Privacy Act of 1974: System of Records, 45225-45228 [E7-15801]
Download as PDF
<![CDATA[
Federal Register / Vol. 72, No. 155 / Monday, August 13, 2007 / Notices
ways to enhance the quality, utility, and
clarity of the information to be
collected; and (d) ways to minimize the
burden of the collection of information
on respondents, including through the
use of automated collection techniques
or other forms of information
technology.
Comments submitted in response to
this notice will be summarized and/or
included in the request for OMB
approval of this information collection;
they also will become a matter of public
record.
Dated: August 8, 2007.
Gwellnar Banks,
Management Analyst, Office of the Chief
Information Officer.
[FR Doc. E7–15787 Filed 8–10–07; 8:45 am]
BILLING CODE 3510–KA–P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
Correction: Compliance of National
Marine Fisheries Service Permits With
the Debt Collection Improvement Act
of 1996
National Oceanic and
Atmospheric Administration,
Department of Commerce.
ACTION: Notice.
jlentini on PROD1PC65 with NOTICES
AGENCY:
SUMMARY: The Department of
Commerce, as part of its continuing
effort to reduce paperwork and
respondent burden, invites the general
public and other Federal agencies to
take this opportunity to comment on
proposed and/or continuing information
collections, as required by the
Paperwork Reduction Act of 1995.
SUPPLEMENTARY INFORMATION: All NOAA
National Marine Fisheries Service
(NMFS) permit forms not already
requiring Tax Identifying Numbers
(Employer ID Number and/or Social
Security Number) and Date of
Incorporation and/or Date of Birth) will
be revised to require this information,
following procedures as laid out by the
Paperwork Reduction Act. This notice
applies to all NMFS permits information
collections for which rulemaking is not
needed in conjunction with such
revisions. Proposed rules will be issued
for all collections whose regulations
require amendment for such revisions.
In addition to the notice published on
June 6, 2007 (Volume 72, Page 31289),
this action applies to the following
NOAA NMFS permit collections: OMB
Control Number: 0648–0089, Foreign
Fishing Vessel Permit Application.
VerDate Aug<31>2005
16:19 Aug 10, 2007
Jkt 211001
The sentence following the original
list should now read ‘‘All but six of
these eighteen permit collections
currently require some or most of this
information.’’
DATES: Written comments must be
submitted on or before August 27, 2007.
ADDRESSES: Direct all written comments
to Diana Hynek, Departmental
Paperwork Clearance Officer,
Department of Commerce, Room 6625,
14th and Constitution Avenue, NW.,
Washington, DC 20230 (or via the
Internet at dHynek@doc.gov).
Comments are invited on: (a) Whether
the proposed collection of information
is necessary for the proper performance
of the functions of the agency, including
whether the information shall have
practical utility; (b) the accuracy of the
agency’s estimate of the burden
(including hours and cost) of the
proposed collection of information; (c)
ways to enhance the quality, utility, and
clarity of the information to be
collected; and (d) ways to minimize the
burden of the collection of information
on respondents, including through the
use of automated collection techniques
or other forms of information
technology.
Comments submitted in response to
this notice will be summarized and/or
included in the request for OMB
approval of these information
collections; they also will become a
matter of public record.
Dated: August 8, 2007.
Gwellnar Banks,
Management Analyst, Office of the Chief
Information Officer.
[FR Doc. E7–15789 Filed 8–10–07; 8:45 am]
45225
The announced meeting is
scheduled for: Monday, August 27,
2007.
ADDRESSES: Conference Call. Public
access is available at SSMC Bldg 3,
Room #6836, 1315 East-West Highway,
Silver Spring, MD.
FOR FURTHER INFORMATION CONTACT: Ms.
Melissa Pearson, National Sea Grant
College Program, National Oceanic and
Atmospheric Administration, 1315 EastWest Highway, Room 11717, Silver
Spring, Maryland 20910, (301) 734–
1066.
SUPPLEMENTARY INFORMATION: The Panel,
which consists of a balanced
representation from academia, industry,
state government and citizens groups,
was established in 1976 by section 209
of the Sea Grant Improvement Act (Pub.
L. 94–461, 33 U.S.C. 1128). The Panel
advises the Secretary of Commerce and
the Director of the National Sea Grant
College Program with respect to
operations under the Act, and such
other matters as the Secretary refers to
them for review and advice. The agenda
for the meeting is as follows: Monday,
August 27, 2007—11 a.m. to 1 p.m.
DATES:
Agenda
I. Discussion of the Panels role in
program evaluation and strategic
national program-level issues
Dated: August 7, 2007.
