Federal Register / Vol. 87, No. 56 / Wednesday, March 23, 2022 / Notices 16539 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 93037 

(Sept. 16, 2021), 86 FR 52719 (Sept. 22, 2021) (SR– 

NYSE–2021–44) (‘‘Notice’’). 

4 15 U.S.C. 78s(b)(2). 

5See Securities Exchange Act Release No. 93488 

(Nov. 1, 2021), 86 FR 61352 (Nov. 5, 2021). 

6See Anonymous Letter (Sept. 27, 2021); Letter 

to J. Matthew DeLesDernier, Assistant Secretary, 

Commission, from Richard Grant, General Counsel, 

GTS Securities, LLC (Mar. 16, 2022). 

7 15 U.S.C. 78s(b)(2)(B). 

8See Securities Exchange Act Release No. 93809 

(Dec. 17, 2021), 86 FR 73060 (Dec. 23, 2021). 

9 15 U.S.C. 78s(b)(2). 

10See Notice, supra note 3. 

11 15 U.S.C. 78s(b)(2). 

12 17 CFR 200.30–3(a)(57). 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

annual burden associated with Rule 

15c3–4 for the 16 respondents (nine 

OTC derivatives dealers, six ANC firms, 

and five SBSDs) will be approximately 

6,533 hours per year. 

The records required to be made 

pursuant to the Rule and the results of 

the periodic reviews conducted under 

paragraph (d) of Rule 15c3–4 must be 

preserved under Rule 17a–4 of the 

Exchange Act (17 CFR 240.17a–4) for a 

period of not less than three years, the 

first two years in an easily accessible 

place. The Commission will not 

generally publish or make available to 

any person notices or reports received 

pursuant to the Rule. The statutory basis 

for the Commission’s refusal to disclose 

such information to the public is the 

exemption contained in section (b)(4) of 

the Freedom of Information Act (5 

U.S.C. 552), which essentially provides 

that the requirement of public 

dissemination does not apply to 

commercial or financial information 

which is privileged or confidential. 

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 

within 30 days of publication of this 

notice 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: March 18, 2022. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–06151 Filed 3–22–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94457; File No. SR–NYSE– 

2021–44] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Designation of a Longer Period for 

Commission Action on Proceedings To 

Determine Whether To Approve or 

Disapprove a Proposed Rule Change 

To Amend Rules 7.31, 7.35, 7.35B, 

7.35C, 98, and 104 Relating to the 

Closing Auction 

March 17, 2022. 

On September 3, 2021, New York 

Stock Exchange LLC (‘‘NYSE’’ or 

‘‘Exchange’’) filed with the Securities 

and Exchange Commission 

(‘‘Commission’’) pursuant to Section 

19(b)(1) of the Securities Exchange Act 

of 1934 (‘‘Act’’) 1 and Rule 19b–4 

thereunder,2 a proposed rule change to 

amend Rules 7.31 (Orders and 

Modifiers), 7.35 (General), 7.35B (DMMFacilitated Closing Auctions), 7.35C 

(Exchange-Facilitated Auctions), 98 

(Operation of a DMM Unit), and 104 

(Dealings and Responsibilities of 

DMMs) relating to the Closing Auction. 

The proposed rule change was 

published for comment in the Federal 

Register on September 22, 2021.3 On 

November 1, 2021, pursuant to Section 

19(b)(2) of the Act,4 the Commission 

extended the time period within which 

to approve the proposed rule change, 

disapprove the proposed rule change, or 

institute proceedings to determine 

whether to approve or disapprove the 

proposed rule change to December 21, 

2021.5 The Commission has received 

two comment letters on the proposal.6

On December 17, 2021, the Commission 

instituted proceedings under Section 

19(b)(2)(B) of the Act 7 to determine 

whether to approve or disapprove the 

proposed rule change.8

Section 19(b)(2) of the Act 9 provides 

that, after initiating proceedings, the 

Commission shall issue an order 

approving or disapproving the proposed 

rule change not later than 180 days after 

the date of publication of notice of filing 

of the proposed rule change. The 

Commission may, however, extend the 

period for issuing an order approving or 

disapproving the proposed rule change 

by not more than 60 days if the 

Commission determines that a longer 

period is appropriate and publishes the 

reasons for such determination. The 

proposed rule change was published for 

comment in the Federal Register on 

September 22, 2021.10 The 180th day 

after publication of the proposed rule 

change is March 21, 2022. 

The Commission finds that it is 

appropriate to designate a longer period 

within which to issue an order 

approving or disapproving the proposed 

rule change so that it has sufficient time 

to consider the proposed rule change. 

