[Federal Register Volume 78, Number 77 (Monday, April 22, 2013)]
[Notices]
[Pages 23810-23811]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-09335]


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SMALL BUSINESS ADMINISTRATION


 Privacy Act System of Records

AGENCY: Small Business Administration.

ACTION: Notice of new Privacy Act system of records and request for 
comment.

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SUMMARY: The Small Business Administration (SBA) is amending its 
Privacy Act Systems of Records to add a new System of Records to 
maintain the protected information collected from applicants and 
participants in the Small Business Innovation Research (SBIR) and Small 
Business Technology Transfer (STTR) Programs.

DATES: Written comments on the system of records must be received on 
before May 22, 2013. The notice will be effective without further 
publication at the end of the comment period, unless comments are 
received which require further amendments.

ADDRESSES: Written comments on this system of records should be 
directed to Edsel M. Brown, Assistant Administrator, Office of 
Technology, U.S. Small Business Administration, 409 3rd Street SW., 
Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Edsel M. Brown, Assistant Director, 
Office of Technology, at (202) 205-7343.

SUPPLEMENTARY INFORMATION: The Privacy Act (5 U.S.C. 552a) requires 
federal agencies to publish a notice of systems of records in the 
Federal Register whenever they establish a new system of records or 
make a significant change to an established system of records. Each 
notice must identify and describe the system of records the Agency 
maintains, the reasons why the agency collects the personally 
identifying information, the routine uses for which the agency will 
disclose such information outside the agency, and how individuals may 
exercise their rights under the Privacy Act to determine if, among 
other things, the system contains information about them. The 
information about each individual is called a ``record,'' and the 
system, whether manual or computer-based, is called a ``system of 
records.'' The Privacy Act applies to any record about an individual 
that is maintained in a system of records from which individually 
identifying information is retrieved by a unique identifier associated 
with each individual, such as a name or Social Security number.
SYSTEM NAME:
    TechNet--SBA 38.

SYSTEM LOCATION:
    SBA's Office of Technology, Office of Investment and Innovation, 
Small Business Administration, 409 Third Street SW., Washington, DC 
20416.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Persons who submit applications to or receive awards under the SBIR 
and STTR programs; principal investigators and key individuals working 
for SBIR and STTR applicants and awardees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Names, work phone numbers, and email addresses for owners, key 
individuals and principal investigators; individual owners' social 
security numbers; fraud related criminal history; history of civil 
fraud violations related to the SBIR and STTR programs; and the social 
and economic disadvantaged status of principal investigators.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 638.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, 
DISCLOSED OR REFERRED:
    a. To the court or administrative tribunal and other parties in 
litigation, when a suit or administrative action has been initiated.
    b. To a Congressional office from an individual's record, when that 
office is inquiring on the individual's behalf; the Member's access 
rights are no greater than the individual's.
    c. To SBA employees, volunteers, contractors, interns, grantees, 
and experts who have been engaged by SBA to assist in the performance 
of a service related to this system of records and who need access to 
the records in order to perform this activity. Recipients of these 
records shall be required to comply with the requirements of the 
Privacy Act of 1974, as amended, 5 U.S.C. Sec. 552a.
    d. To the Department of Justice (DOJ) when any of the following is 
a party to litigation or has an interest in such litigation, and the 
use of such records by DOJ is deemed by SBA to be relevant and 
necessary to the litigation, provided, however, that in each case,

[[Page 23811]]

