

[Federal Register: January 17, 2007 (Volume 72, Number 10)]
[Notices]               
[Page 2036-2040]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17ja07-82]                         

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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-38; File No. S7-02-07]

 
Privacy Act of 1974: Notice of Alteration to Two Existing Systems 
of Records

AGENCY: Securities and Exchange Commission.

ACTION: Notice of proposed alteration to two existing systems of 
records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission 
proposes to alter the Privacy Act system of records: ``Personnel 
Management Employment and Staffing Files (SEC-39)'', which was 
previously identified in the Federal Register at 41 FR 41591 on 
September 22, 1976, 50 FR 37750 on September 17, 1985 and 62 FR 47884 
on September 11, 1997.
    Also, the Commission is proposing to make changes to its system of 
records ``Identification and Access Control Cards, Special Credentials, 
Press Passes, and Building Access Control Cards (SEC-46)'', originally 
published at 63 FR 37423, July 10, 1998.

DATES: Effective Date: The changes will become effective February 26, 
2007 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.
    Comment Date: To be assured of consideration, comments should be 
received on or before February 16, 2007.

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 e-mail to rule-comments@sec.gov. Please include 

File Number S7-02-07 on the subject line.

Paper Comments

     Send paper comments in triplicate to Nancy M. Morris, 
Secretary, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549-1090.

All submissions should refer to File Number S7-02-07. This file number 
should be included on the subject line if e-mail 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 public inspection and copying in the Commission's 
Public Reference Room, 100 F Street, NE., Washington, DC 20549. All 
comments received will be posted without change; 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: Barbara A. Stance, Chief Privacy 
Officer, Securities and Exchange Commission, Operations Center, 6432 
General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413, (202) 551-
7209.

SUPPLEMENTARY INFORMATION: The Commission proposes to alter the system 
of records, ``Personnel Management Employment and Staffing Files (SEC-
39).'' As described in the original notice, the system contains 
information on applicants for SEC employment, and present and past 
employees. This notice is published to alter the system of records by 
adding two new routine uses, (1) to disclose information in connection 
with organizational directories or similar records for internal 
management purposes, and (2) to Commission contractors or their 
authorized employees, and other Federal agencies for the purpose of 
assisting the Commission in the efficient administration of its 
programs; by changing the name of the system manager to the Office of 
Human Resources; and by changing the address for submitting requests 
for record notification, access and contesting to the Privacy Act 
Officer, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549-5100.
    The Commission also proposes to alter the system of records, 
``Identification and Access Control Cards, Special Credentials, Press 
Passes, and Building Access Control Cards

[[Page 2037]]

(SEC-46).'' As described in the original notice, the system is designed 
to permit access to Commission facilities by Commission employees, 
members of the press, contractors and consultants. This notice is 
published to modify the system of records by changing the system name 
from Identification Cards, Press Passes and Proximity Access Control 
Cards to Identification and Access Control Cards, Special Credentials, 
Press Passes, and Building Access Control Cards; by changing the system 
location from the Office of Administrative and Personnel Management to 
the Office of Administrative Services; by adding three new routine 
uses, (1) to disclose information to other Federal agencies to verify 
the identity and status of the PIV Card holder, (2) to Commission 
contractors or their authorized employees, and other Federal agencies 
for the purpose of assisting the Commission in the efficient 
administration of its programs, and (3) in connection with 
organizational directories or similar records for internal management 
purposes; by changing the system manager and address to the Office of 
Administrative Services, Security Branch, Securities and Exchange 
Commission, 100 F Street, NE., Washington, DC 20549-1627; by changing 
the address for submitting requests for record notification, access and 
contesting to the Privacy Act Officer, Securities and Exchange 
Commission, 100 F Street, NE., Washington, DC 20549-5100; and by 
expanding the record source categories to include volunteers, on-site 
business owners or clients, employees of other Federal agency and 
visitors. This notice is also altered to incorporate requirements of 
Homeland Security Presidential Directive 12 (HSPD-12) by expanding the 
categories and individuals covered by the system to include volunteers, 
tenants and employees of other Federal agencies; by clarifying and 
expanding the categories of records in the system, adding a note 
explaining that, to the extent that the Commission has records of a 
personnel investigative nature that come from the Office of Personnel 
Management or its contractors, they are covered by OPM/CENTRAL-9, 
Personnel Investigative Records, and not this system notice; and by 
expanding the authority for maintenance of the system and the purpose 
statement to include reference to HSPD-12.
    The Commission has submitted a report of the altered systems of 
records to the Senate Committee on Homeland Security and Governmental 
Affairs, the House Committee on Government Reform, and the Office of 
Management and Budget, pursuant to 5 U.S.C. 552a(r) of the Privacy Act 
of 1974, as amended, and Appendix I to OMB Circular A-130, ``Federal 
Agency Responsibilities for Maintaining Records About Individuals,'' as 
amended on February 20, 1996 (61 FR 6435).
    Accordingly, the Commission is altering the systems of records to 
read as follows:
SEC-39

SYSTEM NAME:
    Personnel Management Employment and Staffing Files.