The Commission is extending the time 

period for approving or disapproving 

the proposed rule change for an 

additional 60 days. 

Accordingly, the Commission, 

pursuant to Section 19(b)(2) of the 

Act,11 designates May 20, 2022, as the 

date by which the Commission shall 

either approve or disapprove the 

proposed rule change (File Number SR– 

NYSE–2021–44). 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.12

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–06105 Filed 3–22–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94445; File No. SR–ISE– 

2022–08] 

Self-Regulatory Organizations; Nasdaq 

ISE, LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Harmonize Various 

Processes Under Options 3, Section 20 

Across the Affiliated Nasdaq Options 

Exchanges 

March 17, 2022. 

Pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 19b–4 thereunder,2

notice is hereby given that on March 8, 

2022, Nasdaq ISE, LLC (‘‘ISE’’ or 

‘‘Exchange’’) filed with the Securities 

and Exchange Commission (‘‘SEC’’ or 

‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 


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16540 Federal Register / Vol. 87, No. 56 / Wednesday, March 23, 2022 / Notices 

3 See Phlx Options 3, Section 20(l). 

4 See Phlx Options 3, Section 20(l) for analogous 

language. 

5 See Phlx Options 3, Section 20(l). The Nasdaq 

Options Market (‘‘NOM’’) and BX Options (‘‘BX’’) 

also have identical $500 Appeal Fees. See NOM and 

BX Options 3, Section 20(k)(4). 

6 For purposes of Options 3, Section 20, an 

Official is an Officer of the Exchange or such other 

employee designee of the Exchange that is trained 

in the application of this Rule. See Options 3, 

Section 20(a)(3). 

7 See Securities Exchange Act Release No. 44376 

(June 1, 2001), 66 FR 30772 (June 7, 2001) (SR–ISE– 

00–19). 

8 See Securities Exchange Act Release No. 74896 

(May 7, 2015), 80 FR 27373 (May 13, 2015) (SR– 

ISE–2015–18). 

9 In particular, the Exchange proposes to update 

the following subparagraphs in Options 3, Section 

20: (c)(2), (d)(2), (g), (h), (i), (l)(1)(A), (l)(1)(B), 

(l)(1)(C), and (l)(2)(A). The Exchange also proposes 

to update Supplementary Material .03 to Options 3, 

Section 20. 

10 See BX, NOM, and Phlx Options 3, Section 20. 

11 15 U.S.C. 78f(b). 

12 15 U.S.C. 78f(b)(5). 

III, below, which Items have been 

prepared by the Exchange. The 

Commission is publishing this notice to 

solicit comments on the proposed rule 

change from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes Exhibit I 

Caption—Harmonize various processes 

under Options 3, Section 20 across the 

affiliated Nasdaq options exchanges. 

The text of the proposed rule change 

is available on the Exchange’s website at 

https://listingcenter.nasdaq.com/ 

rulebook/ise/rules, at the principal 

office of the Exchange, and at the 

Commission’s Public Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

Exchange included statements 

concerning the purpose of and basis for 

the proposed rule change and discussed 

any comments it received on the 

proposed rule change. The text of these 

statements may be examined at the 

places specified in Item IV below. The 

Exchange has prepared summaries, set 

forth in sections A, B, and C below, of 

the most significant aspects of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes to harmonize 

its existing processes with those of its 

affiliate Nasdaq Phlx LLC (‘‘Phlx’’) 

concerning the review of decisions on 

appeal under Options 3, Section 20. The 

Exchange also proposes a number of 

non-substantive changes. Each change is 

discussed in detail below. 

Appeal 

Today, Options 3, Section 20(k) 

governs the appeal process for 

determinations by Exchange staff made 

under this Rule, including obvious error 

determinations. Specifically, if a 

Member affected by a determination 

under this Rule so requests within the 

permitted time period, an Exchange 

Review Council panel will review 

decisions made by the Official under 

Options 3, Section 20, including 

whether an obvious error occurred and 

whether the correct determination was 

made. A request for review on appeal 

must be made in writing via email or 

other electronic means specified from 

time to time by the Exchange in an 

Options Trader Alert distributed to 

Members within thirty (30) minutes 

after the party making the appeal is 

given notification of the initial 

determination being appealed. The 

Exchange Review Council panel shall 

review the facts and render a decision 

as soon as practicable, but generally on 

the same trading day as the execution(s) 

under review. On requests for appeal 

received after 3:00 p.m. Eastern Time, a 

decision will be rendered as soon as 

practicable, but in no case later than the 

trading day following the date of the 

execution under review. Furthermore, if 

the Exchange Review Council panel 

votes to uphold the decision made 

under this Rule, the Exchange will 

assess a fee (‘‘Appeal Fee’’) of $5,000 

against the Member(s) who initiated the 

request for appeal. 

