Privacy Act of 1974 System of Records Notice, 41378-41384 [2012-17087]

Agencies

• Commodity Futures Trading Commission

[Federal Register Volume 77, Number 135 (Friday, July 13, 2012)]
[Notices]
[Pages 41378-41384]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-17087]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974 System of Records Notice

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice; publication of character of one revised system of 
records and two new systems of records

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SUMMARY: The Commodity Futures Trading Commission (Commission) is 
revising one system of records under the Privacy Act of 1974: CFTC-44, 
Personnel Security Files, to be renamed CFTC-44, Personnel Clearance 
System. The Commission also is establishing two new systems of records: 
CFTC-48, Personal Property Claims, and CFTC-49, Whistleblower Records 
(Exempted). Revisions to CFTC-44 incorporate enhancements to the system 
of records with a new streamlined process of capturing personal 
information, minimizing paper records and eliminating manual entry into 
a legacy application when an individual applies for a security 
clearance. New CFTC-48 addresses information collected through a new 
process for employees to file and have adjudicated claims for damage or 
loss of certain personal property, as stated in Commission policies and 
applicable law. New CFTC-49 addresses information collected for the 
Commission's whistleblower program, which is described and defined in 
Section 23 of the Commodity Exchange Act, 7 U.S.C. 26, and the rules 
promulgated thereunder, 17 CFR part 165.

DATES: Comments must be received on or before August 13, 2012. This 
action will be effective without further notice on August 22, 2012, 
unless revised pursuant to comments received.

ADDRESSES: You may submit comments identified by ``Personnel Clearance 
System SORN,'' ``Personal Property Claims SORN,'' or ``Whistleblower 
Records SORN'' by any of the following methods:
     Agency web site, via its Comments Online process: https://comments.cftc.gov. Follow the instructions for submitting comments 
through the Web site.
     Federal eRulemaking Portal: Comments may be submitted at 
https://www.regulations.gov. Follow the instructions for submitting 
comments.
     Mail: David A. Stawick, Secretary of the Commission, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581.
     Hand Delivery/Courier: Same as mail above.
    Please submit your comments using only one method.
    All comments must be submitted in English, or if not, accompanied 
by an English translation. Comments will be posted as received to 
www.cftc.gov. You should submit only information that you wish to make 
available publicly. If you wish the Commission to consider information 
that you believe is exempt from disclosure under the Freedom of 
Information Act, a petition for confidential treatment of the exempt 
information may be submitted according to the procedures established in 
Section 145.9 of the Commission's regulations, 17 CFR part 145.9.
    The Commission reserves the right, but shall have no obligation, to 
review, pre-screen, filter, redact, refuse or remove any or all of a 
submission from www.cftc.gov that it may deem to be inappropriate for 
publication, such as obscene language. All submissions that have been 
redacted or removed that contain comments on the merits of the notice 
will be retained in the public comment file and will be considered as 
required under all applicable laws, and may be accessible under the 
Freedom of Information Act.

FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy 
Officer, kharman-stokes@cftc.gov, 202-418-6629, Office of the Executive 
Director, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: 

I. The Privacy Act

    Under the Privacy Act of 1974, 5 U.S.C. 552a, a ``system of 
records'' is defined as any group of records under the control of a 
federal government agency from which information about individuals is 
retrieved by name or other personal identifier. The Privacy Act 
establishes the means by which government agencies must collect, 
maintain, and use personally identifiable information associated with 
an individual in a government system of records.
    Each government agency is required to publish a notice in the 
Federal Register of a system of records in which the agency identifies 
and describes each system of records it maintains, the reasons why the 
agency uses the personally identifying information therein, the routine 
uses for which the agency will disclose such information outside the 
agency, and how individuals may exercise their rights under the Privacy 
Act to determine if the system contains information about them, among 
other things.

