[Federal Register Volume 70, Number 103 (Tuesday, May 31, 2005)]
[Proposed Rules]
[Pages 30917-30920]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-10701]
=======================================================================
-----------------------------------------------------------------------
NATIONAL SCIENCE FOUNDATION
45 CFR Part 613
RIN 3145-AA43
Proposed Changes to Exemptions Under CFR Part 613--Privacy Act
Regulations
AGENCY: National Science Foundation.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: Part 613.5 Exemptions will be amended to add (g) Statistical
records. Pursuant to 5 U.S.C. 552a(k)(4), the Foundation hereby exempts
the systems of records entitled ``Doctorate Records Files,''
``Doctorate Work History Files,'' and ``National Survey of Recent
College Graduates & Follow-up Files'' from the application of 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
DATES: June 30, 2005.
ADDRESSES: Address all comments concerning this notice to Leslie
Jensen, National Science Foundation, Office of the General Counsel,
Room 1265, Wilson Boulevard, Arlington, Virginia 22230.
FOR FURTHER INFORMATION CONTACT: Leslie Jensen: (703) 292-8060.
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.
Lawrence Rudolph,
General Counsel.
List of Subjects in 45 CFR Part 613
Privacy.
For the reason stated in the preamble, the National Science
Foundation proposes to revise 45 CFR Part 613 as follows:
PART 613--PRIVACY ACT REGULATORY
Sec.
613.1 General provisions
613.2 Requesting access to records
613.3 Responding to requests for access to records
613.4 Amendment of records
613.5 Exemptions
613.6 Other rights and services
Authority: 5 U.S.C. 552a.
[[Page 30918]]
Sec. 613.1 General Provisions.
This part sets forth the National Science Foundation procedures
under the Privacy Act of 1974. The rules in this part apply to all
records in systems of records maintained by NSF that are retrieved by
an individual's name or personal identifier. They describe the
procedures by which individuals, as defined in the Privacy Act, may
request access to records about themselves and request amendment or
corrections of those records. All Privacy Act requests for access to
records are also processed under the Freedom of Information Act, 5
U.S.C. 552 (as provided in Part 612 of this chapter), which gives
requesters the benefit of both statutes. Notice of systems of records
maintained by the National Science Foundation are published in the
Federal Register.
Sec. 613.2 Requesting access to records.
(a) Where to make a request. You may make a request for access to
NSF records about yourself by appearing in person at the National
Science Foundation or by making a written request. If you choose to
visit the Foundation, you must contact the NSF Security Desk and ask to
speak with the Foundation's Privacy Act Officer in the Office of the
General Counsel. Written requests should be sent to the NSF Privacy Act
Officer, National Science Foundation, 4201 Wilson Boulevard, Suite
1265, Arlington, VA 22230. Written requests are recommended, since in
many cases it may take several days to determine whether a record
exists, and additional time may be required for record(s) retrieval and
processing.
(b) Description of requested records. You must describe the records
that you seek in enough detail to enable NSF personnel to locate the
system of records containing them with a reasonable amount of effort.
Providing information about the purpose for which the information was
collected, applicable time periods, and name or identifying number of
each system of records in which you think records about you may be
kept, will help speed the processing of your request. NSF publishes
notices in the Federal Register that describe the systems of records
maintained by the Foundation. The Office of the Federal Register
publishes a biennial ``Privacy Act Compilation'' that includes NSF
system notices. This compilation is available in many large reference
and university libraries, and can be accessed electronically at the
Government Printing Office's Web site at http://www.access.gpo.gov/su_docs/aces/PrivacyAct.shtml.
(c) Verification of identity. When requesting access to records
about yourself, NSF requires that you verify your identify in an
appropriate fashion. Individuals appearing in person should be prepared
to show reasonable picture identification such as driver's license,
government or other employment identification card, or passport.
Written requests must state your full name and current address. You
must sign your request and your signature must be notarized, or
submitted by you under 28 U.S.C. 1746, a law that permits statements to
be made under penalty of perjury as a substitute for notarization.
While no specific form is required, you may obtain information about
these required elements for requests from the NSF Privacy Act Officer,
Suite 1265, 4201 Wilson Blvd., Arlington, VA 22230, or from the NSF
Home Page under ``Public & Media Information--FOIA and Privacy Act'' at
http://www.nsf.gov/home/pubinfo/foia.htm. In order to help agency
personnel in locating and identifying requested records, you may also,
at your option, include your social security number, and/or date and
place of birth. An individual reviewing his or her record(s) in person
may be accompanied by an individual of his or her choice after signing
a written statement authorizing that individual's presence. Individuals
requesting or authorizing the disclosure of records to a third party
must verify their identify and may specifically name the third party
and identify the information to be disclosed.
(d) Verification of guardianship. When making a request as the
parent or guardian of a minor or as the guardian of someone determined
by a court of competent jurisdiction to be incompetent, for access to
records about that individual, you must establish:
(1) The identity of the record subject, by stating individual's
name and current address and, at your option, the social security
number and/or date and place of birth of the individual;
(2) Your own identity, as required in paragraph (c) of this
section;
(3) That you are the parent or guardian of that individual, which
you may prove by providing a copy of the individual's birth certificate
showing your parentage or by providing a court order establishing your
guardianship; and
(4) That you are acting on behalf of that individual in making the
request.