SBA determines the disclosure of the records to DOJ is a use of the 
information contained in the records that is compatible with the 
purpose for which the records were collected: SBA, or any component 
thereof; any SBA employee in their official capacity; any SBA employee 
in their individual capacity where DOJ has agreed to represent the 
employee; or The United States Government, where SBA determines that 
litigation is likely to affect SBA or any of its components.
    e. In a proceeding before a court, or adjudicative body, or a 
dispute resolution body before which SBA is authorized to appear or 
before which any of the following is a party to litigation or has an 
interest in litigation, provided, however, that SBA determines that the 
use of such records is relevant and necessary to the litigation, and 
that, in each case, SBA determines that disclosure of the records to a 
court or other adjudicative body is a use of the information contained 
in the records that is a compatible purpose for which the records were 
collected: SBA, or any SBA component; any SBA employee in their 
official capacity; any SBA employee in their individual capacity where 
DOJ has agreed to represent the employee; or The United States 
Government, where SBA determines that litigation is likely to affect 
SBA or any of its components.
    f. To appropriate agencies, entities, and persons when: SBA 
suspects or has confirmed that the security or confidentiality of 
information in the system records has been compromised; SBA has 
determined that as a result of the suspected or confirmed compromise 
there is a risk of harm to economic or property interests, identify 
theft or fraud, or harm to the security of integrity of this system or 
other systems or programs (whether maintained by the Agency or entity) 
that rely upon the compromised information; and the disclosure made to 
such agencies, entities and persons is reasonably necessary to assist 
in connection with SBA's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    g. To Congress, the Government Accountability Office, agencies 
participating in the SBIR and the STTR programs (Department of 
Agriculture, Department of Commerce (National Institute of Standards 
and Technology and National Oceanic and Atmospheric Administration), 
Department of Defense, Department of Education, Department of Energy, 
Department of Health and Human Services, Department of Homeland 
Security, Department of Transportation, Environmental Protection 
Agency, National Aeronautics and Space Administration, and the National 
Science Foundation), Office of Management and Budget, Office of Science 
and Technology Policy, Office of Federal Procurement Policy, and other 
authorized persons who are subject to a use and nondisclosure agreement 
with the Federal Government covering the use of the database for the 
purposes of program evaluation and auditing.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Paper and electronic files.

RETRIEVAL:
    SBA will retrieve records using a unique tracking number assigned 
by SBA or another participating agency, as well as by company name.

SAFEGUARDS:
    The access to the system is restricted to registered users only, 
which include applicants, current awardees, and past-awardees of the 
SBIR or STTR programs from any of the 11 SBIR/STTR agencies, and 
registered Government Agency users. The access to information for the 
logged-in users is based on the role assigned to them during the 
registration process. These roles ensure users are only able to access 
their own records and not the records of other users.

RETENTION AND DISPOSAL:
    TechNet is a unique, mission critical system of the SBA. The input 
data is temporary and have a one year retention period. The data in the 
system have a permanent retention in accordance with NARA disposition 
authority approved under Request for Records Disposition Authority--N1-
309-03-001.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Administrator for Investment, Office of Investment and 
Innovation, 409 Third Street SW., Washington DC 20416.

NOTIFICATION PROCEDURE:
    Individuals may make record inquiries in person or in writing to 
the Systems Manager or SBA's Privacy Act Officer.

ACCESS PROCEDURES:
    Individuals who must create an account will furnish their Company's 
name, the authorized user's name, the company's EIN and DUNS numbers 
and email address of the principal of the firm. These details are to be 
submitted through a web-based registration form available on sbir.gov 
public-facing site. The company name, EIN, and name of the principal of 
the firm will be publicly available for all awardees as required by 
Congress.

CONTESTING PROCEDURES:
    Individuals seeking to contest or amend information maintained in 
this system of records should notify the SBA Privacy Act Officer, Lisa 
J. Babcock, 409 Third Street SW., Washington DC 20416, or System 
Manager listed above, state reason(s) for contesting any information in 
the record and provide proposed amendment(s).

SOURCE CATEGORIES:
    The SBIR/STTR applicants and awardees, including information 
submitted to the SBIR/STTR participating agencies. In addition, 
SBIR.gov system interfaces with System for Award Management (SAM) 
database to complete the authentication process for new small business 
users' registration.

    Dated: April 15, 2013.
Pravina Raghavan,
Acting Associate Administrator for Investment, Director, Office of 
Investments & Innovation.
[FR Doc. 2013-09335 Filed 4-19-13; 8:45 am]
BILLING CODE 8025-01-P