Privacy Act of 1974: Systems of Records, 17978-17980 [2010-7942]
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17978
Federal Register / Vol. 75, No. 67 / Thursday, April 8, 2010 / Notices
company were a registered investment
company.
5. The Release lists two conditions,
designed for the protection of investors,
which must be satisfied by two-tier
partnerships to qualify for the
exemption under section 6(c). First,
interests in the issuer should be sold
only to persons for whom investments
in limited profit, essentially tax-shelter,
investments would not be unsuitable.
Second, requirements for fair dealing by
the general partner of the issuer with the
limited partners of the issuer should be
included in the basic organizational
documents of the company.
6. Applicants represent that Units will
be sold only to persons for whom
investment in limited profit, essentially
tax shelter, investments would be
suitable. Applicants further state that
the requirements for fair dealing by the
Manager with the Members are included
in the basic organizational documents of
each Fund. Applicants assert, among
other things, that the suitability
standards set forth in the application,
the requirements for fair dealing
provided by the Operating Agreement,
and pertinent governmental regulations
imposed on each Local Limited
Partnership by various Federal, state,
and local agencies provide protection to
Accredited Investors in Units. In
addition, applicants assert that the
requested exemption is both necessary
and appropriate in the public interest.
For the Commission, by the Division of
Investment Management, pursuant to
delegated authority.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–7978 Filed 4–7–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. PA–42; File No. S7–07–10]
Privacy Act of 1974: Systems of
Records
sroberts on DSKD5P82C1PROD with NOTICES
AGENCY: Securities and Exchange
Commission.
ACTION: Notice of revised system 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 a Privacy Act system of records:
‘‘Pay and Leave System (SEC–15)’’. The
revisions reflect changes that have
occurred since the notice was last
published in the Federal Register
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Volume 64, Number 236 on Thursday,
December 9, 1999.
DATES: The proposed changes will
become effective May 18, 2010 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 May 10, 2010.
ADDRESSES: Comments may be
submitted by any of the following
methods:
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/other.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
Number S7–07–10 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–1090.
All submissions should refer to File
Number S7–07–10. 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
https://www.sec.gov/rules/other.shtml).
Comments are 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 a.m. and 3 p.m.
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,
Office of Information Technology, 202–
551–7209.
SUPPLEMENTARY INFORMATION: The
Commission proposes to revise the
Privacy Act system of records ‘‘Pay and
Leave System’’ (SEC–15).’’ The revisions
reflect changes that have occurred since
the notice was last published and will
update the system name, system
location, categories of individuals
covered by the system, categories of
records in the system, routine uses of
records maintained in the system,
retrievability of records, records’
safeguards, retention and disposition of
records, system manager and address,
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notification procedures, record access
procedures, contesting records
procedures, and record source
categories.
The Commission has submitted a
report of the revised system 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
revising the system of records to read as
follows:
SEC–15
SYSTEM NAME:
Payroll, Attendance, Retirement and
Leave Records.
SYSTEM LOCATION:
1. Payroll files, retirement case files,
time and attendance reports, and service
history files: SEC, 100 F Street, NE.,
Washington, DC 20549;
2. Notices of personnel action and
other pay-related records: Department of
the Interior, National Business Center,
Payroll Operations Division, Mail Stop
D–2662, 7301 West Mansfield Avenue,
Lakewood, CO 80235–2230; and
3. Retired personnel files: National
Archives and Records Administration,
National Personnel Records Center
(Civilian Personnel Records Center), 111
Winnebago Street, St. Louis, MO 63118.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Past and present employees, interns,
fellows, volunteers and persons who
work at the SEC under the
Intergovernmental Personnel Act
(employees).
