Privacy Act of 1974; System of Records, 74550-74553 [2023-23981]

Download as PDF 74550 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices lotter on DSK11XQN23PROD with NOTICES1 therefore ensure that it can continue to clear and settle securities transactions. For example, as discussed above, the Proposed Rule Change would update the Policy to require ICE Clear Europe to maintain an inventory of scenarios for the purposes of scenario analysis and testing, which inventory would need to be reviewed on at least an annual basis in order to determine if the scenarios are still fit for purpose and if updates are required. These new requirements should help ensure that ICE Clear Europe personnel identify and maintain an appropriate inventory of scenarios, determine in a timely manner if updates to the inventory or scenarios are needed, and identify any gaps and necessary resolutions or updates to the inventory and scenarios sooner than what is currently required. Taken together, these enhancements to the Policy should enhance ICE Clear Europe’s operational resilience, which in turn should decrease the likelihood that operational incidents would disrupt its ability to promptly and accurately clear and settle securities transactions. Accordingly, the Commission finds that the Proposed Rule Change is consistent with Section 17A(b)(3)(F) of the Act.16 ii. Consistency With Rule 17Ad– 22(e)(2)(v) Rule 17Ad–22(e)(2)(v) require that ICE Clear Europe establish, implement, maintain, and enforce written policies and procedures reasonably designed to provide governance arrangements that, among other things, are clear and transparent and specify clear and direct lines of responsibility.17 As discussed above, the Proposed Rule Change would add new sections to the Policy addressing reviews, breach management, and exception handling. Among other things, the section addressing reviews would make the document owner responsible for ensuring that the Policy remains up-todate and is reviewed in accordance with ICE Clear Europe’s governance processes. Additionally, document reviews will be conducted by the document owner and signed off by the head of the department (or their delegate) and the Chief Risk Officer. These reviews would encompass, at a minimum, regulatory compliance; documentation and purpose; implementation; use; and, where appropriate, open items from previous validations or reviews. Under the new section covering breach management, the document owner also would be responsible for reporting material breaches or unapproved deviations from the Policy to their Head of Department, the Chief Risk Officer, and the Head of Regulation and Compliance (or, as applicable, their respective delegates). Under the new section addressing exception handling, exceptions to the Policy would need to be approved in accordance with ICE Clear Europe’s governance process for the approval of changes, and could only take effect after completion of all necessary internal and regulatory approvals. Additionally, the Proposed Rule Change would add a new section to the Policy on control validation and assessment, outlining that upon entry to the risk register or when a material change is made to a Key Control, ERM will confirm that validation of Key Controls is carried out. The Proposed Rule Change would also amend the Policy to state that validation may be verified directly by ERM or through ERM’s oversight of validations performed by the First Line. Taken together, these changes would help establish clear and direct responsibilities for the document owner of the Policy. Accordingly, the Commission finds that the Proposed Rule Change is consistent with Rule 17Ad–22(e)(2)(v).18 iii. Consistency With Rule 17Ad– 22(e)(17) Rule 17Ad–22(e)(17) requires that ICE Clear Europe establish, implement, maintain, and enforce written policies and procedures reasonably designed to manage its operational risks by, among other things, identifying the plausible sources of operational risk, both internal and external, and mitigating their impact through the use of appropriate systems, policies, procedures, and controls.19 By adding a requirement to maintain an inventory of scenarios for the purposes of scenario analysis and test and review those scenarios annually, the Proposed Rule Change would support ICE Clear Europe’s ability to identify plausible sources of operational risk, both internal and external, and mitigate their impact through the Policy, which supports Ice Clear Europe’s efforts to manage and mitigate its operational risks. Accordingly, the Commission finds that the Proposed Rule Change is consistent with Rule 17Ad–22(e)(17).20 18 17 CFR 240.17Ad–22(e)(2)(v). CFR 240.17Ad–22(e)(17). 20 17 CFR 240.17Ad–22(e)(17). 16 15 U.S.C. 78q–1(b)(3)(F). 17 17 CFR 240.17Ad–22(e)(2)(v). VerDate Sep<11>2014 17:18 Oct 30, 2023 19 17 Jkt 262001 PO 00000 Frm 00150 Fmt 4703 Sfmt 4703 IV. Conclusion On the basis of the foregoing, the Commission finds that the Proposed Rule Change, as modified by Amendment no. 1, is consistent with the requirements of the Act, and in particular, with the requirements of Section 17A(b)(3)(F) of the Act,21 and Rules 17Ad–22(e)(2)(v) and 17Ad– 22(e)(17) thereunder.22 It is therefore ordered pursuant to Section 19(b)(2) of the Act 23 that the Proposed Rule Change (SR–ICEEU– 2023–021) be, and hereby is, approved.24 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.25 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–23941 Filed 10–30–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. PA–61; File No. S7–19–23] Privacy Act of 1974; System of Records Securities and Exchange Commission. ACTION: Notice of a new system of records. AGENCY: The Securities and Exchange Commission (SEC) proposes to establish SEC–36, Harassment Prevention and Response Program Records under the Privacy Act of 1974. The information in the system concerns internal inquiries and/or investigations into allegations of harassment reported to SEC by applicants for employment, current and former SEC employees, fellows, interns, and individuals who conduct business with the SEC; and resolutions of allegations of workplace harassment. The Harassment Prevention and Response Program addresses harassment concerns that are raised separate and apart from harassment claims that may also be raised under the procedures for administrative equal employment opportunity complaints. DATES: The system of records will become effective October 31, 2023, with the exception of the routine uses, which will become effective November 30, SUMMARY: 21 15 U.S.C. 78q–1(b)(3)(F). CFR 240.17Ad–22(e)(2)(v) and (e)(17). 