Document ID: SEC-2012-0463-0001
Agency: sec
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2012-03-21T04:00Z

[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 (http://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 (http://www.sec.gov/rules/other.shtml). Comments are 
also available for Web site viewing and printing in the Commission's 
Public Reference Room, 100 F Street NE., Washington, DC 20549, on 
official business days between the hours of 10 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.

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, 
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.

[[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.

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:
    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