evaluation of 
applicants and their proposals. System 12 contains records on 
fellowship applicants and on nominees for fellowships submitted 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.
    NSF revised these system notices to eliminate two redundant or 
otherwise unnecessary routine uses and to alter existing routine uses 
to make them consistent between each related system. Both system 
notices are reprinted in their entirety.
    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 Operations 
(now Government Reform and Oversight).

EFFECTIVE DATE: Sections 552a(e) (4) and (11) of Title 5 of the U.S. 
Code provides 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 22, 1995, 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: January 17, 1995.
Herman G. Fleming,
NSF Privacy Act Officer.

NSF-12
    Fellowships and other Awards.
    Decentralized. Numerous separate files are maintained by individual 
offices and programs at the National Science Foundation, 4201 Wilson 
Boulevard, Arlington, VA 22230. Others are maintained by NSF 
contractors such as the National Academy of Sciences (NAS), 2101 
Constitution Avenue, NW., Washington, DC, and Oak Ridge Associated 
Universities, PO Box 3010, Oak Ridge, Tennessee 37831-2010.
    Persons applying or nominated for and/or receiving NSF support, 
either individually or through an academic institution, including 
fellowships or awards of various types.
    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.
    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. NSF 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; to other Government 
agencies needing data regarding applicants or nominees as part of the 
application review process, or in order to coordinate programs; and to 
contractors assisting NSF staff in the performance of their duties. 
Contractors are subject to the provisions of the Privacy Act.
    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 institution the 
applicant or fellow 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 
the Treasury for preparation of checks or electronic fund transfer 
authorizations.
    5. 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 and other individuals who perform a service or 
work on or under a contract, grant, cooperative agreement, or other 
arrangement with or for the Federal government.
    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 [[Page 4450]] 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.
    The records kept by the NSF contractor are on computer tapes. All 
original application materials are kept at NSF. However, microfilms of 
application materials received prior to 1963 are kept at NAS.
    Alphabetically by applicant or nominee name.
    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 accessible only by protected password and available only to those 
employees with a need-to-know.
    NAS tapes are kept indefinitely. Records at NSF are transferred to 
the Federal Records Center and destroyed 10 years after completion of 
Fellowship or award.
    Division Director of particular office or program maintaining such 
records, National Science Foundation, 4201 Wilson Boulevard, Arlington, 
VA 22230.
    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.
    See ``Notification'' above.
    See ``Notification'' above.
    Information supplied by of 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.
    NSF at 45 CFR 613.6 has exempted from disclosure the identity of 
references and reviewers in accordance with 5 U.S.C. 552a(k)(5).
NSF-50
    Principal Investigator/Proposal File and Associated Records.
    Decentralized: There are numerous separate files maintained by 
individual NSF offices and programs. National Science Foundation, 4201 
Wilson Boulevard, Arlington, Virginia 22230.
    Each person that requests, or has previously requested, support 
from the National Science Foundation, either individually or through an 
academic or other institution.
    The name of the principal investigator, 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 other agency records containing or reflecting comments on the 
proposal or the proposers from peer reviewers.
    44 U.S.C. 3101; 42 U.S.C. 1870.
    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 proposals to fund, and to carry out other authorized 
internal duties.
    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 
Federal 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 
institution for purposes of obtaining 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 and other individuals who perform a service or 
work on or under a contract, grant, cooperative agreement, or other 
arrangement with or for the Federal government.
    5. 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.
    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.
    Various portions of the system are maintained on computer or in 
hard copy files, depending on the individual program office.
    Information can be accessed from the computer database by 
addressing data contained in the database, including individual names. 
An individual's name may be used to manually access material in 
alphabetized hard copy files.
    All records containing personal information are maintained in 
secured file cabinets or are accessed by unique passwords and log-on 
procedures. Only those persons with a need-to-know in order to perform 
their duties may access the information.
    Files are maintained in accordance with approved record retention 
schedules. Awarded proposals are transferred to the Federal Records 
[[Page 4451]] Center for permanent retention. Declined proposals are 
destroyed five years after they are closed out.
    Division Director of particular office or program maintaining such 
records, National Science Foundation, 4201 Wilson Boulevard, Arlington, 
Virginia 22230.
    The NSF Privacy Act Officer should be contacted in accordance with 
procedures set forth at 45 CFR part 613.
    See ``Notification Procedure'' above.
    See ``Notification Procedure'' above.
    Information is obtained from the principal investigator, academic 
institution or other applicant, peer reviewers, and others.
    The portions of this system consisting of investigatory material 
which would identify persons supplying evaluations of NSF applicants 
and their proposals have been exempted pursuant to 5 U.S.C. 552a(k)(5).

[FR Doc. 95-1616 Filed 1-20-95; 8:45 am]
BILLING CODE 7555-01-M