Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 42727 

7 17 CFR 200.30–3(a)(12). 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an e-mail to rulecomments@sec.gov. Please include File 

Number SR–NYSEArca–2009–70 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number SR-NYSEArca–2009–70. This 

file number should be included on the 

subject line if e-mail is used. To help the 

Commission process and review your 

comments more efficiently, please use 

only one method. The Commission will 

post all comments on the Commission’s 

Internet Web site (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change between the 

Commission and any person, other than 

those that may be withheld from the 

public in accordance with the 

provisions of 5 U.S.C. 552, will be 

available for inspection and copying in 

the Commission’s Public Reference 

Room, 100 F Street, NE., Washington, 

DC 20549, on official business days 

between the hours of 10 a.m. and 3 p.m. 

Copies of the filing also will be available 

for inspection and copying at the 

principal office of the Exchange. All 

comments received will be posted 

without change; the Commission does 

not edit personal identifying 

information from submissions. You 

should submit only information that 

you wish to make available publicly. All 

submissions should refer to File 

Number SR–NYSEArca–2009–70 and 

should be submitted on or before 

September 14, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.7

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–20241 Filed 8–21–09; 8:45 am] 

BILLING CODE 8010–01–P 

SOCIAL SECURITY ADMINISTRATION 

Privacy Act of 1974, as Amended; New 

System of Records 

AGENCY: Social Security Administration 

(SSA). 

ACTION: Proposed system of records and 

routine uses: Correction. 

SUMMARY: We are issuing public notice 

of our intent to establish a new system 

of records and routine uses applicable to 

this system of records in accordance 

with the Privacy Act (5 U.S.C. 552a(e)(4) 

and (e)(11)). The proposed system of 

records is entitled the Race and 

Ethnicity Collection System (60–0104), 

hereinafter referred to as the RECS 

system of records. We discuss the 

system of records in the Supplementary 

Information section below. We invite 

public comments on this proposal. We 

published this proposed system of 

records on August 19, 2009 (document 

2009–19935), with an effective date of 

October 9, 2009, unless we receive 

comments before that date that would 

result in a contrary determination. This 

current notice corrects the effective date 

of the proposed RECS system of records 

and routine uses, per below. 

DATES: We filed a report of the proposed 

RECS system of records and routine use 

disclosures with the Chairman of the 

Senate Committee on Homeland 

Security and Governmental Affairs, the 

Chairman of the House Committee on 

Oversight and Government Reform, and 

the Director, Office of Information and 

Regulatory Affairs, Office of 

Management and Budget (OMB) on 

August 13, 2009. The proposed RECS 

system of records and routine uses will 

become effective on September 28, 

2009, unless we receive comments 

before that date that would result in a 

contrary determination. 

ADDRESSES: Interested persons may 

comment on this publication by writing 

to the Executive Director, Office of 

Privacy and Disclosure, Office of the 

General Counsel, Social Security 

Administration, Room 3–A–6 

Operations Building, 6401 Security 

Boulevard, Baltimore, Maryland 21235– 

6401. All comments we receive will be 

available for public inspection at the 

above address. 

FOR FURTHER INFORMATION CONTACT: 

Alicia Matthews, Social Insurance 

Specialist (Senior Analyst), Disclosure 

Policy Development and Services 

Division 1, Office of Privacy and 

Disclosure, Office of the General 

Counsel, Social Security 

Administration, 3–A–6 Operations 

Building, 6401 Security Boulevard, 

Baltimore, Maryland 21235–6401, 

telephone: (410) 965–1723, e-mail: 

alicia.matthews@ssa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background and Purpose of the 

Proposed RECS System of Records 

A. General Background 

In October 1997, the Office of 

Management and Budget (OMB) 

announced revised government-wide 

standards for Federal agencies collecting 

race and ethnicity (RE) data (62 FR 

58782, Oct. 30, 1997, Revisions to the 

Standards for the Classification of 

Federal Data on Race and Ethnicity). 

