Privacy Act of 1974: Systems of Records, 16569-16572 [2012-6788]

Download as PDF Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices 3. Pursuant to 39 U.S.C. 505, James F. Callow is appointed to serve as the officer of the Commission (Public Representative) to represent the interests of the general public in this proceeding. 4. The Secretary shall arrange for publication of this order in the Federal Register. By the Commission. Shoshana M. Grove, Secretary. [FR Doc. 2012–6784 Filed 3–20–12; 8:45 am] BILLING CODE P SECURITIES AND EXCHANGE COMMISSION [Release No. PA–48; File No. S7–03–12] Privacy Act of 1974: Systems of Records Securities and Exchange Commission. ACTION: Notice to revise two existing systems of records. AGENCY: 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. The two existing systems of records are ‘‘Administrative Audit System (SEC– 14)’’ last published in the Federal Register Volume 63, Number 47 on Wednesday, March 11, 1992 and ‘‘Fitness Center Membership, Payment, and Fitness Records (SEC–48)’’, last published in the Federal Register Volume 64, Number 77 on Thursday, April, 22, 1999. DATES: The proposed systems will become effective April 30, 2012 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 April 20, 2012. ADDRESSES: Comments may be submitted by any of the following methods: erowe on DSK2VPTVN1PROD with NOTICES Electronic Comments • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/other.shtml); or • Send an email to rulecomments@sec.gov. Please include File Number S7–03–12 on the subject line. Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, U.S. 15:15 Mar 20, 2012 Jkt 226001 All submissions should refer to File Number S7–03–12. 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 (https://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 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: SUMMARY: VerDate Mar<15>2010 Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. Todd Scharf, Acting Chief Privacy Officer, Office of Information Technology, 202–551–8800. The Commission proposes to revise two existing systems of records, ‘‘Administrative Audit System (SEC– 14)’’ and ‘‘Fitness Center Membership, Payment, and Fitness Records (SEC– 48)’’. As described in the last published notice, the Administrative Audit System (SEC–14) records are used to ensure that all obligations and expenditures other than those in the pay and leave system are in conformance with laws, existing rules and regulations, and good business practice, and to maintain subsidiary records at the proper account and/or organizational level where responsibility for control of costs exists. Minor administrative changes to SEC– 14 have been incorporated to reflect the Commission’s current address in the following sections: Notification, Access and Contesting Records Procedures. Substantive changes to the notice have been made to the following sections: (1) System Name, reflecting the new title: ‘‘SEC Financial and Acquisition Management System’’; (2) System Location reflecting the addition of a new off-site location of the records; (3) Categories of individuals reflecting the types of individuals whose personally identifiable information is contained in the system; (4) Categories of Records, adding new types of individually identifiable information; (5) Routine Uses, adding certain standard routine uses as applicable to this system of records (those numbered 1 through 10); and (6) Record Source, reflecting the SUPPLEMENTARY INFORMATION: PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 16569 sources from which records are received. As described in the last published notice, the Fitness Center Membership, Payment, and Fitness Records (SEC–48) system is used to enable SEC Fitness Center staff to track fitness center membership, fee payments, and the physical fitness of members and to allow the SEC to provide a variety of health and fitness resources to its employees. Minor administrative changes to SEC–48 have been incorporated to reflect the Commission’s current address in the following sections: System Location; and Notification, Access and Contesting Records Procedures. Substantive changes to the notice have been made to the following sections: (1) System Name, reflecting the new title: ‘‘SEC Employee’s Health and Fitness Program Records’’; and (2) Routine Use, adding standard routine uses as applicable to this system. The Commission has submitted a report of the amended existing 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 amendment of two existing systems of records to read as follows: SEC–14 SYSTEM NAME: SEC Financial and Acquisition Management System SYSTEM LOCATION: 1. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission’s Regional Offices. 2. Federal Aviation Administration, Mike Munroney Aeronautical Center, AMZ–740, 6500 S. MacArthur Blvd., Headquarters Bldg. 1, Oklahoma City, OK 73169. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: SEC employees, contractors, vendors, interns, customers and members of the public. CATEGORIES OF RECORDS IN THE SYSTEM: Employee personnel information: Limited to SEC employees, and includes name, address, Social Security number (SSN); Business-related information: Limited to contractors/vendors and customers, and includes name of the company/agency, point of contact, E:\FR\FM\21MRN1.SGM 21MRN1 16570 Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices telephone number, mailing address, email address, contract number, CAGE code, vendor number (system unique identifier), DUNS number, and TIN, which could be a SSN in the case of individuals set up as sole proprietors; and Financial information: Includes financial institution name, lockbox number, routing transit number, deposit account number, account type, debts (e.g., unpaid bills/invoices, overpayments, etc.), and remittance address. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 31 U.S.C. 3501, et seq. and 31 U.S.C. 7701(c). Where the employee identification number is the social security number, collection of this information is authorized by Executive Order 9397. PURPOSE(S): Serves as the core financial system and integrates program, financial and budgetary information. Records are collected to ensure that all obligations and expenditures other than those in the pay and leave system are in conformance with laws, existing rules and regulations, and good business practice, and to maintain subsidiary records at the proper account and/or organizational level where responsibility for control of costs exists. erowe on DSK2VPTVN1PROD 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 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; VerDate Mar<15>2010 15:15 Mar 20, 2012 Jkt 226001 securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC. 3. 