83_FR_55000 83 FR 54789 - Privacy Act of 1974; System of Records

83 FR 54789 - Privacy Act of 1974; System of Records

OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION

Federal Register Volume 83, Issue 211 (October 31, 2018)

Page Range54789-54791
FR Document2018-23729

In accordance with the Privacy Act of 1974, the Occupational Safety and Health Review Commission (OSHRC) is revising the notice for Privacy Act system-of-records OSHRC-5.

Federal Register, Volume 83 Issue 211 (Wednesday, October 31, 2018)
[Federal Register Volume 83, Number 211 (Wednesday, October 31, 2018)]
[Notices]
[Pages 54789-54791]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-23729]


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OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION


Privacy Act of 1974; System of Records

AGENCY: Occupational Safety and Health Review Commission.

ACTION: Notice of a Modified System of Records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the Occupational 
Safety and Health Review Commission (OSHRC) is revising the notice for 
Privacy Act system-of-records OSHRC-5.

DATES: Comments must be received by OSHRC on or before November 30, 
2018. The revised system of records will become effective on that date, 
without any further notice in the Federal Register, unless comments or 
government approval procedures necessitate otherwise.

ADDRESSES: You may submit comments by any of the following methods:
     Email: rbailey@oshrc.gov. Include ``PRIVACY ACT SYSTEM OF 
RECORDS'' in the subject line of the message.
     Fax: (202) 606-5417.
     Mail: One Lafayette Centre, 1120 20th Street NW, Ninth 
Floor, Washington, DC 20036-3457.
     Hand Delivery/Courier: Same as mailing address.
    Instructions: All submissions must include your name, return 
address, and email address, if applicable. Please clearly label 
submissions as ``PRIVACY ACT SYSTEM OF RECORDS.''

FOR FURTHER INFORMATION CONTACT: Ron Bailey, Attorney-Advisor, Office 
of the General Counsel, via telephone at (202) 606-5410, or via email 
at rbailey@oshrc.gov.

SUPPLEMENTARY INFORMATION: The Privacy Act of 1974, 5 U.S.C. 
552a(e)(4), requires federal agencies such as OSHRC to publish in the 
Federal Register notice of any new or modified system of records. As 
detailed below, OSHRC is revising Office of the General Counsel 
Records, OSHRC-5, to accurately reflect the authorities for maintaining 
this system and its categories of records; to revise storage, 
safeguarding, and retrieval methods based on changes in practices; and 
to incorporate references to applicable General Records Schedules for 
disposal of records. In addition, OSHRC has previously relied on 
blanket routine uses to describe the circumstances under which records 
may be disclosed. Going forward, as revised notices are published for 
new and modified systems of records, a full description of the routine 
uses--rather than a reference to blanket routine uses--will be included 
in each notice. This is simply a change in format that has not resulted 
in any substantive changes to the routine uses for this system of 
records.
    The notice for OSHRC-5, provided below in its entirety, is as 
follows.

System Name and Number:
Office of the General Counsel Records, OSHRC-5.

Security Classification:
    None.

System Location:
    Office of the General Counsel, OSHRC, 1120 20th Street NW, Ninth 
Floor, Washington, DC 20036-3457.

System Manager(s):
    Office of the General Counsel, OSHRC, 1120 20th Street NW, Ninth 
Floor, Washington, DC 20036-3457; (202) 606-5100.

Authority for Maintenance of the System:
    5 U.S.C. 301; 5 U.S.C. 552; 29 U.S.C. 661; 44 U.S.C. 3101.

Purpose(s) of the System:
    This system of records is maintained to assist management in making 
decisions with respect to case processing activities; to assist OSHRC 
attorneys in organizing their work product; and to assist in other 
matters assigned to the Office of the General Counsel, such as 
processing FOIA requests.

Categories of Individuals Covered by the System:
    This system of records covers current and former OSHRC attorneys 
(including supervising attorneys), Commission members, and 
Administrative Law Judges (ALJs); Freedom of Information Act 
requesters; and parties in cases that have been, or presently are, 
before OSHRC.

[[Page 54790]]

Categories of Records in the System:
    This system of records contains documents--filings and other 
materials--pertaining to cases before OSHRC. These documents may 
include the following categories of records: (1) The names and 
locations (city and state) of the individuals representing each party; 
(2) the names of sole proprietors cited by OSHA, as well as employees 
and other witnesses, and information describing those individuals, 
including job title and duties, medical history, and other descriptive 
information that is relevant to the disposition of a case; (3) the 
names and job titles of the Commissioners and ALJs. This system also 
contains other matters that have been assigned to the Office of the 
General Counsel for processing, such as FOIA requests, which include 
the names of FOIA requesters, contact information, and information 
concerning the requests. Finally, this system includes documents 
necessary for managerial oversite, such as charts relating to workflow 
and teleworking. These documents may include the names of OSHRC 
employees and the cases assigned to them, as well as the employees' 
contact information.

