83_FR_6914 83 FR 6882 - Privacy Act of 1974; System of Records

83 FR 6882 - Privacy Act of 1974; System of Records

NATIONAL SCIENCE FOUNDATION

Federal Register Volume 83, Issue 32 (February 15, 2018)

Page Range6882-6884
FR Document2018-03147

Pursuant to the Privacy Act of 1974, the National Science Foundation (NSF) is providing notice of revisions to an existing system, NSF-52 ``Office of Inspector General--Investigative Files.''

Federal Register, Volume 83 Issue 32 (Thursday, February 15, 2018)
[Federal Register Volume 83, Number 32 (Thursday, February 15, 2018)]
[Notices]
[Pages 6882-6884]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-03147]


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NATIONAL SCIENCE FOUNDATION


Privacy Act of 1974; System of Records

AGENCY: Office of Inspector General, National Science Foundation.

ACTION: Notice of a modified system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974, the National Science 
Foundation (NSF) is providing notice of revisions to an existing 
system, NSF-52 ``Office of Inspector General--Investigative Files.''

DATES: Sections 552a(e)(4) and (11) of Title 5 of the U.S. Code require 
that the public have thirty days to comment on the routine uses of 
systems of records. The new routine uses that are the subject of this 
notice will take effect 30 days after publication in the Federal 
Register, unless modified by a subsequent notice to incorporate 
comments received from the public.

ADDRESSES: You may submit comments, identified by [docket number and/or 
RIN number __], by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: The Acting Senior Agency Official for Privacy, 
Dorothy Aronson, at daronson@nsf.gov. Include [docket number and/or RIN 
number __] in the subject line of the message.
     Mail: Dorothy Aronson, Acting Senior Agency Official for 
Privacy, Office of Information and Resource Management, National 
Science Foundation, 2415 Eisenhower Ave., Alexandria, VA 22314.

FOR FURTHER INFORMATION CONTACT:  Dorothy Aronson, Acting Senior Agency 
Official for Privacy, Office of Information and Resource Management, 
National Science Foundation, 2415 Eisenhower Ave., Alexandria, VA 
22314, or daronson@nsf.gov.

SUPPLEMENTARY INFORMATION:  Routine use 1 is changed to allow OIG to 
disclose records that may not indicate wrongdoing on their face, but in 
conjunction with other records may constitute evidence that wrongdoing 
occurred. It is also changed to clarify that disclosure recipients can 
include tribal governments. Other nonsubstantive changes are made to 
remove excess or redundant wording.
    Routine use 2 is changed to advance oversight and accountability by 
permitting disclosure when deemed necessary to further OIG's 
investigative, audit, and inspection activities; and, following such 
activities, to facilitate institutional actions to address or prevent 
misconduct. Regarding the latter, we note that disclosure of 
information about administrative cases--including those cases that 
result in research misconduct findings--can be useful for NSF-funded 
entities affected by the investigation and/or outcome. For example, 
institutions employing involved individuals may need the information to 
effectively manage their personnel and to administer their research 
programs.
    Routine use 3 is changed to clarify that disclosure recipients can 
include tribal governments and to remove excess or redundant wording.
    Routine use 4 is changed to clarify that disclosure recipients can 
include tribal governments and to remove excess or redundant wording.
    Routine use 6 is changed to refer to ``research misconduct'' rather 
than ``misconduct in science'', to reflect the change in terminology in 
NSF's regulation at 45 CFR part 689 effective April 17, 2002. It is 
also changed to clarify that disclosure recipients can include tribal 
governments.
    Routine use 11 is removed as an unnecessary routine use, given that 
the described disclosure is already permissible under the Privacy Act, 
5 U.S.C. 552a(b).
    Routine use 13 is added to enable OIG to release information to the 
public when: (a) The matter under investigation has become public 
knowledge because information about it is publicly available (as is the 
case with suspensions, debarments, convictions, or civil judgments), 
(b) the Inspector General or designee determines that such disclosure 
is necessary to preserve confidence in the integrity of the OIG 
investigative process, or (c) to demonstrate the accountability of NSF 
employees or other individuals covered by this system. We note that 
routine use 13 is consistent with uses published by other federal OIGs 
and represents a balance between privacy interests and the public's 
interest in transparency. Disclosure of names pursuant to subpart (c) 
will help deter misconduct involving the Foundation and/or its funded 
activities. Public disclosure under this use would only be permissible 
after the Inspector General or designee initially determines that it 
would not result in an unwarranted invasion of personal privacy.
    Routine use 14 addresses limited disclosures--to complainants, 
victims, and witnesses--in situations not covered by routine use 13, 
and is consistent with uses promulgated by other federal OIGs. This use 
not only advances overall transparency, but, by keeping complainants 
and victims informed about cases in which they are involved, it will 
encourage individuals to come forward and to cooperate in future 
investigations. Providing witnesses with records they initially 
produced, or which contain their own statements or testimony, will, for 
example, assist the federal government in ongoing legal proceedings 
concerning the matter investigated.
SYSTEM NAME AND NUMBER
    Office of Inspector General--Investigative Files, NSF-52.