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. 4. To a federal, state, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s 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. 5. 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. 6. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s 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 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 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. 9. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections. 10. To a commercial contractor in connection with benefit programs PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs. 11. To the OMB 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. 12. To the Treasury, Government Accountability Office, or other appropriate agencies to provide appropriate audit documentation. 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: Records may be retrieved by a name of employee, social security number (SSN) for employees, SSN/Tax Identification Number (TIN) for vendors doing business with the SEC, Name for both employees and vendors, Vendor Number (system unique) for both employees and vendors, DUNS/DUNS + 4. 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 are contractually obligated 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: Chief Financial Officer, Office of Financial Management, Securities and E:\FR\FM\21MRN1.SGM 21MRN1 Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices Exchange Commission, 100 F Street NE., Washington, DC 20549–6041. 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 20549–5100. 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 FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–5100. CONTESTING RECORD PROCEDURES: See Record Access Procedures above. RECORD SOURCE CATEGORIES: The information maintained in Department of Transportation, (DOT)/ Enterprise Service Center (ESC): Purchase orders, vouchers, invoices, contracts, and electronic records; Department of Interior (DOI)/Federal Personnel Payroll System (FPPS): Travel applications, disgorgement information, or other paper records submitted by employees, vendors, and other sources, including claims filed by witnesses in SEC actions; Delphi-Prism: FedTraveler, Department of the Interior (DOI) Payroll System, Bureau of Public Debt, and EDGAR Momentum. EXEMPTIONS CLAIMED FOR THE SYSTEM: None SEC–48 SYSTEM NAME: Fitness Center Membership, Payment, and Fitness Records SEC Employee’s Health and Fitness Program Records. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. Aquila Fitness Consulting Systems, Ltd., 429 Lenox Avenue, Suite 4W21, Miami Beach, FL 33139–6532. erowe on DSK2VPTVN1PROD with NOTICES CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: SEC employees who voluntarily sign up for membership benefits for SEC fitness programs. CATEGORIES OF RECORDS IN THE SYSTEM: Records may contain employee name, division, office address, email address, home address, home and cell telephone numbers, date of birth, health prescreening questions, membership VerDate Mar<15>2010 15:15 Mar 20, 2012 Jkt 226001 number, fee and payment information (including electronic debit information), and fitness progress charts. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 7901, et seq. PURPOSE(S): The system enables SEC Fitness Center staff to track Fitness Center membership, fee payments, and the physical fitness of members. The primary use of these records is to allow the SEC to provide a variety of health and fitness resources to its employees. 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 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, PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 16571 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. 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: Records are retrieved by the individual’s name or membership number. 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 are contractually obligated 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. E:\FR\FM\21MRN1.SGM 21MRN1 16572 Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices SYSTEM MANAGER(S) AND ADDRESS: EXEMPTION CLAIMED FOR THE SYSTEM: 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: None. Dated: March 15, 2012. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2012–6788 Filed 3–20–12; 8:45 am] 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 20549–5100. RECORD ACCESS PROCEDURES: BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–66601; File No. SR–CME– 2012–07] 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 20549–5100. Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing CONTESTING RECORD PROCEDURES: March 15, 2012. See Record access procedures above. RECORD SOURCE CATEGORIES: All information is provided by Fitness Center members. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b-4 thereunder,2 notice is hereby given that on March 9, 2012, Chicago Mercantile Exchange Inc. (‘‘CME’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change described in Items I, II and III below, which items have been prepared primarily by CME. CME filed the proposed rule change pursuant to Section 19(b)(3)(A) 3 of the Act and Rule 19b–4(f)(4)(i) 4 thereunder. I. Self-Regulatory Organization’s Statement of Terms of Substance of the Proposed Rule Change The text of the proposed rule change is below. Italicized text indicates additions; bracketed text indicates deletions. * * * * * CHICAGO MERCANTILE EXCHANGE INC. RULEBOOK Rule 100—80203—No Change. CME Chapter 802 Rules: Appendix I Appendix 1 CDX INDICES CDX Index Termination date (scheduled termination) Series 9 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 10 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 11 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 12 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 13 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 14 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 15 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. erowe on DSK2VPTVN1PROD with NOTICES CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 16 CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 17 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Mar<15>2010 15:15 Mar 20, 2012 3 15 4 17 Jkt 226001 PO 00000 U.S.C. 78s(b)(3)(A). CFR 240.19b–4(f)(4)(i). Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\21MRN1.SGM 21MRN1 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 20 Dec 2012. Dec 2014. Dec 2017. Jun 2013. Jun 2015. Jun 2018. Dec 2011. Dec 2013. Dec 2015. Dec 2018. Jun 2012. Jun 2014. Jun 2016. Jun 2019. Dec 2012. Dec 2014. Dec 2016. Dec 2019. Jun 2013. Jun 2015. Jun 2017. Jun 2020. Dec 2013. Dec 2015. Dec 2017. Dec 2020. Jun 2014. Jun 2016. Jun 2018. Jun 2021. Dec 2014. Dec 2016. Dec 2018.