Record Source Categories:
    Information in this system is derived from the individual to whom 
it applies or is derived from case processing records maintained by the 
Office of the Executive Secretary and the Office of the General 
Counsel.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and Purposes of Such Uses:
    In addition to disclosures generally permitted under 5 U.S.C. 
552a(b), all or a portion of the records or information contained in 
this system of records may be disclosed as a routine use pursuant to 5 
U.S.C. 552a(b)(3) under the circumstances or for the purposes described 
below, to the extent such disclosures are compatible with the purposes 
for which the information was collected:
    (1) To the Department of Justice (DOJ), or to a court or 
adjudicative body before which OSHRC is authorized to appear, when any 
of the following entities or individuals--(a) OSHRC, or any of its 
components; (b) any employee of OSHRC in his or her official capacity; 
(c) any employee of OSHRC in his or her individual capacity where DOJ 
(or OSHRC where it is authorized to do so) has agreed to represent the 
employee; or (d) the United States, where OSHRC determines that 
litigation is likely to affect OSHRC or any of its components--is a 
party to litigation or has an interest in such litigation, and OSHRC 
determines that the use of such records by DOJ, or by a court or other 
tribunal, or another party before such tribunal, is relevant and 
necessary to the litigation.
    (2) To an appropriate agency, whether federal, state, local, or 
foreign, charged with investigating or prosecuting a violation or 
enforcing or implementing a law, rule, regulation, or order, when a 
record, either on its face or in conjunction with other information, 
indicates a violation or potential violation of law, which includes 
civil, criminal or regulatory violations, and such disclosure is proper 
and consistent with the official duties of the person making the 
disclosure.
    (3) To a federal, state, or local agency maintaining civil, 
criminal or other relevant enforcement information, such as current 
licenses, if necessary to obtain information relevant to an OSHRC 
decision concerning the hiring, appointment, or retention of an 
employee; the issuance, renewal, suspension, or revocation of a 
security clearance; the execution of a security or suitability 
investigation; the letting of a contract; or the issuance of a license, 
grant or other benefit.
    (4) To a federal, state, or local agency, in response to that 
agency's request for a record, and only to the extent that the 
information is relevant and necessary to the requesting agency's 
decision in the matter, if the record is sought in connection with the 
hiring, appointment, or retention of an employee; the issuance, 
renewal, suspension, or revocation of a security clearance; the 
execution of a security or suitability investigation; the letting of a 
contract; or the issuance of a license, grant or other benefit by the 
requesting agency.
    (5) To an authorized appeal grievance examiner, formal complaints 
manager, equal employment opportunity investigator, arbitrator, or 
other duly authorized official engaged in investigation or settlement 
of a grievance, complaint, or appeal filed by an employee, only to the 
extent that the information is relevant and necessary to the case or 
matter.
    (6) To OPM in accordance with the agency's responsibilities for 
evaluation and oversight of federal personnel management.
    (7) To officers and employees of a federal agency for the purpose 
of conducting an audit, but only to the extent that the record is 
relevant and necessary to this purpose.
    (8) To OMB in connection with the review of private relief 
legislation at any stage of the legislative coordination and clearance 
process, as set forth in Circular No. A-19.
    (9) To a Member of Congress or to a person on his or her staff 
acting on the Member's behalf when a written request is made on behalf 
and at the behest of the individual who is the subject of the record.
    (10) To the National Archives and Records Administration (NARA) for 
records management inspections and such other purposes conducted under 
the authority of 44 U.S.C. 2904 and 2906.
    (11) To appropriate agencies, entities, and persons when: (a) OSHRC 
suspects or has confirmed that there has been a breach of the system of 
records; (b) OSHRC has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, OSHRC, the 
Federal Government, or national security; and (c) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with OSHRC's efforts to respond to the suspected 
or confirmed breach or to prevent, minimize, or remedy such harm.
    (12) To NARA, Office of Government Information Services (OGIS), to 
the extent necessary to fulfill its responsibilities in 5 U.S.C. 
552(h), to review administrative agency policies, procedures and 
compliance with FOIA, and to facilitate OGIS' offering of mediation 
services to resolve disputes between persons making FOIA requests and 
administrative agencies.
    (13) To another federal agency or federal entity, when OSHRC 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (a) responding to 
a suspected or confirmed breach or (b) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.

