[Federal Register Volume 78, Number 134 (Friday, July 12, 2013)]
[Notices]
[Pages 41962-41965]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-16681]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-50; File No. S7-05-13]
Privacy Act of 1974: Systems of Records
AGENCY: Securities and Exchange Commission.
ACTION: Notice to revise two existing systems 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
(``Commission'' or ``SEC'') proposes to revise two existing systems of
records: ``Freedom of Information and Privacy Act Requests (SEC-24)''
and ``Backup Care Employee and Family Records (SEC-66)'', both of which
were last published in the Federal Register Volume 77, Number 211 on
Wednesday, October 31, 2012.
DATES: The proposed systems will become effective August 21, 2013
unless further notice is given. The Commission will publish a new
notice if the effective date is delayed to review comments or if
changes are made based on comments received. To be assured of
consideration, comments should be received on or before August 12,
2013.
ADDRESSES: Comments may be submitted by any of the following methods:
Electronic Comments
Use the Commission's Internet comment form (http://www.sec.gov/rules/other.shtml); or
Send an email to [email protected]. Please include
File Number S7-05-13 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, U.S. Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090. All submissions should refer to File Number
S7-05-13. This file number should be included on the subject line if
email is used. To help us 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/other.shtml). Comments are also 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. All comments received will be posted
without change;
[[Page 41963]]
we do not edit personal identifying information from submissions. You
should submit only information that you wish to make available
publicly.
FOR FURTHER INFORMATION CONTACT: Todd Scharf, Associate Director and
Acting Chief Privacy Officer, Office of Information Technology, 202-
551-8800.
SUPPLEMENTARY INFORMATION: The Commission proposes to revise two
existing systems of records, ``Freedom of Information and Privacy Act
Requests (SEC-24)'' and ``Backup Care Employee and Family Records (SEC-
66)''.
The Freedom of Information and Privacy Act Requests (SEC-24) system
of records consists of records used by Commission staff to process FOIA
and Privacy Act requests and appeals, and to prepare reports to the
Department of Justice, the Office of Management and Budget, and other
oversight entities on the Commission's FOIA and PA activities. A
substantive change to SEC-24 has been incorporated to expand routine
use No. 15 to include the National Archives and Records Administration,
Office of Government Information Services (OGIS) second statutory
mission of reviewing administrative agency policies, procedures and
compliance with FOIA.
The Backup Care Employee and Family Records (SEC-66) system of
records contains records of current SEC employees who voluntarily sign
up for backup care benefits and their family members for whom care is
needed. A substantive change to SEC-66 has been made to the Categories
of Records, deleting ``physician's medical form'' and ``medical
identification number'', and updating other types of records maintained
in the system.
The Commission has submitted a report of the amended systems of
records to the appropriate Congressional Committees and to the Director
of the Office of Management and Budget (``OMB'') as required by 5
U.S.C. 552a(r) (Privacy Act of 1974) and guidelines issued by OMB on
December 12, 2000 (65 FR 77677).
Accordingly, the Commission is proposing to revise two existing
systems of records to read as follows:
SEC-24
SYSTEM NAME:
Freedom of Information and Privacy Act Requests.
SYSTEM LOCATION:
Securities and Exchange Commission, Office of Freedom of
Information Act (FOIA) Services, 100 F Street NE., Washington, DC
20549. Other offices involved in the processing of requests may also
maintain copies of the requests and related internal administrative
records.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Records are maintained on persons requesting information from the
Commission pursuant to provisions of the Freedom of Information Act;
persons who are the subject of Freedom of Information Act requests;
individuals who have submitted requests for information about
themselves or on behalf of an individual under the provisions of the
Privacy Act of 1974; and individuals filing an administrative appeal of
a denial, in whole or part, of any such request.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records received, created or compiled in processing FOIA and PA
requests or appeals, including internal memoranda, correspondence to or
from other Federal agencies, correspondence and response letters,
appeal of denials under the FOIA, request for amendment of records
under the Privacy Act, appeal for denials under the Privacy Act, appeal
determinations, and electronic tracking data. These records may contain
personal information retrieved in response to a request including
requesters' and their attorneys' or representatives' names, addresses,
email, telephone numbers, and FOIA and PA case numbers; office
telephone numbers of SEC employees and contractors; Names, telephone
numbers, and addresses of the submitter of the information requested;
Unique case identifier; Social security number; or other identifier
assigned to the request or appeal.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, and 552a; Executive Order 9397.