Mark E. Brown,
Chief Financial Officer/Chief Administrator
Officer, Office of Oceanic and Atmospheric
Research.
[FR Doc. E7–15812 Filed 8–10–07; 8:45 am]
BILLING CODE 3510–KA–P
BILLING CODE 3510–22–P
COMMODITY FUTURES TRADING
COMMISSION
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
Privacy Act of 1974: System of
Records
AGENCY:
Commodity Futures Trading
Commission.
ACTION: Notice of new system of records
and proposed routine uses.
SUMMARY: This notice sets forth the
schedule and proposed agenda of a
forthcoming meeting of the Sea Grant
Review Panel. Panel members will
discuss and provide advice on the
National Sea Grant College Program in
the areas of program evaluation,
strategic planning, education and
extension, science and technology
programs, and other matters as
described in the Agenda below.
SUMMARY: This notice adds a new
system of records to the Commission’s
systems of records under the Privacy
Act. The new system contains
information collected to document and
support decisions regarding clearance
for access to classified information and
the suitability, eligibility, and fitness for
service of applicants for federal
employment, including students,
interns, or volunteers, and contractor
positions to the extent that contract
duties require access to federal facilities,
information, systems, or applications.
National Sea Grant Review Panel
National Oceanic and
Atmospheric Administration,
Commerce.
ACTION: Notice of public meeting.
PO 00000
Frm 00011
Fmt 4703
Sfmt 4703
AGENCY:
E:\FR\FM\13AUN1.SGM
13AUN1
45226
Federal Register / Vol. 72, No. 155 / Monday, August 13, 2007 / Notices
This system is necessary to comply with
Homeland Security Presidential
Directive 12 (HSPD–12).
DATES: In accordance with subsections
(e)(4) and (e)(11) of the Privacy Act of
1974, as amended (5 U.S.C. 552a), any
interested person may submit written
comments concerning this system of
records. Comments on the establishment
of the new system of records must be
received no later than September 12,
2007. The new system of records will be
effective September 24, 2007 unless the
Commission receives comments which
would result in a contrary
determination.
Comments should be
addressed to Dave Stawick, Secretary,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st St. NW., Washington, DC
20581. Comments may be sent via
electronic mail to secretary@cftc.gov.
FOR FURTHER INFORMATION CONTACT:
Stacy Yochum, Office of the Executive
Director, (202) 418–5157, Commodity
Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581.
SUPPLEMENTARY INFORMATION: In
accordance with the Privacy Act of
1974, 5 U.S.C. 552a, and the
Commission’s implementing
regulations, 17 CFR Part 146, the
Commission is publishing a description
of a new system of records. The new
system contains records related to
background checks at the Commission.
This new system of records, as
required by 5 U.S.C. 552a(r) of the
Privacy Act, will be submitted to the
Committee on Government Oversight
and Reform of the U.S. House of
Representatives, the Committee on
Governmental Affairs of the U.S. Senate,
and the Office of Management and
Budget, pursuant to Appendix I to OMB
Circular A–130, ‘‘Federal Agency
Responsibilities for Maintaining
Records About Individuals,’’ dated July
15, 1994. Accordingly, the Commission
is giving notice of the establishment of
the following system of records:
ADDRESSES:
CFTC–44
SYSTEM NAME:
Personnel Security Files.
SECURITY CLASSIFICATION:
jlentini on PROD1PC65 with NOTICES
Most personnel identity verification
(PIV) records are not classified.
SYSTEM LOCATION:
The Personnel Security Files are
located in the Office of Human
Resources, Commodity Futures Trading
Commission, Three Lafayette Centre,
VerDate Aug<31>2005
16:19 Aug 10, 2007
Jkt 211001
1155 21st Street, NW., Washington, DC
20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who require regular,
ongoing access to CFTC facilities,
information technology systems, or
information classified in the interest of
national security, including applicants
for CFTC employment or contracts,
CFTC employees, contractors of the
CFTC, students, interns, volunteers,
individuals authorized to perform or use
services provided in CFTC facilities,
and individuals formerly in any of these
positions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records may include any or all of the
following, depending on the individual
and his or her position:
1. Data needed to identify an
individual, including: Individual’s last,
first, middle names (filed alphabetically
by last name), and former names (if
applicable); Social Security Number;
date of birth; birthplace; home address;
telephone numbers; residential history;
photograph; gender; height; weight; and
hair and eye color.