We need RE data for program 

evaluation, research, and statistical 

reporting purposes. We do not use RE 

data to make decisions about a person’s 

application for benefits or any other 

programmatic determination. Prior to 

1987, we collected RE data from persons 

on a voluntary basis when they applied 

for either original or replacement Social 

Security number (SSN) cards. Since 

1987, however, we have issued most 

original SSN cards through an 

enumeration-at-birth program (EAB), 

which is administered by the States. As 

the States do not collect RE information, 

we do not maintain RE information for 

EAB applicants. Since 2002, the 

Department of Homeland Security 

(DHS) has taken applications for SSN 

cards from aliens entering the United 

States through the enumeration-at-entry 

(EAE) program. DHS does not provide 

us with RE information on EAE 

applicants. 

We currently maintain the RE data 

that we collect in an existing Privacy 

Act system of records, the Master Files 

of SSN Number Holders and SSN 

Applications. The RE data we currently 

collect is limited to these categories: 

Asian, Asian-American or Pacific 

Islander; Hispanic; Black (Not 

Hispanic); North American Indian or 

Alaskan Native; and White (Not 

Hispanic). Under the current standards, 

persons who provide us race 

information can designate only one of 

the categories, and they do not have the 

option of designating both their race and 

ethnicity. 


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42728 Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 

We will no longer collect RE 

information using our limited 

categories. Pursuant to the OMB 

mandated standards, we will use the 

following categories to collect RE 

information: 

Race 

• Alaska Native, 

• American Indian, 

• Asian, 

• Black/African American, 

• Native Hawaiian, 

• Other Pacific Islander, and 

• White. 

Ethnicity 

• Hispanic/Latino. 

Under the OMB standards, persons 

may voluntarily designate one or more 

categories under ‘‘Race’’ and designate 

‘‘yes’’ or ‘‘no’’ under the ‘‘Ethnicity’’ 

category. 

We will collect RE information that 

conforms to the OMB standards for the 

continuing purposes of program 

evaluation, research, and statistical 

reporting. Using the OMB standards, we 

will maintain all future collections of 

RE data in a separate electronic system 

covered by the proposed RECS system 

of records. The proposed RECS system 

of records will cover RE data about 

persons issued original or replacement 

SSN cards who do not apply through 

the EAB or EAE programs. 

B. Collection and Maintenance of the 

Data for the Proposed RECS System of 

Records 

We will collect, maintain, and retrieve 

personally identifiable information (i.e., 

SSNs) of persons who voluntarily 

provide their RE data when they request 

an original or replacement SSN card 

from us in an electronic system covered 

by the proposed RECS system of 

records. Therefore, the RECS 

information collection is a system of 

records as defined by the Privacy Act. 

II. Proposed Routine Use Disclosures of 

Data Covered by the Proposed RECS 

System of Records 

A. Proposed Routine Use Disclosures 

We are proposing to establish the 

following routine uses of the 

information covered by the proposed 

RECS system of records. 

1. To the Office of the President in 

response to an inquiry from that office 

made at the request of the subject of the 

record or a third party on that person’s 

behalf. 

We will disclose RE information 

under this routine use only when the 

Office of the President makes an inquiry 

relating to information contained in this 

system of records and indicates that it 

is acting on behalf of the person whose 

record is requested. 

2. To a congressional office in 

response to an inquiry from that office 

made at the request of the subject of a 

record or a third party on that person’s 

behalf. 

We will disclose RE information 

under this routine use only when a 

member of Congress, or member of his 

or her staff, makes an inquiry relating to 

information contained in this system of 

records and indicates that he or she is 

acting on behalf of the person whose 

record is requested. 

3. To the Department of Justice (DOJ), 

a court, other tribunal, or another party 

before such court or tribunal when: 

(a) SSA or any of our components; 

(b) Any SSA employee in his or her 

official capacity; 

(c) Any SSA employee in his or her 

individual capacity when DOJ (or SSA 

when we are authorized to do so) has 

agreed to represent the employee; or 

(d) The United States or any agency 

thereof when we determine that the 

litigation is likely to affect the 

operations of SSA or any of our 

components, is party to litigation or has 

an interest in such litigation, and we 

determine that the use of such records 

by DOJ, a court, other tribunal, or 

another party before such court or 

tribunal is relevant and necessary to the 

litigation. In each case, however, we 

must determine that such disclosure is 

compatible with the purpose for which 

we collected the records. 

We will disclose RE information 

under this routine use as necessary to 

enable DOJ to effectively defend us, our 

components, or our employees in 

litigation when the use of information 

from the proposed system of records is 

relevant and necessary to the litigation 

and compatible with the purpose of the 

information collection. We will also 

disclose information to ensure that 

courts, other tribunals, and parties 

before such courts or tribunals, have 

appropriate information when relevant 

and necessary. 

