[Federal Register Volume 69, Number 92 (Wednesday, May 12, 2004)]
[Notices]
[Pages 26410-26412]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-10802]


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NATIONAL SCIENCE FOUNDATION


Proposed Changes in the Text of Privacy Act Notices, NSF-50 and 
NSF-51

AGENCY: National Science Foundation.

ACTION: Proposed changes in the text of NSF-50: Principal Investigator/
Proposal File and Associated Records; and in NSF-51, a subsystem of 
NSF-50.

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    Authority: 44 U.S.C. 3101; 42 U.S.C. 1870.

SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), the 
National Science Foundation is providing notice of revisions to two 
existing systems of records. These changes more adequately describe the 
systems and update the ``routine uses.'' All revised system notices are 
reprinted in their entirety.
    The two revised systems are NSF-50, ``Principal Investigator/
Proposal File and Associated Records'' and NSF-51, ``Reviewer/Proposal 
File and Associated Records.'' NSF-50 systems include records 
maintained by NSF as a result of applications for financial support and 
subsequent evaluation of applicants and their proposals. NSF-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-51 is a subsystem of the ``Principal Investigator/Proposal File 
and Associated Records'' system and contains the reviewer's name, 
proposal title and its identifying number, and other related material. 
The system enables program offices to reference specific reviewers and 
maintain appropriate files for use in evaluating applications for 
grants or other support.
    In accordance with the requirements of the Privacy Act, NSF has 
provided a report on the proposed systems revisions to the Office of 
Management and Budget; the Chairman, Senate Committee on Governmental 
Affairs; and the Chairman, House Committee on Government Reform and 
Oversight.

DATES: Effective Date: Section 552a(3)(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 30 days after publication unless modified by a subsequent 
notice to incorporate comments received from the public.

ADDRESSES: Address all comments concerning this notice to Leslie 
Jensen, National Science Foundation, Office of the General Counsel, 
Room 1265, 4201 Wilson Boulevard, Arlington, Virginia 22230.

SUPPLEMENTARY INFORMATION: You may submit comments by sending 
electronic mail (E-mail) to [email protected].
    Submit comments as an ASCII file avoiding the use of special 
characters and any form of encryption. Identify all comments sent in 
electronic e-mail with Subject Line: Comments to proposed changes.

FOR FURTHER INFORMATION CONTACT:  Leslie Jensen: (703) 292-8060.

Lawrence Rudolph,
General Counsel.

Text: Proposed Changes

NSF-50

System name:
    Principal Investigator/Proposal file and Associated Records.

System location:
    Files are maintained both centrally and by individual NSF offices 
and programs at the National Science Foundation, 4201 Wilson Boulevard, 
Arlington, Virginia 22230.

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 may include, for example, committee or panel 
discussion summaries as applicable.

Authority for maintenance of the system:
    44 U.S.C. 3101; 42 U.S.C. 1870.

Purpose of the system:
    This system enables program offers 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. 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 or 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 NSF application review process; and to 
other Government agencies or other entities needing information 
regarding applicants or nominees as part of a joint application review 
process, or in order to coordinate programs or policy.
    2. Information from the system may be provided to the applicant or 
grantee

[[Page 26411]]

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. The 
contractors are subject to the provisions of the Privacy Act.
    5. 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.
    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 and/or 
in paper files.

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 45 CFR part 
613 pursuant to 5 U.S.C. 552a(k)(5).
NSF-51

System name:
    Reviewer/Proposal File and Associated Records.

System location:
    Files are maintained centrally, and in some cases by individual NSF 
offices and programs, at the National Science Foundation, 4201 Wilson 
Boulevard, Arlington, Virginia 22230.

Categories of individuals covered by the system:
    Reviewers who evaluate Foundation applicants and their proposals, 
either by submitting individual comments, or serving on review panels 
or site visit teams, or both.

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, title of 
proposal(s) reviewed and 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 records maintained in the system, including categories 
of users and the purposes of such uses:
    Disclosure 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 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 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 agency, a court, or a party in litigation before 
a court or in

[[Page 26412]]

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 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 and/or 
in paper files.

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.

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 part 
613 pursuant to 5 U.S.C. 552a(k)(5).

[FR Doc. 04-10802 Filed 5-11-04; 8:45 am]
BILLING CODE 7555--01-M