Notice2022-00628
Privacy Act of 1974; System of Records
Primary source
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Published
January 13, 2022
Effective
February 14, 2022
Issuing agencies
Environmental Protection Agency
Abstract
The U.S. Environmental Protection Agency's (EPA) Office of Research and Development (ORD) is giving notice that it proposes to modify a system of records pursuant to the provisions of the Privacy Act of 1974. This system will use SORN EPA-38. EPA-38 will be modified to change the name from Invention Reports to Federal Technology Transfer Act (FTTA) and Inventory for Patent Inventions (IfPI). Additionally, EPA is modifying the location, ownership, and categories of records in the FTTA and IfPI system. The purpose of the system is to provide the opportunity for the knowledge and expertise within the Agency to be shared with outside entities through collaborative agreements and licensing. Records are maintained for the purpose of documenting inventions made under EPA sponsorship, including filing patent applications, determining rights to inventions, licensing inventions, and ascertaining inventorship and priority of invention. Unless noted in this modification, all exemptions and provisions included in the previously published system of record notice for Invention Reports will transfer to the modified system of record notice for Federal Technology Transfer Act (FTTA) and Inventory for Patent Inventions (IfPI).
Full Text
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<title>Federal Register, Volume 87 Issue 9 (Thursday, January 13, 2022)</title>
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[Federal Register Volume 87, Number 9 (Thursday, January 13, 2022)]
[Notices]
[Pages 2152-2155]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-00628]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-9236-01-OMS]
Privacy Act of 1974; System of Records
AGENCY: Office of Research and Development (ORD), Environmental
Protection Agency (EPA).
[[Page 2153]]
ACTION: Notice of a modified system of records.
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SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of
Research and Development (ORD) is giving notice that it proposes to
modify a system of records pursuant to the provisions of the Privacy
Act of 1974. This system will use SORN EPA-38. EPA-38 will be modified
to change the name from Invention Reports to Federal Technology
Transfer Act (FTTA) and Inventory for Patent Inventions (IfPI).
Additionally, EPA is modifying the location, ownership, and categories
of records in the FTTA and IfPI system. The purpose of the system is to
provide the opportunity for the knowledge and expertise within the
Agency to be shared with outside entities through collaborative
agreements and licensing. Records are maintained for the purpose of
documenting inventions made under EPA sponsorship, including filing
patent applications, determining rights to inventions, licensing
inventions, and ascertaining inventorship and priority of invention.
Unless noted in this modification, all exemptions and provisions
included in the previously published system of record notice for
Invention Reports will transfer to the modified system of record notice
for Federal Technology Transfer Act (FTTA) and Inventory for Patent
Inventions (IfPI).
DATES: Persons wishing to comment on this system of records notice must
do so by February 14, 2022. New or modified routine uses for this
system of records will be effective February 14, 2022.
ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
ORD-2021-0811, by one of the following methods:
Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow the
online instructions for submitting comments.
Email: <a href="/cdn-cgi/l/email-protection#d6b2b9b5bdb3a289b9bba596b3a6b7f8b1b9a0"><span class="__cf_email__" data-cfemail="b7d3d8d4dcd2c3e8d8dac4f7d2c7d699d0d8c1">[email protected]</span></a>. Include the Docket ID number in the
subject line of the message.
Fax: 202-566-1752.
Mail: OMS Docket, Environmental Protection Agency, Mail Code:
2822T, 1200 Pennsylvania Ave. NW, Washington, DC 20460.
Hand Delivery: OMS Docket, EPA/DC, WJC West Building, Room 3334,
1301 Constitution Ave. NW, Washington, DC 20460. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
Instructions: Direct your comments to Docket ID No. EPA-HQ-ORD-
2021-0811. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at <a href="https://www.regulations.gov">https://www.regulations.gov</a>, including any personal
information provided, unless the comment includes information claimed
to be Controlled Unclassified Information (CUI) or other information
for which disclosure is restricted by statute. Do not submit
information that you consider to be CUI or otherwise protected through
<a href="https://www.regulations.gov">https://www.regulations.gov</a>. The <a href="https://www.regulations.gov">https://www.regulations.gov</a> website is
an ``anonymous access'' system for the EPA, which means the EPA will
not know your identity or contact information. If you submit an
electronic comment, the EPA recommends that you include your name and
other contact information in the body of your comment. If the EPA
cannot read your comment due to technical difficulties and cannot
contact you for clarification, the EPA may not be able to consider your
comment. If you send an email comment directly to the EPA without going
through <a href="https://www.regulations.gov">https://www.regulations.gov</a>, your email address will be
automatically captured and included as part of the comment that is
placed in the public docket and made available on the internet.
Electronic files should avoid the use of special characters, any form
of encryption, and be free of any defects or viruses. For additional
information about the EPA public docket, visit the EPA Docket Center
homepage at <a href="https://www.epa.gov/dockets">https://www.epa.gov/dockets</a>.