Policies and Practices for Storage of Records:
    Records are stored on paper in offices and file cabinets at OSHRC's 
National Office in Washington, DC, and electronically on an access-
restricted shared OSHRC drive.

Policies and Practices for Retrieval of Records:
    Records may be retrieved manually or electronically by case name, 
docket number, name of OSHRC attorney or supervising attorney, or by 
the names of other individuals, such as FOIA requesters.

[[Page 54791]]

Policies and Practices for Retention and Disposal of Records:
    Paper and electronic records are maintained in accordance with 
General Records Schedules 4.2 and 5.1, or for as long as needed for 
business use.

Administrative, Technical, and Physical Safeguards:
    Paper records are maintained in offices and file cabinets. During 
duty hours, the records are under surveillance of personnel charged 
with their custody. After duty hours, the offices are accessible only 
using an office key or access card. Access to electronic records 
maintained on an OSHRC shared drive is restricted to personnel who 
require access to perform their official functions.

Record Access Procedures:
    Individuals who wish to gain access to their records should notify: 
Privacy Officer, OSHRC, 1120 20th Street NW, Ninth Floor, Washington, 
DC 20036-3457. For an explanation on how such requests should be 
drafted, refer to 29 CFR 2400.6 (procedures for requesting records).

Contesting Record Procedures:
    Individuals who wish to contest their records should notify: 
Privacy Officer, OSHRC, 1120 20th Street NW, Ninth Floor, Washington, 
DC 20036-3457. For an explanation on the specific procedures for 
contesting the contents of a record, refer to 29 CFR 2400.8 (Procedures 
for requesting amendment), and 29 CFR 2400.9 (Procedures for 
appealing).

Notification Procedures:
    Individuals interested in inquiring about their records should 
notify: Privacy Officer, OSHRC, 1120 20th Street NW, Ninth Floor, 
Washington, DC 20036-3457. For an explanation on how such requests 
should be drafted, refer to 29 CFR 2400.5 (notification), and 29 CFR 
2400.6 (procedures for requesting records).

Exemptions Promulgated for the System:
    None.

History:
    April 14, 2006, 71 FR 19556; August 4, 2008, 73 FR 45256; October 
5, 2015, 80 FR 60182; and September 28, 2017, 82 FR 45324.

    Dated: October 24, 2018.
Nadine N. Mancini,
General Counsel, Senior Agency Official for Privacy.
[FR Doc. 2018-23729 Filed 10-30-18; 8:45 am]
 BILLING CODE 7600-01-P



                                                                        Federal Register / Vol. 83, No. 211 / Wednesday, October 31, 2018 / Notices                                            54789

