[Federal Register Volume 86, Number 214 (Tuesday, November 9, 2021)]
[Notices]
[Pages 62217-62219]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24487]


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

NATIONAL SCIENCE FOUNDATION


Privacy Act of 1974; System of Records

AGENCY: National Science Foundation.

ACTION: Notice of a new system of records.

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

SUMMARY: The National Science Foundation (NSF) is creating a new system 
of records: NSF-77 Data Analytics Application Suite. This system is a 
vital step in NSF's commitment to maintaining U.S. leadership across 
all fields of science, technology, engineering, mathematics (STEM), and 
STEM education, and doing so with efficiency, openness, and 
transparency. The new system of records will aggregate, link, and 
analyze information reported by individuals and organizations 
participating in NSF-supported activities along with published 
information related to the research enterprise. More comprehensive 
information on NSF-funded research outcomes and the STEM workforce will 
advance NSF's understanding of its return on investments and the 
evolution of the scientific landscape. This system will also enable NSF 
to uphold the scientific community's core values of openness, 
transparency, honesty, equity, fair competition, and objectivity.

DATES: Persons wishing to comment on the changes set out in this notice 
may do so on or before December 9, 2021.
    Effective Date: This action will be effective without further 
notice on December 9, 2021 unless modified by subsequent notice to 
incorporate comments received from the public.

ADDRESSES: You may submit comments, identified by [INSERT DOCKET 
NUMBER] by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: The Chief Data Officer, Dorothy Aronson, at 
[email protected]. Include [INSERT DOCKET NUMBER] in the subject line of 
the message.
     Mail: Dorothy Aronson, Chief Data Officer, Office of 
Information and Resource Management, National Science Foundation, 2415 
Eisenhower Ave., Alexandria, VA 22331.
    Instructions: NSF will post all comments on the NSF's website 
(https://www.nsf.gov/policies/privacy_act.jsp). All comments submitted 
in response to this Notice will become a matter of public record. 
Therefore, you should submit only information that you wish to make 
publicly available.

FOR FURTHER INFORMATION CONTACT: If you wish to submit general 
questions about the proposed new system of records NSF-77, please 
contact Dorothy Aronson, Chief Data Officer, at [email protected].

SUPPLEMENTARY INFORMATION: As part of the current proposal review and 
funding process, Principal Investigators (PIs) and other senior 
personnel already provide their biographic information (``Biographical 
Sketch''), Current and Pending Support information, and Collaborator 
and Other Affiliation information in their proposal submissions to NSF. 
PIs are also required to submit annual project reports describing 
funded activities. These researcher-supplied details would be matched 
to scientific literature from scientific journals along with public 
information on patent grants supplied by the U.S. Patent Office 
(USPTO).

SYSTEM NAME AND NUMBER:
    Data Analytics Application Suite, NSF-77.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    National Science Foundation; 2415 Eisenhower Ave.; Alexandria, VA 
22314.

SYSTEM MANAGER(S):
    The Data Analytics Application Suite will be overseen by the Chief 
Data Officer.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Data Analytics Application Suite is critical for NSF to 
appropriately collect, combine, and utilize information obtained from 
individuals who interact with NSF and information that is publicly 
available to meet NSF's analysis and evaluation requirements consistent 
with the following Executive Order and laws: Foundations for Evidence-
Based Policymaking Act of 2018 Evidence (44 U.S.C. 3520); Federal Data 
Strategy (OMB, Memorandum 19-18, 19-23); Restoring Trust in Government 
Through Scientific Integrity and Evidence-Based Policymaking (EOP, 86 
FR 8845); National Defense Authorization Act FY20 (Pub. L. 116-92 Sec. 
1746); and the National Science Foundation Act of 1950 (Pub. L. 507-
81).

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to enhance NSF's capabilities to 
collect and analyze data about the scientific research enterprise 
(participants, outputs, and outcomes) to better assess the 
effectiveness of NSF's programs and inform funding and policy 
decisions.
    This mission-critical challenge requires gold standard data and 
analytic techniques such as bibliometrics and network analysis that 
build upon pre-existing information provided by individuals who 
interact with NSF, as described in SORNs NSF-12, NSF-50, NSF-51, and 
NSF-59. These systems collect proposal, participant, fellowship, and 
reviewer information, and can be paired in the Data Analytics 
Application Suite with public publication records, patent information, 
co-author connections and other related information (see categories). 
Such pairing of information is necessary for NSF to understand on an 
organizational, national, and global level the outcomes of its grants 
to the research community.