The Exchange proposes generally to 

maintain its current appeal process with 

certain adjustments to harmonize its 

process with that of its affiliate, Phlx. 

First, while Phlx similarly requires the 

parties to submit a request for review 

within thirty (30) minutes of being 

notified of the determination being 

appealed, Phlx also provides parties 

with additional time to submit their 

request if the notification occurs later in 

the trading day. In particular, if the 

notification is made after 3:30 p.m. 

Eastern Time, either party has until 9:30 

a.m. Eastern Time on the next trading 

day to submit a request for review.3

Similar to Phlx, the Exchange believes 

that this flexibility will be helpful for 

Members in submitting their appeal 

requests in a timely manner, 

particularly where notification of the 

Official’s decision was received later in 

the trading day, and therefore proposes 

to adopt this provision in Options 3, 

Section 20(k)(2). 

Second, the Exchange proposes to 

amend its provisions for when the 

Exchange Review Council panel must 

render a decision on requests for appeal 

by harmonizing to Phlx’s process. 

Specifically, the Exchange proposes in 

Options 3, Section 20(k)(2) that the 

Exchange Review Council panel shall 

review the facts and render a decision 

on the day of the transaction, or the next 

trade day in the case where a request is 

properly made after 3:30 p.m. on the 

day of the transaction or where the 

request is properly made the next trade 

day.4 The proposed language modifies 

the current process by extending the 

current cutoff time from 3:00 to 3:30 

p.m. Eastern Time for the Exchange 

Review Council panel to render a 

decision on the next trading day, and by 

accommodating situations where parties 

properly bring an appeal request on the 

next trading day. 

Third, the Exchange proposes to 

decrease the Appeal Fee from $5,000 to 

$500 to align to Phlx’s Appeal Fee.5

Non-Substantive Changes 

In Options 3, Section 20(b)(1), the 

Exchange proposes a non-substantive, 

clarifying change to replace the 

reference to ‘‘opening rotation’’ to 

‘‘Opening Process,’’ and specify that the 

Opening Process is defined in Options 

3, Section 8. The Exchange also 

proposes non-substantive changes to 

replace references to ‘‘Market Control’’ 

with ‘‘Official’’ 6 throughout Options 3, 

Section 20. At the time of adoption, the 

term Market Control referred to 

designated personnel in the Exchange’s 

market control center that were 

responsible for administering the 

provisions of the Rule.7 The Exchange 

has since updated the terminology for 

such personnel as Officials,8 and 

therefore proposes to update the old 

references accordingly.9 The Exchange 

notes that its affiliated options 

exchanges similarly reference Officials 

as the persons responsible for 

administering their obvious error 

rules.10

2. Statutory Basis 

The Exchange believes that its 

proposal is consistent with Section 6(b) 

of the Act,11 in general, and furthers the 

objectives of Section 6(b)(5) of the Act,12

in particular, in that it is designed to 

promote just and equitable principles of 

trade, to remove impediments to and 

perfect the mechanism of a free and 

open market and a national market 

system, and, in general to protect 

investors and the public interest and 

because it is not designed to permit 


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Federal Register / Vol. 87, No. 56 / Wednesday, March 23, 2022 / Notices 16541 

13 See supra note 5. 

14 See, e.g., Cboe BZX Exchange Rule 20.6(l)(5) 

and MIAX Options Exchange Rule 521(l)(2). 

15 15 U.S.C. 78s(b)(3)(A)(iii). 

16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6) requires a self-regulatory organization to give 

the Commission written notice of its intent to file 

the proposed rule change at least five business days 

prior to the date of filing of the proposed rule 

change, or such shorter time as designated by the 

Commission. The Exchange has satisfied this 

requirement. 

unfair discrimination between 

customers, issuers, brokers, or dealers. 

The Exchange further believes that its 

proposal to amend the current appeal 

process to harmonize with Phlx’s appeal 

process is consistent with the Act 

because it will continue to afford 

Members with due process in 

connection with decisions made by 

Officials under Options 3, Section 20 

that the Member may feel warrants 

review. As discussed above, the 

proposal would allow either party until 

9:30 a.m. the next trading to submit a 

request for review if notification is made 

after 3:30 p.m., which the Exchange 

believes will be helpful for Members in 

submitting their appeal requests in a 

timely manner. Furthermore, the 

proposal provides the Exchange Review 

Council panel additional time and 

flexibility to render decisions on 

requests for appeal in cases where a 

request is properly made after 3:30 p.m. 

on the day of the transaction or where 

the request is properly made the next 

trade day, and is designed to reduce 

administrative burden on the Exchange. 

