[Code of Federal Regulations]
[Title 45, Volume 3, Parts 500 to 1199]
[Revised as of October 1, 1997]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR613]
[Page 133-137]
TITLE 45--PUBLIC WELFARE
CHAPTER VI--NATIONAL SCIENCE FOUNDATION
PART 613--PRIVACY ACT REGULATIONS
Sec.
613.1 Purpose and scope.
613.2 Procedures for notification of existence of records pertaining to
individuals.
613.3 Procedures for requests for access to or disclosure of records
pertaining to an individual.
613.4 Correction of records.
613.5 Disclosure of records to agencies or persons other than the
individual to whom the record pertains.
613.6 Exemptions.
Authority: 5 U.S.C. 552a(f).
Source: 40 FR 44510, Sept. 26, 1975, unless otherwise noted.
Sec. 613.1 Purpose and scope.
This part sets forth the National Science Foundation procedures
under the Privacy Act of 1974 as required by 5 U.S.C. 552a(f). Internal
guidance for NSF staff and other regulations implementing the Privacy
Act are contained or will be contained in NSF Circulars.
Sec. 613.2 Procedures for notification of existence of records
pertaining to individuals.
(a) The systems of records, as defined in the Privacy Act of 1974,
maintained by the National Science Foundation are listed annually in the
Federal Register as required by that Act. Any person who wishes to know
whether a system of records contains a record pertaining to him may
either appear in person at the NSF Division of Administrative Services
at 4201 Wilson Boulevard, Arlington, VA, on work days between the hours
of 8:30 a.m. and 5 p.m. or may write to the NSF Privacy Act Officer,
Division of Contracts, Policy, and Oversight, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230, it is
recommended that requests be made in writing, since in many cases it
will take several days to ascertain whether a record exists.
(b) Requests for notification of the existence of a record should
specifically identify the system of records involved and should state,
if the requester is other than the individual to whom the record
pertains, the relationship of the requester to that individual. (Note
that requests will not be honored
[[Page 134]]
by the Foundation pursuant to the Privacy Act unless made (1) by the
individual to whom the record pertains, (2) by such individual's parent
if the individual is a minor, or (3) by such individual's legal guardian
if the individual has been declared to be incompetent due to physical or
mental incapacity or age by a court of competent jurisdiction). In cases
where the NSF Notice of the System appearing in the Federal Register
states that the system location is decentralized the special instruction
in such notice pertaining to ``Notification'' and ``Access'' and
``Content'' must be followed.
(c) The Foundation will attempt to respond to a request as to
whether a record exists within 10 working days from the time it receives
the request or from the time any required identification is established,
whichever is later.
[40 FR 44510, Sept. 26, 1975, as amended at 49 FR 37595, Sept. 25, 1984;
59 FR 37438, July 22, 1994]
Sec. 613.3 Procedures for requests for access to or disclosure of
records pertaining to an individual.
(a) Any person may request review of records pertaining to him by
appearing at the NSF Division of Administrative Services at 4201 Wilson
Boulevard, Arlington, VA on work days between the hours of 8:30 a.m. and
5 p.m. or by writing to the NSF Privacy Act Officer, Division of
Contracts, Policy, and Oversight, National Science Foundation, 4201
Wilson Boulevard, Arlington, VA 22230. (See paragraphs (b) and (c) of
this section, for identification requirements.) The request should
specifically identify the systems of records involved, and the request
should include any special information specified in the notice of the
system under ``Notification'' and ``Access and Contest.'' The Foundation
will strive either to make the record available within 15 working days
of the request or to inform the requester of the need for additional
identification or the tendering of fees (as specified in Sec. 613.4(e))
within 15 working days; except that if the request for access was not
preceded by a notification request as provided in Sec. 613.2, then the
15-day period shall not begin until after such time as it has been
determined that the record exists.