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 77, Number 55 (Wednesday, March 21, 2012)]
[Notices]
[Pages 16569-16572]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-6788]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-48; File No. S7-03-12]

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. The two existing systems of records are ``Administrative Audit
System (SEC-14)'' last published in the Federal Register Volume 63,
Number 47 on Wednesday, March 11, 1992 and ``Fitness Center Membership,
Payment, and Fitness Records (SEC-48)'', last published in the Federal
Register Volume 64, Number 77 on Thursday, April, 22, 1999.

DATES: The proposed systems will become effective April 30, 2012 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 April 20, 2012.

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 email to rule-comments@sec.gov. Please include
File Number S7-03-12 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 S7-03-12. 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 (https://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 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: Todd Scharf, Acting Chief Privacy
Officer, Office of Information Technology, 202-551-8800.

SUPPLEMENTARY INFORMATION: The Commission proposes to revise two
existing systems of records, ``Administrative Audit System (SEC-14)''
and ``Fitness Center Membership, Payment, and Fitness Records (SEC-
48)''. As described in the last published notice, the Administrative
Audit System (SEC-14) records are used to ensure that all obligations
and expenditures other than those in the pay and leave system are in
conformance with laws, existing rules and regulations, and good
business practice, and to maintain subsidiary records at the proper
account and/or organizational level where responsibility for control of
costs exists. Minor administrative changes to SEC-14 have been
incorporated to reflect the Commission's current address in the
following sections: Notification, Access and Contesting Records
Procedures. Substantive changes to the notice have been made to the
following sections: (1) System Name, reflecting the new title: ``SEC
Financial and Acquisition Management System''; (2) System Location
reflecting the addition of a new off-site location of the records; (3)
Categories of individuals reflecting the types of individuals whose
personally identifiable information is contained in the system; (4)
Categories of Records, adding new types of individually identifiable
information; (5) Routine Uses, adding certain standard routine uses as
applicable to this system of records (those numbered 1 through 10); and
(6) Record Source, reflecting the sources from which records are
received.
As described in the last published notice, the Fitness Center
Membership, Payment, and Fitness Records (SEC-48) system is used to
enable SEC Fitness Center staff to track fitness center membership, fee
payments, and the physical fitness of members and to allow the SEC to
provide a variety of health and fitness resources to its employees.
Minor administrative changes to SEC-48 have been incorporated to
reflect the Commission's current address in the following sections:
System Location; and Notification, Access and Contesting Records
Procedures. Substantive changes to the notice have been made to the
following sections: (1) System Name, reflecting the new title: ``SEC
Employee's Health and Fitness Program Records''; and (2) Routine Use,
adding standard routine uses as applicable to this system.
The Commission has submitted a report of the amended existing
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 amendment of two existing
systems of records to read as follows:
SEC-14

SYSTEM NAME:
SEC Financial and Acquisition Management System

SYSTEM LOCATION:
1. Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549. Files may also be maintained in the Commission's
Regional Offices.
2. Federal Aviation Administration, Mike Munroney Aeronautical
Center, AMZ-740, 6500 S. MacArthur Blvd., Headquarters Bldg. 1,
Oklahoma City, OK 73169.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SEC employees, contractors, vendors, interns, customers and members
of the public.

