Notice2024-13312
Privacy Act of 1974; System of Records
Primary source
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Published
June 18, 2024
Issuing agencies
Securities and Exchange Commission
Abstract
The Securities and Exchange Commission (SEC) proposes to modify system of records SEC-36, Harassment Prevention and Response Program Records, under the Privacy Act of 1974. The system of records is being modified to reflect non-substantive changes to the system title and system manager. Minor updates to the text of the notice have been made throughout to be consistent with changes to the title and system manager. Nothing in the modified SORN changes the category of individuals from whom the records are collected, the collection of records from the individuals, the authorities, the purpose for collection, or the routine uses. The changes do not impact any individual's rights to access or to amend their records pursuant to the Privacy Act.
Full Text
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<title>Federal Register, Volume 89 Issue 118 (Tuesday, June 18, 2024)</title>
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[Federal Register Volume 89, Number 118 (Tuesday, June 18, 2024)]
[Notices]
[Pages 51582-51584]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-13312]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-62; File No. S7-2024-04]
Privacy Act of 1974; System of Records
AGENCY: Securities and Exchange Commission.
ACTION: Notice of a modified system of records.
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SUMMARY: The Securities and Exchange Commission (SEC) proposes to
modify system of records SEC-36, Harassment Prevention and Response
Program Records, under the Privacy Act of 1974. The system of records
is being modified to reflect non-substantive changes to the system
title and system manager. Minor updates to the text of the notice have
been made throughout to be consistent with changes to the title and
system manager. Nothing in the modified SORN changes the category of
individuals from whom the records are collected, the collection of
records from the individuals, the authorities, the purpose for
collection, or the routine uses. The changes do not impact any
individual's rights to access or to amend their records pursuant to the
Privacy Act.
DATES: The notice will become effective upon publication, unless the
Commission receives comments that would warrant further action.
ADDRESSES: Comments may be submitted by any of the following methods:
Electronic Comments
<bullet> Use the Commission's internet comment form (<a href="https://www.sec.gov/rules/other.shtml">https://www.sec.gov/rules/other.shtml</a>); or
<bullet> Send an email to <a href="/cdn-cgi/l/email-protection#7a080f161f57191517171f140e093a091f19541d150c"><span class="__cf_email__" data-cfemail="0775726b622a64686a6a626973744774626429606871">[email protected]</span></a>. Please include
File Number S7-2024-04 on the subject line.
Paper Comments
<bullet> 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 S7-2024-04. 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 (<a href="https://www.sec.gov/rules/other.shtml">https://www.sec.gov/rules/other.shtml</a>). 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. 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
<a href="/cdn-cgi/l/email-protection#116163786770726879747d61516274723f767e67"><span class="__cf_email__" data-cfemail="79090b100f181a00111c1509390a1c1a571e160f">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: On October 31, 2023, the SEC published
system of records SEC-36, Harassment Prevention and Response Program
Records. Subsequently, the program's oversight and responsibilities
were moved from the Office of Equal Employment Opportunity (OEEO) to
the Office of Human Resources (OHR). As a result, OHR made updates to
(a) change the title of the records from SEC-36, Harassment Prevention
and Response Program to SEC-36, Anti-Harassment Program and (b) change
the system manager from Director, Office of Equal Employment
Opportunity, to Chief Human Capital Officer, Office of Human Resources.
SYSTEM NAME AND NUMBER
SEC-36 Anti-Harassment Program Records.
SECURITY CLASSIFICATION:
Non-classified.
SYSTEM LOCATION:
U.S. Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549.
SYSTEM MANAGER(S):
Chief Human Capital Officer, Office of Human Resources, 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; Exec. Order No. 11478, 34 FR 12985 (as amended by
Exec. 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
[[Page 51583]]
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 Anti-Harassment 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 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 Anti-Harassment Program manager or
through referrals from the Office of Equal Employment Opportunity,
other SEC organizations necessary for the implementation of the SEC
Anti-Harassment 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 Anti-Harassment
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 name of the alleged target or harasser,
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 Anti-Harassment 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
[[Page 51584]]
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 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 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 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 20549-2736.
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:
This SORN was last published in full in the Federal Register at 88
FR 74550 (Oct. 31, 2023).
By the Commission.
Dated: June 12, 2024.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-13312 Filed 6-17-24; 8:45 am]
BILLING CODE 8011-01-P
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