Notice2021-24487
Privacy Act of 1974; System of Records
Primary source
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Published
November 9, 2021
Issuing agencies
National Science Foundation
Abstract
The National Science Foundation (NSF) is creating a new system of records: NSF-77 Data Analytics Application Suite. This system is a vital step in NSF's commitment to maintaining U.S. leadership across all fields of science, technology, engineering, mathematics (STEM), and STEM education, and doing so with efficiency, openness, and transparency. The new system of records will aggregate, link, and analyze information reported by individuals and organizations participating in NSF-supported activities along with published information related to the research enterprise. More comprehensive information on NSF-funded research outcomes and the STEM workforce will advance NSF's understanding of its return on investments and the evolution of the scientific landscape. This system will also enable NSF to uphold the scientific community's core values of openness, transparency, honesty, equity, fair competition, and objectivity.
Full Text
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<title>Federal Register, Volume 86 Issue 214 (Tuesday, November 9, 2021)</title>
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[Federal Register Volume 86, Number 214 (Tuesday, November 9, 2021)]
[Notices]
[Pages 62217-62219]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-24487]
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NATIONAL SCIENCE FOUNDATION
Privacy Act of 1974; System of Records
AGENCY: National Science Foundation.
ACTION: Notice of a new system of records.
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SUMMARY: The National Science Foundation (NSF) is creating a new system
of records: NSF-77 Data Analytics Application Suite. This system is a
vital step in NSF's commitment to maintaining U.S. leadership across
all fields of science, technology, engineering, mathematics (STEM), and
STEM education, and doing so with efficiency, openness, and
transparency. The new system of records will aggregate, link, and
analyze information reported by individuals and organizations
participating in NSF-supported activities along with published
information related to the research enterprise. More comprehensive
information on NSF-funded research outcomes and the STEM workforce will
advance NSF's understanding of its return on investments and the
evolution of the scientific landscape. This system will also enable NSF
to uphold the scientific community's core values of openness,
transparency, honesty, equity, fair competition, and objectivity.
DATES: Persons wishing to comment on the changes set out in this notice
may do so on or before December 9, 2021.
Effective Date: This action will be effective without further
notice on December 9, 2021 unless modified by subsequent notice to
incorporate comments received from the public.
ADDRESSES: You may submit comments, identified by [INSERT DOCKET
NUMBER] by any of the following methods:
<bullet> Federal eRulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Email: The Chief Data Officer, Dorothy Aronson, at
<a href="/cdn-cgi/l/email-protection#bbdfdac9d4d5c8d4d5fbd5c8dd95dcd4cd"><span class="__cf_email__" data-cfemail="c9ada8bba6a7baa6a789a7baafe7aea6bf">[email protected]</span></a>. Include [INSERT DOCKET NUMBER] in the subject line of
the message.
<bullet> Mail: Dorothy Aronson, Chief Data Officer, Office of
Information and Resource Management, National Science Foundation, 2415
Eisenhower Ave., Alexandria, VA 22331.
Instructions: NSF will post all comments on the NSF's website
(<a href="https://www.nsf.gov/policies/privacy_act.jsp">https://www.nsf.gov/policies/privacy_act.jsp</a>). 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 system of records NSF-77, please
contact Dorothy Aronson, Chief Data Officer, at <a href="/cdn-cgi/l/email-protection#fe9a9f8c91908d9190be908d98d0999188"><span class="__cf_email__" data-cfemail="e58184978a8b968a8ba58b9683cb828a93">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: As part of the current proposal review and
funding process, Principal Investigators (PIs) and other senior
personnel already provide their biographic information (``Biographical
Sketch''), Current and Pending Support information, and Collaborator
and Other Affiliation information in their proposal submissions to NSF.
PIs are also required to submit annual project reports describing
funded activities. These researcher-supplied details would be matched
to scientific literature from scientific journals along with public
information on patent grants supplied by the U.S. Patent Office
(USPTO).
SYSTEM NAME AND NUMBER:
Data Analytics Application Suite, NSF-77.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
National Science Foundation; 2415 Eisenhower Ave.; Alexandria, VA
22314.
SYSTEM MANAGER(S):
The Data Analytics Application Suite will be overseen by the Chief
Data Officer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Data Analytics Application Suite is critical for NSF to
appropriately collect, combine, and utilize information obtained from
individuals who interact with NSF and information that is publicly
available to meet NSF's analysis and evaluation requirements consistent
with the following Executive Order and laws: Foundations for Evidence-
Based Policymaking Act of 2018 Evidence (44 U.S.C. 3520); Federal Data
Strategy (OMB, Memorandum 19-18, 19-23); Restoring Trust in Government
Through Scientific Integrity and Evidence-Based Policymaking (EOP, 86
FR 8845); National Defense Authorization Act FY20 (Pub. L. 116-92 Sec.
