Privacy Act of 1974: Implementation and Amendment of Exemptions, 57636-57637 [2011-23732]
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57636
Federal Register / Vol. 76, No. 180 / Friday, September 16, 2011 / Rules and Regulations
under specific regulations described in
this document. This rule establishes
these restrictions to prevent potential
organizational conflicts of interest
which could adversely affect aviation
safety.
Correction to Preamble
This technical amendment makes one
revision to the preamble section of the
final rule. The amendment number
‘‘119–5’’ should read ‘‘119–15’’.
Issued in Washington, DC, on September 8,
2011.
Dennis R. Pratte,
Acting Director, Office of Rulemaking.
[FR Doc. 2011–23805 Filed 9–15–11; 8:45 am]
BILLING CODE 4910–13–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 200
[Release No. PA–47 ; File No. S7–19–11]
Privacy Act of 1974: Implementation
and Amendment of Exemptions
Securities and Exchange
Commission.
ACTION: Final rule.
AGENCY:
The Securities and Exchange
Commission (‘‘SEC’’ or ‘‘Commission’’) is
adopting a rule to amend its Privacy Act
regulations to exempt portions of three
new systems of records and to make
technical amendments to its current
inventory of exempted systems of
records. Specifically, application of the
exemptions to the three new systems of
records is necessary to protect
information compiled for law
enforcement purposes.
DATES: Effective Date: October 17, 2011.
FOR FURTHER INFORMATION CONTACT:
Cristal Perpignan, Acting Chief Privacy
Officer, Office of Information
Technology, 202–551–7716.
SUPPLEMENTARY INFORMATION:
Background: On May 24, 2011, SEC
published notice of three new Privacy
Act systems of records entitled Tips,
Complaints, and Referrals (TCR)
Records (SEC–63)’’, ‘‘SEC Security in the
Workplace Incident Records (SEC–64)’’,
and ‘‘Investor Response Information
System (IRIS) (SEC–65)’’; and to revise
two existing systems of records at
Release No. PA–46, (May 18, 2011), 76
FR 30213 (May 24, 2011). In
conjunction with publication of the
systems of records notice, the SEC
published, with invitation to comment,
a proposed rule to exempt the new
systems of records from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
erowe on DSK2VPTVN1PROD with RULES
SUMMARY:
VerDate Mar<15>2010
13:06 Sep 15, 2011
Jkt 223001
(I), and (f) of the Privacy Act and 17 CFR
200.303, 200.304, and 200.306; and to
make technical amendments to its
current inventory of exempted systems
of records at Release No. PA–45 (May
18, 2011), 76 FR 30048 (May 24, 2011).
The TCR Records (SEC–63) system of
records contains records related to tips,
complaints, referrals of misconduct, or
related information about actual or
potential violations of the federal
securities laws; investor harm; conduct
of public companies; securities
professionals; regulated entities; and
associated persons. This system of
records may include investigatory
materials that were compiled in
connection with the Commission’s
enforcement responsibilities under the
federal securities laws. Such material
may consist of unsolicited and often
unverified statements concerning
individuals, information received from
confidential sources, as well as reports
from the Commission’s investigators
and other law enforcement personnel.
The disclosure of the existence of
investigatory materials could seriously
undermine effective enforcement of the
federal securities laws by prematurely
alerting individuals to the fact that they
are under investigation, by giving them
access to the evidentiary bases for a
Commission enforcement action or
seriously hampering the Commission’s
case in court or before an administrative
law judge.
The SEC Security in the Workplace
Incident Records (SEC–64) system of
records contains records related to
reports involving incidents of assault,
harassment, intimidation, bullying,
weapons possession, or threats at the
SEC. This system of records may
include investigatory materials that
were compiled in connection with
inquiries or investigation of potential or
actual incidents of violence by and
against individuals at an SEC facility.
The disclosure of information as it
relates to investigatory materials or the
identity of sources of information may
seriously undermine the safety and
security of employees in the workplace.
Access to such information could allow
the subject of an investigation or inquiry
of an actual or potential criminal or civil
violation to interfere with and impede
the investigation, tamper with witnesses
or evidence, and to avoid detection or
apprehension.