SECURITY CLASSIFICATION:
    Unclassified

SYSTEM LOCATION:
    Office of Inspector General, NSF, 4201 Wilson Boulevard, Arlington, 
VA 22230.

SYSTEM MANAGER:
    Inspector General, OIG, NSF, 4201 Wilson Boulevard, Arlington, VA 
22230.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Inspector General Act, as amended, 5 U.S.C. app. 4, 8G.

PURPOSES OF THE SYSTEM:
    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. 4, 8G. 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.

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,

[[Page 6883]]

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 of 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.

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    These records may be disclosed as follows:
    1. In the event that records indicate (on their face or in 
conjunction with other records), or may constitute potential evidence 
of, 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, 
grant, 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, 
state, local, tribal, 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, state, local, tribal, or international) or non-
governmental, or to an individual (a) when deemed necessary to further 
the conduct of OIG investigative, inspection, or audit activities, 
including instances in which disclosure is necessary to elicit 
information, or (b) following such activities, when deemed necessary to 
facilitate institutional actions to address or prevent misconduct.
    3. Disclosure may be made to a federal, state, local, tribal, 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, grant or cooperative agreement.
    4. Disclosure may be made to a federal, state, local, tribal, or 
international entity 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, 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 research 
misconduct, 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 research misconduct 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 that 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.
    13. Unless the Inspector General or designee determines that 
disclosure of the specific information, in the context of a particular 
case, would constitute an unwarranted invasion of personal privacy, 
disclosure may be made to the public (a) when the matter under 
investigation has become public knowledge because information about it 
is publicly available, (b) when the Inspector General or designee 
determines that such disclosure is necessary to preserve confidence in 
the

[[Page 6884]]

integrity of the OIG investigative process, or (c) to demonstrate the 
accountability of NSF employees or other individuals covered by this 
system.
    14. Disclosure may be made to (a) complainants and/or victims to 
the extent necessary to provide such persons with information and 
explanations concerning the results of the investigation or case 
arising from the matters about which they complained and/or with 
respect to which they were a victim, and (b) to an individual who has 
been interviewed or contacted by OIG pursuant to an investigation, 
audit, or inspection, to the extent that OIG may provide copies of that 
individual's statements, testimony, or records produced.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    These records are stored in a variety of media, primarily 
consisting of file folders, and computer storage equipment.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The records are retrieved by the names of individuals involved in 
the investigation or by a unique control number assigned to each 
investigation.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The Investigative Files are retained in accordance with OIG's 
records retention schedule.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    The paper 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 
computer storage equipment.

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 
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.

NOTIFICATION PROCEDURES:
    The Privacy Act Officer should be contacted in accordance with 
procedures found at 45 CFR part 613.

EXEMPTIONS PROMULGATED 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 552a(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 part 613.

HISTORY:
    69 FR 29703 (June 2, 1999).

    Dated: February 12, 2018.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2018-03147 Filed 2-14-18; 8:45 am]
BILLING CODE 7555-01-P



                                                6882                        Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices

                                                  Dated: February 12, 2018.                                Routine use 2 is changed to advance                  Routine use 14 addresses limited
                                                Suzanne H. Plimpton,                                    oversight and accountability by                       disclosures—to complainants, victims,
                                                Reports Clearance Officer, National Science             permitting disclosure when deemed                     and witnesses—in situations not
                                                Foundation.                                             necessary to further OIG’s investigative,             covered by routine use 13, and is
                                                [FR Doc. 2018–03125 Filed 2–14–18; 8:45 am]             audit, and inspection activities; and,                consistent with uses promulgated by
                                                BILLING CODE 7555–01–P                                  following such activities, to facilitate              other federal OIGs. This use not only
                                                                                                        institutional actions to address or                   advances overall transparency, but, by
                                                                                                        prevent misconduct. Regarding the                     keeping complainants and victims
                                                NATIONAL SCIENCE FOUNDATION                             latter, we note that disclosure of                    informed about cases in which they are
                                                                                                        information about administrative                      involved, it will encourage individuals
                                                Privacy Act of 1974; System of                          cases—including those cases that result               to come forward and to cooperate in
                                                Records                                                 in research misconduct findings—can                   future investigations. Providing
                                                AGENCY:  Office of Inspector General,                   be useful for NSF-funded entities                     witnesses with records they initially
                                                National Science Foundation.                            affected by the investigation and/or                  produced, or which contain their own
                                                ACTION: Notice of a modified system of                  outcome. For example, institutions                    statements or testimony, will, for
                                                records.                                                employing involved individuals may                    example, assist the federal government
                                                                                                        need the information to effectively                   in ongoing legal proceedings concerning
                                                SUMMARY:    Pursuant to the Privacy Act of              manage their personnel and to                         the matter investigated.
                                                1974, the National Science Foundation                   administer their research programs.
                                                (NSF) is providing notice of revisions to                                                                     SYSTEM NAME AND NUMBER
                                                                                                           Routine use 3 is changed to clarify
                                                an existing system, NSF–52 ‘‘Office of                  that disclosure recipients can include                  Office of Inspector General—
                                                Inspector General—Investigative Files.’’                tribal governments and to remove excess               Investigative Files, NSF–52.
                                                DATES: Sections 552a(e)(4) and (11) of                  or redundant wording.
                                                                                                                                                              SECURITY CLASSIFICATION:
                                                Title 5 of the U.S. Code require that the                  Routine use 4 is changed to clarify
                                                public have thirty days to comment on                   that disclosure recipients can include                   Unclassified
                                                the routine uses of systems of records.                 tribal governments and to remove excess               SYSTEM LOCATION:
                                                The new routine uses that are the                       or redundant wording.                                  Office of Inspector General, NSF, 4201
                                                subject of this notice will take effect 30                 Routine use 6 is changed to refer to               Wilson Boulevard, Arlington, VA 22230.
                                                days after publication in the Federal                   ‘‘research misconduct’’ rather than
                                                Register, unless modified by a                          ‘‘misconduct in science’’, to reflect the             SYSTEM MANAGER:
                                                subsequent notice to incorporate                        change in terminology in NSF’s                         Inspector General, OIG, NSF, 4201
                                                comments received from the public.                      regulation at 45 CFR part 689 effective               Wilson Boulevard, Arlington, VA 22230.
                                                ADDRESSES: You may submit comments,                     April 17, 2002. It is also changed to
                                                                                                                                                              AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
                                                identified by [docket number and/or                     clarify that disclosure recipients can
                                                RIN number __], by any of the following                 include tribal governments.                             Inspector General Act, as amended, 5
                                                methods:                                                   Routine use 11 is removed as an                    U.S.C. app. 4, 8G.
                                                   • Federal eRulemaking Portal: http://                unnecessary routine use, given that the               PURPOSES OF THE SYSTEM:
                                                www.regulations.gov. Follow the                         described disclosure is already                          The Office of the Inspector General
                                                instructions for submitting comments.                   permissible under the Privacy Act, 5                  (OIG) for the National Science
                                                   • Email: The Acting Senior Agency                    U.S.C. 552a(b).                                       Foundation (NSF) maintains this system
                                                Official for Privacy, Dorothy Aronson, at                  Routine use 13 is added to enable OIG              of records in order to conduct its
                                                daronson@nsf.gov. Include [docket                       to release information to the public                  responsibilities pursuant to the
                                                number and/or RIN number __] in the                     when: (a) The matter under                            Inspector General Act of 1978, as
                                                subject line of the message.                            investigation has become public
                                                   • Mail: Dorothy Aronson, Acting                                                                            amended, 5 U.S.C. app. 4, 8G. The OIG
                                                                                                        knowledge because information about it                is statutorily directed and authorized to
                                                Senior Agency Official for Privacy,                     is publicly available (as is the case with
                                                Office of Information and Resource                                                                            conduct and supervise investigations
                                                                                                        suspensions, debarments, convictions,                 relating to programs and operations of
                                                Management, National Science                            or civil judgments), (b) the Inspector
                                                Foundation, 2415 Eisenhower Ave.,                                                                             NSF, to promote economy, efficiency,
                                                                                                        General or designee determines that                   and effectiveness in the administration
                                                Alexandria, VA 22314.                                   such disclosure is necessary to preserve              of such programs and operations, and to
                                                FOR FURTHER INFORMATION CONTACT:                        confidence in the integrity of the OIG                prevent and detect fraud, waste and
                                                Dorothy Aronson, Acting Senior Agency                   investigative process, or (c) to                      abuse in such programs and operations.
                                                Official for Privacy, Office of                         demonstrate the accountability of NSF                 Accordingly, the records are used in
                                                Information and Resource Management,                    employees or other individuals covered                investigations of individuals and
                                                National Science Foundation, 2415                       by this system. We note that routine use              entities suspected of having committed
                                                Eisenhower Ave., Alexandria, VA                         13 is consistent with uses published by               illegal or unethical acts, and in any
                                                22314, or daronson@nsf.gov.                             other federal OIGs and represents a                   resulting criminal prosecutions, civil
                                                SUPPLEMENTARY INFORMATION: Routine                      balance between privacy interests and                 proceedings, or administrative actions.
                                                use 1 is changed to allow OIG to                        the public’s interest in transparency.
                                                disclose records that may not indicate                  Disclosure of names pursuant to subpart               CATEGORIES OF INDIVIDUALS COVERED BY THE
                                                wrongdoing on their face, but in                        (c) will help deter misconduct involving              SYSTEM:
sradovich on DSK3GMQ082PROD with NOTICES




