80 FR 72455 - Privacy Act of 1974, as Amended: New System of Records
OFFICE OF PERSONNEL MANAGEMENT Federal Register Volume 80, Issue 223 (November 19, 2015)
Federal Register Volume 80, Issue 223 (November 19, 2015)
| Page Range | 72455-72457 | |
| FR Document | 2015-29583 |
[Federal Register Volume 80, Number 223 (Thursday, November 19, 2015)] [Notices] [Pages 72455-72457] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-29583] ======================================================================= ----------------------------------------------------------------------- OFFICE OF PERSONNEL MANAGEMENT Privacy Act of 1974, as Amended: New System of Records AGENCY: U.S. Office of Personnel Management (OPM). ACTION: Notice of a new system of records. ----------------------------------------------------------------------- SUMMARY: Pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 552a), as amended, and Office of Management and Budget (OMB), Circular No. A-130, notice is given that the U.S. Office of Personnel Management (OPM) proposes to establish a new agency-wide system of records entitled ``Correspondence Management for the U.S. Office of Personnel Management,'' Internal-21. The purpose of this agency-wide notice is to increase administrative efficiency and to centralize and simplify for the public the process of obtaining information and making requests. This system notice does not supersede systems of records covered by separately-noticed systems. DATES: Please submit any comments by December 21, 2015. The routine uses for releasing records from this system will be effective without further notice on December 21, 2015 unless comments are received that would result in a contrary determination. ADDRESSES: Send written comments to the Office of Personnel Management, ATTN: Jozetta Robinson, U.S. Office of Personnel Management, 1900 E Street NW., Room 5450, Washington, DC 20415. Written comments can also be sent by email to [email protected]. FOR FURTHER INFORMATION CONTACT: Jozetta Robinson by telephone at 202- 606-1000, or by email at [email protected]. SUPPLEMENTARY INFORMATION: In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is given a 30-day period in which to submit written comments. Therefore, please submit any comments by December 21, 2015. A description of the new system of records is provided below. In accordance with 5 U.S.C. 552a(r), the agency has provided a report to OMB and the Congress. U.S. Office of Personnel Management. Beth F. Cobert, Acting Director. SYSTEM NAME: Correspondence Management for the U.S. Office of Personnel Management, Internal-21 SYSTEM LOCATION: U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415 and other U.S. Office of Personnel Management locations throughout the United States and the rest of the world. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals originating, receiving, or named in correspondence (including attachments) to or from OPM or whose correspondence is referred to OPM, or persons communicating electronically, by mail, or by telephone with OPM regarding official business of OPM, including Members of Congress, other government officials, individuals, and their representatives; individuals originating, receiving, or named in internal memoranda (including attachments) within OPM, including OPM employees, contractors, and individuals relating to investigations, policy decisions, or administrative matters of significance to OPM. CATEGORIES OF RECORDS IN THE SYSTEM: The categories of records within the system vary according to the wide scope of the responsibilities of OPM. Categories of records may include correspondence identification (e.g., correspondent's name, address, title, organization, control number, date of correspondence, date received, subject), status of response within OPM, the original correspondence, OPM's response, office or staff member assigned to handle the matter, referral letters, name and identification of person referring the correspondence, copies of any enclosures, and related materials. Some internal memoranda, email correspondence, and logs/ notes of official telephone calls to/by OPM staff may also be tracked. This system does not cover systems of records covered by separately- noticed systems. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301 and 44 U.S.C. 3101. PURPOSE(S): The system controls and tracks correspondence received or originated by OPM or referred to OPM, and action taken by OPM in response to correspondence received, as well as some internal memoranda, action items, email correspondence, and logs/notes of official telephone calls. It also serves as a reference source for inquiries and response thereto. