[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL SCIENCE FOUNDATION
TABLE OF CONTENTS
3. Application and Account for Advance of Funds
6. Doctorate Records Files
8. Employee Grievance File
10. Employee's Payroll Jacket
12. Fellowship and other Awards
13. Fellowship Payroll
16. Individual Retirement Record (SF 2806)
18. integrated Personnel System (PERS)
19. Medical Examination Records for Service in the Polar Regions.
22. NSF Payroll System
23. NSF Staff Biography
24. Official Passports
26. Personnel Security
34. Integrated Time and Attendance Reports(ITAS)
36. Personnel Tracking System (Antarctic)
38. Visa Applications and Alien Application for Consideration of
Waiver of Two-Year Foreign Residence Requirements--NSF. File
43. Doctorate Work History File.
48. Telephone Call Detail Program Records.
49. Frequent Traveler Profile.
50. Principal Investigator/Proposal File and Associated Records.
51. Reviewer/Proposal File and Associated Records.
52. Office of Inspector General Investigative Files.
53. Public Transportation Subsidy Program.
54. Reviewer/Fellowship and other Awards File and Associated
Records.
55. Debarment/Scientific Misconduct Files.
56. Antarctic Conservation Act Files.
57. NSF Delinquent Debtors File.
58. National Survey of Recent College Graduates and Follow-up
File.
59. Science and Technology Centers (STC) Database.
60. Antarctic Service Medals.
61. Diving Safety Records (Polar Regions).
62. Radiation Safety Records (Polar Regions).
63. Accident and Injury Reports (Antarctic).
64. Project Participant File.
65. NSF Electronic Payment File.
66. NSF Photo Identification Card System
67. Invention, Patent and Licensing Documents
68. Project Results Information Base.
69. Education and Training Records
70. NSF Visitor Credentials System
71. General Correspondence Files
NSF-3
System name:
Application and Account for Advance of Funds.
System location:
National Science Foundation, Division of Financial Management,
Voucher Unit, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system: 1
NSF current and former employees.
Categories of records in the system:
Name and address, amount requested, and voucher number.
Authority for maintenance of the system:
5 USC, Chapter 57; 31 USC 1512; Department of the Treasury Fiscal
Requirements Manual.
Purpose(s):
Establish and maintain Foundation records on administrative
control of funds relating to requests for advance of funds.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The Department of Treasury for payment of advance of funds.
2. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
3. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation in
which one of the following is a party or has interest: (a) NSF or any
of its components; (b) an NSF employee in his/her official capacity;
(c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
4. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically.
Retrievability:
The records are retrieved by Social Security Number.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours. A password is needed for
access to the computer system.
Retention and disposal:
Destroyed four years after settlement of advance.
System manager(s) and address:
Director Division of Financial Management, National Science
Foundation, 201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information is received from individual and his/her office.
System exempted from certain provisions of the act:
None.
NSF--6
System name: Doctorate Records File.
Security classification: None.
System location: National Academy of Sciences, 2101 Constitution
Avenue, NW, Washington, DC 20418; National Science Foundation, 1800 G
Street, NW, Washington, DC 20550; Department of Education, 400
Maryland Avenue, SW, Washington, DC 20202; National Endowment for the
Humanities, 1100 Pennsylvania Avenue, NW, Washington, DC 20506; and
National Institutes of Health, Buildings 1 and 12, 9000 Rockville
Pike, Bethesda, Md. 20892.
Categories of individuals covered by the system: The system
includes individuals who have received earned doctorates from U. S.
institutions since 1920. Limited information (name, field of degree
and institution) on persons receiving doctorates between 1920 and
1958 was compiled from public records. Information for persons
receiving degrees after 1958 has been supplied voluntarily by the
person receiving the degree. Some institution supply name and field
of degree for persons not providing any information.
Categories of records in the system: Name, Social Security number,
birth date, sex, citizenship, race, education history, sources of
financial support during graduate study, postgraduation plans.
Authority for maintenance of the system: Section I (3)(a)(6),
(4)(j)(1), (42 U.S.C. 1862); Section II (37) (42 U.S.C. 1865d);
National Science Foundation Act of 1950 as amended.
Purpose(s):
This system is used:
1. To provide a source of information on demographic and
educational characteristics and employment plans of recipients of
doctorate from American universities, in compliance with Foundation
responsibilities to monitor scientific and technical resources.
2. To provide indicators of the state of science and engineering
in the United States, as required by congressional mandate.
3. To report biennially on the participation of men and women by
race and by ethnic group and by discipline, in scientific and
technical fields, as required by congressional mandate.
4. To provide the sampling frame for the survey of doctorate in
the Scientific and Technical Personal Data System for the Foundation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information is given to the institution awarding degree, but
only for its own doctorates.
2. Disclosures may be made to the federal sponsors listed under
``System location`` above, their contractors and collaborating
researchers and their staff for the purpose of analyzing data and
preparing scientific reports and articles in order to accomplish the
research purpose for which the records are collected. All users of
the system are required to comply with the requirements of the
Privacy Act with respect to such records.
3. Records are disclosed to the National Institutes of Health for
review and evaluation of its programs.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Computer tapes and questionnaires are kept by the National
Academy of Sciences. Computer tapes are kept by the National Science
Foundation, Department of Education, National Endowment for the
Humanities and the National Institutes of Health.
Retrievability: Alphabetically by last name of individual.
Safeguards: Data are kept in secured areas with access limited to
authorized personnel. Questionnaires, in paper copy or in microfiche,
are kept in locked cabinets. Published findings are in formats which
preclude individual identification.
Retention and disposal: Computer tapes are kept indefinitely by the
National Academy of Sciences for use by the project in fulfilling its
responsibilities described above under ``Purposes``.
System manager(s) and address: Division Director, Science Resources
Studies, National Science Foundation, 1800 G St. NW, Washington, DC
20550.
Notification procedure:
To determine if a record exists, write to the system manager and
provide the following information:
1. System Name: Doctorate Records File.
2. Complete name at time degree was awarded.
3. Complete birth date and institution awarding degree (to
distinguish among duplicate names, if necessary).
Record access procedures: See ``Notification procedure'' above.
Contesting record procedures: See ``Notification procedure'' above.
Record source categories: Information obtained voluntarily from
individual.
Systems exempted from certain provisions of the act: None.
NSF-8
NSF System name:
Employee Grievance Files.
System location:
National Science Foundation, Division of Human Resource
Management, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF Employees.
Categories of records in the system:
These files contain all records pertaining to the administrative
grievance system for non-bargaining unit employees and the negotiated
grievance and arbitration procedures for employees in the bargaining
unit.
Authority for maintenance of the system:
5 CFR Part 771--Agency Administrative Grievance System, 5 U.S.C.
1302, 3301, 3302, and 7301.
Purpose(s):
Records are used in the processing and documentation of grievance
actions taken either by the Office or by agencies against employees
in accord with 5 CFR parts 315 (subparts H and I), 432, 752, or 754
of the Office's regulations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The Office of Personnel Management for routine examinations
and audits conducted.
2. A member of Congress regarding the status of an appeal,
complaint, or grievance if the Congressman is acting on the basis of
a request from the individual involved.
3. EEOC investigators and EEO counselors and investigators have
access during the conduct of investigations.
4. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Alphabetically by the last name of employee.
Safeguards:
Building employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Four years after close of case.
System manager(s) and address:
Director, Division of Human Resource Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR Part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information from the employee, supervisor hearing examiner,
witnesses, and others providing input to the particular case.
Exemptions claimed for the system:
None.
NSF-10
System name:
Employee's Payroll Jacket.
System location:
National Science Foundation, Division of Financial Management,
Payroll Section, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF current and former employees (including consultants).
Categories of records in the system:
Personnel actions, Federal and State Withholding Certificates,
Bond Authorizations, Health Benefit Forms, Life Insurance Forms,
Allotment Forms, and other similar items related to an employee's pay
and deductions.
Authority for maintenance of the system:
5 U.S.C. Part III, Government Organization and Employees;
Department of the Treasury Fiscal Requirements Manual; GAO manual,
Title 6--Pay, Leave and Allowances
Purpose(s):
This system enables the NSF to maintain all data which apply to
the salary, taxes, benefits and withholdings of each NSF employee and
consultant in a single location, and ensures that appropriate salary
adjustments are made.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Health insurance carriers for identifying employees covered by
plan.
2. Other agencies upon transfer of employee to identify
charitable allotments.
3. Financial institutions for the purpose of direct deposit.
4. The Department of Treasury for the purpose of locating missing
bonds or paychecks.
5. The Department of Treasury and to the taxing authorities in
the employee's state of residence (W-4 Forms).
6. The NSF Payroll System, which is described in NSF-22. The
routine uses listed there are also applicable to this record system.
7. Another Federal agency, a court, or a party in liitgaiton
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
8. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
9. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
10. The Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services
Federal Parent Locator System (FPLS) and Federal Tax Offset system:
For use in locating individuals and identifying their income
sources to establish paternity, establish and modify orders of
support and for enforcement.
For release to the Social Security Administration for verifying
social security numbers in connection with the operation of the FPLS
by the Office of Child Support Enforcement.
For release to the Department of Treasury for purposes of
administering the Earned Income Tax Credit Program (Section 12,
Internal Revenue Code of 1986) and verifying a claim with respect to
employment in a tax return.
11. Representatives of the General Services Administration and
the National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
12. Officials of labor organizations recognized under 5 U.S.C.
chapter 71, when relevant and necessary to their duties of exclusive
representation.
13. The Merit Systems Protection Board or the Office of the
Special Counsel in connection with appeals, investigation of alleged
or possible prohibited personnel practices, and such other function's
promulgated in 5 U.S.C. 1205 and 1206 or as may be authorized by law.
14. The Department of Labor in connection with an employee claim
for compensation or an injury or illness.
15. The American Federation of Government Employees and Local
3403 in connection with union dues paid by members.
16. To the extent any of these records are duplicative of those
described in OPM/GOVT-1 (General Personnel Records), the routine uses
described therein are also applicable.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records maintained in file folder.
Retrievability:
Alphabetically by last name of employee.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Destroyed five years after termination of employment.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
NSF Personnel Office, and forms prepared by individual employees.
Systems exempted from certain provisions of the act:
None.
NSF-12
System name:
Fellowships and Other Awards.
System location:
Numerous files are maintained in paper, microfiche, or electronic
form by individual offices and programs at the National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. Others are
maintained by NSF contractors, currently Oak Ridge Associated
Universities, PO Box 3010, Oak Ridge, Tennessee 37831-2010.
Categories of individuals covered by the system:
Persons applying or nominated for and/or receiving NSF support,
either individually or through an academic institution, including
fellowships or awards of various types.
Categories of records in the system:
Information varies depending on type of fellowship or award.
Normally the information includes personal information supplied with
the application or nomination; reference reports; transcripts and
Graduate Record Examination scores to the extent required during the
application process; abstracts; evaluations and recommendations,
review records and selection process results; administrative data and
correspondence accumulating during fellows' tenure; and other related
materials. There is a cumulative index of all persons applying for or
receiving NSF Graduate and NATO fellowships.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1869, 1870, 1880, 1881a and 20 U.S.C.
3915.
Purpose(s):
This system enables program offices to maintain appropriate files
and investigatory material in evaluating applications or nominations
for fellowships or other awards. NSF employees may access the system
to make decisions regarding which proposals to fund or awards to
make, and to carry out other authorized internal duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information from the system may be merged with other computer
files in order to carry out statistical studies. Disclosure may be
made for this purpose to NSF contractors and collaborating
researchers, other Government agencies, and qualified research
institutions and their staffs. The contractors are subject to the
provisions of the Privacy Act. The results of such studies are
statistical in nature and do not identify individuals.
2. Disclosure of information from the system may be made to
qualified reviewers for their opinion and evaluation of applicants or
nominees as part of the application review process; and to other
Government agencies needing data regarding applicants or nominees as
part of the application review process, or in order to coordinate
programs.
3. Information (such as name, Social Security Number, field of
study, and other information directly relating to the fellowship,
review status including the agency's decision, year of first award,
tenure pattern, start time, whether receiving international travel
allowance or a mentoring assistantship) is given to the applicant,
nominating, or grantee institution, or an institution the applicant,
nominee, or fellow or awardee is attending or planning to attend or
employed by for purposes of facilitating review or award decisions or
administering fellowships or awards. Notice of the agency's decision
may be given to nominators.
4. In the case of fellows or awardees receiving stipends directly
from the Government, information is transmitted to the Department of
Treasury for preparation of checks or electronic fund transfer
authorizations.
5. Fellows' or awardees' name, home institution, and field of
study may be released for public information/affairs purposes
including press releases.
6. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
7. Information from the system may be given to contractors,
grantees, volunteers, experts, advisors, and other individuals who
perform a service to or work on or under a contract, grant,
cooperative agreement, advisory committee, committee of visitors, or
other arrangement with or for the Federal government, as necessary to
carry out their duties. The contractors are subject to the provisions
of the Privacy Act.
8. Information from the system may be given to the Department of
Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
9. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding.
10. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following
is a party or has an interest: (a) NSF or any of its components; (b)
an NSF employee in his/her official capacity; (c) an NSF employee in
his/her individual capacity when the Department of Justice is
representing or considering representing the employee; or (d) the
United States, when NSF determines that litigation is likely to
affect the Agency.
11. Records from this system may be disclosed to representatives
of the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are kept in file folders. Some records are
maintained electronically or on microfiche, including records kept by
NSF contractors. Original application materials are kept at NSF.
Retrievability:
Alphabetically by applicant or nominee name.
Safeguards:
Building is locked during non-business hours. Records at NSF are
kept in rooms that are locked during non-business hours. Records
maintained by NSF contractors are kept in similar rooms and some
records are locked in cabinets. Records maintained in electronic form
are password protected.
Retention and disposal:
Files are maintained in accordance with approved record retention
schedules. For example, fellowship application files for awardees are
kept for 10 years after completion of fellowship or award, then
destroyed, while unsuccessful fellowship application files are
destroyed after three years; files of recipients of the Waterman
Award and National Medal of Science are permanent and eventually
retired to the National Archives; those of non-recipients are
destroyed after five years.
System manager(s) and address:
Division Director of particular office or program maintaining
such records, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230.
Notification procedure:
Contact the NSF Privacy Act Officer in accordance with procedures
found at 45 CFR Part 613. You can expedite your request if you
identify the fellowship or award program about which you are
interested. For example, indicate whether you applied for or received
a ``Graduate Fellowship'' or a ``Faculty Fellowship in Science'' as
opposed to merely saying you want a copy of your fellowship.