Docket: All documents in the docket are listed in the <a href="https://www.regulations.gov">https://www.regulations.gov</a> index. Although listed in the index, some
information is not publicly available, e.g., CUI or other information
for which disclosure is restricted by statute. Certain other material,
such as copyrighted material, will be publicly available only in hard
copy. Publicly available docket materials are available either
electronically in <a href="https://www.regulations.gov">https://www.regulations.gov</a> or in hard copy at the
OMS Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution
Ave. NW, Washington, DC 20460. The Public Reading Room is normally open
from 8:30 a.m. to 4:30 p.m., Monday through Friday excluding legal
holidays. The telephone number for the Public Reading Room is (202)
566-1744, and the telephone number for the OMS Docket is (202) 566-
1752.
Temporary Hours During COVID-19
Out of an abundance of caution for members of the public and our
staff, the EPA Docket Center and Reading Room are closed to the public,
with limited exceptions, to reduce the risk of transmitting COVID-19.
Our Docket Center staff will continue to provide remote customer
service via email, phone, and webform. We encourage the public to
submit comments via <a href="https://www.regulations.gov/">https://www.regulations.gov/</a> or email, as there may
be a delay in processing mail and faxes. Hand deliveries and couriers
may be received by scheduled appointment only. For further information
on EPA Docket Center services and the current status, please visit us
online at <a href="https://www.epa.gov/dockets">https://www.epa.gov/dockets</a>.
FOR FURTHER INFORMATION CONTACT: Carmen Krieger, Acquisition
Specialist, Office of Resource Management, Office of Research and
Development, Environmental Protection Agency, Ronald Reagan Building,
1300 Pennsylvania Ave. NW, Washington, DC 20460, (202) 564-0396,
<a href="/cdn-cgi/l/email-protection#b1dac3d8d4d6d4c39fd2d0c3dcd4dff1d4c1d09fd6dec7"><span class="__cf_email__" data-cfemail="305b4259555755421e5351425d555e705540511e575f46">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: The purpose of the system is to provide the
opportunity for the knowledge and expertise within the Agency to be
shared with outside entities through collaborative agreements and
licensing. The FTTA and IfPI system houses FTTA mechanisms: Cooperative
Research and Development Agreements (CRADAs), Materials CRADAs
(MCRADAs), Materials Transfer Agreements (MTAs), and Non-Disclosure
Agreements (NDAs). For each agreement, the system tracks general
information for the partner and EPA. We have a description of the
project, potential products, associations, budgets. The system also
tracks the status and workflows of each agreement. IfPI contains the
Employee Reports of Invention (EROIs) database, which tracks License
and Patent information. The License information is identical to how EPA
tracks FTTA agreements. The Patent information includes our inventors
and relative information regarding new inventions, which is contained
in EROIs.
SYSTEM NAME AND NUMBER:
Federal Technology Transfer Act (FTTA) and Inventory for Patent
Inventions (IfPI) database, EPA-38.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This is a cloud system. Data is stored on the Salesforce servers.
The FTTA and IfPI database is stored and run in the Salesforce GovCloud
(San Francisco, CA). EROIs are saved electronically to servers located
at EPA National Computer Center (NCC), 109 TW Alexander Drive, Research
Triangle Park, Durham, NC 27711. Information may also be stored within
a government-
[[Page 2154]]
certified cloud, implemented and overseen by the Agency's Chief
Information Officer (CIO). Hard copy file records of the FTTA and IfPI
system are housed in a locked storage room at the Ronald Reagan
Building, 1300 Pennsylvania Ave., Washington, DC 20460.
SYSTEM MANAGER:
Kathleen Graham, Program Analyst, Office of Resource Management,
Office of Research and Development, Environmental Protection Agency,
1595 Wynkoop Street, Denver, CO 80202, (303) 312-6137,
<a href="/cdn-cgi/l/email-protection#751207141d14185b1e14011d1910101b351005145b121a03"><span class="__cf_email__" data-cfemail="d2b5a0b3bab3bffcb9b3a6babeb7b7bc92b7a2b3fcb5bda4">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 3710, Utilization of Federal Technology. 15 U.S.C.
3710a, Cooperative Research and Development Agreements. 35 U.S.C.
chapter 18, Patent Rights in Inventions Made with Federal Assistance.
37 CFR parts 401, 404, and 501.
PURPOSE(S) OF THE SYSTEM:
The purpose of the system is to provide the opportunity for the
knowledge and expertise within the Agency to be shared with outside
entities through collaborative agreements and licensing. Records are
maintained for the purpose of documenting inventions made under EPA
sponsorship, including filing patent applications, determining rights
to inventions, licensing inventions, and ascertaining inventorship and
priority of invention. The Federal Technology Transfer Act (FTTA)
Program (15 U.S.C. 3710) provides the opportunity for the knowledge and
expertise within the Agency to be shared with outside entities through
collaborative agreements and licensing. The system houses FTTA
mechanisms: Cooperative Research and Development Agreements (CRADAs),
Materials CRADAs (MCRADAs), Materials Transfer Agreements (MTAs), Non-
Disclosure Agreements (NDAs), and License Agreements. For each
agreement, the system tracks general information for the partner and
EPA. We have a description of the project, potential products,
associations, and budgets. The system also tracks the status and
workflows of each agreement.