II. Routine Uses

    Information in the systems of records covered by this Federal 
Register notice may be disclosed in accordance with the blanket routine 
uses numbered 1 through 19 published at 76 FR 5974 (Feb. 2, 2011) and 
copied below for convenience. These blanket routine uses apply to all 
CFTC systems of records, except as otherwise provided in a specific 
system of records notice:
    1. Information may be used by the Commission in any administrative 
proceeding before the Commission, in any injunctive action authorized 
under the Commodity Exchange Act or in any other action or proceeding 
in which the Commission or its staff participates as a party or the 
Commission participates as amicus curiae.
    2. Information may be disclosed to the Department of Justice, the 
Securities and Exchange Commission, the United States Postal Service, 
the Internal Revenue Service, the Department of Agriculture, the Office 
of Personnel Management, and to other Federal, state,

[[Page 41379]]

local, territorial or tribal law enforcement or regulatory agencies for 
use in meeting their statutory and regulatory requirements.
    3. Information may be given to any ``registered entity,'' as 
defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1 et seq. 
(``the Act''), if the Commission has reason to believe that such 
information will assist the registered entity in carrying out its 
responsibilities under the Act. Information may also be given to any 
registered futures association registered under Section 17 of the Act 
(e.g., the National Futures Association) to assist it in carrying out 
its self-regulatory responsibilities under the Act, and to any national 
securities exchange or national securities association registered with 
the Securities and Exchange Commission to assist those organizations in 
carrying out their self-regulatory responsibilities under the 
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq.
    4. At the discretion of the Commission staff, information may be 
given or shown to anyone during the course of a Commission 
investigation if the staff has reason to believe that the person to 
whom it is disclosed may have further information about the matters 
discussed therein, and those matters appear relevant to the subject of 
the investigation.
    5. Information may be included in a public report issued by the 
Commission following an investigation, to the extent that this is 
authorized under Section 8 of the Commodity Exchange Act, 7 U.S.C. 
Sec.  12. Section 8 authorizes publication of such reports but contains 
restrictions on the publication of certain types of sensitive business 
information developed during an investigation. In certain contexts, 
some of this information might be considered personal in nature.
    6. Information may be disclosed to a Federal agency in response to 
its request in connection with the hiring or retention of an employee, 
the issuance of a security clearance, the reporting of an investigation 
of an employee, the letting of a contract or the issuance of a license, 
or a grant or other benefit by the requesting agency, to the extent 
that the information may be relevant to the requesting agency's 
decision on the matter.
    7. Information may be disclosed to a prospective employer in 
response to its request in connection with the hiring or retention of 
an employee, to the extent that the information is believed to be 
relevant to the prospective employer's decision in the matter.
    8. Information may be disclosed to any person, pursuant to Section 
12(a) of the Commodity Exchange Act, 7 U.S.C. 16(a), when disclosure 
will further the policies of that Act or of other provisions of law. 
Section 12(a) authorizes the Commission to cooperate with various other 
government authorities or with ``any person.''
    9. Where information, either alone or in conjunction with other 
information indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant information may 
be disclosed to the appropriate Federal, state, local, territorial, 
tribal, or foreign law enforcement authority or other appropriate 
entity charged with the responsibility for investigating or prosecuting 
such violation or charged with enforcing or implementing such law.
    10. Information may be disclosed to the General Services 
Administration for the purpose of records management inspections 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    11. Information may be disclosed to the National Archives and 
Records Administration for the purpose of records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    12. Information may be disclosed to foreign law enforcement, 
investigatory, or administrative authorities in order to comply with 
requirements set forth in international arrangements, such as memoranda 
of understanding.
    13. Information may be disclosed to contractors, grantees, 
volunteers, experts, students, and others performing or working on a 
contract, service, grant, cooperative agreement, or job for the Federal 
government when necessary to accomplish an agency function.
    14. Information may be disclosed to the Merit Systems Protection 
Board, including the Office of Special Counsel for the purpose of 
litigation, including administrative proceedings, appeals, special 
studies of the civil service and other merit systems.
    15. Information may be disclosed to the Department of Justice or in 
a proceeding before a court, adjudicative body, or other administrative 
body which the agency is authorized to appear, when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her official capacity where 
the Department of Justice or the agency has agreed to represent the 
employee; or
    d. The United States, when the agency determines that litigation is 
likely to affect the agency or any of its components;

is a party to litigation or has an interest in such litigation, and the 
use of such records by the Department of Justice or the agency is 
deemed by the agency to be relevant and necessary to the litigation 
provided, however, that in each case it has been determined that the 
disclosure is compatible with the purpose for which the records were 
collected.
    16. Information may be disclosed to a Member of Congress or staff 
acting upon the Member's behalf when the Member or staff requests the 
information on behalf of, or at the request of, the individual who is 
the subject of the record.
    17. Information related to any traders or the amount or quantity of 
any commodity purchased or sold by such traders may be disclosed to any 
committee of either House of Congress upon its request, acting within 
the scope of its jurisdiction, pursuant to the Commodity Exchange Act, 
7 U.S.C. 1 et seq., including Section 8(e) of such Act at 7 U.S.C. 12, 
and the rules and regulations promulgated thereunder.
    18. Information may be disclosed to another Federal agency, to a 
court, or a party in litigation before a court or in an administrative 
proceeding being conducted by a Federal agency, when the Government is 
a party to the judicial or administrative proceeding.
    19. Information may be disclosed to appropriate agencies, entities, 
and individuals when:
    a. The Commission suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    b. The Commission has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and
    c. The disclosure made to such agencies, entities, and individuals 
is reasonably necessary to assist in connection with the Commission's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

