Privacy Act of 1974; System of Records, 34123-34126 [2018-15392]
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Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices
https://www.nesdis.noaa.gov/CRSRA/
accresHome.html.
Stephen M. Volz,
Assistant Administrator, for Satellite and
Information Services.
[FR Doc. 2018–14970 Filed 7–18–18; 8:45 am]
BILLING CODE 3510–HR–P
COMMODITY FUTURES TRADING
COMMISSION
Privacy Act of 1974; System of
Records
Commodity Futures Trading
Commission.
ACTION: Notice of Two Modified
Systems of Records.
AGENCY:
In accordance with the
requirements of the Privacy Act of 1974,
as amended, the Commodity Futures
Trading Commission (CFTC or
Commission) is republishing two
existing System of Record Notices
(SORNs): CFTC–39, Freedom of
Information Act Requests and CFTC–40,
Privacy Act Requests. The modification
will add three routine uses, clarify
existing routine uses, and bring the
SORNs in compliance with the Office of
Management and Budget (OMB)
Circular A–108 SORN template. Two of
the new routine uses pertain to sharing
information to mitigate a breach and are
required by OMB Memorandum 17–12.
The third new routine use is requested
by the Office of Government
Information Services (OGIS) to allow
disclosure of personally identifiable
information to OGIS for Freedom of
Information Act (FOIA) dispute
resolution and compliance review
purposes. Other updates include
identifying the specific routine uses
applicable to each of the systems of
records rather than relying on CFTC’s
previously published blanket routine
uses, and administrative updates to
comply with the OMB Circular A–108
SORN template format.
DATES: Comments must be received on
or before August 20, 2018. This action
takes effect without further notice on
August 20, 2018, unless revised
pursuant to comments received.
ADDRESSES: You may submit comments
identified as pertaining to ‘‘Freedom of
Information Act Requests’’ or ‘‘Privacy
Act Requests’’ by any of the following
methods:
• Agency website, via its Comments
Online process: https://
comments.cftc.gov. Follow the
instructions for submitting comments
through the website.
sradovich on DSK3GMQ082PROD with NOTICES
SUMMARY:
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17:34 Jul 18, 2018
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• Mail: Christopher J. Kirkpatrick,
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 https://
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 (FOIA), a petition for
confidential treatment of the exempt
information may be submitted according
to the procedures established in § 145.9
of the Commission’s regulations, 17 CFR
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
https://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 comment
file and will be considered as required
under all applicable laws, and may be
accessible under the FOIA.
FOR FURTHER INFORMATION CONTACT:
Chief Privacy Officer, privacy@cftc.gov,
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 by
some identifying number, symbol, or
other identifying particular assigned to
the individual. The Privacy Act
establishes the means by which
government agencies must collect,
maintain, and use information about an
individual in a government system of
records.
Each government agency is required
to publish a notice in the Federal
Register in which the agency identifies
and describes each system of records it
maintains, the reasons why the agency
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34123
uses the 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.
In accordance with 5 U.S.C. 552a(r),
CFTC has provided reports of these
systems of records to the Office of
Management and Budget (OMB) and to
Congress.
II. Background
The Commodity Futures Trading
Commission (CFTC or Commission) is
republishing two existing SORNs:
CFTC–39, Freedom of Information Act
Requests and CFTC–40, Privacy Act
Requests. The SORNs are being
republished to add three routine uses,
clarify existing routine uses, and bring
the SORN in compliance with OMB
Circular A–108 SORN template. The
records covered under the Freedom of
Information Act Requests SORN are
collected and maintained to process
requests made under the provisions of
the FOIA, and to assist the CFTC in
carrying out any other responsibilities
relating to the FOIA. The records
covered under the Privacy Act Requests
SORN are collected and maintained to
process requests made under the
provisions of the Privacy Act, and to
assist the CFTC in carrying out any
other responsibilities relating to the
Privacy Act. Two routine uses are being
added to both SORNs to permit sharing
with other Federal agencies or Federal
entities as required by OMB
Memorandum 17–12, ‘‘Preparing for and
Responding to a Breach of Personally
Identifiable Information.’’ These routine
uses will assist the CFTC and/or other
Federal agencies or entities in
responding to a suspected or confirmed
breach and/or prevent, minimize, or
remedy the risk of harm to the
requesters, the CFTC, the Federal
government, or national security. A
third routine use is being added to both
SORNs to permit sharing with the
National Archives and Records
Administration (NARA), Office of
Government Information Services
(OGIS) so OGIS can review
administrative policies, procedures, and
compliance, and to facilitate resolutions
to disputes between persons making
FOIA requests and the CFTC.
