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(3) The contribution to an understanding of the subject by the general public likely to result from disclosure: Whether disclosure of the requested information will contribute to "public understanding'';

(4) The significance of the contribution to public understanding: Whether the disclosure is likely to contribute "significantly" to public understanding of government operations or activities;

(5) The existence and magnitude of a commercial interest: Whether the requester has a commercial interest that would be furthered by the requested disclosure; and, if so

(6) The primary interest in disclosure: Whether the magnitude of the identified commercial interest of the requester is sufficiently large, in comparison with the public interest in disclosure, that disclosure is "primarily in the commercial interest of the requester."

(C) NSF will use U.S. Department of Justice policy guidance in applying the foregoing factors. (52 FR 43076, Nov. 9, 1987)

8613.2 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 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)

PART 613—PRIVACY ACT

REGULATIONS

Sec. 613.1 Purpose and scope. 613.2 Procedures for notification of exist

ence 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. 562a(1).

SOURCE: 40 FR 44510, Sept. 26, 1975, unless otherwise noted.

$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(1). Internal guidance for NSF staff and other regulations implementing the Privacy Act are contained or will be contained in NSF Circulars.

8613.3 Procedures for requests for ac

cess to or disclosure of records per

taining 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 8613.4(e)) within 15 working days; except that if the request for access was not preceded by a notification request as provided in $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 informationEmployment Inquiries and Background In

formation; Applicants to Committee on the Challenges and Modern Society Fellowship Program

(NATO); Confidential Statements of Employment and

Financial Interests;
Congressional Contact Files;
Doctorate Records File;
Earnings and Tax Statements;
Employee Grievance and Appeals File;
Employee Payroll Jackets;

Equal Employment Opportunity Case File;
Fellowship and Traineeship Filing System;
Grants to Individuals;
Health Service Medical Records;
Intergovernmental Personnel Act Assigh-

ment Agreements; Manpower Management Subsystem; Medical Examination Records for Service in

Antarctica; Minority Applicants for Employment; Nominees for and Recipients of the National

Medal of Science; NSF Payroll System; Official Passports; Official Personnel Folders; Presidential Internships in Science and En

gineering; Science Education Participant Information

Subsystem; Separated Employees Service Record (SF7); Student Science Training Program Partici.

pant Information; Time and Attendance Reports; U.S. Antarctic Research Program Personal

Information; U.S. Antarctic Research Program Field Par.

ticipants; Alien Applications for consideration of Waiver of Two-Year Foreign Residence Re

quirements-NSF; Reviewer/Panelist Information Subsystem;

and Nominees for and Recipients of the Alan T.

Waterman Award Nomination File. 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):

-, 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

made pursuant to the Privacy Act. An State of

edited copy of the record showing the On this ___ day of

_, 19_.

desired correction is desirable. Within (Name of Individual)

10 working days of the receipt of a who is personally known to me, did appear

properly addressed request (or within before me and sign the above certificate.

10 working days of the time the Pri

vacy Act Officer becomes aware that a (Signature) particular communication not ad

dressed as prescribed above is a request (Date)

for correction of a record under the (8) My commission expires

Privacy Act), the Privacy Act Officer However, where the record requested is shall acknowledge receipt of the recontained in any of the systems of quest. records listed in paragraph (b) of this (c) The Privacy Act Officer upon the section, the Foundation reserves the receipt of such a request shall promptright to require additional identifica ly confer with the Directorate or office tion and/or to independently verify to within the NSF responsible for the its satisfaction the identity of the re- record. If the Privacy Act Officer finds quéster.

that correction is not warranted in (d) Charges for copies of records will whole or in part, the matter shall be be at the rate of $0.10 per photocopy of brought to the attention of the Inspeceach page. Where records are not sus- tor General, if it pertains to records ceptible to photo-copying, e.g., punch maintained by the Office of Inspector cards, magnetic tapes or oversize mate General, or to the attention of the Genrials, the amount charged will be ac- eral Counsel, if it pertains to other tual cost as determined on a case-by records. If, after review by the General case basis. Only one copy of each Counsel or by the Inspector General record requested will be supplied. No and discussion with the requester if charge will be made unless the charge deemed helpful, it is determined that as computed above would exceed $3.00 correction as requested is not warfor each request or related series of re

ranted, a letter shall be sent by the quests. If a fee in excess of $25.00 would Privacy Act Officer to the requester debe required, the requester shall be noti nying his request and/or explaining fied and the fee must be tendered be what correction might be made if fore the records will be copied.

agreeable to the requester. This letter (e) The procedures of paragraphs (a)

shall set forth the reasons for the rethrough (d) of this section shall also

fusal to honor the request for correcapply to requests made pursuant to 5

tion. It shall also inform him of his U.S.C. 552a(c)(3) that accountings made

right to appeal this decision and inunder 5 U.S.C. 552a(c)(1) be made avail

clude a description of the appeals proable.

