2012-547

Federal Register, Volume 77 Issue 9 (Friday, January 13, 2012)[Federal Register Volume 77, Number 9 (Friday, January 13, 2012)]

[Notices]

[Pages 2048-2051]

From the Federal Register Online via the Government Printing Office [www.gpo.gov]

[FR Doc No: 2012-547]

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COMMODITY FUTURES TRADING COMMISSION

Privacy Act of 1974 System of Records Notice

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice; publication of existence and character of two new

systems of records.

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SUMMARY: The Commodity Futures Trading Commission is establishing two

new systems of records under the Privacy Act of 1974: one, for the

collection of information related to new procedures for accounting and

determining financial responsibility for lost, stolen, damaged or

destroyed CFTC property assigned to CFTC employees, volunteers,

interns, contractors and consultants; and two, for the collection of

information related to internal electronic collaboration tools which

use Microsoft SharePoint, including the CFTC Intranet and social media

tools within the Intranet.

DATES: Comments must be received on or before February 13, 2012.

ADDRESSES: You may submit comments identified by ``Lost or Damaged

Property SORN'' or ``Internal Electronic Collaboration Tools SORN'' as

applicable, by any of the following methods:

Agency Web site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions for submitting comments

through the Web site.

Federal eRulemaking Portal: Comments may be submitted at

http://www.regulations.gov. Follow the instructions for submitting

comments.

Mail: David A. Stawick, 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

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, 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 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 public comment file and will be considered as

required under all applicable laws, and may be accessible under the

Freedom of Information Act.

FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy

Officer, [email protected], (202) 418-6629, Office of the

Executive Director, Commodity Futures Trading Commission, Three

Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION:

[[Page 2049]]

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 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.

II. Lost, Stolen, Damaged or Destroyed CFTC Property

The CFTC assigns its employees, interns, volunteers, contractors

and consultants (``employees'') certain accountable CFTC property for

their use in accomplishing their official duties. The CFTC is obligated

to account for such property for financial responsibility and audit

purposes and, in certain situations, to recover costs for property that

has been lost, stolen, damaged or destroyed. The property for which an

accounting is required includes, but is not limited to, sensitive

property, such as a Blackberry or laptop, that requires special

controls or is especially vulnerable to loss, theft or misuse, and

other property, including printers, monitors, scanners, and cameras.

The Commission is establishing a new business process to require

employees to report when CFTC property is lost, stolen, damaged or

destroyed, and for the CFTC to document the determination of financial

responsibility for the property. The new Privacy Act system of records

includes information supplied by the employee; evidence and records

requested to facilitate the determination of financial responsibility,

such as copies of police reports, accident reports and photographs;

Property Survey Board interviews and other notes, meeting minutes, and

findings and recommendations concerning responsibility for

reimbursement; and information related to the final decision by the

Executive Director. The system of records also contains information on

reimbursement and, if an employee disagrees with a finding of

responsibility, records related to the employee's appeal.

III. Internal Electronic Collaboration Tools

The CFTC is implementing internal electronic collaboration tools

utilizing the Microsoft SharePoint platform. These tools will upgrade

the Commission's intranet, allow users to set up team collaboration

workspaces, facilitate sharing of documents, policies and information,

and allow limited social networking through the SharePoint ``MySites''

feature. The new Intranet, built on these tools, will include

Commission policies, procedures, forms, organization charts, news

clips, links to other sites that are helpful for staff members, and

links to other CFTC SharePoint sites containing shared documents and

other information. The Intranet will include content regarding program

offices, services and support, and projects and activities. By

connecting to a CFTC network administration database, the Intranet will

display a directory of all CFTC users, including titles, contact

information and the photograph used for CFTC credentials for all

employees, interns, volunteers, consultants and contractors

(collectively ``users''). Certain SharePoint sites may include personal

contact information for users. The MySites feature will allow CFTC

users to set up a personal profile, identify subject matter areas about

which they are knowledgeable, upload pictures, and publish notes, tags,

content, and messages that are similar to email. MySites includes a

``newsfeed'' to alert selected users when one user has added or changed

information on his or her MySites page. Users will be able to manually

select ``colleagues,'' which the colleague may approve or deny, and

create and join groups. Overall, the internal collaboration tools will

provide invaluable dissemination and exchange of information, allowing

users to stay connected within a dashboard that each user can

personalize.