(e) The procedures of paragraphs (a) through (d) of this section
shall also apply to requests made pursuant to 5 U.S.C. 552a(c)(3).
Sec. 613.3 Responding to requests for access to records.
(a) Timing of responses to requests. The Foundation will make
reasonable effort to act on a request for access to records within 20
days of its receipt by the Privacy Act Officer (excluding date of
receipt, weekends, and legal holidays) or from the time any required
identification is received by the Privacy Act Officer, whichever is
later. In determining which records are responsive to a request, the
Foundation will include only records in its possession as of the date
of receipt. When the agency cannot complete processing of a request
within 20 working days, the Foundation will send a letter explaining
the delay and notifying the requester of the date by which processing
is expected to be completed.
(b) Authority to grant or deny requests. The Privacy Act Officer,
or his or her designee in the office with responsibility for the
requested records, is authorized to grant or deny access to a
Foundation record.
(c) Granting access to records. When a determination is made to
grant a request for access in whole or part, the requester will be
notified as soon as possible of the Foundation's decision. Where a
requester has previously failed to pay a properly charged fee to any
agency within 30 days of the date of billing, NSF may require the
requester to pay the full amount due, plus any applicable interest, and
to make an advance payment of the full amount of any anticipated fee,
before NSF begins to process a new request or continues to process a
pending request from that requester.
(1) Requests made in person. When a request is made in person, if
the records can be found, and reviewed for access without unreasonable
disruption of agency operations, the Foundation may disclose the
records to the requester directly upon payment of any applicable fee. A
written record should be made documenting the granting of the request.
If a requester is accompanied by another person, the requester
shall be required to authorize in writing any discussion of the records
in the presence of the other person.
(2) Request made in writing. The Foundation will send the records
to the requester promptly upon payment of any applicable fee.
(d) Denying access to records. The requester will be notified in
writing of any determination to deny a request for access to records.
The notification letter will be signed by the Privacy Act Officer, or
his or her designee, as the individual responsible for the denial
[[Page 30919]]
and will include a brief statement of the reason(s) for the denial,
including any Privacy Act exemption(s) applied in denying the request.
(e) Fees. The Foundation will charge for duplication of records
requested under the Privacy Act in the same way it charges for
duplication under the Freedom of Information Act (see 45 CFR 612.10).
No search or review fee may be charged for the record unless the record
has been exempted from access under Exemptions (j)(2) or (k)(2) of the
Privacy Act.
Sec. 613.4 Amendment of records.
(a) Where to make a request. An individual may request amendment of
records pertaining to him or her that are maintained in an NSF Privacy
Act system of records, except that certain records described in
paragraph (h) of this section are exempt from amendment. Request for
amendment of records must be made in writing to the NSF Privacy Act
Officer, National Science Foundation, Suite 1265, 4201 Wilson
Boulevard, Arlington, VA 22230.
(b) How to make a request. Your request should identify each
particular record in question, state the amendment you want to take
place, and specify why you believe that the record is not accurate,
relevant, timely, or complete. You may submit any documentation that
you think would be helpful. Providing an edited copy of the record(s)
showing the desired change will assist the agency in making a
determination about your request. If you believe that the same
information is maintained in more than one NSF system of records you
should include that information in your request. You must sign your
request and provide verification of your identity as specified in
613.2(c).
(c) Timing of responses to requests. The Privacy Act Officer, or
his or her designee, will acknowledge receipt of request for amendment
within 10 working days of receipt. Upon receipt of a proper request the
Privacy Act Officer will promptly confer with the NSF Directorate or
Office with responsibility for the records to determine if the request
should be granted in whole or part.
(d) Granting request for amendment. When a determination is made to
grant a request for amendment in whole or part, notification to the
requester will be made as soon as possible, normally within 30 working
days of the Privacy Act Officer receiving the request, describing the
amendment made and including a copy of the amended record, in
disclosable form.
(e) Denying request for amendment. When a determination is made
that amendment, in whole or part, is unwarranted, the matter shall be
brought to the attention of the Inspector General, if it pertains to
records maintained by the Office of the Inspector General, or to the
attention of the General Counsel, if it pertains to other NSF records.
If the General Counsel or Inspector General or their designee agrees
with the determination that amendment is not warranted, the Privacy Act
Officer will notify the requester in writing, normally within 30
working days of the Privacy Act Officer receiving the request. The
notification letter will be signed by the Privacy Act Officer or his or
her designee, and will include a statement of the reason(s) for the
denial and how to appeal the decision.
(f) Appealing a denial. You may appeal a denial of a request to
amend records to the General Counsel, National Science Foundation, 4201
Wilson Blvd., Suite 1265, Arlington, VA 22230. You must make your
appeal in writing and it must be received by the Office of the General
Counsel within ten days of the receipt of the denial (weekends, legal
holidays, and the date of receipt excluded). Clearly mark your appeal
letter and envelope ``Privacy Act Appeal.'' Your appeal letter must
include a copy of your original request for amendment and the denial
letter, along with any additional documentation or argument you wish to
submit in favor of amending the records. It must be signed by you or
your officially designated representative.