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: In addition to those disclosures otherwise permitted under 5 U.S.C. 552a(b), all or a portion of the records or information contained in this system may be disclosed outside of OPM, for a routine use under 5 U.S.C. 552a(b)(3) as follows: a. For Law Enforcement Purposes--To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation. b. For Certain Disclosures to Other Federal Agencies--To disclose information to a Federal agency, in response to its request in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a suitability or security investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter. [[Page 72456]] c. For Congressional Inquiry--To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual. d. For Judicial/Administrative Proceedings--To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge. e. For National Archives and Records Administration--To disclose information to the National Archives and Records Administration for use in records management inspections. f. Within OPM for Statistical/Analytical Studies--By OPM in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference. g. For Litigation--To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which OPM is authorized to appear, when: (1) OPM, or any component thereof; or (2) any employee of OPM in his or her official capacity; or (3) Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or (4) the United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected. h. For the Merit Systems Protection Board--To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law. i. For the Equal Employment Opportunity Commission--To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures or other functions vested in the Commission and to otherwise ensure compliance with the provisions of 5 U.S.C. 7201. j. For the Federal Labor Relations Authority--To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel. k. For Non-Federal Personnel--To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government. l. To appropriate agencies, entities, and persons when (1) OPM suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the agency 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 OPM or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with OPM's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored in electronic form and on paper. RETRIEVABILITY: Information can be retrieved by name of individual; subject matter of topic; or in some cases, by other identifying search term employed. SAFEGUARDS: Information in this system is safeguarded in accordance with applicable rules and policies, including OPM's Information Security & Privacy Policy. In general, records and technical equipment are maintained in buildings with restricted access. The required use of password protection identification features and other system protection methods also restrict access. Access is limited to those who have an official need for access to perform their official duties. RETENTION AND DISPOSAL: Records are retained and disposed of in accordance with the OPM records schedules approved by the National Archives and Records Administration and/or pursuant to the General Records Schedule. SYSTEM MANAGER(S) AND ADDRESS(ES): The system manager is Director, Office of the Executive Secretariat, U.S. Office of Personnel Management, 1900 E Street NW., Room 5450, Washington, DC 20415. NOTIFICATION AND RECORD ACCESS PROCEDURE: Individuals wishing to determine whether this system of records contains information about them may do so by writing to the FOIA/PA Requester Service Center, U.S. Office of Personnel Management, 1900 E Street NW., Room 5415, Washington, DC 20415, or by emailing [email protected]. Individuals must furnish the following information: 1. Full name, former name, and any other names used. 2. Date and place of birth. 3. Social Security Number. 4. Signature. 5. Description of the information sought. 6. The reason why the individual believes the system contains information on them. Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297). In addition, requesters must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:If executed outside the United States: ``I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on [date]. [signature].'' If executed within the United States, its territories, possessions, or commonwealths: ``I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on [date]. [signature].'' Attorneys or other persons acting on behalf of an individual must provide [[Page 72457]] written authorization from that individual for the representative to act on their behalf. The written authorization must also include an original notarized statement or an unsworn declaration, as described above. AMENDMENT PROCEDURES: Individuals wishing to amend information maintained in the system should direct their requests to the FOIA/PA Requester Service Center, U.S. Office of Personnel Management, 1900 E Street NW., Room 5415, Washington, DC 20415, or by emailing [email protected], stating clearly and concisely what information the individuals seek to amend, the reasons for seeking amendment, and the proposed amendments. Some information is not subject to amendment. A determination whether a record may be amended will be made at the time a request is received. Individuals must furnish the following information in writing for their records to be located: 1. Full name, former name, and any other names used. 2. Date and place of birth. 