2019-08395
Federal Register, Volume 84 Issue 81 (Friday, April 26, 2019)
[Federal Register Volume 84, Number 81 (Friday, April 26, 2019)]
[Notices]
[Pages 17814-17816]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08395]
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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: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Commodity Futures Trading
Commission (CFTC or Commission) is establishing a new systems of
records: CFTC-53, Mailing, Event, and General Contact Lists.
DATES: Comments must be received on or before May 28, 2019. This action
will be effective without further notice on May 28, 2019, unless
revised pursuant to comments received.
ADDRESSES: You may submit comments identified as pertaining to
``Mailing, Event, and General Contact Lists'' 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 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.
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: Melissa Jurgens, Acting Chief Privacy
Officer, 202-418-5516, [email protected], Office of the Executive
Director, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC 20581.
SUPPLEMENTARY INFORMATION:
[[Page 17815]]
I. Mailing, Event, and General Contact Lists
The CFTC is establishing a new system of records that includes
contact information compiled in lists related to a specific event,
initiative, project, or outreach activity. These lists are used to
facilitate mailings, registrations, and other communications to
multiple addressees in furtherance of CFTC's mission under the
Commodity Exchange Act.
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 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 a report of
this system of records to the Office of Management and Budget (OMB) and
to Congress.
III. Notice: Mailing, Event and Contact Lists, CFTC-53
SYSTEM NAME AND NUMBER
Mailing, Event, and General Contact Lists, CFTC-53.
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.
SYSTEM MANAGER(S):
Office of Public Affairs, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 748 of the Dodd-Frank Act (Pub. L. 111-203, Title VII,
Section 748(g)(2)(B)) established the CFTC Customer Protection Fund for
customer education initiatives designed to help customers protect
themselves against fraud or other violations of the CEA or the rules or
regulations thereunder. The Commission undertakes and maintains
customer, and financial regulator education and awareness initiatives
through various CFTC events and activities in accordance with Part
165.12 of the regulations under the Commodity Exchange Act, 17 CFR 165.
The Commission also has authority to collect this information under 7
U.S.C. 22(a)(2)-(3) of the Commodity Exchange Act. See also 7 U.S.C.
26(g), and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The information in the system is being collected to enable CFTC to
efficiently and effectively manage contact information to: (1) Assist
CFTC in the distribution of documents and information to individuals
who request such materials; (2) to maintain lists of media,
Congressional, business, or other contacts for future communications;
(3) create and maintain registration and event management tools for
outreach, education, and training events; and, (4) correspond with
individuals who attend CFTC events or request materials or
notifications of CFTC events or initiatives or may be interested in
learning about such events.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by this system include individuals who have
requested to receive information, subscriptions, inquiries, informal
guidance or materials from CFTC; who register or participate in CFTC-
sponsored or CFTC-funded events; respond to surveys or feedback forms
from CFTC, partnering agency, or by a third party contracted by CFTC;
correspond with CFTC or are discussed in correspondence to or from CFTC
regarding events, initiatives, and outreach activities; or who have
previously interacted with the CFTC or other financial market
regulators on other matters; or who the CFTC believes would be
interested in learning of certain of our events or programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information included in the system of records may contain: (1)
Contact information (name, home/work address, business/institution
affiliation and address, job titles, phone numbers (both work and
mobile), email addresses; (2) information collected from or about
attendees in response to surveys or as part of the event registration
process; (3) special accommodation information (e.g., dietary
restrictions, seating, access accommodations); (4) photographs; and (5)
sign-in sheets or rosters compiled at meetings, conferences, and
workshops held at or by the CFTC or event/outreach partner.
RECORD SOURCE CATEGORIES:
Information in this system is obtained directly from the
individual, or their representative, who is the subject of these
records or from third parties, such as survey providers or event
hosting companies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The information in this system will be routinely used by CFTC staff
members to contact individuals to respond to requests for information;
facilitate events; educate customers, industry members, and financial
regulators (both domestic and foreign); and, correspond with members of
the public. These records and information in these records may be used:
(a) 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;
(b) To disclose to Federal, State, local, territorial, Tribal, or
foreign agencies for use in meeting their statutory or regulatory
requirements;
(c) Information may be disclosed to any ``registered entity,'' as
defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, et
seq. (``the Act''), to the extent disclosure is authorized and will
assist the registered entity in carrying out its responsibilities under
the Act. Information may also be disclosed to any registered futures
association registered under section 17 of the Act to assist it in
carrying out its self-regulatory responsibilities under the Act, and to
any national securities exchange or national securities association
registered with the Securities and Exchange Commission to assist those
organizations in carrying out their self-regulatory responsibilities
under the Securities Exchange Act of 1934, 15 U.S.C. 78a, et seq.;
(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
[[Page 17816]]
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:
Records in this system may be stored electronically or on paper.
Electronic records are stored on the Commission's secure network and
secure back-up media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Certain information covered by this SORN may be retrieved by name,
address, business affiliation, email address, event date, event type,
event location or an identifying event or file number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The records will be maintained in accordance with records
disposition schedules approved by the National Archives and Records
Administration. The 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
personal 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 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:
None.
Issued in Washington, DC, on April 22, 2019, by the Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2019-08395 Filed 4-25-19; 8:45 am]
BILLING CODE 6351-01-P