[[Page 62218]]

    Information collected in the Data Analytics Application Suite may 
be utilized for the following purposes:
    (1) To empower NSF's portfolio management and merit review process 
by providing program officers and leadership with analytics tools that 
enhance their understanding of existing decision criteria, PI capacity 
and potential overlap/duplication of proposals and awards.
    (2) To evaluate impact and return on investment of awards.
    (3) To provide necessary analyses for strategic priorities such as 
science and research integrity, security, equity, and partnerships.
    (4) To understand the dynamics of the global scientific landscape, 
explore opportunities for investment and collaboration, and inform 
research conducted for NSF.
    (5) To support NSF's function as a leading federal agency for 
graduate student funding by tracking career development, mentorship, 
and outcomes of education grants and other training activities.
    (6) To merge internal data to facilitate agency organizational 
efficiency and portfolio analysis.
    (7) To identify inconsistencies in information reported by 
individuals to NSF related to submitted proposals, terms and 
conditions, and project reports of an NSF award or other funding 
opportunity.
    (8) To inform pre-onboarding and onboarding evaluations of NSF 
staff. For the purpose of this SORN, `staff' applies to NSF employees, 
contractors, Intergovernmental Personnel Act (IPA) assignees, and 
Visiting Scientists, Engineers, and Educators (VSEEs), as well as 
fellows and interns.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The system will include information on the following groups of 
individuals: PIs and senior personnel submitting proposals to NSF; 
graduate students, postdoctoral researchers and undergraduate students 
who have either participated in NSF funded research, or received 
funding from NSF; fellows funded by NSF; researchers who have published 
academic articles or other related material in the public domain; 
individuals who publish media related to science and technology; 
individuals who publicly report work and titles in science and 
technology related sectors (industry, non-profits, education, 
governments).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records will be collected to connect NSF proposals, award, and 
participant information to dimensions including publication record and 
career development. Combined, the Data Analytics Application Suite will 
include the following: Proposal and award information; annual and final 
project reports; research participants supported under NSF grants; 
research articles, conference presentations, reviews, protocols, 
datasets, and other DOI-citable S&T materials created by the author; 
co-author connections; citations of other papers present in the 
author's publications as well as citations of the item by future 
publications; funded awards from other agencies that have supported the 
author's work; patents filed; job positions and titles obtained, as 
displayed in public platforms; undergraduate, graduate and postdoctoral 
training; academic, professional and institutional appointments; 
mainstream articles and other media sources; publication content 
(abstract, grant acknowledgement, etc.)

RECORD SOURCE CATEGORIES:
    Proposal and fellowship Information is supplied by individuals at 
time of proposal submission. In the case of awardees, updates are 
submitted annually to NSF in the form of annual and final project 
reports. Publication and patent information published by PIs will be 
obtained from third parties that compile related public information. 
Such resources include, but are not limited to, Clarivate (Web of 
Science), Elsevier (Scopus), Dimensions, USPTO, PubMed, arxiv 
databases, ORCID, and Google Scholar.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The following NSF standard routine uses apply:
    1. Members of Congress. Information from a system may be disclosed 
to congressional offices in response to inquiries from the 
congressional offices made at the request of the individual to whom the 
record pertains.
    2. Freedom of Information Act/Privacy Act Compliance. Information 
from a system may be disclosed to the Department of Justice or the 
Office of Management and Budget in order to obtain advice regarding 
NSF's obligations under the Freedom of Information Act and the Privacy 
Act.
    3. Counsel. Information from a system may be disclosed to NSF's 
legal representatives, including the Department of Justice and other 
outside counsel, where the agency is a party in litigation or has an 
interest in litigation, including when any of the following is a party 
to litigation or has an interest in such litigation: (a) NSF, or any 
component thereof; (b) any NSF employee in his or her official 
capacity; (c) any NSF employee in his or her individual capacity, where 
the Department of Justice has agreed to, or is considering a request 
to, represent the employee; or (d) the United States, where NSF 
determines that litigation is likely to affect the agency or any of its 
components.
    4. National Archives, General Services Administration. Information 
from a system may be disclosed to representatives of the General 
Services Administration and the National Archives and Records 
Administration (NARA) during the course of records management 
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
    5. Response to an Actual or Suspected Compromise or Breach of 
Personally Identifiable Information. Information from a system may be 
disclosed to appropriate agencies, entities, and persons when (a) NSF 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (b) NSF has 
determined that as a result of the suspected or confirmed compromise 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs (whether maintained by NSF or another agency 
or entity) that rely upon the compromised information; and (c) the 
disclosure made to such agencies, entities, and persons is reasonably 
necessary to assist with NSF's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    6. Courts. Information from a system may be disclosed to the 
Department of Justice or other agencies in the event of a pending court 
or formal administrative proceeding, when records are relevant to that 
proceeding, for the purpose of representing the government, or in the 
course of presenting evidence, or they may be produced to parties or 
counsel involved in the proceeding in the course of pre-trial 
discovery.
    7. Contractors. Information from a system may be disclosed to 
contractors, agents, experts, consultants, or others performing work on 
a contract, service, cooperative agreement, job, or other activity for 
NSF and who have a need to access the information in the performance of 
their duties or activities for NSF.
    8. Audit. Information from a system may be disclosed to government