2. Individual’s citizenship;
fingerprints; security classification;
types and dates of investigations; agency
conducting investigation; position
sensitivity levels; miscellaneous
investigation comments; summary
report of investigation; results of
suitability decisions; level of security
clearance; and date of issuance of
security clearance.
3. ‘‘I–9’’ documents, such as driver’s
license, passport, and birth certificate.
3. Names of relatives; relatives birth
dates, home address, and citizenship;
and names of relatives who work for the
Federal government.
4. Reports about the individual’s
qualifications for a position, e.g.,
employee/applicant’s employment/work
history; employment references and
contact information; educational/
training institutions attended, degrees
and certifications earned; and
educational and training references.
5. Information needed to investigate
an individual’s character, conduct, and
behavior in the community where he or
she lives or lived; criminal history, e.g.,
arrests and convictions for violations
against the law; mental health history;
drug use; financial information, e.g.,
income tax return information and
credit reports; reports of interviews with
present and former supervisors, coworkers, associates, and educators; and
other related personal references and
contact information.
6. Reports of inquiries with law
enforcement agencies, employers, and
PO 00000
Frm 00012
Fmt 4703
Sfmt 4703
reports of action after the Office of
Personnel Management or FBI section
8(d) Full Field Investigation; Notices of
Security Investigation and other
information developed from the above
described Certificates of Clearance, e.g.,
date of security clearances, requests for
appeals, witness statements,
investigator’s notes, security violations,
circumstances of violations, and agency
action(s) taken.
7. Information obtained from SF–85,
SF–85P, SF–86, and SF–87 forms;
summary reports from OPM or another
Federal agency conducting background
investigations; and results of
adjudications and security violations.
(Note: This system of records does not
duplicate or supersede the Office of
Personnel Management (OPM) Central-9
system of records, which covers the
investigations OPM and its contractors
conduct on behalf of other agencies.)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Depending on the purpose of the
investigation, the U.S. government is
authorized to ask for this information
under Executive Orders 10450, 10865,
12333, and 12356; sections 3301 and
9101 of title 5, U.S. Code; sections 2165
and 2201 of title 42, U.S. Code; sections
781 to 887 of title 50, U.S. Code; parts
5, 732, and 736 of title 5, Code of
Federal Regulations; and Homeland
Security Presidential Directive 12
(HSPD–12), Policy for a Common
Identification Standard for Federal
Employees and Contractors, August 27,
2004.
PURPOSE:
The records in this system are used to
document and support decisions
regarding the suitability, eligibility, and
fitness for service of applicants for
Federal employment and contract
positions, including students, interns,
and volunteers to the extent their duties
require access to Federal facilities,
information, systems, or applications.
The records are also used to support
decisions regarding clearance for access
to classified information. The records
may be used to document security
violations and supervisory actions
taken.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM:
Information in this system may be
routinely disclosed under the following
conditions:
1. Litigation by the Department of
Justice—when (a) CFTC or (b) any CFTC
employee in his or her official capacity;
(c) any CFTC employee in his or her
individual capacity where CFTC or the
Department of Justice (DOJ) has agreed
E:\FR\FM\13AUN1.SGM
13AUN1
jlentini on PROD1PC65 with NOTICES
Federal Register / Vol. 72, No. 155 / Monday, August 13, 2007 / Notices
to represent the employee; or (d) the
United States Government, is a party to
litigation or has an interest in such
litigation, and by careful review, the
CFTC determines that the records are
both relevant and necessary to the
litigation and the use of such records by
DOJ is therefore deemed by the agency
to be for a purpose compatible with the
purpose for which the CFTC collected
the records.
2. A Court or Adjudicative Body—in
a proceeding when: (a) The CFTC; (b)
any CFTC employee in his or her official
capacity; (c) any CFTC employee in his
or her individual capacity where CFTC
or the Department of Justice has agreed
to represent the employee; or (d) the
United States Government, is a party to
litigation or has an interest in such
litigation, and by careful review, the
CFTC determines that the records are
both relevant and necessary to the
litigation and the use of such records is
therefore deemed by the agency to be for
a purpose that is compatible with the
purpose for which the CFTC collected
the records.
3. Law Enforcement and
Investigation—except as noted on Forms
SF 85, 85–P, and 86, when a record on
its face, or in conjunction with other
records, indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto, disclosure may be
made to the appropriate public
authority, whether Federal, foreign,
State, local, or tribal, or otherwise,
responsible for enforcing, investigating
or prosecuting such violation or charged
with enforcing or implementing the
statute, or rule, regulation, or order
issued pursuant thereto, if the
information disclosed is relevant to any
enforcement, regulatory, investigative or
prosecutorial responsibility of the
receiving entity.
