2018-10773
Federal Register, Volume 83 Issue 98 (Monday, May 21, 2018)
[Federal Register Volume 83, Number 98 (Monday, May 21, 2018)]
[Notices]
[Pages 23433-23435]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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