23 15 U.S.C. 78s(b)(2). 24 In approving the Proposed Rule Change, the Commission considered the proposal’s impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 25 17 CFR 200.30–3(a)(12). 22 17 E:\FR\FM\31OCN1.SGM 31OCN1 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 2023, to permit public comment on the routine uses. The Commission will publish a new notice if the effective date is delayed to review comments or if changes are made based on comments received. To assure consideration, comments should be received on or before November 30, 2023. ADDRESSES: Comments may be submitted by any of the following methods: lotter on DSK11XQN23PROD with NOTICES1 Electronic Comments • Use the Commission’s internet comment form (https://www.sec.gov/ comments/s7-19-23/privacy-act-1974system-records); or • Send an email to rule-comments@ sec.gov. Please include File Number S7– 19–23 on the subject line. Paper Comments • Send paper comments to Vanessa A. Countryman, Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File Number S7–19–23. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method of submission. The Commission will post all comments on the Commission’s website (https:// www.sec.gov/rules/2023/10/s7-19-23). Comments also are available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Operating conditions may limit access to the Commission’s Public Reference Room. Do not include personal identifiable information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. FOR FURTHER INFORMATION CONTACT: Ronnette McDaniel, Privacy and Information Assurance Branch Chief, 202–551–7200 or privacyhelp@sec.gov. SUPPLEMENTARY INFORMATION: The Harassment Prevention and Response Program strives to create a work environment that is respectful and inclusive for all in the SEC workplace and SEC sanctioned activities and events, including those outside of SEC facilities. The program provides a mechanism for SEC employees, fellows, interns, or individuals who conduct business with the SEC to report VerDate Sep<11>2014 17:18 Oct 30, 2023 Jkt 262001 allegations of harassment to the SEC. In order to intake, manage and track inquiries to a resolution the SEC is establishing SEC–36, Harassment Prevention and Response Program Records, under the Privacy Act. Records may include contact information of individuals involved in reports or allegations of harassment, statements of witnesses, exhibits, reports of interviews, findings and recommendations, close-out materials, documentation of any corrective action taken by management, and related correspondence. Information from this system of records will be collected, maintained, and disclosed in accordance with applicable law, regulations, and statutes, including but not limited to Prohibited Personnel Practices; Executive Order 11478, 34 FR 12985 (as amended by Executive Orders 13087, 13145 and 13152); Equal Employment Opportunity Commission Management Directive 715 (EEO–MD– 715); and Equal Employment Opportunity Commission, Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (June 18, 1999). SYSTEM NAME AND NUMBER SEC–36 Harassment Prevention and Response Program Records. SECURITY CLASSIFICATION: Non-classified. SYSTEM LOCATION: U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. SYSTEM MANAGER(S): Director, Office of Equal Employment Opportunity, 100 F Street NE, Washington, DC 20549. 74551 of the Genetic Information Nondiscrimination Act of 2008, 42 U.S.C. 2000ff et seq.; Equal Pay Act of 1963, 29 U.S.C. 206(d); Equal Employment Opportunity Commission Management Directive 715 (EEO–MD– 715); and Equal Employment Opportunity Commission, Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (June 18, 1999). PURPOSE(S) OF THE SYSTEM: The Harassment Prevention and Response Program system of records maintains records regarding allegations of workplace harassment. These records are maintained for the purpose of conducting internal inquiries and/or investigations into allegations of harassment reported to the SEC by applicants for employment, current and former SEC employees, fellows, interns, or individuals who conduct business with the SEC and resolving allegations of workplace harassment. The records contained in this system do not duplicate any existing agency or government-wide system of records, even though some of the documents might also appear in other systems of records maintained for other purposes. Particularly, records are not collected to advance claims of discrimination pursuant to processes outlined in title 29 CFR part 1614. Rather, these records are collected for administrative action relating to allegations of workplace harassment, including bases found in EEO laws and elsewhere. The agency policy and processes govern the collection and maintenance of these records to further the agency’s commitment to appropriately respond to allegations of workplace harassment. