83 FR 34123 - Privacy Act of 1974; System of Records

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 139 (July 19, 2018)

Page Range		34123-34126
FR Document		2018-15392

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.

Federal Register, Volume 83 Issue 139 (Thursday, July 19, 2018)

[Federal Register Volume 83, Number 139 (Thursday, July 19, 2018)]
[Notices]
[Pages 34123-34126]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2018-15392]

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COMMODITY FUTURES TRADING COMMISSION

Privacy Act of 1974; System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of Two Modified Systems of Records.

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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
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 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 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 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 http://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 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.

[[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.

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

Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices 34123

http://www.nesdis.noaa.gov/CRSRA/ • Mail: Christopher J. Kirkpatrick, uses the information therein, the routine
accresHome.html. Secretary of the Commission, uses for which the agency will disclose
Commodity Futures Trading such information outside the agency,
Stephen M. Volz,
Commission, Three Lafayette Centre, and how individuals may exercise their
Assistant Administrator, for Satellite and 1155 21st Street NW, Washington, DC rights under the Privacy Act.
Information Services.
20581. In accordance with 5 U.S.C. 552a(r),
[FR Doc. 2018–14970 Filed 7–18–18; 8:45 am] • Hand Delivery/Courier: Same as CFTC has provided reports of these
BILLING CODE 3510–HR–P Mail, above. systems of records to the Office of
Please submit your comments using Management and Budget (OMB) and to
only one method. Congress.
All comments must be submitted in
COMMODITY FUTURES TRADING
English, or if not, accompanied by an II. Background
COMMISSION
English translation. Comments will be
posted as received to http:// The Commodity Futures Trading
Privacy Act of 1974; System of Commission (CFTC or Commission) is
Records www.cftc.gov. You should submit only
information that you wish to make republishing two existing SORNs:
AGENCY: Commodity Futures Trading available publicly. If you wish the CFTC–39, Freedom of Information Act
Commission. Commission to consider information Requests and CFTC–40, Privacy Act
ACTION: Notice of Two Modified that you believe is exempt from Requests. The SORNs are being
Systems of Records. disclosure under the Freedom of republished to add three routine uses,
Information Act (FOIA), a petition for clarify existing routine uses, and bring
SUMMARY: In accordance with the confidential treatment of the exempt the SORN in compliance with OMB
requirements of the Privacy Act of 1974, information may be submitted according Circular A–108 SORN template. The
as amended, the Commodity Futures to the procedures established in § 145.9 records covered under the Freedom of
Trading Commission (CFTC or of the Commission’s regulations, 17 CFR Information Act Requests SORN are
Commission) is republishing two 145.9. collected and maintained to process
existing System of Record Notices The Commission reserves the right, requests made under the provisions of
(SORNs): CFTC–39, Freedom of but shall have no obligation, to review, the FOIA, and to assist the CFTC in
Information Act Requests and CFTC–40, pre-screen, filter, redact, refuse, or carrying out any other responsibilities
Privacy Act Requests. The modification remove any or all of a submission from relating to the FOIA. The records
will add three routine uses, clarify http://www.cftc.gov that it may deem to covered under the Privacy Act Requests
existing routine uses, and bring the be inappropriate for publication, such as SORN are collected and maintained to
SORNs in compliance with the Office of obscene language. All submissions that process requests made under the
Management and Budget (OMB) have been redacted or removed that provisions of the Privacy Act, and to
Circular A–108 SORN template. Two of contain comments on the merits of the assist the CFTC in carrying out any
the new routine uses pertain to sharing notice will be retained in the comment other responsibilities relating to the
information to mitigate a breach and are file and will be considered as required Privacy Act. Two routine uses are being
required by OMB Memorandum 17–12. under all applicable laws, and may be added to both SORNs to permit sharing
The third new routine use is requested accessible under the FOIA. with other Federal agencies or Federal
by the Office of Government FOR FURTHER INFORMATION CONTACT: entities as required by OMB
Information Services (OGIS) to allow Chief Privacy Officer, privacy@cftc.gov, Memorandum 17–12, ‘‘Preparing for and
disclosure of personally identifiable Office of the Executive Director, Responding to a Breach of Personally
information to OGIS for Freedom of Commodity Futures Trading Identifiable Information.’’ These routine
Information Act (FOIA) dispute Commission, Three Lafayette Centre, uses will assist the CFTC and/or other
resolution and compliance review 1155 21st Street NW, Washington, DC Federal agencies or entities in
purposes. Other updates include 20581. responding to a suspected or confirmed
identifying the specific routine uses breach and/or prevent, minimize, or
SUPPLEMENTARY INFORMATION:
applicable to each of the systems of remedy the risk of harm to the
records rather than relying on CFTC’s I. The Privacy Act requesters, the CFTC, the Federal
previously published blanket routine government, or national security. A
Under the Privacy Act of 1974, 5
uses, and administrative updates to third routine use is being added to both
U.S.C. 552a, a ‘‘system of records’’ is
comply with the OMB Circular A–108 SORNs to permit sharing with the
defined as any group of records under
SORN template format. National Archives and Records
the control of a Federal government
DATES: Comments must be received on agency from which information about Administration (NARA), Office of
or before August 20, 2018. This action individuals is retrieved by name or by Government Information Services
takes effect without further notice on some identifying number, symbol, or (OGIS) so OGIS can review
August 20, 2018, unless revised other identifying particular assigned to administrative policies, procedures, and
pursuant to comments received. the individual. The Privacy Act compliance, and to facilitate resolutions
ADDRESSES: You may submit comments establishes the means by which to disputes between persons making
identified as pertaining to ‘‘Freedom of government agencies must collect, FOIA requests and the CFTC.
Information Act Requests’’ or ‘‘Privacy Additional updates to both SORNs
sradovich on DSK3GMQ082PROD with NOTICES

