Privacy Act of 1974; System of Records, 20146-20149 [2023-07030]
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Federal Register / Vol. 88, No. 65 / Wednesday, April 5, 2023 / Notices
7. To another Federal agency or
Federal entity, when CFTC’s OIG
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.
8. A record from the system of records
may be disclosed to a grand jury agent
pursuant either to a Federal or State
grand jury subpoena, or to a prosecution
request that such record be released for
the purpose of its introduction to a
grand jury, provided that the grand jury
channels its request through the
cognizant U.S. Attorney, that the U.S.
Attorney has been delegated the
authority to make such requests by the
Attorney General, and that the U.S.
Attorney actually signs the letter
specifying both the information sought
and the law enforcement purpose
served. In the case of a State grand jury
subpoena, the State equivalent of the
U.S. Attorney and Attorney General
shall be substituted.
9. A record from the system of records
may be disclosed in response to a
subpoena issued by a Federal agency
having the power to subpoena records of
other Federal agencies, provided the
subpoena is channeled through the head
of the issuing agency, if the OIG
determines that: (a) The head of the
issuing agency signed the subpoena; (b)
the subpoena specifies the information
sought and the law enforcement
purpose served; (c) the records are both
relevant and necessary to the
proceeding; and (d) such release is
compatible with the purpose for which
the records were collected.
10. A record from the system of
records may be disclosed to the
Department of Justice for the purpose of
obtaining its advice on an OIG audit, or
other related inquiry, including
Freedom of Information or Privacy Act
matters relating to information in this
record system.
11. A record may be disclosed to any
official charged with the responsibility
to conduct investigations, qualitative
assessment reviews, or peer reviews of
audit operations within the Office of the
Inspector General. This disclosure
category includes members of the
Council of the Inspectors General on
Integrity and Efficiency or any successor
entity and officials, designees, and
administrative staff within their chain of
command, as well as authorized
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officials of the Department of Justice
and the Federal Bureau of Investigation.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are stored electronically or on
paper in secure facilities.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Information in the system generally
can be retrieved by OIG personnel in
headquarters and working remotely.
Information is generally retrieved by
audit assignment number and can be
retrieved by using alphanumeric queries
and personal identifiers.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
The records are retained and disposed
of in compliance with CFTC record
disposition authorities, approved by the
National Archives and Records
Administration. The OIG Audit Files are
destroyed 10 years after the audit is
completed, unless the audit is deemed
of significance sufficient to justify
permanent retention. The OIG staff
training and related records are
destroyed six years after cut off.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Administrative safeguards include
restricting access to the OIG work area,
and restricting relevant audit tasks to
only those competent or qualified to
perform the work. Technical security
measures within CFTC include
restrictions on computer access to
authorized individuals who have a
legitimate need to know the
information; use of encryption for
certain data types and transfers;
firewalls and intrusion detection
applications (set and maintained by the
CFTC); and regular review of security
procedures and best practices to
enhance security (performed by the
CFTC). Physical safeguards include
restrictions on building access to
authorized individuals, 24-hour security
guard service, and maintenance of
records in lockable offices, desks, 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 the
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.
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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 the
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 the
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:
None.
Issued in Washington, DC, on March 30,
2023, by the Commission.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2023–07029 Filed 4–4–23; 8:45 am]
BILLING CODE 6351–01–P
COMMODITY FUTURES TRADING
COMMISSION
Privacy Act of 1974; System of
Records
Commodity Futures Trading
Commission.
ACTION: Notice of a new system of
records.
AGENCY:
The Commodity Futures
Trading Commission (CFTC or
Commission) is establishing a new
system of records to cover the collection
and maintenance of records pertaining
to the administration of the CFTC’s
advisory committees and
subcommittees.
SUMMARY:
In accordance with 5 U.S.C.
552a(e)(4) and (11), this notice will go
into effect without further notice on
April 5, 2023 unless otherwise revised
pursuant to comments received. All
routine uses will go into effect on May
5, 2023. Comments must be received on
or before May 5, 2023.