III. Personnel Clearance System

    The Commission proposes to revise a system of records, CFTC-44, 
Personnel Security Files, to rename the system

[[Page 41380]]

CFTC-44, Personnel Clearance System (PCS) and to identify enhancements. 
The PCS will contain information about individuals who require regular, 
on-going access to CFTC assets, including facilities, information 
technology systems or information classified in the interest of 
national security. The individuals may be Commission employees, 
contractors, interns, volunteers, candidates for employment, 
individuals formerly in any of these positions, and others.
    Any individual who will regularly access CFTC assets must receive 
an official security clearance before access is authorized. CFTC 
collects personal information from the individual, such as social 
security number and date of birth. CFTC provides elements of that 
information to Federal investigative agencies, such as OPM. Once the 
completed investigation is provided to the CFTC, the CFTC adjudicates 
the clearance request.
    In the past, the CFTC has handled much of this process manually, on 
paper, using a legacy, MS-Access-based application. The new system will 
minimize the need for paper records, thereby improving security of 
personal information. It also will eliminate the need for manual input 
of personal information into the legacy application, increasing 
efficiency and the accuracy of information. In addition, the 
enhancements will make it easier to share security clearance processing 
information in a timely manner with appropriate Federal officials.

IV. Personal Property Claims

    The Commission is developing a policy and procedure for employee 
claims for damaged or lost personal property, pursuant to the Military 
Personnel & Civilian Employees' Claims Act of 1964, 31 U.S.C. 3721. 
Under the policy and procedure, the Commission will pay or otherwise 
settle employee claims up to a defined amount per incident for damage 
or loss of personal property under certain circumstances.
    The new system of records will include all information collected 
about the personal property claim from the employee and the related 
documentation of decisions and payment of such claims. The information 
will facilitate the review of the claim and collection of evidence by 
the Logistics and Operations Unit (L&O), the Executive Director's 
decision on the claim, and the payment for or replacement of the 
property. The new system of records also will contain information on 
requests for reconsideration when claims have been denied.

V. Whistleblower Records (Exempted)

    The Commission is creating a system to maintain records related to 
the whistleblower program, which is described and defined in Section 23 
of the Commodity Exchange Act, 7 U.S.C. 26, and the rules promulgated 
thereunder, 17 CFR part 165. The system may include all or any part of 
the records developed during the whistleblower tip, complaint or 
referral submission process, investigation or inquiry, and/or 
whistleblower award claim and determination process, including but not 
limited to data from Commission reporting forms, such as Commission 
Forms TCR and WB-APP, documents and information related to the 
whistleblower program, and records drafted and/or compiled for the 
Commission's Whistleblower Award Determination Panel. This system may 
include: Records, data and correspondence submitted by and sent to 
whistleblowers and/or their representatives; correspondence with other 
law enforcement and regulatory agencies regarding referral of 
whistleblower information and related actions brought by such agencies 
based on whistleblower information; interviews, memoranda and other 
work products prepared by Commission staff; affidavits, statements by 
witnesses, contracts and agreements with whistleblowers, including 
confidentiality agreements; and information available on the Internet 
or other electronic sources accessed for purposes of the whistleblower 
program. The system may also contain internal memoranda and 
declarations of Commission staff, correspondence and other 
miscellaneous investigatory matters.

