83 FR 6885 - Privacy Act of 1974; System of Records

NATIONAL SCIENCE FOUNDATION

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

Page Range		6885-6887
FR Document		2018-03155

The system of records Suspension, Debarment, and Research Misconduct Files NSF-55, contains records about persons considered for government-wide suspension, debarment, and/or research misconduct determination. The National Science Foundation (NSF) is proposing to add one new routine use and an additional statute in the authority section of this system of records.

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

[Federal Register Volume 83, Number 32 (Thursday, February 15, 2018)]
[Notices]
[Pages 6885-6887]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-03155]


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NATIONAL SCIENCE FOUNDATION


Privacy Act of 1974; System of Records

AGENCY: National Science Foundation.

ACTION: Notice of a modified system of records.

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SUMMARY: The system of records Suspension, Debarment, and Research 
Misconduct Files NSF-55, contains records about persons considered for 
government-wide suspension, debarment, and/or research misconduct 
determination. The National Science Foundation (NSF) is proposing to 
add one new routine use and an additional statute in the authority 
section of this system of records.

DATES: Persons wishing to comment on the changes set out in this notice 
may do so on or before March 19, 2018.
    This action will be applicable without further notice on March 19, 
2018 unless

[[Page 6886]]

modified by 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 Avenue, Alexandria, VA 22314.
    Instructions: NSF will post all comments on the NSF's website 
(https://www.nsf.gov/policies/privacy_act.jsp). All comments submitted 
in response to this Notice will become a matter of public record. 
Therefore, you should submit only information that you wish to make 
publicly available.

FOR FURTHER INFORMATION CONTACT: If you wish to submit general 
questions about the proposed new routine use for NSF-55, please contact 
Dorothy Aronson, Acting Senior Agency Official for Privacy, at 
[email protected] or 703-292-8004.

SUPPLEMENTARY INFORMATION: Consistent with the American Innovation and 
Competitiveness Act, Public Law 114-329, NSF is proposing to modify the 
system by adding a new routine use that will allow NSF to notify other 
Federal science agencies of findings of research misconduct. In 
addition, the American Innovation and Competitiveness Act is being 
added to the ``authority for maintenance of the system'' section of the 
system of records notice.

SYSTEM NAME AND NUMBER
    Suspension, Debarment, and Research Misconduct Files, NSF-55.

Security Classification:
    None.

System Location:
    National Science Foundation headquarters, Virginia.

System Manager(s):
    General Counsel, Office of the General Counsel, NSF headquarters, 
Virginia.

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), 2 CFR 180.800; 
45 CFR part 689; and E.O. 12549 (February 18, 1986); American 
Innovation and Competitiveness Act, Pub. L. 114-329.

Purpose(s) of the System:
    Information contained in this system of records is used to protect 
the federal government from the actions prohibited under applicable 
suspension, debarment, and research misconduct regulations; make 
decisions regarding suspension, debarment, and research misconduct; 
ensure that other federal agencies give effect to suspension, 
debarment, and research misconduct decisions rendered by NSF; and to 
ensure that NSF gives effect to suspension, debarment, and research 
misconduct decisions rendered by other Federal agencies.

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 research misconduct proceedings.

Categories of Records in the System:
    Case files for persons considered for suspension, debarment or 
research misconduct; communications between the NSF and the respondent; 
interagency and intra-agency communications regarding proposed or 
completed suspensions, debarments, or research misconduct; 
investigative files; witness statements and affidavits; staff working 
papers; testimony transcripts; hearing exhibits; and records of any 
findings.

Record Source Categories:
    Federal, state, and local agency officials; the NSF Office of the 
Inspector General; private persons; and respondents and their legal 
representatives.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and Purposes of Such Uses:
    NSF standard routine uses apply. In addition, information may be 
disclosed to:
    (1) The General Services Administration (GSA) to compile and 
maintain the System for Award Management.
    (2) A federal agency involved in suspension, debarment or research 
misconduct actions involving the same person.
    (3) A federal, state, or local government agency to the extent 
necessary to allow NSF to obtain information maintained by those 
agencies in connection with a suspension, debarment, or research 
misconduct action.
    (4) Other persons involved in or affected by a suspension, 
debarment, or research misconduct actions, including witnesses, awardee 
institutions, to support NSF objectives.
    (5) A federal, state, local government agency, federal contractor, 
or grantee, for the purpose of verifying the identity of an individual 
NSF has suspended, debarred, or imposed actions upon pursuant to an 
administrative agreement or research misconduct determination.
    (6) Other Federal science agencies upon a finding that research 
misconduct has occurred. For purposes of this section ``Federal science 
agencies'' consists of the following agencies or agency components:
    (a) National Aeronautics & Space Administration.
    (b) Environmental Protection Agency.
    (c) Department of Health & Human Services--National Institutes of 
Health.
    (d) Department of the Interior--U.S. Geological Survey.
    (e) Department of Energy--Office of Science.
    (f) Department of Commerce--National Institute of Standards and 
Technology, National Oceanic & Atmospheric Administration.
    (g) Department of Agriculture--Agricultural Research Service, 
National Institute of Food and Agriculture, National Agricultural 
Statistics Services.
    (h) Department of Defense.
    (i) Department of Homeland Security--Directorate of Science and 
Technology, Domestic Nuclear Detection Office.
    (j) Department of Transportation--Federal Highway Administration, 
Federal Aviation Administration.
    (k) Department of Veteran Affairs.