Record access procedures:
See ``Notification'' above.
Contesting record procedure:
See ``Notification'' above.
Record source categories:
Information supplied by or for individuals applying for,
nominated for, or receiving support; references; the Education
Testing Service; educational institutions supplying transcripts;
review records and administrative data developed during selection
process and award tenure.
Exemptions claimed for the system:
The portions of this system consisting of investigatory material
that would identify references, reviewers, or other persons supplying
evaluations of applicants or nominees for fellowships or other awards
(and where applicable, their proposals) have been exempted at 5 CFR
613 pursuant to 5 U.S.C. 552a(k)(5).
NSF-13
System name:
Fellowship Payroll.
System location:
National Science Foundation, Division of Financial Management,
Payroll Section, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Fellows under certain NSF Fellowship Programs being paid directly
by the Government.
Categories of records in the system:
Copies of fellowship award letter, acceptance form, starting
certificates, and records of payments of stipends.
Authority for maintenance of the system:
42 U.S.C. 1861; Department of the Treasury Fiscal Requirements
Manual; GAO Manual, Title 6--Pay, Leave and Allowances.
Purpose(s):
This system enables the NSF to maintain all data that apply to
the payment of fellowship payroll in a single location and ensures
that appropriate payments are made.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The Department of Treasury for the purpose of issuing the
payment directly to the financial account of the payee.
2. Financial institutions for purpose of direct deposit.
3. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
4. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
5. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders. Records are also
maintained electronically.
Retrievability:
Alphabetically by last name of Fellow.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Destroyed four years after termination of fellowship.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information obtained from Fellow.
Systems exempted from certain provisions of the act:
None.
NSF-16
System name:
Individual Retirement Record (SF-2806)..
System location:
National Science Foundation, Division of Financial Management,
Payroll Section, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Current NSF employees.
Categories of records in the system:
Salary, grade, status changes, yearly and year to date retirement
deductions.
Authority for maintenance of the system:
5 U.S.C. 8401. Government Organization and Employees; Department
of the Treasury Fiscal Requirements Manual; GAO Manual, Title 6--Pay,
Leave and Allowances
Purpose(s):
This system enables the NSF to maintain all data that apply to
the salary, and retirement withholdings of each NSF employee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from the system may be disclosed to:
1. The Office of Personnel Management annually or when employee
separates from NSF to update employee retirements records. Personnel
Management when employee separates from NSF.
2. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
3. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its component; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
4. The contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Employee's payroll number.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Retained until employee is separated then transferred to OPM.
System manager(s) and address:
Director, Division of Financial Management.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information obtained from the Personnel Office on Payroll
Summaries prepared every two weeks showing year-to-date amounts.
System exempted from certain provisions of the act:
None.
NSF-18
System name:
Integrated Personnel System (IPERS).
System location:
National Science Foundation, Division of Human Resource
Management, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Current and former NSF employees.
Categories of records in the system:
Individuals personal particular including such items as
appointment and position information, organization and job
identification information, education, and salary data. Personal
information such as name, home address and phone number of employee
and of the employee's designated emergency contact person is
maintained.
Authority for maintenance of the system:
Authority for maintenance of the system includes the following
with any revisions or amendments: 5 U.S.C. 1302, 2951, 3301, 3372,
4118, 8347 and other Executive Orders.
Purpose(s):
Creates documentation for the Official Personnel Folder (OPF).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses listed in OPM's System, OPM/Govt-1, ``General
Personnel Records,'' are applicable to this system.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are maintained electronically on the agency's internal
LAN.
Retrievability:
Employee's LAN ID or last name.
Safeguards:
A LAN and IPERS' password are necessary to access the computer.
Retention and disposal:
Records are maintained indefinitely as part of the history file
of employee.
System manager(s) and address:
Director, Division of Human Resource Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR Part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information for this system of records is extracted from the
employee Official Personnel Records.
Exemptions claimed for the system:
None.
NSF-19
System name:
Medical Examination Records for Service in the Polar Regions.
System location:
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA
22230; Antarctic Support Associates (ASA) and subcontractors, 61
Inverness Drive East, Suite 300, Englewood, CO 80112; U.S. Antarctic
facilities; Polar Ice Coring Office (PICO), University of Nebraska,
Lincoln, Nebraska.
Categories of individuals covered by the system:
This system covers all individuals being considered for Antarctic
assignment (under the auspices of the USAP), or for assignment to
selected, isolated locations in the Arctic region. Individuals
covered may include NSF and other government agency employees,
civilian contract employees, personnel conducting the research
supported by NSF or other entities, and members of the uniformed
services supporting NSF's polar research programs.
Note: Records concerning current and former federal employees are
also covered by OPM/GOVT-10.
Categories of records in the system:
Documents relating to pre-deployment physicals: Medical history,
clinical test results (e.g., blood, urine analyses, EKGs); physical
exam notes; dental exams, X-rays, dentist's notes; and notes by
medical reviewers determining medical qualifications. Includes
psychological screening records when performed on winter-over
candidates, and any additional tests/evaluation associated with
requests for medical waivers. Medical files, clinic notes, and
associated records created in the course of providing medical
treatment or consultation by any of the medical care providers in the
Arctic or Antarctia.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq., 42 U.S.C. 1870, 44 U.S.C. 3101.
Purpose(S)
The National Science Foundation's Office of Polar Programs is
responsible for ensuring that personnel traveling to Antarctia under
the auspices of the United States Antarctic Program (USAP) meet
certain medical standards, as outlined in 45 CFR part 675 (62 FR
31521 (June 10, 1997). Those traveling to selected, isolated
locations in the Arctic region must meet similar standards.
Candidates for deployment must undergo a medical and dental
examination to determine whether they are physically qualified for
deployment. Candidates who anticipate spending the austral winter in
Antarctica (where evacuation may be impossible) are subject to
additional evaluation, including a determination of psychological
adaptability to such an isolated environment. This medical screening
process requires that certain medical records be generated on
individuals participating in the USAP.
The records are used primarily for three purposes: (1) To
determine the individual's fitness for Arctic/Antarctic assignment;
(2) to assist in determining an appropriate course of medical/dental
treatment should the individual seek medical care with any medical
care provider while in the Arctic or Antarctica; and (3) to provide
documentation for addressing quality of care issues associated with
these medical functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Individuals involved in determining an individual's fitness
for deployment, or in providing medical services or treatment. Such
individuals include (a) designated medical care practitioners and
their administrative support personnel involved in determining an
individual's fitness for Arctic/Antarctic assignment, including
waiver requests; and (b) medical care providers in NSF-supported
stations and field camps in the polar regions where the individual is
assigned;
2. The personal physician or examining physician of the
individual about whom the records pertain when disclosure is
necessary to obtain additional information necessary to make a
determination on fitness, or provide medical treatment;
3. Medical experts either individually or as a panel to provide
expertise and advice on quality of medical care issues in the polar
regions;
4. Representatives of employing organizations, including academic
institutions, and investigators on a grant (if a prospective field
team member has requested a waiver) to inform them whether an
individual is approved for deployment or not.
5. An emergency point of contact designated by the individual
when the individual seeking deployment is unreachable and additional
information is needed to order to make a determination on a waiver
request before deployment deadlines, or when necessary to provide
medical treatment during deployment;
6. Federal, state, or local agencies, or foreign governments when
disclosure is necessary to obtain records in connection with an
investigation by the NSF;
7. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding, or when NSF determines that the litigation or proceeding
is likely to affect the Agency.
8. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are kept in locked file cabinets or area with
limited access. Records may also be prepared and maintained in
electronic format with password protection.
Retrievability:
The records are retrieved by the name of the individual or by the
individual's social security number.
Safeguards:
These records are available only to those persons whose official
duties require such access. They are kept in locked file cabinets or
locations with limited access. Electronic records are password
protected.
Retention and disposal:
Except for those records covered by OPM/GOVT-10, records are
destroyed approximately eight years after the individual's last
Antarctic or Arctic deployment.
System manager(s) and address:
Safety and Health Officer, Office of Polar Programs. Point of
contact: Associate Program Manager for Safety and Health, Polar
Research Support Section, Office of Polar Programs, Office of the
Director, National Science Foundation, 4201 Wilson Boulevard, Room
755, Arlington, VA 22230.
Notification procedure:
To determine whether this system of records contains a record
pertaining to the requesting individual, write to the system manager
at the above address.
Record access procedures:
See notification procedure.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in this system of records should write to the system manager at the
above address.
Record source categories:
Information in these records is obtained from individuals who
intend to deploy to the Arctic or Antarctica and from personal
physicians and medical examiners of the deploying individuals; from
NSF staff and NSF records; and from non-NSF persons and records, to
the extent necessary to carry out the duties described in the NSF
Medical Examination procedures. All individuals desiring to deploy to
the Arctic or Antarctica under the auspices of the National Science
Foundation must provide the requested information.
Systems exempted from certain provisions of the act:
None.
NSF-22
System name:
NSF Payroll System.
System location:
National Science Foundation, Division of Financial Management,
Payroll Section, 4201 Wilson Boulevard, Arlington, VA 22230. Backup
files are maintained at off-site location- First Federal Corporation,
4910 Massachusetts Avenue, NW, Suite 16, Washington DC 20016.
Categories of individuals covered by the system:
NSF current and former employees (including consultants).
Categories of records in the system:
Salary, grade, Social Security Number, home address, time and
attendance and other related information.
Authority for maintenance of the system:
5 U.S.C. Chapters 55 and 63; Department of the Treasury Fiscal
Requirements Manual; GAO Manual, Title 6--Pay, Leave and Allowances.
Purpose(s):
Computer System consisting of data base with all information
necessary to prepare NSF payroll, purchase of savings bonds, compute
leave balances, prepare W-2s, and other similar uses.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The Internal Revenue Service and the Social Security
Administration, and other taxing authorities (including such
authorities as the employees state of residence.)
2. The Department of Treasury for issuance of salary payments.
3. Financial organizations for the purpose of direct deposit.
4. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
5. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding
6. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
7. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
8. Officials of labor organizations recognized under 5 U.S.C.
chapter 71, when relevant and necessary to their duties of exclusive
representation.
9. The Merit Systems Protection Board or the Office of the
Special Counsel in connection with appeals, investigation of alleged
or possible prohibited personnel practices, and such other function's
promulgated in 5 U.S.C. 1205 and 1206 or as may be authorized by law.
10. The Department of Labor in connection with an employee claim
for compensation or an injury or illness.
11. The American Federation of Government Employees and Local
3403 in connection with union dues paid by members.
12. The Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services
Federal Parent Locator System (FPLS) and Federal Tax Offset system:
For use in locating individuals and identifying their income
sources to establish paternity, establish and modify orders of
support and for enforcement.
For release to the Social Security Administration for verifying
social security numbers in connection with the operation of the FPLS
by the Office of Child Support Enforcement.
For release to the Department of Treasury for purposes of
administering the Earned Income Tax Credit Program (Section 12,
Internal Revenue Code of 1986) and verifying a claim with respect to
employment in a tax return.
13. To state unemployment agencies in connection with claims for
unemployment benefits.
14. To the extent any of these records are duplicative of those
described in OPM/GOVT-1 (General Personnel Records), the routine uses
described therein are also applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically. Individual folders are
also maintained on each employee.
Retrievability:
May be retrieved by employee number, Social Security Number or
last name.
Safeguards:
NSF security guards. Building is locked during non-business hours
when guard is not on duty. Room in which records are kept is locked
during non-business hours. A password is needed to access the
computer system.
Retention and disposal:
Employee information is deleted at the end of the year in which
employee leaves the Foundation. Cumulative information is kept on
master tapes and maintained in NSF and at off-site location and
destroyed after five years.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information is taken from forms prepared by individuals, the
Personnel Office and Integrated Time and Attendance System (ITAS).
Systems exempted from certain provisions of the act:
None.
NSF-23
System name:
NSF Staff Biography.
System location:
National Science Foundation, Office of Legislative and Public
Affairs, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Executive NSF staff (Division Directors and above).
Categories of records in the system:
Biographical information, position held, education, memberships,
and publications.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870
Purpose(s):
To disseminate senior level officials biographical information
when requested.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to newspapers,
magazines, professional journals, and others.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Alphabetically by last name of employee.
Safeguards:
Building employs security guard. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Records on individuals destroyed when they leave Foundation
except in cases of extremely high level staff.
System manager(s) and address:
Director, Division of Public Affairs, Office of Legislative and
Public Affairs, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA, 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information is received from individual.
Systems exempted from certain provisions of the act:
None.
NSF-24
System name:
Official Passports.
System location:
National Science Foundation, Professional Travel Corporation (NSF
Contractor) Room 275, 4201 Wilson Boulevard, Arlington VA 22230.
Categories of individuals covered by the system:
Current NSF employees, consultants and invited guests.
Categories of records in the system:
Date and place of birth, nationality, next of kin, height, color
of hair and eyes, and photograph.
Authority for maintenance of the system:
42 U.S.C. 1870: 44 U.S.C. 3101.
Purpose(s):
To support official international visits by NSF staff,
consultants and visitors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Embassy for purpose of issuing visas.
2. The State Department for disposition when the passport expires
or the employee leases the Foundation.
3. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administration proceeding.
4. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
of its components; (b) and NSF employee in his/her official capacity;
(c) an NSF employee is his/her individual capacity when the
Department of Justice is Representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely the Agency.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are maintained in file folders and on diskettes and/or
magnetic tapes.
Retrievability:
Alphabetically by last name.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours. Passports are kept in
locked filing cabinet.
Retention and disposal:
Passports expire after five years and are then sent to the State
Department for disposition. Should employee retire or leave the
Foundation before passport expiration, the passport are, passports
are returned to the State Department for proper disposition.
System manager(s) and address:
Director, Division of Financial Management, Nation Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be notified in accordance with
procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information is received from individual.
Systems exempted from certain provisions of the act:
None.
NSF-26
System name:
Personnel Security.
System location:
National Science Foundation, Division of Human Resource
Management, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF employees, IPA's, Visiting Scientists, and NSF Contractors.
Categories of records in the system:
Categories of records in the system include: adjudication files,
databases, card files and file folders. Information in these records
include employee name, clearance level, date of clearance,
investigative report, investigation and security clearance
information.
Authority for maintenance of the system:
The Foundation's Personnel Security Program was established
pursuant to Executive Orders 10450, 123656, and 12968, Title 5 U.S.C.
sections 3301, 7312, 7531, and 7532.
Purpose(s):
The information is used track information on personnel security
clearances, and investigations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Security Officers of other Federal agencies.
2. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
3. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
4. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders, in a computerized
electronic database (NSF LAN), in a WORD file and Cardex file.
Retrievability:
Records are retrieved alphabetically by last name of employee.
Safeguards:
Building employes security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours.
Retention and disposal:
Destroyed 2 years after separation of employee.
System manager(s) and address:
Personnel Security Officer, NSF, Division of Human Resource
Management, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR Part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
From the individual and OPM investigations.
Exemptions claimed for the system:
None.
NFS-34
System name:
Integrated Time and Attendance System (ITAS).
System location:
National Science Foundation, Division of Financial Management,
Payroll Section, 4201 Wilson Boulevard, Arlington, VA 22230. Paper
copies may be maintained in individual offices.
Categories of individuals covered by the system:
NSF current and former employees (including consultants).
Categories of records in the system:
Records include documents related to employee's attendance,
leave, and overtime. It also includes Social Security Number.
Authority for maintenance of the system:
5 U.S.C., Chapters 61 and 63; Department of the Treasury
Requirements Manual; GAO manual, Title 6--Pay, Leave and Allowances
Purpose(s):
This system enables the NSF to maintain all data which apply to
the time and attendance of each NSF employee. Information
incorporated into the ``NSF Payroll System,'' NSF-22.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this systems may be disclosed to:
Information from this system is incorporated into the ``NSF
Payroll System'' described in NSF-22. The routine uses listed in that
system are also applicable to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically.
Retrievability:
Filed by NSF employee identification number during current pay
year and alphabetically by last name, thereafter.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Room in which records are
kept is locked during non-business hours. A password is needed to
access the computer system.
Retention and disposal:
Employee information is deleted at the end of the year in which
employee leaves the Foundation. Cumulative information is kept on
master tapes and maintained in NSF and at off-site location and
destroyed after five years.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information input by employee, verified by timekeeper and
approved by supervisor in individual offices.
Systems exempted from certain provisions of the act:
None.
NSF-36
System name:
Personnel Tracking System (Antarctic).
System location:
Antarctic Support Associates, 61 Inverness Drive East, Suite 300,
Englewood, CO 80112.
Categories of individuals covered by the system:
Individuals seeking entry to Antarctica under the auspices of the
United States Antarctic Program.
Categories of records in the system:
Records include documents related to the individual's deployment
and/or redeployment to the Antarctic, including but not limited to
home and business addresses, telephone numbers, passport and social
security numbers, clothing sizes, emergency contact information, and
medical and dental information. Records also include logistical and
administrative information concerning Antarctic deployment and
redeployment.
Authority for maintenance of the system:
16 U.S.C. 2401, et. seq., 42 U.S.C. 1870, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) Office of Polar Programs civilian contractors and their
subcontractors in connection with their responsibilities for
coordinating the administrative processing and tracking of persons
deploying to Antarctica. These responsibilities include proper
outfitting for deployment, facilitating medical clearances,
coordinating cargo handling and tracking, and maintaining emergency
contacts:
(2) Naval Support Force Antarctica (NSFA) and Air National Guard
medical personnel to track medical clearances;
(3) Family members, or other persons designated by the deploying
or deployed individual, in instances of emergency;
(4) Other Federal agencies providing transport, search and
rescue, and other logistical assistance to and from Antarctica. This
will include manifest information for captains or pilots transporting
U.S. Citizens to and from Antarctica (such as names, Social Security
numbers, and other deployment information);
(5) Other Federal agencies when the records are relevant to an
agency decision with regard to disciplinary or other administrative
actions concerning an employee;
(6) Academic or other organizations when the records are relevant
to an organizational decision with regard to disciplinary or other
administrative action concerning an employee;
(7) The Department of Justice or the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests;
(8) The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest; (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
(9) Federal, state, or local agencies, or foreign governments,
when disclosure is necessary to obtain records in connection with an
investigation by the NSF; and
(10) Representatives of the New Zealand government or other
foreign governments when deployment involves travel through, or use
of, New Zealand or other foreign government facilities, and the
information is necessary to ensure safe and efficient deployment.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in an electronic database.
Retrievability:
The records are retrieved by name, social security number, or by
other unique identifiers.
Safeguards:
Access to records are limited to those persons with a need to
know. The records are maintained in a database that is password
protected.
Retention and disposal:
The records are destroyed approximately eight years after the
individual's last Antarctica deployment.
System manager(s) and address:
Section Head, Polar Research Support Section, Office of Polar
Program, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230.
Notification procedure:
To determine whether this system of records contains records
pertaining to the requesting individual, contact the NSF Privacy Act
Officer in accordance with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories.
Information in these records is obtained from individuals seeking
deployment to Antarctica, NSF employees, contractors, and uniformed
service employees.
System exempted from certain provisions of the act:
None
NSF-38
System name:
Visa Applications and Alien Application for Consideration of
Waiver of Two-Year Foreign Residence Requirements--NSF.
System location:
National Science Foundation, Division of International Programs,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Aliens subject to conditions of section 212(e) of the Immigration
and Nationality Act, seeking waiver of two-year foreign residence
requirements, in order to apply for immigrant or temporary worker
status.
Categories of records in the system:
Curriculum vitae, next of kin, correspondence and employment
data.
Authority for maintenance of the system:
Section 212(e) of the Immigration and Nationality Act.
Purpose(s):
To determine whether NSF supports the waiver request.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be released to:
1. The U.S. Information Agency, the agency responsible for
issuing the visas.
2. The institution or organization requesting the waiver.
3. Contractors, grantees, volunteers and other individuals who
perform a service to or perform on or under a contract, grant,
cooperative agreement, or other arrangement for the Federal
government, as necessary to carry out their duties.
4. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
7. NSF analysis and recommendation is released to the
organization/institution requesting the waiver.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Alphabetically by last name of alien.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when guard is not on duty. Records are in locked rooms
after business hours. Access is limited to persons whose official
duties require their use.
Retention and disposal:
Records are held at NSF approximately two years after close out
of case.
Records are destroyed 10 years after close of alien case folder.
System manager(s) and address:
Director, Division of International Programs, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
The individual and U.S. host institution (employer).
Systems exempted from certain provisions of the act:
None.
NSF-43
System name: Doctorate Work History File.
Security classification:
None.
System location:
National Academy of Sciences, 2101 Constitution Avenue, NW,
Washington, DC 20418; National Institutes of Health, Buildings 1 and
12, 9000 Rockville Pike, Bethesda, MD 20892; and Department of
Energy, 1000 Independence Avenue SW, Washington, DC 20585
Categories of individuals covered by the system:
The system includes individuals holding the Ph.D. and other
equivalent earned doctoral degrees and located in the United States.
The surveys are directed to samples of this population. Currently,
the areas of science, engineering, and the humanities are included.
Categories of records in the system:
Demographic, educational, and professional characteristics of
doctorate holders. Included are such parameters as age, race,
geographic location, earned degrees, major subject of degree,
employment status, fields of employment, type of employer, primary
work activity, and salary.
Authority for maintenance of the system:
Authority for collection of information from scientists and
engineers is provided by section I (3)(a)(6), (4)(j)(1) (42 U.S.C.
1862); Section II (37) (42 U.S.C. 1885d); National Science Foundation
Act of 1950, as amended.
Purpose(s):
This system is used:
1. To provide a source of information on demographic,
educational, and employment characteristics of doctorate-holders in
the United States, in compliance with Foundation responsibilities to
monitor scientific and technical resources.
2. To provide indicators of the state of science and engineering
in the United States, as required by congressional mandate.
3. To report biennially on the participation and employment of
men and women by race and by ethnic group, in scientific and
technical fields, as required by congressional mandate.
4. To provide the data base of doctorate-holders in science and
engineering for the Scientific and Technical Personnel Data System
maintained by the Foundation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Disclosure may be made to the federal sponsors listed under
``System location'' above, their contractors and collaborating
researchers and their staff for the purpose of analyzing data and
preparing scientific reports and articles in order to accomplish the
research purpose for which the records are collected. All users of
the system are required to comply with the requirements of the
Privacy Act with respect to such records.
2. Records are disclosed to the National Institutes of Health for
review and evaluation of its programs.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer tapes and questionnaires are kept by the National
Academy of Sciences. Computer tapes are kept by the National Science
Foundation, the National Institutes of Health, and the Department of
Energy.
Retrievability:
Alphabetically by last name of individuals.
Safeguards:
Data are kept in secured areas with access limited to authorized
personnel. Questionnaires, in paper copy or in microfiche, are kept
in locked cabinets. Published findings are in formats which preclude
individual identification.
Retention and disposal:
Computer tapes are kept indefinitely by the National Academy of
Sciences for use by the project in fulfilling its responsibilities
described above under ``Purposes''.
System manager(s) and address:
Division Directors, Science Resources Studies, National Science
Foundation, 1800 G St. NW, Washington, DC 20550.
Notification procedure:
To determine if a record exists, write to the system manager and
provide the following information:
1. System Name: Doctorate Work History File
2. Complete name at time degree was awarded
3. Complete birth data and institution awarding degree (to
distinguish among duplicate names, if necessary).
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information obtained voluntarily from individual.
Systems exempted from certain provisions of the act:
None.
NSF-48
System name:
Telephone Call Detail Program Records
System location:
Division of Information Systems, National Science Foundation,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
All employees (permanent, temporary, part or full time) and all
contractors, sub-contractors, consultants, volunteers and other
persons who use the National Science Foundation telephone system or
who make telephone calls charged to NSF.
Categories of records in the system:
Records relating to use of NSF telephones to place both local and
long distance calls; records relating to NSF calling cards and
``800'' numbers; records indicating assignment of telephone extension
numbers to employees and other covered individuals; and records
relating to location of telephone extensions.
Authority for maintenance of the system:
42 U.S.C. 1870: 44 U.S.C. 3101.
Purpose(s):
The purpose of this system of records is to aid NSF in planning
its future telecommunications needs, and to control agency telephone
costs by ensuring that NSF telephones and calling cards are used for
authorized purposes only and by determining individual accountability
for telephone, calling cards and ``800'' number usage.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be disclosed to:
1. Members of Congress or a Congressional office in response to
an inquiry from that Member or office made at the request of the
individual to whom the record pertains.
2. Federal Government contractors, grantees, consultants,
volunteers or other persons who have been engaged to assist the
Government in the performance of a contract, grant, cooperative
agreement or other activity related to this system of records and who
need to have access to the records in order to perform the activity.
Recipients are required to maintain the records in accordance with
the requirements of the Privacy Act.
3. Federal agencies that have requested information relevant to a
decision in connection with the hiring or retention of an employee;
the reporting of an investigation on an employee; the letting of a
contract; or the issuance of a security clearance, license, grant, or
other benefit by the requesting agency.
4. Appropriate Federal, State, local or foreign agencies
responsible for investigating, prosecuting, enforcing, or
implementing a statue, rule, regulation or order, where there is an
indication of a violation or potential violation of the statute,
rule, regulation or order and the information disclosed is relevant
to the matter.
5. Department of Justice to the extent that each disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation in
which one of the following is a party or has an interest: (a) NSF or
any of its components, (b) an NSF employee in his/her official
capacity, (c) as NSF employee in his/her individual capacity where
the Department of Justice is representing or considering
representation of the employee, or (d) the United States where NSF
determines that the litigation is likely to affect the Agency.
6. Appropriate Federal or State Court, or other adjudicative body
or grand jury, or in an administrative or regulatory proceeding, to
the extent that each disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to the
proceeding in which one of the following is a party or has an
interest: (a) NSF or any of its components, (b) an NSF employee in
his/her official capacity, (c) an NSF employee in his/her individual
capacity where the Department of Justice is representing or
considering representation of the employee, or (d) the United States
where NSF determines that the litigation is likely to affect the
Agency. Such disclosures include, but are not limited to, those made
in the course of presenting evidence, conducting settlement
negotiations, and responding to requests for discovery.
7. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
8. Telecommunications company and/or the General Services
Administration providing telecommunications support to verify billing
or permit servicing the account.
9. Current and former NSF employees, contractors, subcontractors,
consultants, volunteers, and other persons to determine their
individual responsibility for telephone calls.
Disclosure to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from
this system to a consumer reporting agency as defined in the Fair
Credit system to a consumer reporting agency as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in system:
Storage:
Records are maintained manually as hard copy in file folders, on
diskettes and/or magnetic tapes.
Retrievability:
Records are retrieved by originating and destination telephone
numbers, responsible individuals, call date, call time, call
duration, destination city and state, and calling charge.
Safeguards:
Access to these records is limited to NSF employees, contractors,
subcontractors, and other persons who are performing services on
behalf of the NASF and have an official need for the records in the
performance of their duties. Hard copy records are maintained in
rooms that are locked during non-business hours. Automated records
are protected from unauthorized access through password
identification procedures and other system-based protection methods.
Retention and disposal:
Records are disposed of in accordance with the National Archives
and Records Administration, General Records Schedule 12.
System manager(s) and address:
Director, Division of Information Systems, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613. The system manager may
require additional information to verify the ``need to know'' and
identity of the requester.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
NSF employees, contractors and other persons who are performing
services on behalf of the agency; telephone assignment and locator
records; GSA and other phone companies.
System exempted from certain provisions of the act:
None.
2. Five New Privacy Act Systems of Records Being Established by
NSF. NSF System of Records NSF-54, ``Reviewer/Fellowship and Other
Awards File and Associated Records,'' is being established to
incorporate all records maintained in administering the review of NSF
Fellowship applications submitted to the Foundation. Four additional
systems are also being established.
The records are used to administer programs in the Polar Regions:
(1) NSF-62, ``Antarctica Service Medals,'' (2) NSF-63, ``Diving
Safety Records (Polar Regions),'' (3) NSF-64, ``Radiation Safety
Records (Polar Regions),'' and (4) NSF-65, ``Accident and Injury
Reports (Antarctic).''
NSF-49
System name:
Frequent Traveler Profile.
System location:
National Science Foundation, Professional Travel Corporation (NSF
contractor) Room 275, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
National Science Foundation frequent travelers.
Categories of records in the system:
Home telephone numbers, credit card information, special
accommodation requirements, passport numbers and issue dates, and
travel preference information, including frequent flyer numbers.
Authority for maintenance of the system:
42 U.S.C. 1870; 44 U.S.C. 3101.
Purpose(s):
To assist travelers in their travel arrangements.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Airlines for contacting traveler after hours or on weekends
when there are schedule changes.
2. Airlines and hotels for meeting special requirements
(wheelchair, etc.)
3. Credit card information will be given to hotels to guarantee
room reservations, when approved by traveler.
4. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
6. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
7. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and
Storage:
Records are maintained in contractor file folders. Also
maintained on computer files.
Retrievability:
Records are filed alphabetically by last name.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when the guard is not on duty. Rooms in which records
are kept are locked during non-business hours.
Retention and disposal:
Profiles are destroyed when employees retire or leave the
Foundation.
System manager(s) and address:
Director, Division of Administrative Services, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
NOTIFICATION PROCEDURES:
The NSF Privacy Act Officer should be contracted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Information is received from individuals.
Systems exempted from certain provisions of the act:
None.
NSF-50
System name:
Principal Investigator/Proposal File and Associated Records.
System location:
Numerous files are maintained by individual NSF offices and
programs at the National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230. Some records are kept electronically.
Categories of individuals covered by the system:
Persons who request or have previously requested and/or received
support from the National Science Foundation, either individually or
through an academic or other institution.
Categories of records in the system:
The names of principal investigators and other identifying
information, addresses of principal investigators, demographic data,
the proposal and its identifying number, supporting data from the
academic institution or other applicant, proposal evaluations from
peer reviewers, a review record, financial data, and other related
material. Other related material includes, for example, committee or
panel discussion summaries and comments on the proposal or the
proposers from peer reviewers.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
This system enables program offices to maintain appropriate files
and investigatory material in evaluating applications for grants or
other support. NSF employees may access the system to make decisions
regarding which proposal to fund, and to carry out other authorized
internal duties. Information on principal investigators is also
entered in System 51, ``Reviewer/Proposal File and Associated
Records'', a subsystem of this system, to be used as a source of
potential candidates to serve as reviewers as part of the merit
review process, or for inclusion on a panel of advisory committee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Disclosure of information from the system may be made to
qualified reviewers for their opinion and evaluation of applicants
and their proposals as part of the application review process; and to
other Government agencies needing information regarding applicants or
nominees as part of the application review process, or in order to
coordinate programs.
2. Information from the system may be provided to the applicant
or grantee institution to provide or obtain data regarding the
application review process or award decisions, or administering grant
awards.
3. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
4. Information from the system may be disclosed to contractors,
grantees, volunteers, experts, advisors, and other individuals who
perform a service to or work on or under a contract, grant,
cooperative agreement, advisory committee, committee of visitors, or
other arrangement with or for the Federal government, as necessary to
carry out their duties in pursuit of the purposes described above.
5. The contractors are subject to the provisions of the Privacy
Act. Information from the system may be merged with other computer
files in order to carry out statistical studies or otherwise assist
NSF with program management, evaluation, and reporting. Disclosure
may be made for this purpose to NSF contractors and collaborating
researchers, other Government agencies, and qualified research
institutions and their staffs. Disclosures are made only after
scrutiny of research protocols and with appropriate controls. The
results of such studies are statistical in nature and do not identify
individuals.
6. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
7. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding.
8. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following
is a party or has an interest: (a) NSF or any of its components; (b)
an NSF employee in his/her official capacity; (c) an NSF employee in
his/her individual capacity when the Department of Justice is
representing or considering representing the employee; or (d) the
United States, when NSF determines that litigation is likely to
affect the Agency.
9. Records from this system may be disclosed to representatives
of the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Various portions of the system are maintained electronically or
in paper files, depending on the individual program office.
Retrievability:
Information can be retrieved electronically using an applicant's
name or identifying number. An individual's name may be used to
manually access material in alphabetized paper files.
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained
in electronic form are password protected.
Retention and disposal:
Files are maintained in accordance with approved record retention
schedules. Awarded proposals are transferred to the Federal Records
Center for permanent retention. Declined proposals are destroyed five
years after they are closed out.
System manager(s) and address:
Division Director of particular office or program maintaining
such records, National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR Part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures;
See ``Notification Procedure'' above.
Record source categories:
Information is obtained from the principal investigator, academic
institution or other applicant, peer reviewers, and others.
Exemptions claimed for the system:
The portions of this system consisting of investigatory material
that would identify reviewers or other persons supplying evaluations
of NSF applicants and their proposals have been exempted at 5 CFR 613
pursuant to 5 U.S.C. 552a(k)(5).
NSF-51
System name:
Reviewer/Proposal File and Associated Records.
System location:
Numerous files are maintained by individual NSF offices and
programs at the National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230. Records are also kept electronically.
Categories of individuals covered by the system:
Reviewers who evaluate Foundation applicants and their proposals,
either by submitting comments through the mail or serving on review
panels or site visit teams.
Categories of records in the system:
The ``Reviewer/Proposal File and Associated Records'' system is a
subsystem of the ``Principal Investigator/Proposal File and
Associated Records'' system (NSF-50), and contains the reviewer's
name, proposal title and its identifying number, and other related
material.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
This system enables program offices to reference specific
reviewers and maintain appropriate files for use in evaluating
applications for grants or other support. NSF employees may access
the system to help select reviewers as part of the merit review
process, and to carry out other authorized internal duties.
Routine uses of record maintained in the system, including
categories of users and the purposes of such uses:
Disclosures of information in this system may be made to:
1. Federal government agencies needing names of potential
reviewers and specialists in particular fields.
2. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on a contract,
grant, cooperative agreement, advisory committee, committee of
visitors, or other arrangement with or for the Federal government, as
necessary to carry out their duties. The contractors are subject to
the provisions of the Privacy Act.
3. The Department of Justice or the Office of Management and
Budget for the purpose of obtaining advice on the application of the
Freedom of Information Act or Privacy Act to the records.
4. Another Federal agencies, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Various portions of the system are maintained electronically or
in paper files, depending on the individual program office.
Retrievability:
Information can be accessed from the electronic database by
addressing data contained in the database, including individual
reviewer names. An individual's name may be used to manually access
material in alphabetized paper files.
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained
in electronic form are password protected.
Retention and disposal:
File is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program maintaining
such records, National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information is obtained from the individual reviewers,
suggestions from other reviewers, the ``Principal Investigator/
Proposal File'' (NSF-50), other applicants for NSF funding or other
members of the research community, and from NSF program officers.
Exemptions claimed for the system:
The portions of this system consisting of investigatory material
which would identify reviewers or other persons supplying evaluations
of NSF applicants and their proposals have been exempted at 5 CFR
613.6 pursuant to 5 U.S.C. 552a(k)(5).
NSF-52
System name:
Office of Inspector General--Investigative Files.
System location:
Office of Inspector General, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
In connection with its investigative duties, the Office of
Inspector General (OIG) maintains records on the following categories
of individuals: (a) Individuals or entities who are or have been the
subject of inquiries or investigations conducted by OIG, including
current and former employees of NSF; and current and former
contractors (or applicants for contracts), subcontractors,
consultants, or the recipients of (or applicants for) NSF grants or
cooperative agreements, and their current or former employees,
students, or collaborators; and (b) Individuals who are witnesses;
complainants; confidential or nonconfidential informants; and parties
who have been identified by OIG (on the basis of information received
or developed by OIG) as potentially possessing information relevant
to an investigation under the jurisdiction by the OIG.
Categories of records in the system:
Information relating to investigations including: (a) Letters,
memoranda, and other documents citing complaints or alleged criminal,
civil, or administrative misconduct; (b) Investigative files, which
include: reports of investigations to resolve allegations of
misconduct or violations of law or administrative or ethical
requirements; exhibits, statements, affidavits, or other records
obtained or generated during investigations; prior criminal or
noncriminal records of individuals as they relate to the
investigations; reports from or to other law enforcement bodies;
information obtained from informants and identifying data with
respect to such informants; nature of allegations made against
suspects and identifying data concerning such subjects; and public
source materials.
Authority for maintenance of the system:
Inspector General Act, as amended, 5 U.S.C. app.
Purpose(s):
The Office of the Inspector General (OIG) for the National
Science Foundation (NSF) maintains this system of records in order to
conduct its responsibilities pursuant to the Inspector General Act of
1978, as amended, 5 U.S.C. app. section 4. The OIG is statutorily
directed and authorized to conduct and supervise investigations
relating to programs and operations of NSF, to promote economy,
efficiency, and effectiveness in the administration of such programs
and operations, and to prevent and detect fraud, waste and abuse in
such programs and operations. Accordingly, the records are used in
investigations of individuals and entities suspected of having
committed illegal or unethical acts, and in any resulting criminal
prosecutions, civil proceedings, or administrative actions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed as follows:
1. In the event that records indicate a violation or potential
violation of a requirement, whether criminal, civil, regulatory,
administrative, contractual, or ethical in nature, whether arising by
statute, regulation, rule, order, contract (including a grant or
cooperative agreement), or ethical practices or norms, the relevant
records in the system of records may be disclosed, as a routine use,
to the appropriate entity, whether governmental (federal, foreign,
state, local, or international) or non-governmental, charged with the
responsibility of investigating or prosecuting such violation or
potential violation, or charged with enforcing, implementing, or
complying with such statute, regulation, rule, order, contract, or
ethical practices or norms.
2. Disclosure may be made to appropriate entities, whether
governmental (federal, foreign, state, local or international) or
non-governmental, or to an individual, when necessary to elicit
information that will assist an investigation or audit.
3. Disclosure may be made to a federal, state, local, foreign, or
international entity maintaining civil, criminal, or other relevant
information if necessary to obtain information relevant to an OIG
decision concerning the assignment, hiring, or retention of an
individual and/or employee or disciplinary or other administrative
action concerning an employee, the issuance or revocation of a
security clearance, the reporting of an investigation of an
individual and/or employee, or the award of a contract (including a
grant or cooperative agreement).
4. Disclosure may be made to a federal, state, local, foreign, or
international entity in response to its request in connection with
the assignment, hiring, or retention of an individual and/or
employee, or disciplinary or other administrative action concerning
an employee, the issuance or revocation of a security clearance, the
reporting of an investigation of an individual and/or employee, or
the award of a contract (including a grant or cooperative agreement)
or other benefit by the requesting agency to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
5. Disclosure may be made to the Office of Personnel Management
or the Merit Systems Protection Board (including the Office of the
Special Counsel) of information relevant and necessary to carrying
out their functions.
6. In the event OIG is aware of information about possible
misconduct in science and engineering, disclosure of relevant records
may be made by OIG to institutions or entities that have proposed or
received contracts, grants, or cooperative agreements so that they
can conduct inquiries and investigations into possible misconduct in
science and engineering pursuant to 45 CFR part 689.
7. Disclosure may also be made to independent auditors,
contractors, experts, and other individuals who perform a service to
or work on or under a contract, or other arrangement with or for the
federal government, as necessary to carry out their duties. Such
contractors will be required to maintain Privacy Act safeguards with
respect to such records.
8. Disclosure may be made to another federal agency, a court, or
a party in litigation before a court or in an administrative
proceeding being conducted by a federal agency when the government is
a party to the judicial or administrative proceeding.
9. In the event the OIG deems it desirable or necessary, in
processing a Freedom of Information Act or Privacy Act request,
disclosure may be made to the Department of Justice or the Office of
Management and Budget for the purpose of obtaining its advice.
10. Disclosure may be made to the Department of Justice, to the
extent it is compatible with the purpose for which the record was
collected, and is relevant and necessary to litigation or anticipated
litigation, in which one of the following is a party or has an
interest: (a) NSF or any of its components; (b) an NSF employee in
his or her official capacity; (c) an NSF employee in his or her
official capacity when the Department of Justice is representing or
considering representing the employee; or (d) the United States, when
NSF determines that litigation is likely to affect NSF.
11. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
12. Disclosure may be made to representatives of the General
Services Administration and the National Archives and Records
Administration who are conducting record management inspections under
44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The OIG Investigative Files consist of automated data and paper
records. The paper records are stored in file cabinets and the
automated data are maintained in computers in OIG.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are kept in OIG offices within limited access areas
of the National Science Foundation during duty hours, and in locked
offices at all other times. Passwords are required to access the
automated data.
Retention and disposal:
The Investigative Files are kept indefinitely pending adoption of
an NSF-specific approved records retention schedule.
System manager(s) and address:
Inspector General, Office of Inspector General, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR part 613.
Record access procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this
system of records is not subject to exemption, it is subject to
access. A determination as to exemption shall be made at the time a
request for access is received. Access requests must be sent to the
Privacy Act Officer in accordance with procedures found at 45 CFR
part 613.
Contesting record procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). To the extent that this
system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for contest is received. Requests must be sent to
the Privacy Act Officer in accordance with procedures found at 45 CFR
part 613.
Record source categories:
The subjects of investigations; individuals with whom the
subjects of investigations are associated; current and former NSF
employees; federal, state, local, and foreign law enforcement and
non-law enforcement agencies; private citizens; witnesses;
confidential and nonconfidential informants; and public source
materials.
Exemptions claimed for the system:
This system is exempted from 5 U.S.C. 552a except subsections
(b); (c)(1) and (2); (e)(4)(A) through (F); (e) (6), (7), (9), (10),
and (11); and (i) under 522a(j)(2) to the extent the system of
records pertains to enforcement of criminal laws; and is exempted
from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and
(f) under 5 U.S.C. 552a(k)(2) to the extent the system of records
consists of investigatory material compiled for law enforcement
purposes, other than material within the scope of the exemption at 5
U.S.C. 552a(j)(2). These exemptions are contained in 45 CFR 613.
NSF-53
System name:
Public Transportation Subsidy Program.
System location:
National Science Foundation, Office of Information and Resource
Management, Division of Administrative Services, 4201 Wilson
Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
National Science Foundation employees who apply for or
participate in the transit subsidy program.
Categories of records in the system:
May include name, modes of transportation used for commuting, and
commuting costs.
Authority for maintenance of the system:
42 U.S.C. 1870; Pub. L. 101-509; E.O. 13150; and the Federal
Employees Clean Air Incentives Act, (section 2(a) of Pub. L. 103-
172), 5 U.S.C. 7905.
Purpose(s):
To administer the public transportation subsidy program providing
fringe benefits to employees who use mass transportation and van
pools to commute to and from work.
Routine use of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. Other Federal agencies for use in evaluating the overall
effectiveness of public transportation programs.
2. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
3. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
4. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in system:
Storage:
Records are maintained in file folders and in a computer system
at NSF.
Retrievability:
Records are retrieved alphabetically by last name.
Safeguards:
NSF employs security guards. Building is locked during non-
business hours when the guard is not on duty. Rooms in which records
are kept are locked during non-business hours. Passwords are needed
to access information in computer system.