The IRIS (SEC–65) system of records
contains records related to complaints/
inquiries/requests from members of the
public and others. This system of
records may include investigatory
materials that were compiled in
connection with the Commission’s
enforcement responsibilities under the
PO 00000
Frm 00012
Fmt 4700
Sfmt 4700
federal securities laws. Such material
may consist of unsolicited and often
unverified statements concerning
individuals, information received from
confidential sources, as well as reports
from the Commission’s investigators
and other law enforcement personnel.
The disclosure of the existence of
investigatory materials could seriously
undermine effective enforcement of the
federal securities laws by prematurely
alerting individuals to the fact that they
are under investigation, by giving them
access to the evidentiary bases for a
commission enforcement action or
seriously hampering the Commission’s
case in court or before an administrative
law judge.
The Commission is exempting SEC–
63, SEC–64 and SEC–65 from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f) and 17 CFR 200.303, 200.304,
and 200.306, insofar as they contain
investigatory materials compiled for law
enforcement purposes; and amending its
existing inventory of exemptions by
modifying the name of SEC 38 from
‘‘Office of Personnel Code of Conduct
and Employee Performance Files’’ to
‘‘Disciplinary and Adverse Actions,
Employee Conduct, and Labor Relations
Files’’ and by deleting reference to
‘‘Personnel Security Files’’, which was
published for deletion at Release No.
PA–29 (July 28, 2000), 65 FR
49037(August10, 2000).
Public Comments: The Commission
received only one comment on the
proposal, but it did not address the
specific exemptions; instead, the
commenter stated generally that he
thought privacy should be preserved
and not taken away. We continue to
believe the exemptions are consistent
with the Privacy Act because the
exemptions protect information relating
to enforcement investigations from
disclosure.
Paperwork Reduction Act
This rule does not contain a
‘‘collection of information’’ requirement
within the meaning of the Paperwork
Reduction Act of 1995, so the
Paperwork Reduction Act is not
applicable.
Cost-Benefit Analysis
The Commission is sensitive to the
costs and benefits imposed by its rules.
The Privacy Act of 1974 directs each
agency that proposes to establish or
make a significant change in a system of
records to publish in the Federal
Register a notice of the existence and
character of the system. Government
agencies may exempt certain records
from certain provisions of the Privacy
Act, but to claim an exemption the
E:\FR\FM\16SER1.SGM
16SER1
Federal Register / Vol. 76, No. 180 / Friday, September 16, 2011 / Rules and Regulations
agency must issue a rule justifying the
exemption.
The new systems of records may
include investigatory materials
compiled in connection with the
Commission’s enforcement of the
federal securities laws, in connection
with potential or actual incidents of
workplace violence, or in connections
with complaints, inquiries or requests
from the public. The Commission and
investors will benefit from the
amendments, because in their absence
the potential access to or disclosure of
the investigatory materials in these
systems of records could seriously
undermine the effective enforcement of
the Federal securities laws, and could
jeopardize the safety and security of
Commission employees in the
workplace.
We recognize that the proposed
amendments may impose costs on
individuals who may wish to obtain
access to records that contain
investigatory materials in these systems
of records. We have no way of
estimating the potential number of
individuals who might in the future
desire such access. Nevertheless, the
benefits of exempting those records
from public access are compelling, and
they clearly justify the costs of the
exemption. In addition, Congress was
aware of such potential costs when they
promulgated the specific exemption in 5
U.S.C. 552a(k)(2). The Commission
discussed these costs and benefits in the
proposing release and received no
comments on them.
erowe on DSK2VPTVN1PROD with RULES
Regulatory Flexibility Act Certification
Pursuant to the requirements of the
Regulatory Flexibility Act, 5 U.S.C. 601–
612, SEC certified that these regulations
would not significantly affect a
substantial number of small entities.
The rule imposes no duties or
obligations on small entities. Further, in
accordance with the provisions of the
Paperwork Reduction Act of 1995, 44
U.S.C. 3501, SEC has determined that
this rule would not impose new
recordkeeping, application, reporting, or
other types of information collection
requirements. The Commission
provided this certification in the
proposing release and received no
comments.
List of Subjects in 17 CFR Part 200
Administrative practice and
procedure; Privacy.