                                                conjunction with other records may                      the Foundation and/or its funded                        In connection with its investigative
                                                constitute evidence that wrongdoing                     activities. Public disclosure under this              duties, the Office of Inspector General
                                                occurred. It is also changed to clarify                 use would only be permissible after the               (OIG) maintains records on the
                                                that disclosure recipients can include                  Inspector General or designee initially               following categories of individuals: (a)
                                                tribal governments. Other                               determines that it would not result in an             Individuals or entities who are or have
                                                nonsubstantive changes are made to                      unwarranted invasion of personal                      been the subject of inquiries or
                                                remove excess or redundant wording.                     privacy.                                              investigations conducted by OIG,


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                                                                            Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices                                           6883

                                                including current and former employees                  disclosed, as a routine use, to the                   or cooperative agreements so that they
                                                of NSF; and current and former                          appropriate entity, whether                           can conduct inquiries and investigations
                                                contractors (or applicants for contracts),              governmental (federal, state, local,                  into possible research misconduct
                                                subcontractors, consultants, or the                     tribal, or international) or non-                     pursuant to 45 CFR part 689.
                                                recipients of (or applicants for) NSF                   governmental, charged with the                           7. Disclosure may also be made to
                                                grants or cooperative agreements, and                   responsibility of investigating or                    independent auditors, contractors,
                                                their current or former employees,                      prosecuting such violation or potential               experts, and other individuals who
                                                students, or collaborators; and (b)                     violation, or charged with enforcing,                 perform a service to or work on or under
                                                Individuals who are witnesses;                          implementing, or complying with such                  a contract, or other arrangement with or
                                                complainants; confidential or                           statute, regulation, rule, order, contract,           for the federal government, as necessary
                                                nonconfidential informants; and parties                 or ethical practices or norms.                        to carry out their duties. Such
                                                who have been identified by OIG (on the                    2. Disclosure may be made to                       contractors will be required to maintain
                                                basis of information received or                        appropriate entities, whether                         Privacy Act safeguards with respect to
                                                developed by OIG) as potentially                        governmental (federal, state, local,                  such records.
                                                possessing information relevant to an                   tribal, or international) or non-                        8. Disclosure may be made to another
                                                investigation under the jurisdiction of                 governmental, or to an individual (a)                 federal agency, a court, or a party in
                                                the OIG.                                                when deemed necessary to further the                  litigation before a court or in an
                                                                                                        conduct of OIG investigative,                         administrative proceeding being
                                                CATEGORIES OF RECORDS IN THE SYSTEM:                    inspection, or audit activities, including            conducted by a federal agency when the
                                                   Information relating to investigations               instances in which disclosure is                      government is a party to the judicial or
                                                including: (a) Letters, memoranda, and                  necessary to elicit information, or (b)               administrative proceeding.
                                                other documents citing complaints or                    following such activities, when deemed                   9. In the event that OIG deems it
                                                alleged criminal, civil, or administrative              necessary to facilitate institutional                 desirable or necessary, in processing a
                                                misconduct; (b) Investigative files,                    actions to address or prevent                         Freedom of Information Act or Privacy
                                                which include: Reports of investigations                misconduct.                                           Act request, disclosure may be made to
                                                to resolve allegations of misconduct or                    3. Disclosure may be made to a                     the Department of Justice or the Office
                                                violations of law or administrative or                  federal, state, local, tribal, or                     of Management and Budget for the
                                                ethical requirements; exhibits,                         international entity maintaining civil,               purpose of obtaining its advice.
                                                statements, affidavits, or other records                criminal, or other relevant information                  10. Disclosure may be made to the
                                                obtained or generated during                            if necessary to obtain information                    Department of Justice, to the extent it is
                                                investigations; prior criminal or                       relevant to an OIG decision concerning                compatible with the purpose for which
