[Federal Register Volume 78, Number 84 (Wednesday, May 1, 2013)]
[Rules and Regulations]
[Pages 25365-25367]
[FR Doc No: 2013-09436]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-0951; Directorate Identifier 2007-SW-52-AD;
Amendment 39-17437; AD 2013-08-19]
RIN 2120-AA64

Airworthiness Directives; Eurocopter France Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for
Eurocopter France (Eurocopter) Model AS350B, AS350BA, AS350B1, AS350B2,
AS350B3, AS350C, AS350D, AS350D1, AS355E, AS355F, AS355F1, AS355F2, and
AS355N helicopters. This AD requires visual and dye penetrant
inspections for cracks in the rear roller support shaft (shaft) and
rear fitting (fitting) of the sliding door, and replacing the shaft or
fitting if there is a crack. This AD's actions are prompted by reports
of cracks in the shaft and the fitting and are intended to prevent the
loss of the sliding door, which could come into contact with the rotor
system, leading to damage to the helicopter and loss of helicopter
control.

DATES: This AD is effective June 5, 2013.
    The Director of the Federal Register approved the incorporation by
reference of certain documents listed in this AD as of June 5, 2013.

ADDRESSES: For service information identified in this AD, contact
American Eurocopter Corporation, 2701 N. Forum Drive, Grand Prairie, TX
75052; telephone<PHONE_NUMBER> or<PHONE_NUMBER>; fax<PHONE_NUMBER>;
or at http://www.eurocopter.com/techpub. You may review the referenced
service information at the FAA, Office of the Regional Counsel,
Southwest Region, 2601 Meacham Blvd., Room 663, Fort Worth, Texas
76137.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov or in person at the Docket Operations Office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, any incorporated-by-reference
service information, the economic evaluation, any comments received,
and other information. The street address for the Docket Operations
Office (phone:<PHONE_NUMBER>) is U.S. Department of Transportation,
Docket Operations Office, M-30, West Building Ground Floor, Room W12-
140, 1200 New Jersey Avenue SE., Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Gary Roach, Aviation Safety Engineer,
Regulations and Policy Group, Rotorcraft Directorate, FAA, 2601 Meacham
Blvd., Fort Worth, Texas 76137; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    On October 22, 2009, at 74 FR 54501, the Federal Register published
our notice of proposed rulemaking (NPRM), which proposed to amend 14
CFR part 39 to include an AD that would apply to Eurocopter Model
AS350B, AS350BA, AS350B1, AS350B2, AS350B3, AS350C, AS350D, AS350D1,
AS355E, AS355F, AS355F1, AS355F2, and AS355N helicopters, with sliding
door pre-modification (MOD) 073298 or pre-MOD 073308, installed. The
NPRM proposed to require visual and dye

penetrant inspections of the shaft and fitting. If a crack exists in
the shaft or fitting, the NPRM proposed replacing the cracked parts
with airworthy parts. The proposed requirements were intended to
prevent the loss of the sliding door, which could come into contact
with the rotor system and lead to damage to the helicopter and loss of
helicopter control.
    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Union, has issued EASA AD
No. 2007-0236, dated August 31, 2007, to correct an unsafe condition
for specified Eurocopter model helicopters. EASA issued AD 2006-0251
and its revisions following a case of total failure and a case of a
crack discovered on the support shaft of the sliding door rear roller.
    Metallurgical and metallographic analyses revealed a nonconformity
concerning the heat treatment of the material. Since then, other cases
of cracks and failures of the roller support shaft rear attach fitting
had been reported. EASA AD No. 2007-0236 supersedes EASA AD No. 2006-
0251R2 but retains the requirements for repetitive inspections until
replacement of current parts with improved parts. EASA AD No. 2007-0236
also prohibits installation of another roller support fitting part
number (P/N) 350A25-1270-22 on any AS350 or AS355 helicopter.

Comments

    After our NPRM (74 FR 54501, October 22, 2009) was published, we
received comments from one commenter.

Request

    One commenter requested that our AD apply to only pre-modified
aircraft as stated in the applicability paragraph. We agree.
    The commenter also requested a paragraph on terminating action once
an aircraft is ``modified to a post-mod status'' to avoid confusing an
owner/operator. We disagree with this request. If an aircraft becomes
modified according to modifications 073298 and 073308, the AD is clear
that the applicability paragraph no longer applies.

FAA's Determination

    These helicopters have been approved by the aviation authority of
France and are approved for operation in the United States. Pursuant to
our bilateral agreement with France, EASA, its technical
representative, has notified us of the unsafe condition described in
the EASA AD. We are issuing this AD because we evaluated all
information provided by EASA and determined the unsafe condition exists
and is likely to exist or develop on other helicopters of these same
type designs and that air safety and the public interest require
adopting the AD requirements as proposed, except we have revised the
estimated costs of complying with this AD to reflect labor costs of $85
per hour instead of $80 per hour.

Differences Between This AD and the EASA AD

    This AD differs from EASA AD No. 2007-0236 as follows:
     We use the word ``inspect'' to describe the actions
required by a mechanic. EASA uses the word ``check,'' which is how we
describe the actions we allow a pilot to complete.
     We do not require an operator to tell the manufacturer if
a crack is found in the shaft.
     We are not including the Model AS 350 BB, because that
model is not type certificated in the U.S. We are including Models
AS350C and AS350D1 helicopters.

Related Service Information

    On July 18, 2006, Eurocopter issued Alert Service Bulletin (ASB)
No. 52.00.30 for modifying the AS350 series helicopters and ASB No.
52.00.23 for modifying the AS355 series helicopters. These ASBs
contained modifications 073298 and 073308. The following day,
Eurocopter issued ASB No. 05.00.45 for the AS355 model helicopters and
ASB No. 05.00.47 for the AS350 helicopters. On June 29, 2007,
Eurocopter issued Revision 1 to ASB No. 52.00.30 for the AS350 model
helicopters and ASB No. 52.00.23 for the AS355 model helicopters to
modify the sliding door medium roller pin and the fitting.

Costs of Compliance

    We estimate that this AD will affect 725 helicopters of U.S.
Registry and that labor costs average $85 a work-hour. Based on these
estimates, we expect the following costs:
    Inspecting and modifying the sliding doors will require about 4
work-hours for a labor cost of $340. Parts will cost about $7,000 for a
total cost of $7,340 per helicopter, and $5,321,500 for the U.S. fleet.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on helicopters identified in this
rulemaking action.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866;
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979);
    (3) Will not affect intrastate aviation in Alaska to the extent
that it justifies making a regulatory distinction; and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared an economic evaluation of the estimated costs to comply
with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2013-08-19 Eurocopter France Helicopters: Amendment 39-17437; Docket
No. FAA-2009-0951; Directorate Identifier 2007-SW-52-AD.

(a) Applicability

    This AD applies to Eurocopter France (Eurocopter) Model AS350B,
BA, B1, B2, B3, C, D, D1, AS355E, F, F1, F2, and N helicopters, with
sliding door pre-modification (MOD) 073298 or pre-MOD 073308,
installed, certificated in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as a crack in the rear
roller support shaft (shaft) or the rear fitting (fitting) of the
sliding door. This condition could result in loss of the sliding
door, which could come into contact with the rotor system, leading
to damage to the helicopter and loss of helicopter control.

(c) Effective Date

    This AD becomes effective June 5, 2013.

(d) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless accomplished
previously.