3. Social Security Number. 4. Signature. 5. Information the individual seeks to amend, the reasons for seeking amendment, and the proposed amendments. Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297). In addition, requestors must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format: If executed outside the United States: ``I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on [date]. [signature].'' If executed within the United States, its territories, possessions, or commonwealths: ``I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on [date]. [signature].'' Attorneys or other persons acting on behalf of an individual must provide written authorization from that individual for the representative to act on their behalf. The written authorization must also include an original notarized statement or an unsworn declaration, as described above. RECORD SOURCE CATEGORIES: The information contained in this system is derived from incoming and outgoing correspondence and internal memoranda. Sources include individuals; state, local, tribal, and foreign government agencies as appropriate; the executive and legislative branches of the Federal Government; the Judiciary; and interested third parties. SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF THE ACT: A determination as to exemption shall be made at the time a request for access or amendment is received. OPM has promulgated rules in 5 CFR 297.501(c) reserving the right to assert exemptions for these records when received from another agency that could properly claim such exemptions in responding to a request, and reserving the right to refuse access to information compiled in reasonable anticipation of a civil action or litigation. [FR Doc. 2015-29583 Filed 11-18-15; 8:45 am] BILLING CODE 6325-47-P
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health and safety and satisfy current releasing records from this system will Categories of records may include
regulations. The concern associated be effective without further notice on correspondence identification (e.g.,
with development of harsh December 21, 2015 unless comments are correspondent’s name, address, title,
environmental conditions following a received that would result in a contrary organization, control number, date of
beyond-design-basis event that induces determination. correspondence, date received, subject),
a sustained loss of spent fuel pool ADDRESSES: Send written comments to status of response within OPM, the
forced cooling was resolved through the the Office of Personnel Management, original correspondence, OPM’s
issuance of orders and implementing ATTN: Jozetta Robinson, U.S. Office of response, office or staff member
guidance associated with the lesson- Personnel Management, 1900 E Street assigned to handle the matter, referral
learned as a result of the Fukushima NW., Room 5450, Washington, DC letters, name and identification of
Dai-ichi accident. The reasons for this 20415. Written comments can also be person referring the correspondence,
decision are explained in the director’s sent by email to recordsmanagement@ copies of any enclosures, and related
decision (DD–15–11) pursuant to opm.gov. materials. Some internal memoranda,
section 2.206 of title 10 of the Code of email correspondence, and logs/notes of
FOR FURTHER INFORMATION CONTACT:
Federal Regulations (10 CFR), of the official telephone calls to/by OPM staff
Jozetta Robinson by telephone at 202–
Commission’s regulations. may also be tracked. This system does
606–1000, or by email at OPMExecSec@
The NRC will file a copy of the not cover systems of records covered by
opm.gov.
director’s decision with the Secretary of separately-noticed systems.
the Commission for the Commission’s SUPPLEMENTARY INFORMATION: In
review in accordance with 10 CFR accordance with 5 U.S.C. 552a(e)(4) and AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2.206. As provided by this regulation, (11), the public is given a 30-day period 5 U.S.C. 301 and 44 U.S.C. 3101.
the director’s decision will constitute in which to submit written comments.
Therefore, please submit any comments PURPOSE(S):
the final action of the Commission 25
days after the date of the decision unless by December 21, 2015. A description of The system controls and tracks
the Commission, on its own motion, the new system of records is provided correspondence received or originated
institutes a review of the director’s below. In accordance with 5 U.S.C. by OPM or referred to OPM, and action
decision in that time. 552a(r), the agency has provided a taken by OPM in response to
report to OMB and the Congress. correspondence received, as well as
Dated at Rockville, Maryland, this 2nd day some internal memoranda, action items,
of November 2015. U.S. Office of Personnel Management.
email correspondence, and logs/notes of
For the Nuclear Regulatory Commission Beth F. Cobert,
official telephone calls. It also serves as
William M. Dean, Acting Director.
a reference source for inquiries and
Director, Office of Nuclear Reactor SYSTEM NAME: response thereto.
Regulation.
