Federal Register / Vol. 76, No. 234 / Tuesday, December 6, 2011 / Notices 76215 

System Event Messages (e.g., start of messages, start 

of system hours, start of quoting, start of opening); 

(4) Complex Order Strategy Auction Notifications 

(COLA); (5) Complex Order Strategy messages; (6) 

Option Trading Action Messages (e.g., halts, 

resumes); and (7) Complex Strategy Trading Action 

Message (e.g., halts, resumes). 

15See Securities Exchange Act Release No. 63034 

(October 4, 2010), 75 FR 62441 (October 8, 2010) 

(SR–Phlx–2010–124). 16 15 U.S.C. 78s(b)(3)(A)(ii). 17 17 CFR 200.30–3(a)(12). 

addition, non quoting firms that would 

like to receive the relevant information 

available over SQF will be allowed to 

connect to the SQF interface, but not 

send quotes.15 The tiers are designed to 

recoup costs associated with the ports 

while providing increased efficiency 

with the new release. 

The Exchange also believes that it is 

reasonable to eliminate the $500 per 

month cap for Phlx Only Members that 

have 50 or less SQT assignments 

affiliated with member organizations 

because there are no members today 

which meet the criteria for this cap. 

The Exchange believes that the 

amended tiers, which are increased for 

two categories, are equitable and not 

unfairly discriminatory because the 

features of SQF 6.0 are available to all 

participants. In addition, the member 

organizations with the greater number of 

ports, and therefore the greater system 

usage, will experience the increase. 

The Exchange believes that 

eliminating the $500 per month cap for 

the smaller organizations, defined as 

Phlx Only Members with 50 or less SQT 

assignments, is equitable and not 

unfairly discriminatory because there 

are no member organizations that will 

be impacted today by the elimination of 

this cap. There are no member 

organizations today that are eligible for 

the cap. 

The Exchange believes that adopting 

a $41,000 monthly cap is equitable and 

not unfairly discriminatory because all 

members utilizing SQF 6.0 ports may 

take advantage of the $41,000 cap 

without limitation. The Exchange 

believes that the member organizations 

with the greatest number of ports will 

benefit from the proposed $41,000 

monthly cap. These are also the member 

organizations with the greatest system 

usage and therefore the largest costs. 

Finally, the Exchange believes that it 

is reasonable, equitable and not unfairly 

discriminatory to discontinue the 

practice of only billing member 

organizations for the use of active SQF 

5.0 ports to the extent the member 

organization was paying is paying the 

same (or greater) number of active SQF 

6.0 ports. As mentioned herein, the 

Exchange believes that it has provided 

member organizations ample time to 

transition and this practice is no longer 

necessary as there should be no member 

organizations utilizing SQF 6.0 [sic] by 

January 3, 2012. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on competition not 

necessary or appropriate in furtherance 

of the purposes of the Act. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were either 

solicited or received 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The foregoing rule change has become 

effective pursuant to Section 

19(b)(3)(A)(ii) of the Act.16 At any time 

within 60 days of the filing of the 

proposed rule change, the Commission 

summarily may temporarily suspend 

such rule change if it appears to the 

Commission that such action is 

necessary or appropriate in the public 

interest, for the protection of investors, 

or otherwise in furtherance of the 

purposes of the Act. If the Commission 

takes such action, the Commission shall 

institute proceedings to determine 

whether the proposed rule should be 

approved or disapproved. 

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 email to rulecomments@sec.gov. Please include File 

No. SR–Phlx–2011–157 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 No. 

SR–Phlx–2011–157. This file number 

should be included on the subject line 

if email 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 Web site viewing and 

printing 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 such 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 No. SR–Phlx–2011– 

157 and should be submitted on or 

before December 27, 2011. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.17

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2011–31204 Filed 12–5–11; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice 7709] 

Privacy Act; System of Records: 

State–78, Risk Analysis and 

Management Records 

SUMMARY: Notice is hereby given that 

the Department of State proposes to 

create a system of records, Risk Analysis 

and Management Records, State–78, 

pursuant to the provisions of the 

Privacy Act of 1974, as amended 

(5 U.S.C. 552a) and Office of 

Management and Budget Circular No. 

