Notice2022-26944
Privacy Act of 1974; System of Records
Primary source
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Published
December 12, 2022
Effective
January 6, 2023
Issuing agencies
Securities and Exchange Commission
Abstract
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.
Full Text
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<title>Federal Register, Volume 87 Issue 237 (Monday, December 12, 2022)</title>
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[Federal Register Volume 87, Number 237 (Monday, December 12, 2022)]
[Notices]
[Pages 76097-76100]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[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.
[[Page 76098]]
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
<bullet> Use the Commission's internet comment form (<a href="http://www.sec.gov/rules/other.shtml">http://www.sec.gov/rules/other.shtml</a>); or
<bullet> Send an email to <a href="/cdn-cgi/l/email-protection#1d6f687178307e7270707873696e5d6e787e337a726b"><span class="__cf_email__" data-cfemail="97e5e2fbf2baf4f8fafaf2f9e3e4d7e4f2f4b9f0f8e1">[email protected]</span></a>. Please include
File Number S7-28-22 on the subject line.
Paper Comments
<bullet> 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
(<a href="http://www.sec.gov/rules/other.shtml">http://www.sec.gov/rules/other.shtml</a>). 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
<a href="/cdn-cgi/l/email-protection#403032293621233928252c30003325236e272f36"><span class="__cf_email__" data-cfemail="29595b405f484a50414c4559695a4c4a074e465f">[email protected]</span></a>.
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:
[[Page 76099]]
--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
[[Page 76100]]
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
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.