VI. Notice: Personnel Clearance System

SYSTEM NUMBER:
CFTC-44

SYSTEM NAME:
    Personnel Clearance System (PCS).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    This system is located in the Commission's principal office, at 
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 candidates for Commission 
employment or contracts, Commission employees, contractors of the 
Commission, students, interns, volunteers, individuals authorized to 
perform or use services provided in Commission facilities, and 
individuals formerly in any of these positions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may include any or all of the following: First name, last 
name, social security number, date of birth, state of birth, country of 
birth, non CFTC phone number, non CFTC email address, CFTC duty 
location, CFTC hiring division, hiring manager, job title, job series, 
job grade, journeymen job grade, appointment type, prior CFTC 
employment, prior employment year, prior employment division, business 
manager, proposed start date, level of clearance needed, clearance 
valid date, clearance related investigation status, and clearance 
related investigation notes; copies of and information derived from 
passports, birth certificates, driver's licenses, OF 306 forms, US ``I-
9 Forms'' and resumes; information provided by the Office of Personnel 
Management (OPM) for clearance determination purposes; and in addition 
for contractors only, estimated contract end date, option year 
information, hiring manager and/or Contract Officer Technical Reviewer 
(COTR), contract number, company name, company point of contact, and 
company address.

    Note: This system of records does not include the Office of 
Personnel Management (OPM) background investigation report. An 
identical version of the investigation report is in the possession 
of the Commission, but is considered to be part of the OPM Central-
9, Personnel Investigations Records. For information on how to 
request access to the OPM Central-9, Personnel Investigations 
Records, please see the Note in the Records Access Procedures 
section of this notice.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Applicants and appointees to Federal service are subject to a 
background investigation under 5 CFR parts 731, 732, and 736, Executive 
Order 10450, ``Security Requirements for Government Employment'' and 
the agency memorandum exercising authority to conduct investigations of 
non-competitive service applicants and appointees under these 
authorities. See also Executive Order 13292, ``Classified National 
Security Information,'' and Executive Order 12968, ``Access to 
Classified Information.'' HSPD-12 clarified that Federal contractors 
are

[[Page 41381]]

also subject to background investigation under these authorities. The 
Office of Personnel Management (OPM) is authorized to collect this 
information under 5 U.S.C. 3301, 3302, and 9101. 5 U.S.C. 1104 allows 
OPM to delegate the personnel management function to other Federal 
agencies.
    Solicitation of the Social Security Number is also authorized by 
Executive Order 9397, which asks Federal agencies to use this number to 
help identify individuals in agency records.

PURPOSE(S):
    The records in this system are used to verify identity and to 
facilitate background investigations by OPM and adjudications by the 
CFTC Security and Emergency Management Officer.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed as stated below:
    a. 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.
    b. Employment, Clearances, Contract, or Other Benefits Decision by 
an Organization other than the Commission--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.
    c. 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.
    Information also may be disclosed as stated in the blanket routine 
uses numbered 1 through 19 that appear at the beginning of the 
Commission's compilation of its systems of records notices at 76 FR 
5974 (Feb. 2, 2011), and copied in this Federal Register notice above 
for convenience, ``Supplementary Information,'' ``II. Routine Uses.''

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESS CONTROLS, 
SAFEGUARDS, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The data will be collected and maintained electronically and in 
paper files. Paper records are stored in file folders, binders, 
computer files and computer disks. Electronic records, including 
computer files and electronically maintained data, are stored on the 
Commission's network and other electronic media as needed, such as 
encrypted hard drives.

RETRIEVABILITY:
    Files are retrieved by name of the individual.

ACCESS CONTROLS, SAFEGUARDS:
    Records in the system are protected from unauthorized access and 
misuse through various administrative, technical and physical security 
measures. Technical security measures within CFTC include restrictions 
on computer access to authorized individuals, required use of strong 
passwords that are frequently changed, use of encryption for certain 
data types and transfers, and regular review of security procedures and 
best practices to enhance security. Physical measures include 
restrictions on building access to authorized individuals only and 
maintaining records in lockable offices and filing cabinets. These 
records are kept in electronic form and in file folders in locked metal 
file cabinets in locked rooms at the headquarters office in the 
Security and Emergency Management Office.

RETENTION AND DISPOSAL:
    The records will be maintained and disposed of in accordance with 
General Records Schedule 18, Item 22a and Item 22b. The schedules are 
available at www.cftc.gov. The data will be deleted by the Personnel 
Security staff 90 days after the separation of the individual from 
CFTC.

SYSTEM MANAGER(S) AND ADDRESS:
    Security and Emergency Management Office within Logistics and 
Operations in the Commission's Office of the Executive Director, 
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 
Office of General Counsel, Paralegal Specialist, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581. Telephone (202) 
418-5011.
    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, such 
as a government-issue photo ID, sufficient to satisfy the custodian of 
the records that the requester is entitled to access. 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.