(g) Responses to appeals. The General Counsel, or his or her
designee, will normally render a decision on the appeal within thirty
working days after proper receipt of the written appeal by the General
Counsel. If additional time to make a determination is necessary you
will be advised in writing of the need for an extension.
(1) Amendment appeal granted. If on appeal the General Counsel, or
his or her designee, determines that amendment of the record should
take place, you will be notified as soon as possible of the
Foundation's decision. The notification will describe the amendment
made and include a copy of the amended record, in disclosable form.
(2) Amendment appeal denied--Statement of disagreement. If on
appeal the General Counsel, or his or her designee, upholds a denial of
a request for amendment of records, you will be notified in writing of
the reasons why the appeal was denied and advised of your right to seek
judicial review of the decision. The letter will also notify you of
your right to file with the Foundation a concise statement setting
forth the reasons for your disagreement with the refusal of the
Foundation to amend the record. The statement should be sent to the
Privacy Act Officer, who will ensure that a copy of the statement is
placed with the disputed record. A copy of the statement will be
included with any subsequent disclosure of the record.
(h) Records not subject to amendment. The following records are not
subject to amendment:
(1) Transcripts of testimony given under oath or written statements
made under oath;
(2) Transcripts of grand jury proceedings, judicial proceedings, or
quasi-judicial proceedings, which are the official record of those
proceedings;
(3) Pre-sentence records that originated with the courts; and
(4) Records in systems of records that have been exempted from
amendment under Privacy Act, 5 U.S.C. 552a(j) or (k) by notice
published in the Federal Register.
Sec. 613.5 Exemptions.
(a) Fellowships and other support. Pursuant to 5 U.S.C. 552a(k)(5),
the Foundation hereby exempts from the application of 5 U.S.C.
552a(c)(3) and (d) any materials which would reveal the identity of
references of fellowship or other award applicants or nominees, or
reviewers of applicants for Federal contracts (including grants and
cooperative agreements) contained in any of the following systems of
records:
(1) ``Fellowships and Other Awards,''
(2) ``Principal Investigator/Proposal File and Associated
Records,''
(3) ``Reviewer/Proposal File and Associated Records,'' and
(4) ``Reviewer/Fellowship and Other Awards File and Associated
Records.''
(b) OIG Files Compiled for the Purpose of a Criminal Investigation
and for Related Purposes. Pursuant to 5 U.S.C. 552a(j)(2), the
Foundation hereby exempts the system of records entitled ``Office of
Inspector General Investigative Files,'' insofar as it consists of
information compiled for the purposes of a criminal investigation or
for other purposes within the scope of 5 U.S.C. 552a(j)(2), from the
application of 5 U.S.C. 552a, except for subsections (b), (c)(1) and
(2), (e)(4)(A) through (F), (e)(6), (7), (9), (10) and (11), and (i).
(c) OIG and ACA Files Compiled for Other Law Enforcement Purposes.
Pursuant to 5 U.S.C. 552a(k)(2), the Foundation hereby exempts the
systems of records entitled ``Office of Inspector General Investigative
Files'' and ``Antarctic Conservation Act Files''
[[Page 30920]]
insofar as they consist of information compiled for law enforcement
purposes other than material within the scope of 5 U.S.C. 552a(j)(2),
from the application of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f).
(d) Investigations of Scientific Misconduct. Pursuant to 5 U.S.C.
552a(k)(2) and (k)(5), the Foundation hereby exempts from the
application of 5 U.S.C. 552a(c)(3) and (d) any materials which would
reveal the identity of confidential sources of information contained in
the following system of records: ``Debarment/Scientific Misconduct
Files.''
(e) Personnel Security Clearances. Pursuant to 5 U.S.C. 552a(k)(5),
the Foundation hereby exempts from the application of 5 U.S.C.
552a(c)(3) and (d) any materials which would reveal the identity of
confidential sources of information contained in the following system
of records: ``Personnel Security.''
(f) Applicants for Employment. Records on applicants for employment
at NSF are covered by the Office of Personnel Management (OPM)
government-wide system notice ``Recruiting, Examining and Placement
Records.'' These records are exempted as claimed in 5 CFR
297.501(b)(7).
(g) Statistical records. Pursuant to 5 U.S.C. 552a(k)(4), the
Foundation hereby exempts the systems of records entitled ``Doctorate
Records Files,'' ``Doctorate Work History Files,'' and ``National
Survey of Recent College Graduates & Follow-up Files'' from the
application of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f).
(h) Other Records. The Foundation may also assert exemptions for
records received from another agency that could properly be claimed by
that agency in responding to a request.
Sec. 613.6 Other rights and services.
Nothing in this subpart shall be construed to entitle any person,
as of right, to any service or to the disclosure of any record to which
such person is not entitled under the Privacy Act.
[FR Doc. 05-10701 Filed 5-27-05; 8:45 am]
BILLING CODE 7535-01-M