4. To a Federal, State, or 

congressional support agency (e.g., 

Congressional Budget Office and the 

Congressional Research Staff in the 

Library of Congress) for research, 

evaluation, or statistical studies. Such 

disclosures include, but are not limited 

to: 

(a) Releasing information to assess the 

extent to which one can predict 

eligibility for Supplemental Security 

Income (SSI) payments or Social 

Security disability insurance benefits or 

other programs under the Social 

Security Act; 

(b) Examining the distribution of 

benefits under programs of the Social 

Security Act by economic and 

demographic groups and how these 

differences might be affected by possible 

changes in policy; 

(c) Analyzing the interaction of 

economic and non-economic variables 

affecting entry and exit events and 

duration in the Title II Old Age, 

Survivors, and Disability Insurance and 

the Title XVI SSI disability programs; 

and, 

(d) Analyzing retirement decisions 

focusing on the role of Social Security 

benefit amounts, automatic benefit 

recomputation, the delayed retirement 

credit, and the retirement test. 

We may make these disclosures if we: 

(1) Determine that the routine use 

does not violate legal limitations under 

which the record was provided, 

collected, or obtained; 

(2) Determine that the purpose for 

which the proposed use is to be made: 

(i) Cannot reasonably be 

accomplished unless the record is 

provided in a form that identifies a 

person; 

(ii) Is of sufficient importance to 

warrant the effect on, or risk to, the 

privacy of the person which such 

limited additional exposure of the 

record might bring; 

(iii) Has a reasonable probability of 

being accomplished; 

(iv) Is of importance to the programs 

under the Social Security Act and 

beneficiaries of such programs or is for 

an epidemiological research project that 

relates to programs under the Social 

Security Act or beneficiaries of such 

programs; 

(3) Require the recipient of 

information to: 

(i) Establish appropriate 

administrative, technical, and physical 

safeguards to prevent unauthorized use 

or disclosure of the record and agree to 

on-site inspection by our employees, 

our agents, or by independent agents of 

the recipient agency of those safeguards; 

(ii) Remove or destroy the information 

that enables the person to be identified 

at the earliest time that the recipient can 

do so consistent with the purpose of the 

project, unless the recipient receives 

written authorization from us that it is 

justified, based on research objectives, 

in retaining such information; 

(iii) Make no further use of the 

records except: 

(a) Under emergency circumstances 

affecting the health and safety of a 

person following written authorization 

from us; 

(b) For disclosure to an identified 

person approved by us for the purpose 

of auditing the research project; 


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Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 42729 

(iv) Keep the data as a system of 

statistical records. A statistical record is 

one which is maintained only for 

statistical and research purposes and 

which is not used to make any 

determination about a person; 

(4) Secure a written statement by the 

recipient of the information attesting to 

the recipient’s understanding of, and 

willingness to abide by, these 

provisions. 

The use of the revised OMB 

standards, which include more 

categories, will permit us to develop 

richer and more comprehensive 

information that can be used in 

actuarial, epidemiological, economic, 

and other social science projects that 

will ultimately benefit us, the public, 

and other Federal, State, or 

congressional support agencies’ 

programs. The use of the information 

will allow new studies to occur 

regarding the administration of the 

Social Security program and other 

related purposes that we and other 

agencies might not otherwise undertake 

due to the lack of data. Other related 

purposes include studies conducted by 

the Centers for Medicare and Medicaid 

Services to address health care 

disparities on the basis of race, 

ethnicity, and gender for Medicare and 

Medicaid beneficiaries under Titles 

XVIII and XIX of the Social Security 

Act. 

5. To our contractors and grantees 

performing program evaluation, 

research, and statistical activities 

directly relating to this system of 

records, and to contractors or grantees 

for another Federal or State agency 

performing such activities. 

We occasionally contract out certain 

agency functions when doing so 

contributes to effective and efficient 

operations. Other Federal and State 

agencies also occasionally use 

contractors or grantees to perform 

program evaluation and analysis. We 

must be able to give the contractor or 

grantee the information needed to fulfill 

the contract requirements. In these 

situations, we require safeguards in the 

contract that prohibit the contractor 

from using or disclosing the information 

for any purpose other than that 

described in the contract. We also 

assure that contractors for other Federal 

and State agencies adhere to these 

safeguards. 