    Note: For information on how to request access to the OPM 
Personnel Investigations Records which are part of the OPM Central-9 
system of records, please see the Note in the Records Access 
Procedures section of this notice.

RECORDS ACCESS PROCEDURES:
    Individuals wishing to request access to CFTC 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. Correspondence

[[Page 41382]]

between the requester and Human Resources staff on the subject of any 
background investigation and security adjudication may also be made 
available.

    Note: The CFTC may not provide an individual with access to his/
her OPM Personnel Investigations Records or to copies of OPM 
documentation of any background investigation conducted by OPM or 
contractors dealing with those investigations. These records, which 
are sent to the CFTC Security and Emergency Management Office to 
allow adjudication of the request for security clearance, are owned 
by OPM and reside within the OPM Central-9 system of records. OPM is 
solely responsible for controlling access to, or amendment of, those 
records. Those seeking access to, or amendment, of those records 
owned by OPM should submit a request in writing to the Federal 
Investigations Processing Center, as stated in OPM Central-9. The 
signed request should be made under the Privacy Act of 1974 and 
include the requester's full name, home address, Social Security 
Number, date and place of birth, and other information requested by 
OPM.

CONTESTING RECORD PROCEDURES:
    Individuals wishing to request amendment of their CFTC 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 of records.

    Note: Individuals who wish to request amendment of their OPM 
Personnel Investigations Records should follow the requirements of 
the OPM Central-9 system of records. For information on how to 
submit such a request, please see the Note in the Records Access 
Procedures section of this notice.

RECORD SOURCE CATEGORIES:
    The individual and OPM will provide the information for this system 
of records.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    None.

VII. Notice: Personal Property Claims

System Number:
CFTC-48

SYSTEM NAME:
    Personal Property Claims.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    This system is located in the Commission's principal office at 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    CFTC employees and former employees who have experienced damage to 
or loss of personal property incident to Commission business. Covered 
individuals also may include authorized agents or legal representatives 
of CFTC employees or former employees, or their survivors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system of records includes the information provided by 
employees on a CFTC Personal Property Claims form, including the 
following when applicable: name of employee, information concerning the 
damage or loss of personal property, personal property at issue, 
corroborating statements from persons who have personal knowledge of 
the facts concerning the claim, either an itemized bill for repair of 
damaged property, or an itemized repair estimate or bill of sale or 
value estimate from a competent repairman or appraiser, evidence that 
the employee has filed a claim with the carrier or insurer, and copies 
of any pertinent correspondence, copies of travel and transportation 
orders, a statement concerning any reimbursement obtained from a 
carrier or insurer, describing reimbursement received for each item, 
copies of police reports, and other evidence which may be needed for 
CFTC review and determination of whether to pay the claim.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Military Personnel and Civilian Employees' Claims Act, 31 
U.S.C. 3721, authorizes heads of federal agencies to pay or otherwise 
settle claims of employees up to a limit specified by the Act and/or 
CFTC policies for damage or loss of personal property incident to their 
services.

PURPOSE(S):
    The purpose of the system of records is to include all information 
related to claims by employees for damage to or loss of personal 
property incident to Commission business, as provided in the Military 
Personnel & Civilian Employees' Claims Act of 1964, 31 U.S.C. 3721. The 
system will facilitate the review of a claim and collection of evidence 
by CFTC Logistics and Operations Unit (L&O); will facilitate the 
Executive Director's decision as to whether to pay a claim, offer a 
replacement of the property in kind or otherwise settle the claim; will 
facilitate processing through Financial Management; and when a claim 
has been denied, will allow a claimant to request reconsideration, as 
stated in Commission policy.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The information in this system will be routinely used by CFTC staff 
in the Office of the Executive Director, including L&O, Security and 
Emergency Management Office and Financial Management Branch to review, 
process and adjudicate personal property claims. Information also may 
be disclosed as stated in the blanket routine uses numbered 1 through 
19 that appear at the beginning of the Commission's compilation of its 
systems of records notices at 76 FR 5974 (Feb. 2, 2011), and copied in 
this Federal Register notice above for convenience, ``Supplementary 
Information,'' ``II. Routine Uses.''

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESS CONTROLS, 
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders, computer disks, 
and are uploaded into the CFTC network. Electronic records, including 
emails, spreadsheets, PDF files and documents are maintained on a 
SharePoint site, are stored on the Commission's network and other 
electronic media as needed, such as encrypted hard drives and back-up 
media.