(e) Required Actions

    (1) For a sliding door with less than 90 hours time-in-service
(TIS), on or before accumulating a total of 110 hours TIS, conduct
the visual and dye penetrant inspections of the shaft and the
fitting of the sliding door for a crack by reference to Figure 1 and
by following the Operational Procedure, paragraph 2.B.1 and 2.B.2,
of Eurocopter Alert Service Bulletin (ASB) No. 05.00.47 dated July
19, 2006, for the Model AS350 helicopters (ASB 05.00.47) or ASB No.
05.00.45 dated July 19, 2006, for the Model AS355 helicopters (ASB
05.00.45), except you are not required to contact the manufacturer.
    (i) If no crack is found in the shaft or fitting, reinstall the
shaft on the fitting, fit the spring pins, and plug the pin holes by
following the Operational Procedure, paragraph 2.B.2. of ASB
05.00.47 or 05.00.45, whichever is appropriate for your model
helicopter.
    (ii) If you find a crack in the fitting, replace the fitting
with an airworthy fitting before further flight.
    (iii) If you find a crack in the shaft, replace the shaft with
an airworthy shaft before further flight by reference to Figure 1
and by following paragraph 2.B.3. of ASB 05.00.47 or 05.00.45,
whichever is appropriate for your model helicopter.
    (2) For a sliding door with 90 or more hours TIS, within the
next 20 hours TIS, and thereafter at intervals not to exceed 110
hours TIS, conduct the visual and dye penetrant inspections of the
shaft and the fitting of the sliding door for a crack by reference
to Figure 1 and by following the Operational Procedure, paragraph
2.B.1 and 2.B.2, of ASB 05.00.47 or ASB 05.00.45, whichever is
appropriate for your model helicopter, except you are not required
to contact the manufacturer.
    (i) If no crack is found in the shaft and fitting, reinstall the
shaft or fitting, fit the spring pins, and plug the pin holes by
following the Operational Procedure, paragraph 2.B.2. of ASB
05.00.47 or 05.00.45, whichever is appropriate for your model
helicopter.
    (ii) If you find a crack in the fitting, replace the fitting
with an airworthy fitting before further flight.
    (iii) If you find a crack in the shaft, replace the shaft with
an airworthy shaft before further flight by reference to Figure 1
and by following paragraph 2.B.3. of ASB 05.00.47 or 05.45,
whichever is appropriate for your model helicopter.
    (3) After the effective date of this AD, do not install any of
the following parts on any helicopter:
    (i) Left-hand sliding door, part number (P/N) 350A25-0030-00XX,
350A25-0120-00XX, and 350AMR-0227-0052;
    (ii) Right-hand sliding door, P/N 350A25-0030-01XX, 350A25-0120-
01XX, 350A25-0120-03XX, and 350AMR-0227-0051;
    (iii) Rail roller pin, P/N 350A25-1275-20; and
    (iv) Cast roller support fittings, P/N 350A25-1270-20 and P/N
350A25-1270-22.

(f) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Safety Management Group, FAA, may approve AMOCs
for this AD. Send your proposal to: Gary Roach, Aviation Safety
Engineer, Regulations and Policy Group, Rotorcraft Directorate, FAA,
2601 Meacham Blvd., Fort Worth, Texas 76137; telephone (817) 222-
5110; email<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, we suggest that you
notify your principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office or
certificate holding district office, before operating any aircraft
complying with this AD through an AMOC.

(g) Additional Information

    The subject of this AD is addressed in European Aviation Safety
Agency AD No. 2007-0236, dated August 31, 2007.

(h) Subject

    Joint Aircraft Service Component (JASC) Code: 5344, Fuselage
Door Hinges.

(i) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise:
    (i) Eurocopter France Alert Service Bulletin No. 05.00.47,
Revision 0, dated July 19, 2006.
    (ii) Eurocopter France Alert Service Bulletin No. 05.00.45,
Revision 0, dated July 19, 2006.
    (3) For Eurocopter France service information identified in this
AD, contact American Eurocopter Corporation, 2701 N. Forum Drive,
Grand Prairie, TX 75052; telephone<PHONE_NUMBER> or<PHONE_NUMBER>;
fax<PHONE_NUMBER>; or at http://www.eurocopter.com/techpub.
    (4) You may view this service information at FAA, Office of the
Regional Counsel, Southwest Region, 2601 Meacham Blvd., Room 663,
Fort Worth, Texas 76137. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Fort Worth, Texas, on April 12, 2013.
Lance T. Gant,
Acting Directorate Manager, Rotorcraft Directorate, Aircraft
Certification Service.
[FR Doc. 2013-09436 Filed 4-30-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 249 (Tuesday, December 29, 2020)]
[Notices]
[Pages 85628-85629]
[FR Doc No: 2020-28712]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP20-481-000]

Rio Bravo Pipeline Company, LLC; Notice of Availability of the
Environmental Assessment for the Proposed Rio Bravo Pipeline Project
Amendment

    The staff of the Federal Energy Regulatory Commission (FERC or
Commission) has prepared an environmental assessment (EA) for the Rio
Bravo Pipeline Project Amendment (Project Amendment), proposed by Rio
Bravo Pipeline Company, LLC (RB Pipeline) in the above-referenced
docket. RB Pipeline filed an application in Docket No. CP20-481-000
requesting a Certificate of Public Convenience and Necessity pursuant
to Section 7(c) of the Natural Gas Act to construct and operate certain
natural gas pipeline facilities. The proposed Project Amendment would
modify the pipeline system facilities approved in the Commission's
Order Granting Authorizations under Sections 3 and 7 of the Natural Gas
Act (Order) issued on November 22, 2019, that will transport natural
gas to Rio Grande LNG, LLC's previously approved (but not yet
constructed) liquefied natural gas (LNG) Terminal in Cameron County,
Texas. RB Pipeline's entire pipeline system as authorized, and as
modified by the Project Amendment, is located entirely in Texas.
    The EA assesses the potential environmental effects of the
construction and operation of the Project Amendment in accordance with
the requirements of the National Environmental Policy Act (NEPA). The
FERC staff concludes that approval of the proposed project, with
appropriate mitigating measures, would not constitute a major federal
action significantly affecting the quality of the human environment.
    The U.S. Army Corps of Engineers and the U.S. Department of
Transportation's Pipeline and Hazardous Materials Safety Administration
participated as cooperating agencies in the preparation of the EA.
Cooperating agencies have jurisdiction by law or special expertise with
respect to resources potentially affected by the proposal and
participate in the NEPA analysis.
    The Rio Bravo Pipeline Project, as authorized in the November 2019
Order, consists of a 2.4-mile-long, 42-inch-diameter pipeline,
including 0.8 mile of dual pipeline (referred to as the Header System)
in Kleberg and Jim Wells Counties; 135.5 miles of parallel 42-inch-
diameter pipelines originating in Kleberg County and terminating at Rio
Grande LNG, LLC's Rio Grande LNG Terminal in Cameron County (referred
to as Pipelines 1 and 2); four metering sites along the Header System;
two interconnect booster compressor stations, each with a metering
site; three compressor stations (one at the Rio Grande LNG Terminal);
and other associated utilities, systems, and facilities, all in Texas.
As part of the Project Amendment, RB Pipeline proposes various facility
modifications to the authorized pipeline system:
     Decrease the maximum allowable operating pressure (MAOP)
of the 2.4-mile-long Header System pipeline from 1,480 pounds per
square inch gauge (psig) to 1,200 psig;
     construct an extension of 0.2 mile of mainline pipeline
for each of