ADDRESSES: You may submit comments,
identified as pertaining to ‘‘CFTC–58
Advisory Committees,’’ by any of the
following methods:
DATES:
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Federal Register / Vol. 88, No. 65 / Wednesday, April 5, 2023 / Notices
• CFTC Comments Portal: https://
comments.cftc.gov. Select the ‘‘Submit
Comments’’ link for this notice and
follow the instructions on the Public
Comment Form.
• Mail: Send to Christopher
Kirkpatrick, Secretary of the
Commission, Commodity Futures
Trading Commission, Three Lafayette
Centre, 1155 21st Street NW,
Washington, DC 20581.
• Hand Delivery/Courier: Follow the
same instructions as for Mail, above.
Please submit your comments using
only one of these methods. Submissions
through the CFTC Comments Portal are
encouraged.
All comments must be submitted in
English, or if not, be accompanied by an
English translation. Comments will be
posted as received to comments.cftc.gov.
You should submit only information
that you wish to make available
publicly.
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
comments.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 this
notice will be retained in the 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:
Marcela Souaya, (202) 418–5137,
privacy@cftc.gov, Office of the General
Counsel, Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581.
SUPPLEMENTARY INFORMATION: The
CFTC’s advisory committees were
created to provide input and make
recommendations to the Commission on
a variety of regulatory and market issues
that affect the integrity and
competitiveness of the United States
(U.S.) derivatives markets. The
committees facilitate communication
between the Commission and U.S.
derivatives markets, trading firms,
market participants, and end users. The
CFTC currently has five advisory
committees. The Agricultural Advisory
Committee, Global Markets Advisory
Committee, Market Risk Advisory
Committee, and the Technology
Advisory Committee are discretionary
committees under the Federal Advisory
Committee Act (FACA), 5 U.S.C. 1001 et
seq. The Energy and Environmental
Markets Advisory Committee was
established by the Dodd-Frank Wall
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Street Reform and Consumer Protection
Act, Public Law 111–203, and
subsequently codified in the
Commodity Exchange Act, 7 U.S.C. 1 et
seq., at 7 U.S.C. 2(a)(15), and is not
subject to the FACA. The Commission
also establishes and maintains
subcommittees that report to advisory
committees as needed. Advisory
committee and subcommittee members
are generally representatives, but
depending on the issues to be
addressed, the Commission will appoint
special government employees (SGEs)
and officials from other Federal agencies
from time to time. The CFTC identifies
candidates for advisory committee and
subcommittee membership through a
variety of methods, including public
requests for nominations;
recommendations from existing
advisory committee members;
consultations with knowledgeable
persons outside the CFTC (industry,
consumer groups, other state or Federal
government agencies, academia, etc.);
requests to be represented received from
individuals and organizations; and
Commissioners’ and CFTC staff’s
professional knowledge of those
experienced in the derivatives and other
underlying commodities markets. The
CFTC collects and maintains
information on CFTC advisory
committee and subcommittee applicants
and members, and those who make
recommendations for committee or
subcommittee memberships, or
otherwise interact with the CFTC
regarding its advisory committees and
subcommittees. The records are used for
the administration of the CFTC’s
advisory committees and
subcommittees.
SYSTEM NAME AND NUMBER:
Advisory Committees CFTC 58.
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. Records may also be located at
the regional offices in Chicago, Illinois;
Kansas City, Missouri; and New York,
New York. The system will be hosted on
the CFTC’s cloud and data center
computing infrastructure. Duplicate
versions of some or all system
information may be at satellite locations
where the CFTC has granted direct
access to support CFTC operations,
system backup, emergency
preparedness, and/or continuity of
operations.
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20147
SYSTEM MANAGER(S):
Committee Management Officer and
Deputy General Counsel for General
Law, faca@cftc.gov, Office of the
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 records is
authorized by the Federal Advisory
Committee Act, 5 U.S.C. 1001 et seq.,
and 7 U.S.C. 2(a)(15).