maintain, and use information about an
Act Requests’’ by any of the following individual in a government system of include clarifying the specific routine
methods: records. uses applicable to each system of
• Agency website, via its Comments Each government agency is required records, and administrative updates
Online process: https:// to publish a notice in the Federal including section name and
comments.cftc.gov. Follow the Register in which the agency identifies organization updates to comply with the
instructions for submitting comments and describes each system of records it OMB Circular A–108 SORN template
through the website. maintains, the reasons why the agency format.

VerDate Sep<11>2014 17:34 Jul 18, 2018 Jkt 244001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\19JYN1.SGM 19JYN1

34124 Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices

III. Notice: Freedom of Information Act ROUTINE USES OF RECORDS MAINTAINED IN THE remedying the risk of harm to
Requests, CFTC–39. SYSTEM, INCLUDING CATEGORIES OF USERS AND individuals, the recipient agency or
THE PURPOSES OF SUCH USES:
entity (including its information
SYSTEM NAME AND NUMBER These records and information in systems, programs, and operations), the
Freedom of Information Act Requests, these records may be used: Federal Government, or national
CFTC–39. (a) To disclose information to the security, resulting from a suspected or
National Archives and Records confirmed breach.
SECURITY CLASSIFICATION: Administration, Office of Government
Information Services (OGIS), to the POLICIES AND PRACTICES FOR STORAGE OF
Unclassified. RECORDS:
extent necessary to fulfill its
SYSTEM LOCATION: responsibilities in 5 U.S.C. 552(h), to The FOIA system of records stores
review administrative agency policies, records in this system electronically.
This system is located at the The records are stored on the
procedures, and compliance with the
Commodity Futures Trading Commission’s secure network and
Freedom of Information Act, and to
Commission, Three Lafayette Centre, secure back-up media.
facilitate OGIS’ offering of mediation
1155 21st Street NW, Washington, DC
services to resolve disputes between
20581. Other offices involved in the POLICIES AND PRACTICES FOR RETRIEVAL OF
persons making FOIA requests and RECORDS:
processing of requests may also
administrative agencies;
maintain copies of the requests and any (b) To disclose in any administrative Information covered by this system of
related internal administrative records. proceeding before the Commission, in records notice may be retrieved by
any injunctive action authorized under assigned control number, name of
SYSTEM MANAGER(S):
the Commodity Exchange Act, or in any requester, or by subject of request.
General Counsel, Commodity Futures other action or proceeding in which the POLICIES AND PRACTICES FOR RETENTION AND
Trading Commission, Three Lafayette Commission or its staff participates as a DISPOSAL OF RECORDS:
Centre, 1155 21st Street NW, party or the Commission participates as
Washington, DC 20581. Records for this system will be
amicus curiae; maintained in accordance with General
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
(c) To disclose to Federal, State, local, Records Schedule 4.2 of the National
territorial, Tribal, or foreign agencies for Archives and Records Administration.
The collection of this information is use in meeting their statutory or
authorized under the Freedom of All approved schedules are available at
regulatory requirements; http://www.cftc.gov.
Information Act, 5 U.S.C. 552, 5 U.S.C. (d) To disclose to contractors,
301. grantees, volunteers, experts, students, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
and others performing or working on a SAFEGUARDS:
PURPOSE(S) OF THE SYSTEM:
contract, service, grant, cooperative Records are protected from
The information in this system is agreement, or job for the Federal unauthorized access and improper use
being collected to enable the CFTC to government when necessary to through administrative, technical, and
carry out its responsibilities under the accomplish an agency function; physical security measures.
FOIA. These responsibilities include (e) To disclose to Congress upon its Administrative safeguards include
enabling CFTC staff to receive, track, request, acting within the scope of its written guidelines on handling FOIA
and respond to FOIA requests. This jurisdiction, pursuant to the Commodity information including agency-wide
requires maintaining documentation Exchange Act, 7 U.S.C. 1 et seq., and the procedures for safeguarding personally
gathered during the consideration and rules and regulations promulgated identifiable information. In addition, all
disposition process and administering thereunder; CFTC staff are required to take annual
annual reporting requirements. (f) To disclose to appropriate privacy and security training. Technical
agencies, entities, and persons when (1) security measures within CFTC include
CATEGORIES OF INDIVIDUALS COVERED BY THE the Commission suspects or has
SYSTEM:
restrictions on computer access to
confirmed that there has been a breach authorized individuals who have a
Individuals requesting information of the system of records; (2) the legitimate need to know the
from the Commission pursuant to Commission has determined that as a information; required use of strong
provisions of FOIA, 5 U.S.C. 552, and result of the suspected or confirmed passwords that are frequently changed;
individuals who are the subjects of breach there is a risk of harm to multi-factor authentication for remote
FOIA requests. individuals, the Commission (including access and access to many CFTC
its information systems, programs, and network components; use of encryption
CATEGORIES OF RECORDS IN THE SYSTEM:
operations), the Federal Government, or for certain data types and transfers;
The system of records includes national security; and (3) the disclosure firewalls and intrusion detection
information that may contain: requests, made to such agencies, entities, and applications; and regular review of
responsive documents, internal persons is reasonably necessary to assist security procedures and best practices
memoranda, electronic mail, response in connection with the Commission’s to enhance security. Physical safeguards
letters, appeals of denials, appeal efforts to respond to the suspected or include restrictions on building access
determinations, electronic tracking data, confirmed breach or to prevent, to authorized individuals, 24-hour
fee schedules, cost calculations, and minimize, or remedy such harm; or security guard service, and maintenance
assessed cost for disclosed FOIA (g) To disclose to another Federal
sradovich on DSK3GMQ082PROD with NOTICES

of records in lockable offices and filing
records. agency or Federal entity, when the cabinets.
Commission determines that
RECORD SOURCE CATEGORIES: information from this system of records RECORD ACCESS PROCEDURES:
Individuals requesting information is reasonably necessary to assist the Individuals seeking to determine
from the Commission pursuant to the recipient agency or entity in (1) whether this system of records contains
FOIA and CFTC staff processing the responding to a suspected or confirmed information about themselves or seeking
requests. breach or (2) preventing, minimizing, or access to records about themselves in

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Federal Register / Vol. 83, No. 139 / Thursday, July 19, 2018 / Notices 34125