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Records Management by Federal Agencies, 44 U.S.C. 3101 et seq.; Civil Service Reform Act of 1978, 5 U.S.C. 2302(b), Prohibited Personnel Practices; Executive Order 11478, 34 FR 12985 (as amended by Executive Orders 13087, 13145 and 13152); title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e–16 et seq.; Age Discrimination in Employment Act of 1967, 29 U.S.C. 621 et seq.; Section 501 of the Rehabilitation Act of 1973, 29 U.S.C. 791; titles I and V of the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101 et seq., as amended by ADA the Amendments Act of 2008; Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002, Public Law 107–174, as amended by the Elijah E. Cummings Federal Employee Antidiscrimination Act of 2020; title II This system of records maintains information on individuals who have reported harassing conduct by or against SEC personnel and harassing conduct by or against non-SEC personnel to the program manager for prevention of harassment and response, in accordance with the agency’s administrative regulation relating to harassment prevention and response. Individuals covered include, but are not limited to applicants for SEC employment, current and former SEC employees, fellows, interns, and individuals who conduct business with the SEC. Covered individuals include those who report harassment concerns, provide information in support of harassment inquiries or investigations, or are witnesses or are otherwise contacted as part of the fact-finding process for PO 00000 Frm 00151 Fmt 4703 Sfmt 4703 E:\FR\FM\31OCN1.SGM 31OCN1 74552 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices inquiries, investigations, and reports relating to workplace harassment. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: CATEGORIES OF RECORDS IN THE SYSTEM: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: 1. To appropriate agencies, entities, and persons when (1) the SEC suspects or has confirmed that there has been a breach of the system of records; (2) the SEC has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the SEC (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm. 2. To another Federal agency or Federal entity, when the SEC determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach; or (2) 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. 3. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual. 4. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry. Such disclosure is permitted in connection with civil litigation only when it is relevant and necessary to the litigation. 5. To the National Archives and Records Administration (NARA) in records management inspections conducted under 44 U.S.C. 2904 and 2906, to permit the National Archivist to inspect SEC records or inspect the SEC records management program and practices. 6. To interns, grantees, experts, contractors, and others who have been The system contains all records related to a report of harassment received by the SEC through the harassment prevention and response program manager or through referrals from the Office of Equal Employment Opportunity, other SEC organizations necessary for the implementation of the SEC Harassment Prevention and Response Program (or its successor program), or management officials. The records may include contact information of individuals involved in reports or allegations of harassment, statements of witnesses, exhibits, reports of interviews, findings and recommendations, close-out materials, documentation of any corrective action taken by management, and related correspondence. The specific data elements found in these records may include names, positions, Social Security numbers, mailing addresses, email addresses, employment histories, employee evaluations, disciplinary actions, case-related communications and notes, and audit logs of user access and activities within the SEC Harassment Prevention and Response Program electronic databases maintained by the SEC. lotter on DSK11XQN23PROD with NOTICES1 RECORD SOURCE CATEGORIES: The SEC obtains information in this system from alleged targets of harassment, alleged harassers, witnesses, members of the public, other Federal agencies, and other individuals involved in the allegations. Some information, such as the alleged target’s or harasser’s name, personal identification number (PIN), employee identification number, position, and job location may be obtained from other SEC system of records as relevant and necessary to carry out the SEC’s function. Other record sources include documents related to reports of harassment to the SEC Harassment Prevention and Response Program staff or management; information obtained through correspondence, letters, telephone calls, emails, or any other form of communication; data obtained from investigative material and any information relevant to an investigation; materials and information gathered by staff in the performance of their duties; electronic databases maintained by the staff; other SEC files; and from individuals, including where practicable, those to whom the records relate. VerDate Sep<11>2014 17:18 Oct 30, 2023 Jkt 262001 PO 00000 Frm 00152 Fmt 4703 Sfmt 4703 engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a. 7. To Federal, State, local, and/or foreign law enforcement agencies or other appropriate entity charged with the responsibility of investigating or prosecuting a violation or potential violation of law, whether civil, criminal, or regulatory in nature. 8. To respond to subpoenas in any litigation or other proceeding. 9. To the U.S. Department of Justice (DOJ), when: (a) The SEC or any component thereof; or (b) Any SEC employee in his or her official capacity; or (c) Any SEC employee in his or her individual capacity that DOJ has agreed to represent; or (d) The United States or any agency thereof where the SEC determines the litigation is likely to affect the SEC or any of its components is a party to a litigated matter or has an interest in a litigated matter and the SEC determines that the use of such records by DOJ is relevant and necessary to the litigation. 10. In any proceeding before a court or adjudicative body before which the SEC is authorized to appear, when: (a) The SEC or any component thereof; or (b) Any SEC employee in his or her official capacity; or (c) Any SEC employee in his or her individual capacity; or (d) The United States or any agency thereof where the SEC determines the litigation is likely to affect the SEC or any of its components is a party to the proceeding or has an interest in the proceeding and SEC determines that the use of such records is relevant and necessary to the proceeding. 