A–130, Appendix I. 

DATES: This system of records will be 

effective on January 17, 2012, unless we 

receive comments that will result in a 

contrary determination. 

ADDRESSES: Any persons interested in 

commenting on the new system of 


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76216 Federal Register / Vol. 76, No. 234 / Tuesday, December 6, 2011 / Notices 

records may do so by writing to the 

Director; Office of Information Programs 

and Services, A/GIS/IPS; Department of 

State, SA–2; 515 22nd Street NW.; 

Washington, DC 20522–8001. 

FOR FURTHER INFORMATION CONTACT: 

Director; Office of Information Programs 

and Services, A/GIS/IPS; Department of 

State, SA–2; 515 22nd Street NW.; 

Washington, DC 20522–8001. 

SUPPLEMENTARY INFORMATION: The 

Department of State proposes that the 

new system will be ‘‘Risk Analysis and 

Management Records.’’ The proposed 

system will support the vetting of 

directors, officers, or other employees of 

organizations who apply for Department 

of State contracts, grants, cooperative 

agreements, or other funding. The 

information collected from these 

organizations and individuals is 

specifically used to conduct screening 

to ensure that Department funds are not 

used to provide support to entities or 

individuals deemed to be a risk to U.S. 

national security interests. The records 

may contain criminal investigation 

records, investigatory material for law 

enforcement purposes, and confidential 

source information. 

The Department’s report was filed 

with the Office of Management and 

Budget. The new system description, 

Risk Analysis and Management (RAM) 

Records, State 78, will read as set forth 

below. 

Dated: November 16, 2011. 

Keith D. Miller, 

Director, Office of Operations, Bureau of 

Administration, U.S. Department of State. 

STATE–78 

SYSTEM NAME: 

Risk Analysis and Management 

(RAM) Records. 

SECURITY CLASSIFICATION: 

Classified and Unclassified. 

SYSTEM LOCATION: 

Department of State, 2201 C Street 

NW., Washington, DC 20520; other 

Department of State annexes, posts and 

missions abroad; and the United States 

Agency for International Development 

(USAID), Office of Security, 1300 

Pennsylvania Avenue NW., Washington, 

DC 20523. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

The system covers key personnel of 

organizations who have applied for 

contracts, grants, cooperative 

agreements or other funding from the 

Department of State. These individuals 

may include but are not limited to 

principal officers or directors, program 

managers, chief of party for the program, 

and other individuals employed by the 

organization. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Unclassified information in this 

system includes, but is not limited to: 

name, aliases, date and place of birth, 

gender (as shown in a governmentissued foreign or U.S. photo ID), 

citizenship(s), government-issued 

identification information (including 

but not limited to Social Security 

number if U.S. citizen or Legal 

Permanent Resident, passport number, 

or any other numbers originated by a 

government that specifically identifies 

an individual), mailing address, 

telephone number(s), fax number, email 

address, current employer and job title. 

The type of grant, U.S. dollar value of 

contract/grant, the contract/grant start 

and end date, and the purpose of the 

contract/grant are also contained in the 

system. 

Classified information in this system 

includes, but is not limited to: results 

generated from the screening of 

individuals covered by this Notice; 

intelligence and law enforcement 

information related to national security; 

and national security vetting and 

terrorism screening information 

provided to the Department by other 

agencies. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

18 U.S.C. 2339A, 2339B, 2339C; 

22 U.S.C. 2151 et seq.; Executive Orders 

13224, 13099 and 12947; and Homeland 

Security Presidential Directive–6. 

PURPOSE: 

The information in the system 

supports the vetting of directors, 

officers, or other employees of 

organizations who apply for Department 

of State contracts, grants, cooperative 

agreements, or other funding. The 

information collected from these 

organizations and individuals is 

specifically used to conduct screening 

to ensure that Department funds are not 

used to provide support to entities or 

individuals deemed to be a risk to U.S. 

national security interests. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Information may be disclosed to the 

United States Agency for International 

Development (USAID) and to federal 

government agencies for vetting 

programs. 

The Department of State periodically 

publishes in the Federal Register its 

standard routine uses which apply to all 

of its Privacy Act systems of records. 

