[Federal Register Volume 84, Number 248 (Friday, December 27, 2019)]
[Notices]
[Pages 71459-71462]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-27944]


-----------------------------------------------------------------------

DEPARTMENT OF THE INTERIOR

Bureau of Reclamation

[DOI-2019-0008; R0810000, 20XR0680A1, RY.1541TT20153PATN]


Privacy Act of 1974; System of Records

AGENCY: Bureau of Reclamation, Interior.

ACTION: Notice of a modified system of records.

-----------------------------------------------------------------------

SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended, the Department of the Interior proposes to modify the Bureau 
of Reclamation Privacy Act system of records titled, ``INTERIOR/WBR-12, 
Inventions and Patents.'' This system of records administers the Bureau 
of Reclamation internal program that manages and tracks applications 
for inventions and patents submitted by Federal employees, individuals, 
and organizations who have submitted a report of invention to 
Reclamation or employees who are seeking to file and secure patents. 
The Bureau of Reclamation is proposing to add new routine uses, modify 
existing routine uses to provide clarification, update authorities for 
this system, update categories of individuals and categories of records 
to reflect the expanded scope of the system, and to provide general and 
administrative updates to all sections in accordance with the Office of 
Management and Budget Circular A-108, ``Federal Agency Responsibilities 
for Review, Reporting, and Publication under the Privacy Act.'' This 
modified system will be included in the Department of the Interior's 
inventory of record systems.

DATES: This modified system will be effective upon publication. New and 
modified routine uses will be effective January 27, 2020. Submit 
comments on or before January 27, 2020.

ADDRESSES: You may send comments identified by docket number [DOI-2019-
0008], by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for sending comments.
     Email: [email protected]. Include docket number 
[DOI-2019-0008] in the subject line of the message.
     U.S. Mail or Hand-Delivery: Teri Barnett, Departmental 
Privacy Officer, U.S. Department of the Interior, 1849 C Street NW, 
Room 7112, Washington, DC 20240.
    Instructions: All submissions received must include the agency name 
and docket number [DOI-2019-0008]. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Regina Magno, Associate Privacy 
Officer, Bureau of Reclamation, P.O. Box 25007, Denver, CO 80225, 
[email protected] or (303) 445-3326.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of the Interior (DOI), Bureau of Reclamation 
(Reclamation) maintains the ``INTERIOR/WBR-12, Inventions and Patents'' 
system of records. The purpose of this system is to administer an 
internal program to manage and track applications for inventions and 
patents submitted by Federal employees, individuals, and organizations 
(i.e., businesses, state and local governments, universities, non-
governmental organizations), who have submitted a report of invention 
to Reclamation or employees who are seeking to file and secure patents. 
Inventions may be developed solely by Reclamation employees or jointly 
with other Federal and/or other entities. The primary use of this 
system is to determine an inventor's rights to an invention, whether to 
file and secure a patent application for the invention, and to 
distribute a share of royalties for licensed inventions.
    Reclamation inventors may receive monetary awards for filing the 
patent application and issuing the patent. The U.S. Patent and 
Trademark Office issues a patent for 20 years and patent maintenance 
fees are paid at specific time periods to maintain the patent at the 
discretion of the Chief, Research and Development, Bureau of 
Reclamation. Reclamation inventors who have assigned their patent 
rights to DOI may receive a share of royalty payments from Reclamation.
    Reclamation is publishing this revised notice to update authorities 
for this system, update categories of individuals and categories of 
records to reflect the expanded scope of the system, and provide 
general and administrative updates to all sections in accordance with 
the Office of Management and Budget (OMB) Circular A-108, ``Federal 
Agency Responsibilities for Review, Reporting, and Publication under 
the Privacy Act.'' Additionally, Reclamation is modifying existing 
routine uses to provide additional clarity and transparency. Routine 
use A was modified to further clarify disclosures to the Department of 
Justice or other Federal agencies when necessary in relation to 
litigation or judicial proceedings. Routine uses B, D, and E have been 
modified to provide additional clarification on external organizations 
and circumstances where disclosures are compatible with the purpose of 
the system or are proper and necessary to administer an internal 
program to manage and track applications for inventions and patents 
submitted by Federal employees, individuals, and organizations (i.e., 
businesses, state and local governments, universities, non-governmental 
organizations) who have submitted a report of invention to Reclamation 
and/or employees who are seeking to file and secure patents. Modified 
routine use J and proposed routine use K allow Reclamation to share 
information with appropriate Federal agencies or entities when 
reasonably necessary to respond to a breach of personally identifiable 
information and to prevent, minimize, or remedy the risk of harm to 
individuals or the Federal Government, or assist an agency in locating 
individuals affected by a breach in accordance with OMB Memorandum M-
17-12, ``Preparing for and Responding to a Breach of Personally 
Identifiable Information''.
    Proposed new routine uses C, F, G, H, I, and L through P facilitate 
sharing of information with agencies and organizations to ensure the 
efficient

