Privacy Act System of Records, 23810-23811 [2013-09335]

Download as PDF 23810 Federal Register / Vol. 78, No. 77 / Monday, April 22, 2013 / Notices 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 Paper Comments tkelley on DSK3SPTVN1PROD with NOTICES • 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–MIAX–2013–16. 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 (https://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 10:00 a.m. and 3:00 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–MIAX– 2013–16, and should be submitted on or before May 13, 2013. 17:03 Apr 19, 2013 [FR Doc. 2013–09340 Filed 4–19–13; 8:45 am] BILLING CODE 8011–01–P Jkt 229001 The Privacy Act applies to any record about an individual that is maintained in a system of records from which individually identifying information is retrieved by a unique identifier associated with each individual, such as a name or Social Security number. SYSTEM NAME: SMALL BUSINESS ADMINISTRATION Privacy Act System of Records Small Business Administration. ACTION: Notice of new Privacy Act system of records and request for comment. AGENCY: • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an email to rulecomments@sec.gov. Please include File Number SR–MIAX–2013–16 on the subject line. VerDate Mar<15>2010 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Elizabeth M. Murphy, Secretary. The Small Business Administration (SBA) is amending its Privacy Act Systems of Records to add a new System of Records to maintain the protected information collected from applicants and participants in the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs. DATES: Written comments on the system of records must be received on before May 22, 2013. The notice will be effective without further publication at the end of the comment period, unless comments are received which require further amendments. ADDRESSES: Written comments on this system of records should be directed to Edsel M. Brown, Assistant Administrator, Office of Technology, U.S. Small Business Administration, 409 3rd Street SW., Washington, DC 20416. SUMMARY: FOR FURTHER INFORMATION CONTACT: Edsel M. Brown, Assistant Director, Office of Technology, at (202) 205–7343. SUPPLEMENTARY INFORMATION: The Privacy Act (5 U.S.C. 552a) requires federal agencies to publish a notice of systems of records in the Federal Register whenever they establish a new system of records or make a significant change to an established system of records. Each notice must identify and describe the system of records the Agency maintains, the reasons why the agency collects the personally identifying information, the routine uses for which the agency will disclose such information outside the agency, and how individuals may exercise their rights under the Privacy Act to determine if, among other things, the system contains information about them. The information about each individual is called a ‘‘record,’’ and the system, whether manual or computerbased, is called a ‘‘system of records.’’ 9 17 PO 00000 CFR 200.30–3(a)(12). Frm 00076 Fmt 4703 Sfmt 4703 TechNet—SBA 38. SYSTEM LOCATION: SBA’s Office of Technology, Office of Investment and Innovation, Small Business Administration, 409 Third Street SW., Washington, DC 20416. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Persons who submit applications to or receive awards under the SBIR and STTR programs; principal investigators and key individuals working for SBIR and STTR applicants and awardees. CATEGORIES OF RECORDS IN THE SYSTEM: Names, work phone numbers, and email addresses for owners, key individuals and principal investigators; individual owners’ social security numbers; fraud related criminal history; history of civil fraud violations related to the SBIR and STTR programs; and the social and economic disadvantaged status of principal investigators. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 638. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the court or administrative tribunal and other parties in litigation, when a suit or administrative action has been initiated. b. To a Congressional office from an individual’s record, when that office is inquiring on the individual’s behalf; the Member’s access rights are no greater than the individual’s. c. To SBA employees, volunteers, contractors, interns, grantees, and experts who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. Sec. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, E:\FR\FM\22APN1.SGM 22APN1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 77 / Monday, April 22, 2013 / Notices SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. g. To Congress, the Government Accountability Office, agencies participating in the SBIR and the STTR programs (Department of Agriculture, Department of Commerce (National Institute of Standards and Technology and National Oceanic and Atmospheric Administration), Department of Defense, Department of Education, Department of Energy, Department of Health and Human Services, Department of VerDate Mar<15>2010 17:03 Apr 19, 2013 Jkt 229001 Homeland Security, Department of Transportation, Environmental Protection Agency, National Aeronautics and Space Administration, and the National Science Foundation), Office of Management and Budget, Office of Science and Technology Policy, Office of Federal Procurement Policy, and other authorized persons who are subject to a use and nondisclosure agreement with the Federal Government covering the use of the database for the purposes of program evaluation and auditing. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: Paper and electronic files. RETRIEVAL: SBA will retrieve records using a unique tracking number assigned by SBA or another participating agency, as well as by company name. SAFEGUARDS: The access to the system is restricted to registered users only, which include applicants, current awardees, and pastawardees of the SBIR or STTR programs from any of the 11 SBIR/STTR agencies, and registered Government Agency users. The access to information for the logged-in users is based on the role assigned to them during the registration process. These roles ensure users are only able to access their own records and not the records of other users. RETENTION AND DISPOSAL: TechNet is a unique, mission critical system of the SBA. The input data is temporary and have a one year retention period. The data in the system have a permanent retention in accordance with NARA disposition authority approved under Request for Records Disposition Authority—N1–309–03–001. CONTESTING PROCEDURES: Individuals seeking to contest or amend information maintained in this system of records should notify the SBA Privacy Act Officer, Lisa J. Babcock, 409 Third Street SW., Washington DC 20416, or System Manager listed above, state reason(s) for contesting any information in the record and provide proposed amendment(s). Associate Administrator for Investment, Office of Investment and Innovation, 409 Third Street SW., Washington DC 20416. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or SBA’s Privacy Act Officer. ACCESS PROCEDURES: Individuals who must create an account will furnish their Company’s name, the authorized user’s name, the company’s EIN and DUNS numbers and email address of the principal of the firm. These details are to be submitted Fmt 4703 Sfmt 4703 The SBIR/STTR applicants and awardees, including information submitted to the SBIR/STTR participating agencies. In addition, SBIR.gov system interfaces with System for Award Management (SAM) database to complete the authentication process for new small business users’ registration. Dated: April 15, 2013. Pravina Raghavan, Acting Associate Administrator for Investment, Director, Office of Investments & Innovation. [FR Doc. 2013–09335 Filed 4–19–13; 8:45 am] BILLING CODE 8025–01–P SOCIAL SECURITY ADMINISTRATION [Docket No. SSA–2013–0015] Privacy Act of 1974; Proposed New Routine Uses and System of Records Alterations AGENCY: Social Security Administration (SSA). Proposed New Routine Uses and System of Records Alterations. ACTION: In accordance with the Privacy Act (5 U.S.C. 552a(e)(4) and (e)(11)), we are issuing public notice of our intent to modify the system of records entitled, Master Representative Payee File, 60–0222 (hereinafter referred to as the Representative Payee SOR). We propose modifying the categories of records, record source categories, and adding two new routine uses to the Representative Payee SOR. We propose adding criminal history information and representative payee annual accounting reports to the categories of records. We propose adding third parties, contractors, other Federal agencies, and SSA’s Prisoner Update Processing System of Records, 60–0269 as new record source categories. The first new SUMMARY: SYSTEM MANAGER(S) AND ADDRESS: Frm 00077 through a web-based registration form available on sbir.gov public-facing site. The company name, EIN, and name of the principal of the firm will be publicly available for all awardees as required by Congress. SOURCE CATEGORIES: STORAGE: PO 00000 23811 E:\FR\FM\22APN1.SGM 22APN1

