Privacy Act of 1974; System of Records
| Published date | 27 December 2019 |
| Citation | 84 FR 71459 |
| Record Number | 2019-27944 |
| Section | Notices |
| Court | Reclamation Bureau |
Federal Register, Volume 84 Issue 248 (Friday, December 27, 2019)
[Federal Register Volume 84, Number 248 (Friday, December 27, 2019)]
[Notices]
[Pages 71459-71462]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-27944]
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DEPARTMENT OF THE INTERIOR
Bureau of Reclamation
[DOI-2019-0008; R0810000, 20XR0680A1, RY.1541TT20153PATN]
Privacy Act of 1974; System of Records
AGENCY: Bureau of Reclamation, Interior.
ACTION: Notice of a modified system of records.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, the Department of the Interior proposes to modify the Bureau
of Reclamation Privacy Act system of records titled, ``INTERIOR/WBR-12,
Inventions and Patents.'' This system of records administers the Bureau
of Reclamation internal program that manages and tracks applications
for inventions and patents submitted by Federal employees, individuals,
and organizations who have submitted a report of invention to
Reclamation or employees who are seeking to file and secure patents.
The Bureau of Reclamation is proposing to add new routine uses, modify
existing routine uses to provide clarification, update authorities for
this system, update categories of individuals and categories of records
to reflect the expanded scope of the system, and to provide general and
administrative updates to all sections in accordance with the Office of
Management and Budget Circular A-108, ``Federal Agency Responsibilities
for Review, Reporting, and Publication under the Privacy Act.'' This
modified system will be included in the Department of the Interior's
inventory of record systems.
DATES: This modified system will be effective upon publication. New and
modified routine uses will be effective January 27, 2020. Submit
comments on or before January 27, 2020.
ADDRESSES: You may send comments identified by docket number [DOI-2019-
0008], by any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for sending comments.
Email: [email protected]. Include docket number
[DOI-2019-0008] in the subject line of the message.
U.S. Mail or Hand-Delivery: Teri Barnett, Departmental
Privacy Officer, U.S. Department of the Interior, 1849 C Street NW,
Room 7112, Washington, DC 20240.
Instructions: All submissions received must include the agency name
and docket number [DOI-2019-0008]. All comments received will be posted
without change to http://www.regulations.gov, including any personal
information provided.
Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Regina Magno, Associate Privacy
Officer, Bureau of Reclamation, P.O. Box 25007, Denver, CO 80225,
[email protected] or (303) 445-3326.
SUPPLEMENTARY INFORMATION:
I. Background
The Department of the Interior (DOI), Bureau of Reclamation
(Reclamation) maintains the ``INTERIOR/WBR-12, Inventions and Patents''
system of records. The purpose of this system is to administer an
internal program to manage and track applications for inventions and
patents submitted by Federal employees, individuals, and organizations
(i.e., businesses, state and local governments, universities, non-
governmental organizations), who have submitted a report of invention
to Reclamation or employees who are seeking to file and secure patents.
Inventions may be developed solely by Reclamation employees or jointly
with other Federal and/or other entities. The primary use of this
system is to determine an inventor's rights to an invention, whether to
file and secure a patent application for the invention, and to
distribute a share of royalties for licensed inventions.
Reclamation inventors may receive monetary awards for filing the
patent application and issuing the patent. The U.S. Patent and
Trademark Office issues a patent for 20 years and patent maintenance
fees are paid at specific time periods to maintain the patent at the
discretion of the Chief, Research and Development, Bureau of
Reclamation. Reclamation inventors who have assigned their patent
rights to DOI may receive a share of royalty payments from Reclamation.
Reclamation is publishing this revised notice to update authorities
for this system, update categories of individuals and categories of
records to reflect the expanded scope of the system, and provide
general and administrative updates to all sections in accordance with
the Office of Management and Budget (OMB) Circular A-108, ``Federal
Agency Responsibilities for Review, Reporting, and Publication under
the Privacy Act.'' Additionally, Reclamation is modifying existing
routine uses to provide additional clarity and transparency. Routine
use A was modified to further clarify disclosures to the Department of
Justice or other Federal agencies when necessary in relation to
litigation or judicial proceedings. Routine uses B, D, and E have been
modified to provide additional clarification on external organizations
and circumstances where disclosures are compatible with the purpose of
the system or are proper and necessary to administer an internal
program to manage and track applications for inventions and patents
submitted by Federal employees, individuals, and organizations (i.e.,
businesses, state and local governments, universities, non-governmental
organizations) who have submitted a report of invention to Reclamation
and/or employees who are seeking to file and secure patents. Modified
routine use J and proposed routine use K allow Reclamation to share
information with appropriate Federal agencies or entities when
reasonably necessary to respond to a breach of personally identifiable
information and to prevent, minimize, or remedy the risk of harm to
individuals or the Federal Government, or assist an agency in locating
individuals affected by a breach in accordance with OMB Memorandum M-
17-12, ``Preparing for and Responding to a Breach of Personally
Identifiable Information''.