RETRIEVABILITY:
    By name of the employee who files the personal property claim.

ACCESS CONTROLS, SAFEGUARDS:
    Records in the system are protected from unauthorized access and 
misuse through various administrative, technical and physical security 
measures. Technical security measures within CFTC include restrictions 
on computer access to authorized individuals, required use of strong 
passwords that are frequently changed, use of encryption for certain 
data types and transfers, and regular review of security procedures and 
best practices to enhance security. Physical measures include 
restrictions on building access to authorized individuals only and 
maintaining records in lockable offices and filing cabinets.

[[Page 41383]]

RETENTION AND DISPOSAL:
    The records will be maintained in accordance with records 
disposition schedules approved by the National Archives and Records 
Administration. The schedules are available at www.cftc.gov.

SYSTEM MANAGER(S) AND ADDRESS:
    Logistics & Operations in the Commission's Office of the Executive 
Director, located at the Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals who file personal property claims; the individual's 
supervisor; information from witnesses collected by the Security and 
Emergency Management Office staff; the Executive Director, who makes 
the final decision regarding settlement of the claim; and personnel in 
the Commission's Financial Management Branch who handle financial 
reimbursement issues.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    None.

VIII. Notice: Whistleblower Records (Exempted)

System Number:
CFTC-49

SYSTEM NAME:
    Whistleblower Records (Exempted).

SYSTEM LOCATION:
    This system is located in the Whistleblower Office, in the Office 
of the Executive Director, in the Commission's principal office at 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    a. Individuals who have submitted tips, complaints or referrals, 
award applications and/or related documents or information to the 
Whistleblower Office in relation to the Commission's whistleblower 
program, and any individuals who are referenced in any information 
submitted to or accessed by the Whistleblower Office in relation to the 
whistleblower program.
    b. Individuals whom the Commission staff has reason to believe have 
violated, are violating, or are about to violate the Commodity Exchange 
Act and the rules, regulations and orders promulgated thereunder.
    c. Individuals whom the Commission staff has reason to believe have 
violated, are violating, or are about to violate a law or regulation or 
order of another federal, state or foreign authority.
    d. Individuals whom the Commission staff has reason to believe may 
have information concerning violations of the Commodity Exchange Act 
and the rules, regulations and orders promulgated thereunder.
    e. Individuals whom the Commission staff has identified as relevant 
to an enforcement investigation, such as complainants, witnesses and 
counsel.
    f. Individuals whom a foreign law enforcement authority has found 
or alleges to have, or suspects of having, violated foreign laws, 
rules, regulations or orders of such foreign law enforcement authority.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system may include all or any part of the records developed 
during the whistleblower tip, complaint or referral submission process, 
investigation or inquiry, or whistleblower award claim and 
determination process, as described in Section 23 of the Commodity 
Exchange Act, 7 U.S.C. 26, and the rules promulgated thereunder, 17 CFR 
part 165, including but not limited to data from Commission reporting 
forms, such as Commission Forms TCR and WB-APP, documents and 
information related to the whistleblower program, and records drafted 
and/or compiled for the Commission's Whistleblower Award Determination 
Panel whose disclosure the Commission staff has determined could impair 
the effectiveness and orderly conduct of the Commission's 
whistleblower, regulatory and enforcement programs or compromise 
Commission investigations. This system may include: records, data and 
correspondence submitted by and sent to whistleblowers and/or their 
representatives; correspondence with other law enforcement and 
regulatory agencies regarding referral of whistleblower information and 
related actions brought by such agencies based on whistleblower 
information; interviews, memoranda and other work products prepared by 
Commission staff; affidavits, statements by witnesses, contracts and 
agreements with whistleblowers, including confidentiality agreements; 
and information available on the Internet or other electronic sources 
accessed for purposes of the whistleblower program. The system may also 
contain internal memoranda and declarations of Commission staff, 
correspondence and other miscellaneous investigatory matters. The 
nature of the personal information contained in these files varies 
according to what has been submitted by the whistleblower and/or his/
her representative, and may include personal background information 
about individuals involved, their education and employment history, 
social security numbers, trading account details, information on prior 
violations, and a wide variety of financial information, as well as a 
detailed examination of the individuals' activities during the period 
in question.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Commodity Exchange Act Section 23, 7 U.S.C. Sec.  26, and the rules 
promulgated thereunder, 17 CFR part 165, authorizing the creation and 
administration of the Commission's whistleblower program.