Pipelines 1 and 2 for a total of 135.7 miles each;
     increase the diameter of Pipeline 1 from 42 inches to 48
inches and increase the MAOP of both pipelines from 1,480 psig to 1,825
psig (Pipeline 2 will remain a 42-inch-diameter pipeline); and
     increase the transportation capacity of Pipeline 1 from
2.25 billion cubic feet per day (Bcf/d) to 2.6 Bcf/d, and decrease the
transportation capacity of Pipeline 2 from 2.25 Bcf/d to 1.9 Bcf/d,
resulting in the total authorized capacity of 4.5 Bcf/d remaining
unchanged.
    The Project Amendment also includes modifications to the following
aboveground facilities that are authorized (but as yet unbuilt) along
the Rio Bravo Pipeline right-of-way:
     Eliminate Compressor Station 2 in Kenedy County;
     eliminate Compressor Station 3 within the Rio Grande LNG
Terminal in Cameron County, except for a meter and other ancillary
facilities within the LNG Terminal;
     eliminate all facilities associated with Booster Stations
1 and 2, including related meter stations, in Kenedy County; and
     increase the horsepower (hp) at Compressor Station 1 from
180,000 hp to 282,000 hp by switching from six 30,000-hp natural gas
compressor units to four 43,000-hp natural gas compressor units and two
55,000-hp compressor units.
    The Commission mailed a copy of the Notice of Availability to
federal, state, and local government representatives and agencies;
elected officials; environmental and public interest groups; Native
American tribes; potentially affected landowners and other interested
individuals and groups; and newspapers and libraries in the project
area. The EA is only available in electronic format. It may be viewed
and downloaded from the FERC's website (www.ferc.gov), on the natural
gas environmental documents page (https://www.ferc.gov/industries-data/natural-gas/environment/environmental-documents). In addition, the EA
may be accessed by using the eLibrary link on the FERC's website. Click
on the eLibrary link (https://elibrary.ferc.gov/eLibrary/search),
select ``General Search'' and enter the docket number in the ``Docket
Number'' field, excluding the last three digits (i.e., CP20-481). Be
sure you have selected an appropriate date range. For assistance,
please contact FERC Online Support at<EMAIL_ADDRESS>or
toll free at<PHONE_NUMBER>, or for TTY, contact<PHONE_NUMBER>.
    The EA is not a decision document. It presents Commission staff's
independent analysis of the environmental issues for the Commission to
consider when addressing the merits of all issues in this proceeding.
Any person wishing to comment on the EA may do so. Your comments should
focus on the EA's disclosure and discussion of potential environmental
effects, reasonable alternatives, and measures to avoid or lessen
environmental impacts. The more specific your comments, the more useful
they will be. To ensure that the Commission has the opportunity to
consider your comments prior to making its decision on the Project
Amendment, it is important that we receive your comments in Washington,
DC on or before 5:00 p.m. Eastern Time on January 20, 2021.
    For your convenience, there are three methods you can use to file
your comments to the Commission. The Commission encourages electronic
filing of comments and has staff available to assist you at (866) 208-
3676 or<EMAIL_ADDRESS>Please carefully follow these
instructions so that your comments are properly recorded.
    (1) You can file your comments electronically using the eComment
feature on the Commission's website (www.ferc.gov) under the link to
FERC Online. This is an easy method for submitting brief, text-only
comments on a project;
    (2) You can also file your comments electronically using the
eFiling feature on the Commission's website (www.ferc.gov) under the
link to FERC Online. With eFiling, you can provide comments in a
variety of formats by attaching them as a file with your submission.
New eFiling users must first create an account by clicking on
``eRegister.'' You must select the type of filing you are making. If
you are filing a comment on a particular project, please select
``Comment on a Filing''; or
    (3) You can file a paper copy of your comments by mailing them to
the Commission. Be sure to reference the project docket number (CP20-
481-000) on your letter. Submissions sent via the U.S. Postal Service
must be addressed to: Kimberly D. Bose, Secretary, Federal Energy
Regulatory Commission, 888 First Street NE, Room 1A, Washington, DC
20426. Submissions sent via any other carrier must be addressed to:
Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission,
12225 Wilkins Avenue, Rockville, MD 20852.
    Filing environmental comments will not give you intervenor status,
but you do not need intervenor status to have your comments considered.
Only intervenors have the right to seek rehearing or judicial review of
the Commission's decision. At this point in this proceeding, the
timeframe for filing timely intervention requests has expired. Any
person seeking to become a party to the proceeding must file a motion
to intervene out-of-time pursuant to Rule 214(b)(3) and (d) of the
Commission's Rules of Practice and Procedures (18 CFR 385.214(b)(3) and
(d)) and show good cause why the time limitation should be waived.
Motions to intervene are more fully described at https://www.ferc.gov/ferc-online/ferc-online/how-guides.
    Additional information about the project is available from the
Commission's Office of External Affairs, at (866) 208-FERC, or on the
FERC website (www.ferc.gov) using the eLibrary link. The eLibrary link
also provides access to the texts of all formal documents issued by the
Commission, such as orders, notices, and rulemakings.
    In addition, the Commission offers a free service called
eSubscription which allows you to keep track of all formal issuances
and submittals in specific dockets. This can reduce the amount of time
you spend researching proceedings by automatically providing you with
notification of these filings, document summaries, and direct links to
the documents. Go to https://www.ferc.gov/ferc-online/overview to
register for eSubscription.

    Dated: December 21, 2020.
Kimberly D. Bose,
Secretary.
[FR Doc. 2020-28712 Filed 12-28-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 185 (Tuesday, September 26, 2023)]
[Rules and Regulations]
[Pages 65807-65815]
[FR Doc No: 2023-20690]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 200

[Release No. 34-98437; PA-60; File No. S7-03-23]
RIN 3235-AN21

The Commission's Privacy Act Regulations

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (``Commission'' or
``SEC'') is adopting amendments to the Commission's regulations under
the Privacy Act of 1974, as amended (``Privacy Act''). The amendments
revise the Commission's regulations under the Privacy Act to clarify,
update, and streamline the language of several procedural provisions.

DATES: Effective: October 26, 2023.

FOR FURTHER INFORMATION CONTACT: Ray McInerney, FOIA/PA Officer, Office
of FOIA Services,<PHONE_NUMBER>; Securities and Exchange Commission,
100 F Street NE, Washington, DC 20549-5041.

SUPPLEMENTARY INFORMATION:

I. Introduction

    On February 14, 2023, the Commission proposed amendments to its
existing regulations under the Privacy Act, 5 U.S.C. 552a,\1\ to
reflect changes to clarify, update, and streamline the language of
several procedural provisions. The Commission received sixteen comments
on the proposed amendments, eleven of which were unrelated to the
proposed rule. After consideration of the comments received, the
Commission is adopting the amendments to its Privacy Act regulations as
proposed. This final rule replaces the Commission's existing Privacy
Act regulations in their entirety (17 CFR 200.301 through 200.313).
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    \1\ See Release No. 34-96906 (Feb. 14, 2023), 88 FR 10483 (Feb.
21, 2023) (``Proposing Release'').
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II. Amendments

A. Amendments To Update, Clarify, and Streamline the Privacy Act
Regulations

    The Commission is adopting amendments to certain procedural
provisions to clarify, update, and streamline the Commission's Privacy
Act regulations.\2\ The final rule, among other things: clarifies the
purpose and scope of the regulations (Section 200.301); updates
definitions so that the processes set forth in the regulations are more
plainly described (17 CFR 200.302); simplifies the processes for
submitting and receiving responses to Privacy Act inquiries, requests,
and administrative appeals (17 CFR 200.303, 305, 306, 307, and 308);
allows for requesters to electronically verify their identities,
including by facsimile, email, or an online Commission form (17 CFR
200.303); provides for a shorter Commission response time to Privacy
Act inquiries as to whether a specific system of records maintained by
the Commission contains a record pertaining to the requester, which
aligns with other relevant time lines (17 CFR 200.304); updates agency
contact information (e.g., office names, facsimile numbers, email
addresses, and physical addresses) (17 CFR 200.303, 305, 308, and 309);
and updates the list of Commission systems of records that have
promulgated rules exempting certain records from certain provisions of
the Privacy Act (17 CFR 200.310).
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    \2\ These amendments are discussed in greater detail in Section
IV. Economic Analysis.

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B. Revisions to Fee Provisions

    The final rule updates the fee provisions to reflect existing
practice with respect to charging fees for duplicating documents.
Duplication rates are available on the Office of FOIA Services' fee
page on the Commission's website. The duplication fees currently posted
on the website reflect the direct costs to the Commission of producing
a copy, whether in paper or electronic format, taking into account
various factors including the salary of the employee(s) performing the
work and the cost of materials. The Office of FOIA Services does not
charge for providing existing electronic records because such a
production does not require duplication processes, such as scanning or
commercial copying of hard copies that impose direct costs on the
Commission. The duplication fee posted on the Commission's website is
adjusted as appropriate to reflect current costs.
    The final rule also codifies the existing practice of charging
requesters the direct costs associated with making records available on
electronic storage devices, as presently reflected on the Commission's
FOIA fee website. Further, the final rule allows for providing
requesters with one free copy of each record amended or corrected
pursuant to a request for amendment or correction.