PURPOSE(S) OF THE SYSTEM:
The system collects and maintains
information on CFTC advisory
committee and subcommittee applicants
and members, and those who make
recommendations for committee or
subcommittee memberships, or
otherwise interact with the CFTC
regarding its advisory committees and
subcommittees. The records are used for
the administration of the CFTC’s
advisory committees and
subcommittees. For example, as part of
the member evaluation and selection
process, the CFTC collects and
maintains information to determine the
experience and expertise of potential
advisory committee and subcommittee
members, ensure that the membership
on a committee or subcommittee is
balanced, and ensure that committee
and subcommittee members are
properly designated as representatives
or SGEs. The records are also used to
document and manage committee and
subcommittee memberships, to receive
public input regarding the work of the
advisory committees and
subcommittees, and to complete the
annual mandatory FACA report to the
General Services Administration (GSA).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
The categories of individuals in this
system include, but are not limited to:
1. Advisory committee and
subcommittee applicants;
2. Current and past advisory
committee and subcommittee members;
3. Advisory committee and
subcommittee experts and consultants;
4. Administrative assistants to the
above-listed categories of individuals;
5. Advisory committee and
subcommittee member organization
point persons, designated representative
members, and designated alternate
representative members;
6. Advisory committee meeting
panelists;
7. Individuals who make advisory
committee or subcommittee member
recommendations or serve as references;
and,
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8. Individuals who attend advisory
committee or subcommittee meetings or
provide public comments in
conjunction with advisory committee
meetings.
CATEGORIES OF RECORDS IN THE SYSTEM:
The categories of records in this
system include, but are not limited to:
1. Contact information (e.g., name,
title, home or work address, personal or
work email address, personal or work
number, employer, and/or
organizational affiliation) for advisory
committee and subcommittee applicants
and current and past members
(including organizational point persons,
designated representative members, and
designated representative alternate
members), and administrative assistants
to these individuals; advisory
committee and subcommittee experts
and consultants; advisory committee
meeting panelists; individuals who
make advisory committee or
subcommittee member
recommendations or serve as references;
and, individuals who attend advisory
committee or subcommittee meetings or
provide public comments in
conjunction with advisory committee
meetings;
2. Information that supports an
applicant’s experience and expertise to
serve or a member’s experience and
expertise to continue to serve on an
advisory committee or subcommittee,
including letters of interest,
recommendation letters, nomination
letters (including self-nominations), and
biographical information (e.g.,
education, work experience, areas of
expertise, professional societies, board
and other committee memberships,
authored publications, professional
awards, etc.);
3. Information that ensures
appropriate designation of an applicant
or member as either a representative or
SGE, membership balance (i.e.,
represented organization and viewpoint
category), or to the extent possible,
helps the agency select members
representing a wide ethnic, racial,
gender, and age representation;
4. Federal lobbyist status and other
vetting documentation; and,
5. Miscellaneous correspondence
relating to the above.
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RECORD SOURCE CATEGORIES:
The sources for the records
maintained in this system include, but
are not limited to:
1. Advisory committee and
subcommittee applicants;
2. Current and past advisory
committee and subcommittee members;
3. Advisory committee and
subcommittee experts and consultants;
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4. Administrative assistants to the
above-listed categories of individuals;
5. Advisory committee and
subcommittee member organization
point persons, designated representative
members, and designated alternate
representative members;
6. Advisory committee meeting
panelists;
7. Individuals who make advisory
committee or subcommittee member
recommendations or serve as references;
and
8. Individuals who attend advisory
committee or subcommittee meetings or
provide public comments in
conjunction with advisory committee
meetings.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
These records and information in
these records may be disclosed:
1. To the Chair or co-Chair of an
advisory committee or subcommittee
and other committee or subcommittee
members to assign tasks to achieve a
committee’s or subcommittee’s goals; to
distribute information to committee or
subcommittee members, their assistants,
and other meeting participants for the
purposes of conducting meetings and
general committee or subcommittee
business; and/or to prepare and review
committee and subcommittee reports
and/or recommendations.
2. To the public to access information
about the CFTC’s advisory committees
and subcommittees, including its
members and activities on the CFTC
website (https://www.cftc.gov).
3. To the GSA or the Library of
Congress when necessary in the
administration of the CFTC’s FACA
committees and subcommittees,
including complying with reporting
obligations.