[[Page 71460]]

management of applications for inventions and patents, promote the 
integrity of the records in the system, or carry out a statutory 
responsibility of Reclamation or the Federal Government. Proposed 
routine use C facilitates sharing of information with the Executive 
Office of the President to resolve issues concerning individual's 
records. Routine use F allows Reclamation to share information with 
agencies when relevant for hiring and retention, or issuance of 
security clearance, license, contract, grant or benefit. Routine use G 
allows Reclamation to share information with the National Archives and 
Records Administration (NARA) to conduct records management 
inspections. Routine use H allows Reclamation to share information with 
external entities, such as state, territorial and local governments, 
and tribal organizations, as needed in response to court orders or for 
discovery purposes related to litigation. Routine use I allows 
Reclamation to share information with an expert, consultant, grantee, 
or contractor (including employees of the contractor) of DOI that 
performs services requiring access to these records on DOI's behalf to 
carry out the purposes of the system. Routine use L allows Reclamation 
to share information with the OMB during the coordination and clearance 
process in connection with legislative affairs. Routine use M allows 
Reclamation to share information with the Department of the Treasury to 
recover debts owed to the United States. Routine use N allows 
Reclamation to share information with the news media and the public if 
there is a legitimate public interest in the disclosure of the 
information. Routine use O allows Reclamation to share information with 
the U.S. Patent and Trademark Office for filing and issuing patent 
applications and patents. Routine use P allows Reclamation to share 
information with the Department of the Treasury, Internal Revenue 
Service, and state and local tax authorities to report miscellaneous 
income for tax reporting purposes for which an employee is or was 
subject to tax regardless of whether tax is or was withheld in 
accordance with Treasury Fiscal Requirements, as required.

II. Privacy Act

    The Privacy Act of 1974, as amended, embodies fair information 
practice principles in a statutory framework governing the means by 
which Federal agencies collect, maintain, use, and disseminate 
individuals' records. The Privacy Act applies to records about 
individuals that are maintained in a ``system of records.'' A ``system 
of records'' is a group of any records under the control of an agency 
from which information is retrieved by the name of an individual or by 
some identifying number, symbol, or other identifying particular 
assigned to the individual. The Privacy Act defines an individual as a 
United States citizen or an alien lawfully admitted for permanent 
residence. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DOI by complying with DOI Privacy Act regulations at 43 CFR 
part 2, subpart K, and following the procedures outlined in the Records 
Access, Contesting Record, and Notification Procedures sections of this 
notice.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the existence and character of each 
system of records that the agency maintains and the routine uses of 
each system. The revised Inventions and Patents system of records 
notice is published in its entirety below. In accordance with 5 U.S.C. 
552a(r), DOI has provided a report of this system of records to the 
Office of Management and Budget and to Congress.

III. Public Participation

    You should be aware that your entire comment including your 
personal identifying information, such as your address, phone number, 
email address, or any other personal identifying information in your 
comment, may be made publicly available at any time. While you may 
request to withhold your personal identifying information from public 
review, we cannot guarantee we will be able to do so.

