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

NATIONAL SCIENCE FOUNDATION

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

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, 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 [email protected]. 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 [email protected].

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]
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