[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