4. To the appropriate agencies,
entities, and persons to the extent
necessary to obtain information relevant
to a determination of whether an
individual is eligible to serve on a CFTC
advisory committee or subcommittee,
and whether the individual would serve
in a representative or SGE capacity.
5. To contractors performing or
working on a contract for the Federal
government when necessary to
accomplish an agency function.
6. To the Government Accountability
Office (GAO) and other appropriate
Federal legislative oversight authorities
with the responsibility for reviewing
agency advisory committees.
7. To the Department of Justice (DOJ)
or in a proceeding before a court,
adjudicative body, or other
administrative body before which the
agency is authorized to appear, when:
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a. The Commission, or any division or
office thereof;
b. Any employee of the Commission
in their official capacity;
c. Any employee of the Commission
in their personal capacity where the DOJ
or the agency has agreed to represent the
employee; or
d. The United States, when the
Commission determines that litigation is
likely to affect the agency or any of its
divisions or offices; is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ or the Commission 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.
8. To the National Archives and
Records Administration pursuant to its
records management and inspection
authorities under 44 U.S.C. 2904 and
2906.
9. 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.
10. 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:
Records maintained in this system of
records are stored electronically or on
paper in secure facilities.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
The records are retrieved by an
individual’s or committee’s name.
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Federal Register / Vol. 88, No. 65 / Wednesday, April 5, 2023 / Notices
NOTIFICATION PROCEDURES:
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
The records maintained in this system
are retained and disposed of in
accordance with the National Archives
and Records Administration (NARA)
General Records Schedule DAA–GRS–
2015–0001 (GRS 6.2) Federal Advisory
Committee Records. The CFTC disposes
of the paper documents by shredding.
All electronic records, files, and data are
destroyed either by physical destruction
of the electronic storage media or by
erasure of the data.
Individuals seeking notification of
any records about themselves contained
in this system of records should address
written inquiries to the Office of the
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:
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
None.
Records are protected from
unauthorized access and improper use
through administrative, technical, and
physical security measures employed by
the CFTC. Administrative safeguards
include maintenance of written policies,
standards, and procedures reinforced by
training and periodic auditing.
Technical security safeguards 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 network
components; use of encryption for
certain data types and transfers; and
firewalls and intrusion detection
applications. Physical safeguards
include restrictions on building access
to authorized individuals, use of
security guard services, and video
surveillance.
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 the
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.
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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 the
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.
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Jkt 259001
Issued in Washington, DC, on March 30,
2023, by the Commission.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2023–07030 Filed 4–4–23; 8:45 am]
BILLING CODE 6351–01–P
DEPARTMENT OF EDUCATION
[Docket No. ED–2023–SCC–0059]
Agency Information Collection
Activities; Comment Request; Request
for Title IV Reimbursement or
Heightened Cash Monitoring 2
Federal Student Aid (FSA),
Department of Education (ED).
ACTION: Notice.
AGENCY:
In accordance with the
Paperwork Reduction Act (PRA) of
1995, the Department is proposing an
extension without change of a currently
approved information collection request
(ICR).
DATES: Interested persons are invited to
submit comments on or before June 5,
2023.
ADDRESSES: To access and review all the
documents related to the information
collection listed in this notice, please
use https://www.regulations.gov by
searching the Docket ID number ED–
2023–SCC–0059. Comments submitted
in response to this notice should be
submitted electronically through the
Federal eRulemaking Portal at https://
www.regulations.gov by selecting the
Docket ID number or via postal mail,
commercial delivery, or hand delivery.
If the regulations.gov site is not
available to the public for any reason,
the Department will temporarily accept
comments at ICDocketMgr@ed.gov.
Please include the docket ID number
and the title of the information
collection request when requesting
documents or submitting comments.
Please note that comments submitted
after the comment period will not be
SUMMARY:
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20149
accepted. Written requests for
information or comments submitted by
postal mail or delivery should be
addressed to the Manager of the
Strategic Collections and Clearance
Governance and Strategy Division, U.S.
Department of Education, 400 Maryland
Ave. SW, LBJ, Room 6W203,
Washington, DC 20202–8240.