CATEGORIES OF RECORDS IN THE SYSTEM:
These records include, but are not
limited to: employee name, address,
phone number, Social Security number,
organization code, pay rate, salary,
grade, length of service, pay and leave
records, source documents for posting
time and leave attendance, and
deductions for Medicare, Old Age,
Survivors, and Disability Insurance
(OASDI, also known as Social Security),
bonds, Federal Employee Group Life
Insurance (FEGLI), union dues, taxes,
allotments, quarters, retirement,
charities, Federal and commercial
health benefits, Flexible Spending
Account, Long Term Care Insurance,
Thrift Savings Plan contributions,
award, shift schedules, and pay
differential, tax lien data, wage
garnishments. The payroll, retirement
and leave records described in this
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Federal Register / Vol. 75, No. 67 / Thursday, April 8, 2010 / Notices
notice form a part of the information
contained in the Department of the
Interior’s integrated Federal Personnel
and Payroll System (FPPS). Personnel
records contained in the FPPS are
covered under the government-wide
system of records notice published by
the Office of Personnel Management
(OPM/GOVT–1) and Commission’s
system of records notice, SEC–39,
Personnel Management Employment
and Staffing Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 302; 31 U.S.C. 3512.
PURPOSE(S):
The primary uses of the records are
for the Commission’s fiscal operations
for payroll, time and attendance, leave,
insurance, tax, retirement,
qualifications, and benefits; to prepare
related reports to other Federal agencies
including the Department of Treasury
and the Office of Personnel
Management; and to locate SEC
employees and determine such matters
as their period of service, type of leave,
qualifications, benefits, and pay.
sroberts on DSKD5P82C1PROD with NOTICES
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 as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as
follows:
1. To the National Business Center of
the U.S. Department of the Interior.
2. To any Federal, state, or local
government compiling tax withholding,
retirement contributions, or allotments
to charities, labor unions, wage
garnishments, and other authorized
recipients.
3. To any Federal governmental
authority or its agents investigating (a)
a violation or potential violation of a
statute, rule, regulation, or order, or (b)
an employee’s grievance or complaint.
4. To any member of the public for
employment verification at an
employee’s written request.
5. To any judgment creditor for the
purpose of wage garnishment.
6. To any arbitrator under a negotiated
labor agreement.
7. To the General Accountability
Office, the Office of Management and
Budget, and other Federal agencies to
support payments of salaries and
benefits to SEC employees.
8. To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services, the Federal
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Parent Locator System and the Federal
Tax Offset System to (a) Locate
individuals, (b) identify income sources,
(c) establish paternity, (d) verify social
security numbers or employment, (e)
issue, modify, or enforce orders of
support, or (f) administer the Federal
Earned Income Tax Credit Program.
9. To a Congressional office in
response to an inquiry from that
Congressional office made at the request
of the individual to whom the record
pertains.
10. 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 utilized to respond
to general requests for statistical
information (without personal
identification of individuals) under the
Freedom of Information Act.
11. 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 or
stenographic 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.
12. When (a) It is suspected or
confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (b) the Commission 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
Commission or another agency or entity)
that rely upon the compromised
information; and (c) the disclosure is
made to such agencies, entities, and
persons who are reasonably necessary to
assist in connection with the
Commission’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
13. 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.
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17979
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, on
computer disc and/or other electronic
media. Paper records are stored in
locked file rooms and/or file cabinets.
RETRIEVABILITY:
These records may be retrieved by
identifiers including, but not limited to,
individual’s name, an employee’s name
or social security number, birthday, and
organizational code.
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24
hour security guard service. Access is
limited to those personnel whose
official duties require access. Paper
records are maintained in limited access
areas during duty hours and in locked
file cabinets and/or locked offices or file
rooms at all other times. 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
comply with the Privacy Act and
applicable agency rules and regulations
issued under the Act.
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.
NOTIFICATION PROCEDURE:
All requests to determine whether this
system of records contains a record
pertaining to the requesting individual
should be directed to the FOIA/PA
Officer, Securities and Exchange
Commission, 100 F Street, NE.,
Washington, DC 20549–5100.
RECORD ACCESS PROCEDURE:
Persons wishing to obtain information
on the procedures for gaining access to
or contesting the contents of these
records should contact the FOIA/
Privacy Act Officer, Securities and
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17980
Federal Register / Vol. 75, No. 67 / Thursday, April 8, 2010 / Notices
Exchange Commission, 100 F Street,
NE., Washington, DC 20549–5100.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
RECORD SOURCE CATEGORIES:
Records source is from individuals on
whom the records are maintained,
official personnel records of individuals
on whom the records are maintained,
time and attendance records,
withholding certificates, third-party
benefit providers, and other pay-related
records prepared by the individual or
the Office of Human Resources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
By the Commission.