4. Congressional Inquiries—when
requested by a Congressional office in
response to an inquiry by an individual
made to the Congressional office
concerning his or her own records.
5. Government-wide Program
Management and Oversight—when
requested by the National Archives and
Records Administration or to the
General Services Administration for
records management inspections
conducted under 44 U.S.C. 2904 and
2906; when the DOJ is contacted in
order to obtain that department’s advice
regarding disclosure obligations under
the Freedom of Information Act; or
when the Office of Management and
Budget is contacted in order to obtain
VerDate Aug<31>2005
16:19 Aug 10, 2007
Jkt 211001
that office’s advice regarding obligations
under the Privacy Act.
6. Contract Services or Cooperative
Agreements—a record may be disclosed
to CFTC contractors who have been
engaged to assist the CFTC in the
performance of a contract service or
other activity related to this system of
records and who need to have access to
the records in order to perform their
activity. Recipients shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
7. Employment, Clearances, Contract,
or Other Benefits Decision by CFTC—
disclosure may be made to any source
or potential source from which
information is requested in the course of
an investigation concerning the
retention of an employee or other
personnel action (other than hiring), the
retention of a security clearance, or the
letting of a contract, to the extent
necessary to identify the individual,
inform the source of the nature and
purpose of the investigation, and to
identify the type of information
requested.
8. Employment, Clearances, Contract,
or Other Benefits Decision by an
Organization other than CFTC—
disclosure may be made to a Federal
State, local, foreign, or tribal or other
public authority of the fact that this
system of records contains information
relevant to the retention of an employee,
the retention of a security clearance, or
the letting of a contract. The other
agency or licensing organization may
then make a request supported by the
written consent of the individual for the
entire record if it so chooses. No
disclosure will be made unless the
information has been determined to be
sufficiently reliable to support a referral
to another office within the agency or to
another Federal agency for criminal,
civil, administrative, personnel, or
regulatory action.
9. National Security and Intelligence
Matters—these records may be disclosed
to Federal, State, local agencies, or other
appropriate entities or individuals, or
through established liaison channels to
selected foreign governments, in order
to enable an intelligence agency to carry
out its responsibilities under the
National Security Act of 1947 as
amended, the CIA Act of 1949 as
amended, Executive Order 12333 or any
successor order, applicable national
security directives, or classified
implementing procedures approved by
the Attorney General and promulgated
pursuant to such statutes, orders or
directives.
PO 00000
Frm 00013
Fmt 4703
Sfmt 4703
45227
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, SAFEGUARDING ACCESS, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored on paper and
electronically in a secure location.
RETRIEVABILITY:
Background investigation files are
retrieved by name, Social Security
number (SSN), or fingerprint.
SAFEGUARDS:
Paper records: Paper records are kept
in file folders in locked metal file
cabinets in locked rooms at the
headquarters office in the Office of
Human Resources. Access to records is
limited to approved security and
administrative personnel who have a
need for the information in the
performance of their official duties.
Electronic records: Electronic records
are kept in the Office of Human
Resources. Access to the records is
restricted to those with a specific role in
the personal identity verification (PIV)
process that requires access to
background investigation forms to
perform their duties, and who have been
given a password to access that part of
the system including background
investigation records. An audit trail is
maintained and reviewed periodically
to identify unauthorized access. Persons
given roles in the PIV process must
complete training specific to their roles
to ensure they are knowledgeable about
how to protect individually identifiable
information.
RETENTION AND DISPOSAL:
These records are retained and
disposed of in accordance with General
Records Schedule 18, item 22a,
approved by the National Archives and
Records Administration (NARA).
Records are destroyed upon notification
of death or not later than five years after
separation or transfer of employee to
another agency or department,
whichever is applicable.
SYSTEM MANAGER(S) AND ADDRESS:
Vivian Jarcho, Office of Human
Resources, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC
20581.
NOTIFICATION PROCEDURE:
An individual can determine if this
system contains a record pertaining to
him/her by sending a request in writing,
signed, to the FOI Privacy and Sunshine
Acts Compliance Staff, Commodity
Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
E:\FR\FM\13AUN1.SGM
13AUN1
45228
Federal Register / Vol. 72, No. 155 / Monday, August 13, 2007 / Notices
When requesting notification of or
access to records covered by this Notice,
an individual should provide his/her
full name, date of birth, agency name,
and work location. An individual
requesting notification of records in
person must provide identity
documents sufficient to satisfy the
custodian of the records that the
requester is entitled to access, such as
a government-issued photo ID.