Agencies

[Federal Register Volume 78, Number 77 (Monday, April 22, 2013)]
[Notices]
[Pages 23810-23811]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-09335]


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SMALL BUSINESS ADMINISTRATION


 Privacy Act System of Records

AGENCY: Small Business Administration.

ACTION: Notice of new Privacy Act system of records and request for 
comment.

-----------------------------------------------------------------------

SUMMARY: The Small Business Administration (SBA) is amending its 
Privacy Act Systems of Records to add a new System of Records to 
maintain the protected information collected from applicants and 
participants in the Small Business Innovation Research (SBIR) and Small 
Business Technology Transfer (STTR) Programs.

DATES: Written comments on the system of records must be received on 
before May 22, 2013. The notice will be effective without further 
publication at the end of the comment period, unless comments are 
received which require further amendments.

ADDRESSES: Written comments on this system of records should be 
directed to Edsel M. Brown, Assistant Administrator, Office of 
Technology, U.S. Small Business Administration, 409 3rd Street SW., 
Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Edsel M. Brown, Assistant Director, 
Office of Technology, at (202) 205-7343.

SUPPLEMENTARY INFORMATION: The Privacy Act (5 U.S.C. 552a) requires 
federal agencies to publish a notice of systems of records in the 
Federal Register whenever they establish a new system of records or 
make a significant change to an established system of records. Each 
notice must identify and describe the system of records the Agency 
maintains, the reasons why the agency collects the personally 
identifying information, the routine uses for which the agency will 
disclose such information outside the agency, and how individuals may 
exercise their rights under the Privacy Act to determine if, among 
other things, the system contains information about them. The 
information about each individual is called a ``record,'' and the 
system, whether manual or computer-based, is called a ``system of 
records.'' The Privacy Act applies to any record about an individual 
that is maintained in a system of records from which individually 
identifying information is retrieved by a unique identifier associated 
with each individual, such as a name or Social Security number.
SYSTEM NAME:
    TechNet--SBA 38.

SYSTEM LOCATION:
    SBA's Office of Technology, Office of Investment and Innovation, 
Small Business Administration, 409 Third Street SW., Washington, DC 
20416.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Persons who submit applications to or receive awards under the SBIR 
and STTR programs; principal investigators and key individuals working 
for SBIR and STTR applicants and awardees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Names, work phone numbers, and email addresses for owners, key 
individuals and principal investigators; individual owners' social 
security numbers; fraud related criminal history; history of civil 
fraud violations related to the SBIR and STTR programs; and the social 
and economic disadvantaged status of principal investigators.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 638.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, 
DISCLOSED OR REFERRED:
    a. To the court or administrative tribunal and other parties in 
litigation, when a suit or administrative action has been initiated.
    b. To a Congressional office from an individual's record, when that 
office is inquiring on the individual's behalf; the Member's access 
rights are no greater than the individual's.
    c. To SBA employees, volunteers, contractors, interns, grantees, 
and experts who have been engaged by SBA to assist in the performance 
of a service related to this system of records and who need access to 
the records in order to perform this activity. Recipients of these 
records shall be required to comply with the requirements of the 
Privacy Act of 1974, as amended, 5 U.S.C. Sec. 552a.
    d. To the Department of Justice (DOJ) when any of the following is 
a party to litigation or has an interest in such litigation, and the 
use of such records by DOJ is deemed by SBA to be relevant and 
necessary to the litigation, provided, however, that in each case,