Proposed new routine uses C, F, G, H, I, and L through P facilitate
sharing of information with agencies and organizations to ensure the
efficient
[[Page 71460]]
management of applications for inventions and patents, promote the
integrity of the records in the system, or carry out a statutory
responsibility of Reclamation or the Federal Government. Proposed
routine use C facilitates sharing of information with the Executive
Office of the President to resolve issues concerning individual's
records. Routine use F allows Reclamation to share information with
agencies when relevant for hiring and retention, or issuance of
security clearance, license, contract, grant or benefit. Routine use G
allows Reclamation to share information with the National Archives and
Records Administration (NARA) to conduct records management
inspections. Routine use H allows Reclamation to share information with
external entities, such as state, territorial and local governments,
and tribal organizations, as needed in response to court orders or for
discovery purposes related to litigation. Routine use I allows
Reclamation to share information with an expert, consultant, grantee,
or contractor (including employees of the contractor) of DOI that
performs services requiring access to these records on DOI's behalf to
carry out the purposes of the system. Routine use L allows Reclamation
to share information with the OMB during the coordination and clearance
process in connection with legislative affairs. Routine use M allows
Reclamation to share information with the Department of the Treasury to
recover debts owed to the United States. Routine use N allows
Reclamation to share information with the news media and the public if
there is a legitimate public interest in the disclosure of the
information. Routine use O allows Reclamation to share information with
the U.S. Patent and Trademark Office for filing and issuing patent
applications and patents. Routine use P allows Reclamation to share
information with the Department of the Treasury, Internal Revenue
Service, and state and local tax authorities to report miscellaneous
income for tax reporting purposes for which an employee is or was
subject to tax regardless of whether tax is or was withheld in
accordance with Treasury Fiscal Requirements, as required.
II. Privacy Act
The Privacy Act of 1974, as amended, embodies fair information
practice principles in a statutory framework governing the means by
which Federal agencies collect, maintain, use, and disseminate
individuals' records. The Privacy Act applies to records about
individuals that are maintained in a ``system of records.'' A ``system
of records'' is a group of any records under the control of an agency
from which information is retrieved by the name of an individual or by
some identifying number, symbol, or other identifying particular
assigned to the individual. The Privacy Act defines an individual as a
United States citizen or an alien lawfully admitted for permanent
residence. Individuals may request access to their own records that are
maintained in a system of records in the possession or under the
control of DOI by complying with DOI Privacy Act regulations at 43 CFR
part 2, subpart K, and following the procedures outlined in the Records
Access, Contesting Record, and Notification Procedures sections of this
notice.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the existence and character of each
system of records that the agency maintains and the routine uses of
each system. The revised Inventions and Patents system of records
notice is published in its entirety below. In accordance with 5 U.S.C.
552a(r), DOI has provided a report of this system of records to the
Office of Management and Budget and to Congress.
III. Public Participation
You should be aware that your entire comment including your
personal identifying information, such as your address, phone number,
email address, or any other personal identifying information in your
comment, may be made publicly available at any time. While you may
request to withhold your personal identifying information from public
review, we cannot guarantee we will be able to do so.
SYSTEM NAME AND NUMBER:
INTERIOR/Reclamation-12, Inventions and Patents.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records in this system are maintained at the Bureau of Reclamation,
Denver Federal Center, 6th and Kipling, Denver, CO 80225-0007.
SYSTEM MANAGER(S):
Chief, Research and Development, Bureau of Reclamation, Denver
Federal Center, P.O. Box 25007, Denver, CO 80225-0007.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Stevenson-Wydler Innovation Act of 1980, 15 U.S.C. 3701, et
seq., as amended; The Federal Technology Transfer Act of 1986, Public
Law 99-502; Executive Order 12591, Facilitating Access to Science and
Technology, as modified by Executive Order 12618, Uniform Treatment of
Federally Funded Inventions; Executive Order 9397, Numbering System for
Federal Accounts Relating to Individual Persons, as modified by
Executive Order 13478, Amendments to Executive Order 9397 Relating to
Federal Agency Use of Social Security Numbers; and 26 U.S.C., Internal
Revenue Code.