While most of the information in the collaboration tools will

involve Commission policies, forms, activities and other business, the

tools will display personally identifiable information (``PII'') in the

form of the CFTC user name, title, business contact information, the

photograph a user uses for credentials to access CFTC facilities, and

organizational chart and hierarchy information. Those users who elect

to participate in MySites will be able to publish additional personal

information to selected colleagues only, to specified teams or groups,

and/or to all CFTC users, as they choose. That personal information may

include personal photographs, information about their family status

(such as whether they are married or have children), their hobbies or

personal activities, and other content.

All CFTC users will need to use the internal electronic

collaboration tools to perform their official duties, for example, to

use the Intranet to obtain business phone numbers of other CFTC users,

to view internal policies, to link to specific SharePoint sites

containing Commission business information, or use SharePoint

workspaces with other team members. On the other hand, the use of

MySites is purely voluntary. Those who elect to use MySites will have

some control over which other users may see their personal information;

however, as will be explained to MySites users, Intranet site

administrators and other CFTC staff members with a legitimate need to

know the information for official purposes will have full access to

view all content, including all personal content posted through

MySites. Intranet users will be clearly informed that, if they use

MySites, they have no reasonable expectation of privacy in any

information they post, as with any other information passing through or

stored on CFTC equipment.

The Internal Electronic Collaboration Tools system of records will

contain CFTC business information, business contact information and

photographs for CFTC users, at times personal contact information, and

any personal information a user chooses to post within MySites.

IV. Notice: Lost, Stolen, Damaged or Destroyed CFTC Property

System Number:

CFTC-46.

SYSTEM NAME:

Lost, Stolen, Damaged or Destroyed CFTC Property.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

This system is located in the Commission's principal office at

Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

Street, NW., Washington, DC 20581.

[[Page 2050]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

CFTC employees, interns, volunteers, contractors and consultants

who have experienced the loss, theft, damage or destruction of CFTC

accountable property assigned to them.

CATEGORIES OF RECORDS IN THE SYSTEM:

The system of records includes the information provided by

employees, volunteers, interns, contractors or consultants on a Lost,

Stolen, Damaged or Destroyed CFTC Property reporting form, such as

name, office contact information, and details concerning the loss,

theft, damage or destruction of property; evidence and records

collected from the employee, volunteer, intern, contractor or

consultant, his or her supervisor or others interviewed; copies of

police reports, accident reports, photographs and notes from

interviews; meeting minutes from Property Survey Board meetings;

findings, recommendations and the final decision concerning

responsibility for reimbursement; information concerning reimbursement;

and, if applicable, records related to an appeal.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Commodity Exchange Act Section 2(a)(5) (7 U.S.C. 2(a)(5)), Section

2(a)(6) (7 U.S.C. 2(a)(6)) and Section 2(a)(12) (7 U.S.C. 2(a)(12)),

and the rules and regulations promulgated thereunder; the Federal

Property and Administrative Services Act of 1949, 40 U.S.C. 471 et

seq.; the Federal Managers' Financial Integrity Act of 1982, 31 U.S.C.

3512(b) and (c); and the Government Employee's Standard of Conduct, 5

CFR 2635.704.

PURPOSE(S):

The purpose of the new system of records is to facilitate reporting

by employees, interns, volunteers, contractors and consultants when

CFTC property assigned to them is lost, stolen, damaged or destroyed,

to allow the CFTC Logistics and Operations Unit (L&O), a new Property

Survey Board, and/or the Commission's Executive Director to review

reports and related evidence, to determine whether the employee,

intern, volunteer, contractor or consultant should be held financially

responsible for reimbursing the CFTC for the costs of the property, and

to allow an appeal of a decision.

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

in the Office of the Executive Director, including L&O, Financial

Management Branch, and, as needed, the Human Resources Branch, to

facilitate the accounting for and determination of financial

responsibility of employees, volunteers, interns, contractors and

consultants for lost, stolen, damaged or destroyed CFTC property

assigned to them. Information in this system may also be disclosed in

accordance with the blanket routine uses that appear in the

Commission's Privacy Act Systems of Records Notices, see, e.g., 76 FR

5974 (Feb. 2, 2011).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESS CONTROLS,

RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records are stored in file folders, binders, computer disks,

and are uploaded into the CFTC network. Electronic records, including

emails, spreadsheets, PDF files and documents maintained on a

SharePoint site, are stored on the Commission's network and other

electronic media as needed, such as encrypted hard drives and back-up

media.

