Document ID: SEC-2022-1590-0001
Agency: sec
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2022-12-12T05:00Z

[Federal Register Volume 87, Number 237 (Monday, December 12, 2022)]
[Notices]
[Pages 76097-76100]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-26944]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-58; File No. S7-28-22]

Privacy Act of 1974; System of Records

AGENCY: Securities and Exchange Commission.

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ACTION: Notice of a new system of records.

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SUMMARY: The Securities and Exchange Commission (SEC) proposes to 
establish SEC-35, Reasonable and Religious Accommodation Programs under 
the Privacy Act of 1974. The information in the system concerns 
employees, applicants, and members of the public who request or receive 
reasonable accommodations based on a medical condition or disability, 
or a sincerely held religious belief, practice, or observance. The SEC 
collects this information to evaluate, approve, deny, or implement 
requests for reasonable accommodations. This system will also allow the 
SEC to track and report the processing of requests for reasonable 
accommodations.

DATES: The changes will become effective January 6, 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 January 6, 2023.

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/other.shtml); or
     Send an email to [email protected]. Please include 
File Number S7-28-22 on the subject line.

Paper Comments

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

All submissions should refer to S7-28-22. This file number should be 
included on the subject line if email is used. To help 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/other.shtml). Typically, comments are also 
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. 
All comments received will be posted without change; we do not edit 
personal identifying information from submissions. You should submit 
only information that you wish to make publicly available.

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

SUPPLEMENTARY INFORMATION: In order to collect and maintain information 
to evaluate, approve, deny, or implement requests for reasonable 
accommodation based on a medical condition or disability, or a 
sincerely held religious belief, practice, or observance, the SEC is 
establishing SEC-35, Reasonable and Religious Accommodation Programs, 
under the Privacy Act. The SEC is committed to providing reasonable 
accommodations related to a disability or sincerely held religious 
belief to allow SEC personnel to perform the essential functions of 
their jobs, participate in programs, and enjoy the benefits of 
employment. Records may include email correspondence with SEC personnel 
and requestors regarding reasonable accommodations, documentation 
submitted in support of a request for a reasonable accommodation, and 
reasonable accommodation determinations. 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, Title VII of the Civil Rights Act of 1964, as amended, 42 
U.S.C. 2000e et seq.; Sections 501, 503, 504, and 508 of the 
Rehabilitation Act of 1973; and the Americans with Disabilities Act of 
1990, as amended, 42 U.S.C. 12101 et seq.

SYSTEM NAME AND NUMBER:
    SEC-35 Reasonable and Religious Accommodation Programs.

SECURITY CLASSIFICATION:
    Non-classified.

SYSTEM LOCATION:
    Securities and Exchange Commission (SEC), 100 F Street NE, 
Washington, DC 20549. Files may also be maintained in the following SEC 
Regional Offices: Atlanta Regional Office (ARO), 950 East Paces Ferry 
Road NE, Suite 900, Atlanta, GA 30326-1382; Boston Regional Office 
(BRO), 33 Arch Street, 24th Floor, Boston, MA 02110-1424; Chicago 
Regional Office (CHRO), 175 W Jackson Boulevard, Suite 1450, Chicago, 
IL 60604; Denver Regional Office (DRO), Byron Rogers Federal Office 
Building, 1961 Stout Street Suite 1700, Denver, CO 80294-1961; Fort 
Worth Regional Office (FWRO), Burnett Plaza, 801 Cherry Street, Suite 
1900, Unit 18, Fort Worth, TX 76102; Los Angeles Regional Office 
(LARO), 444 South Flower Street, Suite 900, Los Angeles, CA 90071; 
Miami Regional Office (MIRO), 801 Brickell Avenue, Suite 1950, Miami, 
FL 33131; New York Regional Office (NYRO), 100 Pearl Street, Suite 20-
100, New York, NY 10004-2616; Philadelphia Regional Office (PLRO), One 
Penn Center, 1617 John F. Kennedy Boulevard, Suite 520, Philadelphia, 
PA 19103-1844; Salt Lake Regional Office (SLRO), 351 S West Temple St., 
Suite 6.100, Salt Lake City, UT 84101; and San Francisco Regional 
Office (SFRO), 44 Montgomery Street, Suite 2800, San Francisco, CA 
94104.

SYSTEM MANAGER(S):
    Chief Human Capital Officer (CHCO), Securities and Exchange 
Commission, Office of Human Resources, 100 F Street, NE, Washington, DC 
20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 
2000e et seq.; Sections 501, 503, 504, and 508 of the Rehabilitation 
Act of 1973;), Americans with Disabilities Act of 1990, as amended 
(ADA), Executive Order 13164, Requiring Federal Agencies To Establish 
Procedures To Facilitate the Provision of Reasonable Accommodation 
(July 26, 2000); 5 CFR part 339; 29 CFR part 1602 and 1614; and 
Employment Opportunity Commission (EEOC) religious accommodation 
program regulations and guidance.