Individuals requesting notification via
mail or telephone must furnish, at a
minimum, name, date of birth, social
security number, and home address in
order to establish identity.
RECORDS ACCESS PROCEDURES:
Individuals wishing to request access
to records about them should contact
the system manager indicated above.
Individuals must furnish their full name
(first, middle, and last name) and birth
date for their record to be located and
identified. An individual requesting
access must also follow CFTC Privacy
Act requirements regarding verification
of identity and amendment of records.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request
amendment of their records should
contact the system manager indicated
above. Individuals must furnish their
full name (first, middle, and last name)
and birth date for the record to be
located and identified. An individual
requesting amendment must also follow
the CFTC Privacy Act requirements
regarding verification of identity and
amendment or records.
RECORD SOURCE CATEGORIES:
jlentini on PROD1PC65 with NOTICES
Information is obtained from a variety
of sources including the employee,
contractor, or applicant via use of the
SF–85, SF–85P, or SF–86 and personal
interviews; employers’ and former
employers’ records; FBI criminal history
records and other databases; financial
institutions and credit reports; medical
records and health care providers;
educational institutions; interviews of
witnesses such as neighbors, friends, coworkers, business associates, teachers,
landlords, or family members; tax
records; and other public records.
Security violation information is
obtained from a variety of sources, such
as guard reports, security inspections,
witnesses, supervisor’s reports, audit
reports.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE PRIVACY ACT:
Upon publication of a final rule in the
Federal Register, this system of records
will be exempt in accordance with 5
U.S.C. 552a(k)(5). Information will be
withheld to the extent it identifies
VerDate Aug<31>2005
16:19 Aug 10, 2007
Jkt 211001
witnesses promised confidentiality as a
condition of providing information
during the course of the background
investigation.
Issued in Washington, DC on August 8,
2007.
By the Commission,
David Stawick,
Secretary of the Commission.
[FR Doc. E7–15801 Filed 8–10–07; 8:45 am]
BILLING CODE 6351–01–P
Submit comments,
including suggestions for reducing this
burden to: FAR Desk Officer, OMB,
Room 10102, NEOB, Washington, DC
20503, and a copy to the General
Services Administration, FAR
Secretariat (VIR), 1800 F Street, NW,
Room 4035, Washington, DC 20405.
FOR FURTHER INFORMATION CONTACT Ms.
Meredith Murphy, Contract Policy
Division, GSA, (202) 208–6925.
SUPPLEMENTARY INFORMATION:
ADDRESSES:
A. Purpose
DEPARTMENT OF DEFENSE
The information on place of
manufacture will be used by each
Federal agency to prepare the report
required for submission to Congress.
GENERAL SERVICES
ADMINISTRATION
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
[OMB Control No. 9000–0161]
Federal Acquisition Regulation;
Submission for OMB Review;
Reporting Purchases from Sources
Outside the United States
AGENCIES: Department of Defense (DOD),
General Services Administration (GSA),
and National Aeronautics and Space
Administration (NASA).
ACTION: Notice of request for public
comments regarding an extension to an
existing OMB clearance (9000–0161).
SUMMARY: Under the provisions of the
Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35), the Federal
Acquisition Regulation (FAR)
Secretariat has submitted to the Office
of Management and Budget (OMB) a
request to review and approve an
extension of a currently approved
information collection requirement
concerning reporting purchases from
sources outside the United States. The
clearance currently expires on
November 30, 2007.
Public comments are particularly
invited on: Whether this collection of
information is necessary for the proper
performance of functions of the FAR,
and whether it will have practical
utility; whether our estimate of the
public burden of this collection of
information is accurate, and based on
valid assumptions and methodology;
ways to enhance the quality, utility, and
clarity of the information to be
collected; and ways in which we can
minimize the burden of the collection of
information on those who are to
respond, through the use of appropriate
technological collection techniques or
other forms of information technology.
DATES: Submit comments on or before
September 12, 2007.
PO 00000
Frm 00014
Fmt 4703
Sfmt 4703
B. Annual Reporting Burden
Respondents: 95,365.
Responses Per Respondent: 40.
Total Responses: 3,814,600.
Hours Per Response: .01.
Total Burden Hours: 38,146.
OBTAINING COPIES OF
PROPOSALS: Requesters may obtain a
copy of the information collection
documents from the General Services
Administration, Regulatory Secretariat
(VIR), Room 4035, 1800 F Street, NW,
Washington, DC 20405, telephone (202)
501–4755. Please cite OMB Control
Number 9000–0161, Reporting
Purchases from Sources Outside the
United States, in all correspondence.
