83 FR 5997 - Privacy Act of 1974; System of Records

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 29 (February 12, 2018)

The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new system of records under the Privacy Act of 1974: CFTC-51, Contractors and Consultants. New CFTC-51 addresses information collected from individuals who serve as contractors and consultants to CFTC.

[Federal Register Volume 83, Number 29 (Monday, February 12, 2018)]
[Notices]
[Pages 5997-5999]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-02812]


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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-51, Contractors and Consultants. New CFTC-51 addresses information 
collected from individuals who serve as contractors and consultants to 
CFTC.

DATES: Comments must be received on or before March 14, 2018. This 
action will be effective without further notice on March 14, 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 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. Contractors and Consultants Records

    The Contractors and Consultant records system contains information 
about individuals who have contracted with the CFTC to provide various 
supplies and services. Collection of this information is necessary to 
accurately document, award, and manage procurement actions, including 
ensuring that contractors and consultants are compensated for goods 
delivered or services performed and to track and manage the fulfillment 
of such contractual obligations.

II. The Privacy Act

    Under the Privacy Act of 1974, 5 U.S.C. 552a, a ``system of 
records'' is

[[Page 5998]]

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
    Contractors and Consultants; CFTC-51.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    This system is located at Department of Transportation Enterprise 
Service Center (ESC) in Oklahoma City, Oklahoma, 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. 301; Executive Order 9373; the Office of Federal Procurement 
Policy Act (41 U.S.C. 405).

PURPOSE(S) OF THE SYSTEM:
    The information in the system is being collected to maintain 
records on CFTC contractors and consultants. Collection of this 
information is necessary (1) to accurately document, award, and manage 
procurement actions, including ensuring that contractors and 
consultants are compensated for goods delivered or services performed, 
and (2) to track and manage the fulfillment of such contractual 
obligations from requirements gathering to contract closeout, workload 
management, and reporting.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by this system include individuals who serve as 
contractors or consultants to CFTC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system of records includes information that may contain: 
Individual's name, Social Security number, home address, telephone 
numbers (work, home, mobile), email addresses, contract name and 
number, employer, work address, job title, labor category, relevant 
work experience, resumes, CFTC-issued property in the possession of the 
contractor/consultant for the purpose of fulfilling contractual 
requirements, correspondence between the contractor and CFTC, status 
reports, proposals, invoices, financial account and banking 
information, and other pre- and post-award documents.

RECORD SOURCE CATEGORIES:
    Information in this system is obtained directly from the individual 
who is the subject of these records or from designated third parties, 
for example, the employer of the individual contractor or consultant.

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 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
    (e) 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 Contractor and Consultant system of records stores records in 
this system electronically or on paper in secure facilities. Electronic 
records are stored on DOT's secure ESC 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 notice may be 
retrieved by contract name, contract number, name, email address, 
physical address, or other unique individual identifiers, and other 
types of information by keyword search.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records for this system will be maintained in accordance with the 
retention periods in the dispositions schedules approved by the 
National Archives. 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 agency- and system-specific 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

[[Page 5999]]

passwords that are frequently changed; multi-factor authentication for 
remote access and access to many CFTC network components; use of 
encryption for certain data types and transfers; firewalls and 
intrusion detection applications; and regular review of security 
procedures and best practices to enhance security. Physical safeguards 
include restrictions on building access to authorized individuals, 24-
hour security guard service, and maintenance of records in lockable 
offices and filing cabinets.

RECORD ACCESS PROCEDURES:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records should address written 
inquiries to the Office of General Counsel, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 
20581. See 17 CFR 146.3 for full details on what to include in Privacy 
Act access request.

CONTESTING RECORD PROCEDURES:
    Individuals contesting the content of records about themselves 
contained in this system of records should address written inquiries to 
the Office of General Counsel, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See 
17 CFR 146.8 for full details on what to include in a Privacy Act 
amendment request.

NOTIFICATION PROCEDURES:
    Individuals seeking notification of any records about themselves 
contained in this system of records should address written inquiries to 
the Office of General Counsel, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. See 
17 CFR 146.3 for full details on what to include in a Privacy Act 
notification request.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

    Issued in Washington, DC, on February 7, 2018, by the 
Commission.
Robert N. Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2018-02812 Filed 2-9-18; 8:45 am]
 BILLING CODE 6351-01-P