FOR FURTHER INFORMATION CONTACT: For
specific questions related to collection
activities, please contact Beth
Grebeldinger, (202) 377–4018.
SUPPLEMENTARY INFORMATION: The
Department, in accordance with the
Paperwork Reduction Act of 1995 (PRA)
(44 U.S.C. 3506(c)(2)(A)), provides the
general public and Federal agencies
with an opportunity to comment on
proposed, revised, and continuing
collections of information. This helps
the Department assess the impact of its
information collection requirements and
minimize the public’s reporting burden.
It also helps the public understand the
Department’s information collection
requirements and provide the requested
data in the desired format. The
Department is soliciting comments on
the proposed information collection
request (ICR) that is described below.
The Department is especially interested
in public comment addressing the
following issues: (1) is this collection
necessary to the proper functions of the
Department; (2) will this information be
processed and used in a timely manner;
(3) is the estimate of burden accurate;
(4) how might the Department enhance
the quality, utility, and clarity of the
information to be collected; and (5) how
might the Department minimize the
burden of this collection on the
respondents, including through the use
of information technology. Please note
that written comments received in
response to this notice will be
considered public records.
Title of Collection: Request for Title
IV Reimbursement or Heightened Cash
Monitoring 2 (HCM2).
OMB Control Number: 1845–0089.
Type of Review: Extension without
change of a currently approved ICR.
Respondents/Affected Public: Private
Sector; State, Local, and Tribal
Governments.
Total Estimated Number of Annual
Responses: 564.
Total Estimated Number of Annual
Burden Hours: 564.
Abstract: 34 CFR part 668—Student
Assistance General Provisions, Subpart
K—Cash Management (§ 668.162)
establishes the rules and procedures for
a participating institution to request,
maintain, disburse, and manage the
Title IV (TIV) program funds.
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Agencies
[Federal Register Volume 88, Number 65 (Wednesday, April 5, 2023)]
[Notices]
[Pages 20146-20149]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07030]
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974; System of Records
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice of a new system of records.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (CFTC or Commission)
is establishing a new system of records to cover the collection and
maintenance of records pertaining to the administration of the CFTC's
advisory committees and subcommittees.
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice
will go into effect without further notice on April 5, 2023 unless
otherwise revised pursuant to comments received. All routine uses will
go into effect on May 5, 2023. Comments must be received on or before
May 5, 2023.
ADDRESSES: You may submit comments, identified as pertaining to ``CFTC-
58 Advisory Committees,'' by any of the following methods:
[[Page 20147]]
CFTC Comments Portal: https://comments.cftc.gov. Select
the ``Submit Comments'' link for this notice and follow the
instructions on the Public Comment Form.
Mail: Send to Christopher Kirkpatrick, Secretary of the
Commission, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW, Washington, DC 20581.
Hand Delivery/Courier: Follow the same instructions as for
Mail, above. Please submit your comments using only one of these
methods. Submissions through the CFTC Comments Portal are encouraged.
All comments must be submitted in English, or if not, be
accompanied by an English translation. Comments will be posted as
received to comments.cftc.gov. You should submit only information that
you wish to make available publicly.
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 comments.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 this
notice will be retained in the 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: Marcela Souaya, (202) 418-5137,
[email protected], Office of the General Counsel, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581.
SUPPLEMENTARY INFORMATION: The CFTC's advisory committees were created
to provide input and make recommendations to the Commission on a
variety of regulatory and market issues that affect the integrity and
competitiveness of the United States (U.S.) derivatives markets. The
committees facilitate communication between the Commission and U.S.
derivatives markets, trading firms, market participants, and end users.
The CFTC currently has five advisory committees. The Agricultural
Advisory Committee, Global Markets Advisory Committee, Market Risk
Advisory Committee, and the Technology Advisory Committee are
discretionary committees under the Federal Advisory Committee Act
(FACA), 5 U.S.C. 1001 et seq. The Energy and Environmental Markets
Advisory Committee was established by the Dodd-Frank Wall Street Reform
and Consumer Protection Act, Public Law 111-203, and subsequently
codified in the Commodity Exchange Act, 7 U.S.C. 1 et seq., at 7 U.S.C.