Dated: April 2, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–7942 Filed 4–7–10; 8:45 am]
BILLING CODE 8011–01–P
clarifying changes. All of the changes
described herein are applicable to ISE
Members.
All of the changes described herein
are applicable to ISE Members. The text
of the proposed rule change is available
on the Exchange’s Internet Web site at
https://www.ise.com.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
self-regulatory organization included
statements concerning the purpose of,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of these statements may be examined at
the places specified in Item IV below.
The self-regulatory organization has
prepared summaries, set forth in
sections A, B and C below, of the most
significant aspects of such statements.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–61825; File No. SR–ISE–
2010–23]
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
Self-Regulatory Organizations;
International Securities Exchange,
LLC; Notice of Filing and Immediate
Effectiveness of Proposed Rule
Change Relating to Amending the
Direct Edge ECN Fee Schedule
April 1, 2010.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on March 24,
2010, the International Securities
Exchange, LLC (the ‘‘Exchange’’ or the
‘‘ISE’’) filed with the Securities and
Exchange Commission (‘‘Commission’’)
the proposed rule change as described
in Items I, II, and III below, which items
have been prepared by the selfregulatory organization. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
sroberts on DSKD5P82C1PROD with NOTICES
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend
Direct Edge ECN’s (‘‘DECN’’) fee
schedule for ISE Members 3 to (i) reflect
pass through charges of other market
centers; and (ii) make typographical and
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 References to ISE Members in this filing refer to
DECN Subscribers who are ISE Members.
2 17
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DECN, a facility of ISE, operates two
trading platforms, EDGX and EDGA.4
In SR–ISE–2009–57,5 the Exchange
adopted a fee of $0.0024 per share for
securities priced at or above $1.00
which add liquidity to LavaFlow ECN
(‘‘LavaFlow’’) and are routed from either
EDGX or EDGA. Such a strategy is
deemed a ROLF routing strategy, which
is a destination specific routing strategy
that will first sweep the EDGA or EDGX
order book before being delivered to
LavaFlow. A conforming amendment
was made to the fee schedule to yield
an ‘‘M’’ flag to account for this fee.
Conversely, for liquidity that is routed
through either EDGA or EDGX and
removes liquidity from LavaFlow, the
Exchange adopted a fee for ISE members
of $0.0029 per share for securities
priced at or above $1.00. Such situation
will yield a flag of ‘‘U.’’ However, if an
ISE member posts an average of 50,000
shares or more using a ROLF routing
strategy, yielding flag M, then such ISE
member’s fee, when removing liquidity
4 This fee filing relates to the trading facility
operated by ISE and not EDGA Exchange, Inc. and
EDGX Exchange, Inc. Direct Edge ECN LLC (EDGA
and EDGX) will cease to operate in its capacity as
an electronic communications network following
the commencement of operations of EDGA
Exchange, Inc. and EDGX Exchange, Inc. as national
securities exchanges.
5 See Securities Exchange Act Release No. 60442
(August 5, 2009), 74 FR 40249 (August 11, 2009)
(SR–ISE–2009–57).
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from LavaFlow, will decrease to $0.0022
per share and yield flag U.
First, because the Exchange proposes
to pass through to Exchange members
the actual transaction fees assessed by
away markets, the Exchange is
proposing to amend its fees schedule to
reflect LavaFlow’s increase in fees.
Effective March 1, 2010, LavaFlow
increased its fees and thresholds for
meeting the above-described tier.
Members that remove liquidity from
LavaFlow if the Member’s attributable
MPID executes a minimum of 100,000
shares (instead of 50,000 shares
currently) average daily volume using
strategy ROLF (yielding Flag M) will
now be charged $0.0023 per share
(instead of $0.0022 per share currently).
The Exchange is proposing to pass
through this change to its members by
reflecting it in footnote 6 on the fee
schedule.