[FR Doc. 2015–29537 Filed 11–18–15; 8:45 am] Correspondence Management for the ROUTINE USES OF RECORDS MAINTAINED IN THE
U.S. Office of Personnel Management, SYSTEM, INCLUDING CATEGORIES OF USERS AND
BILLING CODE 7590–01–P
Internal-21 THE PURPOSES OF SUCH USES:
In addition to those disclosures
SYSTEM LOCATION:
otherwise permitted under 5 U.S.C.
OFFICE OF PERSONNEL U.S. Office of Personnel Management, 552a(b), all or a portion of the records
MANAGEMENT 1900 E Street NW., Washington, DC or information contained in this system
20415 and other U.S. Office of may be disclosed outside of OPM, for a
Privacy Act of 1974, as Amended: New Personnel Management locations
System of Records routine use under 5 U.S.C. 552a(b)(3) as
throughout the United States and the follows:
AGENCY: U.S. Office of Personnel rest of the world. a. For Law Enforcement Purposes—To
Management (OPM). CATEGORIES OF INDIVIDUALS COVERED BY THE disclose pertinent information to the
ACTION: Notice of a new system of SYSTEM: appropriate Federal, State, or local
records. Individuals originating, receiving, or agency responsible for investigating,
named in correspondence (including prosecuting, enforcing, or implementing
SUMMARY: Pursuant to the provisions of a statute, rule, regulation, or order,
attachments) to or from OPM or whose
the Privacy Act of 1974 (5 U.S.C. 552a), where OPM becomes aware of an
correspondence is referred to OPM, or
as amended, and Office of Management indication of a violation or potential
persons communicating electronically,
and Budget (OMB), Circular No. A–130, violation of civil or criminal law or
by mail, or by telephone with OPM
notice is given that the U.S. Office of regulation.
regarding official business of OPM,
Personnel Management (OPM) proposes b. For Certain Disclosures to Other
including Members of Congress, other
to establish a new agency-wide system Federal Agencies—To disclose
government officials, individuals, and
of records entitled ‘‘Correspondence information to a Federal agency, in
their representatives; individuals
Management for the U.S. Office of response to its request in connection
originating, receiving, or named in
Personnel Management,’’ Internal-21. with the hiring or retention of an
internal memoranda (including
The purpose of this agency-wide notice employee, the issuance of a security
attachments) within OPM, including
is to increase administrative efficiency clearance, the conducting of a suitability
OPM employees, contractors, and
and to centralize and simplify for the
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individuals relating to investigations, or security investigation of an
public the process of obtaining individual, the classifying of jobs, the
policy decisions, or administrative
information and making requests. This letting of a contract, or the issuance of
matters of significance to OPM.
system notice does not supersede a license, grant, or other benefit by the
systems of records covered by CATEGORIES OF RECORDS IN THE SYSTEM: requesting agency, to the extent that the
separately-noticed systems. The categories of records within the information is relevant and necessary to
DATES: Please submit any comments by system vary according to the wide scope the requesting agency’s decision on the
December 21, 2015. The routine uses for of the responsibilities of OPM. matter.
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c. For Congressional Inquiry—To such other functions, e.g., as applicable rules and policies, including
provide information to a congressional promulgated in 5 U.S.C. 1205 and 1206, OPM’s Information Security & Privacy
office from the record of an individual or as may be authorized by law. Policy. In general, records and technical
in response to an inquiry from that i. For the Equal Employment equipment are maintained in buildings
congressional office made at the request Opportunity Commission—To disclose with restricted access. The required use
of that individual. information to the Equal Employment of password protection identification
d. For Judicial/Administrative Opportunity Commission when features and other system protection
Proceedings—To disclose information to requested in connection with methods also restrict access. Access is
another Federal agency, to a court, or a investigations into alleged or possible limited to those who have an official
party in litigation before a court or in an discrimination practices in the Federal need for access to perform their official
administrative proceeding being sector, compliance by Federal agencies duties.
conducted by a Federal agency, when with the Uniform Guidelines on
the Government is a party to the judicial RETENTION AND DISPOSAL:
Employee Selection Procedures or other
or administrative proceeding. In those functions vested in the Commission and Records are retained and disposed of
cases where the Government is not a to otherwise ensure compliance with in accordance with the OPM records
party to the proceeding, records may be the provisions of 5 U.S.C. 7201. schedules approved by the National
disclosed if a subpoena has been signed j. For the Federal Labor Relations Archives and Records Administration
by a judge. Authority—To disclose information to and/or pursuant to the General Records
e. For National Archives and Records the Federal Labor Relations Authority or Schedule.