this system of records should address PURPOSE(S) OF THE SYSTEM: (e) To disclose to contractors,
written inquiries to the Office of General The information in this system is grantees, volunteers, experts, students,
Counsel, Commodity Futures Trading being collected to enable the CFTC to and others performing or working on a
Commission, Three Lafayette Centre, carry out its responsibilities under the contract, service, grant, cooperative
1155 21st Street NW, Washington, DC Privacy Act. These responsibilities agreement, or job for the Federal
20581. See 17 CFR 146.3 for full details include enabling CFTC staff to receive, government when necessary to
on what to include in a Privacy Act track, and respond to Privacy Act accomplish an agency function;
access request. requests. (f) To disclose to Congress upon its
request, acting within the scope of its
CONTESTING RECORD PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE jurisdiction, pursuant to the Commodity
Individuals contesting the content of SYSTEM: Exchange Act, 7 U.S.C. 1 et seq., and the
records about themselves contained in Individuals filing requests for access rules and regulations promulgated
this system of records should address to, correction of, or an accounting of thereunder;
written inquiries to the Office of General disclosures of personal information (g) To disclose to appropriate
Counsel, Commodity Futures Trading contained in systems of records agencies, entities, and persons when (1)
Commission, Three Lafayette Centre, maintained by the Commission, the Commission suspects or has
1155 21st Street NW, Washington, DC pursuant to the Privacy Act of 1974. 5 confirmed that there has been a breach
20581. See 17 CFR 146.8 for full details U.S.C. 552a. of the system of records; (2) the
on what to include in a Privacy Act Commission has determined that as a
CATEGORIES OF RECORDS IN THE SYSTEM: result of the suspected or confirmed
amendment request.
Requests, responsive documents, breach there is a risk of harm to
NOTIFICATION PROCEDURES: internal memoranda, response letters, individuals, the Commission (including
Individuals seeking notification of appeals of denials, appeal its information systems, programs, and
any records about themselves contained determinations, and electronic tracking operations), the Federal Government, or
in this system of records should address data. national security; and (3) the disclosure
written inquiries to the Office of General made to such agencies, entities, and
RECORD SOURCE CATEGORIES:
Counsel, Commodity Futures Trading persons is reasonably necessary to assist
Commission, Three Lafayette Centre, Individuals requesting information in connection with the Commission’s
1155 21st Street NW, Washington, DC from the Commission pursuant to the efforts to respond to the suspected or
20581. See 17 CFR 146.3 for full details Privacy Act and CFTC staff processing confirmed breach or to prevent,
on what to include in a Privacy Act the requests. minimize, or remedy such harm; or
notification request. (h) To disclose to another Federal
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
agency or Federal entity, when the
EXEMPTIONS PROMULGATED FOR THE SYSTEM: Commission determines that
THE PURPOSES OF SUCH USES:
None. information from this system of records
These records and information in
is reasonably necessary to assist the
HISTORY: these records may be used:
recipient agency or entity in (1)
A previous version of this SORN was (a) To disclose information to the
responding to a suspected or confirmed
published in the Federal Register on National Archives and Records
breach or (2) preventing, minimizing, or
February 02, 2011 at 76 FR 5973. Administration, Office of Government
remedying the risk of harm to
Information Services (OGIS), to the
IV. Notice: Privacy Act Requests, individuals, the recipient agency or
extent necessary to fulfill its
CFTC–40. entity (including its information
responsibilities in 5 U.S.C. 552(h), to
systems, programs, and operations), the
SYSTEM NAME AND NUMBER review administrative agency policies,
Federal Government, or national
procedures, and compliance with the
Privacy Act Requests, CFTC–40. security, resulting from a suspected or
Freedom of Information Act, and to
confirmed breach.
SECURITY CLASSIFICATION: facilitate OGIS’ offering of mediation
Unclassified. services to resolve disputes between POLICIES AND PRACTICES FOR STORAGE OF
persons making FOIA requests and RECORDS:
SYSTEM LOCATION: administrative agencies; The Privacy Act Requests system of
This system is located at the (b) To disclose in any administrative records stores records in this system
Commodity Futures Trading proceeding before the Commission, in electronically. The records are stored on
Commission, Three Lafayette Centre, any injunctive action authorized under the Commission’s secure network, and
1155 21st Street NW, Washington, DC the Commodity Exchange Act, or in any on secure back-up media.
20581. Other offices involved in the other action or proceeding in which the
POLICIES AND PRACTICES FOR RETRIEVAL OF
processing of requests may also Commission or its staff participates as a RECORDS:
maintain copies of the requests and any party or the Commission participates as
Information covered by this system of
related internal administrative records. amicus curiae;
records notice may be retrieved by
(c) To disclose to Federal, State, local,
SYSTEM MANAGER(S):
assigned control number, name of
territorial, Tribal, or foreign agencies for
requester, or by subject of request.
General Counsel, Commodity Futures use in meeting their statutory or
regulatory requirements;
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Trading Commission, Three Lafayette POLICIES AND PRACTICES FOR RETENTION AND
Centre, 1155 21st Street NW, (d) To disclose to anyone during the DISPOSAL OF RECORDS:
Washington, DC 20581. course of a Commission investigation if Records for this system will be
Commission staff has reason to believe maintained in accordance with General
AUTHORITY FOR MAINTENANCE OF THE SYSTEM: that the person to whom it is disclosed Records Schedule 4.2 of the National
The collection of this information is may have further information about Archives and Records Administration.
authorized under the Privacy Act, 5 matters relevant to the subject of the All approved schedules are available at
U.S.C. 552a, 5 U.S.C. 301. investigation; http://www.cftc.gov.

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Document Created: 2018-07-19 01:35:40
Document Modified: 2018-07-19 01:35:40

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of Two Modified Systems of Records.
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.
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.
FR Citation		83 FR 34123