6. To student volunteers, persons 

working under a personal services 

contract, and others who are not 

technically Federal employees, when 

they are performing work for us as 

authorized by law, and they need access 

to information in our records in order to 

perform their assigned agency duties. 

We will disclose RE information 

under this routine use only when we 

use the services of student volunteers 

and participants in certain educational, 

training, employment, and community 

service programs when they need access 

to RE information in this system to 

perform their assigned agency duties. 

7. To the General Services 

Administration (GSA) and the National 

Archives Records Administration 

(NARA) under 44 U.S.C. 2904 and 2906, 

as amended by the NARA Act, 

information that is not restricted from 

disclosure by Federal law for their use 

in conducting records management 

studies. 

We will disclose RE information 

under this routine use only when it is 

necessary for GSA and NARA to have 

access to the information covered by 

this proposed system of records. The 

Administrator of GSA and the Archivist 

of NARA are authorized by Title 44 

U.S.C. 2904, as amended, to promulgate 

standards, procedures, and guidelines 

regarding records management and 

conducting records management 

studies. Title 44 U.S.C. 2906, as 

amended, provides that GSA and NARA 

are authorized to inspect Federal 

agencies’ records for records 

management purposes and that agencies 

are to cooperate with GSA and NARA. 

8. To the appropriate Federal, State, 

and local agencies, entities, and persons 

when (1) we suspect or confirm that the 

security or confidentiality of 

information in this system of records 

has been compromised; (2) we 

determine that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or our other 

systems or programs that rely upon the 

compromised information; and (3) we 

determine that disclosing the 

information to such agencies, entities, 

and persons is necessary to assist in our 

efforts to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. We will 

use this routine use to respond only to 

those incidents involving an 

unintentional release of our records. 

We will disclose RE information 

under this routine use specifically in 

connection with response and 

remediation efforts in the event of an 

unintentional release of agency 

information, otherwise known as a 

‘‘data security breach.’’ This routine use 

will protect the interests of the people 

whose information is at risk by allowing 

us to take appropriate steps to facilitate 

a timely and effective response to a data 

breach. The routine use will also help 

us improve our ability to prevent, 

minimize, or remedy any harm that may 

result from a compromise of data 

covered by this system of records. 

9. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, 

information necessary: 

(a) To enable them to assure the safety 

of our employees and the public, the 

security of our workplace, and the 

operation of our facilities; or 

(b) To assist investigations or 

prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

our facilities. 

We will disclose RE information 

under this routine use to law 

enforcement agencies and private 

security contractors when information is 

needed to respond to, investigate, or 

prevent activities that jeopardize the 

security and safety of the public, 

employees, or workplaces, or that 

otherwise disrupt the operation of our 

facilities. We will disclose information 

to assist in prosecuting persons charged 

with violating a Federal, State, or local 

law in connection with such activities. 

B. Compatibility of Proposed Routine 

Uses 

The Privacy Act (5 U.S.C. 552a(b)(3)) 

and our disclosure regulations (20 CFR 

Part 401) permit us to disclose 

information under a published routine 

use for a purpose that is compatible 

with the purpose for which we collected 

the information. The proposed routine 

uses will ensure that we efficiently 

perform our functions relating to the 

purpose and administration of the 

proposed RECS system of records. Our 

regulations provide that we will 

disclose information when a law 

specifically requires disclosure (Section 

401.120). Federal law requires the 

disclosures that we make under routine 

use number seven. We will disclose 

information under routine use number 

seven to the extent another Federal law 

does not prohibit the disclosure; e.g., 

the Internal Revenue Code generally 

prohibits the disclosure of tax return 

information which we receive to 

maintain individual earnings records. 

Therefore, all routine uses are 

appropriate and meet the relevant 

statutory and regulatory criteria. 

III. Record Storage Medium and 

Safeguards for the Information Covered 

by the Proposed RECS System of 

Records 

We will maintain RE information 

covered by the proposed RECS system 

of records in electronic and paper form. 

We will keep paper records in locked 


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42730 Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 

cabinets or in otherwise secure areas. 