[[Page 62219]]

agencies and other entities authorized to perform audits, including 
financial and other audits, of the agency and its activities.
    9. Law Enforcement. Information from a system may be disclosed to 
appropriate federal, state, or local agencies responsible for 
investigating, prosecuting, enforcing, or implementing a statute, rule, 
regulation, or order, to disclose pertinent information when NSF 
becomes aware of an indication of a violation or potential violation of 
civil or criminal law or regulation.
    10. Disclosure When Requesting Information. Information from a 
system may be disclosed to federal, state, or local agencies which 
maintain civil, criminal, or other relevant enforcement information or 
other pertinent information, such as current licenses, if necessary, to 
obtain information relevant to an agency decision concerning the hiring 
or retention of an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant, or other 
benefit.
    11. To the news media and the public when: (1) A matter has become 
public knowledge, (2) the NSF Office of the Director determines that 
disclosure is necessary to preserve confidence in the integrity of NSF 
or is necessary to demonstrate the accountability of NSF's officers, 
employees, or individuals covered by this system, or (3) the Office of 
the Director determines that there exists a legitimate public interest 
in the disclosure of the information, except to the extent that the 
Office of the Director determines in any of these situations that 
disclosure of specific information in the context of a particular case 
would constitute an unwarranted invasion of personal privacy.
    12. Information obtained from the system that demonstrate a 
potential inconsistency with NSF's disclosure requirements for 
submitted proposals, terms and conditions of an NSF award, and project 
reports, may be shared with the organizations that submitted the 
proposal to cross-reference and verify information.
    13. Information obtained from the system that demonstrate an 
inconsistency with NSF's disclosure requirements for submitted 
proposals, terms and conditions of an award, and project reports, may 
be disclosed to appropriate federal agencies to inform efforts related 
to national and research security. This includes law enforcement, 
security, and intelligence agencies, or relevant agency components. 
This includes OIG, FBI, CIA, DOD, DOJ, DHS, FDA, NSA, DIA, NRO, and 
ODNI. Additionally, information may be disclosed to federal agencies 
contributing to cross-governmental forums on research security such as 
the National Science and Technology Council Subcommittee on Research 
Security (OSTP, NIH, DOE, NASA, NIST, NOAA, USGS, FDA, OMB, NSC, USPTO, 
EPA, DOT, DoEd, USDA, DOS). All inconsistencies will be verified 
according to internal guidelines and review processes. For the purpose 
of this routine use, personally identifiable information shared with 
agencies will be restricted to information about senior personnel only 
and coordinated with the Office of the Inspector General (OIG).
    14. Information from the system may be shared with federal science 
and technology agencies to improve portfolio management, coordinate 
initiatives, and enhance the government's understanding of the 
scientific landscape.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are stored on electronic digital media. NSF proposal 
information, product information including publication and patent 
information, and Data Analytics Application Suite outputs will be 
located on secure NSF servers managed by the Division of Information 
Systems (DIS). The storage and integrity of public bibliometric and 
patent information is the responsibility of external vendors (e.g., 
Clarivate/Elsevier) and USPTO.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Information of individuals who interact with NSF will be retrieved 
by the individual's name, email, persistent identifiers (e.g., ORCID), 
or NSF identifier (NSF ID).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Data will be retained according to the General Records Schedules 
1.2, item 030, and 5.6, item 170.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    All data are maintained on NSF internal servers, which are managed 
under federal security protocols. The public bibliometric data and 
USTPO patent information is also stored in the same security certified 
environment.

RECORD ACCESS PROCEDURES:
    Individuals seeking to access their record information stored on 
the Data Analytics Application Suite are required to follow the 
procedures found at 45 CFR part 613.

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest their record information generated 
by the Data Analytics Application Suite are required to follow the 
procedures found at 45 CFR part 613.

NOTIFICATION PROCEDURES:
    Individuals request access or contesting records with the Data 
Analytics Application Suite will be notified according to the procures 
found at 45 CFR part 613.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

    Dated: November 4, 2021.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2021-24487 Filed 11-8-21; 8:45 am]
BILLING CODE 7555-01-P