83 FR 23433 - Privacy Act of 1974; System of Records

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 98 (May 21, 2018)

The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new system of records under the Privacy Act of 1974: CFTC-52, Training Records. New CFTC-52 addresses information collected from individuals who participate in or assist with CFTC training.

[Federal Register Volume 83, Number 98 (Monday, May 21, 2018)]
[Notices]
[Pages 23433-23435]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-10773]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974; System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of a new system of records.

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SUMMARY: The Commodity Futures Trading Commission (CFTC or Commission) 
is establishing a new system of records under the Privacy Act of 1974: 
CFTC-52, Training Records. New CFTC-52 addresses information collected 
from individuals who participate in or assist with CFTC training.

DATES: Comments must be received on or before June 20, 2018. This 
action will be effective without further notice on June 20, 2018, 
unless revised pursuant to comments received.

ADDRESSES: You may submit comments to this notice 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.
     Federal eRulemaking Portal: Comments may be submitted at 
http://www.regulations.gov. Follow the instructions for submitting 
comments.
     Mail: Christopher 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 
http://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

[[Page 23434]]

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 http://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, 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. Training Records

    The Training Records system contains information about individuals 
who participate in or assist with CFTC training. Collection of this 
information is necessary to facilitate, track, and report on 
administrative and mission-related training provided by CFTC.

II. The Privacy Act

    Under the Privacy Act of 1974, 5 U.S.C. 552a, a ``system of 
records'' is defined as any group of records under the control of a 
federal government agency from which information about individuals is 
retrieved by name or other personal identifier. The Privacy Act 
establishes the means by which government agencies must collect, 
maintain, and use personally identifiable information associated with 
an individual in a government system of records.
    Each government agency is required to publish a notice in the 
Federal Register of a system of records in which the agency identifies 
and describes each system of records it maintains, the reasons why the 
agency uses the personally identifying information therein, the routine 
uses for which the agency will disclose such information outside the 
agency, and how individuals may exercise their rights under the Privacy 
Act to determine if the system contains information about them.
SYSTEM NAME AND NUMBER
    Training Records; CFTC-52.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records for this system are stored in a vendor Government Cloud 
based Learning Management Solution, 1601 Cloverfield Blvd., Suite 600S, 
Santa Monica, CA 90404 and the Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.

SYSTEM MANAGER(S):
    Office of Executive Director (OED), 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 by or under 5 
U.S.C. 4103; 5 CFR part 410; 5 CFR part 412; Public Law 107-347, E-
Government Act of 2002; Executive Order 11348--Providing for the 
further training of Government employees; Executive Order 13111--Using 
Technology to Improve Training Technologies for Federal Government 
Employees.

PURPOSE(S) OF THE SYSTEM:
    This records system will collect and document CFTC training given 
to CFTC employees, contractors, and others who are provided CFTC 
training. This system will provide CFTC with a means to track training 
registrations, scheduling, scores, completions, and other training 
metrics to assess the effectiveness of training, identify patterns, 
respond to requests for information related to the training of CFTC 
personnel and other individuals, and facilitate the compilation of 
statistical information about training.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former employees of the CFTC, contractors, consultants, 
interns, any individual who participated in or assisted with a training 
program including instructors, course developers, observers, and 
interpreters.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system of records includes information that may contain: Staff 
member name (First, Middle Initial, and Last Name), CFTC generated 
employee number, CFTC email address, division, office and/or branch, 
geographic location, position/title, job series, employment type 
(Federal employee, contractor, consultant, intern, or volunteer), 
participation/transaction data, including training sessions begun or 
completed by staff member, percentage of completion, assessments scores 
from any quizzes in training sessions, and length of time required to 
complete training sessions.

RECORD SOURCE CATEGORIES:
    Information in this system originates from CFTC or is obtained 
directly from the individual who is the subject of these records.

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 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;
    (b) To disclose information 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;
    (c) To disclose information to Federal, State, local, territorial, 
Tribal, or foreign agencies for use in meeting their statutory or 
regulatory requirements;
    (d) To disclose to a Federal agency in response to its request in 
connection with the hiring or retention of an employee, the issuance of 
a security clearance, the reporting of an investigation of an employee, 
the letting of a contract, the issuance of a license, or a grant or 
other benefit by the requesting agency, to the extent that the 
information may be relevant to the requesting agency's decision on the 
matter;
    (e) To disclose to a prospective employer in response to its 
request in connection with the hiring or retention of an employee, to 
the extent that the information is believed to be relevant to the 
prospective employer's decision in the matter;
    (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

[[Page 23435]]

    (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 Training Records system of records stores records in this 
system electronically or on paper in secure facilities. Electronic 
records are stored on the Learning Management System's secure servers 
or on the Commission's secure network and other electronic media as 
needed, such as encrypted hard drives and back-up media. Paper records 
are stored in secured facilities.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Certain information covered by this system of records may be 
retrieved by employee name, or employee id number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records for this system will be maintained in accordance with all 
applicable records schedules approved by the National Archives and 
Records Administration (NARA) including GRS 2.6, items 010, 020, 030 
and GRS 2.7, item 030. All approved records schedules can be found at 
http://www.cftc.gov, or http://www.archives.gov/records-mgmt/grs.html.

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 Rules of Behavior, 
agency-wide procedures for safeguarding personally identifiable 
information, and required 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.

RECORDS 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 RECORDS 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:
    None.

    Issued in Washington, DC, on May 16, 2018, by the Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-10773 Filed 5-18-18; 8:45 am]
 BILLING CODE 6351-01-P