2(a)(15), and is not subject to the FACA. The Commission also
establishes and maintains subcommittees that report to advisory
committees as needed. Advisory committee and subcommittee members are
generally representatives, but depending on the issues to be addressed,
the Commission will appoint special government employees (SGEs) and
officials from other Federal agencies from time to time. The CFTC
identifies candidates for advisory committee and subcommittee
membership through a variety of methods, including public requests for
nominations; recommendations from existing advisory committee members;
consultations with knowledgeable persons outside the CFTC (industry,
consumer groups, other state or Federal government agencies, academia,
etc.); requests to be represented received from individuals and
organizations; and Commissioners' and CFTC staff's professional
knowledge of those experienced in the derivatives and other underlying
commodities markets. The CFTC collects and maintains information on
CFTC advisory committee and subcommittee applicants and members, and
those who make recommendations for committee or subcommittee
memberships, or otherwise interact with the CFTC regarding its advisory
committees and subcommittees. The records are used for the
administration of the CFTC's advisory committees and subcommittees.
SYSTEM NAME AND NUMBER:
Advisory Committees CFTC 58.
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.
Records may also be located at the regional offices in Chicago,
Illinois; Kansas City, Missouri; and New York, New York. The system
will be hosted on the CFTC's cloud and data center computing
infrastructure. Duplicate versions of some or all system information
may be at satellite locations where the CFTC has granted direct access
to support CFTC operations, system backup, emergency preparedness, and/
or continuity of operations.
SYSTEM MANAGER(S):
Committee Management Officer and Deputy General Counsel for General
Law, [email protected], Office of the 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 records is authorized by the Federal Advisory
Committee Act, 5 U.S.C. 1001 et seq., and 7 U.S.C. 2(a)(15).
PURPOSE(S) OF THE SYSTEM:
The system collects and maintains information on CFTC advisory
committee and subcommittee applicants and members, and those who make
recommendations for committee or subcommittee memberships, or otherwise
interact with the CFTC regarding its advisory committees and
subcommittees. The records are used for the administration of the
CFTC's advisory committees and subcommittees. For example, as part of
the member evaluation and selection process, the CFTC collects and
maintains information to determine the experience and expertise of
potential advisory committee and subcommittee members, ensure that the
membership on a committee or subcommittee is balanced, and ensure that
committee and subcommittee members are properly designated as
representatives or SGEs. The records are also used to document and
manage committee and subcommittee memberships, to receive public input
regarding the work of the advisory committees and subcommittees, and to
complete the annual mandatory FACA report to the General Services
Administration (GSA).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The categories of individuals in this system include, but are not
limited to:
1. Advisory committee and subcommittee applicants;
2. Current and past advisory committee and subcommittee members;
3. Advisory committee and subcommittee experts and consultants;
4. Administrative assistants to the above-listed categories of
individuals;
5. Advisory committee and subcommittee member organization point
persons, designated representative members, and designated alternate
representative members;
6. Advisory committee meeting panelists;
7. Individuals who make advisory committee or subcommittee member
recommendations or serve as references; and,
[[Page 20148]]
8. Individuals who attend advisory committee or subcommittee
meetings or provide public comments in conjunction with advisory
committee meetings.
CATEGORIES OF RECORDS IN THE SYSTEM:
The categories of records in this system include, but are not
limited to:
1. Contact information (e.g., name, title, home or work address,
personal or work email address, personal or work number, employer, and/
or organizational affiliation) for advisory committee and subcommittee
applicants and current and past members (including organizational point
persons, designated representative members, and designated
representative alternate members), and administrative assistants to
these individuals; advisory committee and subcommittee experts and
consultants; advisory committee meeting panelists; individuals who make
advisory committee or subcommittee member recommendations or serve as
references; and, individuals who attend advisory committee or
subcommittee meetings or provide public comments in conjunction with
advisory committee meetings;
2. Information that supports an applicant's experience and
expertise to serve or a member's experience and expertise to continue
to serve on an advisory committee or subcommittee, including letters of
interest, recommendation letters, nomination letters (including self-
nominations), and biographical information (e.g., education, work
experience, areas of expertise, professional societies, board and other
committee memberships, authored publications, professional awards,
etc.);
3. Information that ensures appropriate designation of an applicant
or member as either a representative or SGE, membership balance (i.e.,
represented organization and viewpoint category), or to the extent
possible, helps the agency select members representing a wide ethnic,
racial, gender, and age representation;