Secondly, effective April 1, 2010, the
Nasdaq Stock Market updated its
transaction fee schedule to introduce a
unified removal rate ($0.0030 per share
executed) for all U.S. equities, across
Tapes A, B, and C.6 As a result of this
proposed change, the Exchange is
proposing to make a conforming change
to delete footnote number 8 on the ‘‘2’’
flag and re-number it as footnote
number 7 since the Nasdaq Stock
Market no longer differentiates its
removal rate across Tapes A, B, and C.
Finally, the Exchange proposes to
make the following typographical and
clarifying changes to the schedule: (i)
On flag H, for EDGA, 0.001 is proposed
to be changed to read ‘‘0.0010’’ to
conform the numbering with the other
fees on the schedule (emphasis added);
(ii) in footnote number 6, delete an
additional parenthesis at the end of the
phrase ‘‘(yielding Flag U)’’.
The changes discussed in this filing
will become operative on April 1, 2010.
2. Statutory Basis
The Exchange believes that the
proposed rule change is consistent with
the objectives of Section 6 of the Act,7
in general, and furthers the objectives of
Section 6(b)(4),8 in particular, as it is
designed to provide for the equitable
allocation of reasonable dues, fees and
other charges among its members and
other persons using its facilities. ISE
notes that DECN operates in a highly
competitive market in which market
participants can readily direct order
flow to competing venues if they deem
fee levels at a particular venue to be
6 See Equity Trader Alert 2010–12 (effective April
1, 2010).
7 15 U.S.C. 78f.
8 15 U.S.C. 78f(b)(4).
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]]>Agencies
[Federal Register Volume 75, Number 67 (Thursday, April 8, 2010)]
[Notices]
[Pages 17978-17980]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-7942]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-42; File No. S7-07-10]
Privacy Act of 1974: Systems of Records
AGENCY: Securities and Exchange Commission.
ACTION: Notice of revised system 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 a Privacy Act system of
records: ``Pay and Leave System (SEC-15)''. The revisions reflect
changes that have occurred since the notice was last published in the
Federal Register Volume 64, Number 236 on Thursday, December 9, 1999.
DATES: The proposed changes will become effective May 18, 2010 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 May 10, 2010.
ADDRESSES: Comments may be submitted by any of the following methods:
Electronic Comments
Use the Commission's Internet comment form (https://www.sec.gov/rules/other.shtml); or
Send an e-mail to rule-comments@sec.gov. Please include
File Number S7-07-10 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number S7-07-10. 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 https://www.sec.gov/rules/other.shtml). Comments are
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 a.m. and 3 p.m. 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, Office of Information Technology, 202-551-7209.
SUPPLEMENTARY INFORMATION: The Commission proposes to revise the
Privacy Act system of records ``Pay and Leave System'' (SEC-15).'' The
revisions reflect changes that have occurred since the notice was last
published and will update the system name, system location, categories
of individuals covered by the system, categories of records in the
system, routine uses of records maintained in the system,
retrievability of records, records' safeguards, retention and
disposition of records, system manager and address, notification
procedures, record access procedures, contesting records procedures,
and record source categories.
The Commission has submitted a report of the revised system 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 revising the system of records to
read as follows:
SEC-15
SYSTEM NAME:
Payroll, Attendance, Retirement and Leave Records.
SYSTEM LOCATION:
1. Payroll files, retirement case files, time and attendance
reports, and service history files: SEC, 100 F Street, NE., Washington,
DC 20549;
2. Notices of personnel action and other pay-related records:
Department of the Interior, National Business Center, Payroll
Operations Division, Mail Stop D-2662, 7301 West Mansfield Avenue,
Lakewood, CO 80235-2230; and
3. Retired personnel files: National Archives and Records
Administration, National Personnel Records Center (Civilian Personnel
Records Center), 111 Winnebago Street, St. Louis, MO 63118.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Past and present employees, interns, fellows, volunteers and
persons who work at the SEC under the Intergovernmental Personnel Act
(employees).