C. Elimination of Certain Provisions

    The amendments eliminate certain provisions from the existing
regulations, as well as two Sections in their entirety. The deleted
provisions either restate language in the Privacy Act, and thus do not
require elaboration in the Commission's regulations; have been
incorporated into other provisions within the final rule; or are
otherwise unnecessary. The amendments remove the following provisions
of the existing rule:

    Title 17, section 200.305: This provision, which provides
special procedures for requests for medical records, is unnecessary
as the medical records the Commission typically maintains, whether
about Commission staff or other individuals, are generally available
to those individuals through other means, and the Commission has
never used special procedures for medical records in connection with
Privacy Act requests.
    Title 17, section 200.307(b): This provision restates the
standards applied in reviewing requests for amendment or correction
of records. These standards are set forth in the Privacy Act.
Therefore, it is unnecessary to restate them in the Commission's
regulations.
    Title 17, section 200.309(a): This provision describes the
standards for extending time to respond to requests. This section
uses language from the Freedom of Information Act (5 U.S.C.
552(a)(6)(B)(iii)) rather than the Privacy Act. Title 17, sections
200.304(d)(1), 304(d)(2)(ii), 307(b), and 309(a)(3) of the final
rule contain information about extensions of time based on the
requirements of the Privacy Act.
    Title 17, sections 200.309(b), (c), (d), and (e): These
provisions are unnecessary as they are not contemplated by the
statute, are covered elsewhere in the final rule, or are obsolete
due to changes in technology affecting how Privacy Act requests are
processed.
    Title 17, section 200.311: This provision restates the statutory
penalties set forth in the Privacy Act (5 U.S.C. 552a(i)).
Accordingly, recitation within Commission regulations is
unnecessary.

D. Addition of Provisions

    The final amendments add a provision for processing requests by
individuals for an accounting of certain record disclosures about the
requester, to include the date, nature, and purpose of each disclosure,
that the Commission has made available to another person, organization,
or agency (17 CFR 200.307 of the final rule). While the statute allows
for individuals to request such an accounting (5 U.S.C. 552a(c)(3)),
the Commission's existing rule has no such provision. The final rule
also includes a provision that formally implements a 90-day time period
for requesters to file administrative appeals (17 CFR 200.308 of the
final rule). The 90-day period is appropriate because Privacy Act
requests for access to records are concurrently processed as Freedom of
Information Act (``FOIA'') requests and the FOIA sets forth a 90-day
deadline to file an administrative appeal. Because of the overlap with
FOIA, Privacy Act requesters are currently informed they have 90 days
to file an administrative appeal in response to an adverse decision.
The final rule codifies this current procedure.

E. Public Comments

    The Commission received 16 comments in response to the proposed
rulemaking. Eleven of the comments concerned subjects that were
unrelated to the proposed rule and the Privacy Act in general.\3\ Four
comments approved of the proposed rule in its entirety.\4\
---------------------------------------------------------------------------

    \3\ See, e.g., comments from Anonymous, dated Feb. 22, 2023;
comments from Vince Navarro, dated Feb. 23, 2023; comments from
Jonathan Dinkel, dated Mar. 1, 2023; comments from Household Harry,
dated Mar. 1, 2023; comments from Chris Carrington, dated Mar. 5,
2023; comments from Curtis Higgins, dated Mar. 6, 2023; comments
from D Skewis, dated Mar. 7, 2023; comments from Nick, dated Mar.
19, 2023; comments from Curtis, dated Mar. 23, 2023; comments
Nathaniel Moraton, dated Apr. 7, 2023; and comments from Alexander
MacCartney, dated Apr. 17, 2023.
    \4\ See, e.g., comments from Nick Ahlers, dated Feb. 24, 2023;
comments from Angel Rodriguez, dated Feb. 27, 2023; comments from
Richard Russell, dated Mar. 1, 2023; and comments from Bernie
Bankman Griffin, dated Mar. 6, 2023.
---------------------------------------------------------------------------

    One commenter supported several provisions in the proposed rule,
but expressed concern regarding revisions to the fee provisions.\5\
Specifically, the commenter indicated that charging requesters the
direct costs associated with making records available on electronic
storage devices might ``potentially discourage individuals from
exercising their rights under the Privacy Act, particularly those who
may not have the financial means to pay for the direct costs associated
with obtaining records.'' \6\ The overwhelming majority of records that
are responsive to Privacy Act requests are provided in electronic
format. The Office of FOIA Services does not charge for providing
existing electronic records unless the volume of electronic records is
such that production requires an electronic storage device. Although
the Office of FOIA Services requires fees for production of records on
an electronic storage device, no such fees were charged from 2015
through 2022. Typically, production of voluminous electronic records
can be accomplished with secure file sharing platforms. Electronic
storage devices would only be used at the election of the requester,
and we expect such a request would be made only if the cost would not
be a significant impediment. The Commission collected no fees for
processing Privacy Act requests during fiscal years 2015 through 2022,
whether electronic or otherwise. The Commission is not making any
changes in response to this comment because it anticipates that it will
generally be able to produce even voluminous electronic records with
file sharing platforms.
---------------------------------------------------------------------------

    \5\ See Gillmore comment, dated Feb. 24, 2023.
    \6\ Id.
---------------------------------------------------------------------------

    The same commenter also expressed concern that that the deletion of
certain provisions within the existing regulations would eliminate
protections to individuals' privacy rights.\7\ As an example, the
commenter stated that the deletion of 17 CFR 200.305 might make it more
difficult for individuals to access their records.\8\ Under the
existing rule at 17 CFR 200.305, the Commission may require the
requester to submit a signed statement by a physician or a mental
health professional or the Commission may initially disclose the
records to a physician or a mental health professional for their
review. Obtaining a statement from a physician or mental health
professional and/or

having a physician or mental health professional review an individual's
records prior to disclosure would result in additional processing time.
Deletion of existing 17 CFR 200.305 will make it easier for a requester
to obtain their records. Therefore, the Commission is not making any
changes from its proposal in response to this comment.
---------------------------------------------------------------------------

    \7\ Id.
    \8\ Id.
---------------------------------------------------------------------------

III. Other Matters

    If any of the provisions of these rules, or the application thereof
to any person or circumstance, is held to be invalid, such invalidity
shall not affect other provisions or application of such provisions to
other persons or circumstances that can be given effect without the
invalid provision or application.
    Pursuant to the Congressional Review Act, the Office of Information
and Regulatory Affairs has designated these rules as not a ``major
rule,'' as defined by 5 U.S.C. 804(2).

IV. Economic Analysis

    The Commission is sensitive to the economic effects, including the
costs and benefits that result from its rules. Section 23(a)(2) of the
Securities Exchange Act of 1934 (``Exchange Act'') requires the
Commission, in making rules pursuant to any provision of the Exchange
Act, to consider among other matters the impact any such rule would
have on competition and prohibits any rule that would impose a burden
on competition that is not necessary or appropriate in furtherance of
the purposes of the Exchange Act.\9\ Further, Section 3(f) of the
Exchange Act requires the Commission, when engaging in rulemaking where
it is required to consider or determine whether an action is necessary
or appropriate in the public interest, to consider, in addition to the
protection of investors, whether the action will promote efficiency,
competition, and capital formation.\10\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78w(a).
    \10\ 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    As explained in the Proposing Release and discussed further below,
the Commission believes that the economic effects of the final rule
will be limited. The Commission notes that, where possible, it has
attempted to quantify the costs, benefits, and effects on efficiency,
competition, and capital formation expected to result from the final
amendments. In some cases, however, the Commission is unable to
quantify the economic effects because it lacks the information
necessary to provide a reasonable estimate. Additionally, some of the
potential benefits of the amendments are inherently difficult to
quantify.
    The final amendments fall into four categories: (1) revisions to
procedural provisions; (2) revisions to certain fee provisions; (3) the
elimination of certain unnecessary provisions; and (4) the addition of
a new provision for requesting an accounting of record disclosures. We
discuss each of these in turn below.
    First, we are amending certain procedural provisions. Most of these
changes codify existing practice, including: (1) adding methods for
submitting Privacy Act inquiries, requests, and administrative appeals;
(2) clarifying the procedures for submitting requests for information
or records about oneself; (3) clarifying certain procedures for
verification of identity, including options available for in-person or
not in-person verification and necessary documentation; (4) clarifying
procedures for submitting an administrative appeal; (5) codifying the
existing practice of providing requesters 90 days to file an
administrative appeal; and (6) correctly identifying the Commission
systems of records that are exempt under the Privacy Act.\11\ We
believe that adoption of the final rule will have minimal impact on
Privacy Act requesters because it largely codifies existing practices.
Adoption of the final rule could benefit the public and improve
efficiency by decreasing the time in which the Commission responds to
inquiries, requests, and appeals.
---------------------------------------------------------------------------