Additional updates to both SORNs
include clarifying the specific routine
uses applicable to each system of
records, and administrative updates
including section name and
organization updates to comply with the
OMB Circular A–108 SORN template
format.
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Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices
III. Notice: Freedom of Information Act
Requests, CFTC–39.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
SYSTEM NAME AND NUMBER
These records and information in
these records may be used:
(a) To disclose information to the
National Archives and Records
Administration, Office of Government
Information Services (OGIS), to the
extent necessary to fulfill its
responsibilities in 5 U.S.C. 552(h), to
review administrative agency policies,
procedures, and compliance with the
Freedom of Information Act, and to
facilitate OGIS’ offering of mediation
services to resolve disputes between
persons making FOIA requests and
administrative agencies;
(b) To disclose 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;
(c) To disclose to Federal, State, local,
territorial, Tribal, or foreign agencies for
use in meeting their statutory or
regulatory requirements;
(d) To disclose 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;
(e) To disclose to Congress upon its
request, acting within the scope of its
jurisdiction, pursuant to the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and the
rules and regulations promulgated
thereunder;
(f) To disclose to appropriate
agencies, entities, and persons when (1)
the Commission suspects or has
confirmed that there has been a breach
of the system of records; (2) the
Commission has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, the Commission (including
its information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Commission’s
efforts to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm; or
(g) To disclose to another Federal
agency or Federal entity, when the
Commission determines that
information from this system of records
is reasonably necessary to assist the
recipient agency or entity in (1)
responding to a suspected or confirmed
breach or (2) preventing, minimizing, or
Freedom of Information Act Requests,
CFTC–39.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This system is located at the
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. Other offices involved in the
processing of requests may also
maintain copies of the requests and any
related internal administrative records.
SYSTEM MANAGER(S):
General Counsel, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW,
Washington, DC 20581.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The collection of this information is
authorized under the Freedom of
Information Act, 5 U.S.C. 552, 5 U.S.C.
301.
PURPOSE(S) OF THE SYSTEM:
The information in this system is
being collected to enable the CFTC to
carry out its responsibilities under the
FOIA. These responsibilities include
enabling CFTC staff to receive, track,
and respond to FOIA requests. This
requires maintaining documentation
gathered during the consideration and
disposition process and administering
annual reporting requirements.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals requesting information
from the Commission pursuant to
provisions of FOIA, 5 U.S.C. 552, and
individuals who are the subjects of
FOIA requests.
sradovich on DSK3GMQ082PROD with NOTICES
CATEGORIES OF RECORDS IN THE SYSTEM:
The system of records includes
information that may contain: requests,
responsive documents, internal
memoranda, electronic mail, response
letters, appeals of denials, appeal
determinations, electronic tracking data,
fee schedules, cost calculations, and
assessed cost for disclosed FOIA
records.
RECORD SOURCE CATEGORIES:
Individuals requesting information
from the Commission pursuant to the
FOIA and CFTC staff processing the
requests.
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remedying the risk of harm to
individuals, the recipient agency or
entity (including its information
systems, programs, and operations), the
Federal Government, or national
security, resulting from a suspected or
confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
The FOIA system of records stores
records in this system electronically.
The records are stored on the
Commission’s secure network and
secure back-up media.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Information covered by this system of
records notice may be retrieved by
assigned control number, name of
requester, or by subject of request.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Records for this system will be
maintained in accordance with General
Records Schedule 4.2 of the National
Archives and Records Administration.