SYSTEM NAME AND NUMBER:
    INTERIOR/Reclamation-12, Inventions and Patents.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records in this system are maintained at the Bureau of Reclamation, 
Denver Federal Center, 6th and Kipling, Denver, CO 80225-0007.

SYSTEM MANAGER(S):
    Chief, Research and Development, Bureau of Reclamation, Denver 
Federal Center, P.O. Box 25007, Denver, CO 80225-0007.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Stevenson-Wydler Innovation Act of 1980, 15 U.S.C. 3701, et 
seq., as amended; The Federal Technology Transfer Act of 1986, Public 
Law 99-502; Executive Order 12591, Facilitating Access to Science and 
Technology, as modified by Executive Order 12618, Uniform Treatment of 
Federally Funded Inventions; Executive Order 9397, Numbering System for 
Federal Accounts Relating to Individual Persons, as modified by 
Executive Order 13478, Amendments to Executive Order 9397 Relating to 
Federal Agency Use of Social Security Numbers; and 26 U.S.C., Internal 
Revenue Code.

PURPOSE(S) OF THE SYSTEM:
    The primary purpose of the system is to manage and track 
applications for inventions and patents submitted by Federal employees, 
individuals, and organizations (i.e., private organizations, state and 
local governments, universities, and other organizations) who have 
submitted a report of invention to Reclamation or are seeking to file 
and secure patents. This system enables Reclamation to determine the 
inventor's rights to an invention, whether to file and secure a patent 
application for the invention, and to distribute a share of royalties 
to inventors for licensed inventions.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by the system include Federal employees, 
individual members of the public, and individuals acting on behalf of 
state and local government, private organizations, universities, or 
other organizations who have submitted reports of inventions to 
Reclamation for the purpose of filing and securing patents. This system 
contains records pertaining to state and local governments, private 
organizations, and other business entities that are not subject to the 
Privacy Act. However, records pertaining to individuals acting on 
behalf of an organization may reflect personal information that is 
subject to the Privacy Act.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains records related to inventions such as 
descriptions and/or drawings of the invention in the patent application 
and information regarding the applicant that submitted a report of 
invention or is seeking to file a patent. Records contain information 
such as name, home or business address, personal or business phone 
number, personal or business email address, grade level for Federal 
employees, job title, project name, project title, patent application 
number, patent number, organization information, banking or financial 
information of the inventor to facilitate

[[Page 71461]]

royalty payments, and any information related to the processing of 
patents and royalty payments such as amount of shares or disbursements. 
Tax Identification Numbers or Social Security numbers may be collected 
and maintained in order to process royalty payments to individuals or 
organizations and to submit Form 1099-MISC, Miscellaneous Income, to 
the Internal Revenue Service for tax reporting purposes. Records in 
this system may also include information on Reclamation officials who 
process or approve applications, or otherwise manage or oversee the 
invention and patent process.