    \11\ One of the systems of records identified in the existing
rule is obsolete. Another system of records had its name changed,
and a new system of records was added.
---------------------------------------------------------------------------

    Furthermore, these amendments may reduce potential confusion among
Privacy Act requesters with regard to certain existing procedures,
which could further benefit the public. In particular, because Privacy
Act requests for access to records are also processed as FOIA requests
and the FOIA sets forth a 90-day deadline to file an administrative
appeal, Privacy Act requesters are currently informed they have 90 days
to file an administrative appeal in response to an adverse decision. We
believe that codifying this existing practice would benefit requesters
by removing any uncertainty as to when appeals must be filed. In
addition, with respect to the provisions on verification of identity,
the amendments also explicitly provide for an alternative electronic
identification option through processes made available on the
Commission's website. By clarifying and supplementing the available
options for verification, these amendments may allow requesters to more
efficiently choose a verification process that is most appropriate for
them. We do not expect the amendments to the procedural provisions to
result in additional costs to any member of the public.
    Second, we are revising the provision concerning fees charged for
duplication. This includes: (1) determining duplication fees based on
the direct cost to the Commission as set forth on the FOIA fee page on
the Commission's website; (2) codifying the existing practice of
charging requesters the direct costs associated with making records
available on electronic storage devices; and (3) clarifying that
requesters will receive one free copy of each record corrected or
amended pursuant to a request for amendment.
    The amendments to the fee procedures would benefit Privacy Act
requesters by removing potential confusion about the cost of obtaining
records and the cost of making records available on electronic storage
devices. We do not anticipate that any of the changes to the fee
procedures would impose significant new costs on Privacy Act requesters
or have any other economic impact.
    Prior to July 2018, duplication costs for FOIA and Privacy Act
requesters were 24 cents per page as set by contract with a commercial
copier. Since that time, duplication costs have been set at 15 cents
per page, which reflects the direct cost to the Commission. Duplication
fees may change in the future, to the extent that the Commission's
direct costs for duplicating materials increase or decrease.
    The table below shows the number of Privacy Act requests processed
by the Commission during fiscal years 2015 through 2022 and that,
during those years, the Commission collected no fees for processing
requests received under the Privacy Act.

------------------------------------------------------------------------
                                                          Fees collected
                 Fiscal year                   Requests   for processing
                                               processed     requests
------------------------------------------------------------------------
2015........................................         134           $0.00
2016........................................         155            0.00
2017........................................          95            0.00
2018........................................         283            0.00
2019........................................         162            0.00
2020........................................         159            0.00
2021........................................         255            0.00
2022........................................         261            0.00
------------------------------------------------------------------------

    From fiscal years 2015 through 2022 requesters were not charged
fees because either no records were provided or the requester was
provided with

existing electronic records, for which a fee is not charged. There were
no requests processed that required production of hard copy records,
the scanning of hard copies, or production in another media, such as an
electronic storage device, and, consequently, no requests that would
have imposed direct costs on the Commission.
    Given the lack of chargeable duplication fees in recent years, the
Commission anticipates that the changes to duplication fees (including
fees for producing materials in electronic format) would not result in
significant additional costs for requesters. Further, these amendments
largely codify existing practices regarding fees for duplication and
production on other types of media and, like the existing regulations,
do not charge fees for searching or retrieving records. As noted, one
commenter indicated that charging requesters the direct costs
associated with making records available on electronic storage devices
might ``potentially discourage individuals from exercising their rights
under the Privacy Act, particularly those who may not have the
financial means to pay for the direct costs associated with obtaining
records.'' \12\ However, as discussed, this amendment codifies existing
practice. Moreover, from 2015 to 2022, no such fees were charged.
Accordingly, we do not expect significant changes in incentives for
requesters to make a request under the Privacy Act.
---------------------------------------------------------------------------

    \12\ See Gillmore comment, dated Feb. 24, 2023.
---------------------------------------------------------------------------

    The final rule clarifies that requesters will receive one free copy
of each record corrected or amended pursuant to a request for
amendment. This revision codifies an existing practice and would
therefore not impose any additional burden on requesters.
    Third, the Commission is eliminating certain provisions in its
Privacy Act regulations. The Commission does not anticipate that the
removal of 17 CFR 200.305 will have any meaningful economic effects.
The existing provision provides special procedures for requests for
medical records, but the medical records the Commission typically
maintains, whether about Commission staff or other individuals, are
generally available to those individuals through other means, and the
Commission has never used special procedures for medical records in
connection with Privacy Act requests. One commenter indicated that the
deletion of this provision might make it more difficult for requestors
to obtain medical records; \13\ however, as noted above, requestors
would still be able to access these records directly, which would
involve less time than using the process outlined in existing 17 CFR
200.305. The Commission does not expect the elimination of 17 CFR
200.307(b) and 200.311 to result in any economic effects because they
restate language in the Privacy Act.
---------------------------------------------------------------------------

    \13\ Id.
---------------------------------------------------------------------------

    There would also be minimal economic effects from the elimination
of 17 CFR 200.309(a), which describes the standards for extending time
to respond to requests, because other provisions in the final rule (17
CFR 200.304(d), 200.306(b), and 200.307(d)) address the procedures and
reasons for extending the time to respond to inquiries and requests.
Similarly, the Commission does not expect the elimination of 17 CFR
200.309(c) and 200.309(d) to result in meaningful economic effects.
These provisions require giving notice to a requester when delay will
result from the fact that the subject records are in use by a member of
the Commission or its staff and when records are lost. The final rule
would require the Office of FOIA Services to notify requesters of
reasons for delay and of the fact that a record does not exist, so the
specific information in 17 CFR 200.309(c) and 200.309(d) is
duplicative.
    The elimination of 17 CFR 200.309(b) would remove the concept of an
``effective date of action'' as it relates to mailing acknowledgements
or responses by the Commission. This amendment could increase the
Commission's flexibility in acknowledging or responding to requests
while also potentially increasing uncertainty for requesters, but these
effects would only be realized to the extent that requesters and the
Commission rely on mail to make and respond to requests, and the
Commission expects that use of mail will be infrequent going forward
because most communications with requesters occur by email.
    The elimination of 17 CFR 200.309(e)(1), which prohibits oral
requests, would have no substantive effect, because the existing
regulations, like the final rule, elsewhere require Privacy Act
requests to be made in writing. The elimination of 17 CFR
200.309(e)(2), which states that a misdirected request will be deemed
received only once it is received by a Privacy Act Officer and that an
appeal will not be considered unless the request was in fact received
by a Privacy Act Officer, removes an unnecessary provision because the
final rule at 17 CFR 200.303(a) and 200.305(a) has the same effect by
requiring that requesters use the methods described in the final rule
to submit a Privacy Act inquiry or request.
    Finally, the Commission is adding a provision outlining the
procedure for making requests for an accounting of record disclosures.
The existing rules do not provide for such a procedure, although the
Commission is obligated, by statute, to provide such information upon
request.\14\ This provision would reduce the potential confusion among
Privacy Act requesters about the exact procedure that they would have
to follow with regard to this type of request, and therefore this
provision would generally benefit the public. Furthermore, by providing
clarity about the procedure that would have to be followed when
requesting an accounting of record disclosures, the provision would
likely reduce the cost to the public of submitting this type of
request.
---------------------------------------------------------------------------

    \14\ 5 U.S.C. 552a(c)(3).
---------------------------------------------------------------------------

    The Commission requested comments on all aspects of the benefits
and costs of the proposal. After evaluating all comments, the
Commission continues to believe that the amendments to the Commission's
Privacy Act regulations will not have any significant impact on
competition or capital formation and may result in a slight improvement
in operational efficiency.