                                              added to the impacts of other past,                     a Notice of Intent to prepare the EIS will            OSHRC to publish in the Federal
                                              present, and reasonably foreseeable                     be published in the Federal Register.                 Register notice of any new or modified
                                              future actions, would not contribute                      Pursuant to 10 CFR 51.33(a), the NRC                system of records. As detailed below,
                                              significantly to cumulative                             staff is making the draft FONSI and draft             OSHRC is revising Office of the General
                                              environmental impacts.                                  EA available for public review and                    Counsel Records, OSHRC–5, to
                                                                                                      comment.                                              accurately reflect the authorities for
                                              Environmental Impacts of the
                                                                                                        Dated at Rockville, Maryland, this 25th day         maintaining this system and its
                                              Alternatives to the Proposed Action
                                                                                                      of October 2018.                                      categories of records; to revise storage,
                                                 As one alternative to the proposed                                                                         safeguarding, and retrieval methods
                                                                                                        For the Nuclear Regulatory Commission.
                                              action, the NRC staff considered denial                                                                       based on changes in practices; and to
                                              of Honeywell’s license renewal request                  Brian W. Smith,
                                                                                                                                                            incorporate references to applicable
                                              (i.e., the ‘‘no-action’’ alternative). Under            Acting Director, Division of Fuel Cycle Safety,
                                                                                                                                                            General Records Schedules for disposal
                                              the no-action alternative, Honeywell                    Safeguards, and Environmental Review,
                                                                                                      Office of Nuclear Material Safety and                 of records. In addition, OSHRC has
                                              would need to stop operations                                                                                 previously relied on blanket routine
                                                                                                      Safeguards.
                                              permanently and submit a                                                                                      uses to describe the circumstances
                                                                                                      [FR Doc. 2018–23781 Filed 10–30–18; 8:45 am]
                                              decommissioning plan. Under this                                                                              under which records may be disclosed.
                                                                                                      BILLING CODE 7590–01–P
                                              alternative, Honeywell would need to                                                                          Going forward, as revised notices are
                                              submit a decommissioning plan for NRC                                                                         published for new and modified
                                              review and approval. This would entail                                                                        systems of records, a full description of
                                              an environmental review to assess the                   OCCUPATIONAL SAFETY AND                               the routine uses—rather than a reference
                                              potential impacts associated with the                   HEALTH REVIEW COMMISSION                              to blanket routine uses—will be
                                              proposed decommissioning action. The                                                                          included in each notice. This is simply
                                              NRC determined for this EA that the                     Privacy Act of 1974; System of
                                                                                                                                                            a change in format that has not resulted
                                              potential environmental impacts of the                  Records
                                                                                                                                                            in any substantive changes to the
                                              no-action alternative (prior to                         AGENCY:  Occupational Safety and Health               routine uses for this system of records.
                                              decommissioning) would not be                           Review Commission.                                      The notice for OSHRC–5, provided
                                              significant.                                            ACTION: Notice of a Modified System of                below in its entirety, is as follows.
                                                 As another alternative, the NRC
                                                                                                      Records.                                              SYSTEM NAME AND NUMBER:
                                              considered approval of Honeywell’s
                                              renewal request, but for a duration of                  SUMMARY:    In accordance with the                    Office of the General Counsel Records,
                                              less than 40 years (the ‘‘reduced                       Privacy Act of 1974, the Occupational                 OSHRC–5.
                                              duration alternative’’). Honeywell                      Safety and Health Review Commission
                                              would continue operating for a period of                                                                      SECURITY CLASSIFICATION:
                                                                                                      (OSHRC) is revising the notice for
                                              less than 40 years, resulting in potential              Privacy Act system-of-records OSHRC–                     None.
