Notice2023-23487
Privacy Act of 1974; System of Records
Primary source
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Published
October 24, 2023
Effective
October 24, 2023
Issuing agencies
National Science Foundation
Abstract
The National Science Foundation (NSF) is establishing a new system of records, NSF-80, Education and Training Application Data System (ETAP), subject to the Privacy Act of 1974. This new system of records shall contain records about individuals interested in participating in NSF education and training activities, and individuals engaged in the planning, management, and implementation of those activities. These records will bolster the agency's capacity to conduct robust evidence-building activities, including monitoring, targeted research, and rigorous evaluation of its education and training activities.
Full Text
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<title>Federal Register, Volume 88 Issue 204 (Tuesday, October 24, 2023)</title>
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[Federal Register Volume 88, Number 204 (Tuesday, October 24, 2023)]
[Notices]
[Pages 73048-73051]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-23487]
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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 establishing a new
system of records, NSF-80, Education and Training Application Data
System (ETAP), subject to the Privacy Act of 1974. This new system of
records shall contain records about individuals interested in
participating in NSF education and training activities, and individuals
engaged in the planning, management, and implementation of those
activities. These records will bolster the agency's capacity to conduct
robust evidence-building activities, including monitoring, targeted
research, and rigorous evaluation of its education and training
activities.
DATES: This system notice is effective as of October 24, 2023. The
routine uses described in this notice will take effect on November 24,
2023, unless modified by a subsequent notice to incorporate comments
received from the public. Submit comments on or before November 24,
2023.
ADDRESSES: You may submit comments, identified as ``SORN NSF-80
(ETAP),'' by any of the following methods:
<bullet> Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Email: Dorothy Aronson, Senior Agency Official for
Privacy, <a href="/cdn-cgi/l/email-protection#8ce8edfee3e2ffe3e2cce2ffeaa2ebe3fa"><span class="__cf_email__" data-cfemail="ee8a8f9c81809d8180ae809d88c0898198">[email protected]</span></a>. Include ``SORN NSF-80 (ETAP)'' in the
subject line of the message.
<bullet> Mail: Dorothy Aronson, Senior Agency Official for Privacy,
Office of Information and Resource Management, National Science
Foundation, 2415 Eisenhower Ave., Alexandria, VA 22314.
Instructions: NSF will post all comments on the NSF's website
(<a href="https://www.nsf.gov">https://www.nsf.gov</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 this new system of records, please contact Dorothy
Aronson, Senior Agency Official for Privacy, at <a href="/cdn-cgi/l/email-protection#cda9acbfa2a3bea2a38da3beabe3aaa2bb"><span class="__cf_email__" data-cfemail="325653405d5c415d5c725c41541c555d44">[email protected]</span></a> or by
telephone at 703-292-4299 or NSF FOIA/PA Officer, Sandra Evans, at
<a href="/cdn-cgi/l/email-protection#d0a3b5a6b1bea390bea3b6feb7bfa6"><span class="__cf_email__" data-cfemail="4a392f3c2b24390a24392c642d253c">[email protected]</span></a>, or by telephone at 703-292-8060.
SUPPLEMENTARY INFORMATION: NSF supports students and early career
professionals at all stages of their academic journey through a wide
range of opportunities that foster professional growth, facilitating
exposure to and induction into the practice of science. The new system
of records, NSF-80, Education and Training Application Data System
(ETAP), will be used to collect, maintain, and manage individual
applications to education and training opportunities funded by NSF,
allow tracking of participants' program experiences and career outcomes
over time, and provide high-quality data that NSF can use to respond to
Administration priorities, the Foundations for Evidence-Based
Policymaking Act of 2018 (Evidence Act), the America COMPETES
Reauthorization Act of 2010, and the CHIPS+ Act.
SYSTEM NAME AND NUMBER:
Education and Training Application Data System Records (ETAP), NSF-
80.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
National Science Foundation, 2415 Eisenhower Ave., Alexandria, VA
22314.
SYSTEM MANAGER(S):
Chief Evaluation Officer and Division Director, Division of
Information Systems, NSF.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
42 U.S.C. 1862 & 1870; 44 U.S.C. 3101; Pub. L. 105-277, t. 4, sec.
414, as amended, codified at 8 U.S.C. 1101 note (NSF S-STEM Program);
and other program statutes, including 42 U.S.C. 1862p-6, 42 U.S.C.
1862p-7, 42 U.S.C. 1862p-13, 42 U.S.C. 1862p-15, 42 U.S.C. 1862t, 42
U.S.C. 1869c, 42 U.S.C.1885a.