11. To provide information to the EEOC when requested in connection with investigations into alleged or possible discriminatory practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with Uniformed Guidelines on Employee Selection Procedures, or other functions vested in the EEOC. 12. To provide information to officials of labor organizations recognized under E:\FR\FM\31OCN1.SGM 31OCN1 Federal Register / Vol. 88, No. 209 / Tuesday, October 31, 2023 / Notices 5 U.S.C. chapter 71, when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting conditions of employment. POLICIES AND PRACTICE FOR STORAGE OF RECORDS: Records in this system of records are stored electronically or on paper in secure facilities. Electronic records are stored on the SEC’s secure network and/ or an SEC-approved cloud storage location. Access to and use of these records is limited to those persons whose official duties require such access. POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: These records are cross-indexed by the name of the individual who reports harassment, the name of the alleged target of harassment, if any, and the name of the alleged harasser. The records may be retrieved by any of the above three indexes and other indexes, as appropriate. POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: These records are maintained for three years after the report of harassment is closed and are then deleted or destroyed in accordance with NARA, General Records Schedule (GRS) 023, Item 40 and the SEC Comprehensive Records Schedule. Authorized staff follow the SEC’s records management procedures for safeguarding and disposing of records related to reports of harassment that have met their retention period. lotter on DSK11XQN23PROD with NOTICES1 ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: Access to SEC facilities, data centers, and information or information systems is limited to authorized personnel with official duties requiring access. SEC facilities are equipped with security cameras, and, at certain SEC facilities, 24-hour security guard service. Computerized records are safeguarded in a secured environment. Records are maintained in a secure, passwordprotected electronic system that will utilize commensurate safeguards that may include: firewalls, intrusion detection and prevention systems, and role-based access controls. Additional safeguards will vary by program. All records are protected from unauthorized access through appropriate administrative, operational, and technical safeguards. These safeguards include restricting access to authorized personnel who have a ‘‘need to know’’ and using locked file cabinets and/or locked offices or file rooms. Contractors VerDate Sep<11>2014 17:18 Oct 30, 2023 Jkt 262001 and other recipients providing services to the Commission shall be required to maintain equivalent safeguards. RECORDS ACCESS PROCEDURES: Persons seeking to gain access to any record contained in this system of records must submit a written request in accordance with instructions in SEC Privacy Act Regulations; 17 CFR 200.301 et seq. Address such request to: FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549– 2465. CONTESTING RECORD PROCEDURES: Persons seeking to contest the content of any record contained in this system of records may inquire in writing in accordance with instructions in SEC Privacy Act Regulations, 17 CFR 200.301 et seq. Address such requests to: FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549– 2736. NOTIFICATION PROCEDURES: See ‘‘Record Access Procedures’’ above. EXEMPTIONS PROMULGATED FOR THE: None. HISTORY: New SORN. By the Commission. Dated: October 26, 2023. Vanessa A. Countryman, Secretary. [FR Doc. 2023–23981 Filed 10–30–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–154, OMB Control No. 3235–0122] Submission for OMB Review; Comment Request; Extension: Rule 17a–10 Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information discussed below. The primary purpose of Rule 17a–10 is to obtain the economic and statistical PO 00000 Frm 00153 Fmt 4703 Sfmt 9990 74553 data necessary for an ongoing analysis of the securities industry. Paragraph (a)(1) of Rule 17a–10 generally requires broker-dealers that are exempt from the filing requirements of paragraph (a) of Exchange Act Rule 17a–5 (17 CFR 240.17a–5) to file with the Commission the Facing Page, a Statement of Income (Loss), and balance sheet from Part IIA of Form X–17A–5 1 (17 CFR 249.617), and Schedule I of Form X–17A–5 not later than 17 business days after the end of each calendar year. Paragraph (a)(2) of Rule 17a–10 requires a broker-dealer subject to paragraph (a) of Rule 17a–5 to submit Schedule I of Form X–17A–5 with its Form X–17A–5 for the calendar quarter ending December 31 of each year. Paragraph (b) of Rule 17a–10 provides that the provisions of paragraph (a) do not apply to members of national securities exchanges or registered national securities associations that maintain records containing the information required by Form X–17A–5 and which transmit to the Commission copies of the records pursuant to a plan which has been declared effective by the Commission. The Commission staff estimates that the total hour burden under Rule 17a– 10 is approximately 44,892 hours per year and the total cost burden is $0 per year. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information under the PRA unless it displays a currently valid OMB control number. The public may view background documentation for this information collection at the following website: www.reginfo.gov. Find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the search function. Written comments and recommendations for the proposed information collection should be sent by November 30, 2023 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Dated: October 26, 2023. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–23974 Filed 10–30–23; 8:45 am] BILLING CODE 8011–01–P 1 Form X–17A–5 is the Financial and Operational Combined Uniform Single Report (‘‘FOCUS Report’’), which is used by broker-dealers to provide certain required information to the Commission. E:\FR\FM\31OCN1.SGM 31OCN1