Text of Amendments
For the reasons set out in the
preamble, Title 17, Chapter II, of the
Code of Federal Regulations is amended
as follows:
VerDate Mar<15>2010
13:06 Sep 15, 2011
Jkt 223001
PART 200—ORGANIZATION;
CONDUCT AND ETHICS; AND
INFORMATION AND REQUESTS
1. The authority citation for Part 200
is amended by adding authority for
§ 200.312 in numerical order to read as
follows:
■
57637
By the Commission.
Dated: September 12, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011–23732 Filed 9–15–11; 8:45 am]
BILLING CODE 8011–01–P
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d,
78d–1, 78d–2, 78w, 78ll(d), 78mm, 80a–37,
80b–11, and 7202, unless otherwise noted.
DEPARTMENT OF DEFENSE
*
Office of the Secretary
*
*
*
*
Section 200.312 is also issued under 5
U.S.C. 552a(k).
*
*
*
*
32 CFR Part 199
*
[DOD–2009–HA–0068]
Subpart H—Regulations Pertaining to
the Privacy of Individuals and Systems
of Records Maintained by the
Commission
2. Amend § 200.312 by:
a. Removing ‘‘and’’ at the end of
paragraph (a)(5);
■ b. Removing the period at the end of
paragraph (a)(6) and adding a semicolon
in its place;
■ c. Adding paragraphs (a)(7), (a)(8) and
(a)(9);
■ d. Revising paragraph (b); and
■ e. Removing the authority citation at
the end of the section.
The additions and revision read as
follows.
■
■
§ 200.312
Specific exemptions.
*
*
*
*
*
(a) * * *
(7) Tips, Complaints, and Referrals
(TCR) Records;
(8) SEC Security in the Workplace
Incident Records; and
(9) Investor Response Information
System (IRIS).
(b) Pursuant to 5 U.S.C. 552a(k)(5), the
system of records containing the
Commission’s Disciplinary and Adverse
Actions, Employee Conduct, and Labor
Relations Files shall be exempt from
sections (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) of the Privacy Act, 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), and (e)(4)(I), and (f), and 17
CFR 200.303, 200.304, and 200.306
insofar as they contain investigatory
material compiled to determine an
individual’s suitability, eligibility, and
qualifications for Federal civilian
employment or access to classified
information, but only to the extent that
the disclosure of such material would
reveal the identity of a source who
furnished information to the
Government under an express promise
that the identity of the source would be
held in confidence, or, prior to
September 27, 1975, under an implied
promise that the identity of the source
would be held in confidence.
PO 00000
Frm 00013
Fmt 4700
Sfmt 4700
RIN 0720–AB30
TRICARE; Continued Health Care
Benefit Program Expansion
Office of the Secretary,
Department of Defense.
ACTION: Final rule.
AGENCY:
This final rule executes the
expansion of section 1078a of title 10,
United States Code (U.S.C). With the
recent expansions of Military Health
System (MHS) coverage, particularly
with the Reserve Component (RC)
members, some MHS beneficiaries
would not be eligible to purchase
Continued Health Care Benefit Program
(CHCBP) coverage under certain
circumstances that terminate their MHS
coverage. This provision allows the
Secretary to establish CHCBP eligibility
for any category of MHS beneficiaries
who otherwise would lose MHS
coverage with no continued care
eligibility. Although the proposed rule
listed each authorized category of MHS
beneficiary eligible to receive care, on
further examination this format for the
rule appeared cumbersome and perhaps
confusing. Thus this final rule contains
some organizational changes to simplify
the rule to enhance understanding and
make clear that any category including
future categories of beneficiaries are
entitled to purchase this CHCBP
coverage. This final rule also includes
administrative changes providing
clarification on eligibility notifications
and the CHCBP premium rate
publication process. It updates the
previous final rule published in the
Federal Register on September 30, 1994.
DATES: Effective Date: October 17, 2011.
FOR FURTHER INFORMATION CONTACT: Mr.
Mark Ellis, TRICARE Policy and
Operations, TRICARE Management
Activity, 5111 Leesburg Pike, Suite 810,
Falls Church, VA 22041, telephone
(703) 681–0039.