Administration—To disclose its General Counsel when requested in SYSTEM MANAGER(S) AND ADDRESS(ES):
information to the National Archives connection with investigations of
and Records Administration for use in The system manager is Director,
allegations of unfair labor practices or Office of the Executive Secretariat, U.S.
records management inspections. matters before the Federal Service
f. Within OPM for Statistical/ Office of Personnel Management, 1900 E
Impasses Panel. Street NW., Room 5450, Washington,
Analytical Studies—By OPM in the k. For Non-Federal Personnel—To
production of summary descriptive DC 20415.
disclose information to contractors,
statistics and analytical studies in grantees, or volunteers performing or NOTIFICATION AND RECORD ACCESS PROCEDURE:
support of the function for which the working on a contract, service, grant, Individuals wishing to determine
records are collected and maintained, or cooperative agreement, or job for the whether this system of records contains
for related workforce studies. While Federal Government. information about them may do so by
published studies do not contain l. To appropriate agencies, entities, writing to the FOIA/PA Requester
individual identifiers, in some instances and persons when (1) OPM suspects or Service Center, U.S. Office of Personnel
the selection of elements of data has confirmed that the security or Management, 1900 E Street NW., Room
included in the study may be structured confidentiality of information in the 5415, Washington, DC 20415, or by
in such a way as to make the data system of records has been emailing foia@opm.gov. Individuals
individually identifiable by inference. compromised; (2) the agency has
g. For Litigation—To disclose must furnish the following information:
determined that as a result of the 1. Full name, former name, and any
information to the Department of
suspected or confirmed compromise other names used.
Justice, or in a proceeding before a 2. Date and place of birth.
there is a risk of harm to economic or
court, adjudicative body, or other 3. Social Security Number.
property interests, identity theft or
administrative body before which OPM 4. Signature.
fraud, or harm to the security or
is authorized to appear, when: (1) OPM, 5. Description of the information
integrity of this system or other systems
or any component thereof; or (2) any sought.
or programs (whether maintained by
employee of OPM in his or her official 6. The reason why the individual
capacity; or (3) Any employee of OPM OPM or another agency or entity) that
rely upon the compromised believes the system contains
in his or her individual capacity where information on them.
the Department of Justice or OPM has information; and (3) the disclosure
made to such agencies, entities, and Individuals requesting access must
agreed to represent the employee; or (4) also comply with OPM’s Privacy Act
the United States, when OPM persons is reasonably necessary to assist
in connection with OPM’s efforts to regulations regarding verification of
determines that litigation is likely to identity and access to records (5 CFR
affect OPM or any of its components; is respond to the suspected or confirmed
compromise and prevent, minimize, or part 297). In addition, requesters must
a party to litigation or has an interest in provide a notarized statement or an
such litigation, and the use of such remedy such harm.
unsworn declaration made in
records by the Department of Justice or POLICIES AND PRACTICES FOR STORING, accordance with 28 U.S.C. 1746, in the
OPM is deemed by OPM to be relevant RETRIEVING, ACCESSING, RETAINING AND following format:
and necessary to the litigation provided, DISPOSING OF RECORDS IN THE SYSTEM: • If executed outside the United
however, that the disclosure is STORAGE: States: ‘‘I declare (or certify, verify, or
compatible with the purpose for which Records are stored in electronic form state) under penalty of perjury under the
records were collected. and on paper. laws of the United States of America
h. For the Merit Systems Protection that the foregoing is true and correct.