Agencies

[Federal Register Volume 88, Number 209 (Tuesday, October 31, 2023)]
[Notices]
[Pages 74550-74553]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-23981]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-61; File No. S7-19-23]


Privacy Act of 1974; System of Records

AGENCY: Securities and Exchange Commission.

ACTION: Notice of a new system of records.

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

SUMMARY: The Securities and Exchange Commission (SEC) proposes to 
establish SEC-36, Harassment Prevention and Response Program Records 
under the Privacy Act of 1974. The information in the system concerns 
internal inquiries and/or investigations into allegations of harassment 
reported to SEC by applicants for employment, current and former SEC 
employees, fellows, interns, and individuals who conduct business with 
the SEC; and resolutions of allegations of workplace harassment. The 
Harassment Prevention and Response Program addresses harassment 
concerns that are raised separate and apart from harassment claims that 
may also be raised under the procedures for administrative equal 
employment opportunity complaints.

DATES: The system of records will become effective October 31, 2023, 
with the exception of the routine uses, which will become effective 
November 30,

[[Page 74551]]

2023, to permit public comment on the routine uses. The Commission will 
publish a new notice if the effective date is delayed to review 
comments or if changes are made based on comments received. To assure 
consideration, comments should be received on or before November 30, 
2023.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (https://www.sec.gov/comments/s7-19-23/privacy-act-1974-system-records); or
     Send an email to [email protected]. Please include 
File Number S7-19-23 on the subject line.

Paper Comments

     Send paper comments to Vanessa A. Countryman, Secretary, 
U.S. Securities and Exchange Commission, 100 F Street NE, Washington, 
DC 20549-1090.