All approved schedules are available at
https://www.cftc.gov.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are protected from
unauthorized access and improper use
through administrative, technical, and
physical security measures.
Administrative safeguards include
written guidelines on handling FOIA
information including agency-wide
procedures for safeguarding personally
identifiable information. In addition, all
CFTC staff are required to take annual
privacy and security training. Technical
security measures within CFTC include
restrictions on computer access to
authorized individuals who have a
legitimate need to know the
information; required use of strong
passwords that are frequently changed;
multi-factor authentication for remote
access and access to many CFTC
network components; use of encryption
for certain data types and transfers;
firewalls and intrusion detection
applications; and regular review of
security procedures and best practices
to enhance security. Physical safeguards
include restrictions on building access
to authorized individuals, 24-hour
security guard service, and maintenance
of records in lockable offices and filing
cabinets.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine
whether this system of records contains
information about themselves or seeking
access to records about themselves in
E:\FR\FM\19JYN1.SGM
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Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices
this system of records should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.3 for full details
on what to include in a Privacy Act
access request.
PURPOSE(S) OF THE SYSTEM:
CONTESTING RECORD PROCEDURES:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals contesting the content of
records about themselves contained in
this system of records should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.8 for full details
on what to include in a Privacy Act
amendment request.
NOTIFICATION PROCEDURES:
Individuals seeking notification of
any records about themselves contained
in this system of records should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.3 for full details
on what to include in a Privacy Act
notification request.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
A previous version of this SORN was
published in the Federal Register on
February 02, 2011 at 76 FR 5973.
IV. Notice: Privacy Act Requests,
CFTC–40.
SYSTEM NAME AND NUMBER
Privacy Act Requests, CFTC–40.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This system is located at the
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. Other offices involved in the
processing of requests may also
maintain copies of the requests and any
related internal administrative records.
sradovich on DSK3GMQ082PROD with NOTICES
SYSTEM MANAGER(S):
General Counsel, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW,
Washington, DC 20581.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The collection of this information is
authorized under the Privacy Act, 5
U.S.C. 552a, 5 U.S.C. 301.
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17:34 Jul 18, 2018
Jkt 244001
The information in this system is
being collected to enable the CFTC to
carry out its responsibilities under the
Privacy Act. These responsibilities
include enabling CFTC staff to receive,
track, and respond to Privacy Act
requests.
Individuals filing requests for access
to, correction of, or an accounting of
disclosures of personal information
contained in systems of records
maintained by the Commission,
pursuant to the Privacy Act of 1974. 5
U.S.C. 552a.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests, responsive documents,
internal memoranda, response letters,
appeals of denials, appeal
determinations, and electronic tracking
data.
RECORD SOURCE CATEGORIES:
Individuals requesting information
from the Commission pursuant to the
Privacy Act and CFTC staff processing
the requests.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records and information in
these records may be used:
(a) To disclose information to the
National Archives and Records
Administration, Office of Government
Information Services (OGIS), to the
extent necessary to fulfill its
responsibilities in 5 U.S.C. 552(h), to
review administrative agency policies,
procedures, and compliance with the
Freedom of Information Act, and to
facilitate OGIS’ offering of mediation
services to resolve disputes between
persons making FOIA requests and
administrative agencies;
(b) To disclose 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;
(c) To disclose to Federal, State, local,
territorial, Tribal, or foreign agencies for
use in meeting their statutory or
regulatory requirements;
(d) To disclose to anyone during the
course of a Commission investigation if
Commission staff has reason to believe
that the person to whom it is disclosed
may have further information about
matters relevant to the subject of the
investigation;
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34125
(e) To disclose 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;
(f) To disclose to Congress upon its
request, acting within the scope of its
jurisdiction, pursuant to the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and the
rules and regulations promulgated
thereunder;
(g) To disclose to appropriate
agencies, entities, and persons when (1)
the Commission suspects or has
confirmed that there has been a breach
of the system of records; (2) the
Commission has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, the Commission (including
its information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Commission’s
efforts to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm; or
(h) To disclose to another Federal
agency or Federal entity, when the
Commission determines that
information from this system of records
is reasonably necessary to assist the
recipient agency or entity in (1)
responding to a suspected or confirmed
breach or (2) preventing, minimizing, or
remedying the risk of harm to
individuals, the recipient agency or
entity (including its information
systems, programs, and operations), the
Federal Government, or national
security, resulting from a suspected or
confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
The Privacy Act Requests system of
records stores records in this system
electronically. The records are stored on
the Commission’s secure network, and
on secure back-up media.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Information covered by this system of
records notice may be retrieved by
assigned control number, name of
requester, or by subject of request.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Records for this system will be
maintained in accordance with General
Records Schedule 4.2 of the National
Archives and Records Administration.
