[Federal Register Volume 59, Number 126 (Friday, July 1, 1994)] [Unknown Section] [Page 0] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 94-16075] [[Page Unknown]] [Federal Register: July 1, 1994] ----------------------------------------------------------------------- ENVIRONMENTAL PROTECTION AGENCY [FRL-5006-3] Privacy Act of 1974; System of Records ACTION: Notice of amendment to existing Privacy Act system of records. ----------------------------------------------------------------------- SUMMARY: The Environmental Protection Agency (EPA) proposes to amend its Privacy Act system of records, ``Invention Reports Submitted to the Environmental Protection Agency,'' previously published at 50 FR 50227 (December 9, 1985). The primary purpose of this amendment is to clarify existing and add new routine uses, to add a new category of individuals covered by the system, to reflect changes required by the adoption of a computer tracking system for covered records, to more accurately describe the sources of records in the system, and to add new data elements by which information may be retrieved from the system. All other changes to the system are of a minor nature. EFFECTIVE DATE: This amendment shall become effective without further notice forty (40) days after publication unless comments are received which dictate a contrary determination. ADDRESSES: Comments should be addressed to Patent Counsel, U.S. EPA, Office of General Counsel, General and Information Law Division (2379), 401 M Street SW., Washington, DC 20460. FOR FURTHER INFORMATION CONTACT: Thomas W. Gorman, Patent Counsel, U.S. EPA, Office of General Counsel, General and Information Law Division (2379), 401 M Street SW., Washington, DC 20460. Tel. (202) 260-1339. SUPPLEMENTARY INFORMATION: EPA is amending a system of records, ``Invention Reports Submitted to the Environmental Protection Agency- EPA/OGC/Grants-16,'' as follows: First, EPA is adding new routine uses and revising existing routine uses in a manner that is compatible with the purpose for which the records were collected. Routine uses 1, 3, 4, 6, 7 in the notice (formerly published as numbers 2, 4, 5, 7, and 8, respectively) have been reorganized but not altered. Routine use 2 (formerly 3) has been revised to clarify that contract patent counsel are engaged by EPA to prepare and prosecute patent applications as well as to search patents. Routine use 5 (formerly 6) has been amended to reflect disclosures of files in connection with EPA's implementation of the Federal Technology Transfer Act of 1986. Routine use 8 has been added to enable EPA to disclose records to Government contractors, other than contract patent counsel covered in a separate routine use, who are engaged to perform duties on behalf of the Government. Routine use 9 has been added to permit disclosures of records in the system to the Department of Justice when EPA is a party to or has an interest in litigation. In addition, a list of five general routine uses currently applicable to this system of records, but published in a separate Federal Register notice (40 FR 43194, September 18, 1975), has been amended and republished as routine uses 10 through 14 in this notice. These routine uses have been revised to provide more accurate and precise descriptions of the permitted disclosures, which include disclosures to Congress at an individual's request; for law enforcement purposes; in connection with judicial and administrative litigation; and in connection with employment, contract and benefit entitlement decisions. Second, EPA has developed a computer system which indexes and tracks information contained in this system of records. The sections of this notice describing ``Storage,'' ``Retrievability,'' and ``Safeguards'' have been revised to reflect the changes resulting from adoption of the computer tracking system. Third, the ``Record Source Categories'' section has been revised to include U.S. and foreign patent offices, which were inadvertently omitted from the prior publication of this notice. Fourth, the section on ``Categories of Individuals Covered by this System'' is being revised to include a new category of individuals: Parties to cooperative research and development agreements under the Federal Technology Transfer Act of 1986. Fifth, the ``Retrievability'' section of the notice is being revised to indicate that information in the system may also be retrieved by patent application number and/or patent number. The remaining revisions to this system of records are editorial in nature or clarify and update the existing notice to reflect administrative, organizational, and statutory revisions which have occurred since the previous publication of the notice in the Federal Register. The report on significantly altered systems of records required by 5 U.S.C. 552a(r) has been submitted to Congress and the Office of Management and Budget. Dated: June 16, 1994. Jonathan Cannon, Assistant Administrator for Administration and Resources Management. EPA-16 Invention Reports Submitted to the EPA. U.S. Environmental Protection Agency, Office of General Counsel, General and Information Law Division (2379), 401 M Street SW., Washington, DC 20460. EPA employees and employees of contractors, subcontractors, grantees, cooperative agreement recipients (40 CFR part 30), and parties to cooperative research and development agreements (15 U.S.C. 3710a) who have submitted invention reports to EPA. Invention reports, patent applications, patents, patent assignments, licenses, procurement requests, Government purchase orders, and other documents relevant to inventions made under EPA sponsorship. E.O. 9865, E.O. 10096, 35 U.S.C. Ch. 18 (Patent Rights in Inventions Made with Federal Assistance), 37 CFR parts 101 and 404, 40 CFR part 30, 48 CFR parts 27 and 52. 