All submissions should refer to File Number S7-19-23. This file number 
should be included on the subject line if email is used. To help the 
Commission process and review your comments more efficiently, please 
use only one method of submission. The Commission will post all 
comments on the Commission's website (https://www.sec.gov/rules/2023/10/s7-19-23). Comments also are available for website viewing and 
printing in the Commission's Public Reference Room, 100 F Street NE, 
Washington, DC 20549, on official business days between the hours of 10 
a.m. and 3 p.m. Operating conditions may limit access to the 
Commission's Public Reference Room. Do not include personal 
identifiable information in submissions; you should submit only 
information that you wish to make available publicly. We may redact in 
part or withhold entirely from publication submitted material that is 
obscene or subject to copyright protection.

FOR FURTHER INFORMATION CONTACT: Ronnette McDaniel, Privacy and 
Information Assurance Branch Chief, 202-551-7200 or 
[email protected].

SUPPLEMENTARY INFORMATION: The Harassment Prevention and Response 
Program strives to create a work environment that is respectful and 
inclusive for all in the SEC workplace and SEC sanctioned activities 
and events, including those outside of SEC facilities. The program 
provides a mechanism for SEC employees, fellows, interns, or 
individuals who conduct business with the SEC to report allegations of 
harassment to the SEC. In order to intake, manage and track inquiries 
to a resolution the SEC is establishing SEC-36, Harassment Prevention 
and Response Program Records, under the Privacy Act. Records may 
include contact information of individuals involved in reports or 
allegations of harassment, statements of witnesses, exhibits, reports 
of interviews, findings and recommendations, close-out materials, 
documentation of any corrective action taken by management, and related 
correspondence. Information from this system of records will be 
collected, maintained, and disclosed in accordance with applicable law, 
regulations, and statutes, including but not limited to Prohibited 
Personnel Practices; Executive Order 11478, 34 FR 12985 (as amended by 
Executive Orders 13087, 13145 and 13152); Equal Employment Opportunity 
Commission Management Directive 715 (EEO-MD-715); and Equal Employment 
Opportunity Commission, Enforcement Guidance on Vicarious Employer 
Liability for Unlawful Harassment by Supervisors (June 18, 1999).

SYSTEM NAME AND NUMBER
    SEC-36 Harassment Prevention and Response Program Records.

SECURITY CLASSIFICATION:
    Non-classified.

SYSTEM LOCATION:
    U.S. Securities and Exchange Commission, 100 F Street NE, 
Washington, DC 20549.

SYSTEM MANAGER(S):
    Director, Office of Equal Employment Opportunity, 100 F Street NE, 
Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Records Management by Federal Agencies, 44 U.S.C. 3101 et seq.; 
Civil Service Reform Act of 1978, 5 U.S.C. 2302(b), Prohibited 
Personnel Practices; Executive Order 11478, 34 FR 12985 (as amended by 
Executive Orders 13087, 13145 and 13152); title VII of the Civil Rights 
Act of 1964, 42 U.S.C. 2000e-16 et seq.; Age Discrimination in 
Employment Act of 1967, 29 U.S.C. 621 et seq.; Section 501 of the 
Rehabilitation Act of 1973, 29 U.S.C. 791; titles I and V of the 
Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101 et seq., 
as amended by ADA the Amendments Act of 2008; Notification and Federal 
Employee Antidiscrimination and Retaliation Act of 2002, Public Law 
107-174, as amended by the Elijah E. Cummings Federal Employee 
Antidiscrimination Act of 2020; title II of the Genetic Information 
Nondiscrimination Act of 2008, 42 U.S.C. 2000ff et seq.; Equal Pay Act 
of 1963, 29 U.S.C. 206(d); Equal Employment Opportunity Commission 
Management Directive 715 (EEO-MD-715); and Equal Employment Opportunity 
Commission, Enforcement Guidance on Vicarious Employer Liability for 
Unlawful Harassment by Supervisors (June 18, 1999).