We will safeguard the security of the 

electronic information covered by the 

proposed RECS system of records by 

requiring the use of access codes to 

enter the computer system that will 

house the data. We will permit only our 

authorized employees and contractors 

who require the information to perform 

their official duties to access the 

information covered by the proposed 

RECS system of records. 

We provide appropriate security 

awareness and training annually to all 

our employees and contractors that 

include reminders about the need to 

protect personally identifiable 

information and the criminal penalties 

that apply to unauthorized access to, or 

disclosure of, personally identifiable 

information. See 5 U.S.C. 552a(i)(1). 

Furthermore, employees and contractors 

with access to databases maintaining 

personally identifiable information must 

sign a sanction document annually, 

acknowledging their accountability for 

making unauthorized access to, or 

disclosure of, such information. 

IV. Effects of the Proposed RECS 

System of Records on the Rights of 

Individuals 

We will maintain RE information that 

is relevant to our agency’s program 

evaluation, research, and statistical 

reporting functions in the electronic 

system covered by the proposed RECS 

system of records. We will not use RE 

information to make a determination 

about entitlement to insurance coverage 

or benefits under the Social Security 

Act. We employ safeguards to protect 

the confidentiality of all personally 

identifiable information in our 

possession. We will adhere to the 

provisions of the Privacy Act and other 

applicable Federal statutes that govern 

our use and disclosure of the RE 

information that is covered by the 

proposed RECS system of records. We 

will disclose information under the 

routine uses discussed in this 

publication only as necessary to 

accomplish the stated purposes. 

Therefore, we do not anticipate that the 

proposed RECS system of records or 

routine use disclosures will have any 

unwarranted adverse effect on the 

privacy or other rights of persons who 

request an original or replacement SSN 

card from us. 

Dated: August 18, 2009. 

Michael J. Astrue, 

Commissioner. 

Social Security Administration; Notice 

of New System of Records; Required by 

the Privacy Act of 1974, as Amended 

SYSTEM NUMBER: 60–0104 

SYSTEM NAME: 

Race and Ethnicity Collection System 

(RECS), Social Security Administration 

(SSA). 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

SSA, Office of Telecommunications 

and Systems Operations, 6401 Security 

Boulevard, Baltimore, Maryland 21235. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Successfully enumerated applicants 

for Social Security number (SSN) cards, 

other than those who receive cards 

through the enumeration-at-birth (EAB) 

or enumeration-at-entry programs 

(EAE), when such persons voluntarily 

provide race and ethnicity (RE) data. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

SSN and RE data collected during 

contacts with the successfully 

enumerated applicants for SSN cards 

described above. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Sections 702, 704 and 1106 of the 

Social Security Act (42 U.S.C. 902, 904, 

and 1306), and SSA regulations at 20 

CFR 401.165. 

PURPOSE(S): 

This system of records will cover RE 

data collected during contacts with 

persons who conduct enumeration 

business with us, other than those who 

receive cards through the EAB or EAE 

programs. 

ROUTINE USES OF RECORDS COVERED BY THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Routine use disclosures are as 

indicated below: 

1. To the Office of the President in 

response to an inquiry from that office 

made at the request of the subject of the 

record or a third party on that person’s 

behalf. 

2. To a congressional office in 

response to an inquiry from that office 

made at the request of the subject of a 

record or a third party on that person’s 

behalf. 

3. To the Department of Justice (DOJ), 

a court, other tribunal, or another party 

before such court or tribunal when: 

(a) SSA or any of our components; 

(b) Any SSA employee in his or her 

official capacity; 

(c) Any SSA employee in his or her 

individual capacity when DOJ (or SSA 

when we are authorized to do so) has 

agreed to represent the employee; or 

(d) The United States or any agency 

thereof when we determine that the 

litigation is likely to affect the 

operations of SSA or any of our 

components, is party to litigation or has 

an interest in such litigation, and we 

determine that the use of such records 

by DOJ, a court, other tribunal, or 

another party before such court or 

tribunal is relevant and necessary to the 

litigation. In each case, however, we 

must determine that such disclosure is 

compatible with the purpose for which 

we collected the records. 