All approved schedules are available at
https://www.cftc.gov.
E:\FR\FM\19JYN1.SGM
19JYN1
34126
Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
HISTORY:
Records are protected from
unauthorized access and improper use
through administrative, technical, and
physical security measures.
Administrative safeguards include
agency-wide training and procedures for
safeguarding personally identifiable
information. Technical security
measures within CFTC include
restrictions on computer access to
authorized individuals who have a
legitimate need to know the
information; required use of strong
passwords that are frequently changed;
multi-factor authentication for remote
access and access to many CFTC
network components; use of encryption
for certain data types and transfers;
firewalls and intrusion detection
applications; and regular review of
security procedures and best practices
to enhance security. Physical safeguards
include restrictions on building access
to authorized individuals, 24-hour
security guard service, and maintenance
of records in lockable offices and filing
cabinets.
RECORD ACCESS PROCEDURES:
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 should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.3 for full details
on what to include in Privacy Act access
request.
CONTESTING RECORD PROCEDURES:
Individuals contesting the content of
records about themselves contained in
this system of records should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.8 for full details
on what to include in a Privacy Act
amendment request.
sradovich on DSK3GMQ082PROD with NOTICES
NOTIFICATION PROCEDURES:
Individuals seeking notification of
any records about themselves contained
in this system of records should address
written inquiries to the Office of General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.3 for full details
on what to include in a Privacy Act
notification request.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
VerDate Sep<11>2014
17:34 Jul 18, 2018
Jkt 244001
A previous version of this SORN was
published in the Federal Register on
February 02, 2011 at 76 FR 5973.
Issued in Washington, DC, on July 13,
2018, by the Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018–15392 Filed 7–18–18; 8:45 am]
BILLING CODE 6351–01–P
DEPARTMENT OF EDUCATION
[Docket ID ED–2018–FSA–0029]
Privacy Act of 1974; Matching Program
Department of Education.
Notice of a New Matching
Program.
AGENCY:
ACTION:
This provides notice of the reestablishment of the matching program
between the U.S. Department of
Education (Department) and the Social
Security Administration (SSA). The
purpose of the matching program is to
assist the Department in facilitating
borrowers who owe a balance on one or
more student loans under title IV of the
Higher Education Act of 1965, as
amended (HEA), should they wish to do
so, to more efficiently and effectively
apply for a total and permanent
disability (TPD) discharge of their
student loans. The matching program
also will assist the Department in
allowing recipients of Teacher
Education Assistance for College and
Higher Education (TEACH) Grants
under title IV of the HEA who are
obligated to repay due to failure to
complete their agreement to serve,
should they wish to do so, to more
efficiently and effectively apply for a
TPD discharge of their agreement to
serve.
SUMMARY:
Submit your comments on the
proposed matching program on or
before August 20, 2018.
The matching program will go into
effect 30 days after the publication of
this notice, on July 19, 2018, unless
comments have been received from
interested members of the public
requiring modification and
republication of the notice. The
matching program will continue for 18
months after the effective date and may
be extended for an additional 12
months, if the respective Data Integrity
Boards (DIBs) of the Department and
SSA determine that the conditions
specified in 5 U.S.C. 552a(o)(2)(D) have
been met.