                                                noncriminal records of individuals as                   the assignment, hiring, or retention of               the record was collected, and is relevant
                                                they relate to the investigations; reports              an individual and/or employee or                      and necessary to litigation or
                                                from or to other law enforcement                        disciplinary or other administrative                  anticipated litigation, in which one of
                                                bodies; information obtained from                       action concerning an employee, the                    the following is a party or has an
                                                informants and identifying data with                    issuance or revocation of a security                  interest: (a) NSF or any of its
                                                respect to such informants; nature of                   clearance, the reporting of an                        components; (b) an NSF employee in his
                                                allegations made against suspects and                   investigation of an individual and/or                 or her official capacity; (c) an NSF
                                                identifying data concerning such                        employee, or the award of a contract,                 employee in his or her official capacity
                                                subjects; and public source materials.                  grant or cooperative agreement.                       when the Department of Justice is
                                                                                                           4. Disclosure may be made to a                     representing or considering representing
                                                RECORD SOURCE CATEGORIES:                               federal, state, local, tribal, or                     the employee; or (d) the United States,
                                                  The subjects of investigations;                       international entity in connection with               when NSF determines that litigation is
                                                individuals with whom the subjects of                   the assignment, hiring, or retention of               likely to affect NSF.
                                                investigations are associated; current                  an individual and/or employee, or                        11. Disclosure may be made to a
                                                and former NSF employees; federal,                      disciplinary or other administrative                  congressional office from the record of
                                                state, local, and foreign law enforcement               action concerning an employee, the                    an individual in response to an inquiry
                                                and non-law enforcement agencies;                       issuance or revocation of a security                  from the congressional office made at
                                                private citizens; witnesses; confidential               clearance, the reporting of an                        the request of that individual.
                                                and nonconfidential informants; and                     investigation of an individual and/or                    12. Disclosure may be made to
                                                public source materials.                                employee, or the award of a contract,                 representatives of the General Services
                                                                                                        grant or cooperative agreement or other               Administration and the National
                                                ROUTINE USES OF RECORDS MAINTAINED IN THE               benefit by the requesting agency to the               Archives and Records Administration
                                                SYSTEM, INCLUDING CATEGORIES OF USERS AND               extent that the information is relevant               who are conducting record management
                                                PURPOSES OF SUCH USES:                                                                                        inspections under 44 U.S.C. 2904 and
                                                                                                        and necessary to the requesting agency’s
                                                  These records may be disclosed as                     decision on the matter.                               2906.
                                                follows:                                                   5. Disclosure may be made to the                      13. Unless the Inspector General or
                                                  1. In the event that records indicate                 Office of Personnel Management or the                 designee determines that disclosure of
                                                (on their face or in conjunction with                   Merit Systems Protection Board                        the specific information, in the context
                                                other records), or may constitute                       (including the Office of the Special                  of a particular case, would constitute an
                                                potential evidence of, a violation or                   Counsel) of information relevant and                  unwarranted invasion of personal
                                                potential violation of a requirement,                                                                         privacy, disclosure may be made to the
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                                                                                                        necessary to carrying out their
                                                whether criminal, civil, regulatory,                    functions.                                            public (a) when the matter under
                                                administrative, contractual, or ethical in                 6. In the event OIG is aware of                    investigation has become public
                                                nature, whether arising by statute,                     information about possible research                   knowledge because information about it
                                                regulation, rule, order, contract, grant,               misconduct, disclosure of relevant                    is publicly available, (b) when the
                                                cooperative agreement, or ethical                       records may be made by OIG to                         Inspector General or designee
                                                practices or norms, the relevant records                institutions or entities that have                    determines that such disclosure is
                                                in the system of records may be                         proposed or received contracts, grants,               necessary to preserve confidence in the