CATEGORIES OF RECORDS IN THE SYSTEM:
Employee personnel information: Limited to SEC employees, and
includes name, address, Social Security number (SSN); Business-related
information: Limited to contractors/vendors and customers, and includes
name of the company/agency, point of contact,

[[Page 16570]]

telephone number, mailing address, email address, contract number, CAGE
code, vendor number (system unique identifier), DUNS number, and TIN,
which could be a SSN in the case of individuals set up as sole
proprietors; and Financial information: Includes financial institution
name, lockbox number, routing transit number, deposit account number,
account type, debts (e.g., unpaid bills/invoices, overpayments, etc.),
and remittance address.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 3501, et seq. and 31 U.S.C. 7701(c). Where the employee
identification number is the social security number, collection of this
information is authorized by Executive Order 9397.

PURPOSE(S):
Serves as the core financial system and integrates program,
financial and budgetary information. Records are collected to ensure
that all obligations and expenditures other than those in the pay and
leave system are in conformance with laws, existing rules and
regulations, and good business practice, and to maintain subsidiary
records at the proper account and/or organizational level where
responsibility for control of costs exists.

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. 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.
4. To a federal, state, local, tribal, foreign, or international
agency, if necessary to obtain information relevant to the SEC's
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.
5. 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.
6. To any persons during the course of any inquiry, examination, or
investigation conducted by the SEC's 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 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 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.
9. To members of Congress, the Government Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
10. 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.
11. To the OMB 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.
12. To the Treasury, Government Accountability Office, or other
appropriate agencies to provide appropriate audit documentation.

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:
Records may be retrieved by a name of employee, social security
number (SSN) for employees, SSN/Tax Identification Number (TIN) for
vendors doing business with the SEC, Name for both employees and
vendors, Vendor Number (system unique) for both employees and vendors,
DUNS/DUNS + 4.

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 are contractually
obligated 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:
Chief Financial Officer, Office of Financial Management, Securities
and

[[Page 16571]]

Exchange Commission, 100 F Street NE., Washington, DC 20549-6041.

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 20549-5100.

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
FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-5100.

CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
The information maintained in Department of Transportation, (DOT)/
Enterprise Service Center (ESC): Purchase orders, vouchers, invoices,
contracts, and electronic records; Department of Interior (DOI)/Federal
Personnel Payroll System (FPPS): Travel applications, disgorgement
information, or other paper records submitted by employees, vendors,
and other sources, including claims filed by witnesses in SEC actions;
Delphi-Prism: FedTraveler, Department of the Interior (DOI) Payroll
System, Bureau of Public Debt, and EDGAR Momentum.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
None
SEC-48

SYSTEM NAME:
Fitness Center Membership, Payment, and Fitness Records SEC
Employee's Health and Fitness Program Records.

SYSTEM LOCATION:
Securities and Exchange Commission, 100 F Street NE., Washington,
DC 20549.
Aquila Fitness Consulting Systems, Ltd., 429 Lenox Avenue, Suite
4W21, Miami Beach, FL 33139-6532.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SEC employees who voluntarily sign up for membership benefits for
SEC fitness programs.

CATEGORIES OF RECORDS IN THE SYSTEM:
Records may contain employee name, division, office address, email
address, home address, home and cell telephone numbers, date of birth,
health pre-screening questions, membership number, fee and payment
information (including electronic debit information), and fitness
progress charts.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7901, et seq.

PURPOSE(S):
The system enables SEC Fitness Center staff to track Fitness Center
membership, fee payments, and the physical fitness of members. The
primary use of these records is to allow the SEC to provide a variety
of health and fitness resources to its employees.

RETRIEVABILITY:
Records are retrieved by the individual's name or membership
number.

[[Page 16572]]

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.

CONTESTING RECORD PROCEDURES:
See Record access procedures above.

RECORD SOURCE CATEGORIES:
All information is provided by Fitness Center members.

EXEMPTION CLAIMED FOR THE SYSTEM:
None.

Dated: March 15, 2012.

By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-6788 Filed 3-20-12; 8:45 am]
BILLING CODE 8011-01-P

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