PURPOSE(S):
    The Commission's whistleblower program is designed to pay awards to 
eligible individuals who voluntarily provide the Commission with 
original information about violations of the Commodity Exchange Act 
(CEA) that lead to the successful enforcement of covered judicial or 
administrative actions, or related actions. The whistleblower 
provisions also prohibit retaliation by employers against individuals 
who provide the Commission with information about possible CEA 
violations. As part of its administration of the whistleblower program, 
the Commission's Whistleblower Office maintains records of 
whistleblower tips, complaints, award claims and related supplemental 
records and correspondence.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices at 76 
FR 5974 (Feb. 2, 2011), and copied in this Federal Register notice 
above for

[[Page 41384]]

convenience, ``Supplementary Information,'' ``II. Routine Uses,'' which 
will be exercised in accordance with Commodity Exchange Act Section 
23(h)(2), 7 U.S.C. 26(h)(2), and rule 165.4 thereunder, 17 CFR 165.4.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and binders. Electronic 
records, including PDFs of paper records and computer files, are stored 
on the Commission's network and on various other electronic media as 
needed, such as encrypted hard drives.

RETRIEVABILITY:
    By the name, submission number or other individual identifier of 
the individual or individuals seeking whistleblower status or claiming 
a whistleblower award.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within the Commission include restrictions 
on computer access to authorized individuals, required use of strong 
passwords that are frequently changed, use of encryption for certain 
data types and transfers, and regular review of security procedures and 
best practices to enhance security. Physical measures include 
restrictions on building access to authorized individuals and 
maintenance of certain records in secured filing rooms and/or locked 
filing cabinets. Also, all employees are made aware of the sensitive 
nature of whistleblower information.

RETENTION AND DISPOSAL:
    1. Whistleblower Submission Files:
    a. Includes but is not limited to Forms TCR and WB-APP, records 
provided by whistleblowers and/or their representatives in support of 
their submissions, memoranda of interviews with whistleblowers, 
correspondence with whistleblowers and/or their representatives, and 
other related records.
    b. Such files will be closed after the last action on the relevant 
Division of Enforcement matter, after the final appeal of the decision 
of the Whistleblower Award Determination Panel is exhausted, or after 
the award payment to the whistleblower has been made, whichever is 
applicable and whichever is latest (the cut-off date). Such files will 
be destroyed 15 years after the end of the fiscal year on which the 
latest cut-off date occurs.
    2. Whistleblower Award Determination Panel Records:
    a. Includes but is not limited to documentation that the 
Whistleblower Office collects and prepares for the Whistleblower Award 
Determination Panel to make eligibility and award decisions, the 
Panel's determinations, records documenting payment of awards to 
whistleblowers, Panel membership lists and other records related to the 
administration of the Panel, and other related records.
    b. Such files will be closed after the final appeal of the 
Whistleblower Award Determination Panel decision is exhausted, or after 
the award payment to the whistleblower has been made, whichever is 
applicable and whichever is latest (the cut-off date). Such files will 
be transferred to the National Archives and Records Administration 15 
years after the end of the fiscal year in which the latest cut-off date 
occurs.

    All whistleblower records remain exempt from disclosure under the 
Privacy Act.

SYSTEM MANAGER(S) AND ADDRESS:
    Whistleblower Officer in the Office of the Executive Director, in 
the Commission's principal office at Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, 
DC 20581.

RECORD SOURCE CATEGORIES:
    Reporting forms and other information filed with or submitted to 
the Commission by: Individuals interested in participating in the 
whistleblower program; self-regulatory organizations; individuals or 
firms covered by the Commission's registration requirements; federal, 
state and local regulatory and law enforcement agencies; banks, credit 
organizations and other institutions; corporations; individuals having 
knowledge of the facts; attorneys; publications; courts; the 
Whistleblower Award Determination Panel; and other sources which may 
have information related to the handling of a whistleblower matter.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The records in this system have been exempted by the Commission 
from certain provisions of the Privacy Act of 1974 pursuant to the 
terms of the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's 
rules promulgated thereunder, 17 CFR 146.12. These records are exempt 
from the notification procedures, records access procedures, and record 
contest procedures set forth in the system notices of other systems of 
records, and from the requirement that the sources of records in the 
system be described.

    Issued in Washington, DC, this 3rd day of July 2012, by the 
Commission.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2012-17087 Filed 7-12-12; 8:45 am]
BILLING CODE P