                                              impacts that would be similar to or less                5.                                                    SYSTEM LOCATION:
                                              than the impacts of the proposed action.                DATES: Comments must be received by                     Office of the General Counsel,
                                              IV. Draft Finding of No Significant                     OSHRC on or before November 30,                       OSHRC, 1120 20th Street NW, Ninth
                                              Impact                                                  2018. The revised system of records will              Floor, Washington, DC 20036–3457.
                                                                                                      become effective on that date, without
                                                 In accordance with NEPA and 10 CFR                                                                         SYSTEM MANAGER(S):
                                                                                                      any further notice in the Federal
                                              part 51, the NRC staff has conducted an                                                                         Office of the General Counsel,
                                                                                                      Register, unless comments or
                                              environmental review of Honeywell’s                                                                           OSHRC, 1120 20th Street NW, Ninth
                                                                                                      government approval procedures
                                              request to renew NRC source materials                                                                         Floor, Washington, DC 20036–3457;
                                                                                                      necessitate otherwise.
                                              license SUB–526 to allow Honeywell to                                                                         (202) 606–5100.
                                              continue its uranium conversion                         ADDRESSES: You may submit comments
                                              operations. Based on its environmental                  by any of the following methods:                      AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
                                              review of the proposed action, as                          • Email: rbailey@oshrc.gov. Include                  5 U.S.C. 301; 5 U.S.C. 552; 29 U.S.C.
                                              documented in the draft EA, the NRC                     ‘‘PRIVACY ACT SYSTEM OF                               661; 44 U.S.C. 3101.
                                              staff preliminarily determined that                     RECORDS’’ in the subject line of the
                                                                                                      message.                                              PURPOSE(S) OF THE SYSTEM:
                                              granting the requested license renewal
                                                                                                         • Fax: (202) 606–5417.                                This system of records is maintained
                                              would not significantly affect the
                                                                                                         • Mail: One Lafayette Centre, 1120                 to assist management in making
                                              quality of the human environment.
                                                                                                      20th Street NW, Ninth Floor,                          decisions with respect to case
                                              Therefore, the NRC staff makes its
                                                                                                      Washington, DC 20036–3457.                            processing activities; to assist OSHRC
                                              preliminary determination, pursuant to                     • Hand Delivery/Courier: Same as                   attorneys in organizing their work
                                              10 CFR 51.31, that the preparation of an                mailing address.                                      product; and to assist in other matters
                                              environmental impact statement (EIS) is                    Instructions: All submissions must                 assigned to the Office of the General
                                              not required for the proposed action and                include your name, return address, and                Counsel, such as processing FOIA
                                              a FONSI is appropriate.                                 email address, if applicable. Please                  requests.
                                                 The draft FONSI and supporting draft
                                                                                                      clearly label submissions as ‘‘PRIVACY
                                              EA are a preliminary analysis of the                                                                          CATEGORIES OF INDIVIDUALS COVERED BY THE
                                                                                                      ACT SYSTEM OF RECORDS.’’
                                              environmental impacts of the proposed                                                                         SYSTEM:
                                              action and its alternatives. Based on                   FOR FURTHER INFORMATION CONTACT: Ron
                                                                                                                                                              This system of records covers current
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                                              comments received on the draft FONSI                    Bailey, Attorney-Advisor, Office of the               and former OSHRC attorneys (including
                                              and draft EA, the staff may publish a                   General Counsel, via telephone at (202)               supervising attorneys), Commission
                                              final FONSI and final EA, or instead                    606–5410, or via email at rbailey@                    members, and Administrative Law
                                              may find that preparation of an EIS is                  oshrc.gov.                                            Judges (ALJs); Freedom of Information
                                              warranted should significant impacts                    SUPPLEMENTARY INFORMATION:    The                     Act requesters; and parties in cases that
                                              resulting from the proposed action be                   Privacy Act of 1974, 5 U.S.C. 552a(e)(4),             have been, or presently are, before
                                              identified. Should an EIS be warranted,                 requires federal agencies such as                     OSHRC.