SYSTEM LOCATION:
    Securities and Exchange Commission, Operations Center, 6432 General 
Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Records are maintained on applicants for SEC employment and present 
and past employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system of records includes the following category of records:
    (a) Applicant files (Computerized applications, Standard Forms 171 
and resumes, attorney supplements to applications, applicant 
correspondence and evaluations, and summer employment files);
    (b) Official personnel folders (Office of Human Resources files);
    (c) Service record cards;
    (d) Merit promotion posting files, including supervisory appraisals 
for jobs advertised under SEC Merit Promotion Program;
    (e) Request to Office of Personnel Management for Schedule C 
personnel actions;
    (f) Chronological copies of personnel actions (Standard Forms 50);
    (g) Office of Personnel Management clerk-typist and clerk-steno 
examination papers for applicants tested under SEC's delegated 
recruiting authority;
    (h) Division/Office/Region employee record cards or electronic 
media; and
    (i) Regional Office employee files, including copies of 
applications and notifications of personnel action (Standard Forms 50) 
on the employee concerned.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 CFR, parts 213, 293, 302, and 335; 5 U.S.C. 3109 and Civil 
Service Regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    These records and the information contained in these records may be 
used or disclosed as follows:
    1. Records in category (a) above are used by SEC staff to make 
referrals to supervisors or administrative assistants in offices with 
vacancies for which applicants may be considered. Offices may retain 
copies of applications/resumes and evaluations of candidates they 
interview whom they feel may be contenders for employment offers later 
in the year.
    2. SEC staff uses records in category (b) above for (i) retention 
of official personnel documents; (ii) verification of employment; (iii) 
determination of qualifications for jobs and eligibility for training; 
and (iv) processing of personnel actions.
    3. SEC staff uses records in category (c) above for (i) computation 
of personnel strength of divisions/offices; (ii) verification of 
employment for credit checks or job applications; and (iii) recording 
of personnel actions processed.
    4. SEC staff uses records in category (d) above to maintain records 
required by the Office of Personnel Management of competitive promotion 
actions, including (i) records to determine how an announcement for a 
particular job reads; (ii) records for statistical reports; and (iii) 
records for program effectiveness studies (to send questionnaires to 
supervisors who made selections under the program, for example). 
Supervisory appraisals are scored and used in determining employee's 
overall standing among all applicants for the job; they are sent to 
selecting supervisors for review if the employee is certified for 
consideration (interview).
    5. SEC staff uses records in category (e) above to identify Office 
of Personnel Management control numbers for Schedule C positions and to 
aid in preparing new submissions.
    6. SEC staff uses records in category (f) above for statistical 
reports.
    7. SEC staff forwards records in category (g) above to the Office 
of Personnel Management at the end of each month if the applicant is 
not hired; if applicant is hired, records are retained for one year and 
then destroyed.
    8. SEC staff uses records in category (h) above to monitor 
personnel actions concerning their staffs (i.e., date of employee's 
last promotion, employee's position description number, etc.) and to 
record date personnel action requests

[[Page 2038]]