PURPOSE(S) OF THE SYSTEM:
The primary purpose of the system is to manage and track
applications for inventions and patents submitted by Federal employees,
individuals, and organizations (i.e., private organizations, state and
local governments, universities, and other organizations) who have
submitted a report of invention to Reclamation or are seeking to file
and secure patents. This system enables Reclamation to determine the
inventor's rights to an invention, whether to file and secure a patent
application for the invention, and to distribute a share of royalties
to inventors for licensed inventions.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by the system include Federal employees,
individual members of the public, and individuals acting on behalf of
state and local government, private organizations, universities, or
other organizations who have submitted reports of inventions to
Reclamation for the purpose of filing and securing patents. This system
contains records pertaining to state and local governments, private
organizations, and other business entities that are not subject to the
Privacy Act. However, records pertaining to individuals acting on
behalf of an organization may reflect personal information that is
subject to the Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains records related to inventions such as
descriptions and/or drawings of the invention in the patent application
and information regarding the applicant that submitted a report of
invention or is seeking to file a patent. Records contain information
such as name, home or business address, personal or business phone
number, personal or business email address, grade level for Federal
employees, job title, project name, project title, patent application
number, patent number, organization information, banking or financial
information of the inventor to facilitate
[[Page 71461]]
royalty payments, and any information related to the processing of
patents and royalty payments such as amount of shares or disbursements.
Tax Identification Numbers or Social Security numbers may be collected
and maintained in order to process royalty payments to individuals or
organizations and to submit Form 1099-MISC, Miscellaneous Income, to
the Internal Revenue Service for tax reporting purposes. Records in
this system may also include information on Reclamation officials who
process or approve applications, or otherwise manage or oversee the
invention and patent process.
RECORD SOURCE CATEGORIES:
Records in this system are obtained from Federal employees,
individual members of the public, and individuals acting on behalf of
state and local government, private organizations, universities, or
other organizations that have submitted a report of inventions to
Reclamation and/or are seeking to file and secure patents, and
Reclamation officials who process or approve applications, or otherwise
manage or oversee the invention and patent process.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOI as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (DOJ), including Offices of the
U.S. Attorneys, or other Federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body,
when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such
litigation:
(1) DOI or any component of DOI;
(2) Any other Federal agency appearing before the Office of
Hearings and Appeals;
(3) Any DOI employee or former employee acting in his or her
official capacity;
(4) Any DOI employee or former employee acting in his or her
individual capacity when DOI or DOJ has agreed to represent that
employee or pay for private representation of the employee; or
(5) The United States Government or any agency thereof, when DOJ
determines that DOI is likely to be affected by the proceeding.
B. To a congressional office when requesting information on behalf
of, and at the request of, the individual who is the subject of the
record.
C. To the Executive Office of the President in response to an
inquiry from that office made at the request of the subject of a record
or a third party on that person's behalf, or for a purpose compatible
with the reason for which the records are collected or maintained.
D. To any criminal, civil, or regulatory law enforcement authority
(whether Federal, state, territorial, local, tribal or foreign) when a
record, either alone or in conjunction with other information,
indicates a violation or potential violation of law--criminal, civil,
or regulatory in nature, and the disclosure is compatible with the
purpose for which the records were compiled.
E. To an official of another Federal agency to provide information
needed in the performance of official duties related to reconciling or
reconstructing data files or to enable that agency to respond to an
inquiry by the individual to whom the record pertains.
F. To Federal, state, territorial, local, tribal, or foreign
agencies that have requested information relevant or necessary to the
hiring, firing or retention of an employee or contractor, or the
issuance of a security clearance, license, contract, grant or other
benefit, when the disclosure is compatible with the purpose for which
the records were compiled.
G. To representatives of the National Archives and Records
Administration (NARA) to conduct records management inspections under
the authority of 44 U.S.C. 2904 and 2906.
H. To state, territorial and local governments and tribal
organizations to provide information needed in response to court order
and/or discovery purposes related to litigation, when the disclosure is
compatible with the purpose for which the records were compiled.
I. To an expert, consultant, grantee, or contractor (including
employees of the contractor) of DOI that performs services requiring
access to these records on DOI's behalf to carry out the purposes of
the system.
J. To appropriate agencies, entities, and persons when:
(1) DOI suspects or has confirmed that there has been a breach of
the system of records;
(2) DOI has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, DOI (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
reasonably necessary to assist in connection with DOI's efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm.
K. To another Federal agency or Federal entity, when DOI 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.
L. To the Office of Management and Budget (OMB) during the
coordination and clearance process in connection with legislative
affairs as mandated by OMB Circular A-19.
M. To the Department of the Treasury to recover debts owed to the
United States.
N. To the news media and the public, with the approval of the
Public Affairs Officer in consultation with counsel and the Senior
Agency Official for Privacy, where there exists a legitimate public
interest in the disclosure of the information, except to the extent it
is determined that release of the specific information in the context
of a particular case would constitute an unwarranted invasion of
personal privacy.
O. To the U.S. Patent and Trademark Office to submit patent
applications and facilitate the filing, issuance and maintenance of
patent applications and patents.