1746); and the National Science Foundation Act of 1950 (Pub. L. 507-
81).
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to enhance NSF's capabilities to
collect and analyze data about the scientific research enterprise
(participants, outputs, and outcomes) to better assess the
effectiveness of NSF's programs and inform funding and policy
decisions.
This mission-critical challenge requires gold standard data and
analytic techniques such as bibliometrics and network analysis that
build upon pre-existing information provided by individuals who
interact with NSF, as described in SORNs NSF-12, NSF-50, NSF-51, and
NSF-59. These systems collect proposal, participant, fellowship, and
reviewer information, and can be paired in the Data Analytics
Application Suite with public publication records, patent information,
co-author connections and other related information (see categories).
Such pairing of information is necessary for NSF to understand on an
organizational, national, and global level the outcomes of its grants
to the research community.
[[Page 62218]]
Information collected in the Data Analytics Application Suite may
be utilized for the following purposes:
(1) To empower NSF's portfolio management and merit review process
by providing program officers and leadership with analytics tools that
enhance their understanding of existing decision criteria, PI capacity
and potential overlap/duplication of proposals and awards.
(2) To evaluate impact and return on investment of awards.
(3) To provide necessary analyses for strategic priorities such as
science and research integrity, security, equity, and partnerships.
(4) To understand the dynamics of the global scientific landscape,
explore opportunities for investment and collaboration, and inform
research conducted for NSF.
(5) To support NSF's function as a leading federal agency for
graduate student funding by tracking career development, mentorship,
and outcomes of education grants and other training activities.
(6) To merge internal data to facilitate agency organizational
efficiency and portfolio analysis.
(7) To identify inconsistencies in information reported by
individuals to NSF related to submitted proposals, terms and
conditions, and project reports of an NSF award or other funding
opportunity.
(8) To inform pre-onboarding and onboarding evaluations of NSF
staff. For the purpose of this SORN, `staff' applies to NSF employees,
contractors, Intergovernmental Personnel Act (IPA) assignees, and
Visiting Scientists, Engineers, and Educators (VSEEs), as well as
fellows and interns.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The system will include information on the following groups of
individuals: PIs and senior personnel submitting proposals to NSF;
graduate students, postdoctoral researchers and undergraduate students
who have either participated in NSF funded research, or received
funding from NSF; fellows funded by NSF; researchers who have published
academic articles or other related material in the public domain;
individuals who publish media related to science and technology;
individuals who publicly report work and titles in science and
technology related sectors (industry, non-profits, education,
governments).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records will be collected to connect NSF proposals, award, and
participant information to dimensions including publication record and
career development. Combined, the Data Analytics Application Suite will
include the following: Proposal and award information; annual and final
project reports; research participants supported under NSF grants;
research articles, conference presentations, reviews, protocols,
datasets, and other DOI-citable S&T materials created by the author;
co-author connections; citations of other papers present in the
author's publications as well as citations of the item by future
publications; funded awards from other agencies that have supported the
author's work; patents filed; job positions and titles obtained, as
displayed in public platforms; undergraduate, graduate and postdoctoral
training; academic, professional and institutional appointments;
mainstream articles and other media sources; publication content
(abstract, grant acknowledgement, etc.)
RECORD SOURCE CATEGORIES:
Proposal and fellowship Information is supplied by individuals at
time of proposal submission. In the case of awardees, updates are
submitted annually to NSF in the form of annual and final project
reports. Publication and patent information published by PIs will be
obtained from third parties that compile related public information.
Such resources include, but are not limited to, Clarivate (Web of
Science), Elsevier (Scopus), Dimensions, USPTO, PubMed, arxiv
databases, ORCID, and Google Scholar.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The following NSF standard routine uses apply:
1. Members of Congress. Information from a system may be disclosed
to congressional offices in response to inquiries from the
congressional offices made at the request of the individual to whom the
record pertains.
2. Freedom of Information Act/Privacy Act Compliance. Information
from a system may be disclosed to the Department of Justice or the
Office of Management and Budget in order to obtain advice regarding
NSF's obligations under the Freedom of Information Act and the Privacy
Act.
3. Counsel. Information from a system may be disclosed to NSF's
legal representatives, including the Department of Justice and other
outside counsel, where the agency is a party in litigation or has an
interest in litigation, including when any of the following is a party
to litigation or has an interest in such litigation: (a) NSF, or any
component thereof; (b) any NSF employee in his or her official
capacity; (c) any NSF employee in his or her individual capacity, where
the Department of Justice has agreed to, or is considering a request
to, represent the employee; or (d) the United States, where NSF
determines that litigation is likely to affect the agency or any of its
components.
