Document ID: SEC-2010-0536-0001
Agency: sec
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2010-04-08T04:00Z

[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]

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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.

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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 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 (http://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 http://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