19614 Federal Register / Vol. 74, No. 81 / Wednesday, April 29, 2009 / Notices 

11See MSRB Notice 2008–05 (January 31, 2008). 

The comments received on this notice are discussed 

in SR–MSRB–2008–05 (July 29, 2008). See also 

Securities Exchange Act Release No. 58256 (July 30, 

2008) 73 FR 46161 (August 7, 2008) (File No. SR– 

MSRB–2008–05) (proposing the establishment of 

the continuing disclosure service of EMMA). 

Comments relating to voluntary filings of 

continuing disclosure documents not contemplated 

under Exchange Act Rule 15c2–12 are discussed 

herein. 

12See letter from Robert Donovan and Stephen M. 

Fillebrown, National Association of Health and 

Education Facilities Finance Authorities, to Ernesto 

A. Lanza, Senior Associate General Counsel, MSRB, 

dated March 3, 2008. 

13See letter from Rob Yolland, Chairman, 

National Federation of Municipal Analysts, to Mr. 

Lanza, dated March 10, 2008. 

14 17 CFR 200.30–3(a)(12). 

1 15 U.S.C.78s(b)(1). 

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

discriminatory basis without imposing 

restrictions on subscribers from, or 

imposing additional charges on 

subscribers for, re-disseminating such 

documents or otherwise offering valueadded services and products based on 

such documents on terms determined 

by each subscriber. In particular, the 

MSRB believes that the proposed rule 

change will make most voluntary 

continuing disclosure documents 

available for the first time to a broader 

group of private information services 

and, therefore, would promote, rather 

than hinder, further competition, 

growth and innovation in this area. The 

MSRB believes that the benefits realized 

by the investing public from the broader 

and easier availability of disclosure 

information about municipal securities 

that would be provided through the 

EMMA continuing disclosure service 

would justify any potentially negative 

impact on existing enterprises from the 

operation of EMMA. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

Written comments were neither 

solicited nor received on the proposed 

rule change. However, in a notice 

published by the MSRB on January 31, 

2008, the MSRB described and sought 

comment on its plan for implementing 

a continuing disclosure service that 

would be integrated into other services 

to be offered through EMMA (the ‘‘2008 

Notice’’).11 In particular, the MSRB 

stated its plan to institute the 

continuing disclosure service to accept 

submissions of continuing disclosure 

documents pursuant to continuing 

disclosure undertakings consistent with 

Rule 15c2–12. In addition to making 

continuing disclosures available at no 

cost through the EMMA portal, the 

MSRB would make such disclosures 

available through a paid real-time data 

stream subscription for re-dissemination 

or other use by subscribers. One 

commentator asked whether periodic 

filings other than submissions of annual 

financial information, such as quarterly 

or monthly financial results, would be 

accepted.12 Another commentator stated 

that it strongly believed that EMMA 

should be capable of housing all 

disclosure documents, extending 

beyond those specifically required by 

Rule 15c2–12, and could only support a 

system that allows access to other 

pertinent information.13 The MSRB 

supports the dissemination of additional 

continuing disclosures beyond the 

baseline established by Rule 15c2–12 

and is providing for such submission 

and dissemination in this filing. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Within 35 days of the date of 

publication of this notice in the Federal 

Register or within such longer period (i) 

as the Commission may designate up to 

90 days of such date if it finds such 

longer period to be appropriate and 

publishes its reasons for so finding or 

(ii) as to which the self-regulatory 

organization consents, the Commission 

will: 

A. by order approve such proposed 

rule change, or 

B. institute proceedings to determine 

whether the proposed rule change 

should be 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 e-mail to rulecomments@sec.gov. Please include File 

Number SR–MSRB–2009–04 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–MSRB–2009–04. 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 such filing also will be 

available for inspection and copying at 

the principal office of the MSRB. 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–MSRB–2009–04 and should 

be submitted on or before May 20, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.14

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–9819 Filed 4–28–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–59816; File No. SR– 

NYSEAmex–2009–13] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Amending NYSE Amex 

Equities Rules 15 and 123C Regarding 

the Operation of Its NYSE Amex Order 

Imbalance Information Service To 

Modify the Reference Price at Which 

the Exchange Reports the Order 

Imbalance Information and Clarify 

What Information Is Included and 

Excluded From the Order Imbalance 

Information Reports 

April 23, 2009. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that, on April 17, 


pwalker on PROD1PC71 with NOTICES
Federal Register / Vol. 74, No. 81 / Wednesday, April 29, 2009 / Notices 19615 

4See SR–NYSE–2009–41 (to be filed April 17, 

2009). 