PURPOSE(S) OF THE SYSTEM:
(1) To provide high-quality data that NSF can use for robust
evidence-building activities including monitoring, targeted research,
and rigorous evaluations of its activities, including programs.
(2) To provide the public with a transparent, accessible, and
centralized location of information on NSF education and training
opportunities
[[Page 73049]]
and reduce burden on individuals (mostly students), who will be able to
use a common application to apply to multiple training opportunities
funded by NSF.
(3) To lower barriers to entry into NSF programs for new and
aspiring Principal Investigators (PIs), who will be able to leverage a
robust and secure data collection system, free of charge, to manage
applications to their projects, and reduce administrative costs for
existing PIs.
(4) To provide NSF's community of stakeholders (including PIs, Co-
PIs, and NSF program officers and leadership) with timely access to
data analytics on applicants and participants to inform decision making
and support improvement efforts.
(5) To enable longitudinal tracking of outputs and outcomes to
assess the effectiveness of NSF's education and training activities and
inform decisions.
(6) To provide demographic data that NSF can use to ensure
equitable representation of groups that are traditionally
underrepresented in science, technology, engineering, and mathematics
(STEM).
(7) To recognize the achievements of distinguished individuals,
their actions, products, or ideas and disseminate information of
relevant opportunities to support individuals' careers in STEM.
(8) To support NSF efforts to disseminate information about the
agency's education and training opportunities, as appropriate, and
about the effectiveness of its activities.
(9) To provide data that may be used for NSF compliance with
applicable laws and policies, and conflict of interest management.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on members of the public
interested in participating in education and training opportunities
supported by NSF. These include individuals who apply to, participate
in, and/or are supported by NSF education and training programs,
projects and activities, including but not limited to students, other
youth and early career individuals, teachers, higher education faculty,
mentors, administrators, and parents/legal guardians (where
applicable). The system also maintains information on individuals
engaged in the management and implementation of those opportunities,
including PIs and Co-PIs of NSF awards and their designees involved in
recruitment and selection of program participants. The system covers
these individuals only to the extent that the records are about the
individual and are retrieved from the system by that individual's name
or other personally assigned identifier.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records vary by categories of individuals and, for applicants, the
type of education and training opportunities to which they are
applying. Records may include information such as individuals' names,
contact information, date of birth, demographic information, parental
education and occupation, higher education degree information, school/
institution names, academic records, college financial aid information,
prior research experiences, work experience (if a teacher: including
school name, teaching grade and subject, years of teaching experience,
teaching certification), awareness of a given program, opportunity
applying for, preferences for data sharing with other NSF opportunities
for which they have not applied, additional materials requested by PIs
(which may include personal statement, transcripts, CV or
r[eacute]sum[eacute], references' contact information, and other
materials), reference letters of support (relationship with applicant,
applicant skills and abilities assessments, and letter of
recommendation), admission decisions, acceptances, participation, and
NSF funding, program experiences (weeks spent in program, support from
faculty and staff, program activities, type of mentor, time spent with
mentor, experiences with mentor, benefits of program, satisfaction with
experience) and feedback, and employment information. In addition,
records may include information about the opportunity, including its
NSF award/proposal ID and its associated metadata, such as opportunity
name, location, external website link, application window, application
type (open competition or invitation-only), opportunity start and end
date, description of the opportunity, eligibility requirements and
certification, fields of study, and research topics or keywords.
RECORD SOURCE CATEGORIES:
Individuals registering with NSF (1) to apply and participate in
NSF education and training opportunities (e.g., prospective applicants
and participants), or (2) to create, manage, or administer such
opportunities (e.g., PIs, Co-PIs, and their designated individuals, NSF
staff and external qualified reviewers). System data on individuals may
be collected from the individuals directly, from third-party
individuals or entities, or be derived from other related NSF systems
of records (e.g., PI and reviewer files, see NSF-50 and -51,
respectively).
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 and the information is relevant and necessary to
such litigation, including when any of the following is a party to the
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. NSF may disclose information from
the system to appropriate agencies, entities, and persons when: (1) NSF
suspects or has confirmed that there has been a breach of the system of
records; (2) NSF has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals; NSF (including
its information systems, programs, and operations); the Federal
Government, or national security; and (3) the disclosure made to such
agencies, entities, and persons is
[[Page 73050]]
reasonably necessary to assist in connection with NSF efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm. Furthermore, NSF may disclose information from the
system to another Federal agency or Federal entity, when NSF determines
that information from this system of records is reasonably necessary to
assist the recipient agency or entity in: (1) Responding to a suspected
or confirmed breach; or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
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 the information is relevant
and necessary to that proceeding, for the purpose of representing the
government, or in the course of presenting evidence, or the information
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
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,
where the information indicates a violation or potential violation of
civil or criminal law, including any rule, regulation or order issued
pursuant thereto, to appropriate Federal, State, or local agencies
responsible for investigating, prosecuting, enforcing, or implementing
such statute, rule, regulation, or order.