ADDRESSES: Submit your comments
through the Federal eRulemaking Portal
DATES:
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Frm 00029
Fmt 4703
Sfmt 4703
or via postal mail, commercial delivery,
or hand delivery. We will not accept
comments submitted by fax or by email
or those submitted after the comment
period. To ensure that we do not receive
duplicate copies, please submit your
comments only once. In addition, please
include the Docket ID at the top of your
comments.
• Federal eRulemaking Portal: Go to
www.regulations.gov to submit your
comments electronically. Information
on using Regulations.gov, including
instructions for accessing agency
documents, submitting comments, and
viewing the docket, is available on the
site under the ‘‘help’’ tab.
• Postal Mail, Commercial Delivery,
or Hand Delivery: If you mail or deliver
your comments about these proposed
regulations, address them to Brenda
Seidel, Management and Program
Analyst, Federal Student Aid, U.S.
Department of Education, 830 First
Street NE, Washington, DC 20202–5320,
Telephone: 202–377–3982.
Privacy Note: The Department’s
policy is to make all comments received
from members of the public available for
public viewing in their entirety on the
Federal eRulemaking Portal at
www.regulations.gov. Therefore,
commenters should be careful to
include in their comments only
information that they wish to make
publicly available.
FOR FURTHER INFORMATION CONTACT: Pam
Eliadis, Service Director, System
Operations & Aid Delivery Management,
Federal Student Aid, U.S. Department of
Education, 830 First Street NE,
Washington, DC 20202–5320.
Telephone: 202–377–3554.
SUPPLEMENTARY INFORMATION: We
provide this notice in accordance with
Privacy Act of 1974, as amended
(Privacy Act) (5 U.S.C. 552a); Office of
Management and Budget (OMB) Final
Guidance Interpreting the Provisions of
Public Law 100–503, the Computer
Matching and Privacy Protection Act of
1988, 54 FR 25818 (June 19, 1989); and
OMB Circular No. A–108.
Participating Agencies: The U.S.
Department of Education and the Social
Security Administration.
Authority For Conducting The
Matching Program: The Department’s
legal authority to enter into this
matching program and to disclose
information as part of this matching
program is sections 420N(c), 437(a)(1),
455(a)(1), and 464(c)(1)(F)(ii and iii) of
the HEA (20 U.S.C. 1070g–2(c),
1087(a)(1), 1087e(a)(1)), and
1087dd(c)(1)(F)(ii and iii)), the
regulations promulgated pursuant to
these sections (34 CFR 674.61(b),
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]]>Agencies
[Federal Register Volume 83, Number 139 (Thursday, July 19, 2018)]
[Notices]
[Pages 34123-34126]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-15392]
=======================================================================
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974; System of Records
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice of Two Modified Systems of Records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, the Commodity Futures Trading Commission (CFTC or
Commission) is republishing two existing System of Record Notices
(SORNs): CFTC-39, Freedom of Information Act Requests and CFTC-40,
Privacy Act Requests. The modification will add three routine uses,
clarify existing routine uses, and bring the SORNs in compliance with
the Office of Management and Budget (OMB) Circular A-108 SORN template.
Two of the new routine uses pertain to sharing information to mitigate
a breach and are required by OMB Memorandum 17-12. The third new
routine use is requested by the Office of Government Information
Services (OGIS) to allow disclosure of personally identifiable
information to OGIS for Freedom of Information Act (FOIA) dispute
resolution and compliance review purposes. Other updates include
identifying the specific routine uses applicable to each of the systems
of records rather than relying on CFTC's previously published blanket
routine uses, and administrative updates to comply with the OMB
Circular A-108 SORN template format.
DATES: Comments must be received on or before August 20, 2018. This
action takes effect without further notice on August 20, 2018, unless
revised pursuant to comments received.
ADDRESSES: You may submit comments identified as pertaining to
``Freedom of Information Act Requests'' or ``Privacy Act Requests'' by
any of the following methods:
Agency website, via its Comments Online process: https://comments.cftc.gov. Follow the instructions for submitting comments
through the website.