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                                              54790                     Federal Register / Vol. 83, No. 211 / Wednesday, October 31, 2018 / Notices

                                              CATEGORIES OF RECORDS IN THE SYSTEM:                    has an interest in such litigation, and               clearance process, as set forth in
                                                 This system of records contains                      OSHRC determines that the use of such                 Circular No. A–19.
                                              documents—filings and other                             records by DOJ, or by a court or other                   (9) To a Member of Congress or to a
                                              materials—pertaining to cases before                    tribunal, or another party before such                person on his or her staff acting on the
                                              OSHRC. These documents may include                      tribunal, is relevant and necessary to the            Member’s behalf when a written request
                                              the following categories of records: (1)                litigation.                                           is made on behalf and at the behest of
                                              The names and locations (city and state)                   (2) To an appropriate agency, whether              the individual who is the subject of the
                                              of the individuals representing each                    federal, state, local, or foreign, charged            record.
                                              party; (2) the names of sole proprietors                with investigating or prosecuting a                      (10) To the National Archives and
                                              cited by OSHA, as well as employees                     violation or enforcing or implementing                Records Administration (NARA) for
                                              and other witnesses, and information                    a law, rule, regulation, or order, when               records management inspections and
                                              describing those individuals, including                 a record, either on its face or in                    such other purposes conducted under
                                              job title and duties, medical history, and              conjunction with other information,                   the authority of 44 U.S.C. 2904 and
                                              other descriptive information that is                   indicates a violation or potential                    2906.
                                              relevant to the disposition of a case; (3)              violation of law, which includes civil,                  (11) To appropriate agencies, entities,
                                              the names and job titles of the                         criminal or regulatory violations, and                and persons when: (a) OSHRC suspects
                                              Commissioners and ALJs. This system                     such disclosure is proper and consistent              or has confirmed that there has been a
                                              also contains other matters that have                   with the official duties of the person                breach of the system of records; (b)
                                              been assigned to the Office of the                      making the disclosure.                                OSHRC has determined that as a result
                                                                                                         (3) To a federal, state, or local agency           of the suspected or confirmed breach
                                              General Counsel for processing, such as
                                                                                                      maintaining civil, criminal or other                  there is a risk of harm to individuals,
                                              FOIA requests, which include the
                                                                                                      relevant enforcement information, such                OSHRC, the Federal Government, or
                                              names of FOIA requesters, contact
                                                                                                      as current licenses, if necessary to                  national security; and (c) the disclosure
                                              information, and information
                                                                                                      obtain information relevant to an                     made to such agencies, entities, and
                                              concerning the requests. Finally, this
                                                                                                      OSHRC decision concerning the hiring,                 persons is reasonably necessary to assist
                                              system includes documents necessary
                                                                                                      appointment, or retention of an                       in connection with OSHRC’s efforts to
                                              for managerial oversite, such as charts
                                                                                                      employee; the issuance, renewal,                      respond to the suspected or confirmed
                                              relating to workflow and teleworking.
                                                                                                      suspension, or revocation of a security               breach or to prevent, minimize, or
                                              These documents may include the
                                                                                                      clearance; the execution of a security or             remedy such harm.
                                              names of OSHRC employees and the                                                                                 (12) To NARA, Office of Government
                                                                                                      suitability investigation; the letting of a
                                              cases assigned to them, as well as the                                                                        Information Services (OGIS), to the
                                                                                                      contract; or the issuance of a license,
                                              employees’ contact information.                                                                               extent necessary to fulfill its
                                                                                                      grant or other benefit.
                                              RECORD SOURCE CATEGORIES:                                  (4) To a federal, state, or local agency,          responsibilities in 5 U.S.C. 552(h), to
                                                 Information in this system is derived                in response to that agency’s request for              review administrative agency policies,
                                              from the individual to whom it applies                  a record, and only to the extent that the             procedures and compliance with FOIA,
                                              or is derived from case processing                      information is relevant and necessary to              and to facilitate OGIS’ offering of
                                              records maintained by the Office of the                 the requesting agency’s decision in the               mediation services to resolve disputes
                                              Executive Secretary and the Office of                   matter, if the record is sought in                    between persons making FOIA requests
                                              the General Counsel.                                    connection with the hiring,                           and administrative agencies.
                                                                                                      appointment, or retention of an                          (13) To another federal agency or
                                              ROUTINE USES OF RECORDS MAINTAINED IN THE               employee; the issuance, renewal,                      federal entity, when OSHRC determines
                                              SYSTEM, INCLUDING CATEGORIES OF USERS AND               suspension, or revocation of a security               that information from this system of
                                              PURPOSES OF SUCH USES:                                                                                        records is reasonably necessary to assist
                                                                                                      clearance; the execution of a security or
                                                 In addition to disclosures generally                 suitability investigation; the letting of a           the recipient agency or entity in (a)
                                              permitted under 5 U.S.C. 552a(b), all or                contract; or the issuance of a license,               responding to a suspected or confirmed
                                              a portion of the records or information                 grant or other benefit by the requesting              breach or (b) preventing, minimizing, or
                                              contained in this system of records may                 agency.                                               remedying the risk of harm to
                                              be disclosed as a routine use pursuant                     (5) To an authorized appeal grievance              individuals, the recipient agency or
                                              to 5 U.S.C. 552a(b)(3) under the                        examiner, formal complaints manager,                  entity (including its information
                                              circumstances or for the purposes                       equal employment opportunity                          systems, programs, and operations), the
                                              described below, to the extent such                     investigator, arbitrator, or other duly               Federal Government, or national
                                              disclosures are compatible with the                     authorized official engaged in                        security, resulting from a suspected or
                                              purposes for which the information was                  investigation or settlement of a                      confirmed breach.
                                              collected:                                              grievance, complaint, or appeal filed by              POLICIES AND PRACTICES FOR STORAGE OF
                                                 (1) To the Department of Justice (DOJ),              an employee, only to the extent that the              RECORDS:
                                              or to a court or adjudicative body before               information is relevant and necessary to                Records are stored on paper in offices
                                              which OSHRC is authorized to appear,                    the case or matter.                                   and file cabinets at OSHRC’s National
                                              when any of the following entities or                      (6) To OPM in accordance with the                  Office in Washington, DC, and
                                              individuals—(a) OSHRC, or any of its                    agency’s responsibilities for evaluation              electronically on an access-restricted
                                              components; (b) any employee of                         and oversight of federal personnel                    shared OSHRC drive.
                                              OSHRC in his or her official capacity;                  management.
                                              (c) any employee of OSHRC in his or her                    (7) To officers and employees of a                 POLICIES AND PRACTICES FOR RETRIEVAL OF
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                                              individual capacity where DOJ (or                       federal agency for the purpose of                     RECORDS:
                                              OSHRC where it is authorized to do so)                  conducting an audit, but only to the                    Records may be retrieved manually or
                                              has agreed to represent the employee; or                extent that the record is relevant and                electronically by case name, docket
                                              (d) the United States, where OSHRC                      necessary to this purpose.                            number, name of OSHRC attorney or
                                              determines that litigation is likely to                    (8) To OMB in connection with the                  supervising attorney, or by the names of
                                              affect OSHRC or any of its                              review of private relief legislation at any           other individuals, such as FOIA
                                              components—is a party to litigation or                  stage of the legislative coordination and             requesters.