PURPOSE(S):
The records are used by Commission staff to process FOIA and
Privacy Act requests and appeals, and to prepare reports to the
Department of Justice, the Office of Management and Budget, and other
oversight entities on the Commission's FOIA and PA activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, these records or information contained
therein may specifically be disclosed outside the Commission as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
1. To appropriate agencies, entities, and persons when (a) it is
suspected or confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the SEC
has determined 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 other systems or programs (whether maintained by the SEC or
another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the SEC's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
2. To other federal, state, local, or foreign law enforcement
agencies; securities self-regulatory organizations; and foreign
financial regulatory authorities to assist in or coordinate regulatory
or law enforcement activities with the SEC.
3. To national securities exchanges and national securities
associations that are registered with the SEC, the Municipal Securities
Rulemaking Board; the Securities Investor Protection Corporation; the
Public Company Accounting Oversight Board; the federal banking
authorities, including, but not limited to, the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation; state securities regulatory
agencies or organizations; or regulatory authorities of a foreign
government in connection with their regulatory or enforcement
responsibilities.
4. In any proceeding where the federal securities laws are in issue
or in which the Commission, or past or present members of its staff, is
a party or otherwise involved in an official capacity.
5. To a federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning 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.
6. To any persons during the course of any inquiry, examination, or
investigation conducted by the SEC's staff, or in connection with civil
[[Page 41964]]
litigation, if the staff has reason to believe that the person to whom
the record is disclosed may have further information about the matters
related therein, and those matters appeared to be relevant at the time
to the subject matter of the inquiry.
7. To interns, grantees, experts, contractors, and others who have
been engaged by the Commission to assist in the performance of a
service related to this system of records and who need access to the
records for the purpose of assisting the Commission in the efficient
administration of its programs, including by performing clerical,
stenographic, or data analysis functions, or by reproduction of records
by electronic or other means. Recipients of these records shall be
required to comply with the requirements of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a.
8. To members of advisory committees that are created by the
Commission or by Congress to render advice and recommendations to the
Commission or to Congress, to be used solely in connection with their
official designated functions.
9. To respond to subpoenas in any litigation or other proceeding.
10. To a third party authorized in writing to receive such
information by the individual about whom the information pertains.
11. To another Federal agency to (a) permit a decision as to
access, amendment or correction of records to be made in consultation
with or by that agency, (b) verify the identity of an individual or the
accuracy of information submitted by an individual who has requested
access to or amendment or correction of records, or (c) to process
payment of fees associated with FOIA/PA requests.
12. To the Department of Justice (DOJ) in order to obtain that
department's advice on FOIA matters or regarding the agency's FOIA
disclosure obligations.
13. To the Office of Management and Budget for the purpose of
obtaining its advice on Privacy Act matters.
14. To the public pursuant to the provisions of the FOIA, 5 U.S.C.
552.
15. To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS' offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
16. To members of Congress, the Government Accountability Office,
or others charged with monitoring the work of the Commission or
conducting records management inspections.
17. To produce summary descriptive statistics and analytical
studies, as a data source for management information, in support of the
function for which the records are collected and maintained or for
related personnel management functions or manpower studies; may also be
used to respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act.
18. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who
assists in the investigation by the Commission of possible violations
of the federal securities laws (as such term is defined in section
3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)),
in the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the federal
securities laws.
19. To a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual.
20. In connection with any litigation challenging or seeking to
enjoin actions by the Commission under the Freedom of Information Act,
as amended.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases and/or on computer disc.
Paper records and records on computer disc are stored in locked file
rooms and/or file cabinets.
RETRIEVABILITY:
Electronic files and paper format records are indexed and retrieved
by a unique case number assigned to the request. Records may also be
retrieved by the requestor name and/or the subject of the request.
SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24 hour security guard
service. The records are kept in limited access areas during duty hours
and in locked file cabinets and/or locked offices or file rooms at all
other times. Access is limited to those personnel whose official duties
require access. Computerized records are safeguarded through use of
access codes and information technology security. Contractors and other
recipients providing services to the Commission shall be required to
maintain equivalent safeguards.