As it relates to the Appeal Fee, the 

Exchange believes that the proposed 

reduction of the fee from $5,000 to $500 

is reasonable, equitable and not unfairly 

discriminatory because it aligns to the 

Appeal Fee assessed by its affiliates 13

and by other options exchanges,14 and 

will be applied uniformly to all 

Members. 

Ultimately, the proposed changes to 

the appeal process are intended to align 

certain time frames and the Appeal Fee 

with those of its affiliates in order to 

provide more consistent rules and 

procedures across the affiliated options 

exchanges owned by Nasdaq, Inc. 

Consistent rules and procedures, in 

turn, would simplify and streamline the 

regulatory requirements and increase 

the understanding of the Exchange’s 

operations for Members of the Exchange 

that are also members on the Exchange’s 

affiliated options exchanges. Greater 

harmonization across the affiliated 

options exchanges will result in greater 

uniformity, rules that are easier to 

follow and understand, and more 

efficient regulatory compliance, thereby 

contributing to the protection of 

investors and the public interest. As 

such, the proposed rule change would 

foster cooperation and coordination 

with persons engaged in facilitating 

transactions in securities and would 

remove impediments to and perfect the 

mechanism of a free and open market 

and a national market system. 

Lastly, the Exchange believes that the 

proposed non-substantive changes to 

replace all instances of Market Control 

with Official, and to replace opening 

rotation with Opening Process, will add 

clarity, transparency, and consistency to 

the Exchange’s rules. The Exchange 

believes that market participants would 

benefit from the increased clarity, 

thereby reducing potential confusion, 

and ensuring that market participants 

and investors can more easily navigate 

and understand the Exchange’s rules. 

For these reasons, the Exchange 

believes that the proposal is consistent 

with the Act. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on competition not 

necessary or appropriate in furtherance 

of the purposes of the Act. The changes 

are designed to provide greater 

harmonization among similar rules and 

processes across the Exchange’s 

affiliated options exchanges, resulting in 

more efficient regulatory compliance for 

common members. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were either 

solicited or received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Because the foregoing proposed rule 

change does not: (i) Significantly affect 

the protection of investors or the public 

interest; (ii) impose any significant 

burden on competition; and (iii) become 

operative for 30 days from the date on 

which it was filed, or such shorter time 

as the Commission may designate, it has 

become effective pursuant to Section 

19(b)(3)(A)(iii) of the Act 15 and 

subparagraph (f)(6) of Rule 19b–4 

thereunder.16

At any time within 60 days of the 

filing of the proposed rule change, the 

Commission summarily may 

temporarily suspend such rule change if 

it appears to the Commission that such 

action is necessary or appropriate in the 

public interest, for the protection of 

investors, or otherwise in furtherance of 

the purposes of the Act. If the 

Commission takes such action, the 

Commission shall institute proceedings 

to determine whether the proposed rule 

should be approved or disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 

ISE–2022–08 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Secretary, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–1090. 

All submissions should refer to File 

Number SR–ISE–2022–08. 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. The Commission will 

post all comments on the Commission’s 

internet website (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change between the 

Commission and any person, other than 

those that may be withheld from the 

public in accordance with the 

provisions of 5 U.S.C. 552, will be 

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 

10:00 a.m. and 3:00 p.m. Copies of the 

filing also will be available for 

inspection and copying at the principal 

office of the Exchange. All comments 

received will be posted without change. 

Persons submitting comments are 

cautioned that we do not redact or edit 

personal identifying information from 

comment submissions. 

You should submit only information 

that you wish to make available 

publicly. All submissions should refer 

to File Number SR–ISE–2022–08 and 

should be submitted on or before April 

13, 2022. 


jspears on DSK121TN23PROD with NOTICES1
16542 Federal Register / Vol. 87, No. 56 / Wednesday, March 23, 2022 / Notices 

17 17 CFR 200.30–3(a)(12). 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.17

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–06100 Filed 3–22–22; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice: 11688] 

Privacy Act of 1974; System of 

Records 

ACTION: Notice of a modified system of 

records. 

SUMMARY: The information in this 

system of records, Risk Analysis and 

Management Records, supports the 

vetting of directors, officers, or other 

employees of organizations who apply 

for Department of State contracts, 

grants, cooperative agreements, or other 

funding; and individuals who may 

benefit from such funding. The 

information collected from these 

organizations and individuals is 

specifically used to conduct screening 

to ensure that Department funds are not 

used to provide support to entities or 

individuals deemed to be a risk to U.S. 

national security interests. 

