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.
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 [40 days after
publication in the Federal Register], 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 [30 days after publication in the Federal Register].
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.
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 to apply 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
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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.
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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
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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
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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.
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.
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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 or
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
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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.
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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 of 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
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(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.
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.
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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 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 the SEC employee,
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contractor, consultant, or press member being issued the identification
card and by the issuing official.
Exemptions claimed for the system: None.
By the Commission.
Jonathan G. Katz
Secretary
July 2, 1998
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