Dated: August 3, 2007.
Al Matera,
Director, Office of Acquistion Policy.
[FR Doc. 07–3938 Filed 8–10–07; 8:45 am]
BILLING CODE 6820–EP–S
DEPARTMENT OF DEFENSE
Office of Secretary of Defense
[DOD–2007–OS–0085]
Privacy Act of 1974; System of
Records
AGENCY:
National Reconnaissance
Office.
ACTION:
Notice to add a system of
records.
SUMMARY: The National Reconnaissance
Office proposes to add a system of
records to its inventory of record
systems subject to the Privacy Act of
1974 (5 U.S.C. 552a), as amended.
DATES: This proposed action will be
effective without further notice on
September 12, 2007 unless comments
are received which result in a contrary
determination.
ADDRESSES: Send comments to the
FOIA/Privacy Official, National
E:\FR\FM\13AUN1.SGM
13AUN1
]]>Agencies
[Federal Register Volume 72, Number 155 (Monday, August 13, 2007)]
[Notices]
[Pages 45225-45228]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-15801]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974: System of Records
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice of new system of records and proposed routine uses.
-----------------------------------------------------------------------
SUMMARY: This notice adds a new system of records to the Commission's
systems of records under the Privacy Act. The new system contains
information collected to document and support decisions regarding
clearance for access to classified information and the suitability,
eligibility, and fitness for service of applicants for federal
employment, including students, interns, or volunteers, and contractor
positions to the extent that contract duties require access to federal
facilities, information, systems, or applications.
[[Page 45226]]
This system is necessary to comply with Homeland Security Presidential
Directive 12 (HSPD-12).
DATES: In accordance with subsections (e)(4) and (e)(11) of the Privacy
Act of 1974, as amended (5 U.S.C. 552a), any interested person may
submit written comments concerning this system of records. Comments on
the establishment of the new system of records must be received no
later than September 12, 2007. The new system of records will be
effective September 24, 2007 unless the Commission receives comments
which would result in a contrary determination.
ADDRESSES: Comments should be addressed to Dave Stawick, Secretary,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
St. NW., Washington, DC 20581. Comments may be sent via electronic mail
to secretary@cftc.gov.
FOR FURTHER INFORMATION CONTACT: Stacy Yochum, Office of the Executive
Director, (202) 418-5157, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR
Part 146, the Commission is publishing a description of a new system of
records. The new system contains records related to background checks
at the Commission.
This new system of records, as required by 5 U.S.C. 552a(r) of the
Privacy Act, will be submitted to the Committee on Government Oversight
and Reform of the U.S. House of Representatives, the Committee on
Governmental Affairs of the U.S. Senate, and the Office of Management
and Budget, pursuant to Appendix I to OMB Circular A-130, ``Federal
Agency Responsibilities for Maintaining Records About Individuals,''
dated July 15, 1994. Accordingly, the Commission is giving notice of
the establishment of the following system of records:
CFTC-44
SYSTEM NAME:
Personnel Security Files.
SECURITY CLASSIFICATION:
Most personnel identity verification (PIV) records are not
classified.
SYSTEM LOCATION:
The Personnel Security Files are located in the Office of Human
Resources, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who require regular, ongoing access to CFTC facilities,
information technology systems, or information classified in the
interest of national security, including applicants for CFTC employment
or contracts, CFTC employees, contractors of the CFTC, students,
interns, volunteers, individuals authorized to perform or use services
provided in CFTC facilities, and individuals formerly in any of these
positions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records may include any or all of the following, depending on the
individual and his or her position:
1. Data needed to identify an individual, including: Individual's
last, first, middle names (filed alphabetically by last name), and
former names (if applicable); Social Security Number; date of birth;
birthplace; home address; telephone numbers; residential history;
photograph; gender; height; weight; and hair and eye color.
2. Individual's citizenship; fingerprints; security classification;
types and dates of investigations; agency conducting investigation;
position sensitivity levels; miscellaneous investigation comments;
summary report of investigation; results of suitability decisions;
level of security clearance; and date of issuance of security
clearance.
3. ``I-9'' documents, such as driver's license, passport, and birth
certificate.
3. Names of relatives; relatives birth dates, home address, and
citizenship; and names of relatives who work for the Federal
government.
4. Reports about the individual's qualifications for a position,
e.g., employee/applicant's employment/work history; employment
references and contact information; educational/training institutions
attended, degrees and certifications earned; and educational and
training references.