DATES: In accordance with 5 U.S.C. 

552a(e)(4) and (11), this system of 

records notice is effective upon 

publication, with the exception of the 

routine uses (a), (b), (c), (d), and (e) that 

are subject to a 30-day period during 

which interested persons may submit 

comments to the Department. Please 

submit any comments by April 22, 2022. 

ADDRESSES: Questions can be submitted 

by mail, email, or by calling Eric F. 

Stein, the Senior Agency Official for 

Privacy on (202) 485–2051. If mail, 

please write to: U.S Department of State; 

Office of Global Information Systems, 

A/GIS; Room 1417, 2201 C St. NW, 

Washington, DC 20520. If email, please 

address the email to the Senior Agency 

Official for Privacy, Eric F. Stein, at 

Privacy@state.gov. Please write ‘‘Risk 

Analysis and Management Records, 

State–78’’ on the envelope or the subject 

line of your email. 

FOR FURTHER INFORMATION CONTACT: Eric 

F. Stein, Senior Agency Official for 

Privacy; U.S. Department of State; Office 

of Global Information Services, A/GIS; 

Room 1417, 2201 C St. NW, 

Washington, DC 20520 or by calling on 

(202) 485–2051. 

SUPPLEMENTARY INFORMATION: This 

notice is being modified to reflect new 

OMB guidance, changes to the 

categories of records and security 

classification. The modified system of 

records notice includes substantive 

revisions and additions to the following 

sections: Dates, Security Classification, 

System Location, Categories of 

Individuals Covered by the System, 

Categories of Records in the System, 

Routine Uses of Records, Retention and 

Disposal of Records, and Exemptions 

Promulgated. In addition, the 

Department is taking this opportunity to 

make minor administrative updates to 

the following sections: Addresses, For 

Further Information Contact, and 

History. 

SYSTEM NAME AND NUMBER: 

Risk Analysis and Management 

Records, State–78. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Office of Risk Analysis and 

Management (RAM), Department of 

State, Washington, DC, 2201 C St. NW, 

Washington, DC 20520. 

SYSTEM MANAGER(S): 

Director, Office of Risk Analysis and 

Management (RAM) 2201 C St. NW, 

Washington, DC 20520, RAM@state.gov. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

18 U.S.C. 2339A, 2339B, 2339C; 22 

U.S.C. 2151 et seq.; E.O. 13224, 13099 

and 12947; and Homeland Security 

Presidential Directive–6. 

PURPOSE(S) OF THE SYSTEM: 

The information in the system 

supports the vetting of directors, 

officers, or other employees of 

organizations who apply for Department 

of State contracts, grants, cooperative 

agreements, or other funding; and 

individuals who may benefit from such 

funding. The information collected from 

these organizations and individuals is 

specifically used to conduct screening 

to ensure that Department funds are not 

used to provide support to entities or 

individuals deemed to be a risk to U.S. 

national security interests. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

The system covers key personnel of 

organizations that have applied for 

contracts, grants, cooperative 

agreements, or other funding from the 

Department of State; and individuals 

who may benefit from such funding. 

These individuals may include but are 

not limited to principal officers or 

directors, program managers, chief of 

party for the program and other 

individuals employed by the 

organization. The Privacy Act defines an 

individual at 5 U.S.C. 552a(a)(2) as a 

United States citizen or lawful 

permanent resident. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Information in this system includes: 

Name, aliases, date and place of birth, 

gender (as shown in a governmentissued foreign or U.S. photo ID), 

citizenship(s), government-issued 

identification information (including 

but not limited to Social Security 

number if U.S. citizen or Legal 

Permanent Resident, passport number, 

or any other numbers originated by a 

government that specifically identifies 

an individual), mailing address, 

telephone numbers, email, social media 

information, current employer 

organizational and project title. 

RECORD SOURCE CATEGORIES: 

Information is collected from the 

record subjects themselves and also 

from public sources, agencies 

conducting national security screening, 

law enforcement and intelligence 

agency records, and other government 

databases. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

PURPOSES OF SUCH USES: 

Risk Analysis and Management 

Records may be disclosed: 

(a.) To appropriate agencies, entities, 

and persons when (1) the Department of 

State suspects or has confirmed that 

there has been a breach of the system of 

records; (2) the Department of State has 

determined that as a result of the 

suspected or confirmed breach there is 

a risk of harm to individuals, the 

Department of State (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 Department of 

State efforts to respond to the suspected 

or confirmed breach or to prevent, 

minimize, or remedy such harm. 

(b.) To another Federal agency or 

Federal entity, when the Department of 

State 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 


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