5See Securities Exchange Act Release No. 59743 

(April 9, 2009) (SR–NYSEAmex–2009–11). 

6Exchange policy requires the dissemination of 

an indication in connection with any delayed 

opening—involving any stock which has not 

opened (or been quoted) by 10 a.m. In addition, the 

dissemination of an indication is mandatory for an 

opening which will result in a significant price 

change from the previous close [See table above]. 

2009, NYSE Amex LLC (the ‘‘Exchange’’ 

or ‘‘NYSE Amex’’) filed with the 

Securities and Exchange Commission 

(the ‘‘Commission’’) the proposed rule 

change as described in Items I and II 

below, which Items have been prepared 

by the self-regulatory organization. The 

Commission is publishing this notice to 

solicit comments on the proposed rule 

change from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes to amend 

NYSE Amex Equities Rules 15 and 123C 

regarding the operation of its NYSE 

Amex Order Imbalance Information 

service to: (1) Modify the reference price 

at which the Exchange reports the Order 

Imbalance Information; and (2) clarify 

what information is included and 

excluded from the Order Imbalance 

Information reports. The text of the 

proposed rule change is available at the 

Exchange, the Commission’s Public 

Reference Room, and http:// 

www.nyse.com. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

self-regulatory organization included 

statements concerning the purpose of, 

and basis for, the proposed rule change 

and discussed any comments it received 

on the proposed rule change. The text 

of those statements may be examined at 

the places specified in Item IV below. 

The Exchange has prepared summaries, 

set forth in sections A, B, and C below, 

of the most significant parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

NYSE Amex LLC (‘‘NYSE Amex’’ or 

the ‘‘Exchange’’) is proposing to amend 

NYSE Amex Equities Rules 15 and 123C 

regarding the operation of its Order 

Imbalance Information service to: (1) 

Modify the reference price at which the 

Exchange reports the Order Imbalance 

Information; and (2) clarify what 

information is included and excluded 

from the Order Imbalance Information 

reports. 

The Exchange notes that parallel 

changes are proposed to be made to the 

rules of the New York Stock Exchange 

LLC.4

a. Background 

By Notice dated April 9, 2009, NYSE 

Amex implemented the NYSE Amex 

Order Imbalance Information Data 

Product.5 NYSE Amex maintains an 

Order Imbalance Information datafeed 

of real-time order imbalances that 

accumulate prior to the opening of 

trading on the Exchange and prior to the 

close of trading on the Exchange. These 

orders are subject to execution at the 

market’s opening or closing price, as the 

case may be, and represent issues that 

are likely to be of particular trading 

interest at the opening or closing. 

The Exchange distributes information 

about these imbalances in real-time at 

specified intervals prior to the opening 

and closing auctions. The Exchange 

currently makes order imbalance 

information available at the following 

intervals. 

For opening Order Imbalance 

Information: 

• Every five minutes between 8:30 

a.m. EST and 9 a.m. EST. 

• Every one minute between 9 a.m. 

EST and 9:20 a.m. EST. 

• Every 15 seconds between 9:20 a.m. 

EST and the opening (or 9:35 a.m. EST 

if the opening is delayed). 

For closing Order Imbalance 

Information: 

• Every fifteen seconds between 3:40 

p.m. EST and 3:50 p.m. EST. 

• Every five seconds between 3:50 

p.m. EST and 4 p.m. EST. 

Reference Price 

The NYSE Amex Order Imbalance 

Information service currently uses the 

last sale price as the reference price for 

the Order Imbalance Information. In the 

case of opening order imbalances, this 

means the last sale price at the end of 

the prior trading day. For closing order 

imbalances, the reference price is equal 

to the last sale price. 