RETENTION AND DISPOSAL:
These records are maintained in accordance with general records
schedules of the National Archives and Records Administration, General
Records Schedule 14.
SYSTEM MANAGER(S) AND ADDRESS:
FOIA/PA Officer, Office of FOIA Services, Securities and Exchange
Commission, 100 F Street NE., Washington, DC 20549-2736.
NOTIFICATION PROCEDURE:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-2736.
RECORD ACCESS PROCEDURE:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of these records may contact the
FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-2736.
CONTESTING RECORD PROCEDURE:
See Record access procedures above.
RECORD SOURCE CATEGORIES:
Persons requesting information from the Commission pursuant to the
Freedom of Information Act and the Privacy Act; agency employees
assigned to handle processing the requests; agency records searched and
identified as responsive in the process of responding to such requests;
other agencies or entities that have referred to SEC requests
concerning SEC records, or that have consulted with SEC regarding
handling of particular requests; and submitters or subjects of records
or information that have provided assistance to SEC in making access or
amendment determinations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
SEC-66
SYSTEM NAME:
Backup Care Employee and Family Records.
[[Page 41965]]
SYSTEM LOCATION:
Bright Horizons Family Solutions, 200 Talcott Avenue, Watertown, MA
02472. Records may also be maintained at subcontracted childcare center
locations. Electronic Reports of SEC employees' registrations and uses
are maintained at the Securities and Exchange Commission, 100 F Street
NE., Washington, DC 20549.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current SEC employees who voluntarily sign up for backup care
benefits and their family members for whom care is needed.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records may contain employee's name, work address, work phone
number, work email address, home address and home phone number; family
member's name, gender, home address, and date of birth; and Caregiver's
name.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
40 U.S.C. 590.
PURPOSE(S):
The records are used to determine an employee's eligibility to
request backup care benefits for family members.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, these records or information contained
therein may specifically be disclosed outside the Commission as a
routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
1. To appropriate agencies, entities, and persons when (a) it is
suspected or confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the SEC
has determined 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 other systems or programs (whether maintained by the SEC or
another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the SEC's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
2. To produce summary descriptive statistics and analytical
studies, as a data source for management information, in support of the
function for which the records are collected and maintained or for
related personnel management functions or manpower studies; may also be
used to respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act.
3. To interns, grantees, experts, contractors, and others who have
been engaged by the Commission to assist in the performance of a
service related to this system of records and who need access to the
records for the purpose of assisting the Commission in the efficient
administration of its programs, including by performing clerical,
stenographic, or data analysis functions, or by reproduction of records
by electronic or other means. Recipients of these records shall be
required to comply with the requirements of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a.
4. To a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual.
5. To members of Congress, the Government Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
6. To a commercial contractor in connection with benefit programs
administered by the contractor on the Commission's behalf, including,
but not limited to, supplemental health, dental, disability, life and
other benefit programs. Recipients of these records shall be required
to comply with the requirements of the Privacy Act of 1974, as amended,
5 U.S.C. 552a.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in electronic format. Electronic records are
stored in computerized databases and/or on computer disc. Paper records
and records on computer disc are stored in locked file rooms and/or
file cabinets.
RETRIEVABILITY:
Records are retrieved by the individual's name.
SAFEGUARDS:
Records are safeguarded in a secured environment. The records are
kept in limited access areas and/or locked offices or file rooms at all
other times. Computerized records are safeguarded through use of access
codes and information technology security. Access is limited to those
personnel whose official duties require access. Contractors and other
recipients providing services to the Commission shall be required to
maintain equivalent safeguards.
RETENTION AND DISPOSAL:
These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with records
schedules of the United States Securities and Exchange Commission and
as approved by the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Executive Director, Office of Human Resources, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-3901.
NOTIFICATION PROCEDURE:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-2736.
RECORD ACCESS PROCEDURE:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of these records may contact the
FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-2736.
CONTESTING RECORD PROCEDURE:
See Record access procedures above.
RECORD SOURCE CATEGORIES:
All information is provided by SEC employees registering for the
services.
EXEMPTION CLAIMED FOR THE SYSTEM:
None.
By the Commission.
Dated: July 8, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-16681 Filed 7-11-13; 8:45 am]
BILLING CODE 8011-01-P