Mail: Christopher J. Kirkpatrick, 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
https://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 (FOIA), a petition for confidential
treatment of the exempt information may be submitted according to the
procedures established in Sec. 145.9 of the Commission's regulations,
17 CFR 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 https://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 comment file and will
be considered as required under all applicable laws, and may be
accessible under the FOIA.
FOR FURTHER INFORMATION CONTACT: Chief Privacy Officer,
[email protected], 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 by some identifying number, symbol, or other
identifying particular assigned to the individual. The Privacy Act
establishes the means by which government agencies must collect,
maintain, and use information about an individual in a government
system of records.
Each government agency is required to publish a notice in the
Federal Register in which the agency identifies and describes each
system of records it maintains, the reasons why the agency uses the
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.
In accordance with 5 U.S.C. 552a(r), CFTC has provided reports of
these systems of records to the Office of Management and Budget (OMB)
and to Congress.
II. Background
The Commodity Futures Trading Commission (CFTC or Commission) is
republishing two existing SORNs: CFTC-39, Freedom of Information Act
Requests and CFTC-40, Privacy Act Requests. The SORNs are being
republished to add three routine uses, clarify existing routine uses,
and bring the SORN in compliance with OMB Circular A-108 SORN template.
The records covered under the Freedom of Information Act Requests SORN
are collected and maintained to process requests made under the
provisions of the FOIA, and to assist the CFTC in carrying out any
other responsibilities relating to the FOIA. The records covered under
the Privacy Act Requests SORN are collected and maintained to process
requests made under the provisions of the Privacy Act, and to assist
the CFTC in carrying out any other responsibilities relating to the
Privacy Act. Two routine uses are being added to both SORNs to permit
sharing with other Federal agencies or Federal entities as required by
OMB Memorandum 17-12, ``Preparing for and Responding to a Breach of
Personally Identifiable Information.'' These routine uses will assist
the CFTC and/or other Federal agencies or entities in responding to a
suspected or confirmed breach and/or prevent, minimize, or remedy the
risk of harm to the requesters, the CFTC, the Federal government, or
national security. A third routine use is being added to both SORNs to
permit sharing with the National Archives and Records Administration
(NARA), Office of Government Information Services (OGIS) so OGIS can
review administrative policies, procedures, and compliance, and to
facilitate resolutions to disputes between persons making FOIA requests
and the CFTC. Additional updates to both SORNs include clarifying the
specific routine uses applicable to each system of records, and
administrative updates including section name and organization updates
to comply with the OMB Circular A-108 SORN template format.
[[Page 34124]]
III. Notice: Freedom of Information Act Requests, CFTC-39.
SYSTEM NAME AND NUMBER
Freedom of Information Act Requests, CFTC-39.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This system is located at the Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
Other offices involved in the processing of requests may also maintain
copies of the requests and any related internal administrative records.
SYSTEM MANAGER(S):
General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The collection of this information is authorized under the Freedom
of Information Act, 5 U.S.C. 552, 5 U.S.C. 301.
PURPOSE(S) OF THE SYSTEM:
The information in this system is being collected to enable the
CFTC to carry out its responsibilities under the FOIA. These
responsibilities include enabling CFTC staff to receive, track, and
respond to FOIA requests. This requires maintaining documentation
gathered during the consideration and disposition process and
administering annual reporting requirements.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals requesting information from the Commission pursuant to
provisions of FOIA, 5 U.S.C. 552, and individuals who are the subjects
of FOIA requests.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system of records includes information that may contain:
requests, responsive documents, internal memoranda, electronic mail,
response letters, appeals of denials, appeal determinations, electronic
tracking data, fee schedules, cost calculations, and assessed cost for
disclosed FOIA records.
RECORD SOURCE CATEGORIES:
Individuals requesting information from the Commission pursuant to
the FOIA and CFTC staff processing the requests.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used:
(a) To disclose information to the National Archives and Records
Administration, Office of Government Information Services (OGIS), to
the extent necessary to fulfill its responsibilities in 5 U.S.C.