Orders Included in NYSE Amex Order 

Imbalance Reports 

The NYSE Amex Order Imbalance 

Information service provides the 

following information: 

(A) In the case of the pre-opening 

datafeed, all interest eligible to trade in 

the opening transactions excluding oddlot orders and the odd-lot portion of 

partial round-lot orders. Floor broker 

interest includes all interest except nondisplayed reserve interest marked ‘‘Do 

Not Display’’ (‘‘DND’’). Customer 

interest includes all interest except for 

non-displayed reserve interest. DMM 

interest is not included in the preopening datafeed. 

(B) In the case of pre-closing datafeed, 

all market-on-close orders and limit-onclose orders eligible to participate in the 

closing transaction. It excludes odd-lot 

orders, the odd-lot portion of partial 

round-lot orders, DMM interest and 

Crowd interest. 

b. Proposed Amendments 

Reference Price 

In order to provide the most accurate 

imbalance information, the Exchange 

proposes to modify what constitutes the 

reference price for the dissemination of 

the NYSE Amex Order Imbalance 

Information feed. Prior to the opening 

transaction, if a pre-opening indication 

is published pursuant to the provisions 

of NYSE Amex Equities Rule 15 (‘‘PreOpening Indications’’) paragraphs (a) 

and (b), or in the event of a mandatory 

publication 6 pursuant to NYSE Amex 

Equities Rule 123D (‘‘Openings and 

Halts in Trading’’), the reference price 

will no longer be the closing price of the 

prior trading day. 

Previous exchange 

closing price 

Price change (equal 

or greater than) 

Under $10 ................. 1 point. 

$10–$99.99 ............... the lesser of 10% or 

3 points. 

$100 and Over .......... 5 points. 

The Exchange proposes to have the 

reference price equal the last sale 

(previous closing price) or the price 

indication published under the Rule 15 

or 123D. Therefore, when the Exchange 

publishes a pre-opening indication in a 

security pursuant to the provisions of 

paragraphs (a) and (b) of NYSE Amex 

Equities Rule 15 or NYSE Amex 

Equities Rule 123D, the reference price 

will be determined as follows: 

• If the Bid Price from the indication 

(the lower price) is higher than the last 

sale, the Reference Price will be the Bid. 

• If the Offer Price from the 

indication (the higher price) is lower 

than the last sale, the Reference Price 

will be the Offer. 

• If the Last Sale is within the 

indication range, the Book shall use the 

Last Sale as the Reference Price 

• If multiple indications have been 

published, the last indication that the 

Exchange makes available shall be used 

as the Reference Price. 

Examples: 

(1) XYZ security closed at a price of 

$15.00 on April 1, 2009. On April 2, 


pwalker on PROD1PC71 with NOTICES
19616 Federal Register / Vol. 74, No. 81 / Wednesday, April 29, 2009 / Notices 

7Currently NYSE Amex securities operating on 

the 14.0 Technology Release employ the proposed 

method to determine the reference price. 

8 15 U.S.C. 78s(b)(3)(A). 

9 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires the self-regulatory organization 

to submit to the Commission written notice of its 

intent to file the proposed rule change, along with 

a brief description and text of the proposed rule 

change, at least five business days prior to the date 

of filing of the proposed rule change, or such 

shorter time as designated by the Commission. The 

Exchange has satisfied this requirement. 

10For purposes only of waiving the 30-day 

operative delay of this proposal, the Commission 

has considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 

2009, the Exchange publishes a preopening indication for XYZ with a bid 

price of $16.00 and an offer price of 

$16.50. The reference price for the 

NYSE Order Imbalance datafeed in XYZ 

security on April 2, 2009 will be $16.00. 

(2) XYZ security closed at a price of 

$15.00 on April 1, 2009. On April 2, 

2009, the Exchange publishes a preopening indication for XYZ with a bid 

price of $14.00 and an offer price of 

$14.50. The reference price for XYZ data 

feed on April 2, 2009 will be $14.50. 

(3) XYZ security closed at a price of 

$15.00 on April 1, 2009. On April 2, 

2009, the Exchange publishes preopening indication for XYZ with a bid 

price of $14.99 and an offer price of 

$15.02. The reference price for XYZ data 

feed on April 2, 2009 will be $15.00. 

In the case of pre-closing imbalances, 

the NYSE Amex Order Imbalance 

Information service also uses the last 

sale price as the reference price for preclosing Order Imbalance Information 

that it disseminated pursuant to NYSE 

Amex Equities Rule 123C (‘‘Market on 

the Close Policy and Expiration 

Procedures’’). 

