[Federal Register Volume 62, Number 178 (Monday, September 15, 1997)]
[Notices]
[Pages 48277-48278]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-24212]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-5888-3]


Privacy Act of 1974; Research Grant, Cooperative Agreement, and 
Fellowship Application Files System of Records

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed new Privacy Act system of records.

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SUMMARY: The United States Environmental Protection Agency (EPA) is 
publishing a notice for public comment on a system of records subject 
to the Privacy Act of 1974, 5 U.S.C. 552a. This system is entitled 
``Research Grant, Cooperative Agreement, and Fellowship Application 
Files.'' Additional information on this system is described in the 
Supplementary Information section of this notice.

EFFECTIVE DATE: This proposed action will be effective, without further 
notice on October 27, 1997, unless comments are received which result 
in a contrary determination.

ADDRESSES: Comments should be addressed to Director, National Center 
for Environmental Research and Quality Assurance (Mail Code 8701), U.S. 
Environmental Protection Agency, 401 M St., SW, Washington, DC 20460.

FOR FURTHER INFORMATION CONTACT: Dr. Robert E. Menzer, Senior Science 
Advisor, National Center for Environmental Research and Quality 
Assurance (Mail Code 8701), U.S. Environmental Protection Agency, 401 M 
St., SW, Washington, DC 20460. Telephone: (202) 260-5779.

SUPPLEMENTARY INFORMATION: The purpose of this system of records is to 
assist EPA in conducting and documenting the receipt and review of 
applications and awards of research grants to the most meritorious 
applicants in response to solicitations issued by the Office of 
Research and Development in furtherance of its Science to Achieve 
Results (STAR) program. The system includes application files and 
computer-generated records developed in connection with the review and 
decision process for awarding grants under the terms of the Federal 
Grant and Cooperative Agreement Act of 1977, 41 U.S.C. 501 et seq. 
Application files are comprised of (1) the submitted application, which 
includes the names and resumes of proposed investigators, (2) peer 
reviewers' comments on the application, and (3) documentation of the 
decision process on the application. Computer-generated records include 
data regarding the administrative management of the application in the 
peer review process.
    This system of records contains records retrieved by the names of 
the grant principal investigators, universities, not-for-profit 
research organizations, and other organizations. Only information 
retrieved by the names of individuals is covered by this Privacy Act 
notice.

    Dated: August 28, 1997.
Alvin M. Pesachowitz,
Acting Assistant Adminstrator for Administration and Resources 
Management and Chief Information Officer.
EPA-36

SYSTEM NAME:
    Research Grant, Cooperative Agreement, and Fellowship Application 
Files System of Records, EPA/ORD.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    National Center for Environmental Research and Quality Assurance, 
Office of Research and Development, Waterside Mall, 401 M St., SW, 
Washington, DC 20460.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals (principal investigators) who request or have 
previously requested support from the ORD research grants programs of 
the U.S. Environmental Protection Agency, either individually or 
through an academic or other institution.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The names of the principal investigators, the proposals and their 
identifying numbers, supporting data from the academic institutions or 
other applicants, proposal evaluations from peer reviewers, review 
records, financial data, and other material related to evaluation of 
applications.

authority for maintenance of the system:
    44 U.S.C. 3101; Federal Grant and Cooperative Agreement Act, 41 
U.S.C. 501 et seq.; the Clean Air Act, as amended, 42 U.S.C. 1857 et 
seq.; the Federal Water Pollution Control Act, as amended, 33 U.S.C. 
1254 et seq.; the Public Health Service Act, as amended, 42 U.S.C. 241 
et seq.; the Solid Waste Disposal Act, as amended by the Resource 
Conservation and Recovery Act of 1976, 42 U.S.C. 6901 et seq.; the 
Federal Insecticide, Fungicide, and Rodenticide Act, as amended, 7 
U.S.C. 136 et seq.; and the Grant Act, 42 U.S.C. 1891 et seq.

PURPOSE(S):
    The purpose of this system of records is to assist EPA in 
conducting and documenting the receipt and review of applications and 
award of research grants to the most meritorious applicants in response 
to solicitations issued by the Office of Research and Development in 
furtherance of its Science to Achieve Results (STAR) program.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Disclosure of information from this system of records may be made 
as follows:
    1. To a Member of Congress or a congressional office from the 
record of an individual in response to an inquiry from that Member or 
office made at the request of the individual to whom the record 
pertains.
    2. To Federal contractors, grantees, volunteers, and other 
individuals 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 that activity.
    3. To a Federal agency which has requested information relevant to 
its decision in connection with the hiring 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.
    4. 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.
    5. To an appropriate Federal, State, local, or foreign agency 
responsible for investigating, 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.

[[Page 48278]]

    6. 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.
    7. 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 
subpoenas and requests for discovery.
    8. 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.
    9. To qualified reviewers for their opinion and evaluation of 
applicants and their proposals as part of the application review 
process.
    10. To other Federal government agencies and private-sector 
organizations regarding applicants or nominees in order to coordinate 
joint programs between Federal agencies, State or local government 
agencies, and/or private-sector organizations.
    11. To the applicant institution for purposes of obtaining data 
regarding the application review process or award decisions, or 
administering grant awards.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Various parts of the system are maintained on computer and/or in 
hard copy files.

RETRIEVABILITY:
    Information is retrieved by the name of the principal investigator. 
Computer files may also be retrieved by various data elements in the 
database.

SAFEGUARDS:
    All records are maintained in secured areas with restricted access 
or are accessed by unique passwords or log-in procedures. Only EPA 
personnel and agency contractors with a need-to-know in order to 
perform their duties may access the information.

RETENTION AND DISPOSAL:
    Files are maintained in accordance with approved record retention 
schedules. Awarded proposals are transferred to the Federal Records 
Center one year after closeout where they are retained for an 
additional six years. Declined proposals are destroyed three years 
after they are declined.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Peer Review Division, National Center for Environmental 
Research and Quality Assurance Mail (Code 8725), USEPA, 401 M St., SW, 
Washington, DC 20460.

NOTIFICATION PROCEDURE:
    Contact the system manager at the above address. You may be 
required to provide information to verify your identity.

RECORD ACCESS PROCEDURE:
    Same as ``Notification Procedure,'' above. In addition, please 
specify the record you wish to access.

CONTESTING RECORD PROCEDURES:
    Same as ``Notification Procedure,'' above. In addition, please 
specify the record you wish corrected, the requested correction, and 
justification for the correction.

RECORD SOURCE CATEGORIES:
    Information is obtained from the principal investigators, academic 
institutions or other applicants, peer reviewers, and EPA and other 
Federal agency personnel.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The portions of this system consisting of investigatory material 
which would identify persons providing evaluations of EPA grant 
applicants and applications have been exempted pursuant to 5 U.S.C. 
552a(k)(5). Regulations exempting this system from certain provisions 
of the Privacy Act will be published separately in the Federal Register 
in accordance with the requirements of 5 U.S.C. 553(b), (c), and (e).

[FR Doc. 97-24212 Filed 9-12-97; 8:45 am]
BILLING CODE 6560-50-P