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                                                                        Federal Register / Vol. 83, No. 211 / Wednesday, October 31, 2018 / Notices                                                      54791

                                              POLICIES AND PRACTICES FOR RETENTION AND                SECURITIES AND EXCHANGE                                Schedule of Fees to exclude Non-
                                              DISPOSAL OF RECORDS:                                    COMMISSION                                             Nasdaq ISE Market Makers 3 from the
                                                Paper and electronic records are                                                                             Crossing Fee Cap in Section IV.H.
                                                                                                      [Release No. 34–84487; File No. SR–ISE–
                                              maintained in accordance with General                   2018–87]                                                  By way of background, Crossing
                                              Records Schedules 4.2 and 5.1, or for as                                                                       Orders are contracts that are submitted
                                              long as needed for business use.                        Self–Regulatory Organizations;                         as part of a Facilitation, Solicitation,
                                                                                                      Nasdaq ISE, LLC; Notice of Filing and                  Price Improvement Mechanism (‘‘PIM’’),
                                              ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
                                                                                                      Immediate Effectiveness of Proposed                    Block or QCC order. As set forth in
                                              SAFEGUARDS:
                                                                                                      Rule Change To Amend the Exchanges                     Section IV.H of the Schedule of Fees,
                                                Paper records are maintained in                       Schedule of Fees To Modify the                         the Exchange currently caps Crossing
                                              offices and file cabinets. During duty                  Crossing Fee Cap                                       Order fees at $90,000 per month per
                                              hours, the records are under                                                                                   member on all Firm Proprietary and
                                              surveillance of personnel charged with                  October 25, 2018.
                                                                                                                                                             Non-Nasdaq Market Maker transactions
                                              their custody. After duty hours, the                       Pursuant to Section 19(b)(1) of the                 that are part of the originating or contra
                                              offices are accessible only using an                    Securities Exchange Act of 1934                        side of a Crossing Order.4 The following
                                              office key or access card. Access to                    (‘‘Act’’),1 and Rule 19b–4 thereunder,2                fees are not included in the calculation
                                              electronic records maintained on an                     notice is hereby given that on October                 of the monthly Crossing Fee cap: (1)
                                              OSHRC shared drive is restricted to                     11, 2018, Nasdaq ISE, LLC (‘‘ISE’’ or                  Fees for Responses to Crossing Orders,
                                              personnel who require access to perform                 ‘‘Exchange’’) filed with the Securities
                                                                                                                                                             (2) surcharge fees for licensed products
                                              their official functions.                               and Exchange Commission
                                                                                                                                                             and the fees for index options as set
                                                                                                      (‘‘Commission’’) the proposed rule
                                                                                                                                                             forth in Section III, and (3) service fee.5
                                              RECORD ACCESS PROCEDURES:                               change as described in Items I, II, and
                                                                                                                                                             For purposes of the Crossing Fee Cap
                                                Individuals who wish to gain access                   III, below, which Items have been
                                                                                                                                                             the Exchange attributes eligible volume
                                              to their records should notify: Privacy                 prepared by the Exchange. The
                                                                                                                                                             to the ISE Member on whose behalf the
                                              Officer, OSHRC, 1120 20th Street NW,                    Commission is publishing this notice to
                                                                                                                                                             Crossing Order was executed.6 The
                                              Ninth Floor, Washington, DC 20036–                      solicit comments on the proposed rule
                                                                                                                                                             Exchange now seeks to exclude Non-
                                              3457. For an explanation on how such                    change from interested persons.
                                                                                                                                                             Nasdaq ISE Market Maker transactions
                                              requests should be drafted, refer to 29                 I. Self–Regulatory Organization’s                      from the Crossing Fee Cap, and make
                                              CFR 2400.6 (procedures for requesting                   Statement of the Terms of Substance of                 related changes to remove references to
                                              records).                                               the Proposed Rule Change                               Non-Nasdaq ISE Market Maker contracts
                                              CONTESTING RECORD PROCEDURES:                              The Exchange proposes to amend the                  throughout its Schedule of Fees where
                                                                                                      Exchange’s Schedule of Fees to modify                  the Crossing Fee Cap is described.
                                                Individuals who wish to contest their
                                              records should notify: Privacy Officer,                 the Crossing Fee Cap, as described                     2. Statutory Basis
                                              OSHRC, 1120 20th Street NW, Ninth                       further below.
                                                                                                         The text of the proposed rule change                  The Exchange believes that its
                                              Floor, Washington, DC 20036–3457. For                                                                          proposal is consistent with Section 6(b)
                                                                                                      is available on the Exchange’s website at
                                              an explanation on the specific                                                                                 of the Act,7 in general, and furthers the
                                                                                                      http://ise.cchwallstreet.com/, at the
                                              procedures for contesting the contents                                                                         objectives of Sections 6(b)(4) and 6(b)(5)
                                                                                                      principal office of the Exchange, and at
                                              of a record, refer to 29 CFR 2400.8                                                                            of the Act,8 in particular, in that it
                                                                                                      the Commission’s Public Reference
                                              (Procedures for requesting amendment),
                                                                                                      Room.
                                              and 29 CFR 2400.9 (Procedures for                                                                                 3 A ‘‘Non-Nasdaq ISE Market Maker’’ is a market
                                              appealing).                                             II. Self–Regulatory Organization’s                     maker as defined in Section 3(a)(38) of the
                                                                                                      Statement of the Purpose of, and                       Securities Exchange Act of 1934, as amended,
                                              NOTIFICATION PROCEDURES:                                Statutory Basis for, the Proposed Rule                 registered in the same options class on another
                                                Individuals interested in inquiring                   Change                                                 options exchange.
                                                                                                                                                                4 Members that elect prior to the start of the
                                              about their records should notify:                         In its filing with the Commission, the              month to pay $65,000 per month will have these
                                              Privacy Officer, OSHRC, 1120 20th                       Exchange included statements                           crossing fees capped at that level instead. All
                                              Street NW, Ninth Floor, Washington, DC                  concerning the purpose of and basis for                eligible volume from affiliated Members will be
                                              20036–3457. For an explanation on how                   the proposed rule change and discussed
                                                                                                                                                             aggregated for purposes of the Crossing Fee Cap,
                                              such requests should be drafted, refer to                                                                      provided there is at least 75% common ownership
                                                                                                      any comments it received on the                        between the Members as reflected on each
                                              29 CFR 2400.5 (notification), and 29                    proposed rule change. The text of these                Member’s Form BD, Schedule A.
                                              CFR 2400.6 (procedures for requesting                   statements may be examined at the                         5 A service fee of $0.00 per side applies to all