Board—To disclose information to RETRIEVABILITY: Executed on [date]. [signature].’’
• If executed within the United
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officials of the Merit Systems Protection Information can be retrieved by name
Board or the Office of the Special of individual; subject matter of topic; or States, its territories, possessions, or
Counsel, when requested in connection in some cases, by other identifying commonwealths: ‘‘I declare (or certify,
with appeals, special studies of the civil search term employed. verify, or state) under penalty of perjury
service and other merit systems, review that the foregoing is true and correct.
of OPM rules and regulations, SAFEGUARDS: Executed on [date]. [signature].’’
investigations of alleged or possible Information in this system is Attorneys or other persons acting on
prohibited personnel practices, and safeguarded in accordance with behalf of an individual must provide
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written authorization from that outgoing correspondence and internal Exchange’s Web site at www.nyse.com,
individual for the representative to act memoranda. Sources include at the principal office of the Exchange,
on their behalf. The written individuals; state, local, tribal, and and at the Commission’s Public
authorization must also include an foreign government agencies as Reference Room.
original notarized statement or an appropriate; the executive and II. Self-Regulatory Organization’s
unsworn declaration, as described legislative branches of the Federal Statement of the Purpose of, and
above. Government; the Judiciary; and Statutory Basis for, the Proposed Rule
interested third parties. Change
AMENDMENT PROCEDURES:
Individuals wishing to amend SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF In its filing with the Commission, the
information maintained in the system THE ACT: self-regulatory organization included
should direct their requests to the FOIA/ A determination as to exemption shall statements concerning the purpose of,
PA Requester Service Center, U.S. Office be made at the time a request for access and basis for, the proposed rule change
of Personnel Management, 1900 E Street or amendment is received. OPM has and discussed any comments it received
NW., Room 5415, Washington, DC promulgated rules in 5 CFR 297.501(c) on the proposed rule change. The text
20415, or by emailing foia@opm.gov, reserving the right to assert exemptions of those statements may be examined at
stating clearly and concisely what for these records when received from the places specified in Item IV below.
information the individuals seek to another agency that could properly The Exchange has prepared summaries,
amend, the reasons for seeking claim such exemptions in responding to set forth in sections A, B, and C below,
amendment, and the proposed a request, and reserving the right to of the most significant parts of such
amendments. Some information is not refuse access to information compiled in statements.
subject to amendment. A determination reasonable anticipation of a civil action
whether a record may be amended will or litigation. A. Self-Regulatory Organization’s
be made at the time a request is Statement of the Purpose of, and the
[FR Doc. 2015–29583 Filed 11–18–15; 8:45 am]
received. Individuals must furnish the Statutory Basis for, the Proposed Rule
BILLING CODE 6325–47–P Change
following information in writing for
their records to be located: 1. Purpose
1. Full name, former name, and any
other names used. SECURITIES AND EXCHANGE The purpose of this filing is to amend
2. Date and place of birth. COMMISSION the Fee Schedule, effective December 1,
3. Social Security Number. 2015. Specifically, the Exchange
[Release No. 34–76439; File No. SR–
4. Signature. NYSEARCA–2015–112] proposes to decrease certain fees
5. Information the individual seeks to charged to Market Makers, Lead Market
amend, the reasons for seeking Self-Regulatory Organizations; NYSE Makers, Firms and Broker Dealers, and
amendment, and the proposed Arca, Inc.; Notice of Filing and Professional Customers (collectively,
amendments. Immediate Effectiveness of Proposed ‘‘Non-Customers’’) for Taking Liquidity
Individuals requesting access must Rule Change To Amend the NYSE Arca in Penny Pilot Issues (‘‘Take Fees’’). Last