Policies and Practices for Storage of Records:
    Records are stored in paper and/or on electronic digital media.

Policies and Practices for Retrieval of Records:
    Records are retrieved by the name of the person and/or entity being 
considered for suspension, debarment, or a finding of research 
misconduct.

Policies and Practices for Retention and Disposal of Records:
    Records are maintained and disposed of in accordance with NARA 
approved record schedules.

Administrative, Technical, and Physical Safeguards:
    Records are protected by administrative, technical, and physical 
safeguards administered by NSF.

[[Page 6887]]

Record Access Procedures:
    Follow the Requesting Access to Records procedures found at 45 CFR 
part 613.

Contesting Record Procedures:
    Follow the procedures found at 45 CFR part 613.

Notification Procedures:
    Follow the procedures found at 45 CFR part 613.

Exemptions Promulgated for the System:
    In accordance with 5 U.S.C. 552a(k)(2), investigative material in 
this system of records compiled for law enforcement purposes is exempt 
from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) 
of 5 U.S.C. 552a, provided, however, that if any individual is denied 
any right, privilege, or benefit that he or she would otherwise be 
entitled to by federal law, or for which he or she would otherwise be 
eligible, as a result of the maintenance of these records, such 
material shall be provided to the individual, except to the extent that 
the disclosure of the material would reveal the identity of a source 
who furnished information to the government with an express promise 
that the identity of the source would be held in confidence.

History:
    An amendment to this system of records notice was last published in 
the Federal Register on June 10, 2016, 81 FR 37645-37654.

    Dated: February 12, 2018.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2018-03155 Filed 2-14-18; 8:45 am]
BILLING CODE 7555-01-P

Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices 6885

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: as part of award administration and to reference to rules of access that are
42 U.S.C. 1870; 44 U.S.C. 3101. facilitate collaboration between and defined by attributes and policies.
among individuals, organizations and NSF uses the capabilities of a Trusted
PURPOSE(S) OF THE SYSTEM: internet Connections (TIC) compliant
collaborators.
(1) To provide a centralized (3) NSF partners and affiliates to carry provider for routing agency network
registration system for individuals that out studies for or to otherwise assist traffic and uses the federally provided
can be used to register and select role(s) NSF with program management, intrusion detection system (IDS),
necessary for use of NSF systems. evaluation, or reporting. including advanced continuous
(2) To provide a dashboard for monitoring and risk management
administrators to easily manage NSF POLICIES AND PRACTICES FOR STORAGE OF analysis. NSF has a well-established
system roles for their organizations. RECORDS:
computer security incident response
(3) To provide demographic data that Records are stored on electronic program. NSF’s incident response
NSF may track over time in order to digital media. procedures include a strong digital
review and evaluate NSF programs. forensics capability to investigate and
(4) To provide data that may be used POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
review data and identify relevant
to pre-populate forms and databases for evidence and malicious activity.
users. This functionality will facilitate Records are retrieved by the
proposal submission, reviewer activities registrant’s name, email, or NSF RECORD ACCESS PROCEDURES:
and other user functions. identifier (NSF ID). Follow the Requesting Access to
(5) To provide data that may be used Records procedures found at 45 CFR
POLICIES AND PRACTICES FOR RETENTION AND
for internal NSF compliance with DISPOSAL OF RECORDS:
part 613.
applicable laws and policies, and
conflict of interest management. Data collected and maintained CONTESTING RECORD PROCEDURES:

(6) To provide data that may be used pursuant to this System of Records is Follow the procedures found at 45
for NSF selection and management of governed by one of the following CFR part 613.
reviewers as well as related merit records retention schedules:
NOTIFICATION PROCEDURES:
review functions. Grant and Contract Records Schedule
N1–307–88–2 Follow the procedures found at 45
CATEGORIES OF INDIVIDUALS COVERED BY THE Fellowship Records Schedule NC1– CFR part 613.
SYSTEM:
307–82–1 EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Individuals who register with NSF Declined and Withdrawn Proposal None.
and receive an NSF identifier (NSF ID) Case Files NSF Records Schedule NC1–
for accessing NSF systems to engage in 307–77–1/1 HISTORY:
a range of activities with the agency. This is a new system of records and
These activities may include: proposal ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
has not been previously published in
preparation and submission; proposal SAFEGUARDS:
the Federal Register.
review activities; organizational account The National Science Foundation’s IT
Dated: February 12, 2018.
management activities; and fellowship Security and Privacy program includes
and award activities. policies, plans, training, and technical Suzanne H. Plimpton,
safeguards to protect sensitive Reports Clearance Officer, National Science
CATEGORIES OF RECORDS IN THE SYSTEM: Foundation.
information, which includes personally
Registration information, including: identifiable information (PII). NSF [FR Doc. 2018–03145 Filed 2–14–18; 8:45 am]
name; email; phone number; ORCID routinely reviews PII in IT systems in BILLING CODE 7555–01–P
digital identifier; and organization addition to monitoring the many
affiliation(s). controls in place to assure that PII is
appropriately protected. NSF’s major NATIONAL SCIENCE FOUNDATION
RECORD SOURCE CATEGORIES:
applications and general support
Individuals who register with NSF to Privacy Act of 1974; System of
systems are assessed and authorized by
obtain an NSF identification number. Records
NSF’s continuous monitoring and
ROUTINE USES OF RECORDS MAINTAINED IN THE ongoing authorization program. The AGENCY: National Science Foundation.
SYSTEM, INCLUDING CATEGORIES OF USERS AND authorization process requires a ACTION: Notice of a modified system of
PURPOSES OF SUCH USES: thorough security and privacy control records.
NSF standard routine uses apply. NSF review.
standard routine uses were last All NSF systems are covered by a SUMMARY: The system of records
published in full in the Federal Register system security plan, and major Suspension, Debarment, and Research
on December 22, 2014. 79 FR 76398–02, applications and general support Misconduct Files NSF–55, contains
2014. The NSF standard routine uses systems are authorized to operate. records about persons considered for
can also be found on the NSF web page Applications and devices hosted on the government-wide suspension,
at www.NSF.gov/privacy. In addition to NSF network are subjected to extensive debarment, and/or research misconduct
the standard routine uses, information vulnerability scanning and compliance determination. The National Science
may be disclosed to: checking against standard security Foundation (NSF) is proposing to add
configurations. Robust virus protection one new routine use and an additional
sradovich on DSK3GMQ082PROD with NOTICES

(1) Other federal, state, local
government agency, or third parties capabilities, anti-malware, and network statute in the authority section of this
needing information regarding intrusion detection and prevention system of records.
registrations to coordinate programs or devices provide 24/7 protection against DATES: Persons wishing to comment on
policy. external threats. NSF’s strong access the changes set out in this notice may
(2) Individual or organizational grant controls ensure that resources are made do so on or before March 19, 2018.
applicants, grantee organizations, and available only to authorized users, This action will be applicable without
collaborators to provide or obtain data programs, processes or systems by further notice on March 19, 2018 unless

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6886 Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices

modified by subsequent notice to Regulation (FAR), 2 CFR 180.800; 45 agencies in connection with a
incorporate comments received from the CFR part 689; and E.O. 12549 (February suspension, debarment, or research
public. 18, 1986); American Innovation and misconduct action.
ADDRESSES: You may submit comments, Competitiveness Act, Pub. L. 114–329. (4) Other persons involved in or
identified by [docket number and/or affected by a suspension, debarment, or
PURPOSE(S) OF THE SYSTEM:
RIN number ___], by any of the research misconduct actions, including
following methods: Information contained in this system witnesses, awardee institutions, to
• Federal eRulemaking Portal: http:// of records is used to protect the federal support NSF objectives.
www.regulations.gov. Follow the government from the actions prohibited (5) A federal, state, local government
instructions for submitting comments. under applicable suspension, agency, federal contractor, or grantee,
• Email: The Acting Senior Agency debarment, and research misconduct for the purpose of verifying the identity
Official for Privacy, Dorothy Aronson, at regulations; make decisions regarding of an individual NSF has suspended,
daronson@nsf.gov. Include [docket suspension, debarment, and research debarred, or imposed actions upon
number and/or RIN number ___] in the misconduct; ensure that other federal pursuant to an administrative agreement
subject line of the message. agencies give effect to suspension, or research misconduct determination.
• Mail: Dorothy Aronson, Acting debarment, and research misconduct (6) Other Federal science agencies
Senior Agency Official for Privacy, decisions rendered by NSF; and to upon a finding that research misconduct
Office of Information and Resource ensure that NSF gives effect to has occurred. For purposes of this
Management, National Science suspension, debarment, and research section ‘‘Federal science agencies’’
Foundation, 2415 Eisenhower Avenue, misconduct decisions rendered by other consists of the following agencies or
Alexandria, VA 22314. Federal agencies. agency components:
Instructions: NSF will post all (a) National Aeronautics & Space
CATEGORIES OF INDIVIDUALS COVERED BY THE
comments on the NSF’s website (https:// Administration.
SYSTEM:
www.nsf.gov/policies/privacy_act.jsp). (b) Environmental Protection Agency.
Persons, including applicants for NSF (c) Department of Health & Human
All comments submitted in response to grants and contracts, NSF grantees, Services—National Institutes of Health.
this Notice will become a matter of contractors, and principal investigators, (d) Department of the Interior—U.S.
public record. Therefore, you should who are the subject of suspension, Geological Survey.
submit only information that you wish debarment, or research misconduct (e) Department of Energy—Office of
to make publicly available. proceedings. Science.
FOR FURTHER INFORMATION CONTACT: If (f) Department of Commerce—
you wish to submit general questions CATEGORIES OF RECORDS IN THE SYSTEM:
National Institute of Standards and
about the proposed new routine use for Case files for persons considered for Technology, National Oceanic &
NSF–55, please contact Dorothy suspension, debarment or research Atmospheric Administration.
Aronson, Acting Senior Agency Official misconduct; communications between (g) Department of Agriculture—
for Privacy, at daronson@nsf.gov or the NSF and the respondent; Agricultural Research Service, National
703–292–8004. interagency and intra-agency Institute of Food and Agriculture,
SUPPLEMENTARY INFORMATION: Consistent communications regarding proposed or National Agricultural Statistics Services.
with the American Innovation and completed suspensions, debarments, or (h) Department of Defense.
Competitiveness Act, Public Law 114– research misconduct; investigative files; (i) Department of Homeland
329, NSF is proposing to modify the witness statements and affidavits; staff Security—Directorate of Science and
system by adding a new routine use that working papers; testimony transcripts; Technology, Domestic Nuclear
will allow NSF to notify other Federal hearing exhibits; and records of any Detection Office.
science agencies of findings of research findings. (j) Department of Transportation—
misconduct. In addition, the American Federal Highway Administration,
RECORD SOURCE CATEGORIES:
Innovation and Competitiveness Act is Federal Aviation Administration.
Federal, state, and local agency (k) Department of Veteran Affairs.
being added to the ‘‘authority for
officials; the NSF Office of the Inspector
maintenance of the system’’ section of POLICIES AND PRACTICES FOR STORAGE OF
General; private persons; and
the system of records notice. RECORDS:
respondents and their legal
representatives. Records are stored in paper and/or on
SYSTEM NAME AND NUMBER electronic digital media.
ROUTINE USES OF RECORDS MAINTAINED IN THE
Suspension, Debarment, and Research SYSTEM, INCLUDING CATEGORIES OF USERS AND POLICIES AND PRACTICES FOR RETRIEVAL OF
Misconduct Files, NSF–55. PURPOSES OF SUCH USES: RECORDS:

NSF standard routine uses apply. In Records are retrieved by the name of
SECURITY CLASSIFICATION: the person and/or entity being
addition, information may be disclosed
None. to: considered for suspension, debarment,
(1) The General Services or a finding of research misconduct.
SYSTEM LOCATION:
Administration (GSA) to compile and
National Science Foundation POLICIES AND PRACTICES FOR RETENTION AND
maintain the System for Award DISPOSAL OF RECORDS:
headquarters, Virginia.
Management. Records are maintained and disposed
sradovich on DSK3GMQ082PROD with NOTICES

SYSTEM MANAGER(S): (2) A federal agency involved in of in accordance with NARA approved
General Counsel, Office of the General suspension, debarment or research record schedules.
Counsel, NSF headquarters, Virginia. misconduct actions involving the same
person. ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (3) A federal, state, or local SAFEGUARDS:
Section 11(a), National Science government agency to the extent Records are protected by
Foundation Act of 1950, as amended, 42 necessary to allow NSF to obtain administrative, technical, and physical
U.S.C. 1870(a); Federal Acquisition information maintained by those safeguards administered by NSF.

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Document Created: 2018-02-15 00:21:15
Document Modified: 2018-02-15 00:21:15

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of a modified system of records.
Dates		Persons wishing to comment on the changes set out in this notice may do so on or before March 19, 2018.
Contact		If you wish to submit general questions about the proposed new routine use for NSF-55, please contact Dorothy Aronson, Acting Senior Agency Official for Privacy, at [email protected] or 703-292-8004.
FR Citation		83 FR 6885