and reports were forwarded to the Office of Personnel.
    9. SEC Regional Offices use records in category (i) above as a 
reference in preparing personnel actions requests on employees, 
determining employee eligibility for training or career development 
counseling and for back-up data in preparing award nominations, etc.
    10. Any of the records described above may be used by the 
Commission in connection with any action or proceeding brought by an 
employee before another agency or a court of law to review personnel 
action taken by the Commission or the failure by the Commission to take 
action.
    11. 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.
    12. To a Federal, State or local governmental authority maintaining 
civil, criminal or other relevant enforcement information or other 
pertinent information, such as current licenses, if necessary to obtain 
information relevant to an agency decision concerning the hiring or 
retention of an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant or other 
benefit.
    13. To a Federal, State or local governmental authority, in 
response to its request, in connection with 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.
    14. As a data source for management information for production of 
summary descriptive statistics and analytical studies 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 
utilized to respond to general requests for statistical information 
(without personal identification of individuals) under the Freedom of 
Information Act or to locate specific individuals for personnel 
research or other personnel management functions.
    15. To aid in responding to inquiries from an employee, Member of 
Congress, the press or others concerning personnel action taken with 
respect to a specified employee or employees.
    16. Records in this system may, at the discretion of the 
Commission's staff, be disclosed to any person during the course of any 
inquiry or investigation conducted by the Commission staff, or in 
connection with civil 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 inquiry.
    17. 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.
    18. To the Office of Management and Budget in connection with the 
review of private relief legislation as set forth in OMB Circular A-19 
at any stage of the legislative coordination and clearance process as 
set forth in that circular.
    19. To Commission contractors or their authorized employees, and 
other Federal agencies, as necessary, for the purpose of assisting the 
Commission in the efficient administration of its programs. These 
contractors will be required to maintain Privacy Act safeguards with 
respect to such records.
    20. The information contained in this system may be used by the 
Commission in connection with organizational directories or similar 
records for internal management purposes.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in electronic or paper form.

RETRIEVABILITY:
    Records are indexed by name.

SAFEGUARDS:
    Records in categories (a)-(g) are pulled and re-filed by Office of 
Human Resources staff only and that Office is locked each evening. 
Access to official Personnel Folders is limited to employee concerned, 
his/her supervisors and administrative assistant, supervisors/
administrative assistants considering him/her for a job or employee's 
designated representative; access by other individuals on official 
business is on a need-to-know basis as approved by the Associate 
Executive Director, Office of Human Resources. Personnel folders are 
locked in the Diebold file each evening. Division/Office Directors and 
Regional Directors are responsible for keeping employee record cards, 
electronic media or employee files (Regional Offices only) under lock 
and for assuring confidentiality. The national office in Washington, DC 
has a 24-hour security guard.

RETENTION AND DISPOSAL:
    Records in category (a) are retained six months and then destroyed. 
Records in category (b) are forwarded to Federal Records Center 30 days 
after the employee leaves the SEC by retirement, resignation or death 
or forwarded to agency to which employee transfers as soon as new 
agency requests them. Records in category (c) are retained 
indefinitely. Records in category (d) are retained two years and then 
destroyed. Records in category (e) are retained indefinitely. Records 
in category (f) are retained five years and then destroyed. Records in 
category (g) are sent to the Office of Personnel Management at the end 
of the month if the applicant is hired. If the applicant is not hired, 
records are retained one year and then destroyed. Records in category 
(h) are retained indefinitely. Records in category (i) are retained 
while employee is assigned to office and forwarded to new SEC office if 
he/she transfers or destroyed if employee leaves the SEC.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Executive Director, Office of Human Resources, Securities 
and Exchange Commission, Operations Center, 6432 General Green Way, 
Mail Stop 0-1, 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, 100 F Street, 
NE., Washington, DC 20549-5100.

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, 100 F Street, 
NE., Washington, DC 20579-5100.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    Records in category (a) are obtained from applicant concerned and 
interviewer evaluating the applicant. Records in category (b) are 
obtained from employee and supervisors concerned. Records in category 
(c) are obtained from official personnel folder of the employee 
concerned. Records in category (d) are obtained from employees applying 
for job and their supervisors. Records in category (e) are

[[Page 2039]]

obtained from employees and supervisors concerned. Records in category 
(f) are obtained from employees and supervisors concerned. Records in 
category (g) are obtained from applicant. Records in category (h) are 
obtained from official personnel actions, employees and supervisors 
concerned. Records in category (i) are obtained from official personnel 
actions, employees and supervisors concerned.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    None.
SEC-46

SYSTEM NAME:
    Identification and Access Control Cards, Special Credentials, Press 
Passes, and Building Access Control Cards.