PURPOSE(S) OF THE SYSTEM:
    The information in the system concerns employees, applicants, and 
members of the public who request or receive reasonable accommodations 
based on a medical condition or disability, or a sincerely held 
religious belief, practice, or observance. The SEC collects this 
information to evaluate, approve, deny, or implement requests for 
reasonable accommodations. This system will also allow the SEC to track 
and report the processing of requests for reasonable accommodations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    SEC personnel (political appointees, employees, consultants, 
detailees, interns, and volunteers) who request or receive reasonable 
accommodations during their employment; contractors, job applicants, 
and members of the public who request reasonable accommodations 
(Requestors); and individuals whom SEC personnel or Requestors 
authorize to submit information in support of their request (e.g., 
family members or attorneys).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information collected and maintained may include, but is not 
limited to:

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--Email correspondence with SEC personnel and Requestors regarding 
reasonable accommodations, documentation submitted in support of a 
request for a reasonable accommodation, and reasonable accommodation 
determinations.
--Specific data elements may include: name, work address, work 
phone, work email address, office name, office location, position 
title, occupational series, pay grade, bargaining unit status, 
reasonable accommodation requested, reasonable accommodation request 
date, medical information, disability condition, work related 
limitations, disability status, religious beliefs, reason for 
seeking a reasonable accommodation, position related information, 
case notes, accommodation decision, decision basis, effective date 
of approved accommodation, decision-making official name and title, 
and contact information for individuals authorized to submit 
information in support of a request and for individuals responsible 
for processing requests.

RECORD SOURCE CATEGORIES:
    Information is obtained from the requesting individual to whom the 
accommodation applies; persons authorized to act on behalf of the 
requesting individual (e.g., spouse, union representative, legal 
counsel, or colleague); authorized individuals responsible for 
processing requests such as the Disability Program Officer (DPO), 
Reasonable Accommodation Coordinator (RAC), or Chief Human Capital 
Officer (CHCO); an employee's supervisor; medical provider(s); medical 
institutions; and agency medical physician(s).

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. 552 a(b)(3) as follows:
    1. When (1) it is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (2) the SEC has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the SEC or another agency or entity) that rely upon the 
compromised information; and (3) the disclosure is made to such 
agencies, entities, and persons who are reasonably necessary to assist 
in connection with the SEC's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    2. Where there is an indication of a violation or potential 
violation of law, whether civil, criminal, or regulatory in nature, the 
relevant records may be referred to the appropriate agency, whether 
federal, state, local, or foreign, charged with the responsibility of 
investigating or prosecuting such violation or charged with enforcing 
or implementing the applicable statute, rule, regulation, or order.
    3. In connection with any judicial or administrative proceeding in 
which the Commission or past or present members of its staff is a party 
or otherwise involved in an official capacity.
    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.
    5. To respond to subpoenas in any litigation or other proceeding.
    6. 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.
    7. To members of Congress, the Government Accountability Office, or 
others charged with monitoring the work of the Commission or conducting 
records management inspections.
    8. 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. 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.
    9. To any person who is or has agreed to be subject to the 
Commission's Rules of Conduct regarding non-disclosure, particularly 17 
CFR 200.735-3(b)(2), or has otherwise agreed to comply with provisions 
restricting the disclosure of SEC nonpublic information.
    10. 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.

POLICIES AND PRACTICES 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. Records are maintained in electronic format and on 
paper in file folders in Microsoft outlook with Access to and use of 
these records limited to those persons whose official duties require 
such access and on electronic media through computerized records stored 
in the case management system.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    These records are retrieved by the Requestor's name and/or case 
number that is assigned to the request in the systems of records and/or 
by office or region.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The records will be maintained until they become inactive, at which 
time they will be retired or destroyed in accordance with records 
schedules of the United States Securities and Exchange Commission, and 
as approved by the National Archives and Records Administration.

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. Security 
protocols meet the promulgating guidance as established by the National 
Institute of Standards and Technology (NIST) Security Standards from 
Access Control to Data Encryption and Security Assessment & 
Authorization (SA&A). 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''; using locks; and using

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password protection identification features. Contractors and other 
recipients providing services to the Commission shall be required to 
maintain equivalent safeguards.

RECORD ACCESS PROCEDURES:
    Persons seeking to gain access to 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 request to: FOIA/PA Officer, Securities and Exchange 
Commission, 100 F Street NE, 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, Washington, DC 20549-2465.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    New SORN.

    By the Commission.

    Dated: December 7, 2022.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2022-26944 Filed 12-9-22; 8:45 am]
BILLING CODE 8011-01-P