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 ======END OF PAGE 2====== 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. ======END OF PAGE 3====== 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 ======END OF PAGE 4====== 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 ======END OF PAGE 5====== 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. ======END OF PAGE 6====== 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 ======END OF PAGE 7====== 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. ======END OF PAGE 8====== 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 ======END OF PAGE 9====== (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. ======END OF PAGE 10====== 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, ======END OF PAGE 11====== 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 ======END OF PAGE 12======