Retention and disposal:
Current applications are maintained as long as the applicant is
an eligible participant in the subsidy program. System records are
maintained and disposed of in accordance with records maintenance and
disposition schedules and the requirements of the National Archives
and Records Administration (NARA).
System manager(s) and address:
Director, Division of Administrative Services, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Information is gathered from the individual and from the NSF
Personnel Data Base System.
System exempted from certain provisions of the act:
None.
NSF-54
System name:
Reviewer/Fellowships and Other Awards File and Associated
Records.
System location:
Records are maintained by individual NSF offices and programs at
the National Science Foundation, 4201 Wilson Boulevard, Arlington,
Virginia 22230. Some Fellowship reviewer records are maintained by
contractor, currently: Oak Ridge Associated Universities, PO Box
3010, Oak Ridge, Tennessee 37831-2010.
Categories of individuals covered by the system:
Reviewers who evaluate Foundation fellowship or other
applications or nominations, either by submitting comments through
the mail or serving on review panels.
Categories of records in the system:
Th ``Reviewer/Fellowships, and Other Awards File and Associated
Records'' system is a subsystem of the ``Fellowships and Other
Awards`` system (NSF-12), and contains the reviewer's name, nominator
or applicant's name and identifying number, and other related
material. Information supplied by potential reviewers includes their
affiliation, contact information, educational degrees, and research
experiences.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1869, 1870, 1880, 1881a and 20 U.S.C.
3915.
Purpose(s):
This system enables the NSF program offices and contractors to
reference specific reviewers and maintain appropriate files for use
in evaluating applications for fellowships, awards and other support.
NSF employees and contractors may access the system to help select
reviews as part of the merit process and to carry out other
authorized internal duties.
Routine used of records maintained in the system, including
categories of users and the purpose of such uses:
Disclosure of information in this system may be made to:
1. Federal government agencies needing names of potential
reviewers and specialities in particular fields.
2. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, advisory committee, committee
of visitors, or other arrangement with or for the Federal government,
as necessary to carry out their duties. The contractors are subject
to the provisions of the Privacy Act.
3. Department of Justice or the Office of Management and Budget
for the purpose of obtaining advice on the application of the Freedom
of Information Act or Privacy Act to the records.
4. Another Federal Agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
5. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record as collected and is
relevant and necessary to litigation or anticipated litigation in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee his/her official capacity;
(c) as NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) and United States, when NSF determines that
litigation is likely to affect the Agency.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Various portions of the systems are maintained electronically or
in paper files. Certain Fellowship records are maintained
electronically by the contractor, currently: Oak Ridge Associated
Universities, Oak Ridge, Tennessee. Some information may be
maintained in paper copy.
Retrievability:
Information can be accessed from the electronic database by
addressing data contained in the database, including individual
reviewer names. An individual's name may be used manually access
material alphabetized paper files.
Safeguards:
Records containing personal information are maintained in secured
file cabinets or in password protected electronic files.
Retention and disposal:
File is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program maintaining
such records, National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR Part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedure:
See ``Notification Procedure'' above.
Record source categories:
Informaiton is obtained from the individual reviewers,
suggestions from other reviewers, applicants for NSF funding or other
members of the research community, public documents such as American
Men and Women in Science, and from NSF program officers.
Exemptions claimed for the system:
The portions of this system consisting of investigatory material
that would identify references, reviewers, or other persons supplying
evaluations of applicants or nominees for fellowships or other awards
(and where applicable, their proposals) have been exempted at 5 CFR
613 pursuant to 5 U.S.C. 552a(k)(5).
NSF-55
System name:
Debarment/Scientific Misconduct Files.
System location:
Office of the Director, National Science Foundation, Arlington,
Virginia 22230.
Categories of individuals covered by the system:
Persons, including applicants for NSF grants and contracts, NSF
grantees, contractors, and principal investigators, who are the
subject of suspension, debarment or scientific misconduct
proceedings.
Categories of records in the system:
Case files on persons considered for debarment, suspension, or
misconduct in science, including communications between the Agency
and the respondent, inter-agency and intra-agency communications
regarding proposed or completed debarments or suspensions or
misconduct in science, investigative files, witness statements and
affidavits, staff working papers, testimony transcripts, hearing
exhibits, and a record of any findings.
Authority for maintenance of the system:
Section 11(a), National Science Foundation Act of 1950, as
amended (42 U.S.C. 1870(a); Federal Acquisition Regulation (FAR) 9.4;
48 CFR ch. 25; 45 CFR parts 620 and 689; Executive Order 12549
(February 18, 1986).
Purpose(s):
Information contained in this system of records is used to
protect the Federal Government from the actions prohibited under the
Foundation's scientific misconduct, debarment and suspension
regulations, make decisions regarding debarment, suspension, and
misconduct in science, ensure that other Federal agencies give effect
to debarment and suspension decisions rendered by the Foundation and
ensure that the Foundation gives effect to debarment and suspension
decisions rendered by other Federal agencies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The General Services Administration to compile and maintain
the ``Lists of Parties Excluded from Federal Procurement or
Nonprocurement Programs''.
2. A congressional office in response to an inquiry from the
congressional office on behalf of a person for information pertaining
to that person.
3. A Federal, state, r local government agency, in response to
its request, or at NSF's initiative, when relevant to that agency's
civil or criminal statutory, administrative, regulatory, enforcement,
investigative, or prosecutorial purpose.
4. A Federal agency involved in debarment or scientific
misconduct actions involving the same person.
5. Federal, State, or local government agencies where those
parties may have information the Foundation seeks to obtain in
connection with a scientific misconduct, suspension, or debarment
action.
6. A Federal agency in response to its request in connection with
the issuance of a security clearance, the award of a contract or
grant, the issuance of a license or permit or other benefit by the
requesting agency.
7. A Federal agency where records in this system of records
pertain to the hiring or retention of an employee, or disciplinary
action or other administrative action concerning an employee.
8. The Department of Justice or a court or other adjudicative
body, when information from the system is relevant to litigation or
anticipated litigation and one of the following is a party or
potential party in the matter: (a) A National Science Foundation; (b)
a National Science Foundation employee in his or her official
capacity or a current or former National Science Foundation employee
when the Department of Justice is considering representing the person
in his or her official capacity; (c) the United States or another
Federal, State or local agency and the National Science Foundation
determines that the litigation or anticipated litigation will affect
the National Science Foundation.
9. An awardee institution, at the request of that institution or
at NSF's initiative.
10. Other persons involved in or affected by the suspension,
debarment or scientific misconduct action, including witnesses,
awardee institutions, or any other person who has information,
documents, or knowledge relevant to the suspension, debarment, or
scientific misconduct action.
11. NSF merit review groups or peer reviewers if the information
bears directly on a person's scientific integrity or if necessary to
provide an accurate account of relevant facts.
12. A Federal, State or local agency, Federal contractor or
grantee, for the purpose of verifying the identity of an individual
debarred or suspended by the Foundation.
13. The Department of Justice for the purpose of obtaining advice
on whether particular records are required to be disclosed under the
Freedom of Information Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records consist of file folders stored in file cabinets.
Retrievability:
These records are retrieved by the name of the individuals.
Safeguards:
Records are accessible only by authorized Foundation personnel.
Retention and disposal:
These records are maintained for an indefinite duration.
System manager(s) and address:
General Counsel, National Science Foundation, Office of the
General Counsel, 4201 Wilson Boulevard, room 1265, Arlington,
Virginia 22230.
Notification procedures:
Individuals seeking to determine whether information about
themselves is contained in the system should write to the system
manager at the above address.
Record access procedures:
See ``notification procedures'' above.
Contesting record procedures:
Individuals wishing to contest the contents of records in this
system should contact the system manager at the above address.
Record source categories:
Federal, State and local officials, private persons, respondents
and their legal representatives.
NSF-56
System name:
Antarctic Conservation Act Files.
System location:
Office of Polar Programs, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Individuals who have applied for permits pursuant to the
Antarctic Conservation Act, and/or individuals who have been
contacted regarding Antarctic Conservation Act compliance. This
includes but is not limited to individuals who have sought Antarctic
Conservation Act permits.
Categories of records in the system:
All documents and correspondence related to the individual's
contact with the Antarctic Conservation Act system, including the
permitting process, and investigations pertaining to compliance.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq. (Pub. L. 95-452, as amended, 5 U.S.C.
app.)
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) Federal agencies involved in enforcing or implementing the
Antarctic Conservation Act;
(2) A court, administrative or other adjudicative body, involved
in enforcement of the Antarctic Conservation Act;
(3) Federal, state, or local agencies, or foreign governments,
where disclosure is necessary in order to obtain records in
connection with an investigation of the Office of Polar Programs;
(4) Other Federal agencies in response to the issuance of a
security clearance, the award of a contract, or the issuance of a
license, grant, or other benefit by the requesting agency to the
extent that the record is relevant;
(5) A Federal agency where the records are relevant to an agency
decision with regard to disciplinary or other administrative action
concerning their employee;
(6) The Merit Systems Protection Board (including the Office of
the Special Counsel), in order to carry out its agency's functions;
(7) Persons, including witnesses, who may have information,
documents or knowledge relevant to an Antarctic Conservation Act
investigation or enforcement proceeding;
(8) Grantee institutions in the event that Antarctic Conservation
Act violations are alleged against the institution or researchers in
connection with investigation or enforcement proceedings;
(9) Contractors, in the event an Antarctic Conservation Act
violations is alleged against the contractor, its employees, or its
subcontractors in connection with investigation or enforcement
proceedings;
(10) Contractors performing duties on behalf of the agency when
relevant to the performance of their duties;
(11) To parties who have lawfully subpoenaed these records;
(12) To the Department of Justice for consultation in processing
Freedom of Information Act requests;
(13) In the event of litigation where the defendant is (a) any
component of the NSF, or any employee of the NSF acting in official
capacity; (b) the United States, where the NSF determines that the
claim, if successful, is likely to affect directly the operations of
the NSF, or any NSF components, or (c) any NSF employee acting in
official capacity where the Department of Justice and/or the Office
of General Counsel of the NSF have agreed to represent such an
employee, these records may be disclosed to assist in the preparation
of an effective defense; or
(14) To a congressional office in response to an inquiry from the
congressional office made at the request of the individual whose
records are sought.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are stored in file cabinets; automated data, if
any, is stored in the Office of Polar Program's Office, which is
secured.
Retrievability:
The records are retrieved by the name of the subject, or by a
unique control number assigned to each investigation or permit
application.
Safeguards:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in locked file cabinets at other times.
Retention and disposal:
The files are kept indefinitely.
System manager(s) and address:
Thomas F. Forhan, Polar Coordination and Information Section,
Office of Polar Programs, National Science Foundation, 4201 Wilson
Boulevard, room 740, Arlington, VA 22230.
Notification procedure:
To determine whether this system of records contains a record
pertaining to the requesting individual, write to the system manager
at the above address.
Record access procedures:
See notification procedure.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in this system of records should write to the system manager at the
above address.
Record source categories:
Information in these records is obtained from applicants for
permits, NSF staff and NSF records, and from non-NSF persons and
records, to the extent necessary to carry out the duties described in
the Antarctic Conservation Act. Individuals to be interviewed and
records to be examined are selected according to the criteria
described explicitly and implicitly in the Antarctic Conservation
Act.
NSF-57
System name:
NSF Delinquent Debtors' File.
System location:
National Science Foundation, Division of Financial Management,
Financial Statements Section, 4201 Wilson Boulevard, Arlington, VA
22230.
Categories of individuals covered by the system:
Employees, former employees, panelists, recipients of fellowship
stipends and others owing money to the National Science Foundation.
Categories of records in the system:
Information varies depending on individual debtor. Normally, the
name, Social Security Number, address, amount of debt or delinquent
amount, basis of the debt, office referring debts, agency collection
efforts, credit reports, debt collection letters, correspondence to
or from the debtor relating to the debt and correspondence with
employing agencies of debtors.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966, Public Law 89-508; Debt
Collection Act of 1982, Public Law 97-365, and E.O. 9397.
Purpose(s):
Information is used for the purpose of collecting moneys owed NSF
arising out of any administrative or program activities or service
administered by NSF. The file represents the basis for the debt and
amount of debt and actions taken by NSF to collect the moneys owed
under the debt. The credit report or financial statement provides an
understanding of the individual's financial condition with respect to
requests for deferments of payment.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to:
1. The U.S. General Accounting Office (GAO), Department of
Justice, United States Attorney, or other Federal agencies for
further collection action on any delinquent account when
circumstances warrant.
2. A commercial credit reporting agency for the purpose of either
adding to a credit history file or obtaining a credit history file
for use in the administration of debt collection.
3. A debt collection agency for the purpose of collection
services to recover indebtedness owed to NSF.
4. Debtor's name, Social Security Number, the amount of debt
owed, and the history of the debt may be disclosed to any Federal
agency where the individual debtor is employed or receiving some form
of remuneration for the purpose of enabling that agency to collect
debts on NSF's behalf by administrative or salary offset procedures
under the provisions of the Debt Collection Act of 1982 (Pub. L. 97-
365).
5. Any other federal agency including but limited to, the
Internal Revenue Service (IRS) pursuant to 31 U.S.C. 3720A, for the
purpose of effecting an administrative offset against the debtor of a
delinquent debt owed to NSF by the debtor.
6. The Internal Revenue Service by computer matching to obtain
the mailing address of a taxpayer for the purpose of locating such
taxpayer to collect or to compromise a Federal claim by NSF against
the taxpayer pursuant to 26 U.S.C. 6103 (m)(20) and in accordance
with 31 U.S.C. 3711, 3217 and 3718.
Note: Redisclosures of a mailing address from the IRS may be made
only for the purpose of debt collection, including to a debt
collection agency in order to facilitate the collection or compromise
of a Federal claim under the Debt Collection Act of 1982, except that
a mailing address to a consumer reporting agency is for the limited
purpose of obtaining a commercial credit report on the particular
taxpayer. Any such address information obtained from the IRS will not
be used or shared for any other NSF purpose or disclosed to another
Federal, state, or local agency which seeks to locate the same
individual for its own debt collection purpose.
7. Data base information consisting of debtor's name, Social
Security Number, and amount owed may be disclosed to the Defense
Manpower Data Center (DMDC). Department of Defense, the U.S. Postal
Service or to any other Federal, state, or local agency for the
purpose of conducting an authorized computer matching program in
compliance with the Privacy Act of 1974 (5 U.S.C. 552a), as amended,
to identify and locate delinquent debtors in order to start a
recoupment process on an individual basis of any debt owed NSF by the
debtor arising out of any administrative or program activities or
services administered by NSF.