                                              records).                                               places specified in Item IV below. The                 order types that are eligible for the fee cap. The
                                                                                                                                                             service fee does not apply once a Member reaches
                                              EXEMPTIONS PROMULGATED FOR THE SYSTEM:
                                                                                                      Exchange has prepared summaries, set                   the fee cap level and does apply to every contract
                                                                                                      forth in sections A, B, and C below, of                side above the fee cap. A Member who does not
                                                 None.                                                the most significant aspects of such                   reach the monthly fee cap will not be charged the
                                                                                                                                                             service fee. Once the fee cap is reached, the service
                                              HISTORY:                                                statements.                                            fee applies to eligible Firm Proprietary and Non-
                                                 April 14, 2006, 71 FR 19556; August                  A. Self–Regulatory Organization’s                      Nasdaq ISE market Maker orders in all Nasdaq ISE
                                                                                                                                                             products. The service fee is not calculated in
                                              4, 2008, 73 FR 45256; October 5, 2015,                  Statement of the Purpose of, and                       reaching the cap.
                                              80 FR 60182; and September 28, 2017,                    Statutory Basis for, the Proposed Rule                    6 The Exchange’s fee cap is functionally similar to

                                                                                                      Change
amozie on DSK3GDR082PROD with NOTICES1




                                              82 FR 45324.                                                                                                   the Clearing Trading Permit Holder Fee Cap in
                                                                                                                                                             place at Cboe Exchange (‘‘CBOE’’), and the Monthly
                                                Dated: October 24, 2018.                              1. Purpose                                             Firm Fee Cap in place at Nasdaq PHLX (‘‘Phlx’’).
                                              Nadine N. Mancini,                                         The purpose of the proposed rule                    See CBOE Fees Schedule, Equity Options Rate
                                              General Counsel, Senior Agency Official for                                                                    Table, Clearing Trading Permit Holder Fee Cap,
                                                                                                      change is to amend the Exchange’s                      footnote 11; and Phlx Pricing Schedule, Section II,
                                              Privacy.                                                                                                       Monthly Firm Fee Cap.
                                              [FR Doc. 2018–23729 Filed 10–30–18; 8:45 am]              1 15   U.S.C. 78s(b)(1).                                7 15 U.S.C. 78f(b).

                                              BILLING CODE 7600–01–P                                    2 17   CFR 240.19b–4.                                   8 15 U.S.C. 78f(b)(4) and (5).




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Document Created: 2018-10-31 00:33:22
Document Modified: 2018-10-31 00:33:22
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice of a Modified System of Records.
DatesComments must be received by OSHRC on or before November 30, 2018. The revised system of records will become effective on that date, without any further notice in the Federal Register, unless comments or government approval procedures necessitate otherwise.
ContactRon Bailey, Attorney-Advisor, Office of the General Counsel, via telephone at (202) 606-5410, or via email at [email protected]
FR Citation83 FR 54789 

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