Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices 47889

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SEC–40 is revised as follows:

SEC–40

SYSTEM NAME:

Personnel Management Training

Files-SEC.

SYSTEM LOCATION:

Securities and Exchange Commission,

Operations Center, 6432 General Green

Way, Mail Stop O–1, Alexandria, VA

22312–2413.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Records are maintained on SEC

employees, present and past.

CATEGORIES OF RECORDS IN THE SYSTEM:

Both automated and paper records fall

within the following categories: (a)

Information on internal and external

training provided to employees; (b)

budget tracking information; (c) training

sources used/considered; and (d) class

rosters, notices, and certificates.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302, 2951, 3301, 3372, 4103,

4113, and 4118; and 5 CFR part 410.

PURPOSE:

The records are used for statistical

reports and employee career counseling,

for determining whether mandatory

training has been received, and for

assessing whether the cost, quality, and

appropriateness of courses and sources

merit consideration for fulfilling future

agency training needs.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES:

These records and the information

contained in these records may be used

as follows:

(1) To provide information to

Government training facilities (Federal,

State, or local) and to non-Government

training facilities (private contractors of

training courses or programs, private

schools, etc.), their representatives, or

volunteers working on a contract,

service, grant, or cooperative agreement,

for training purposes;

(2) To respond to inquiries from the

White House, Congressional

committees, the General Accounting

Office, General Services Administration

or the National Archives and Records

Administration, or others charged with

monitoring the work of the Commission

or conducting records management

inspections under authority of 44 U.S.C.

2904 and 2906;

(3) To respond to a subpoena, request

for discovery, or the appearance of a

witness, in connection with any

relevant litigation or proceeding where

the Commission, or past or present

members of its staff, is a party or

otherwise involved in an official

capacity;

(4) To provide information to a

Federal, State, or local governmental

entity or agency in response to its

request, in connection with the

potential violation of civil or criminal

law or other regulation, the hiring or

retention of an employee, the issuance

of a security clearance, the reporting of

an investigation of an employee, the

letting of a contract, or the issuance of

a license, grant, or other benefit by the

requesting agency, to the extent that the

information is relevant and necessary to

the requesting agency’s decision on the

matter; and

(5) To any source from which

additional information is requested,

when necessary to obtain information

relevant to an agency decision to hire or

retain an employee, issue a security

clearance, conduct a security or

suitability investigation of an

individual, classify jobs, let a contract,

or issue a license, grant, or other

benefits.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Electronic media is maintained in a

database, paper records are kept in

binders and folders.

RETRIEVABILITY:

Records are retrievable by employee

name, social security number,

organization, and the assigned training

form number; vendor name; instructor

name; category of training; date(s) of

training; and course title and location.

SAFEGUARDS:

Records are available to authorized

agency staff. Both paper and electronic

media are kept in a secure facility with

24 hour security guard surveillance.

Personnel access to the database records

is restricted by passwords.

RETENTION AND DISPOSAL:

Records are retained for three (3)

fiscal years and destroyed after

completion of any applicable reporting

requirements by the Office of Personnel

Management.

SYSTEM MANAGER(S) AND ADDRESS:

Associate Executive Director, Office of

Administrative and Personnel

Management, Securities and Exchange

Commission, Operations Center, 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 these

records 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 RECORD PROCEDURES:

See Record Access procedures above.

RECORD SOURCE CATEGORIES:

Records that comprise the information

in the system are provided by: The

individual on whom the record is

maintained; agency supervisors and/or

administrative staff on employees being

nominated for training; vendors or

potential vendor sources for training;

and other agency records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Dated: September 4, 1997.

By the Commission.

Margaret H. McFarland,

Deputy Secretary.

[FR Doc. 97–24042 Filed 9–10–97; 8:45 am]

BILLING CODE 8010–01–P

SECURITIES AND EXCHANGE

COMMISSION

[Release Nos. 34–39017; PA–22; File No.

S7–24–97]

Privacy Act of 1974: Establishment of

a New System of Records: Confidential

Treatment Request Imaging System

(SEC–26)

AGENCY: Securities and Exchange

Commission.

ACTION: Notice of the establishment of a

new system 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

gives notice of the establishment of a

new Privacy Act system of records:

Confidential Treatment Request Imaging

System (SEC–26).

DATES: Comments must be received no

later than October 14, 1997. The new

system of records will take effect
47890 Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices

1 In accordance with the Privacy Act of 1974, as

amended, the Commission has provided advance

notice of this new system of records 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 (‘‘OMB’’), and invites public comment

on the new system of records. 5 U.S.C. 552a (e) and

(r); OMB Circular A–130.

2Commission Rule 83, 17 CFR 200.83, provides

a procedure whereby persons submitting

information to the Commission may request that it

not be disclosed under the Freedom of Information

Act. This procedure does not apply where another

procedure exists for requesting confidential

treatment of the information.

3Each year, the FOIA/PA Office receives about

6,000 confidential treatment requests. Those

received between 1981 and June 1992 are

maintained in microfiche. Because information

maintained in these microfiche records is not

retrievable by an individual’s name or other

personal identifier, these records are not subject to

the notice requirements of the Privacy Act.