[[Page 23811]]

SBA determines the disclosure of the records to DOJ is a use of the 
information contained in the records that is compatible with the 
purpose for which the records were collected: SBA, or any component 
thereof; any SBA employee in their official capacity; any SBA employee 
in their individual capacity where DOJ has agreed to represent the 
employee; or The United States Government, where SBA determines that 
litigation is likely to affect SBA or any of its components.
    e. In a proceeding before a court, or adjudicative body, or a 
dispute resolution body before which SBA is authorized to appear or 
before which any of the following is a party to litigation or has an 
interest in litigation, provided, however, that SBA determines that the 
use of such records is relevant and necessary to the litigation, and 
that, in each case, SBA determines that disclosure of the records to a 
court or other adjudicative body is a use of the information contained 
in the records that is a compatible purpose for which the records were 
collected: SBA, or any SBA component; any SBA employee in their 
official capacity; any SBA employee in their individual capacity where 
DOJ has agreed to represent the employee; or The United States 
Government, where SBA determines that litigation is likely to affect 
SBA or any of its components.
    f. To appropriate agencies, entities, and persons when: SBA 
suspects or has confirmed that the security or confidentiality of 
information in the system records has been compromised; SBA has 
determined that as a result of the suspected or confirmed compromise 
there is a risk of harm to economic or property interests, identify 
theft or fraud, or harm to the security of integrity of this system or 
other systems or programs (whether maintained by the Agency or entity) 
that rely upon the compromised information; and the disclosure made to 
such agencies, entities and persons is reasonably necessary to assist 
in connection with SBA's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    g. To Congress, the Government Accountability Office, agencies 
participating in the SBIR and the STTR programs (Department of 
Agriculture, Department of Commerce (National Institute of Standards 
and Technology and National Oceanic and Atmospheric Administration), 
Department of Defense, Department of Education, Department of Energy, 
Department of Health and Human Services, Department of Homeland 
Security, Department of Transportation, Environmental Protection 
Agency, National Aeronautics and Space Administration, and the National 
Science Foundation), Office of Management and Budget, Office of Science 
and Technology Policy, Office of Federal Procurement Policy, and other 
authorized persons who are subject to a use and nondisclosure agreement 
with the Federal Government covering the use of the database for the 
purposes of program evaluation and auditing.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Paper and electronic files.

RETRIEVAL:
    SBA will retrieve records using a unique tracking number assigned 
by SBA or another participating agency, as well as by company name.

SAFEGUARDS:
    The access to the system is restricted to registered users only, 
which include applicants, current awardees, and past-awardees of the 
SBIR or STTR programs from any of the 11 SBIR/STTR agencies, and 
registered Government Agency users. The access to information for the 
logged-in users is based on the role assigned to them during the 
registration process. These roles ensure users are only able to access 
their own records and not the records of other users.

RETENTION AND DISPOSAL:
    TechNet is a unique, mission critical system of the SBA. The input 
data is temporary and have a one year retention period. The data in the 
system have a permanent retention in accordance with NARA disposition 
authority approved under Request for Records Disposition Authority--N1-
309-03-001.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Administrator for Investment, Office of Investment and 
Innovation, 409 Third Street SW., Washington DC 20416.

NOTIFICATION PROCEDURE:
    Individuals may make record inquiries in person or in writing to 
the Systems Manager or SBA's Privacy Act Officer.

ACCESS PROCEDURES:
    Individuals who must create an account will furnish their Company's 
name, the authorized user's name, the company's EIN and DUNS numbers 
and email address of the principal of the firm. These details are to be 
submitted through a web-based registration form available on sbir.gov 
public-facing site. The company name, EIN, and name of the principal of 
the firm will be publicly available for all awardees as required by 
Congress.

CONTESTING PROCEDURES:
    Individuals seeking to contest or amend information maintained in 
this system of records should notify the SBA Privacy Act Officer, Lisa 
J. Babcock, 409 Third Street SW., Washington DC 20416, or System 
Manager listed above, state reason(s) for contesting any information in 
the record and provide proposed amendment(s).

SOURCE CATEGORIES:
    The SBIR/STTR applicants and awardees, including information 
submitted to the SBIR/STTR participating agencies. In addition, 
SBIR.gov system interfaces with System for Award Management (SAM) 
database to complete the authentication process for new small business 
users' registration.

    Dated: April 15, 2013.
Pravina Raghavan,
Acting Associate Administrator for Investment, Director, Office of 
Investments & Innovation.
[FR Doc. 2013-09335 Filed 4-19-13; 8:45 am]
BILLING CODE 8025-01-P
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