SYSTEM LOCATION:
    Securities and Exchange Commission, Office of Administrative 
Services, 100 F Street, NE., Washington, DC 20549-1627.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Commission employees, members of the press, contractors, 
volunteers, tenants, and consultants or employees of other Federal 
agencies who require access to Commission facilities for extended 
periods of time.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include Government Personal Identity Verification (PIV) 
Card (The SEC PIV Card provider is the General Services Administration 
(GSA), and the full list of card fields maintained in the GSA system is 
covered by the GSA system of records, GSA-GOVT-7, Personal Identity 
Verification Identity Management System (PIV IDMS). The SEC system of 
records contains the following: name, date of birth, weight, height, 
color of hair and eyes, photograph, employee record number, card chip 
number, authorized access rights, date of issuance, date of return, 
date background investigation completed, whether eligible for an SEC 
Special Credential [SEC Form 990], and date of expiration); SEC Form 
980, Headquarters and Field Office Access Card (name, date of birth, 
weight, height, color of hair and eyes, photograph, employee record 
number, card chip number, authorized access rights, date of issuance, 
and date of expiration); SEC Form 980A, Day Pass (date, name, 
organization, and authorized by); SEC Form 990, Special Credential 
(signature of authorizing official, photograph, control number, date of 
issuance and date of expiration); SEC Form 2355, On-Site Business & 
Registered Client ID (name, requesting officer, name of company or 
organization, control number, identification number, date of issue, 
expiration date, relationship to business, date of birth, color of hair 
and eyes, height, weight, photograph, and authorized access rights); 
SEC Form 725, Identification/Access Control Card Worksheet (various 
personal characteristics); and local facility access card (name, 
authorized access rights, card number, date issued and date of 
expiration, company/agency name and SEC division/office).

    Note: The extent to which the Commission has records of a 
personnel investigative nature that come from the Office of 
Personnel Management (OPM) or its contractors, they are covered by 
OPM/CENTRAL-9, Personnel Investigations Records, and not this system 
notice.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Federal Property and Administrative Services Act of 1949 (63 
Stat. 377), as amended; Homeland Security Presidential Directive 12 
(HSPD-12), Policy for a Common Identification Standard for Federal 
Employees and Contractors, August 27, 2004.

PURPOSE(S):
    This system is primarily designed to permit access according to 
authorized access rights to Commission facilities by Commission 
employees, contractors, consultants, volunteers, tenants, members of 
the press, and employees of other Federal agencies (only if they 
require access to Commission facilities for extended periods of time). 
This system also provides the status indicator of the PIV Cards to a 
separate secure database as required by Homeland Security Presidential 
Directive (HSPD)--12 so that other Federal agencies may verify the 
identity and current status of the PIV cardholder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    These records and information contained in these records may be 
disclosed as follows:
    1. To the appropriate Federal, State or local agency responsible 
for investigating, prosecuting, enforcing, or implementing a statute, 
rule, regulation, or order, where the Commission becomes aware of an 
indication of a violation or potential violation of civil or criminal 
law or regulation;
    2. To another Federal agency or to a court when the Government is 
party to a judicial proceeding before the court;
    3. To a Federal, State, or local agency, in response to its 
requests, in connection with the hiring or retention of an employee, 
the issuance of a security clearance, or the conducting of a security 
or background investigation of an individual, to the extent that the 
information is relevant and necessary to the requesting agency;
    4. To the Office of Inspector General for investigating allegations 
of abuse, should it occur;
    5. To other Federal agencies to verify the identity and status of 
the PIV Card holder;
    6. To Commission contractors or their authorized employees, and 
other Federal agencies, as necessary, for the purpose of assisting the 
Commission in the efficient administration of its programs. These 
contractors will be required to maintain Privacy Act safeguards with 
respect to such records; and
    7. In connection with organizational directories or similar records 
for internal management purposes.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in electronic media and in paper files.

RETRIEVABILITY:
    Records may be retrieved by the employee's name or identification 
number.

SAFEGUARDS:
    Records are safeguarded by restricted computer passwords, locked 
file cabinets, and safes.

RETENTION AND DISPOSAL:
    Records are maintained in a computerized database and paper. 
Electronic records, identification cards, and passes are destroyed 
three months after expiration, revocation, or return to issuing office, 
as provided in the National Archives and Records Administration's 
General Records Schedule No. 11, Item 4.

SYSTEM MANAGER(S) AND ADDRESS:
    Office of Administrative Services, Security Branch, Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.

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, 100 F Street, 
NE., Washington, DC 20549-5100.

[[Page 2040]]

RECORD ACCESS PROCEDURES:
    Persons wishing to obtain information on the procedures for gaining 
access to or contesting the contents of this record may contact the 
Privacy Act Officer, Securities and Exchange Commission, 100 F Street, 
NE., Washington, DC 20549-5100.

CONTESTING RECORDS PROCEDURES:
    See record access procedures above.

RECORD SOURCE CATEGORIES:
    The issuing official, Commission employee, contractor, volunteer, 
on-site business owner or client, employee of other Federal agency, 
visitor, or press member being issued the identification/access card 
provides the information.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    Dated: January 11, 2007.

    By the Commission.
Nancy M. Morris,
 Secretary.
[FR Doc. E7-547 Filed 1-16-07; 8:45 am]

BILLING CODE 8011-01-P
