[Federal Register Volume 63, Number 132 (Friday, July 10, 1998)]
[Notices]
[Pages 37423-37426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-18298]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-25; File No. S7-21-98]
Privacy Act of 1974: Establishment of Three New Systems of
Records: Ridesharing System (SEC-44); Public Transportation Subsidy
Program (SEC-45); and Identification Cards, Press Passes, and Proximity
Access Control Cards (SEC-46)
AGENCY: Securities and Exchange Commission.
ACTION: Notice of the establishment of three new systems of records.
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission
(SEC) gives notice of the establishment of three new Privacy Act
systems of records: Ridesharing System (SEC-44); Public Transportation
Subsidy Program (SEC-45); and Identification Cards, Press Passes, and
Proximity Access Control Cards (SEC-46).
DATES: The proposed change will become effective August 19, 1998,
unless further notice is given. The Commission will publish a new
notice if the effective date is delayed to review comments, or if
changes are made based on comments received. To be assured of
consideration, comments must be received by the contact person below on
or before August 10, 1998.
ADDRESSES: Persons wishing to submit comments should file three (3)
copies thereof with Jonathan G. Katz, Secretary, Securities and
Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549.
Reference should be made to File No. [S7-21-98]. Copies of the comments
will be available for public inspection and copying at the SEC's Public
Reference Room, 450 Fifth Street, NW., Washington, DC 20549.
FOR FURTHER INFORMATION CONTACT:
Hannah R. Hall, Privacy Act Officer (202) 942-4320, Office of Filings
and Information Services, Freedom of Information Act and Privacy Act
Operations, Securities and Exchange Commission, Operations Center, 6432
General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
[[Page 37424]]
SUPPLEMENTARY INFORMATION: The SEC gives notice of the establishment of
three new systems of records entitled the Ridesharing System (SEC-44);
Public Transportation Subsidy Program (SEC-45); and Identification
Cards, Press Passes, and Proximity Access Control Cards (SEC-46).
The SEC is establishing SEC-44 to administer its ridesharing
program for those SEC employees who participate in a vanpool or
carpool. The ridesharing system allows SEC employees who participate in
a vanpool or carpool for equitable parking based on established
criteria.
The SEC is establishing SEC-45 to administer its subsidy program
for those SEC employees who use public transportation. The SEC's public
transportation subsidy program was designed to reduce transportation to
work by private conveyance and to increase the use of public
transportation--thus reducing traffic congestion, energy consumption,
and vehicular pollution. Generally, the subsidy is issued in a manner
that is not readily transferable into cash. At the SEC Headquarters,
the subsidy is distributed on a bimonthly basis whereas in the field
offices, the method or period for distributing the subsidy is left to
the discretion of each Regional Director and District Administrator.
The SEC is establishing SEC-46 to administer its Identification
Cards, Press Passes, and Proximity Access Control Cards program for
those SEC employees, members of the press, contractors, and
consultants, who require access to SEC facilities. The SEC's
identification card program was designed to facilitate access to SEC
facilities and to exit the same.
The new systems of records reports, as required by 5 U.S.C. 552a(r)
of the Privacy Act, have been submitted to the Committee on Government
Operations of the House of Representatives, the Committee on Government
Affairs of the Senate, and the Office of Management and Budget,
pursuant to Appendix I to OMB Circular A-130, ``Federal Agency
Responsibilities for Maintaining Records About Individuals,'' as
amended on February 20, 1996 (61 FR 6428, 6435).
Accordingly, the SEC proposes to establish the following systems of
records.
SEC-44
System Name:
Ridesharing System.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413.
Categories of individuals covered by the system:
SEC employees who participate in a vanpool or carpool and apply for
parking permits.
Categories of records in the system:
Records include SEC Form 2421 (Official Parking Application).
Records contain the employee's name, home address, SEC telephone
number, and vehicle make, model, year, tag number, and state.
Authority for maintenance of the system:
Exec. Order 12191; 41 CFR 101-6.3; 41 CFR 101-20.104; and 41 CFR
101-20.104-1 through 4, and 42 U.S.C. 13201.
