Privacy Act of 1974: System of Records, 45225-45228 [E7-15801]

Download as PDF 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]


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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