552(h), to review administrative agency policies, procedures, and
compliance with the Freedom of Information Act, and to facilitate OGIS'
offering of mediation services to resolve disputes between persons
making FOIA requests and administrative agencies;
(b) To disclose 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;
(c) To disclose to Federal, State, local, territorial, Tribal, or
foreign agencies for use in meeting their statutory or regulatory
requirements;
(d) To disclose 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;
(e) To disclose to Congress upon its request, acting within the
scope of its jurisdiction, pursuant to the Commodity Exchange Act, 7
U.S.C. 1 et seq., and the rules and regulations promulgated thereunder;
(f) To disclose to appropriate agencies, entities, and persons when
(1) the Commission suspects or has confirmed that there has been a
breach of the system of records; (2) the Commission has determined that
as a result of the suspected or confirmed breach there is a risk of
harm to individuals, the Commission (including its information systems,
programs, and operations), the Federal Government, or national
security; and (3) the disclosure made to such agencies, entities, and
persons is reasonably necessary to assist in connection with the
Commission's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm; or
(g) To disclose to another Federal agency or Federal entity, when
the Commission determines that information from this system of records
is reasonably necessary to assist the recipient agency or entity in (1)
responding to a suspected or confirmed breach or (2) preventing,
minimizing, or remedying the risk of harm to individuals, the recipient
agency or entity (including its information systems, programs, and
operations), the Federal Government, or national security, resulting
from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The FOIA system of records stores records in this system
electronically. The records are stored on the Commission's secure
network and secure back-up media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Information covered by this system of records notice may be
retrieved by assigned control number, name of requester, or by subject
of request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records for this system will be maintained in accordance with
General Records Schedule 4.2 of the National Archives and Records
Administration. All approved schedules are available at https://www.cftc.gov.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical, and physical security measures.
Administrative safeguards include written guidelines on handling FOIA
information including agency-wide procedures for safeguarding
personally identifiable information. In addition, all CFTC staff are
required to take annual privacy and security training. Technical
security measures within CFTC include restrictions on computer access
to authorized individuals who have a legitimate need to know the
information; required use of strong passwords that are frequently
changed; multi-factor authentication for remote access and access to
many CFTC network components; use of encryption for certain data types
and transfers; firewalls and intrusion detection applications; and
regular review of security procedures and best practices to enhance
security. Physical safeguards include restrictions on building access
to authorized individuals, 24-hour security guard service, and
maintenance of records in lockable offices and filing cabinets.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in
[[Page 34125]]
this system of records should address written inquiries to the Office
of General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See 17 CFR
146.3 for full details on what to include in a Privacy Act access
request.
CONTESTING RECORD PROCEDURES:
Individuals contesting the content of records about themselves
contained in this system of records should address written inquiries to
the Office of General Counsel, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See
17 CFR 146.8 for full details on what to include in a Privacy Act
amendment request.
NOTIFICATION PROCEDURES:
Individuals seeking notification of any records about themselves
contained in this system of records should address written inquiries to
the Office of General Counsel, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See
17 CFR 146.3 for full details on what to include in a Privacy Act
notification request.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
A previous version of this SORN was published in the Federal
Register on February 02, 2011 at 76 FR 5973.
IV. Notice: Privacy Act Requests, CFTC-40.
SYSTEM NAME AND NUMBER
Privacy Act Requests, CFTC-40.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This system is located at the Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
Other offices involved in the processing of requests may also maintain
copies of the requests and any related internal administrative records.
SYSTEM MANAGER(S):
General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The collection of this information is authorized under the Privacy
Act, 5 U.S.C. 552a, 5 U.S.C. 301.
PURPOSE(S) OF THE SYSTEM:
The information in this system is being collected to enable the
CFTC to carry out its responsibilities under the Privacy Act. These
responsibilities include enabling CFTC staff to receive, track, and
respond to Privacy Act requests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing requests for access to, correction of, or an
accounting of disclosures of personal information contained in systems
of records maintained by the Commission, pursuant to the Privacy Act of
1974. 5 U.S.C. 552a.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests, responsive documents, internal memoranda, response
letters, appeals of denials, appeal determinations, and electronic
tracking data.