(b) In the case of persons making requests by appearing at the
Foundation the amount of personal identification required will of
necessity vary with the sensitivity of the record involved. Except as
indicated below reasonable identification such as employment
identification cards, drivers licenses, credit cards will normally be
accepted as sufficient evidence of identity in the absence of any
indications to the contrary. Records in the following systems of
records, however, are considered to contain relatively sensitive and/or
detailed personal information--
Accident and Injury Reports (Antarctic)
Alien Applications for Consideration of Waiver of Two-Year Foreign
Residence Requirements
Antarctic Conservation Act Files
Antarctic Service Records
Application and Account for Advance of Funds (SF 1038)
Debarment/Scientific Misconduct Files
Delinquent Debtors File
Dissertation Advisers File
Diving Safety Records (Polar Regions)
Doctorate Records Files
Doctorate Work History File
Earnings and Tax Statement (W-2)
Employee Grievance and Appeals File
Employee Locator Record Card
Employee Payroll Jacket
Fellowship and Other Awards
Fellowship Payroll
Frequent Traveler Profile
Individual Retirement Records
Manpower Management Subsystem
Medical Examination Records for Service in Polar Regions
National Survey of Recent College Graduates and Follow-up File
NSF Payroll System
Officer of Inspector General Investigative Files
Official Passports
P.I./Proposal File and Associated Records
Personnel Security Control Cards
Personnel Tracking System (Antarctic)
Public Transportation Subsidy Program
Radiation Safety Records (Polar Regions)
Reviewer/Fellowship and Other Award File and Associated Records
Reviewer/Proposal File and Associated Records
Science and Technology Centers (STC) Database
Telephone Call Detail Program Records
Time and Attendance Reports
EEOC/GOVT-1, Equal Employment Opportunity in the Federal Government
Complaint and Appeal Records
OGE/GOVT-1, Executive Branch Public Financial Disclosure Reports and
Other Ethics Program Records
[[Page 135]]
OGE/GOVT-2, Confidential Statements of Employment and Financial
Interests
OPM/GOVT-1, General Personnel Records
OPM/GOVT-5, Recruiting, Examining and Placement Records
OPM/GOVT-7, Applicant Race, Sex, National Origin, and Disability
Records.
OPM/GOVT-10, Employee Medical File System of Records
Accordingly, with respect to requests for records in these systems the
Foundation reserves the right to require sufficient identification to
identify positively the individual making the request. This might
involve independent verification by the Foundation as by phone calls to
determine whether an individual has made a request, personal
identification by Foundation employees who know the individual, or such
other means as are considered appropriate under the circumstances.
(c) A written request will be honored only if it contains the
following certification before a duly commissioned notary public of any
state or territory (or similar official if the request is made outside
the United States):
I, ________________________, do hereby certify that I am the
individual about whom the record requested in this letter pertains or
that I am within the class of persons authorized to act on his behalf in
accordance with 5 U.S.C. 552a(h).
_____________________________________________________________
(Signature)
______________________________________________________________
(Date)
In the County of________________________________________________________
State of_______________________________________________________________
On this ______ day of ______________, 19__.
_____________________________________________________________
(Name of Individual)
who is personally known to me, did appear before me and sign the above
certificate.
_____________________________________________________________
(Signature)
______________________________________________________________
(Date)
(S) My commission expires ____________.
However, where the record requested is contained in any of the systems
of records listed in paragraph (b) of this section, the Foundation
reserves the right to require additional identification and/or to
independently verify to its satisfaction the identity of the requester.
(d) Charges for copies of records will be at the rate of $0.10 per
photocopy of each page. Where records are not susceptible to photo-
copying, e.g., punch cards, magnetic tapes or oversize materials, the
amount charged will be actual cost as determined on a case-by-case
basis. Only one copy of each record requested will be supplied. No
charge will be made unless the charge as computed above would exceed
$3.00 for each request or related series of requests. If a fee in excess
of $25.00 would be required, the requester shall be notified and the fee
must be tendered before the records will be copied.
(e) The procedures of paragraphs (a) through (d) of this section
shall also apply to requests made pursuant to 5 U.S.C. 552a(c)(3) that
accountings made under 5 U.S.C. 552a(c)(1) be made available.
[40 FR 44510, Sept. 26, 1975, as amended at 42 FR 8639, Feb. 11, 1977;
49 FR 37596, Sept. 25, 1984; 59 FR 37438, July 22, 1994; 61 FR 51022,
Sept. 30, 1996]
Sec. 613.4 Correction of records.
(a) Any individual is entitled to request amendments of records
pertaining to him pursuant to 5 U.S.C. 552a(d)(2). Such a request shall
be made in writing and addressed to the NSF Privacy Act Officer,
Division of Contracts, Policy, and Oversight, National Science
Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
(b) The request should specify the record and systems of records
involved, and should specify the exact correction desired and state that
the request is made pursuant to the Privacy Act. An edited copy of the
record showing the desired correction is desirable. Within 10 working
days of the receipt of a properly addressed request (or within 10
working days of the time the Privacy Act Officer becomes aware that a
particular communication not addressed as prescribed above is a request
for correction of a record under the Privacy Act), the Privacy Act
Officer shall acknowledge receipt of the request.
(c) The Privacy Act Officer upon the receipt of such a request shall
promptly confer with the Directorate or office within the NSF
responsible for the record. If the Privacy Act Officer finds that
correction is not warranted in whole or in part, the matter shall be
[[Page 136]]
brought to the attention of the Inspector General, if it pertains to
records maintained by the Office of Inspector General, or to the
attention of the General Counsel, if it pertains to other records. If,
after review by the General Counsel or by the Inspector General and
discussion with the requester if deemed helpful, it is determined that
correction as requested is not warranted, a letter shall be sent by the
Privacy Act Officer to the requester denying his request and/or
explaining what correction might be made if agreeable to the requester.