8. Any creditor Federal agency seeking assistance in implementing
administrative or salary offset procedures in the collection of
unpaid financial obligations owed the United States government from
an individual. An exception to this routine use is an individual's
mailing address obtained from the IRS pursuant to 26 U.S.C.
6103(m)(2).
9. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
10. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
11. Contractors, grantees, volunteers, experts, advisors, and
other individuals who perform a service to or work on or under a
contract, grant, cooperative agreement, or other arrangement with or
for the Federal government, as necessary to carry out their duties.
12. Representatives of the General Services Administration and
the National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically. Records are also
maintained in file folders.
Retrievability:
Records are retrieved by name or Social Security Number.
Safeguards:
These records are available only to those persons whose official
duties require such access. Records are kept in limited access during
duty hours and in locked cabinets at all other times.
Retention and disposal:
Records are disposed of after ten years unless needed for an
ongoing investigation in which case the record will be retained until
no longer needed in the investigation.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures fount at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
Information in this system of records obtained from the
individual, institution, award records, collection agencies, and
other appropriate agencies, i.e., DMDC, IRS, GAO, USPS.
Exemptions claimed for the system:
None.
NSF-58
System name:
National Survey of Recent College Graduates and Follow-up File.
Security classification:
None.
System location:
Record that make up this system may be kept in multiple
locations: National Science Foundation, 4201 Wilson Blvd., Arlington,
VA 22230: U.S. Department of Energy, 1000 Independence Avenue SW.,
Washington, DC 20585, U.S. Bureau of Census, Washington, DC 20233,
and Westat, Inc., 1550 Research Blvd., Rockville, MD 20850.
Categories of individuals covered by the system:
The system includes a sample of individuals holding bachelor's
and master's degrees from U.S. institutions in science and
engineering degree fields.
Categories of records in the system:
Educational, professional, and demographic characteristics of
degree holders including name, age, race, ethnicity, sex, disability,
and country of birth, social security number, occupational
information, labor force status, professional activities, academic
degrees, earlier education, continuing education, marital status,
spouse's employment status, number and ages of children living at
home, parent's educational attainment, citizenship.
Authority for maintenance of the system:
National Science Foundation Act of 1950, as amended, 42 U.S.C.
1862(a)(6), 1863(j)(1), 1885d.
Purpose(s):
This system is used as a source of information on the
characteristics of individuals with bachelor's and master's degrees
in science and engineering in the United States. The system is used
as a source for measuring the new entrants into the science and
engineering workforce. The system is used to provide information on
indicators related to the science and engineering workforce, as
required by congressional mandate. The system is also used to report
on the participation rates of women and minorities in scientific and
technical fields, as required by congressional mandate. It is also
used by researchers interested in policy issues related to the
scientific and engineering workforce.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure of the records may be made to the Federal sponsors
listed under ``System location'' above, their contractors and
collaborating researchers and their staff for the purpose of
analyzing data, preparing reports, writing articles, and preparing
public use data tapes in order to accomplish the research purpose for
which the records are collected. Disclosure of certain data on
records (including name, address, phone number, academic institution,
degree type) are also made to present and future contractors to
conduct longitudinal surveys of individuals included in the system.
All users of the data are required to comply by the requirements of
the Privacy Act with respect to such records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer tapes with identifying information on individuals and
questionnaires are kept by the National Science Foundation, the U.S.
Department of Energy, U.S. Bureau of Census, and Westat, Inc.
Retrievability:
Alphabetically by last name of individual.
Safeguards:
Data are kept in secured areas with access limited to authorized
personnel. Questionnaires in paper copy are kept in locked cabinets.
Published findings and computer tapes are in formats which preclude
individual identification.
Retention and disposal:
Computer tapes are kept indefinitely by the U.S. Bureau of Census
and Westat, Inc. and the other sponsors in fulfilling the
responsibilities described under ``Purposes''.
System manager(s) and address
Division Director, Science Resources Studies, National Science
Foundation, 4201 Wilson Blvd., Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Record source categories:
Most information was obtained voluntarily from individuals.
Initial identifying information was also voluntarily obtained from
colleges and/or universities and individuals.
System exemptions from certain provision of the act:
None.
NSF-59
System name:
Science and Technology Centers (STC) Database.
System location:
Office of Integrative Activities, National Science Foundation,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Individuals participating in NSF funded Science and Technology
Center (STC) Activities.
Categories of records in the system:
Records vary by year. From FY90 until FY98, the records may
include name, institution, social security number, gender, ethnicity,
year of highest degree, citizenship, areas of research, type of
financial support and other related information. These STC databases
may also include the results of follow-up surveys of STC Center
participants. The records will be used to help evaluate the STC
Center's achievement of program goals. Evaluation may include follow-
up surveys of STC Center participants. The results of evaluations
will be statistical and will not identify individual participants.
Beginning with FY98, covered records include only faculty names
associated with type of financial support. Other program records from
FY98 forward are not part of this system of records because they
include no individual names or identifiers. These records report only
the number of STC participants by STC Center categorized as faculty,
postdoctoral fellows, graduate students, undergraduate students,
visiting scientists, support staff (scientific, technical, and
administrative), and precollege students and teachers. These records
include data on gender, disability status, citizenship, ethnicity/
race, areas of research, shared experimental facilities, type of
financial support, and other related information. Because these data
are collected without individual name or other identifier, it cannot
be so retrieved and are not part of this system.
Authority for maintenance of the system:
42 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
Information from this system may be used to enable NSF to
identify research areas under STC Center awards and determine the
level of support for STC Center personnel and STC Center research; to
help evaluate the STC Center's achievement of program goals, such as
enhancement of skills; to report periodically, in statistical form
only, on the participation of men and women by ethnicity, disability,
discipline, and citizenry; and to enable NSF to monitor the
effectiveness of NSF-sponsored STC Centers for management evaluation
and for reporting to the Administration and Congress, especially
under the Government Performance and Results Act, 5 U.S.C. 306 and 39
U.S.C. 2801-2805.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. An STC Center and its authorized personnel may have access to
data submitted by that Center for the purpose of administration and
for other uses consistent with the purpose above.
2. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
3. Information from the system may be disclosed to contractors,
grantees, volunteers, experts, advisors, and other individuals who
perform a service to or work on or under a contract, grant,
cooperative agreement, advisory committee, committee of visitors, or
other arrangement with or for the Federal government, as necessary to
carry out their duties in pursuit of the purposes described above.
The contractors are subject to the provisions of the Privacy Act.
4. Information from the system may be merged with other computer
files in order to carry out statistical studies or assist with
program management, evaluation, and reporting. Disclosure may be made
for this purpose to NSF contractors and collaborating researchers,
other Government agencies, and qualified research institutions and
their staffs. The results of such studies, evaluations, or reports
are statistical in nature and do not identify individuals.
5. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
6. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding.
7. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following
is a party or has an interest: (a) NSF or any of its components; (b)
an NSF employee in his/her official capacity; (c) an NSF employee in
his/her individual capacity when the Department of Justice is
representing or considering representing the employee; or (d) the
United States, when NSF determines that litigation is likely to
affect the Agency.
8. Records from this system may be disclosed to representatives
of the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Some of the records are stored electronically and some are stored
in paper format in file folders.
Retrievability:
By the STC Center and then alphabetically by individual.
Safeguards:
Building is locked during non-business hours. Records at NSF are
kept in rooms that are locked during non-business hours. Records
maintained in electronic form are password protected.
Retention and disposal:
The file for each STC Center is cumulative and maintained
indefinitely pending adoption of an approved records retention
schedule.
System manager(s) and address:
Director, Office of Integrative Activities, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Science and Technology Centers.
Exemptions claimed for the system:
None.
NSF-60
System name:
Antarctica Service Medals.
System location:
Office of Polar Programs, National Science Foundation, 4201
Wilson Boulevard, Room 755-S, Arlington, VA 22230.
Categories of individuals covered by the system:
Civilian science and support personnel, including NSF employees
and special participants, who were members of a U.S. Government
sponsored expedition to Antarctica.
Categories of records in the system:
Records include names, addresses, social security numbers,
organization codes, length of deployment to the Antarctic, zip codes,
station codes, number of winter-overs and status of award. The
records are kept for the purpose of awarding Antarctica Service
Medals to those who meet the eligibility requirements.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq., 42 U.S.C. 1870, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) Federal agencies; academic institutions, contracting
organizations whose employees are participants in the USAP program to
provide information concerning status and eligibility requirements;
(2) Contractors and their employees performing duties on behalf
of NSF; Federal, state or local agencies, or foreign governments,
when disclosure is necessary to obtain records in connection with an
investigation of the Office of Polar Programs;
(3) The Department of Justice or the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests; and
(4) The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in a computerized database and stored on a
computer hard drive.
Retrievability:
The records are retrieved from the database by the name of the
subject or by the individual's social security number.
Safeguards:
Access to records is limited to those persons with a need to
know. Records are kept in a locked building, with security card
access.
Retention and disposal:
The files are kept indefinitely, pending adoption of a record
retention schedule.
System manager(s) and address:
Section Head, Antarctic Sciences Section, Office of Polar
Programs 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
To determine whether this system of records contains a record
pertaining to the requesting individual, contact the NSF Privacy Act
Officer, in accordance with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information in these records is obtained from personnel Tracking
System reports generated by the Program's primary civilian support
contractor, and other federal agencies.
System exempted from certain provisions of the act:
None.
NSF-61
System name:
Diving Safety Records (Polar Regions).
System location:
Office of Polar Programs, National Science Foundation, 4201
Wilson Boulevard, Room 755-S, Arlington, VA 22230
Antarctic Support Associates, 61 Inverness Drive East, Suite 300,
Englewood, CO 80112
Categories of individuals covered by the system:
Individuals who have submitted proposals to perform scientific
diving in the polar regions, when support is provided by the Office
of Polar Programs.
Categories of records in the system:
All documents and correspondence related to the individual's
request to do scientific diving in the polar regions.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq., 42 U.S.C. 1870, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) The Diving Safety Officer (DSO) of the institution where the
researcher originated;
(2) The NSF Diving Safety Officer when the officer requires such
information in the conduct of his duties for the Office of Polar
Programs (OPP);
(3) The University of California, San Diego, where the divers go
for certification and training;
(4) OPP's civilian support contractors and their subcontractors
in connection with their responsibilities for safe diving procedures;
(5) The Principal Investigator responsible for individual divers;
(6) The members of the United States Antarctic Program (USAP)
Diving Control Board when the members require such information in the
conduct of their duties;
(7) Academic institutions or other organizations involved in
compliance with OPP and United States policies on scientific diving;
(8) Other Federal agencies when the records are relevant to an
agency decision with regard to disciplinary or other administrative
action concerning their employee(s);
(9) Academic or other organizations when the records are relevant
to an organizational decision with regard to disciplinary or other
administrative action concerning their employee(s)
(10) The Department of Justice or the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests;
(11) The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
(12) Federal, state or local agencies, or foreign governments,
when disclosure is necessary to obtain records in connection with an
investigation by the NSF.
(13) Other Federal agencies such as Department of Defense or U.S.
Secret Service whose facilities and assistance may be sought in
training individuals to dive in the polar regions, or who are
involved in enforcing or implementing USAP and United States policies
on scientific diving.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Some of the records are maintained in paper format in file
folders and are kept in file cabinets; other records are kept
electronically.
Retrievability:
The records are retrieved by the last name of the individuals
diver or by a unique control number assigned to each Principal
Investigator's scientific project.
Safeguards:
Access to records are limited to those persons with a need to
know. Records are kept in locked buildings, with security card
access.
Retention and disposal:
The records are kept indefinitely, pending adoption of a record
retention schedule.
System manager(s) and address:
Section Head, Polar Research Support Section, Office of Polar
Programs, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230. Point of contact: Safety and Health Officer,
Office of Polar Programs.
Notification procedure:
To determine whether this system of records contains records
pertaining to the requesting individual, contact the NSF Privacy Act
Officer in accordance with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information in these records is obtained from the proposal for
divers, NSF staff and NSF records, from contractors performing duties
for the USAP; from other federal agencies; and from institution
diving safety officers.
System exempted from certain provisions of the act:
None.
NSF-62
System name:
Radiation Safety Records (Polar Regions).
System location:
Office of Polar Programs, National Science Foundation, 4201
Wilson Boulevard, Room 755-S, Arlington, VA 22230
Antarctic Support Associates, 61 Inverness Drive East, Suite 300,
Englewood, CO 80112
Categories of individuals covered by the system:
Individuals who have requested to use radioisotopes in the
conduct of scientific research or support activities in the polar
regions, when support is provided by the Office of Polar Programs.
Categories of records in the system:
Records include all documents and correspondence related to the
individual's request to use radioisotopes in the polar region,
including the individual's name, title, organizational affiliation,
work address, E-mail address, name of supervisor, and other necessary
work information; certification of radiation safety training;
radioisotope use protocol, types of radionuclides to be used,
proposal number, event number, social security number, license and
license number and related documents.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq., 42 U.S.C. 1870, 44 U.S.C. 3101
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) The Radiation Safety Officer (RSO) of the institution where
the researcher originated;
(2) Federal agencies involved in enforcing or implementing Office
of Polar Programs (OPP) and United States policies on use of
radioisotopes;
(3) Academic institutions or other organizations involved in
compliance with OPP and United States policies on use of
radioisotopes;
(4) Other Federal agencies when the records are relevant to an
agency decision with regard to disciplinary or other administrative
action concerning their employee(s);
(5) Academic or other organizations when the records are relevant
to an organizational decision with regard to disciplinary or other
administrative action concerning their employee(s)
(6) OPP's civilian support contractors and their subcontractors
when they are responsible for the safe transport, storage, handling,
distribution, tracking, retrieval, reporting and disposal of
radioactive materials and resultant hazardous waste;
(7) The institution where the researcher originated in the event
violations involving the mishandling or misuse of radioactive
materials or any resultant hazardous waste are alleged against the
institution or researcher;
(8) The Department of Justice or the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests;
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
The records are retrieved by the last name of the individual or
by a unique control number assigned to each investigator's scientific
project.
Safeguards:
The records are available only to those persons whose official
duties require such access. Records are kept in locked buildings,
with security card access.
Retention and disposal:
The records are kept indefinitely, pending adoption of a record
retention schedule.
System manager(s) and address:
Section Head, Polar Research Support Section, Office of Polar
Programs, National Science Foundation, 4201 Wilson Boulevard,
Arlington, VA 22230. Point of contact: Safety and Health Officer,
Office of Polar Programs.