also comply with OPM’s Privacy Act Options Fee Schedule Effective month the Exchange increased the Take
regulations regarding verification of December 1, 2015 Fees charged to Non-Customers from
identity and access to records (5 CFR $0.50 to $0.52 per contract for electronic
part 297). In addition, requestors must November 13, 2015. executions.4 The Exchange now
provide a notarized statement or an Pursuant to Section 19(b)(1) 1 of the proposes to reduce the Take Fees
unsworn declaration made in Securities Exchange Act of 1934 (the charged to Non-Customers back to $0.50
accordance with 28 U.S.C. 1746, in the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 per contract after having considered the
following format: notice is hereby given that, on competitive landscape.5
• If executed outside the United November 9, 2015, NYSE Arca, Inc. (the
‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with 2. Statutory Basis
States: ‘‘I declare (or certify, verify, or
state) under penalty of perjury under the the Securities and Exchange The Exchange believes that the
laws of the United States of America Commission (the ‘‘Commission’’) the proposed rule change is consistent with
that the foregoing is true and correct. proposed rule change as described in Section 6(b) of the Act,6 in general, and
Executed on [date]. [signature].’’ Items I, II, and III below, which Items furthers the objectives of Sections
• If executed within the United have been prepared by the self- 6(b)(4) and (5) of the Act,7 in particular,
States, its territories, possessions, or regulatory organization. The because it provides for the equitable
commonwealths: ‘‘I declare (or certify, Commission is publishing this notice to allocation of reasonable dues, fees, and
verify, or state) under penalty of perjury solicit comments on the proposed rule
4 See File No. SR–NYSEArca–2015–108
that the foregoing is true and correct. change from interested persons.
(November 2, 2015).
Executed on [date]. [signature].’’
Attorneys or other persons acting on I. Self-Regulatory Organization’s 5 See e.g., NASDAQ Options Market—Fees and
Statement of the Terms of Substance of Rebates, available at: http://www.nasdaqtrader.
behalf of an individual must provide com/Micro.aspx?id=optionsPricing (charging non-
written authorization from that the Proposed Rule Change customers take fees of $0.50 per contract in penny
individual for the representative to act The Exchange proposes to amend the pilot issues other than in certain select symbols, for
which the take fee is $0.55). See also MIAX fee
on their behalf. The written NYSE Arca Options Fee Schedule (‘‘Fee schedule, available here: https://www.miaxoptions.
mstockstill on DSK4VPTVN1PROD with NOTICES
authorization must also include an Schedule’’). The Exchange proposes to com/sites/default/files/MIAX_Options_Fee_
original notarized statement or an implement the fee changes effective Schedule_10012015C.pdf (charging non-customers
December 1, 2015. The text of the take fees of $0.47 per contract in penny pilot issues
unsworn declaration, as described other than in certain select symbols, for which the
above. proposed rule change is available on the take fee is $0.55). The Commission notes that the
$0.55 take fee applies only to certain categories of
RECORD SOURCE CATEGORIES: 1 15 U.S.C. 78s(b)(1). non-customers (i.e. away market makers).
The information contained in this 2 15 U.S.C. 78a. 6 15 U.S.C. 78f(b).
system is derived from incoming and 3 17 CFR 240.19b–4. 7 15 U.S.C. 78f(b)(4) and (5).
VerDate Sep<11>2014 16:00 Nov 18, 2015 Jkt 238001 PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 E:\FR\FM\19NON1.SGM 19NON1](https://thefederalregister.org/doc/80_FR_72678/page/3.svg)
Document Created: 2015-12-14 13:56:40
Document Modified: 2015-12-14 13:56:40
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice of a new system of records. | |
| Dates | Please submit any comments by December 21, 2015. The routine uses for releasing records from this system will be effective without further notice on December 21, 2015 unless comments are received that would result in a contrary determination. | |
| Contact | Jozetta Robinson by telephone at 202- 606-1000, or by email at [email protected] | |
| FR Citation | 80 FR 72455 |
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