[Federal Register Volume 70, Number 142 (Tuesday, July 26, 2005)]
[Rules and Regulations]
[Pages 43068-43070]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-14656]


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NATIONAL SCIENCE FOUNDATION

45 CFR Part 613

RIN RIN 3145-AA43


Changes to Exemptions Under CFR Part 613--Privacy Act Regulations

AGENCY: National Science Foundation.

ACTION: Final rule.

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SUMMARY: This final rule will amend the Privacy Act regulations at 45 
CFR 613.5, Exemptions, by adding a new subsection (g), Statistical 
records. The amendment exempts three systems of NSF statistical 
records, ``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) pursuant to Privacy Act exemption (k)(4), 5 
U.S.C. 552a(k)(4). Exemption (k)(4) permits exemption if the system of 
records is ``required by statute to be maintained and used solely as 
statistical records.'' The three named NSF/Science Resource Studies 
systems of records contain statistical data required by subsection 
14(i) of the NSF Act of 1950, as amended, and Title V of the 
Confidential Information Protection and Statistical Efficiency Act of 
2002 (CIPSEA), to be used for statistical purposes only, and thus meet 
the requirements of exemption (k)(4).

DATES: Effective Date: This amendment will be effective August 1, 2005.

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.

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

SUPPLEMENTARY INFORMATION:

Background

    During the public comment period, the Foundation received one 
comment on an existing section of the regulation to which no change was 
proposed. No comments were received on the proposed addition of 
subsection 613.5(g). The NSF publishes its Final Regulation as 
proposed.

List of Subjects in 45 CFR Part 613

    Privacy.


0
For the reason stated in the preamble, the National Science Foundation 
revises 45 CFR part 613 as follows:

PART 613--PRIVACY ACT REGULATIONS

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.


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 
correction 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 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 www.access.gpo/su--docs/aces/
PrivacyAct.shtml.
    (c) Verification of identity. When requesting access to records 
about yourself, NSF requires that you verify your identity 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 either 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

[[Page 43069]]

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 identity and 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 individuals' 
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) Requests 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 designee, as the individual responsible for the denial 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 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 record 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 wording 
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

[[Page 43070]]

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 reciept 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)(6), 
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 purpose 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'' 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.

Amy Northcutt,
Deputy General Counsel.
[FR Doc. 05-14656 Filed 7-25-05; 8:45 am]
BILLING CODE 7555-01-M