Purpose:
The system is primarily designed to encourage the formulation of
carpools or vanpools, as a means to conserve petroleum, reduce
congestion, and improve air quality; and to provide equitable parking
based upon established criteria.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
No routine use disclosures have been established for these records.
The records and information contained in these records will not be
disclosed outside the SEC, unless mandated by law. See Conditions of
Disclosure to Third Parties, 5 U.S.C. 552a(b).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Retrievability:
Electronic records may be searched and retrieved by the employee's
name or parking permit number. Paper records are retrieved by the
parking permit number only.
Safeguards:
Paper records are placed in a locked file cabinet, and the data
which is extracted from these paper records is keyed into a computer
database, safeguarded by restricted passwords.
Retention and disposal:
Records are maintained on one form and in a computer database.
Documentation (paper and electronic records) is kept for two years then
destroyed.
System manager(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Record access procedures:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of this record may contact the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Information is provided by SEC employees, who have applied for
parking, and by the issuing official.
Exemptions claimed for the system:
None.
SEC-45
System Name:
Public Transportation Subsidy Program.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District Offices
are as follows: Central Regional Office, 1801 California Street, Suite
4800, Denver, CO 80202-2648; Midwest Regional Office, 500 West Madison
Street, Suite 1400, Chicago, IL 60661-2511; Northeast Regional Office,
7 World Trade Center, Suite 1300, New York, NY 10048; Southeast
Regional Office, 1401 Brickell Avenue, Suite 200, Miami, FL 33131;
Atlanta District Office, 3475 Lenox Road, N.E., Suite 1000, Atlanta, GA
30326-1232; Boston District Office, 73 Tremont Street, Suite 600,
Boston, MA 02108-3812; Fort Worth District Office, 801 Cherry Street,
19th Floor, Fort Worth, TX 76102; Philadelphia District Office, The
Curtis Center, Suite 1005 East, 601 Walnut Street, Philadelphia, PA
19106-3322; San Francisco District Office, 44 Montgomery Street, Suite
1100, San
[[Page 37425]]
Francisco, CA 94104; and Salt Lake District Office, 50 South Main
Street, Suite 500, Salt Lake City, UT 84144-0402.
Categories of individuals covered by the system:
SEC employees who use public transportation.
Categories of records in the system:
Records include the employee's name, date of hire, social security
number, organization, grade, and date of annual certification.
Authority for maintenance of the system:
Exec. Order 12191; Pub. L. 101-509, Section 629; Pub. L. 103-172;
26 CFR 1.132-6; and 42 U.S.C. 13201.
Purpose:
The system is primarily designed to encourage employees to use
public transportation as a means to conserve petroleum, reduce
congestion, and improve air quality.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses.
The information contained in these records are used as follows:
1. To the appropriate personnel for periodic review of revalidation
for subsidy;
2. To the Office of Inspector General for investigating allegations
of abuse, should they occur;
3. To the appropriate Federal, State, or local agency responsible
for investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order where the SEC becomes aware of an indication
of a violation or potential violation of civil or criminal law or
regulation; and
4. To another Federal agency or to a court when the Government is
party to a judicial proceeding before the court.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Retrievability:
Records are maintained alphabetically and retrieved by the
employee's name.
Safeguards:
Computerized records are safeguarded by restricted passwords and
the paper records are locked in file cabinets.
Retention and disposal:
Records in either paper or electronic form may include
applications, certification logs, vouchers, and spreadsheets, used to
document the disbursement of transportation subsidies. These records
are destroyed after three years under the National Archives and Records
Administration's General Records Schedule No. 9, Item 7.