PURPOSE(S) OF THE SYSTEM:
    The Harassment Prevention and Response Program system of records 
maintains records regarding allegations of workplace harassment. These 
records are maintained for the purpose of conducting internal inquiries 
and/or investigations into allegations of harassment reported to the 
SEC by applicants for employment, current and former SEC employees, 
fellows, interns, or individuals who conduct business with the SEC and 
resolving allegations of workplace harassment. The records contained in 
this system do not duplicate any existing agency or government-wide 
system of records, even though some of the documents might also appear 
in other systems of records maintained for other purposes. 
Particularly, records are not collected to advance claims of 
discrimination pursuant to processes outlined in title 29 CFR part 
1614. Rather, these records are collected for administrative action 
relating to allegations of workplace harassment, including bases found 
in EEO laws and elsewhere. The agency policy and processes govern the 
collection and maintenance of these records to further the agency's 
commitment to appropriately respond to allegations of workplace 
harassment.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records maintains information on individuals who 
have reported harassing conduct by or against SEC personnel and 
harassing conduct by or against non-SEC personnel to the program 
manager for prevention of harassment and response, in accordance with 
the agency's administrative regulation relating to harassment 
prevention and response. Individuals covered include, but are not 
limited to applicants for SEC employment, current and former SEC 
employees, fellows, interns, and individuals who conduct business with 
the SEC. Covered individuals include those who report harassment 
concerns, provide information in support of harassment inquiries or 
investigations, or are witnesses or are otherwise contacted as part of 
the fact-finding process for

[[Page 74552]]

inquiries, investigations, and reports relating to workplace 
harassment.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains all records related to a report of harassment 
received by the SEC through the harassment prevention and response 
program manager or through referrals from the Office of Equal 
Employment Opportunity, other SEC organizations necessary for the 
implementation of the SEC Harassment Prevention and Response Program 
(or its successor program), or management officials. The records may 
include contact information of individuals involved in reports or 
allegations of harassment, statements of witnesses, exhibits, reports 
of interviews, findings and recommendations, close-out materials, 
documentation of any corrective action taken by management, and related 
correspondence. The specific data elements found in these records may 
include names, positions, Social Security numbers, mailing addresses, 
email addresses, employment histories, employee evaluations, 
disciplinary actions, case-related communications and notes, and audit 
logs of user access and activities within the SEC Harassment Prevention 
and Response Program electronic databases maintained by the SEC.

RECORD SOURCE CATEGORIES:
    The SEC obtains information in this system from alleged targets of 
harassment, alleged harassers, witnesses, members of the public, other 
Federal agencies, and other individuals involved in the allegations. 
Some information, such as the alleged target's or harasser's name, 
personal identification number (PIN), employee identification number, 
position, and job location may be obtained from other SEC system of 
records as relevant and necessary to carry out the SEC's function. 
Other record sources include documents related to reports of harassment 
to the SEC Harassment Prevention and Response Program staff or 
management; information obtained through correspondence, letters, 
telephone calls, emails, or any other form of communication; data 
obtained from investigative material and any information relevant to an 
investigation; materials and information gathered by staff in the 
performance of their duties; electronic databases maintained by the 
staff; other SEC files; and from individuals, including where 
practicable, those to whom the records relate.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, these records or information contained 
therein may specifically be disclosed outside the Commission as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC 
suspects or has confirmed that there has been a breach of the system of 
records; (2) the SEC has determined that as a result of the suspected 
or confirmed breach there is a risk of harm to individuals, the SEC 
(including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with the SEC's efforts to respond to the suspected 
or confirmed breach or to prevent, minimize, or remedy such harm.
    2. To another Federal agency or Federal entity, when the SEC 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach; or (2) 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.
    3. To a Congressional office from the record of an individual in 
response to an inquiry from the Congressional office made at the 
request of that individual.
    4. To any persons during the course of any inquiry, examination, or 
investigation conducted by the SEC's staff, or in connection with civil 
litigation, if the staff has reason to believe that the person to whom 
the record is disclosed may have further information about the matters 
related therein, and those matters appeared to be relevant at the time 
to the subject matter of the inquiry. Such disclosure is permitted in 
connection with civil litigation only when it is relevant and necessary 
to the litigation.
    5. To the National Archives and Records Administration (NARA) in 
records management inspections conducted under 44 U.S.C. 2904 and 2906, 
to permit the National Archivist to inspect SEC records or inspect the 
SEC records management program and practices.
    6. To interns, grantees, experts, contractors, and others who have 
been engaged by the Commission to assist in the performance of a 
service related to this system of records and who need access to the 
records for the purpose of assisting the Commission in the efficient 
administration of its programs, including by performing clerical, 
stenographic, or data analysis functions, or by reproduction of records 
by electronic or other means. Recipients of these records shall be 
required to comply with the requirements of the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a.
    7. To Federal, State, local, and/or foreign law enforcement 
agencies or other appropriate entity charged with the responsibility of 
investigating or prosecuting a violation or potential violation of law, 
whether civil, criminal, or regulatory in nature.
    8. To respond to subpoenas in any litigation or other proceeding.
    9. To the U.S. Department of Justice (DOJ), when:
    (a) The SEC or any component thereof; or
    (b) Any SEC employee in his or her official capacity; or
    (c) Any SEC employee in his or her individual capacity that DOJ has 
agreed to represent; or
    (d) The United States or any agency thereof where the SEC 
determines the litigation is likely to affect the SEC or any of its 
components is a party to a litigated matter or has an interest in a 
litigated matter and the SEC determines that the use of such records by 
DOJ is relevant and necessary to the litigation.
    10. In any proceeding before a court or adjudicative body before 
which the SEC is authorized to appear, when:
    (a) The SEC or any component thereof; or
    (b) Any SEC employee in his or her official capacity; or
    (c) Any SEC employee in his or her individual capacity; or
    (d) The United States or any agency thereof where the SEC 
determines the litigation is likely to affect the SEC or any of its 
components is a party to the proceeding or has an interest in the 
proceeding and SEC determines that the use of such records is relevant 
and necessary to the proceeding.
    11. To provide information to the EEOC when requested in connection 
with investigations into alleged or possible discriminatory practices 
in the Federal sector, examination of Federal affirmative employment 
programs, compliance by Federal agencies with Uniformed Guidelines on 
Employee Selection Procedures, or other functions vested in the EEOC.
    12. To provide information to officials of labor organizations 
recognized under