SUPPLEMENTARY INFORMATION:
SUMMARY:
E:\FR\FM\16SER1.SGM
16SER1
]]>Agencies
[Federal Register Volume 76, Number 180 (Friday, September 16, 2011)]
[Rules and Regulations]
[Pages 57636-57637]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23732]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 200
[Release No. PA-47 ; File No. S7-19-11]
Privacy Act of 1974: Implementation and Amendment of Exemptions
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission (``SEC'' or
``Commission'') is adopting a rule to amend its Privacy Act regulations
to exempt portions of three new systems of records and to make
technical amendments to its current inventory of exempted systems of
records. Specifically, application of the exemptions to the three new
systems of records is necessary to protect information compiled for law
enforcement purposes.
DATES: Effective Date: October 17, 2011.
FOR FURTHER INFORMATION CONTACT: Cristal Perpignan, Acting Chief
Privacy Officer, Office of Information Technology, 202-551-7716.
SUPPLEMENTARY INFORMATION:
Background: On May 24, 2011, SEC published notice of three new
Privacy Act systems of records entitled Tips, Complaints, and Referrals
(TCR) Records (SEC-63)'', ``SEC Security in the Workplace Incident
Records (SEC-64)'', and ``Investor Response Information System (IRIS)
(SEC-65)''; and to revise two existing systems of records at Release
No. PA-46, (May 18, 2011), 76 FR 30213 (May 24, 2011). In conjunction
with publication of the systems of records notice, the SEC published,
with invitation to comment, a proposed rule to exempt the new systems
of records from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f) of the Privacy Act and 17 CFR 200.303, 200.304, and
200.306; and to make technical amendments to its current inventory of
exempted systems of records at Release No. PA-45 (May 18, 2011), 76 FR
30048 (May 24, 2011). The TCR Records (SEC-63) system of records
contains records related to tips, complaints, referrals of misconduct,
or related information about actual or potential violations of the
federal securities laws; investor harm; conduct of public companies;
securities professionals; regulated entities; and associated persons.
This system of records may include investigatory materials that were
compiled in connection with the Commission's enforcement
responsibilities under the federal securities laws. Such material may
consist of unsolicited and often unverified statements concerning
individuals, information received from confidential sources, as well as
reports from the Commission's investigators and other law enforcement
personnel. The disclosure of the existence of investigatory materials
could seriously undermine effective enforcement of the federal
securities laws by prematurely alerting individuals to the fact that
they are under investigation, by giving them access to the evidentiary
bases for a Commission enforcement action or seriously hampering the
Commission's case in court or before an administrative law judge.
The SEC Security in the Workplace Incident Records (SEC-64) system
of records contains records related to reports involving incidents of
assault, harassment, intimidation, bullying, weapons possession, or
threats at the SEC. This system of records may include investigatory
materials that were compiled in connection with inquiries or
investigation of potential or actual incidents of violence by and
against individuals at an SEC facility. The disclosure of information
as it relates to investigatory materials or the identity of sources of
information may seriously undermine the safety and security of
employees in the workplace. Access to such information could allow the
subject of an investigation or inquiry of an actual or potential
criminal or civil violation to interfere with and impede the
investigation, tamper with witnesses or evidence, and to avoid
detection or apprehension.
The IRIS (SEC-65) system of records contains records related to
complaints/inquiries/requests from members of the public and others.
This system of records may include investigatory materials that were
compiled in connection with the Commission's enforcement
responsibilities under the federal securities laws. Such material may
consist of unsolicited and often unverified statements concerning
individuals, information received from confidential sources, as well as
reports from the Commission's investigators and other law enforcement
personnel. The disclosure of the existence of investigatory materials
could seriously undermine effective enforcement of the federal
securities laws by prematurely alerting individuals to the fact that
they are under investigation, by giving them access to the evidentiary
bases for a commission enforcement action or seriously hampering the
Commission's case in court or before an administrative law judge.
The Commission is exempting SEC-63, SEC-64 and SEC-65 from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR
200.303, 200.304, and 200.306, insofar as they contain investigatory
materials compiled for law enforcement purposes; and amending its
existing inventory of exemptions by modifying the name of SEC 38 from
``Office of Personnel Code of Conduct and Employee Performance Files''
to ``Disciplinary and Adverse Actions, Employee Conduct, and Labor
Relations Files'' and by deleting reference to ``Personnel Security
Files'', which was published for deletion at Release No. PA-29 (July
28, 2000), 65 FR 49037(August10, 2000).