These notices appear in the form of a 

Prefatory Statement. These standard 

routine uses apply to State–78, Risk 

Analysis and Management Records. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records in this system are stored in 

both paper and electronic format. 

RETRIEVABILITY: 

Records are retrieved by name, date 

and place of birth, government-issued 

identifying numbers (such as Social 

Security numbers or passport numbers), 

and solicitation number. 

SAFEGUARDS: 

The records are maintained in an 

authorized security container with 

access limited to authorized government 

personnel and authorized contractors. 

Physical security protections include 

guards and locked facilities requiring 

badges. Only authorized government 

personnel and authorized contractors 

can access records within the system. 

The Department mandates and certifies 

that physical and technological 

safeguards appropriate for classified and 

Sensitive but Unclassified systems are 

used to protect the records against 

unauthorized access. All authorized 

government personnel and authorized 

contractors with access to the system 

must hold an appropriate security 

clearance, sign a non-disclosure 

agreement, and undergo both privacy 

and security training. 

Classified and Sensitive but 

Unclassified paper records are kept in 

an approved security container. Access 

to these records is limited to those 

authorized government personnel and 

authorized contractors who have a need 

for the records in the performance of 

their official duties. 

Electronic records are kept in a secure 

database. Access to the records is 

restricted to those authorized 

government personnel and authorized 

contractors with a specific role in the 

vetting process as part of the 

performance of their official duties. The 

RAM database is housed on and 

accessed from a Sensitive but 

Unclassified computer network. Vetting 

requests, analyses, and results will be 

stored separately on a classified 

computer network. Both computer 

networks and the RAM database require 

a user identification name and password 

and approval from the Office of 

Security. An audit trail is maintained 

and periodically reviewed to monitor 

access to the system. When it is 

determined that a user no longer needs 

access, the user account is disabled. 


jlentini on DSK4TPTVN1PROD with NOTICES
Federal Register / Vol. 76, No. 234 / Tuesday, December 6, 2011 / Notices 76217 

Authorized government personnel and 

authorized contractors assigned roles in 

the vetting process are provided rolespecific training to ensure that they are 

knowledgeable in how to protect 

personally identifiable information. 

Access to the Department of State 

records within the system will be 

controlled by the network firewall 

configuration. 

Within the Department of State, all 

users are given cyber security awareness 

training which covers the procedures for 

handling Sensitive but Unclassified 

information, including personally 

identifiable information (PII). Annual 

refresher training is mandatory. In 

addition, all Foreign Service and Civil 

Service employees and those Locally 

Engaged Staff who handle PII are 

required to take the FSI distance 

learning course instructing employees 

on privacy and security requirements, 

including the rules of behavior for 

handling PII and the potential 

consequences if it is handled 

improperly. Before being granted access 

to RAM records, a user must first be 

granted access to the Department of 

State computer system. 

Remote access to the Department of 

State network from non-Department 

owned systems is authorized only 

through a Department-approved access 

program. Remote access to the network 

is configured with the Office of 

Management and Budget Memorandum 

M–07–16 security requirements, which 

include but are not limited to two-factor 

authentication and time out function. 

All Department of State employees and 

contractors with authorized access have 

undergone a thorough background 

security investigation. 

RETENTION AND DISPOSAL: 

Records are retired in accordance 

with published Department of State 

Records Disposition Schedules as 

approved by the National Archives and 

Records Administration (NARA). More 

specific information may be obtained by 

writing the Director; Office of 

Information Programs and Services, 

A/GIS/IPS; Department of State, SA–2; 

515 22nd Street, NW., Washington, DC 

20522–8001. 

SYSTEM MANAGER(S) AND ADDRESS: 

Office of Risk Analysis and 

Management, Department of State, 

Washington, DC, 2201 C St. NW., 

Washington, DC 20520. 

NOTIFICATION PROCEDURE: 

Individuals who have cause to believe 

that Risk Analysis and Management 

Records might have records pertaining 

to them should write to the Director; 

Office of Information Programs and 

Services, A/GIS/IPS, Department of 

State, SA–2; 515 22nd Street NW., 

Washington, DC 20522–8001. The 

individual must specify that he/she 

wishes the records of the Risk Analysis 

and Management Records to be checked. 