CATEGORIES OF RECORDS IN THE SYSTEM:
These records include, but are not limited to: employee name,
address, phone number, Social Security number, organization code, pay
rate, salary, grade, length of service, pay and leave records, source
documents for posting time and leave attendance, and deductions for
Medicare, Old Age, Survivors, and Disability Insurance (OASDI, also
known as Social Security), bonds, Federal Employee Group Life Insurance
(FEGLI), union dues, taxes, allotments, quarters, retirement,
charities, Federal and commercial health benefits, Flexible Spending
Account, Long Term Care Insurance, Thrift Savings Plan contributions,
award, shift schedules, and pay differential, tax lien data, wage
garnishments. The payroll, retirement and leave records described in
this
[[Page 17979]]
notice form a part of the information contained in the Department of
the Interior's integrated Federal Personnel and Payroll System (FPPS).
Personnel records contained in the FPPS are covered under the
government-wide system of records notice published by the Office of
Personnel Management (OPM/GOVT-1) and Commission's system of records
notice, SEC-39, Personnel Management Employment and Staffing Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 302; 31 U.S.C. 3512.
PURPOSE(S):
The primary uses of the records are for the Commission's fiscal
operations for payroll, time and attendance, leave, insurance, tax,
retirement, qualifications, and benefits; to prepare related reports to
other Federal agencies including the Department of Treasury and the
Office of Personnel Management; and to locate SEC employees and
determine such matters as their period of service, type of leave,
qualifications, benefits, and pay.
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 as a routine use pursuant to 5
U.S.C. 552a(b)(3) as follows:
1. To the National Business Center of the U.S. Department of the
Interior.
2. To any Federal, state, or local government compiling tax
withholding, retirement contributions, or allotments to charities,
labor unions, wage garnishments, and other authorized recipients.
3. To any Federal governmental authority or its agents
investigating (a) a violation or potential violation of a statute,
rule, regulation, or order, or (b) an employee's grievance or
complaint.
4. To any member of the public for employment verification at an
employee's written request.
5. To any judgment creditor for the purpose of wage garnishment.
6. To any arbitrator under a negotiated labor agreement.
7. To the General Accountability Office, the Office of Management
and Budget, and other Federal agencies to support payments of salaries
and benefits to SEC employees.
8. To the Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services, the
Federal Parent Locator System and the Federal Tax Offset System to (a)
Locate individuals, (b) identify income sources, (c) establish
paternity, (d) verify social security numbers or employment, (e) issue,
modify, or enforce orders of support, or (f) administer the Federal
Earned Income Tax Credit Program.
9. To a Congressional office in response to an inquiry from that
Congressional office made at the request of the individual to whom the
record pertains.
10. 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
utilized to respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act.
11. 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 or
stenographic 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.
12. When (a) It is suspected or confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Commission 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 Commission or another agency or entity) that rely
upon the compromised information; and (c) the disclosure is made to
such agencies, entities, and persons who are reasonably necessary to
assist in connection with the Commission's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
13. 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.
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, on computer disc and/or
other electronic media. Paper records are stored in locked file rooms
and/or file cabinets.
RETRIEVABILITY:
These records may be retrieved by identifiers including, but not
limited to, individual's name, an employee's name or social security
number, birthday, and organizational code.
SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24 hour security guard
service. Access is limited to those personnel whose official duties
require access. Paper records are maintained in limited access areas
during duty hours and in locked file cabinets and/or locked offices or
file rooms at all other times. 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 comply with the Privacy Act and applicable agency
rules and regulations issued under the Act.
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.
NOTIFICATION PROCEDURE:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual should be directed to
the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street,
NE., Washington, DC 20549-5100.
RECORD ACCESS PROCEDURE:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of these records should contact
the FOIA/Privacy Act Officer, Securities and
[[Page 17980]]
Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
RECORD SOURCE CATEGORIES:
Records source is from individuals on whom the records are
maintained, official personnel records of individuals on whom the
records are maintained, time and attendance records, withholding
certificates, third-party benefit providers, and other pay-related
records prepared by the individual or the Office of Human Resources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
By the Commission.
Dated: April 2, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-7942 Filed 4-7-10; 8:45 am]
BILLING CODE 8011-01-P