The Exchange proposes to modify 

what it uses as the reference price when 

the last sale price does not fall within 

the best bid and the best offer on the 

Exchange at the time that the Exchange 

calculates a closing imbalance for a 

security,7 as follows: 

• If the last sale price is lower than 

the Bid price, then the Bid Price will 

serve as the Reference Price. 

• If the last sale price is higher than 

the Offer Price, then the Offer Price will 

serve as the Reference Price. 

• If the last sale price falls within the 

Exchange’s best bid and offer for the 

security, the last sale price will serve as 

the Reference Price. 

Examples: 

(1) The sale in XYZ security prior to 

the dissemination of the order 

imbalance feed was at a price of $15.00. 

The quote prior to the dissemination of 

the datafeed is 100 shares bid at a price 

of $15.02 and 500 shares offered at a 

$15.20. The reference price for the 

NYSE Order Imbalance datafeed in XYZ 

security will be $15.02. 

(2) The sale in XYZ security prior to 

the dissemination of the order 

imbalance feed was at a price of $15.00. 

The quote prior to the dissemination of 

the datafeed is 100 shares bid at a price 

of $14.91 and 500 shares offered at a 

$14.99. The reference price for the 

NYSE Order Imbalance datafeed in XYZ 

security will be $14.99. 

(3) The sale in XYZ security prior to 

the dissemination of the order 

imbalance feed was at a price of $15.00. 

The quote prior to the dissemination of 

the datafeed is 100 shares bid at a price 

of $14.98 and 500 shares offered at a 

$15.02. The reference price for the 

NYSE Order Imbalance datafeed in XYZ 

security will be $15.00. 

The Exchange believes that the 

amendments to the reference price for 

the publication of the NYSE Amex 

Order Imbalance Information service 

will enhance the value of the product by 

providing the user with a more accurate 

depiction of the market interest 

available in the security. 

Orders Included in NYSE Amex PreOpening Order Imbalance Information 

Reports 

The Exchange proposes to add all 

DMM s-quote interest eligible for 

execution in the opening transaction, at 

no additional charge, to the order 

information currently included in the 

pre-opening NYSE Amex Order 

Imbalance Information Reports. DMM squote interest is currently eligible for 

execution in the opening transaction but 

is not included in the Order Imbalance 

Information Report. The Exchange 

believes that the addition of DMM squote interest to the Order Imbalance 

Information Report will enhance the 

value of this product by including 

additional information about the 

electronic interest eligible to trade at the 

opening. 

2. Statutory Basis 

The bases under the Securities 

Exchange Act of 1934 (the ‘‘1934 Act’’) 

for this proposed rule change are the 

requirements under Section 6(b)(5) that 

the rules of an exchange be designed to 

promote just and equitable principles of 

trade, to remove impediments to, and 

perfect the mechanism of, a free and 

open market and a national market 

system, and, in general, to protect 

investors and the public interest. The 

Exchange believes that the proposal 

benefits investors by modifying NYSE 

Amex Order Imbalance Information to 

provide investors with a more accurate 

depiction of the market and additional 

information on the open for a security. 

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 that is 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 solicited 

or received with respect to the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Because the foregoing proposed rule 

change: (i) Does not significantly affect 

the protection of investors or the public 

interest; (ii) does not impose any 

significant burden on competition; and 

(iii) by its terms, does not become 

operative for 30 days from the date on 

which it was filed, or such shorter time 

as the Commission may designate, if 

consistent with the protection of 

investors and the public interest, it has 

become effective pursuant to Section 

19(b)(3)(A) of the Act 8 and Rule 19b– 

4(f)(6) thereunder.9

The Exchange has requested that the 

Commission waive the 30-day operative 

delay so that the proposal may become 

operative immediately upon filing in 

order to immediately provide market 

participants with the most accurate 

supplemental market information prior 

to the execution of the opening and 

closing transactions on the Exchange. 

The Commission believes such waiver is 

consistent with the protection of 

investors and the public interest.10

Accordingly, the Commission 

designates the proposed rule change 

operative upon filing with the 

Commission. 