At a minimum, the individual must 

include: name; date and place of birth; 

current mailing address and zip code; 

signature; and the approximate dates of 

application for a contract, grant or other 

funding. 

RECORD ACCESS PROCEDURES: 

Individuals who wish to gain access 

to or amend records pertaining to 

themselves should write to the Director, 

Office of Information Programs and 

Services (address above). 

CONTESTING RECORD PROCEDURES: 

(See above.) 

RECORD SOURCE CATEGORIES: 

Information in this system is obtained 

from the application form completed 

and submitted by an organization or 

individual applying for a contract, grant, 

cooperative agreement, or other funding 

from the Department of State. In the 

case of applications submitted by an 

individual in his/her own capacity, the 

information will be collected directly 

from the individual applicant. 

Information in this system may also be 

obtained from public sources, agencies 

conducting national security screening 

law enforcement and intelligence 

agency records, and other government 

databases. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552a(j)(2), 

records in this system may be exempt 

from subsections (c)(3) and (4), (d), 

(e)(1), (2) and (3), (e)(4)(G), (H), and (I), 

(e)(5) and (8), (f), (g) and (h) of the 

Privacy Act. Pursuant to 5 U.S.C. 

552a(k)(1), (k)(2), and (k)(5), records in 

this system may be exempt from 

subsections 5 U.S.C. 552a(c)(3),(d), 

(e)(1), (e)(4)(G), (H), and (I), and (f) of 

the Privacy Act. 

If a record contains information from 

other exempt systems of records, the 

Department of State will rely on the 

exemptions claimed for those systems. 

[FR Doc. 2011–31270 Filed 12–5–11; 8:45 am] 

BILLING CODE 4710–24–P 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

[Docket Number FRA–2011–0089] 

Petition for Waiver of Compliance 

In accordance with part 211 of title 49 

of the Code of Federal Regulations 

(CFR), this document provides the 

public notice that by a document dated 

November 9, 2011, the Association of 

American Railroads (AAR) and the 

American Short Line and Regional 

Railroad Association (ASLRRA) have 

petitioned the Federal Railroad 

Administration (FRA) on behalf of their 

members for a waiver of compliance 

from certain provisions of the Federal 

railroad safety regulations contained at 

49 CFR part 231, Safety Appliance 

Standards. FRA assigned the petition 

Docket Number FRA–2011–0089. 

Specifically, AAR and ASLRRA are 

requesting relief from section 49 CFR 

Section 231.27(b)(3), which requires 

that end platforms on boxcars be 

‘‘centered on each end of car between 

inner ends of handholds not more than 

eight (8) inches above top of center sill.’’ 

The AAR and ASLRRA request relief for 

a group of boxcars that have end 

platforms that may exceed the 8-inch 

maximum by as much as 2 inches. AAR 

and ASLRRA stated that more than 

18,000 cars and 20 different car owners 

are affected. The cars were 

manufactured between 1977 and 2001 

as provided in an attachment to the 

petition. AAR and ALSRRA assert that 

in order to correct the end platform 

variance, many cars would require 

extensive modifications that are costly 

and labor intensive. Additionally, AAR 

and ASLRRA stated that one issue is 

whether the cars in question actually 

violate 49 CFR 231.27(b)(3) based on the 

specific method used to measure the sill 

step relationship to the platform height. 

AAR and ASLRRA believe that waiver 

would resolve any end platform 

variance created by the ambiguous 

wording contained in 49 CFR 

231.27(b)(3). AAR and ASLRRA also 

stated that they are unaware of any 

personal injuries or other incidents 

arising from the height of the end 

platforms. AAR and ASLRRA believe a 

permanent waiver would be appropriate 

instead of the granting of a traditional 

5-year waiver. 

A copy of the petition, as well as any 

written communications concerning the 

petition, is available for review online at 

www.regulations.gov and in person at 

the U.S. Department of Transportation’s 

(DOT) Docket Operations Facility, 1200 

New Jersey Ave. SE., W12–140, 

Washington, DC 20590. The Docket 


jlentini on DSK4TPTVN1PROD with NOTICES