V. Regulatory Flexibility Act Certification

    Pursuant to Section 605(b) of the Regulatory Flexibility Act of
1980,\15\ the Commission certified that, when adopted, the amendments
to 17 CFR 200.301 through 200.313 would not have a significant economic
impact on a substantial number of small entities. This certification,
including our basis for the certification, was included in the
proposing release. The Commission solicited comments on the
appropriateness of its certification, but received none. The Commission
is adopting the final rules in the form published in the Proposing
Release.
---------------------------------------------------------------------------

    \15\ 5 U.S.C. 605(b).
---------------------------------------------------------------------------

VI. Paperwork Reduction Act

    The Commission stated in the Proposing Release that the proposed
amendments to the Privacy Act regulations do not contain any collection
of information as defined by the Paperwork Reduction Act of 1995
(``PRA'').\16\ The Commission also determined that the proposed
amendments would not create any new filing, reporting, recordkeeping,
or disclosure reporting requirements. Accordingly, the Commission did
not submit the proposed amendments to the

Office of Management and Budget for review under the PRA.\17\ The
Commission solicited comments on whether its conclusion that there are
no new collections of information is correct, and it did not receive
any comments.
---------------------------------------------------------------------------

    \16\ 44 U.S.C. 3501 et seq.
    \17\ 44 U.S.C. 3507(d) and 5 CFR 1320.11.
---------------------------------------------------------------------------

Statutory Authority

    The amendments contained herein are being adopted under the
authority set forth in 5 U.S.C. 552a(f), 552a(j), 552a(k); and 15
U.S.C. 78d-1 and 78w(a).

List of Subjects in 17 CFR Part 200

    Administrative practice and procedure; Privacy Act.

Text of Amendments

    For the reasons stated in the preamble, the Commission is amending
title 17, chapter II of the Code of Federal Regulations as follows:

PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND
REQUESTS

0
1. The authority citation for part 200 continues to read as follows:

    Authority:  5 U.S.C. 552, 552a, 552b, and 557; 11 U.S.C. 901 and
1109(a); 15 U.S.C. 77c, 77e, 77f, 77g, 77h, 77j, 77o, 77q, 77s, 77u,
77z-3, 77ggg(a), 77hhh, 77sss, 77uuu, 78b, 78c(b), 78d, 78d-1, 78d-
2, 78e, 78f, 78g, 78h, 78i, 78k, 78k-1, 78l, 78m, 78n, 78o, 78o-4,
78q, 78q-1, 78w, 78t-1, 78u, 78w, 78ll(d), 78mm, 78eee, 80a-8, 80a-
20, 80a-24, 80a-29, 80a-37, 80a-41, 80a-44(a), 80a-44(b), 80b-3,
80b-4, 80b-5, 80b-9, 80b-10(a), 80b-11, 7202, and 7211 et seq.; 29
U.S.C. 794; 44 U.S.C. 3506 and 3507; Reorganization Plan No. 10 of
1950 (15 U.S.C. 78d nt); sec. 8G, Pub. L. 95-452, 92 Stat. 1101 (5
U.S.C. App.); sec. 913, Pub. L. 111-203, 124 Stat. 1376, 1827; sec.
3(a), Pub. L. 114-185, 130 Stat. 538; E.O. 11222, 30 FR 6469, 3 CFR,
1964-1965 Comp., p. 36; E.O. 12356, 47 FR 14874, 3 CFR, 1982 Comp.,
p. 166; E.O. 12600, 52 FR 23781, 3 CFR, 1987 Comp., p. 235;
Information Security Oversight Office Directive No. 1, 47 FR 27836;
and 5 CFR 735.104 and 5 CFR parts 2634 and 2635, unless otherwise
noted.
* * * * *

0
2. Subpart H is revised to read as follows:
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
Sec.
200.301 Purpose and scope.
200.302 Definitions.
200.303 Procedures for making inquiries and requests for access.
200.304 Responses to inquiries and requests for access.
200.305 Requests for amendment or correction of records.
200.306 Review of requests for amendment or correction.
200.307 Requests for an accounting of record disclosures.
200.308 Administrative appeals.
200.309 Fees.
200.310 Specific exemptions.
200.311 Inspector General exemptions.
200.312 [Reserved]

Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission

Sec.  200.301  Purpose and scope.

    (a) This subpart contains the rules of the Securities and Exchange
Commission implementing the Privacy Act of 1974, as amended (Pub. L.
93-579, 5 U.S.C. 552a). These rules are applicable to all records in
systems of records maintained by the Commission. They set forth the
procedures by which individuals may make an inquiry regarding or
request access to records about themselves, request an amendment or
correction of those records, and request an accounting of disclosures
of those records by the Commission.
    (b) This subpart also lists the Commission systems of records that
are exempt from some of the provisions of the Privacy Act of 1974.
These exemptions are authorized under the Privacy Act, 5 U.S.C. 552a(j)
and (k).

Sec.  200.302  Definitions.

    In addition to the definitions contained in 5 U.S.C. 552a(a), the
following definitions apply in this subpart:
    Commission means the Securities and Exchange Commission.
    Inquiry means a request described in Privacy Act section (f)(1).
    Privacy Act means the Privacy Act of 1974, as amended (5 U.S.C.
552a).
    Request for access to a record means a request made under Privacy
Act section (d)(1).
    Request for amendment or correction of a record means a request
made under Privacy Act section (d)(2).
    Request for an accounting means a request made under Privacy Act
section (c)(3).
    Requester means an individual who makes an inquiry, a request for
access, a request for amendment or correction, or a request for an
accounting.

Sec.  200.303  Procedures for making inquiries and requests for access.

    Requesters seeking to know if a specific system of records
maintained by the Commission contains a record pertaining to them may
submit an inquiry to the Commission. Requesters may also request access
to records pertaining to them in a system of records maintained by the
Commission.
    (a) How to make an inquiry or request for access. An inquiry or
request for access must be in writing and may be submitted by email
([email protected]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester may alternatively
submit an inquiry or request for access by mail to the Securities and
Exchange Commission, Office of FOIA Services, 100 F Street NE,
Washington, DC 20549 or other mailing address or facsimile number
published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html. Inquiries and requests for access that are submitted
by mail should include the words ``PRIVACY ACT REQUEST'' in capital
letters at the top of the letter and on the face of the envelope.
    (b) Information to be included in an inquiry or request for access.
Each inquiry or request for access must include information that will
assist the Commission in identifying those records the requester is
seeking information about or access to. The following information, as
relevant, should be submitted with the request: name of the individual
whose record is sought; identifying data that will help locate the
record (e.g., maiden name and period or place of employment); and the
requester's name, address, telephone number, and email address. Where
practicable, the requester should identify the system of records that
is the subject of the inquiry or request for access by reference to the
Commission's systems of records notices, which are published in the
Federal Register. The Commission's systems of records notices can also
be found on the Commission's website at https://www.sec.gov/oit/system-records-notices. If additional information is required before a request
can be processed, the requester will be so advised.
    (c) Verification of identity. A requester making an inquiry or
requesting access to a record must verify his or her identity before
information is given or access is granted unless the information is
required to be disclosed under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
    (1) In-person verification. A requester may appear at any of the
Commission offices, which are listed on the Commission's website at
https://www.sec.gov/divisions.shtml, and furnish documentation to
establish his or her identity. Such documentation might include a valid
driver's license, passport, birth certificate, employee or

military identification card, or Medicare card. Sufficiency of the
documentation in verifying identity will be determined by the
Commission staff member reviewing such documentation.
    (2) Not in-person verification. A requester who does not appear in
person must verify his or her identity using one of the following
methods:
    (i) A requester may use electronic identity proofing and
authentication processes as made available through the Commission's
website; or
    (ii) A requester may submit a copy of documentation to establish
the requester's identity (examples of such documentation are noted in
paragraph (c)(1) of this section).
    (3) Submission of signed statement. For all verification methods, a
requester must also submit a statement attesting to the requester's
identity and a statement that the requester understands that a knowing
and willful request for or acquisition of a record pertaining to an
individual under false pretenses is a criminal offense subject to a
$5,000 fine. Sample statements and the requirements for completing them
are available through the Commission's website.
    (4) Additional procedures for verifying identity. When it appears
appropriate, the Commission's Office of FOIA Services may make such
other arrangements for the verification of identity as are reasonable
under the circumstances and appear to be effective to prevent
unauthorized disclosure of, or access to, individual records.

Sec.  200.304  Responses to inquiries and requests for access.