At any time within 60 days of the 

filing of the proposed rule change, the 

Commission may summarily abrogate 

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. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 


pwalker on PROD1PC71 with NOTICES
Federal Register / Vol. 74, No. 81 / Wednesday, April 29, 2009 / Notices 19617 

11 17 CFR 200.30–3(a)(12). 

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–NYSEAmex–2009–13 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–NYSEAmex–2009–13. 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 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 Number SR– 

NYSEAmex–2009–13 and should be 

submitted on or before May 20, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–9818 Filed 4–28–09; 8:45 am] 

BILLING CODE 8010–01–P 

SOCIAL SECURITY ADMINISTRATION 

Privacy Act of 1974, as Amended; 

Proposed Alteration to Existing 

System of Records, New Routine Use, 

and General Housekeeping Changes 

AGENCY: Social Security Administration 

(SSA). 

ACTION: Proposed altered system of 

records, new routine use, and general 

housekeeping changes. 

SUMMARY: We are issuing public notice 

of our intent to alter, add a new routine 

use, and make minor housekeeping 

changes to an existing system of records 

in accordance with the Privacy Act (5 

U.S.C. 552a(e)(4)) and (e)(11). The 

affected system of records is the 

Administrative Law Judge (ALJ) Working 

File on Claimant Cases (60–0005), 

hereinafter referred to as the ALJ 

Working File. The proposed alterations 

will result in the following changes: 

• Expansion of the purpose of the 

system of records to include the 

electronic internal working file of the 

administrative law judges in the hearing 

offices. This working file is accessed 

primarily by hearing office personnel 

viewing documents stored in the Private 

Section of eView, an electronic 

interface. 

• Inclusion of our data protection 

routine use that provides for the release 

of information in the event of an 

unauthorized release of personally 

identifiable information. We published 

this routine use in the Federal Register 

on December 10, 2007 (72 FR 69723); 

and 

• Updates of various cited Federal 

Government regulations and minor 

editing, including correcting 

miscellaneous and stylistic format 

errors. 

The proposed alteration, new routine 

use, and housekeeping changes are 

discussed in the SUPPLEMENTARY

INFORMATION section below. We invite 

public comments on this proposal. 

DATES: We filed a report of the proposed 

altered system of records and added 

routine use with the Chairman of the 

Senate Committee on Homeland 

Security and Governmental Affairs, the 

Chairman of the House Committee on 

Government Reform, and the Director, 

Office of Information and Regulatory 

Affairs, Office of Management and 

Budget (OMB) on April 23, 2009. The 

proposed altered system of records will 

become effective on June 1, 2009, unless 

we receive comments before that date 

that would result in a contrary 

determination. 

ADDRESSES: Interested individuals may 

comment on this publication by writing 

to the Deputy Executive Director, 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. All 

comments received will be available for 

public inspection at the above address. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Neil Etter, Social Insurance Specialist, 

Disclosure Policy Development and 

Services Division I, 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, telephone: (410) 965–8028, e-mail: 

neil.etter@ssa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background and Purpose of the 

Proposed Alteration and New Routine 

Use for the ALJ Working File 

A. General Background Relating to the 

Proposed Alteration 

Under Titles II and XVI of the Social 

Security Act, an individual who has 

received a Federal reviewing official 

decision, a prototype process 

determination, or a reconsideration 

determination on a claim for benefits 

has a right to a hearing before an ALJ. 

In the past, hearing offices kept their 

records in paper form. New technology 

will allow us to store information 

electronically and, therefore, we need to 

update this system of records to reflect 

the change. As a result, records in this 

system may be in paper and electronic 

media formats. 

B. Discussion of Proposed Alteration to 

the ALJ Working File 

During the course of adjudicating a 

claim at the hearing level, ALJs and 

members of their staffs often create 

notes and instructions regarding the 

evidence, testimony, legal theories, 

merits of the case, and opinions and 

advice about a case. While there may be 

both electronic and paper records 

gathered and maintained in the ALJ 

Working File, this system covers any 

documents maintained electronically, 

such as any documents viewed in the 

Private Section of eView. eView is the 

interface that allows authorized users to 

view documents stored electronically. 

This Private Section is accessible only 

to authorized SSA staff. Additionally, 

this proposed alteration provides that 

any movement of the paper-based 

records in the ALJ Working File to the 

new electronic environment does not 

affect: 


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