[Federal Register Volume 68, Number 83 (Wednesday, April 30, 2003)]
[Notices]
[Pages 23168-23169]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-10601]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-33; File No. S7-09-03]


Privacy Act of 1974: Establishment of a New System of Records: 
Emergency Contingency Plan System (SEC-51)

AGENCY: Securities and Exchange Commission.

ACTION: Notice of the establishment of a new 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 
(``SEC'' or ``Commission'') gives notice of a proposed new system of 
records entitled Emergency Contingency Plan System (SEC-51).

DATES: Information may be collected for the new system of records 
beginning on April 30, 2003. Comments on the proposed routine uses of 
the information must be received by May 30, 2003, and the routine uses 
will take effect June 9, 2003, unless the Commission receives comments 
that would require a different determination.

ADDRESSES: Please send three copies of your comments to Jonathan G. 
Katz, Secretary, SEC, 450 Fifth Street, NW., Washington, DC 20549-0609. 
You may also send your comments electronically to the following 
electronic address: [email protected]. All comments should refer to 
File No. S7-09-03 and, if sent electronically, should include this file 
number on the subject line. Comment letters will be available for 
public inspection and copying at our Public Reference Room, 450 Fifth 
Street, NW., Washington, DC 20549. If sent electronically, comment 
letters will also be available on our Web site (http://www.sec.gov).

FOR FURTHER INFORMATION CONTACT: Dana Schlichtmann, Office of the 
Executive Director, Securities and Exchange Commission, 450 5th Street, 
NW., Washington, DC 20549-1101, (202) 942-4305.

SUPPLEMENTARY INFORMATION: The Commission gives notice of a new system 
of records, which is subject to the Privacy Act. The proposed system of 
records will maintain specified contact information on current members 
and employees of the Commission who may be contacted in emergency 
circumstances. The new system of records report, as required by 5 
U.S.C. 552a(r) of the Privacy Act, has been submitted to the Committee 
on Government Reform of the House of Representatives, the Committee on 
Governmental Affairs of the Senate, and the Office of Management and 
Budget, pursuant to Appendix I to OMB Circular A-130, Federal Agency 
Responsibilities for Maintaining Records About Individuals, as amended 
on February 20, 1996 (61 FR 6435).
    Accordingly, the Commission is adding the following system of 
records.
SEC-51

System Name:
    Emergency Contingency Plan System.

System Location:
    SEC, 450 Fifth Street, NW., Washington, DC 20549.

Categories of Individuals Covered by the System:
    Members and employees of the Commission.

Categories of Records in the System:
    Name; job title; organizational code number; work and home 
addresses; work and personal electronic mail addresses; work, home, and 
cellular telephone numbers; pager numbers.

Authority for Maintenance of the System:
    5 U.S.C. 301, Executive Order 12656 (Nov. 18, 1988), Assignment of 
Emergency Preparedness Responsibilities.

Purpose(s):
    The purpose of this system of records is to maintain emergency 
contact information for current members and employees of the Commission 
for use in developing and maintaining emergency contingency operations 
plans, such as a formal continuity of operations (COOP) plan, for the 
Commission. This data will be used for alert and notification purposes, 
determining team and task assignments, developing and maintaining an 
emergency contact system for general emergency preparedness programs 
and specific situations. COOP activities involve ensuring the 
continuity of minimum essential agency functions through plans and 
procedures governing succession to office and the emergency delegation 
of authority (where permissible). Other emergency contingency plans 
include plans for Commission-wide response to threat alerts issued by 
the Department of Homeland Security (DHS).

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to the conditions of disclosure under 5 U.S.C. 552a(b), 
Commission staff may provide these records to any Federal government 
authority for the purpose of coordinating and reviewing agency 
continuity of operations plans or emergency contingency plans developed 
for responding to Department of Homeland Security threat alerts.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    These records are maintained on paper and in electronic format.

Retrievability:
    These records are retrievable by individual's names, or by the 
categories listed above under ``Categories of Records in the System.''

Safeguards:
    Access to the records is restricted to those who require the 
records in the performance of official duties related to the purposes 
for which the system is maintained.

Retention and Disposal:
    Periodic purging and disposal of those records concerning 
individuals no longer members or employees of the Commission. 
Otherwise, records are retained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules.

System Manager(s) and Address:
    Executive Director, Office of the Executive Director, Securities 
and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-
1101.

Notification Procedure:
    Requests to determine whether this system of records contains a 
record pertaining to the requesting individual should be sent to the 
Privacy Act Officer, SEC, Operations Center, 6432 General Green Way, 
Alexandria, VA 22312-2413.

Records Access Procedures:
    Persons wishing to access or contest these records should write the 
Privacy Act Officer, SEC, Operations Center, 6432 General Green Way, 
Alexandria, VA 22312-2413.

Contesting Record Procedures:
    See Records Access Procedures, above.

[[Page 23169]]

Record Source Categories:
    Records are obtained from the position control system and from the 
individual.

Exemptions Claimed for the System:
    None.

    By the Commission.

    Dated: April 23, 2003.
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 03-10601 Filed 4-29-03; 8:45 am]
BILLING CODE 8010-01-P