    (a) Initial review. Inquiries and requests for access will be
referred to the Commission's Office of FOIA Services which will make
the initial determination as to whether the inquiry or request for
access will be granted.
    (b) Grant of inquiry or request for access. If it is determined
that an inquiry or request for access will be granted, the requester
will be advised in writing. When a request for access is granted, in
full or in part, a requester may elect to receive a copy of the
requested record electronically, by mail, or in person, and the Office
of FOIA Services will comply with that election to the extent
practicable.
    (c) Denial of an inquiry or request for access. If it is determined
that no response will be given to an inquiry or that a request for
access will not be granted, the requester will be notified of that fact
in writing and given the reasons for the denial. The requester also
will be advised of his or her right to seek review by the Office of the
General Counsel of the initial decision in accordance with the
procedures set forth in Sec.  200.308.
    (d) Time for acting on inquiries and requests for access--(1)
Responses to inquiries. The Office of FOIA Services will endeavor to
inform a requester making an inquiry as to whether the named system of
records contains a record pertaining to him or her within 10 days
(excluding Saturdays, Sundays, and Federal holidays) of receipt of such
a request. Whenever a response to an inquiry cannot be made within the
10 days, the Office of FOIA Services will inform the requester of the
reasons for the delay and the date by which a response may be
anticipated.
    (2) Acknowledgement of and responses to requests for access. (i)
Except where the requester appears in person, the Office of FOIA
Services will endeavor to acknowledge, in writing, receipt of a request
for access within 10 days (excluding Saturdays, Sundays, and Federal
holidays) of receipt of such a request.
    (ii) The Office of FOIA Services will endeavor to respond to a
request for access to a record pertaining to a requester within 30 days
(excluding Saturdays, Sundays, and Federal holidays) after the receipt
of the request. If, for good cause shown, a longer period of time is
required, the Office of FOIA Services will inform the requester in
writing of the reasons for the delay, and indicate when access is
expected to be granted or denied.
    (3) Appearance in person. When a requester appears in person at the
Commission to make a request for access and the requester provides the
required information and verification of identity, the Office of FOIA
Services' staff, if practicable, will indicate whether it is likely
that the requester will be given access to the records and, if so, when
and under what circumstances such access will be given.
    (e) Exclusion for certain records. Nothing contained in these rules
allows a requester to obtain access to any records or information
compiled in reasonable anticipation of a civil action or proceeding.

Sec.  200.305  Requests for amendment or correction of records.

    (a) How to a make request for amendment or correction. A written
request for amendment or correction of records may be submitted by
email ([email protected]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester may alternatively
submit a request for amendment or correction by mail to the Securities
and Exchange Commission, Office of FOIA Services, 100 F Street NE,
Washington, DC 20549 or other mailing address or facsimile number
published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html. Requests that are submitted by mail should include
the words ``PRIVACY ACT REQUEST'' in capital letters at the top of the
letter and on the face of the envelope.
    (1) Information to be included in requests for amendment or
correction. Each request for amendment or correction must reasonably
describe the record sought to be amended or corrected. Such description
should include, for example, relevant names, dates, and subject matter
to permit the record to be located among the records maintained by the
Commission. The requester will be advised promptly if the record cannot
be located on the basis of the description given and if further
identifying information is necessary before the request can be
processed. Verification of the requester's identity as set forth in
Sec.  200.303(c) will also be required before an amendment or
correction is undertaken.
    (2) Basis for amendment or correction. A requester seeking an
amendment or correction to a record must specify the substance of the
amendment or correction and set forth facts and provide such materials
that would support the contention that the record as maintained by the
Commission is not accurate, timely, or complete or, where a request
seeks deletion of information, that the record is not necessary and
relevant to accomplish a statutory purpose of the Commission as
authorized by law or by Executive Order of the President.
    (b) Acknowledgement of requests for amendment or correction.
Receipt of a request for amendment or correction will be acknowledged
in writing within 10 days (excluding Saturdays, Sundays, and Federal
holidays) after such request has been received. When a request for
amendment or correction is made in person, the requester will be given
a written acknowledgement when the request is presented. The
acknowledgement will describe the request received and indicate when it
is anticipated that action will be taken on the request.

Sec.  200.306  Review of requests for amendment or correction.

    (a) Initial review. Requests for amendment or correction to records
pertaining to that individual will be referred to the Commission's
Office of FOIA Services for an initial determination.

    (b) Time for acting on requests. Initial review of a request for
amendment or correction will be completed promptly and the Office of
FOIA Services will endeavor to respond to a request within 30 days
(excluding Saturdays, Sundays, and Federal holidays) from the date the
request was received, unless circumstances preclude completion of
review within that time. If the anticipated completion date indicated
in the acknowledgement cannot be met, the requester will be advised in
writing of the delay and the reasons for the delay, and also advised
when action is expected to be completed.
    (c) Grant of requests for amendment or correction. If a request for
amendment or correction is granted in whole or in part, the Office of
FOIA Services will:
    (1) Advise the requester in writing of the extent to which it has
been granted;
    (2) Amend or correct the record accordingly; and
    (3) Where an accounting of disclosures of the record has been kept
pursuant to 5 U.S.C. 552a(c), advise all previous recipients of the
record of the fact that the record has been amended or corrected and
the substance of the amendment or correction.
    (d) Denial of requests for amendment or correction. If the request
for amendment or correction is denied in whole or in part, the Office
of FOIA Services will:
    (1) Promptly advise the requester in writing of the extent to which
the request has been denied;
    (2) State the reasons for the denial of the request;
    (3) Describe the procedures to appeal the denial of the request for
amendment or correction, including the name and address of the person
to whom the appeal is to be addressed; and
    (4) Inform the requester that the Office of FOIA Services will
provide information and assistance to the individual in perfecting an
appeal of the initial decision.

Sec.  200.307  Requests for an accounting of record disclosures.

    (a) How made and addressed. Except where accountings of disclosures
are not required to be kept or provided (as stated in paragraph (e) of
this section), requesters may ask the Commission to provide an
accounting of a disclosure of a record about the requester that the
Commission has made to another person, organization, or agency. The
request for an accounting should identify each particular record in
question and must be made in writing. The request may be submitted by
email ([email protected]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester may alternatively
submit a request for an accounting by mail to the Securities and
Exchange Commission, Office of FOIA Services, 100 F Street NE,
Washington, DC 20549 or other mailing address or facsimile number
published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html. Requests for accounting that are submitted by mail
should include the words ``PRIVACY ACT REQUEST'' in capital letters at
the top of the letter and on the face of the envelope.
    (b) Verification of identity. Verification of the requester's
identity as set forth in section 202.303(c) will be required before an
accounting is given.
    (c) Acknowledgement of requests for an accounting of record
disclosures. The Office of FOIA Services will endeavor to acknowledge,
in writing, receipt of a request for an accounting of record
disclosures within 10 days of receipt of such a request (excluding
Saturdays, Sundays, and Federal holidays). When a request for an
accounting of record disclosures is made in person, the requester will
be given a written acknowledgement when the request is presented. The
acknowledgement will describe the request received and indicate when it
is anticipated that action will be taken on the request.
    (d) Time for acting on requests. The Office of FOIA Services will
endeavor to respond to a request for an accounting of record
disclosures within 30 days (excluding Saturdays, Sundays, and Federal
holidays) from the date the request was received, unless the requester
is notified in writing within the 30-day period that, for good cause
shown, a longer period of time is required. In such cases, the
requester will be informed in writing of the reasons for the delay and
an indication will be given as to when it is anticipated that an
accounting may be granted or denied.
    (e) Grant of request of accounting. If it is determined that a
request for an accounting will be granted, the requester will be
advised in writing. When a request for access is granted, in full or in
part, the information will be provided electronically, by mail, or in
person at the requester's election.
    (f) Denial of a request for accounting. If it is determined that
the request will not be granted, the requester will be notified of that
fact in writing and given the reasons for the denial. The requester
also will be advised of his or her right to seek review by the Office
of the General Counsel of the initial decision in accordance with the
procedures set forth in Sec.  200.308.
    (g) Where accountings of record disclosures are not required. The
Commission is not required to provide accountings of disclosures to
requesters where they relate to:
    (1) Disclosures made to officers and employees within the
Commission and disclosures made under the FOIA, 5 U.S.C. 552;
    (2) Disclosures made to law enforcement agencies for authorized law
enforcement activities in response to written requests from those law
enforcement agencies specifying the law enforcement activities for
which disclosures are sought; or
    (3) Disclosures made from law enforcement systems of records that
have been exempted from accounting requirements.

