Document ID: SEC-2023-1241-0001
Agency: sec
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2023-10-31T04:00Z

[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.

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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