4. National Archives, General Services Administration. Information
from a system may be disclosed to representatives of the General
Services Administration and the National Archives and Records
Administration (NARA) during the course of records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
5. Response to an Actual or Suspected Compromise or Breach of
Personally Identifiable Information. Information from a system may be
disclosed to appropriate agencies, entities, and persons when (a) NSF
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) NSF has
determined that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity
theft or fraud, or harm to the security or integrity of this system or
other systems or programs (whether maintained by NSF or another agency
or entity) that rely upon the compromised information; and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist with NSF's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
6. Courts. Information from a system may be disclosed to the
Department of Justice or other agencies in the event of a pending court
or formal administrative proceeding, when records are relevant to that
proceeding, for the purpose of representing the government, or in the
course of presenting evidence, or they may be produced to parties or
counsel involved in the proceeding in the course of pre-trial
discovery.
7. Contractors. Information from a system may be disclosed to
contractors, agents, experts, consultants, or others performing work on
a contract, service, cooperative agreement, job, or other activity for
NSF and who have a need to access the information in the performance of
their duties or activities for NSF.
8. Audit. Information from a system may be disclosed to government
[[Page 62219]]
agencies and other entities authorized to perform audits, including
financial and other audits, of the agency and its activities.
9. Law Enforcement. Information from a system may be disclosed to
appropriate federal, state, or local agencies responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule,
regulation, or order, to disclose pertinent information when NSF
becomes aware of an indication of a violation or potential violation of
civil or criminal law or regulation.
10. Disclosure When Requesting Information. Information from a
system may be disclosed to federal, state, or local agencies which
maintain civil, criminal, or other relevant enforcement information or
other pertinent information, such as current licenses, if necessary, to
obtain information relevant to an agency decision concerning the hiring
or retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant, or other
benefit.
11. To the news media and the public when: (1) A matter has become
public knowledge, (2) the NSF Office of the Director determines that
disclosure is necessary to preserve confidence in the integrity of NSF
or is necessary to demonstrate the accountability of NSF's officers,
employees, or individuals covered by this system, or (3) the Office of
the Director determines that there exists a legitimate public interest
in the disclosure of the information, except to the extent that the
Office of the Director determines in any of these situations that
disclosure of specific information in the context of a particular case
would constitute an unwarranted invasion of personal privacy.
12. Information obtained from the system that demonstrate a
potential inconsistency with NSF's disclosure requirements for
submitted proposals, terms and conditions of an NSF award, and project
reports, may be shared with the organizations that submitted the
proposal to cross-reference and verify information.
13. Information obtained from the system that demonstrate an
inconsistency with NSF's disclosure requirements for submitted
proposals, terms and conditions of an award, and project reports, may
be disclosed to appropriate federal agencies to inform efforts related
to national and research security. This includes law enforcement,
security, and intelligence agencies, or relevant agency components.
This includes OIG, FBI, CIA, DOD, DOJ, DHS, FDA, NSA, DIA, NRO, and
ODNI. Additionally, information may be disclosed to federal agencies
contributing to cross-governmental forums on research security such as
the National Science and Technology Council Subcommittee on Research
Security (OSTP, NIH, DOE, NASA, NIST, NOAA, USGS, FDA, OMB, NSC, USPTO,
EPA, DOT, DoEd, USDA, DOS). All inconsistencies will be verified
according to internal guidelines and review processes. For the purpose
of this routine use, personally identifiable information shared with
agencies will be restricted to information about senior personnel only
and coordinated with the Office of the Inspector General (OIG).
14. Information from the system may be shared with federal science
and technology agencies to improve portfolio management, coordinate
initiatives, and enhance the government's understanding of the
scientific landscape.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored on electronic digital media. NSF proposal
information, product information including publication and patent
information, and Data Analytics Application Suite outputs will be
located on secure NSF servers managed by the Division of Information
Systems (DIS). The storage and integrity of public bibliometric and
patent information is the responsibility of external vendors (e.g.,
Clarivate/Elsevier) and USPTO.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Information of individuals who interact with NSF will be retrieved
by the individual's name, email, persistent identifiers (e.g., ORCID),
or NSF identifier (NSF ID).
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Data will be retained according to the General Records Schedules
1.2, item 030, and 5.6, item 170.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
All data are maintained on NSF internal servers, which are managed
under federal security protocols. The public bibliometric data and
USTPO patent information is also stored in the same security certified
environment.
RECORD ACCESS PROCEDURES:
Individuals seeking to access their record information stored on
the Data Analytics Application Suite are required to follow the
procedures found at 45 CFR part 613.
CONTESTING RECORD PROCEDURES:
Individuals seeking to contest their record information generated
by the Data Analytics Application Suite are required to follow the
procedures found at 45 CFR part 613.
NOTIFICATION PROCEDURES:
Individuals request access or contesting records with the Data
Analytics Application Suite will be notified according to the procures
found at 45 CFR part 613.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
Dated: November 4, 2021.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2021-24487 Filed 11-8-21; 8:45 am]
BILLING CODE 7555-01-P
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