Sec.  200.308  Administrative appeals.

    (a) Administrative review. A requester who has been notified
pursuant to Sec.  200.304(c), Sec.  200.306(d), or Sec.  200.307(d)
that his or her inquiry or request has been denied in whole or in part,
or who has received no response to a request for access or to amend
within 30 days (excluding Saturdays, Sundays, and Federal holidays)
after his or her request was received by the Office of the FOIA
Services, may appeal to the Office of the General Counsel the adverse
determination.
    (1) Appeals must be received within 90 calendar days of the date of
the written denial of an inquiry or request and must be received no
later than 11:59 p.m., eastern time, on the 90th day.
    (2) The appeal should be in writing and should provide the assigned
request number, a copy of the original request, and the adverse
determination. The appeal should also explain why the requester
contends any adverse determination was in error. The requester may
state such facts and cite such legal or other authorities as the
requester may consider appropriate in support of the appeal. If only a
portion of the adverse determination is appealed, the requester should
specify which part is being appealed.
    (3) The appeal may be submitted by email ([email protected]) or online
at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester may alternatively submit an appeal by
mail to the Securities and Exchange Commission, Office of FOIA
Services, 100 F Street NE, Washington, DC 20549 or other mailing
address or facsimile number published on the Commission's website at
https://www.sec.gov/oso/help/foia-contact.html.

    (4) The Office of the General Counsel will endeavor to make a
determination with respect to an appeal within 30 days after the
receipt of such appeal (excluding Saturdays, Sundays, and Federal
holidays) unless, for good cause shown, the Office of the General
Counsel extends that period. If such an extension is made, the
individual who is appealing will be advised in writing of the
extension, the reasons therefor, and the anticipated date when the
appeal will be decided.
    (5) If the Office of the General Counsel concludes that an inquiry
or request for access, amendment or correction, or an accounting should
be granted, it will issue a decision granting the inquiry or request
and instructing the Office of FOIA Services to comply with Sec.
200.304(b), Sec.  200.306(c), or Sec.  200.307(c), as applicable.
    (6) If the Office of the General Counsel affirms the initial
decision denying an inquiry or request for access or an accounting, it
will issue a decision denying the inquiry or request and advising the
requester of:
    (i) The reasons for the denial; and
    (ii) The requester's right to obtain judicial review of the
decision pursuant to 5 U.S.C. 552a(g)(1)(B) or (g)(1)(D), as
applicable.
    (7) If the Office of the General Counsel determines that the
decision of the Office of FOIA Services denying a request for amendment
or correction should be upheld, it will issue a decision denying the
request and the individual will be advised of:
    (i) The decision refusing to amend or correct the record and the
reasons therefor;
    (ii) The requester's right to file a concise statement setting
forth his or her disagreement with the decision not to amend or correct
the record;
    (iii) The procedures for filing such a statement of disagreement;
    (iv) The fact that any such statement of disagreement will be made
available to anyone to whom the record is disclosed, together with, if
the Office of the General Counsel deems it appropriate, a brief
statement setting forth the Office of the General Counsel's reasons for
refusing to amend or correct;
    (v) The fact that prior recipients of the record in issue will be
provided with the statement of disagreement and the Office of the
General Counsel's statement, if any, to the extent that an accounting
of such disclosures has been maintained pursuant to 5 U.S.C. 552a(c);
and
    (vi) The requester's right to seek judicial review of the Office of
the General Counsel's refusal to amend or correct, pursuant to 5 U.S.C.
552a(g)(1)(A).
    (8) In appropriate cases the Office of the General Counsel may, in
its sole discretion, refer matters requiring administrative review of
initial decisions to the Commission for determination and the issuance,
where indicated, of decisions.
    (b) Statements of disagreement. As noted in paragraph (a)(6)(ii) of
this section, a requester may file a statement setting forth his or her
disagreement with the Office of the General Counsel's denial of the
request for amendment or correction.
    (1) Such statement of disagreement may be submitted by email
([email protected]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester who is not able to
submit a statement of disagreement by email or online may submit a
request by mail to the Securities and Exchange Commission, Office of
FOIA Services, 100 F Street NE, Washington, DC 20549 or other mailing
address or facsimile number published on the Commission's website at
https://www.sec.gov/oso/help/foia-contact.html. A requester must submit
a statement of disagreement within 30 days after receipt of the Office
of the General Counsel's decision denying the request for amendment or
correction. For good cause shown this period can be extended for a
reasonable time.
    (2) Statements of disagreement should be concise and must clearly
identify each part of any record that is disputed and state the basis
for the requester's disagreement. The Office of the General Counsel
will return unduly lengthy or irrelevant materials to the individual
for appropriate revisions before they become a permanent part of the
requester's record. Statements of disagreement will be placed in the
system of records in which the disputed record is maintained. The
disputed record will be marked to indicate that a statement of
disagreement has been filed and where in the system of records it may
be found.
    (3) If a requester has filed a statement of disagreement, the
Office of FOIA Services will append a copy of it to the disputed record
whenever the record is disclosed and may also append a concise
statement of its reason(s) for denying the request for amendment or
correction.
    (4) In appropriate cases, the Office of the General Counsel may, in
its sole discretion, refer matters concerning statements of
disagreement to the Commission for disposition.

Sec.  200.309  Fees.

    (a) The only fee to be charged to a requester under this part is
for the duplication of records to be disclosed to the requester. No fee
will be charged or collected for: search, retrieval, or review of
records; or duplication at the initiative of the Commission without a
request from the requester. Fees for duplication will be charged at
rates set forth on the FOIA web page of the Commission's website at
www.sec.gov. Fees for duplication include any costs incurred in making
records available on electronic storage devices.
    (b) With regard to requests for amendment or correction, the
Commission will provide the requester one copy of each record corrected
or amended pursuant to his or her request without charge as evidence of
the correction or amendment.
    (c) Whenever the Office of FOIA Services determines that good cause
exists to grant a request for reduction or waiver of fees for
duplication costs, it may reduce or waive any such fees.

Sec.  200.310  Specific exemptions.

    (a) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the following
systems of records maintained by the Commission are exempt from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I),
and (f), and Sec. Sec.  200.303, 200.305, and 200.307, insofar as they
contain investigatory materials compiled for law enforcement purposes:
    (1) Enforcement Files;
    (2) Office of the General Counsel Working Files;
    (3) Office of the Chief Accountant Working Files;
    (4) Correspondence Response System;
    (5) Tips, Complaints, and Referrals (TCR) Records; and
    (6) SEC Security in the Workplace Incident Records.
    (b) Pursuant to 5 U.S.C. 552a(k)(5), the systems of records
containing the Commission's Disciplinary and Adverse Actions, Employee
Conduct, and Labor Relations Files are exempt from 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f), and Sec. Sec.
200.303 through 200.309, insofar as they contain investigatory material
compiled to determine an individual's suitability, eligibility, and
qualifications for Federal civilian employment or access to classified
information, but only to the extent that the disclosure of such
material would reveal the identity of a source who furnished
information to the Government under an express promise that the
identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied

promise that the identity of the source would be held in confidence.

Sec.  200.311  Inspector General exemptions.

    (a) Pursuant to, and limited by 5 U.S.C. 552a(j)(2), the system of
records maintained by the Office of Inspector General of the Commission
that contains investigative files is exempt from the provisions of 5
U.S.C. 552a, except sections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (e)(7), (e)(9), (e)(10), and (e)(11), and (i), and
Sec. Sec.  200.303 through 200.309, insofar as the system contains
information pertaining to criminal law enforcement investigations.
    (b) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the system of
records maintained by the Office of Inspector General of the Commission
that contains investigative files is exempt from 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) and Sec. Sec.
200.303 through 200.309, insofar as it contains investigatory materials
compiled for law enforcement purposes.

Sec.  200.312  [Reserved]

    By the Commission.

    Dated: September 20, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023-20690 Filed 9-25-23; 8:45 am]
BILLING CODE 8011-01-P