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. These records may be disclosed routinely: 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, preparation and prosecution of United States and foreign patent applications. 3. To Government agencies whom we contact regarding possible use, interest in or ownership rights in our inventions. 4. To the National Technical Information Service of the Department of Commerce for inclusion in their invention licensing program. 5. 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. 6. To parties, such as supervisors of inventors, whom we contact to determine ownership rights, and to those parties contacting us to determine the Government's ownership. 7. To the United States and foreign Patent and Trademark Offices when we file U.S. and foreign patent applications. 8. To Federal Government contractors, grantees, or volunteers who have been engaged to assist the Federal Government in the performance of a contract, grant, cooperative agreement or other activity related to this system of records and who need to have access to the records in order to perform the activity. Recipients are required to maintain the records in accordance with the requirements of the Privacy Act. 9. To the Department of Justice to the extent that each disclosure is compatible with the purpose for which the record was collected and is relevant and necessary to litigation or anticipated litigation in which one of the following is a party or has an interest; (a) EPA or any of its components, (b) an EPA employee in his or her official capacity, (c) an EPA employee in his or her individual capacity where the Department of Justice is representing or considering representation of the employee, or (d) the United States where EPA determines that the litigation is likely to affect the Agency. 10. In a proceeding before a court, other adjudicative body or grand jury, or in an administrative or regulatory proceeding, to the extent that each disclosure is compatible with the purpose for which the record was collected and is relevant and necessary to the proceeding in which one of the following is a party or has an interest: (a) EPA or any of its components, (b) an EPA employee in his or her official capacity, (c) an EPA employee in his or her individual capacity where the Department of Justice is representing or considering representation of the employee, or (d) the United States where EPA determines that the litigation is likely to affect the Agency. Such disclosures include, but are not limited to, those made in the course of presenting evidence, conducting settlement negotiations, and responding to requests for discovery. 11. To a Member of Congress or a congressional office in response to an inquiry from that Member or office made at the request of the individual to whom the record pertains. 12. To a Federal agency which has requested information relevant to its decision in connection with the firing or retention of an employee; the reporting of an investigation on an employee; the letting of a contract; or the issuance of a security clearance, license, grant, or other benefit. 13. To a Federal, State or local agency where necessary to enable EPA to obtain information relevant to an EPA decision concerning the hiring or retention of an employee; the letting of a contract; or the issuance of a security clearance, license, grant or other benefit. 14. To an appropriate Federal, State, local or foreign agency responsible for investigation, prosecuting, enforcing, or implementing a statute, rule, regulation or order, where there is an indication of a violation or potential violation of the statute, rule, regulation or order and the information disclosed is relevant to the matter. Individual file folders in file cabinets and indexed on computer tracking system. Indexed and retrieved by inventor's name, by case identification number, and by patent application number or patent number. Access is limited to EPA personnel with an official need to know. During non-business hours, the files are kept in a locked room in a building with controlled access. In addition, access to the computerized index is limited to EPA personnel with an official need to know and an authorized password. The records are maintained for seventeen years after completion or termination of action on the disclosed invention, such as issuance of a patent. The records are maintained at EPA for approximately three to eight years and are then sent to a Federal Records Center for the remainder of the applicable retention period. Associate General Counsel, General and Information Law Division (2379), Office of General Counsel, U.S. Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460. Notification procedure: Written inquiries should be directed to the System Manager at the address listed above. The System Manager will provide additional information or requirements if necessary. Same as Notification Procedure. In addition, individuals seeking access should reasonably specify the record contents being sought. Same as Notification Procedure. In addition, individuals contesting records should reasonably identify the record and specify the information being contested. The corrective action being sought and supporting justification for that action should be provided. Records in the system are obtained from invention report submitters covered by this system, 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 searched 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. None. [FR Doc. 94-16075 Filed 6-30-94; 8:45 am] BILLING CODE 6560-50-P