5. Information needed to investigate an individual's character,
conduct, and behavior in the community where he or she lives or lived;
criminal history, e.g., arrests and convictions for violations against
the law; mental health history; drug use; financial information, e.g.,
income tax return information and credit reports; reports of interviews
with present and former supervisors, co-workers, associates, and
educators; and other related personal references and contact
information.
6. Reports of inquiries with law enforcement agencies, employers,
and reports of action after the Office of Personnel Management or FBI
section 8(d) Full Field Investigation; Notices of Security
Investigation and other information developed from the above described
Certificates of Clearance, e.g., date of security clearances, requests
for appeals, witness statements, investigator's notes, security
violations, circumstances of violations, and agency action(s) taken.
7. Information obtained from SF-85, SF-85P, SF-86, and SF-87 forms;
summary reports from OPM or another Federal agency conducting
background investigations; and results of adjudications and security
violations. (Note: This system of records does not duplicate or
supersede the Office of Personnel Management (OPM) Central-9 system of
records, which covers the investigations OPM and its contractors
conduct on behalf of other agencies.)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Depending on the purpose of the investigation, the U.S. government
is authorized to ask for this information under Executive Orders 10450,
10865, 12333, and 12356; sections 3301 and 9101 of title 5, U.S. Code;
sections 2165 and 2201 of title 42, U.S. Code; sections 781 to 887 of
title 50, U.S. Code; parts 5, 732, and 736 of title 5, Code of Federal
Regulations; and Homeland Security Presidential Directive 12 (HSPD-12),
Policy for a Common Identification Standard for Federal Employees and
Contractors, August 27, 2004.
PURPOSE:
The records in this system are used to document and support
decisions regarding the suitability, eligibility, and fitness for
service of applicants for Federal employment and contract positions,
including students, interns, and volunteers to the extent their duties
require access to Federal facilities, information, systems, or
applications. The records are also used to support decisions regarding
clearance for access to classified information. The records may be used
to document security violations and supervisory actions taken.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
Information in this system may be routinely disclosed under the
following conditions:
1. Litigation by the Department of Justice--when (a) CFTC or (b)
any CFTC employee in his or her official capacity; (c) any CFTC
employee in his or her individual capacity where CFTC or the Department
of Justice (DOJ) has agreed
[[Page 45227]]
to represent the employee; or (d) the United States Government, is a
party to litigation or has an interest in such litigation, and by
careful review, the CFTC determines that the records are both relevant
and necessary to the litigation and the use of such records by DOJ is
therefore deemed by the agency to be for a purpose compatible with the
purpose for which the CFTC collected the records.
2. A Court or Adjudicative Body--in a proceeding when: (a) The
CFTC; (b) any CFTC employee in his or her official capacity; (c) any
CFTC employee in his or her individual capacity where CFTC or the
Department of Justice has agreed to represent the employee; or (d) the
United States Government, is a party to litigation or has an interest
in such litigation, and by careful review, the CFTC determines that the
records are both relevant and necessary to the litigation and the use
of such records is therefore deemed by the agency to be for a purpose
that is compatible with the purpose for which the CFTC collected the
records.
3. Law Enforcement and Investigation--except as noted on Forms SF
85, 85-P, and 86, when a record on its face, or in conjunction with
other records, indicates a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto, disclosure may be made to the
appropriate public authority, whether Federal, foreign, State, local,
or tribal, or otherwise, responsible for enforcing, investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation, or order issued pursuant thereto, if
the information disclosed is relevant to any enforcement, regulatory,
investigative or prosecutorial responsibility of the receiving entity.
4. Congressional Inquiries--when requested by a Congressional
office in response to an inquiry by an individual made to the
Congressional office concerning his or her own records.
5. Government-wide Program Management and Oversight--when requested
by the National Archives and Records Administration or to the General
Services Administration for records management inspections conducted
under 44 U.S.C. 2904 and 2906; when the DOJ is contacted in order to
obtain that department's advice regarding disclosure obligations under
the Freedom of Information Act; or when the Office of Management and
Budget is contacted in order to obtain that office's advice regarding
obligations under the Privacy Act.
6. Contract Services or Cooperative Agreements--a record may be
disclosed to CFTC contractors who have been engaged to assist the CFTC
in the performance of a contract service or other activity related to
this system of records and who need to have access to the records in
order to perform their activity. Recipients shall be required to comply
with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C.
552a.