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                                                6884                        Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices

                                                integrity of the OIG investigative                      exemption shall be made at the time a                 ADDRESSES:    You may submit comments,
                                                process, or (c) to demonstrate the                      request for contest is received. Requests             identified by [docket number and/or
                                                accountability of NSF employees or                      must be sent to the Privacy Act Officer               RIN number lll], by any of the
                                                other individuals covered by this                       in accordance with procedures found at                following methods:
                                                system.                                                 45 CFR part 613.                                         • Federal eRulemaking Portal: http://
                                                  14. Disclosure may be made to (a)                                                                           www.regulations.gov. Follow the
                                                complainants and/or victims to the                      NOTIFICATION PROCEDURES:                              instructions for submitting comments.
                                                extent necessary to provide such                          The Privacy Act Officer should be                      • Email: The Acting Senior Agency
                                                persons with information and                            contacted in accordance with                          Official for Privacy, Dorothy Aronson, at
                                                explanations concerning the results of                  procedures found at 45 CFR part 613.                  daronson@nsf.gov. Include [docket
                                                the investigation or case arising from the                                                                    number and/or RIN number lll] in
                                                                                                        EXEMPTIONS PROMULGATED FOR THE SYSTEM:                the subject line of the message.
                                                matters about which they complained
                                                and/or with respect to which they were                    This system is exempted from 5                         • Mail: Dorothy Aronson, Acting
                                                a victim, and (b) to an individual who                  U.S.C. 552a except subsections –(b);                  Senior Agency Official for Privacy,
                                                has been interviewed or contacted by                    –(c)(1) and –(2); –(e)(4)(A) through –(F);            Office of Information and Resource
                                                OIG pursuant to an investigation, audit,                –(e)(6), –(7), –(9), –(10), and –(11); and            Management, National Science
                                                or inspection, to the extent that OIG                   –(i) under 552a(j)(2) to the extent the               Foundation, 2415 Eisenhower Ave.,
                                                may provide copies of that individual’s                 system of records pertains to                         Alexandria, VA 22331.
                                                statements, testimony, or records                       enforcement of criminal laws; and is                     Instructions: NSF will post all
                                                produced.                                               exempted from 5 U.S.C. 552a(c)(3), –(d),              comments on the NSF’s website (https://
                                                                                                        –(e)(1), –(e)(4)(G), –(H), and –(I), and –(f)         www.nsf.gov/policies/privacy_act.jsp).
                                                POLICIES AND PRACTICES FOR STORAGE OF                   under 5 U.S.C. 552a(k)(2) to the extent               All comments submitted in response to
                                                RECORDS:
                                                                                                        the system of records consists of                     this Notice will become a matter of
                                                  These records are stored in a variety                 investigatory material compiled for law               public record. Therefore, you should
                                                of media, primarily consisting of file                  enforcement purposes, other than                      submit only information that you wish
                                                folders, and computer storage                           material within the scope of the                      to make publicly available.
                                                equipment.                                              exemption at 5 U.S.C. 552a(j)(2). These               FOR FURTHER INFORMATION CONTACT: If
                                                POLICIES AND PRACTICES FOR RETRIEVAL OF
                                                                                                        exemptions are contained in 45 CFR                    you wish to submit general questions
                                                RECORDS:                                                part 613.                                             about the proposed new system of
                                                  The records are retrieved by the                                                                            records NSF–76, please contact Dorothy
                                                                                                        HISTORY:
                                                names of individuals involved in the                                                                          Aronson, Acting Senior Agency Official
                                                                                                          69 FR 29703 (June 2, 1999).                         for Privacy, at daronson@nsf.gov.
                                                investigation or by a unique control
                                                number assigned to each investigation.                    Dated: February 12, 2018.                           SUPPLEMENTARY INFORMATION: The new
                                                                                                        Suzanne H. Plimpton,                                  system of records, NSF–76 Account
                                                POLICIES AND PRACTICES FOR RETENTION AND                                                                      Registration and Management, will
                                                                                                        Reports Clearance Officer, National Science
                                                DISPOSAL OF RECORDS:                                                                                          contain records from a new centralized