4. To a Federal, State, or 

congressional support agency (e.g., 

Congressional Budget Office and the 

Congressional Research Staff in the 

Library of Congress) for research, 

evaluation, or statistical studies. Such 

disclosures include, but are not limited 

to: 

(a) Releasing information to assess the 

extent to which one can predict 

eligibility for Supplemental Security 

Income (SSI) payments or Social 

Security disability insurance benefits or 

other programs under the Social 

Security Act; 

(b) Examining the distribution of 

benefits under programs of the Social 

Security Act by economic and 

demographic groups and how these 

differences might be affected by possible 

changes in policy; 

(c) Analyzing the interaction of 

economic and non-economic variables 

affecting entry and exit events and 

duration in the Title II Old Age, 

Survivors, and Disability Insurance and 

the Title XVI SSI disability programs; 

and, 

(d) Analyzing retirement decisions 

focusing on the role of Social Security 

benefit amounts, automatic benefit 

recomputation, the delayed retirement 

credit, and the retirement test. We may 

make these disclosures if we: 

(1) Determine that the routine use 

does not violate legal limitations under 

which the record was provided, 

collected, or obtained; 

(2) Determine that the purpose for 

which the proposed use is to be made: 

(i) Cannot reasonably be 

accomplished unless the record is 

provided in a form that identifies a 

person; 

(ii) Is of sufficient importance to 

warrant the effect on, or risk to, the 

privacy of the person which such 


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Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 42731 

limited additional exposure of the 

record might bring; 

(iii) Has a reasonable probability of 

being accomplished; 

(v) Is of importance to the programs 

under the Social Security Act and 

beneficiaries of such programs or is for 

an epidemiological research project that 

relates to programs under the Social 

Security Act or beneficiaries of such 

programs; 

(3) Require the recipient of 

information to: 

(i) Establish appropriate 

administrative, technical, and physical 

safeguards to prevent unauthorized use 

or disclosure of the record and agree to 

on-site inspection by our employees, 

our agents, or by independent agents of 

the recipient agency of those safeguards; 

(ii) Remove or destroy the information 

that enables the person to be identified 

at the earliest time that the recipient can 

do so consistent with the purpose of the 

project, unless the recipient receives 

written authorization from us that it is 

justified, based on research objectives, 

in retaining such information; 

(iii) Make no further use of the 

records except: 

(a) Under emergency circumstances 

affecting the health and safety of a 

person following written authorization 

from us; 

(b) For disclosure to an identified 

person approved by us for the purpose 

of auditing the research project; 

(iv) Keep the data as a system of 

statistical records. A statistical record is 

one which is maintained only for 

statistical and research purposes and 

which is not used to make any 

determination about a person; 

(4) Secure a written statement by the 

recipient of the information attesting to 

the recipient’s understanding of, and 

willingness to abide by, these 

provisions. 

5. To our contractors and grantees 

performing program evaluation, 

research, and statistical activities 

directly relating to this system of 

records, and to contractors or grantees 

for another Federal or State agency 

performing such activities. 

6. To student volunteers, persons 

working under a personal services 

contract, and others who are not 

technically Federal employees, when 

they are performing work for us as 

authorized by law, and they need access 

to information in our records in order to 

perform their assigned agency duties. 

7. To the General Services 

Administration and the National 

Archives Records Administration 

(NARA) under 44 U.S.C. 2904 and 2906, 

as amended by the NARA Act, 

information that is not restricted from 

disclosure by Federal law for their use 

in conducting records management 

studies. 

8. To the appropriate Federal, State, 

and local agencies, entities, and persons 

when (1) we suspect or confirm that the 

security or confidentiality of 

information in this system of records 

has been compromised; (2) we 

determine that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or our other 

systems or programs that rely upon the 

compromised information; and (3) we 

determine that disclosing the 

information to such agencies, entities, 

and persons is necessary to assist in our 

efforts to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. We 

will use this routine use to respond only 

to those incidents involving an 

unintentional release of our records. 

9. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, 

information necessary: 

(a) To enable them to assure the safety 

of our employees and the public, the 

security of our workplace, and the 

operation of our facilities; or 

(b) To assist investigations or 

prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

our facilities. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

We will store records in this system 

in electronic and paper form. 

RETRIEVABILITY: 

We will retrieve records by SSN. 