cedure set forth in paragraph (d) of this (40 FR 44510, Sept. 26, 1975, as amended at 42

section. Such letter or notification FR 8639, Feb. 11, 1977; 49 FR 37596, Sept. 25, that the desired correction will be 1984; 59 FR 37438, July 22, 1994]

made shall normally be sent within 30

working days of the receipt of a prop$613.4 Correction of records.

erly addressed request (or within 30 (a) Any individual is entitled to re working days of the time the Privacy quest amendments of records pertain Act Officer becomes aware that a paring to him pursuant to 5 U.S.C. ticular communication not addressed 552a(d)(2). Such a request shall be made as prescribed above is a request for corin writing and addressed to the NSF rection of a record under the Privacy Privacy Act Officer, Division of Con- Act). tracts, Policy, and Oversight, National (d) An appeal may be taken from an Science Foundation, 4201 Wilson Boule- adverse determination under paragraph vard, Arlington, VA 22230.

(c) of this section, to the Deputy Direc(b) The request should specify the tor of the Foundation. Such appeal record and systems of records involvedmust be made in writing and should and should specify the exact correction clearly indicate that it is an appeal. desired and state that the request is The basis for the appeal should be in

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).

cluded, 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)

$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 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 oj 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(i)(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.

8613.5 Disclosure of records to agen

cies or persons other than the indi.

vidual 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

552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and tion obtained from a person and privi(I), and (1).

leged or confidential; (40 FR 44510, Sept. 26, 1975, as amended at 53

(5) Is likely to involve accusing any FR 42951, Oct. 25, 1988; 55 FR 12645, Apr. 5,

person of a crime, or formally censur1990)

ing any person;

(6) Is likely to disclose personal inPART 614-GOVERNMENT IN THE formation where the disclosure would SUNSHINE ACT REGULATIONS OF

constitute a clearly unwarranted inva

sion of personal privacy; THE NATIONAL SCIENCE BOARD

(7) Is likely to disclose investigatory

law-enforcement records, or informaSec.

tion which, if written, would be con614.1 General rule. 614.2 Grounds for closing meetings.

tained in such records, but only to the 614.3 Materials relating to closed portions

extent provided in 5 U.S.C. 552b(c)(7); of meetings.

(8) Is likely to disclose information 614.4 Opening of transcript or recording. contained in or related to examination, 614.5 Public announcement.

operating, or condition reports pre614.6 Meeting changes.

pared by, on behalf of, or for the use of 614.7 Record vote.

an agency responsible for the regula614.8 Application to Board Executive Com

tion or supervision of financial institumittee.

tions; AUTHORITY: Government in the Sunshine (9) Is likely to disclose information, Act, sec. 552b of title 5, U.S.C.; 90 Stat. 1241.

the premature disclosure of which SOURCE: 42 FR 14719, Mar. 16, 1977, unless would: otherwise noted.

(i) In the case of information re

ceived from an agency which regulates 8614.1 General rule.

currencies, securities, commodities, or Except as otherwise provided in these financial institutions, be likely to (A) regulations, every portion of every lead to significant financial speculameeting of the National Science Board tion in currencies, securities, or comwill be open to public observation.

modities, or (B) significantly endanger

the stability of any financial institu$614.2 Grounds for closing meetings.

tion; or (a) The National Science Board may (ii) Be likely to significantly frusby record vote close any portion of any trate implementation of a proposed meeting if it properly determines that Foundation action, unless the Foundaan open meeting:

tion has already disclosed to the public (1) Is likely to disclose matters that the content or nature of its proposed (i) are specifically authorized under action or is required by law to make criteria established by Executive Order such disclosure on its own initiative to be kept secret in the interests of na before taking final action; or tional defense or foreign policy and (ii) (10) Is likely to specifically concern are in fact properly classified pursuant the Foundation's participation in a to the Executive Order;

civil action or proceeding, an action in (2) Is likely to relate solely to the in a foreign court or international tributernal personnel rules and practices of nal, or an arbitration. the National Science Foundation;

(b) Anyone who believes his interests (3) Is likely to disclose matters spe may be directly affected by a portion of cifically exempted from disclosure by a meeting may request that the Board statute (other than 5 U.S.C. 552): Pro close it to the public for any reason revided, That the statute (i) requires in ferred to in paragraph (a) (5), (6), or (7) such a manner as to leave no discretion of this section. The request should be on the issue that the matters be with addressed to the Executive Officer, Naheld from the public, or (ii) establishes tional Science Board, National Science particular criteria for withholding or Foundation, 4201 Wilson Boulevard, Arrefers to particular types of matters to lington, VA 22230. It will be circulated be withheld;

to Members of the Board if received at (4) Is likely to disclose trade secrets least three full days before the meetand commercial or financial informa- ing, and on motion of any Member the

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