RECORD SOURCE CATEGORIES:
    Records in this system are obtained from Federal employees, 
individual members of the public, and individuals acting on behalf of 
state and local government, private organizations, universities, or 
other organizations that have submitted a report of inventions to 
Reclamation and/or are seeking to file and secure patents, and 
Reclamation officials who process or approve applications, or otherwise 
manage or oversee the invention and patent process.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DOI as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including Offices of the 
U.S. Attorneys, or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body, 
when it is relevant or necessary to the litigation and one of the 
following is a party to the litigation or has an interest in such 
litigation:
    (1) DOI or any component of DOI;
    (2) Any other Federal agency appearing before the Office of 
Hearings and Appeals;
    (3) Any DOI employee or former employee acting in his or her 
official capacity;
    (4) Any DOI employee or former employee acting in his or her 
individual capacity when DOI or DOJ has agreed to represent that 
employee or pay for private representation of the employee; or
    (5) The United States Government or any agency thereof, when DOJ 
determines that DOI is likely to be affected by the proceeding.
    B. To a congressional office when requesting information on behalf 
of, and at the request of, the individual who is the subject of the 
record.
    C. To the Executive Office of the President in response to an 
inquiry from that office made at the request of the subject of a record 
or a third party on that person's behalf, or for a purpose compatible 
with the reason for which the records are collected or maintained.
    D. To any criminal, civil, or regulatory law enforcement authority 
(whether Federal, state, territorial, local, tribal or foreign) when a 
record, either alone or in conjunction with other information, 
indicates a violation or potential violation of law--criminal, civil, 
or regulatory in nature, and the disclosure is compatible with the 
purpose for which the records were compiled.
    E. To an official of another Federal agency to provide information 
needed in the performance of official duties related to reconciling or 
reconstructing data files or to enable that agency to respond to an 
inquiry by the individual to whom the record pertains.
    F. To Federal, state, territorial, local, tribal, or foreign 
agencies that have requested information relevant or necessary to the 
hiring, firing or retention of an employee or contractor, or the 
issuance of a security clearance, license, contract, grant or other 
benefit, when the disclosure is compatible with the purpose for which 
the records were compiled.
    G. To representatives of the National Archives and Records 
Administration (NARA) to conduct records management inspections under 
the authority of 44 U.S.C. 2904 and 2906.
    H. To state, territorial and local governments and tribal 
organizations to provide information needed in response to court order 
and/or discovery purposes related to litigation, when the disclosure is 
compatible with the purpose for which the records were compiled.
    I. To an expert, consultant, grantee, or contractor (including 
employees of the contractor) of DOI that performs services requiring 
access to these records on DOI's behalf to carry out the purposes of 
the system.
    J. To appropriate agencies, entities, and persons when:
    (1) DOI suspects or has confirmed that there has been a breach of 
the system of records;
    (2) DOI has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DOI (including 
its information systems, programs, and operations), the Federal 
Government, or national security; and
    (3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DOI's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    K. To another Federal agency or Federal entity, when DOI determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in:
    (1) Responding to a suspected or confirmed breach; or
    (2) preventing, minimizing, or remedying the risk of harm to 
individuals, the recipient agency or entity (including its information 
systems, programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    L. To the Office of Management and Budget (OMB) during the 
coordination and clearance process in connection with legislative 
affairs as mandated by OMB Circular A-19.
    M. To the Department of the Treasury to recover debts owed to the 
United States.
    N. To the news media and the public, with the approval of the 
Public Affairs Officer in consultation with counsel and the Senior 
Agency Official for Privacy, where there exists a legitimate public 
interest in the disclosure of the information, except to the extent it 
is determined that release of the specific information in the context 
of a particular case would constitute an unwarranted invasion of 
personal privacy.
    O. To the U.S. Patent and Trademark Office to submit patent 
applications and facilitate the filing, issuance and maintenance of 
patent applications and patents.
    P. To the Department of the Treasury, Internal Revenue Service, and 
state and local tax authorities to report miscellaneous income for tax 
reporting purposes as required under 26 U.S.C. 3402 and 26 CFR 601, for 
which an employee is or was subject to tax regardless of whether tax is 
or was withheld in accordance with Treasury Fiscal Requirements, as 
required.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be 
made from this system to consumer reporting agencies as defined in the 
Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims 
Act of 1966 (31 U.S.C. 3701(a)(3)).

[[Page 71462]]

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Paper records are contained in file folders stored in locked file 
cabinets at secured Reclamation facilities. Electronic records are 
contained in removable drives, computers, email, and electronic 
database(s).