ACCESSIBILITY: 

Our researchers and statisticians 

prepare micro-data files about persons 

who are current, recently terminated, or 

potential recipients of benefits from 

Social Security and related programs for 

program evaluation, research, and 

statistical studies. When the product is 

in the form of micro-data, we make it 

available without personal identifiers to 

our other components and certain other 

agencies for data processing and data 

manipulation. 

SAFEGUARDS: 

We retain electronic and paper files 

with personal identifiers in secure 

storage areas accessible only to our 

authorized employees and contractors. 

We limit access to data with personal 

identifiers from this system to persons 

or organizations authorized by our 

Office of Research, Evaluation, and 

Statistics. We furnish specially edited 

micro-files on request to public and 

private organizations for purposes of 

research and analysis. We include 

further confidentiality protections in 

our data agreements. 

We provide appropriate security 

awareness and training annually to all 

our employees and contractors that 

include reminders about the need to 

protect personally identifiable 

information and the criminal penalties 

that apply to unauthorized access to, or 

disclosure of, personally identifiable 

information. See 5 U.S.C. 552a(i)(1). 

Furthermore, employees and contractors 

with access to databases maintaining 

personally identifiable information must 

sign a sanction document annually, 

acknowledging their accountability for 

making unauthorized access to, or 

disclosure of, such information. 

RETENTION AND DISPOSAL: 

For purposes of records management 

disposition authority, we will follow the 

NARA and Department of Defense 

(DOD) 5015.2 regulations (DOD Design 

Criteria Standard for Electronic Records 

Management Software Applications). 

We will permanently maintain RE data 

covered by the RECS system of records. 

We will retain the research and 

statistical micro-data extract (stored on 

the mainframe) for a maximum of 100 

years. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director, Division of Enumeration and 

Death Alerts, Office of Earnings, 

Enumeration, and Administrative 

Systems, Social Security 

Administration, 6401 Security 

Boulevard, Baltimore, MD 21235. 

NOTIFICATION PROCEDURES: 

Persons can determine if this system 

contains a record about them by writing 

to the system manager at the above 

address and providing their name, SSN, 

or other information that may be in this 

system of records that will identify 

them. Persons requesting notification of 

records in person should provide the 

same information, as well as provide an 

identity document, preferably with a 

photograph, such as a driver’s license or 

some other means of identification, such 

as voter registration card, etc. Persons 

lacking identification documents 

sufficient to establish their identity 

must certify in writing that they are the 

person they claim to be and that they 

understand that the knowing and willful 

request for, or acquisition of, a record 


erowe on DSK5CLS3C1PROD with NOTICES
42732 Federal Register / Vol. 74, No. 162 / Monday, August 24, 2009 / Notices 

pertaining to another person under false 

pretenses is a criminal offense. 

Persons requesting notification by 

telephone must verify their identity by 

providing identifying information that 

parallels the information in the record 

to which notification is being requested. 

If we determine that the identifying 

information the person provides by 

telephone is insufficient, the person will 

be required to submit a request in 

writing or in person. If a person requests 

information by telephone on behalf of 

another individual, the subject person 

must be on the telephone with the 

requesting person and with us in the 

same phone call. We will establish the 

subject person’s identity (his or her 

name, SSN, address, date of birth, and 

place of birth, along with one other 

piece of information such as mother’s 

maiden name), and ask for his or her 

consent to provide information to the 

requesting person. Persons requesting 

notification submitted by mail must 

include a notarized statement to us to 

verify their identity or must certify in 

the request that they are the person they 

claim to be and that they understand 

that the knowing and willful request for, 

or acquisition of, a record pertaining to 

another person under false pretenses is 

a criminal offense. These procedures are 

in accordance with SSA Regulations (20 

CFR 401.40). 

RECORD ACCESS PROCEDURES: 

Same as notification procedures. 

Requesters should also reasonably 

specify the record contents being 

sought. These procedures are in 

accordance with SSA Regulations (20 

CFR 401.40(c)). 

CONTESTING RECORD PROCEDURES: 

Same as notification procedures. 

Requesters should also reasonably 

identify the record, specify the 

information they are contesting, and 

state the corrective action sought and 

the reasons for the correction with 

supporting justification showing how 

the record is incomplete, untimely, 

inaccurate, or irrelevant. These 

procedures are in accordance with SSA 

Regulations (20 CFR 401.65(a)). 