[[Page 74553]]

5 U.S.C. chapter 71, when relevant and necessary to their duties of 
exclusive representation concerning personnel policies, practices, and 
matters affecting conditions of employment.

POLICIES AND PRACTICE FOR STORAGE OF RECORDS:
    Records in this system of records are stored electronically or on 
paper in secure facilities. Electronic records are stored on the SEC's 
secure network and/or an SEC-approved cloud storage location. Access to 
and use of these records is limited to those persons whose official 
duties require such access.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    These records are cross-indexed by the name of the individual who 
reports harassment, the name of the alleged target of harassment, if 
any, and the name of the alleged harasser. The records may be retrieved 
by any of the above three indexes and other indexes, as appropriate.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records are maintained for three years after the report of 
harassment is closed and are then deleted or destroyed in accordance 
with NARA, General Records Schedule (GRS) 023, Item 40 and the SEC 
Comprehensive Records Schedule. Authorized staff follow the SEC's 
records management procedures for safeguarding and disposing of records 
related to reports of harassment that have met their retention period.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or 
information systems is limited to authorized personnel with official 
duties requiring access. SEC facilities are equipped with security 
cameras, and, at certain SEC facilities, 24-hour security guard 
service. Computerized records are safeguarded in a secured environment. 
Records are maintained in a secure, password-protected electronic 
system that will utilize commensurate safeguards that may include: 
firewalls, intrusion detection and prevention systems, and role-based 
access controls. Additional safeguards will vary by program. All 
records are protected from unauthorized access through appropriate 
administrative, operational, and technical safeguards. These safeguards 
include restricting access to authorized personnel who have a ``need to 
know'' and using locked file cabinets and/or locked offices or file 
rooms. Contractors and other recipients providing services to the 
Commission shall be required to maintain equivalent safeguards.

RECORDS ACCESS PROCEDURES:
    Persons seeking to gain access to any record contained in this 
system of records must submit a written request in accordance with 
instructions in SEC Privacy Act Regulations; 17 CFR 200.301 et seq. 
Address such request to: FOIA/PA Officer, Securities and Exchange 
Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549-2465.

CONTESTING RECORD PROCEDURES:
    Persons seeking to contest the content of any record contained in 
this system of records may inquire in writing in accordance with 
instructions in SEC Privacy Act Regulations, 17 CFR 200.301 et seq. 
Address such requests to: FOIA/PA Officer, Securities and Exchange 
Commission, 100 F Street NE, Mail Stop 5100, Washington, DC 20549-2736.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE:
    None.

HISTORY:
    New SORN.

    By the Commission.

    Dated: October 26, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023-23981 Filed 10-30-23; 8:45 am]
BILLING CODE 8011-01-P
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