2019-08396
Federal Register, Volume 84 Issue 81 (Friday, April 26, 2019)
[Federal Register Volume 84, Number 81 (Friday, April 26, 2019)]
[Notices]
[Pages 17816-17819]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08396]
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COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974; System of Records
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice of a Modified System 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 existing SORN: CFTC-45, Comments Online.
The modification will clarify the Categories of Records in the system,
add two routine uses, tailor existing routine uses, and bring the SORN
in compliance with the Office of Management and Budget (OMB) Circular
A-108 SORN template. The update distinguishes summaries of ex parte
communications from comments submitted directly by the public in the
Categories of Records. The two new routine uses that are proposed
pertain to sharing information to mitigate a breach and are required by
OMB Memorandum 17-12. Other updates include identifying the specific
routine uses applicable to the system 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 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
``Comments Online'' 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.
[[Page 17817]]
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: 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:
I. Comments Online
The CFTC is obligated to collect comments on rulemakings and other
regulatory action, which it timely publishes on its website to provide
transparency in the informal rulemaking process under the
Administrative Procedure Act (``APA''), 5 U.S.C. 553, and in the
regulatory processes established in the Commodity Exchange Act, 7
U.S.C. 1 et seq. The CFTC also may solicit comments or other input from
the public that may not be associated with statutory or regulatory
notice and comment requirements. The Comments Online system collects
and stores comments and input received by the Commission. Specifically,
the system includes a web form on http://www.cftc.gov allowing
individuals to submit their comments or input, along with their name,
organization and contact information. Once submitted, the system stores
this information in the Comments Online database. Any comments received
by fax, postal mail, or email are uploaded by personnel into this
database, collecting all comments into one database. The commenter's
name, organization, and comment or input are published to http://www.cftc.gov. The commenter's contact information, or other additional
personal information voluntarily submitted, is not published on the
internet, unless the commenter has incorporated such information into
the text of his or her comment. During an informal rulemaking or other
statutory or regulatory notice and comment process, Commission
personnel may manually remove a comment from publication if the
commenter withdraws his or her comments before the comment period has
closed or because the comment contains obscenities or other material
deemed inappropriate for publication by the Commission. However,
comments that are removed from publication will be retained by the
Commission for consideration as required by the APA, or as part of the
Commission's documentation of a comment withdrawal in the event that
one is requested.
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: Comments Online, CFTC-45.
SYSTEM NAME AND NUMBER
Comments Online, CFTC-45.
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 the Secretariat, 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 44 U.S.C.
3101, Administrative Procedure Act, 5 U.S.C. 553 et seq., the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and rules and regulations promulgated
thereunder.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to collect and maintain feedback from
the public and industry groups regarding proposed rules and other
Commission regulatory actions in accordance with the Administrative
Procedure Act (``APA'') or other statutory or regulatory provisions, as
well as input on Commission activities that may not be associated with
notice and comment requirements.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals providing comments or other input to the Commission in
response to proposed rules, industry filings or other Commission
request for comments associated with Commission rules, policies or
procedures, whether the individuals provide comments or input directly
or through their representatives. The system also includes individuals
who may be discussed or identified in the comments or input provided by
others to the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system include incoming comments or other input to
the Commission in response to proposed rules, industry filings, or
other Commission requests for comments associated with Commission
rules, policies or procedures, provided to the Commission via the web
form on the http://www.cftc.gov site, electronic mail, facsimile, or
postal mail. Comments or input submitted through http://www.cftc.gov
include the full name of the submitter, an email address and the name
of the organization, if an organization is submitting the comments. The
commenter may optionally provide job title, mailing address, and phone
numbers. The comments or input provided may
[[Page 17818]]
contain other personal information, although the comment submission
instructions advise commenters not to include additional personal or
confidential information. The system may also contain summaries or
memorializations of ex parte communications input by CFTC staff related
to the proposed rule, statutory or regulatory provision, or Commission
activity.
RECORD SOURCE CATEGORIES:
Individuals and organizations providing comments or other input to
the Commission.
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 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 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 Comments Online 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 name of the individual providing the comment or input,
name of the individual on whose behalf a comment or input is provided,
number assigned to the comment or input, or the subject matter, such as
the proposed rule or industry filing to which the comment or input
pertains.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Comments received per the notice and comment requirement of the APA
will be retained permanently in accordance with the Commission's
records disposition schedule. All other submissions received that do
not fall under proposed rulemaking will be retained in accordance with
the retention period for the appropriate subject item in the
Commission's records disposition schedule. 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
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
[[Page 17819]]
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 April 07, 2011 at 76 FR 19330.
Issued in Washington, DC, on April 22, 2019, by the Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2019-08396 Filed 4-25-19; 8:45 am]
BILLING CODE 6351-01-P