RECORD SOURCE CATEGORIES: 

We obtain information covered by this 

system of records from successfully 

enumerated applicants for original or 

replacement SSN cards (or from third 

parties acting on their behalf) who are 

not enumerated through the EAB or EAE 

programs. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

[FR Doc. E9–20286 Filed 8–21–09; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF TRANSPORTATION 

Office of the Secretary 

Notice of Applications for Certificates 

of Public Convenience and Necessity 

and Foreign Air Carrier Permits Filed 

Under Subpart B (Formerly Subpart Q) 

During the Week Ending August 8, 

2009 

The following Applications for 

Certificates of Public Convenience and 

Necessity and Foreign Air Carrier 

Permits were filed under Subpart B 

(formerly Subpart Q) of the Department 

of Transportation’s Procedural 

Regulations (See 14 CFR 301.201 et 

seq.). The due date for Answers, 

Conforming Applications, or Motions to 

Modify Scope are set forth below for 

each application. Following the Answer 

period DOT may process the application 

by expedited procedures. Such 

procedures may consist of the adoption 

of a show-cause order, a tentative order, 

or in appropriate cases a final order 

without further proceedings. 

Docket Number: DOT–OST–2009– 

0183. 

Date Filed: August 5, 2009. 

Due Date for Answers, Conforming 

Applications, or Motion to Modify 

Scope: August 26, 2009. 

Description: Application of Omni Air 

International, Inc. requesting a 

disclaimer of jurisdiction or, 

alternatively, for approval of the transfer 

of its certificate of public convenience 

and necessity. 

Docket Number: DOT–OST–2009– 

0187. 

Date Filed: August 7, 2009. 

Due Date for Answers, Conforming 

Applications, or Motion to Modify 

Scope: August 28, 2009. 

Description: Application of Charter 

Air Transport Inc. requesting authority 

to operate scheduled passenger service 

as a commuter air carrier. 

Renee V. Wright, 

Program Manager, Docket Operations, 

Federal Register Liaison. 

[FR Doc. E9–20271 Filed 8–21–09; 8:45 am] 

BILLING CODE 4910–9X–P 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

[Docket No. FRA 2009–0001–N–20] 

Proposed Agency Information 

Collection Activities; Comment 

Request 

AGENCY: Federal Railroad 

Administration, DOT. 

ACTION: Notice. 

SUMMARY: In accordance with the 

Paperwork Reduction Act of 1995 and 

its implementing regulations, the 

Federal Railroad Administration (FRA) 

hereby announces that it is seeking reapproval of the following information 

collection activities. Before submitting 

these information collection 

requirements for clearance by the Office 

of Management and Budget (OMB), FRA 

is soliciting public comment on specific 

aspects of the activities identified 

below. 

DATES: Comments must be received no 

later than October 23, 2009. 

ADDRESSES: Submit written comments 

on any or all of the following proposed 

activities by mail to either: Mr. Robert 

Brogan, Office of Safety, Planning and 

Evaluation Division, RRS–21, Federal 

Railroad Administration, 1200 New 

Jersey Ave., SE., Mail Stop 17, 

Washington, DC 20590, or Ms. Nakia 

Jackson, Office of Information 

Technology, RAD–20, Federal Railroad 

Administration, 1200 New Jersey Ave., 

SE., Mail Stop 35, Washington, DC 

20590. Commenters requesting FRA to 

acknowledge receipt of their respective 

comments must include a self-addressed 

stamped postcard stating, ‘‘Comments 

on OMB control number 2130–0583.’’ 

Alternatively, comments may be 

transmitted via facsimile to (202) 493– 

6216 or (202) 493–6497, or via e-mail to 

Mr. Brogan at robert.brogan@dot.gov, or 

to Ms. Jackson at 

nakia.jackson@dot.gov. Please refer to 

the assigned OMB control number and 

the title of the information collection in 

any correspondence submitted. FRA 

will summarize comments received in 

response to this notice in a subsequent 

notice and include them in its 

information collection submission to 

OMB for approval. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Robert Brogan, Office of Planning and 

Evaluation Division, RRS–21, Federal 

Railroad Administration, 1200 New 

Jersey Ave., SE., Mail Stop 17, 

Washington, DC 20590 (telephone: (202) 

493–6292) or Ms. Nakia Jackson, Office 

of Information Technology, RAD–20, 

Federal Railroad Administration, 1200 


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