7. Employment, Clearances, Contract, or Other Benefits Decision by
CFTC--disclosure may be made to any source or potential source from
which information is requested in the course of an investigation
concerning the retention of an employee or other personnel action
(other than hiring), the retention of a security clearance, or the
letting of a contract, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
8. Employment, Clearances, Contract, or Other Benefits Decision by
an Organization other than CFTC--disclosure may be made to a Federal
State, local, foreign, or tribal or other public authority of the fact
that this system of records contains information relevant to the
retention of an employee, the retention of a security clearance, or the
letting of a contract. The other agency or licensing organization may
then make a request supported by the written consent of the individual
for the entire record if it so chooses. No disclosure will be made
unless the information has been determined to be sufficiently reliable
to support a referral to another office within the agency or to another
Federal agency for criminal, civil, administrative, personnel, or
regulatory action.
9. National Security and Intelligence Matters--these records may be
disclosed to Federal, State, local agencies, or other appropriate
entities or individuals, or through established liaison channels to
selected foreign governments, in order to enable an intelligence agency
to carry out its responsibilities under the National Security Act of
1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333
or any successor order, applicable national security directives, or
classified implementing procedures approved by the Attorney General and
promulgated pursuant to such statutes, orders or directives.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored on paper and electronically in a secure
location.
RETRIEVABILITY:
Background investigation files are retrieved by name, Social
Security number (SSN), or fingerprint.
SAFEGUARDS:
Paper records: Paper records are kept in file folders in locked
metal file cabinets in locked rooms at the headquarters office in the
Office of Human Resources. Access to records is limited to approved
security and administrative personnel who have a need for the
information in the performance of their official duties.
Electronic records: Electronic records are kept in the Office of
Human Resources. Access to the records is restricted to those with a
specific role in the personal identity verification (PIV) process that
requires access to background investigation forms to perform their
duties, and who have been given a password to access that part of the
system including background investigation records. An audit trail is
maintained and reviewed periodically to identify unauthorized access.
Persons given roles in the PIV process must complete training specific
to their roles to ensure they are knowledgeable about how to protect
individually identifiable information.
RETENTION AND DISPOSAL:
These records are retained and disposed of in accordance with
General Records Schedule 18, item 22a, approved by the National
Archives and Records Administration (NARA). Records are destroyed upon
notification of death or not later than five years after separation or
transfer of employee to another agency or department, whichever is
applicable.
SYSTEM MANAGER(S) AND ADDRESS:
Vivian Jarcho, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
An individual can determine if this system contains a record
pertaining to him/her by sending a request in writing, signed, to the
FOI Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
[[Page 45228]]
When requesting notification of or access to records covered by
this Notice, an individual should provide his/her full name, date of
birth, agency name, and work location. An individual requesting
notification of records in person must provide identity documents
sufficient to satisfy the custodian of the records that the requester
is entitled to access, such as a government-issued photo ID.
Individuals requesting notification via mail or telephone must furnish,
at a minimum, name, date of birth, social security number, and home
address in order to establish identity.
RECORDS ACCESS PROCEDURES:
Individuals wishing to request access to records about them should
contact the system manager indicated above. Individuals must furnish
their full name (first, middle, and last name) and birth date for their
record to be located and identified. An individual requesting access
must also follow CFTC Privacy Act requirements regarding verification
of identity and amendment of records.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of their records should
contact the system manager indicated above. Individuals must furnish
their full name (first, middle, and last name) and birth date for the
record to be located and identified. An individual requesting amendment
must also follow the CFTC Privacy Act requirements regarding
verification of identity and amendment or records.
RECORD SOURCE CATEGORIES:
Information is obtained from a variety of sources including the
employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-
86 and personal interviews; employers' and former employers' records;
FBI criminal history records and other databases; financial
institutions and credit reports; medical records and health care
providers; educational institutions; interviews of witnesses such as
neighbors, friends, co-workers, business associates, teachers,
landlords, or family members; tax records; and other public records.
Security violation information is obtained from a variety of sources,
such as guard reports, security inspections, witnesses, supervisor's
reports, audit reports.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
Upon publication of a final rule in the Federal Register, this
system of records will be exempt in accordance with 5 U.S.C.
552a(k)(5). Information will be withheld to the extent it identifies
witnesses promised confidentiality as a condition of providing
information during the course of the background investigation.
Issued in Washington, DC on August 8, 2007.
By the Commission,
David Stawick,
Secretary of the Commission.
[FR Doc. E7-15801 Filed 8-10-07; 8:45 am]
BILLING CODE 6351-01-P