October 21, 1997, unless the

Commission receives comments which

would result in a contrary

determination.

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. S7–24–97. Copies of the comments

will be available for public inspection

and copying at the Commission’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 the Executive

Director, 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

Commission gives notice of the

establishment of a new system of

records entitled Confidential Treatment

Request Imaging System (SEC–26).1

The Commission is establishing a

computerized system of records, using

advanced imaging technology, to

enhance its ability to store and retrieve

confidential treatment requests

(‘‘CTRs’’) 2 received by the

Commission’s Office of Freedom of

Information Act and Privacy Act

Operations (‘‘FOIA/PA Office’’) after

June 1992.3 Since this system may be

used to retrieve information about

individuals by a word search, the

Privacy Act of 1974, as amended,

requires a general notice of the existence

of this system of records to the public.

The FOIA/PA Office will primarily use

the system to process requests under the

FOIA for agency records. Other

Commission staff may also use records

in the system to process subpoenas and

discovery requests in connection with

pending judicial or administrative

proceedings, and Commission staff or

Commission contractors may use the

records in servicing the system. The

CTRs received by the FOIA/PA Office

usually identify the records for which

confidentiality is being requested, the

case number (composed of letters that

represent the originating office—

Commission Headquarters, or a Regional

or District Office—and a sequential

number), case or subject name, or names

of the parties or individuals involved.

The FOIA/PA Office uses case numbers

to identify similar requests for

confidential treatment. This system also

contains miscellaneous requests

submitted under other Commission

confidential treatment rules.

Accordingly, the Commission

proposes to establish the following

system of records, entitled Confidential

Treatment Request Imaging System.

SEC–26

SYSTEM NAME:

Confidential Treatment Request

Imaging System-SEC.

SYSTEM LOCATION:

Securities and Exchange Commission,

Operations Center, Freedom of

Information Act and Privacy Act

Operations, 6432 General Green Way,

Mail Stop O–5, Alexandria, VA 22312–

2413.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Records are maintained on

individuals whose names appear in

requests for confidential treatment

submitted to the Office of Freedom of

Information Act and Privacy Act

Operations.

CATEGORIES OF RECORDS IN THE SYSTEM:

Requests for confidential treatment

submitted to the Office of Freedom of

Information Act and Privacy Act

Operations after June 1992, which may

identify the case number, case or subject

name, names of the companies or

individuals involved, and the date of

the submission.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 77s, 77sss, 78d, 78d–1, 78d–

2, 78w, 78ll(d), 79t, 80a–37, 80b–11; 5

U.S.C. 552; and 17 CFR 200.83.

PURPOSE:

The system is designed to enhance the

Commission’s ability to store and

retrieve requests for confidential

treatment received by the Office of

Freedom of Information Act and Privacy

Act Operations (‘‘FOIA/PA Office’’) after

June 1992. The system will be used

primarily by the staff of the FOIA/PA

Office who review agency records in

light of applicable requests for

confidential treatment.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES:

These records and the information

contained in these records may be used

as follows:

(1) In processing subpoenas or

requests for discovery, in an

administrative or judicial proceeding

before a court or adjudicative body, to

the extent that they are relevant and

necessary to the proceeding; and

(2) To Commission staff or the

contractor providing support to permit

servicing the system.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained on optical

diskettes, data cartridges, and paper

records.

RETRIEVABILITY:

Records may be retrieved by the case

number, case or subject name, names of

the companies or individuals involved,

and the date of the submission. Record

searches may be restricted to an

individual’s name by a word search.

SAFEGUARDS:

Records are safeguarded through the

use of appropriate computer passwords

to restrict access. In addition, data

cartridges (used for back-up storage of

electronic records) are kept in a locked

storage cabinet which may only be

entered with a passkey. Paper records

are kept in a locked file cabinet with

restricted access. All records are housed

in a building with a 24-hour security

guard.

RETENTION AND DISPOSAL:

Requests for confidential treatment

received by the Office of Freedom of

Information Act and Privacy Act

Operations regarding investigatory

records are maintained indefinitely. All

others are retained for ten (10) years, in

accordance with 17 CFR 200.80f.

SYSTEM MANAGER(S) AND ADDRESS:

Freedom of Information Act/Privacy

Act Officer, Securities and Exchange

Commission, 6432 General Green Way,

Mail Stop O–5, Alexandria, VA 22312–

2413.

NOTIFICATION PROCEDURE:

All requests to determine whether this

system of records contains a record
Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices 47891

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 these

records 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 RECORD PROCEDURES:

See Record Access procedures above.

RECORD SOURCE CATEGORIES:

Letters submitted to the Office of

Freedom of Information Act and Privacy

Act Operations, for confidential

treatment of documents produced to

other Commission staff, in connection

with investigations, enforcement

proceedings, registrations, studies,

procurement/contracts, or other matters

arising under or required by statute,

law, rule, or regulation.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

By the Commission.

Dated: September 4, 1997.

Margaret H. McFarland,

Deputy Secretary.

[FR Doc. 97–24041 Filed 9–10–97; 8:45 am]

BILLING CODE 8010–01–P