Public Comments: The Commission received only one comment on the
proposal, but it did not address the specific exemptions; instead, the
commenter stated generally that he thought privacy should be preserved
and not taken away. We continue to believe the exemptions are
consistent with the Privacy Act because the exemptions protect
information relating to enforcement investigations from disclosure.
Paperwork Reduction Act
This rule does not contain a ``collection of information''
requirement within the meaning of the Paperwork Reduction Act of 1995,
so the Paperwork Reduction Act is not applicable.
Cost-Benefit Analysis
The Commission is sensitive to the costs and benefits imposed by
its rules. The Privacy Act of 1974 directs each agency that proposes to
establish or make a significant change in a system of records to
publish in the Federal Register a notice of the existence and character
of the system. Government agencies may exempt certain records from
certain provisions of the Privacy Act, but to claim an exemption the
[[Page 57637]]
agency must issue a rule justifying the exemption.
The new systems of records may include investigatory materials
compiled in connection with the Commission's enforcement of the federal
securities laws, in connection with potential or actual incidents of
workplace violence, or in connections with complaints, inquiries or
requests from the public. The Commission and investors will benefit
from the amendments, because in their absence the potential access to
or disclosure of the investigatory materials in these systems of
records could seriously undermine the effective enforcement of the
Federal securities laws, and could jeopardize the safety and security
of Commission employees in the workplace.
We recognize that the proposed amendments may impose costs on
individuals who may wish to obtain access to records that contain
investigatory materials in these systems of records. We have no way of
estimating the potential number of individuals who might in the future
desire such access. Nevertheless, the benefits of exempting those
records from public access are compelling, and they clearly justify the
costs of the exemption. In addition, Congress was aware of such
potential costs when they promulgated the specific exemption in 5
U.S.C. 552a(k)(2). The Commission discussed these costs and benefits in
the proposing release and received no comments on them.
Regulatory Flexibility Act Certification
Pursuant to the requirements of the Regulatory Flexibility Act, 5
U.S.C. 601-612, SEC certified that these regulations would not
significantly affect a substantial number of small entities. The rule
imposes no duties or obligations on small entities. Further, in
accordance with the provisions of the Paperwork Reduction Act of 1995,
44 U.S.C. 3501, SEC has determined that this rule would not impose new
recordkeeping, application, reporting, or other types of information
collection requirements. The Commission provided this certification in
the proposing release and received no comments.
List of Subjects in 17 CFR Part 200
Administrative practice and procedure; Privacy.
Text of Amendments
For the reasons set out in the preamble, Title 17, Chapter II, of
the Code of Federal Regulations is amended as follows:
PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND
REQUESTS
0
1. The authority citation for Part 200 is amended by adding authority
for Sec. 200.312 in numerical order to read as follows:
Authority: 15 U.S.C. 77o, 77s, 77sss, 78d, 78d-1, 78d-2, 78w,
78ll(d), 78mm, 80a-37, 80b-11, and 7202, unless otherwise noted.
* * * * *
Section 200.312 is also issued under 5 U.S.C. 552a(k).
* * * * *
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
0
2. Amend Sec. 200.312 by:
0
a. Removing ``and'' at the end of paragraph (a)(5);
0
b. Removing the period at the end of paragraph (a)(6) and adding a
semicolon in its place;
0
c. Adding paragraphs (a)(7), (a)(8) and (a)(9);
0
d. Revising paragraph (b); and
0
e. Removing the authority citation at the end of the section.
The additions and revision read as follows.
Sec. 200.312 Specific exemptions.
* * * * *
(a) * * *
(7) Tips, Complaints, and Referrals (TCR) Records;
(8) SEC Security in the Workplace Incident Records; and
(9) Investor Response Information System (IRIS).
(b) Pursuant to 5 U.S.C. 552a(k)(5), the system of records
containing the Commission's Disciplinary and Adverse Actions, Employee
Conduct, and Labor Relations Files shall be exempt from sections
(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy
Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and
(e)(4)(I), and (f), and 17 CFR 200.303, 200.304, and 200.306 insofar as
they contain investigatory material compiled to determine an
individual's suitability, eligibility, and qualifications for Federal
civilian employment or access to classified information, but only to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or, prior to September 27, 1975, under an implied promise
that the identity of the source would be held in confidence.
By the Commission.
Dated: September 12, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-23732 Filed 9-15-11; 8:45 am]
BILLING CODE 8011-01-P