P. To the Department of the Treasury, Internal Revenue Service, and
state and local tax authorities to report miscellaneous income for tax
reporting purposes as required under 26 U.S.C. 3402 and 26 CFR 601, for
which an employee is or was subject to tax regardless of whether tax is
or was withheld in accordance with Treasury Fiscal Requirements, as
required.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosure pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be
made from this system to consumer reporting agencies as defined in the
Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Act of 1966 (31 U.S.C. 3701(a)(3)).
[[Page 71462]]
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Paper records are contained in file folders stored in locked file
cabinets at secured Reclamation facilities. Electronic records are
contained in removable drives, computers, email, and electronic
database(s).
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, project name, title, patent
application number, or patent number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in this system are currently maintained in accordance with
the Bureau of Reclamation Records Retention Schedule LAW-6.00--
Inventions, Patents, and Copyrights (N1-115-94-9), which has been
approved by NARA. This record schedule covers case files pertaining to
inventions and patents, including correspondence and data supporting
invention reports on patent applications. The disposition for these
records is temporary and the records are cutoff at the end of each
year. Paper, film, and electronic records are transferred to the
Federal Record Center 10 years after cutoff or when volume warrants.
The Federal Record Center will destroy these records 20 years after
cutoff.
A new Departmental Records Schedule (DRS) has been submitted to
NARA and is pending approval. Once NARA approves the DRS, the records
related to this system of records will be maintained in accordance with
DRS: 4.4.13 Legal--Litigation and Adjudication--Judicial 20 years.
These files are temporary. Files are cutoff on final decision (when
decision is made and all opportunities for appeal are settled/expired).
Files are destroyed 20 years after cutoff.
Paper records are disposed of by shredding or pulping, and records
contained on electronic media are degaussed or erased in accordance
with the applicable records retention schedule, 384 Department Manual 1
and NARA guidelines.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The records contained in this system are safeguarded in accordance
with 43 CFR 2.226 and other applicable security rules and policies.
Records are accessible only by authorized DOI employees, and other
Federal Government agencies and contractors who have contractual
agreements with Reclamation to conduct activities related to inventions
and patents. During normal hours of operation, paper records are
secured in locked file cabinets under the control of authorized
personnel. Computers and servers on which electronic records are stored
are located in secured DOI and/or contractor facilities with physical,
technical, and administrative levels of security such as access codes,
security codes, and security guards, to prevent unauthorized access to
the DOI network and information assets. Access to DOI networks and data
requires a valid username and password, and is limited to DOI personnel
and/or contractors who have a need to know of the information for the
performance of their official duties. Access to contractor's networks
and data requires restricted access limited to authorized personnel.
Computerized records systems follow the National Institute of
Standards and Technology privacy and security standards as developed to
comply with the Privacy Act of 1974 as amended, 5 U.S.C. 552a; the
Paperwork Reduction Act of 1995, Public Law 104-13; the Federal
Information Security Modernization Act of 2014, Public Law 113-283, as
codified at 44 U.S.C. 3551, et seq.; and the Federal Information
Processing Standard 199, Standards for Security Categorization of
Federal Information and Information Systems. Security controls include
user identification, passwords, database permissions, encryption,
firewalls, audit logs, and network system security monitoring, and
software controls. System administrators and authorized personnel are
trained and required to follow established internal security protocols
and must complete all security, privacy, and records management
training and sign the DOI Rules of Behavior.
RECORD ACCESS PROCEDURES:
An individual requesting records on himself or herself should send
a signed, written inquiry to the System Manager identified in this
notice. The request must include the specific bureau or office that
maintains the record to facilitate the location of the applicable
records. The request envelope and letter should both be clearly marked
``PRIVACY ACT REQUEST FOR ACCESS.'' A request for access must meet the
requirements of 43 CFR 2.238.
CONTESTING RECORD PROCEDURES:
An individual requesting corrections or the removal of material
from his or her records should send a signed, written request to the
System Manager as identified in this notice. The request must include
the specific bureau or office that maintains the record to facilitate
the location of the applicable records. A request for corrections or
removal must meet the requirements of 43 CFR 2.246.
NOTIFICATION PROCEDURES:
An individual requesting notification of the existence of records
on himself or herself should send a signed, written inquiry to the
System Manager as identified in this notice. The request must include
the specific bureau or office that maintains the record to facilitate
the location of the applicable records. The request envelope and letter
should both be clearly marked ``PRIVACY ACT INQUIRY.'' A request for
notification must meet the requirements of 43 CFR 2.235.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None. Pursuant to 5 U.S.C. 552a(d)(5), the Privacy Act does not
entitle an individual to access information compiled in reasonable
anticipation of a civil action or proceeding related to patent
litigation cases.
HISTORY:
64 FR 40894 (July 28, 1999); modification published 73 FR 20949
(April 17, 2008).
Teri Barnett,
Departmental Privacy Officer, Department of the Interior.
[FR Doc. 2019-27944 Filed 12-26-19; 8:45 am]
BILLING CODE 4332-90-P