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by name, project name, title, patent 
application number, or patent number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records in this system are currently maintained in accordance with 
the Bureau of Reclamation Records Retention Schedule LAW-6.00--
Inventions, Patents, and Copyrights (N1-115-94-9), which has been 
approved by NARA. This record schedule covers case files pertaining to 
inventions and patents, including correspondence and data supporting 
invention reports on patent applications. The disposition for these 
records is temporary and the records are cutoff at the end of each 
year. Paper, film, and electronic records are transferred to the 
Federal Record Center 10 years after cutoff or when volume warrants. 
The Federal Record Center will destroy these records 20 years after 
cutoff.
    A new Departmental Records Schedule (DRS) has been submitted to 
NARA and is pending approval. Once NARA approves the DRS, the records 
related to this system of records will be maintained in accordance with 
DRS: 4.4.13 Legal--Litigation and Adjudication--Judicial 20 years. 
These files are temporary. Files are cutoff on final decision (when 
decision is made and all opportunities for appeal are settled/expired). 
Files are destroyed 20 years after cutoff.
    Paper records are disposed of by shredding or pulping, and records 
contained on electronic media are degaussed or erased in accordance 
with the applicable records retention schedule, 384 Department Manual 1 
and NARA guidelines.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    The records contained in this system are safeguarded in accordance 
with 43 CFR 2.226 and other applicable security rules and policies. 
Records are accessible only by authorized DOI employees, and other 
Federal Government agencies and contractors who have contractual 
agreements with Reclamation to conduct activities related to inventions 
and patents. During normal hours of operation, paper records are 
secured in locked file cabinets under the control of authorized 
personnel. Computers and servers on which electronic records are stored 
are located in secured DOI and/or contractor facilities with physical, 
technical, and administrative levels of security such as access codes, 
security codes, and security guards, to prevent unauthorized access to 
the DOI network and information assets. Access to DOI networks and data 
requires a valid username and password, and is limited to DOI personnel 
and/or contractors who have a need to know of the information for the 
performance of their official duties. Access to contractor's networks 
and data requires restricted access limited to authorized personnel.
    Computerized records systems follow the National Institute of 
Standards and Technology privacy and security standards as developed to 
comply with the Privacy Act of 1974 as amended, 5 U.S.C. 552a; the 
Paperwork Reduction Act of 1995, Public Law 104-13; the Federal 
Information Security Modernization Act of 2014, Public Law 113-283, as 
codified at 44 U.S.C. 3551, et seq.; and the Federal Information 
Processing Standard 199, Standards for Security Categorization of 
Federal Information and Information Systems. Security controls include 
user identification, passwords, database permissions, encryption, 
firewalls, audit logs, and network system security monitoring, and 
software controls. System administrators and authorized personnel are 
trained and required to follow established internal security protocols 
and must complete all security, privacy, and records management 
training and sign the DOI Rules of Behavior.

RECORD ACCESS PROCEDURES:
    An individual requesting records on himself or herself should send 
a signed, written inquiry to the System Manager identified in this 
notice. The request must include the specific bureau or office that 
maintains the record to facilitate the location of the applicable 
records. The request envelope and letter should both be clearly marked 
``PRIVACY ACT REQUEST FOR ACCESS.'' A request for access must meet the 
requirements of 43 CFR 2.238.

CONTESTING RECORD PROCEDURES:
    An individual requesting corrections or the removal of material 
from his or her records should send a signed, written request to the 
System Manager as identified in this notice. The request must include 
the specific bureau or office that maintains the record to facilitate 
the location of the applicable records. A request for corrections or 
removal must meet the requirements of 43 CFR 2.246.

NOTIFICATION PROCEDURES:
    An individual requesting notification of the existence of records 
on himself or herself should send a signed, written inquiry to the 
System Manager as identified in this notice. The request must include 
the specific bureau or office that maintains the record to facilitate 
the location of the applicable records. The request envelope and letter 
should both be clearly marked ``PRIVACY ACT INQUIRY.'' A request for 
notification must meet the requirements of 43 CFR 2.235.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None. Pursuant to 5 U.S.C. 552a(d)(5), the Privacy Act does not 
entitle an individual to access information compiled in reasonable 
anticipation of a civil action or proceeding related to patent 
litigation cases.

HISTORY:
    64 FR 40894 (July 28, 1999); modification published 73 FR 20949 
(April 17, 2008).

Teri Barnett,
Departmental Privacy Officer, Department of the Interior.
[FR Doc. 2019-27944 Filed 12-26-19; 8:45 am]
BILLING CODE 4332-90-P