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.
In addition to the above standard routine uses, information may be
routinely disclosed:
12. To PIs, Co-PIs, and their designated individuals (for
opportunities funded through NSF awards), and NSF staff and external
qualified reviewers (for opportunities administered by NSF) for their
assessment of applicants or nominees (and their application materials,
where applicable), including in the case of individuals who have
expressed interest in such opportunity or provided consent to be
contacted by opportunities they have not applied for, as part of the
application review process and to support operations; and to other
Government agencies or other entities needing information regarding the
applicants or nominees as part of a joint application review process,
or in order to coordinate programs or policy.
13. To NSF partners, affiliates, or grantees, as well as other
entities to merge records, to carry out studies for, or to otherwise
assist NSF with program management, implementation, evaluation, or
reporting.
14. To applicants (including the individual nominee or ultimate
participant), their nominators or reference writers, and the
institution they are applying to, attending, planning to attend, or
employed by, who may be given information (such as name, field of
study, and other information directly relating to the NSF opportunity,
review status including the admission decision, time of participation,
whether receiving international travel allowance or a mentoring
assistantship), for purposes of facilitating application review and
admissions decisions, administering the program or award, and
supporting dissemination and student engagement activities.
15. To the Department of Treasury for preparation of checks or
electronic fund transfer authorizations in the case of participants
receiving stipends directly from the Government.
16. To the National Student Clearinghouse, for tracking applicants
and participants through their postsecondary enrollment and graduation
trajectories, and other third-party entities, for the purposes of
validating contact information, disambiguating records, or cross-
checking of information, and tracking education or employment outcomes.
17. To an agency or other organization or unit, such as the
National Center for Science and Engineering Statistics (NCSES), for the
purposes of merging or linking needed data for monitoring, research, or
evaluation purposes, to the extent authorized by applicable privacy and
security laws, regulations, and NSF policies and guidance.
18. To the public, about an individual's involvement with NSF
education and training programs (e.g., participant name, baccalaureate
institution, current institution, and field of study) for purposes of
media releases or other public announcements about these programs.
Other information about the individual's involvement in these programs
may be publicly disclosed with written consent of that individual (or,
where applicable, the individual's legal guardian or other legal
representative).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored on electronic digital media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, date of birth, email, identification
number, zip code, state, or institution.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
This System of Records is governed by one or more general and/or
NSF-specific (Record Group RG-0307) records retention schedules
approved by the National Archives and Records Administration (NARA) and
applicable to NSF proposal, reviewer, and grant files and related
administrative records. These schedules can be found at <a href="https://archives.gov">https://archives.gov</a>.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The National Science Foundation's IT Security and Privacy program
includes policies, plans, training, and technical safeguards to protect
sensitive information, including personally
[[Page 73051]]
identifiable information (PII). NSF routinely reviews PII in IT systems
in addition to monitoring technical, physical, and administrative
controls in place to assure that PII is appropriately protected. NSF's
major applications and general support systems are assessed and
authorized by NSF's continuous monitoring and ongoing authorization
program. The authorization process requires a thorough security and
privacy control review.
All NSF systems are covered by a system security plan, and major
applications and general support systems are authorized to operate.
Applications and devices hosted on the NSF network are subjected to
extensive vulnerability scanning and compliance checking against
standard security configurations. Robust virus protection capabilities,
anti-malware, and network intrusion detection and prevention devices
provide 24/7 protection against external threats. NSF's strong access
controls ensure that resources are made available only to authorized
users, programs, processes or systems by reference to rules of access
that are defined by attributes and policies.
NSF uses the capabilities of a Trusted internet Connections (TIC)
compliant provider for routing agency network traffic and uses the
federally provided intrusion detection system (IDS), including advanced
continuous monitoring and risk management analysis. NSF has a well-
established computer security incident response program. NSF's incident
response procedures include a strong digital forensics capability to
investigate and review data and identify relevant evidence and
malicious activity.
RECORD ACCESS PROCEDURES:
Follow the procedures found at 45 CFR part 613 (NSF Privacy Act
Regulations).
CONTESTING RECORD PROCEDURES:
Follow the procedures found at 45 CFR part 613.
NOTIFICATION PROCEDURES:
See 45 CFR part 613.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
Dated: October 18, 2023.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2023-23487 Filed 10-23-23; 8:45 am]
BILLING CODE 7555-01-P
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