4. Federal lobbyist status and other vetting documentation; and,
5. Miscellaneous correspondence relating to the above.
RECORD SOURCE CATEGORIES:
The sources for the records maintained in this system include, but
are not limited to:
1. Advisory committee and subcommittee applicants;
2. Current and past advisory committee and subcommittee members;
3. Advisory committee and subcommittee experts and consultants;
4. Administrative assistants to the above-listed categories of
individuals;
5. Advisory committee and subcommittee member organization point
persons, designated representative members, and designated alternate
representative members;
6. Advisory committee meeting panelists;
7. Individuals who make advisory committee or subcommittee member
recommendations or serve as references; and
8. Individuals who attend advisory committee or subcommittee
meetings or provide public comments in conjunction with advisory
committee meetings.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
These records and information in these records may be disclosed:
1. To the Chair or co-Chair of an advisory committee or
subcommittee and other committee or subcommittee members to assign
tasks to achieve a committee's or subcommittee's goals; to distribute
information to committee or subcommittee members, their assistants, and
other meeting participants for the purposes of conducting meetings and
general committee or subcommittee business; and/or to prepare and
review committee and subcommittee reports and/or recommendations.
2. To the public to access information about the CFTC's advisory
committees and subcommittees, including its members and activities on
the CFTC website (https://www.cftc.gov).
3. To the GSA or the Library of Congress when necessary in the
administration of the CFTC's FACA committees and subcommittees,
including complying with reporting obligations.
4. To the appropriate agencies, entities, and persons to the extent
necessary to obtain information relevant to a determination of whether
an individual is eligible to serve on a CFTC advisory committee or
subcommittee, and whether the individual would serve in a
representative or SGE capacity.
5. To contractors performing or working on a contract for the
Federal government when necessary to accomplish an agency function.
6. To the Government Accountability Office (GAO) and other
appropriate Federal legislative oversight authorities with the
responsibility for reviewing agency advisory committees.
7. To the Department of Justice (DOJ) or in a proceeding before a
court, adjudicative body, or other administrative body before which the
agency is authorized to appear, when:
a. The Commission, or any division or office thereof;
b. Any employee of the Commission in their official capacity;
c. Any employee of the Commission in their personal capacity where
the DOJ or the agency has agreed to represent the employee; or
d. The United States, when the Commission determines that
litigation is likely to affect the agency or any of its divisions or
offices; is a party to litigation or has an interest in such
litigation, and the use of such records by the DOJ or the Commission 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.
8. To the National Archives and Records Administration pursuant to
its records management and inspection authorities under 44 U.S.C. 2904
and 2906.
9. 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.
10. 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:
Records maintained in this system of records are stored
electronically or on paper in secure facilities.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
The records are retrieved by an individual's or committee's name.
[[Page 20149]]
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The records maintained in this system are retained and disposed of
in accordance with the National Archives and Records Administration
(NARA) General Records Schedule DAA-GRS-2015-0001 (GRS 6.2) Federal
Advisory Committee Records. The CFTC disposes of the paper documents by
shredding. All electronic records, files, and data are destroyed either
by physical destruction of the electronic storage media or by erasure
of the data.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical, and physical security measures
employed by the CFTC. Administrative safeguards include maintenance of
written policies, standards, and procedures reinforced by training and
periodic auditing. Technical security safeguards 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 network components; use of encryption for certain data
types and transfers; and firewalls and intrusion detection
applications. Physical safeguards include restrictions on building
access to authorized individuals, use of security guard services, and
video surveillance.
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 the 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 the 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 the 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:
None.
Issued in Washington, DC, on March 30, 2023, by the Commission.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2023-07030 Filed 4-4-23; 8:45 am]
BILLING CODE 6351-01-P