CATEGORIES OF INDIVIDUALS COVERED BY SYSTEM:
FTTA Contacts, which are EPA employees within ORD; Invention
report submitters and their supervisors; other persons with knowledge
of the invention or expertise in the particular area of the invention;
EPA Patent Counsel; EPA contractors who have confirmed the uniqueness
of the invention, prepared a patent application on the invention, and/
or otherwise performed work relating to a patent application; and the
United States and foreign patent offices.
CATEGORIES OF RECORDS IN THE SYSTEM:
Agreements/Licenses: Name, business email address, business
telephone number, work address. Patents: Invention reports (name and
address), patent applications (name and address) until application is
published, patents (name, city, and state), patent assignments (name),
procurement requests (name and address), and other documents relevant
to inventions.
RECORD SOURCE CATEGORIES:
EPA employees and contractors and external partners. Records are
entered into the system by EPA employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The routine uses below are both related to and compatible with the
original purpose for which the information was collected. The following
general routine uses apply to this system (86 FR 62527): A, D, E, F, G,
H, I, K, L, and M.
Additional routine uses that apply to this system are:
1. To scientific personnel who possess the expertise to understand
the invention and evaluate its importance to the Government and/or the
public.
2. To contract patent counsel and their employees retained by the
Agency for patent searching and the preparation and prosecution of
United States and foreign patent applications.
3. To technology assistance personnel, technology evaluators,
technology finders, and prospective licensees who may further make the
invention available to the public through evaluation, promotion, sale,
use, or publication.
4. To parties, such as supervisors of inventors, whom we contact to
determine ownership rights, and to people contacting us to determine
the Government's ownership.
5. To the United States and foreign Patent and Trademark Offices
when we file U.S. and foreign patent applications.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
These records are maintained electronically on the EPA Salesforce
GovCloud. Backups are stored in the NCC for 90 days and also backed up
to tape per NCC backup policies.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
The FTTA and IfPI database retrieves information by inventor's
name, case identification number, patent application number, and patent
number. The FTTA data has list views that can be filtered, depending on
user preference, to present data. The system also includes a search box
where a user can search by file number, case number, or business name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The records are maintained for ten (10) years after completion or
termination of action on the disclosed invention, such as issuance of a
patent. They are destroyed ten (10) years after file closure. The
Records Schedule is 1003b.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Security controls used to protect personal sensitive data in the
FTTA and IfPI system are commensurate with those required for an
information system rated MODERATE for confidentiality, integrity, and
availability, as prescribed in National Institute of Standards and
Technology (NIST) Special Publication, 800-53, ``Security and Privacy
Controls for Information Systems and Organizations,'' Revision 5.
1. Administrative Safeguards: FTTA and IfPI follow procedures set
out by NIST 800-53 and EPA's Chief Information Officer (CIO) Security
Procedures including that EPA personnel are required to complete annual
agency Information Security and Privacy training. EPA personnel are
instructed to lock their computers when they leave their desks.
2. Technical Safeguards: Only Office of Research and Development
FTTA Core team members have access to the combination code to enter the
records room. Office of Research and Development FTTA Core team members
have elevated privileges to access system, approve workflow, use
communication features (e.g., upload files, email, and task features),
and ad-hoc reporting. Authorized users in the Office of General Counsel
have the same access, but cannot delete records. Lab Contacts have
view-only privileges, but are able to use communication features.
3. Physical Safeguards: All servers are maintained in secure,
access-controlled areas or buildings. Paper records are maintained in
locked file cabinets in a locked room in an access-controlled building.
[[Page 2155]]
RECORD ACCESS PROCEDURES:
Individuals seeking access to information in this system of
records about themselves are required to provide adequate
identification (e.g., driver's license, military identification card,
employee badge, or identification card). Additional identity
verification procedures may be required, as warranted. Requests must
meet the requirements of EPA regulations that implement the Privacy Act
of 1974, at 40 CFR part 16.
CONTESTING RECORDS PROCEDURES:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are described in EPA's Privacy Act regulations at 40 CFR
part 16.
NOTIFICATION PROCEDURE:
Individuals who want to know whether this system of records
contains information about them should make a written request to the
EPA, Attn: Agency Privacy Officer, MC 2831T, 1200 Pennsylvania Avenue
NW, Washington, DC 20460, <a href="/cdn-cgi/l/email-protection#9fefedf6e9fefce6dffaeffeb1f8f0e9"><span class="__cf_email__" data-cfemail="2555574c5344465c654055440b424a53">[email protected]</span></a>.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
Federal Register Volume 67, Number 36 (Friday, February 22, 2002).
Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2022-00628 Filed 1-12-22; 8:45 am]
BILLING CODE 6560-50-P
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