                                                                                                        Foundation.
                                                  The Investigative Files are retained in               [FR Doc. 2018–03147 Filed 2–14–18; 8:45 am]           and streamlined account registration
                                                accordance with OIG’s records retention                 BILLING CODE 7555–01–P                                process that NSF is transitioning
                                                schedule.                                                                                                     towards to provide each user a single
                                                                                                                                                              profile with a unique identifier to be
                                                ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
                                                SAFEGUARDS:                                             NATIONAL SCIENCE FOUNDATION                           used across NSF systems. The new
                                                                                                                                                              account management functionality
                                                  The paper records are kept in OIG                     Privacy Act of 1974; System of                        allows users to maintain their own
                                                offices within limited access areas of the              Records                                               account profiles, including personal
                                                National Science Foundation during
                                                                                                                                                              information, and request roles to access
                                                duty hours, and in locked offices at all                AGENCY:  National Science Foundation.                 NSF systems. It will also provide
                                                other times. Passwords are required to                  ACTION:Notice of a New System of                      administrators the ability to manage
                                                access the computer storage equipment.                  Records.                                              roles for their organizations through a
                                                RECORD ACCESS PROCEDURES:                                                                                     dashboard with functions to approve,
                                                                                                        SUMMARY:    The National Science                      disapprove, and assign roles for their
                                                   The major part of this system is                     Foundation (NSF) is creating a new
                                                exempted from this requirement                                                                                organizations.
                                                                                                        system of records: NSF–76 Account
                                                pursuant to 5 U.S.C. 552a(j)(2) or –(k)(2).             Registration and Management. This new                 SYSTEM NAME AND NUMBER
                                                To the extent that this system of records               system of records will contain records
                                                is not subject to exemption, it is subject                                                                     Account Registration and
                                                                                                        from a new centralized and streamlined                Management Records, NSF–76.
                                                to access. A determination as to                        account registration process that NSF is
                                                exemption shall be made at the time a                   transitioning towards to provide each                 SECURITY CLASSIFICATION:
                                                request for access is received. Access                  user with a single profile and unique                    Unclassified.
                                                requests must be sent to the Privacy Act                identifier to be used across NSF
                                                Officer in accordance with procedures                                                                         SYSTEM LOCATION:
                                                                                                        systems.
                                                found at 45 CFR part 613.                                                                                       The National Science Foundation,
                                                                                                        DATES:  Persons wishing to comment on
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                                                                                                                                                              2415 Eisenhower Ave., Alexandria, VA
                                                CONTESTING RECORD PROCEDURES:                           the changes set out in this notice may                22314.
                                                   The major part of this system is                     do so on or before March 19, 2018.
                                                exempted from this requirement                             Applicable Date: This action will be               SYSTEM MANAGER(S):
                                                pursuant to 5 U.S.C. 552a(j)(2) or –(k)(2).             effective without further notice on                     Division Director, Division of
                                                To the extent that this system of records               March 19, 2018 unless modified by                     Information Systems, 2415 Eisenhower
                                                is not subject to exemption, it is subject              subsequent notice to incorporate                      Ave., Alexandria, VA 22314. Phone:
                                                to contest. A determination as to                       comments received from the public.                    (703) 292–8150.


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Document Created: 2018-02-15 00:21:16
Document Modified: 2018-02-15 00:21:16
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice of a modified system of records.
DatesSections 552a(e)(4) and (11) of Title 5 of the U.S. Code require that the public have thirty days to comment on the routine uses of systems of records. The new routine uses that are the subject of this notice will take effect 30 days after publication in the Federal Register, unless modified by a subsequent notice to incorporate comments received from the public.
ContactDorothy Aronson, Acting Senior Agency Official for Privacy, Office of Information and Resource Management, National Science Foundation, 2415 Eisenhower Ave., Alexandria, VA 22314, or [email protected]
FR Citation83 FR 6882 

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