
[Federal Register Volume 78, Number 134 (Friday, July 12, 2013)]
[Notices]
[Pages 41962-41965]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-16681]


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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.

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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 
(``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 rule-comments@sec.gov. 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