This letter shall set forth the reasons for the refusal to honor the
request for correction. It shall also inform him of his right to appeal
this decision and include a description of the appeals procedure set
forth in paragraph (d) of this section. Such letter or notification that
the desired correction will be made shall normally be sent within 30
working days of the receipt of a properly addressed request (or within
30 working days of the time the Privacy Act Officer becomes aware that a
particular communication not addressed as prescribed above is a request
for correction of a record under the Privacy Act).
(d) An appeal may be taken from an adverse determination under
paragraph (c) of this section, to the Deputy Director of the Foundation.
Such appeal must be made in writing and should clearly indicate that it
is an appeal. The basis for the appeal should be included, and it should
be mailed to the same address as listed in paragraph (a) of this
section. A hearing at the Foundation may be requested. Such hearing will
be informal, and shall be before the Deputy Director or his designee. If
no hearing is requested, the request for appeal should include the basis
for the appeal. Where no hearing is requested the Deputy Director shall
render his decision within thirty working days after receipt of the
written appeal at the Foundation unless the Director, for good cause
shown, extends the 30-day period and the appellant is advised in writing
of such extension. If a hearing is requested, then the Foundation will
attempt to contact the appellant within five working days and arrange a
suitable time for the hearing. In such case the decision of the Deputy
Director shall be made within 30 working days after the hearing unless
the time is extended and the appellant is advised in writing of such
extension.
(e) The final decision of the Deputy Director in an appeal shall be
in writing and, if adverse to the appellant, set forth the reasons for
the refusal to amend the record and advise him of his right to appeal
the decision under 5 U.S.C. 552a(g)(1)(A). The individual shall also be
notified that he has the right to file with the Foundation a concise
statement setting forth the reasons for his disagreement with the
refusal of the Foundation to amend his record.
[40 FR 44510, Sept. 26, 1975, as amended at 42 FR 8639, Feb. 11, 1977;
56 FR 47417, Sept. 19, 1991; 59 FR 37438, July 22, 1994]
Sec. 613.5 Disclosure of records to agencies or persons other than the
individual to whom the record pertains.
Records subject to the Privacy Act that are requested by any person
other than the individual to whom they pertain will not be made
available except under the following circumstances:
(a) Records required to be made available by the Freedom of
Information Act will be released in response to a request formulated in
accordance with NSF regulations found at 45 CFR part 612.
(b) Records not required by the Freedom of Information Act to be
released may be released, at the discretion of the Foundation, if the
written consent of the individual to whom they pertain has been obtained
or if such release would be authorized under 5 U.S.C. 552a(b)(1) or (3)
through (11).
Sec. 613.6 Exemptions.
(a) Fellowships and other support. Pursuant to 5 U.S.C. 552a(k)(5),
the Foundation hereby exempts from the application of 5 U.S.C. 552a(d)
any materials which would disclose the identity of references of
fellowship applicants or reviewers of applicants for Federal contracts
(including grants and cooperative agreements) contained in any of the
following systems of records: (1) Fellowship and Traineeship Filing
System, (2) Applicants to Committee on
[[Page 137]]
the Challenges of Modern Society Fellowship Program (NATO), and (3)
Principal Investigator/Proposal File and Associated Records.
(b) Applicants for Employment. Pursuant to 5 U.S.C. 552a(k)(5), the
Foundation hereby exempts from the application of 5 U.S.C. 552a(d) any
materials which would disclose the identity of references of applicants
for employment at NSF contained in the system of records entitled
``Official Personnel Folders.''
(c) OIG Files Compiled for the Purpose of a Criminal Investigation
and for Related Purposes. Pursuant to 5 U.S.C. 552a(j)(2), the
Foundation hereby exempts the system of records entitled ``Office of
Inspector General Investigative Files,'' insofar as it consists of
information compiled for the purpose of a criminal investigation or for
other purposes within the scope of 5 U.S.C. 552a(j)(2), from the
application of 5 U.S.C. 552a, except for subsections (b), (c)(1) and
(2), (e)(4) (A) through (F), (e)(6), (7), (9), (10) and (11), and (i).
(d) OIG Files Compiled for Other Law Enforcement Purposes. Pursuant
to 5 U.S.C. 552a(k)(2), the Foundation hereby exempts the systems of
records entitled ``Office of Inspector General Investigative Files,''
insofar as it consists of information compiled for law enforcement
purposes other than material within the scope of 5 U.S.C. 552a(j)(2),
from the application of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f).
[40 FR 44510, Sept. 26, 1975, as amended at 53 FR 42951, Oct. 25, 1988;
55 FR 12645, Apr. 5, 1990]