Notification procedure:
To determine whether this system of records contains records
pertaining to the requesting individual, contact the NSF Privacy Act
Officer in accordance with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information in these records is obtained from applicants for
radioisotope usage, NSF staff and NSF records, and from contractors
performing duties for NSF; from other federal agencies; and from
institution radiation safety officers.
System exempted from certain provisions of the Act.
None.
NSF-63
System name:
Accident and Injury Reports (Antarctic).
System location:
Office of Polar Programs, National Science Foundation, 4201
Wilson Boulevard, Room 755S, Arlington, VA 22230
Antarctic Support Associates (ASA), and subcontractors, Inverness
Drive East, Suite 300, Englewood, CO 80112
Force Medical Officer, Naval Support Force Antarctica (NSFA),
Port Hueneme, CA and McMurdo Station, Antarctica
Categories and individuals covered by the system:
All persons deploying to Antarctica through the US Antarctic
Program who are injured or become involved in an accident while in
Antarctica. These individuals may be civilian or federal employees;
military; other federal uniformed service employees; and official
visitors from the U.S. Congress, the White House, the State
Department, or other federal organizations or foreign governments,
tourists or foreign visitors.
Note: Records concerning current and former federal employees are
also covered by OPM/GOVT-10.
Categories of records in the system:
Reports of both work and non-work related injuries or accidents
including the nature of the injury or accident, the medical
treatment, prognosis, circumstances leading to the injury or
accident, when the injury occurred, witnesses, remedies for future
prevention. Records include name, social security number, type of
accident, date, time and location, diagnosis, treatment, prognosis,
name(s) of witnesses, supervisor, circumstances, disability (if any),
and other related information.
Authority for maintenance of the system:
16 U.S.C. 2401, et seq., 42 U.S.C. 1870, 44 U.S.C. 3101
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Information from this system may be disclosed to:
(1) The ASA Station Manager, the individual's supervisor and
department head when their official duties require notification;
(2) Federal agencies involved in enforcing or implementing USAP
and US policies on occupational safety and health;
(3) Academic institutions and other organizations involved in
compliance with USAP safety and health policies and procedures;
(4) Federal agencies when the records are relevant to an agency
decision with regard to disciplinary or other administrative action
concerning a Federal employee;
(5) Contractors and subcontractors for the USAP when the
contractor or subcontractor is responsible for implementing safety
and health procedures;
(6) The NSFA Safety Officer, where uniformed service employees
are involved;
(7) The individual's supervisor(s) for the purposes of
determining cause and applying corrective measures for accident and
injury prevention;
(8) Academic or other organizations where the records are
relevant to an organizational decision with regard to disciplinary or
other administrative action concerning their employee(s);
(9) Federal, state of local agencies, or foreign governments,
when disclosure is necessary to obtain records in connection with an
investigation of the Office of Polar Programs;
(10) Other federal agencies such as Department of Defense or
Department of Labor where statistics on work-related accidents and
injuries are maintained;
(11) Persons, including witnesses, who may have information,
documents or knowledge relevant to accident or injury investigations
in order to obtain additional information;
(12) Awardee institutions or organizations in the event that
violations are alleged against the institution or researchers in
connection with investigation or enforcement proceedings;
(13) Contractors, in the event a violation is alleged against the
contractor, its employees, or its subcontractors in connection with
investigation or enforcement proceedings;
(14) Contractors and their employees performing duties on behalf
of the agency when relevant to the performance of their duties;
(15) The Department of Justice and the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests; and
(16) The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; (d) the United States, when NSF determines that litigation
is likely to affect the Agency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are stored in secured file cabinets in the Office
of Polar Programs, Room 755-S, electronic records are stored on
floppy diskettes and in password protected archives. ASA, its
subcontractor, and NSFA maintain records electronically.
Retrievability:
The records are retrieved by the name of the individual involved
in the accident or by a unique personal identifier assigned to that
individual.
Safeguards:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in locked file cabinets at other times.
The electronic records are stored in password protected computer
files.
Retention and disposal:
Except for those records covered by OPM/GOVT-10, records are
destroyed approximately eight years after the individual's last
Antarctic deployment.
System manager(s) and address:
Section Head, Polar Research Support Section, Office of Polar
Programs, 4210 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
To determine whether this system of records contains a record
pertaining to the requesting individual, contact the NSF Privacy Act
Officer, in accordance with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information in these records is obtained from injured
individuals; from individuals involved in accidents; witnesses to the
accidents or injuries, NSF staff and NSF records, from electronic
mail messages, from contractors performing duties for the U.S.
Government, and from the USAP medical clinics.
System exempted from certain provisions of the act:
None.
NSF-64
System name:
Project Participant File.
System location:
Central electronic data system of the National Science
Foundation. Excerpts may be extracted or printed and held in separate
files maintained by individual NSF offices and programs. National
Science Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Categories of individuals covered by the system:
Individual participants who do work under NSF-supported projects,
other than principal investigators or project directors. Includes,
for example, other investigators, post-doctoral associates, graduate
and undergraduate assistants.
Categories of records in the system:
Information gathered primarily through reporting on funded
projects about those who are supported by NSF awards or otherwise
involved in projects supported by NSF awards. The information
includes: Name; project identity or identities; involvement in
project--nature and description of involvement, level of effort,
whether financially supported by NSF; and demographic data--
information on gender, race/ethnicity, disability status, and
citizenship. Submission of demographic data is voluntary. The
individual participant may report ``Do not wish to provide''.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
Supplements other information gathered via project reporting on
projects funded by NSF. The primary purpose is to enable NSF to
identify outcomes of projects funded under NSF awards for management
evaluation and for reporting to the Administration and Congress,
especially under the Government Performance and Results Act, 5 U.S.C.
306 and 39 U.S.C. 2801--2805. Information on participants will
normally be aggregated, usually statistically, to identify outcomes
of NSF programs. On occasion non-sensitive information might be used
to identify persons who have achieved distinction in science,
engineering, education, or the like (for example, by award of a
prize) as beneficiaries of NSF support. The information in the system
may also be used secondarily for compatible purposes including to (1)
identify and contact scientists, engineers, or educators who may be
interested in applying for support, in attending a scientific or
similar meeting, in applying for a position, or in taking advantage
of some similar opportunity; or (2) identify and contact possible
candidates to serve as reviewers in the peer review system or for
inclusion on a panel or advisory committee (information from this
system may be entered in the NSF's reviewer databases, NSF-51 and
NSF-54, for this purpose);
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
An individual participant's name; the identity of any project on
which the participant worked; and information on the nature and
extent of the individual's involvement, level of effort, and NSF
support may be publicly released.
Demographic data pertaining to any individual may be released
only to:
1. Contractors who perform a service to or work on or under a
contract with the Federal government in pursuit of a purpose
described above. Individuals will be given access only if needed for
their specific job. The contractors are subject to the provisions of
the Privacy Act.
2. A Federal agency so that it can identify and contact persons
who might be interested in a scientific, technical, or educational
program, meeting, vacancy, or similar opportunity.
3. A Federal agency, or a researcher with appropriate scholarly
credentials, to use the data for scholarly studies or for Federal
program management, evaluation, or reporting only after scrutiny of
research protocols and with appropriate controls. Information from
this system may be merged with other computer files to complete such
studies or evaluations. The results of such studies or evaluations
are statistical in nature and do not identify individuals.
4. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Primary storage is in centralized electronic data tables.
Extracts or paper printouts may be maintained in computers or paper
files in individual program offices.
Retrievability:
Information can be retrieved electronically using participant
names.
Safeguards:
NSF employees, contractors, advisers, and others will have access
only after entering the NSF data system using a personal identifier
and password only as needed for their specific assignments. Principal
investigators will have access only to information about their own
awards, and only after identifying themselves using a personal
identifier and personal identification number. Even then, they will
not have access through this system to demographic data on
individuals other than themselves. Persons covered by the system will
have access only to information about themselves.
Retention and disposal:
The file is cumulative and is maintained indefinitely.
System manager(s) and address:
Chief Information Officer, National Science Foundation, 4201
Wilson Boulevard, Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information other than demographic data is entered by the
principal investigator on the relevant award. Demographic data is
obtained either by having the individual participant enter it
directly (preferred) or by having the principal investigator enter it
on the participant's behalf.
Exemptions claimed for the system:
None.
NSF-65
System name:
NSF Electronic Payment File.
System location:
National Science Foundation, Division of Financial Management,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Employees, former employees, other individuals and vendors who
will or do receive electronic payment from the National Science
Foundation for goods or services.
Categories of records in the system:
Name, address, Social Security Number, and payee banking
information.
Authority for maintenance of the system:
The Debt Collection Improvement Act of 1996 provides authority
for the National Science Foundation to implement mandatory electronic
payments for all obligations.
Purpose(s):
This system enables NSF to comply with the electronic payment
provisions of the Debt Collection Act of 1996.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system of records may be disclosed to:
1. The Department of the Treasury for the purpose of issuing the
payment directly to the financial account of the payee, and reporting
income paid in accordance with reporting requirements.
2. Financial institutions for the purpose of direct deposit.
3. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
4. Contractors, experts, and other individuals who perform a
service to or work on or under a contract, or other arrangement with
or for the Federal government, as necessary to carry out their
duties.
5. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained electronically.
Retrievability:
These records are retrieved by Social Security Number or vendor
institution number.
Safeguards:
These records are available only to those persons whose official
duties require access. A password is required for access to the
computer system. Printed reports of the data have restricted access
and are treated as confidential information.
Retention and disposal:
Updated information automatically replaces the old information.
File is cumulative and maintained permanently.
System manager(s) and address:
Director, Division of Financial Management, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' procedures above.
Contesting record procedures:
See ``Notification'' procedures above.
Record source categories:
Information in this system of records obtained from the
individual or payees.
Exemptions claimed for the system:
None.
NSF-66
System name:
NSF Photo Identification Card System.
System location:
National Science Foundation, Division of Human Resource
Management, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF Employees and NSF Contractors who work in the building and
have a need for an ID pass.
Categories of records in the system:
Digital photograph, LAN ID, name, social security number,
proximity card number, signature, date of birth, card reader
accessed, date and time of access.
Authority for maintenance of the system:
44 U.S.C. 3101 and 42 U.S.C. 1870. Other authorities include:
Presidential Order dated June 28, 1995, subject: ``Upgrading Security
at Federal Facilities'' which directs that all federal agencies shall
meet the minimum security standards recommended by the Department of
Justice in their report entitled, Vulnerability Assessment of Federal
Facilities. The report establishes ``agency photo ID for all
personnel displayed at all times'' as a minimum standard for Level IV
facilities. NSF has been designated as a Level IV facility.
Purpose(s):
The information is used to produce identification cards for
access to the building as well as for building security, to identify
the bearer of the card as a Federal employee or contractor, and for
tracking stolen or lost cards. The proximity card, when presented at
a system card reader, unlocks the door or permits use of the elevator
by the authorized cardholder.
Routine uses of records maintained in the system, including
categories of uses and the purposes of such uses:
Information from this system may be disclosed to:
1. Individuals, as necessary, for tracking stolen or lost
identification cards.
2. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
3. Contractors, experts, advisors, and other individuals who
perform a service to or work on or under a contract or other
arrangement with or for the Federal government, as necessary to carry
out their duties.
4. Appropriate Federal, State, or local agencies responsible for
investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order, to disclose pertinent information when
the NSF becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
5. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored electronically.
Retrievability:
Records may be retrieved by LAN ID, name, social security number,
proximity card number, date of birth, digital photograph, and access
point.
Safeguards:
Information is controlled by password and in an area that is
locked during non-business hours.
Retention and disposal:
Information is retained on all current employees and contractors.
Employees and contractors separating return their identification
cards when they are no longer employed by the agency. Their records
will be deleted or destroyed after three months. Proximity card
records are retained for 90 days.
System manager(s) and address:
Division Director, Human Resource Management, 4201 Wilson
Boulevard, Arlington, VA 22230.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
See ``Notification'' above.
Exemptions claimed for the system:
None.
NSF-67
System name:
Invention, patent and licensing documents.
System location:
Office of the General Counsel, National Science Foundation, 4201
Wilson Boulevard, Room 1265, Arlington, VA 22230.
Categories of individuals covered by the system:
Employees of the National Science Foundation or its grantees or
contractors who made inventions while employed by the Foundation or
while performing NSF-assisted research.
Categories of records in the system:
The system contains invention disclosures, patents and patent
applications, and licenses submitted to NSF by its employees,
grantees, and contractors, including inventor(s) name(s),
identification of grantee or contractor, title and description of the
invention, inventor(s) address(es) (if rights were waived to the
inventor(s), associated patent prosecution and licensing documents.
Authority for maintenance of the system:
45 CFR part 650 Patents. Executive Order No. 9865, as amended, 35
U.S.C. 266 note, ``Patent protection abroad of inventions resulting
from research financed by the Government,'' describing the
Government-wide policy for obtaining foreign patent protection for
inventions resulting from research conducted or financed by the
Government; and Executive Order No. 10096, as amended, 35 U.S.C. 266
note, ``Uniform Government Patent Policy for Inventions by Government
Employees,'' describing Government-wide policy pertaining to
inventions made by Government employees.
Purpose(s):
Records in this system are used to administer governmental rights
to inventions made by NSF employees or during FSF-assisted research.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Information from this system may be disclosed to:.
1. The Department of Justice and the Office of Management and
Budget for consultation in processing Freedom of Information or
Privacy Act requests.
2. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
3. Federal Government contractors, grantees, consultants,
volunteers, or other personal who have been engaged to assist the
Government in the performance of a contract, grant, cooperative
agreement, or other activity related to this system of records and
who need to have access to the records in order to perform the
activity.
4. Appropriate Federal, State, local or foreign agencies
responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation or order, where there is an
indication of a violation or potential violation of the statute,
rule, regulation or order and the information disclosed is relevant
to the matter.
5. For the purpose of obtaining patent protection for NSF-owned
inventions and granting licenses for these patents, to: (a)
Scientific personnel, both in NSF and other Government agencies and
in non-Governmental organizations such as universities, who possess
the expertise to understand the invention and evaluate its importance
as a scientific advance; (b) contract patent counsel and their
employees and foreign contract personnel retained by the Foundation
for patent searching and prosecution in both the United States and
foreign patent offices; (c) all other Government agencies whom NSF
contacts regarding the possible use, interest in, or ownership rights
in NSF inventions; (d) prospective licensees or technology finders
who may further make the invention available to the public through
sale or use; (e) parties, such as supervisors of inventors, whom NSF
contacts to determine ownership rights, and those parties contacting
NSF to determine the Government's ownership; and (f) the United
States and foreign patent offices involved in the filing of NSF
patent applications.
6. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are stored in file folders, computer tapes, and
computer discs.
Retrievability:
Records are retrieved by name of the inventor, invention-
disclosure number, NSF program, and institution.
Safeguards:
Data on computer files is accessed by password known only to
authorized users, who are NSF or contractor employees involved in
patenting and licensing of NSF-owned inventions or administering
rights to inventions made with NSF assistance to which grantees,
contractors, or inventors have retained principal rights. Access to
information is thus limited to those with a need to know. Records are
stored in a locked room or in locking file cabinets in file folders.
During normal business hours, Office of General Counsel personnel
regulate availability of the files. During evening and weekend the
offices are locked and the building is closed.
Retention and disposal:
Records will be retained and disposed of under the authority of
Foundation procedures currently under development.
System manager(s) and address:
Patent Assistant, Office of General Counsel, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Inventors and other collaborating persons, grantees, contractors;
other Federal agencies; scientific experts from non-Government
organizations; contract patent counsel and their employees and
foreign contract personnel; United States and foreign patent offices;
prospective licenses; and third parties whom NSF contacts to
determine individual invention ownership or Government ownership.
Systems exempted from certain provisions of the act:
None.
NSF-68
System name:
Project Results Information Base.
System location:
Central electronic data system of the National Science
Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Excerpts may be extracted or printed and held in separate files
maintained by individual NSF offices and programs.
Categories of individuals covered by the system:
Persons who have received support from the National Science
Foundation, either individually or through an academic or other
institution.
Categories of records in the system:
The ``Project Results Information Base'' system contains reports
on results of projects funded by NSF. Project reports may include
information on participants, major research activities and findings,
research training, or educational and outreach activities, products
such as publications produced, contributions resulting from the
research, and other related material. Most project reporting
information will be available to the public under the Freedom of
Information Act.
Authority for maintenance of the system:
44 U.S.C. 3101; 42 U.S.C. 1870.
Purpose(s):
The primary purpose of project reporting information is to enable
NSF to identify outcomes of projects funded under NSF awards for
program management, evaluation, and for reporting to the
Administration and Congress, especially under the Government
Performance and Results Act, 5 U.S.C. 306 and 39 U.S.C. 2801-2805.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information from the system may be provided to the applicant
or grantee institution.
2. Disclosure may be to a congressional office from the record of
an individual in response to an inquiry from the congressional office
made at the request of that individual.
3. Information from the system may be disclosed to contractors,
grantees, volunteers, experts, advisors, and other individuals who
perform a service to or work on or under a contract, grant,
cooperative agreement, advisory committee, committee of visitors, or
other arrangement with or for the Federal government as necessary to
carry out their duties in pursuit of the purposes described above.
The contractors are subject to the provisions of the Privacy Act.
4. Information from the system may be merged with other computer
files in order to carry out statistical studies or assist with
program management, evaluation, and reporting. Disclosure may be made
for this purpose to NSF contractors and collaborating researchers,
other Government agencies, and qualified research institutions and
their staffs.
5. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining on the application of the Freedom of Information Act or
Privacy Act to the records.
6. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding.
7. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following
is a party or has an interest: (a) NSF or any of its components; (b)
an NSF employee in his/her official capacity; (c) an NSF employee in
his/her individual capacity when the Department of Justice is
representing or considering representing the employee; or (d) the
United States, when NSF determines that litigation is likely to
affect the Agency.
8. Records from this system may be disclosed to representatives
of the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Primary storage is in centralized electronic data tables or
boxes. Extracts or paper printouts may be maintained in computers or
paper files in individual program offices.
Retrievability:
Information can be retrieved electronically using an awardee's
name or identifying number.
Safeguards:
Building is locked during non-business hours. Records are kept in
rooms that are locked during non-business hours. Records maintained
in electronic form are password protected.
Retention and disposal:
The file is cumulative and is maintained indefinitely.
System manager(s) and address:
Division Director of particular office or program maintaining
such records, National Science Foundation, 4201 Wilson Boulevard,
Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR part 613.
Record access procedures:
Persons covered by the system may obtain electronic access to
information about themselves. Normally they will get such access
after identifying themselves using a personal identifier and personal
identification number. Or see ``Notification Procedure'' above.
Contesting record procedures:
Persons covered by the system, having obtained electronic access
as described above, may update or correct certain information
directly, using the electronic system. They may notify NSF if they
believe any other information is incorrect or inaccurate, using the
electronic system. Or see ``Notification Procedure'' above.
Record source categories:
Information obtained voluntarily from individual.
Exemptions claimed for the system:
None.
NSF-69
System name:
Education and Training Records.
System location:
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA
22230 and NSF-contractors who participate in collecting and cleaning
data records (currently includes but not limited to), Abt Associates,
Inc., 55 Wheeler Street, Cambridge, MA 20850-3129; COSMOS
Corporation, 7475 Wisconsin Avenue, Suite 900, Bethesda, MD 20814;
SRI International, 1611 North Kent Street, Arlington, VA, 22209;
Quantum Research Corporation, 7315 Wisconsin Avenue, Suite 400W,
Bethesda, MD 20814-3202; Urban Institute, 2100 M Street, NW,
Washington, DC 20037; Westat, Inc., 1650 Research Boulevard,
Rockville, MD 20850-3129.
Categories of individuals covered by the system:
The system includes individuals who have studied or taught in the
United States in a variety of pre-kindergarten through post-doctoral
level educational or educational related institutions or participated
in science, mathematics, or technology education projects funded by
the National Science Foundation.
Categories of records in the system:
Records vary by program and may include name, mailing address, e-
mail address, personal web url, Social Security Number, gender,
disability status, birth date, citizenship, ethnicity/race, education
history, education plans, grade point average, courses studied,
standardized test scores, degree status, years of study, sources of
financial support during study or participation in NSF-funded
project, post-graduation plans, parents' education level, parents'
occupation, post-project plans, discipline of major, degree year,
matriculation year, graduation date, academic accomplishments,
mentoring activities, outreach activities, discipline of practice,
teaching load, teaching history, military service history/status,
media exposure, awards, honorary degrees, employment category.
Authority for maintenance of the system:
42 U.S.C. 1862, 1870, and 1885d; 20 U.S.C. 5422; Senate Reports
101-474, 102-107, and 102-356.
Purpose(s):
Information from this system may be used:
1. To provide a source of information on demographic and
educational characteristics and employment plans of participants in
NSF-funded educational projects, in compliance with Foundation
responsibilities to monitor scientific and technical resources.
2. To provide indicators of the state of science and engineering
education in the United States.
3. To report periodically on the participation of men and women
by ethnicity, disability, educational level, and discipline.
4. To enable NSF to monitor the effectiveness of NSF-sponsored
projects and identify outcomes of projects funded under NSF awards
for management evaluation and for reporting to the Administration and
Congress, especially under the Government Performance and Results
Act, 5 U.S.C. 306 and 39 U.S.C. 2801-2805.
5. To create public use files (which contain no personally
identifiable information) for research purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system of records may be released to:
1. Contractors, grantees, volunteers, advisers, and other
individuals who perform a service to or work on or under a contract,
grant, cooperative agreement, advisory committee, committee of
visitors, or other assignment for the Federal Government in pursuit
of a purpose described above. Such individuals will be given access
only if needed for their specific job. The contractors are subject to
the provisions of the Privacy Act.
2. A Federal agency or grantee so that it can identify and
contact persons who might be interested in a scientific, technical,
or educational program, meeting, vacancy, or similar opportunity.
3. A Federal agency, or a researcher with appropriate scholarly
credentials, to use the data for scholarly studies or for Federal
program management, evaluation, or reporting only after scrutiny of
research protocols and with appropriate controls. Information from
this system may be merged with other computer files to complete such
studies or evaluations. The results of such studies or evaluations
are statistical in nature and do not identify individuals.
4. The Department of Justice or the Office of Management and
Budget for the purpose of obtaining advice on application of the
Freedom of Information Act or Privacy Act to the records.
5. Another Federal agency, a court, or a party in litigation
before a court or in an administrative proceeding being conducted by
a Federal agency when the Government is a party to the judicial or
administrative proceeding.
6. Individuals selected by NSF to act as beta testers for
preliminary versions of public use files.
7. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected and is
relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
8. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Some of the records are stored electronically, some are stored in
paper format in file folders; and some are stored on microfiche.
Retrievability:
Alphabetically by last name of individual or other personal
identifiers.
Safeguards:
Data are kept in secured areas with access limited to authorized
personnel. Questionnaires, in paper copy or in microfiche, are kept
in locked cabinets. Records in electronic format are password
protected. Published findings are in formats that preclude individual
identification.
Retention and disposal:
Records are cumulative and maintained indefinitely.
System manager(s) and address:
Division Director, Research, Evaluation, and Communication,
National Science Foundation, 4201 Wilson Boulevard, Arlington, VA
22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with the procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information obtained from individuals and from grant recipients.
Exemptions claimed for the system:
None.
NSF-70
System name:
NSF Visitor Credentials System.
System location:
National Science Foundation, Division of Administrative Services,
4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
NSF visitors and short term contractors who have a need and
clearance to enter the building.
Categories of records in the system:
Name, expected date and time of arrival, expected duration,
contact person, contact phone number, type of visitor.
Authority for maintenance of the system:
44 U.S.C. 3101 and 42 U.S.C. 1870. Other authorities include:
Presidential Order dated June 28, 1995, subject: ``Upgrading Security
at Federal Facilities'' which directs that all federal agencies shall
meet the minimum security standards recommended by the Department of
Justice in their report entitled, Vulnerability Assessment of Federal
Facilities. The report establishes minimum standards for Level IV
facilities. NSF has been designated as a Level IV facility.
Purpose(s):
The system is used to register all visitors to the building and
to produce identification cards used while the visitor is at the
building.
Routine uses of records maintained in the system, including
categories of uses and the purposes of such uses:
Information from this system may be disclosed to:
1. The Department of Justice, to the extent disclosure is
compatible with the purpose for which the record was collected, and
is relevant and necessary to litigation or anticipated litigation, in
which one of the following is a party or has an interest: (a) NSF or
any of its components; (b) an NSF employee in his/her official
capacity; (c) an NSF employee in his/her individual capacity when the
Department of Justice is representing or considering representing the
employee; or (d) the United States, when NSF determines that
litigation is likely to affect the Agency.
2. Contractors, experts, advisors, and other individuals who
perform a service to or work on or under a contract or other
arrangement with or for the Federal government, as necessary to carry
out their duties.
3. Appropriate Federal, State, or local agencies responsible for
investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order, to disclose pertinent information when
the NSF becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
4. Representatives of the General Services Administration and the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored electronically.
Retrievability:
Records may be retrieved by name, contact person, or contact
phone number.
Safeguards:
Information is controlled by password and physically stored in an
area that is locked at all times.
Retention and disposal:
Information is deleted after three months. A visitor leaving the
Foundation is expected to turn in their visitor name tag to the
Information Center. This name tag will be destroyed.
System manager(s) and address:
Chief, Systems and Services Branch, Division of Administrative
Services.
Notification procedure:
The Privacy Act Officer should be contacted in accordance with
procedures found at 45 CFR part 613.
Record access procedures:
See ``Notification'' above.
Contesting record procedures:
See ``Notification'' above.
Record source categories:
See ``Notification'' above.
Exemptions claimed for the system:
None.
NSF-71
System name:
General Correspondence Files.
System location:
Correspondence files maintained by name, rather than
chronologically, in some NSF offices or divisions at the National
Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
Categories of individuals covered by the system:
Most NSF general correspondence is filed chronologically. This
system covers only individuals who write to the NSF or its officers
or employees, or individuals whose letter has been referred to NSF by
other parts of the Federal government when such general
correspondence is filed by name of the sender rather than
chronologically.
Categories of records in the system:
The system includes the original correspondence received as well
as any response, referral letters concerning the correspondence and
copies of any enclosures.
Authority for maintenance of the system:
These records are kept for administrative convenience pursuant to
44 U.S.C. 3101.
Purpose(s):
These records are kept for administrative convenience to document
responses to general correspondence.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information from the system may be provided to a referrer of
the original correspondence.
2. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
3. Information from the system may be disclosed to contractors,
volunteers, advisors, and other individuals who perform a service to
or work on or under a contract, or other arrangement with or for the
Federal government, as necessary to carry out their duties. The
contractors are subject to the provisions of the Privacy Act.
4. Information from the system may be disclosed to the Department
of Justice or the Office of Management and Budget for the purpose of
obtaining advice on the application of the Freedom of Information Act
or Privacy Act to the records.
5. Information from the system may be given to another Federal
agency, a court, or a party in litigation before a court or in an
administrative proceeding being conducted by a Federal agency when
the Government is a party to the judicial or administrative
proceeding.
6. Information from the system may be given to the Department of
Justice, to the extent disclosure is compatible with the purpose for
which the record was collected and is relevant and necessary to
litigation or anticipated litigation, in which one of the following
is a party or has an interest: (a) NSF or any of its components; (b)
an NSF employee in his/her official capacity; (c) an NSF employee in
his/her individual capacity when the Department of Justice is
representing or considering representing the employee; or (d) the
United States, when NSF determines that litigation is likely to
affect the Agency.
7. Records from this system may be disclosed to representatives
of the General Services Administration and the National Archives and
Records Administration who are conducting records management
inspections under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The material is stored in file folders within file cabinets in
individual Offices or Divisions of NSF.
Retrievability:
The system covers correspondence maintained within individual
Offices or Divisions that is arranged alphabetically by name of
original correspondent.
Safeguards:
Correspondence is maintained in rooms occupied by office
personnel during the work day and locked during non-business hours.
Retention and disposal:
Records are maintained and disposed of in accordance with
approved record retention plans, and are maintained for a minimum of
three months.
System manager(s) and address:
Director of Division or Office maintaining such records, National
Science Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Notification procedure:
The NSF Privacy Act Officer should be contacted in accordance
with procedures set forth at 45 CFR part 613.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Letters received from the original correspondent along with any
referral letters, and the NSF office which wrote the response, along
with any transmitted information or enclosures.
Exemptions claimed for the system:
None.
NATIONAL SCIENCE FOUNDATION
NATIONAL SCIENCE FOUNDATION
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.
Source:65 FR 11748, Mar. 6, 2000.
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 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 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 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
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 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) Application of procedures. The procedures of paragraphs (a)
through (d) of this section shall apply to requests made pursuant to 5
U.S.C. 552a(c)(3) and (d)(1).
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 her 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 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
Sec. 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 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 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) 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.