System manager(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District
Offices are as follows: Central Regional Office, 1801 California
Street, Suite 4800, Denver, CO 80202-2648; Midwest Regional Office, 500
West Madison Street, Suite 1400, Chicago, IL 60661-2511; Northeast
Regional Office, 7 World Trade Center, Suite 1300, New York, NY 10048;
Southeast Regional Office, 1401 Brickell Avenue, Suite 200, Miami, FL
33131; Atlanta District Office, 3475 Lenox Road, N.E., Suite 1000,
Atlanta, GA 30326-1232; Boston District Office, 73 Tremont Street,
Suite 600, Boston, MA 02108-3812; Fort Worth District Office, 801
Cherry Street, 19th Floor, Fort Worth, TX 76102; Philadelphia District
Office, The Curtis Center, Suite 1005 East, 601 Walnut Street,
Philadelphia, PA 19106-3322; San Francisco District Office, 44
Montgomery Street, Suite 1100, San Francisco, CA 94104; and Salt Lake
District Office, 50 South Main Street, Suite 500, Salt Lake City, UT
84144-0402.
Notification procedure:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Record access procedures:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of this record may contact the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Records include SEC Form 2344, Return/Termination of Public
Transportation Subsidy; SEC Form 2316, Employee Certification for
Public Transportation Subsidy; SEC Form 2317, Receipt for Public
Transportation Subsidy; SEC Form 2318, Disbursing Agents, Voucher; and
SEC Form 2407, Authorization for Third-Party Receipt of Public
Transportation Subsidy.
Exemptions claimed for the system:
None.
SEC-46
System Name:
Identification Cards, Press Passes, and Proximity Access Control
Cards.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413.
Categories and individuals covered by the system:
SEC employees, members of the press, contractors, and consultants
who require access to SEC facilities.
Categories of records in the system:
Records include SEC Form 980, Regular Identification Card (name,
date of birth, weight, height, color of hair and eyes, employee
identification number, and date of expiration); SEC Form 980A, Day Pass
(date, name, organization, and authorized by); SEC Form 990, Special
Credential (signature of employee and card number); SEC Form 2354,
Temporary Pass (date of expiration and control number); SEC Form 2355,
Contractor and Consultant Pass (name, issuing officer, control number,
identification number, date of issue, expiration date, date of birth,
color of hair and eyes, height, weight, and assignment); SEC Form 2264,
Permanent (Resident) Press Pass (name, organization, control number,
and date of expiration); SEC Form 2265 Temporary (Non-Resident) Press
Pass (name, organization, control number, and date of expiration); SEC
Form 725, Identification/Access Control Card Worksheet (various
personal characteristics); and Proximity Access Control Card (name,
clearance(s), company and division).
Authority for maintenance of the system:
The Federal Property and Administrative Services Act of 1949 (63
Stat. 377), as amended.
Purpose:
This system was primarily designed to permit access to SEC
facilities by SEC employees, members of the press, contractors and
consultants.
[[Page 37426]]
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses.
These records and information contained in these records are used
as follows:
1. To the appropriate Federal, State or local agency responsible
for investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order, where the SEC becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation;
2. To another Federal agency or to a court when the Government is
party to a judicial proceeding before the court;
3. To a Federal, State, or local agency, in response to its
requests, in connection with the hiring or retention of an employee,
the issuance of a security clearance, or the conducting of a security
or background investigation of an individual, to the extent that the
information is relevant and necessary to the requesting agency; and
4. To the Office of Inspector General for investigating allegations
of abuse, should they occur.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Retrievability:
By use of a database, records may be retrieved by the employee's
name and identification number.
Safeguards:
Records are safeguarded by restricted computer passwords, locked
file cabinets, and safes.
Retention and disposal:
Records are maintained in a computerized database and paper.
Electronic records, identification cards, and passes are destroyed
three months after expiration, revocation, or return to issuing office,
as provided in the National Archives and Records Administration's
General Records Schedule No. 11, Item 4.
System manger(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Records access procedures:
persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of this record may contact the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6412 General Green Way, Mail Stop O-5, Alexandria, VA 22312-
2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Inforamtion is provided by the SEC employee, contractor,
consultant, or press member being issued the identification card and by
the issuing official.
Exemptions claimed for the system:
None.
Dated: July 2, 1998.
By the Commission.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 98-18298 Filed 7-9-98; 8:45 am]
BILLING CODE 8010-01-M