RECORD SOURCE CATEGORIES:
Individuals requesting information from the Commission pursuant to
the Privacy Act and CFTC staff processing the requests.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used:
(a) To disclose information to the National Archives and Records
Administration, Office of Government Information Services (OGIS), to
the extent necessary to fulfill its responsibilities in 5 U.S.C.
552(h), to review administrative agency policies, procedures, and
compliance with the Freedom of Information Act, and to facilitate OGIS'
offering of mediation services to resolve disputes between persons
making FOIA requests and administrative agencies;
(b) To disclose 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;
(c) To disclose to Federal, State, local, territorial, Tribal, or
foreign agencies for use in meeting their statutory or regulatory
requirements;
(d) To disclose to anyone during the course of a Commission
investigation if Commission staff has reason to believe that the person
to whom it is disclosed may have further information about matters
relevant to the subject of the investigation;
(e) To disclose 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;
(f) To disclose to Congress upon its request, acting within the
scope of its jurisdiction, pursuant to the Commodity Exchange Act, 7
U.S.C. 1 et seq., and the rules and regulations promulgated thereunder;
(g) To disclose to appropriate agencies, entities, and persons when
(1) the Commission suspects or has confirmed that there has been a
breach of the system of records; (2) the Commission has determined that
as a result of the suspected or confirmed breach there is a risk of
harm to individuals, the Commission (including its information systems,
programs, and operations), the Federal Government, or national
security; and (3) the disclosure made to such agencies, entities, and
persons is reasonably necessary to assist in connection with the
Commission's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm; or
(h) To disclose to another Federal agency or Federal entity, when
the Commission determines that information from this system of records
is reasonably necessary to assist the recipient agency or entity in (1)
responding to a suspected or confirmed breach or (2) preventing,
minimizing, or remedying the risk of harm to individuals, the recipient
agency or entity (including its information systems, programs, and
operations), the Federal Government, or national security, resulting
from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The Privacy Act Requests system of records stores records in this
system electronically. The records are stored on the Commission's
secure network, and on secure back-up media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Information covered by this system of records notice may be
retrieved by assigned control number, name of requester, or by subject
of request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records for this system will be maintained in accordance with
General Records Schedule 4.2 of the National Archives and Records
Administration. All approved schedules are available at https://www.cftc.gov.
[[Page 34126]]
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical, and physical security measures.
Administrative safeguards include agency-wide training and procedures
for safeguarding personally identifiable information. Technical
security measures within CFTC include restrictions on computer access
to authorized individuals who have a legitimate need to know the
information; required use of strong passwords that are frequently
changed; multi-factor authentication for remote access and access to
many CFTC network components; use of encryption for certain data types
and transfers; firewalls and intrusion detection applications; and
regular review of security procedures and best practices to enhance
security. Physical safeguards include restrictions on building access
to authorized individuals, 24-hour security guard service, and
maintenance of records in lockable offices and filing cabinets.
RECORD ACCESS PROCEDURES:
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 should address written
inquiries to the Office of General Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC
20581. See 17 CFR 146.3 for full details on what to include in Privacy
Act access request.
CONTESTING RECORD PROCEDURES:
Individuals contesting the content of records about themselves
contained in this system of records should address written inquiries to
the Office of General Counsel, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See
17 CFR 146.8 for full details on what to include in a Privacy Act
amendment request.
NOTIFICATION PROCEDURES:
Individuals seeking notification of any records about themselves
contained in this system of records should address written inquiries to
the Office of General Counsel, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See
17 CFR 146.3 for full details on what to include in a Privacy Act
notification request.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
A previous version of this SORN was published in the Federal
Register on February 02, 2011 at 76 FR 5973.
Issued in Washington, DC, on July 13, 2018, by the Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-15392 Filed 7-18-18; 8:45 am]
BILLING CODE 6351-01-P