RETRIEVABILITY:

By name of the employee, volunteer, intern, contractor or

consultant who completes and provides to L&O staff the Lost, Stolen,

Damaged or Destroyed CFTC Property Report and provides other evidence.

ACCESS CONTROLS, SAFEGUARDS:

Records in the system are protected from unauthorized access and

misuse through various administrative, technical and physical security

measures. Technical security measures within CFTC include restrictions

on computer access to authorized individuals, required use of strong

passwords that are frequently changed, use of encryption for certain

data types and transfers, and regular review of security procedures and

best practices to enhance security. Physical measures include

restrictions on building access to authorized individuals only and

maintaining records in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:

The records will be maintained in accordance with records

disposition schedules approved by the National Archives and Records

Administration. The schedules are available at www.cftc.gov.

SYSTEM MANAGER(S) AND ADDRESS:

The Commission's Logistics and Operations Unit, Property Management

Officer, located at the Commodity Futures Trading Commission, Three

Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:

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, or contesting the content

of records about themselves contained in this system of records should

address written inquiry to the Office of General Counsel, Paralegal

Specialist, Commodity Futures Trading Commission, Three Lafayette

Centre, 1155 21st Street NW., Washington, DC 20581. Telephone (202)

418-5011.

RECORD SOURCE CATEGORIES:

Employees, volunteers, interns, contractors or consultants who

provide information through the Lost, Stolen, Damaged or Destroyed CFTC

Property Report or in discussions with L&O staff, the Property Survey

Board or Executive Director; selected L&O staff and the Property Survey

Board members involved in reviewing a particular situation to make a

recommendation regarding responsibility for reimbursement; the

Executive Director, who makes the final decision regarding

responsibility; and personnel in the Commission's Financial Management

Branch who handle financial reimbursement issues.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:

None.

V. Notice: Internal Electronic Collaboration Tools

System Number:

CFTC-47.

SYSTEM NAME:

Internal Electronic Collaboration Tools.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

This system is located in the Commodity Futures Trading Commission

headquarters, Three Lafayette Centre, 1155 21st Street NW., Washington,

DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

CFTC employees, interns, volunteers, contractors and consultants

who are given access to the CFTC network.

CATEGORIES OF RECORDS IN THE SYSTEM:

CFTC user name, title, business and personal contact information,

and

[[Page 2051]]

organizational chart and hierarchy information. Those users who elect

to participate in MySites will be able to publish additional personal

information, such as personal photographs, information about their

family status (such as whether they are married or have children),

their hobbies, subject matter areas of Commission business about which

they are knowledgeable, personal activities, notes, messages and other

content. Also, the Internal Electronic Collaboration Tools will contain

documents in electronic form covered by other CFTC Privacy Act System

of Record Notices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. Sec. 1 et seq.

including Section 12(b) of the Commodity Exchange Act, at 7 U.S.C.

16(b)(3), and the rules and regulations promulgated thereunder.

PURPOSE(S):

The purpose of the new system of records is to enhance and improve

efficiencies in the dissemination and exchange of information within

the Commission and allow colleagues to connect with each other. The

internal electronic collaboration tools, utilizing the Microsoft

SharePoint platform, will upgrade the Commission's intranet, allow

users to set up team collaboration workspaces, facilitate sharing of

documents, policies and information, and allow limited social

networking through the SharePoint ``MySites'' feature. The new intranet

will include Commission policies, procedures, forms, organization

charts, news clips, links to other sites that are helpful for staff

members, and links to other CFTC SharePoint sites containing shared

documents and other information. The intranet will include content

regarding program offices, services and support, and projects and

activities. By connecting to a CFTC network administration database,

the intranet will display a directory of all CFTC users, including

titles, contact information and the photograph used for CFTC

credentials for all employees, interns, volunteers, consultants and

contractors (collectively ``users''). The MySites feature will allow

CFTC users to set up a personal profile, upload pictures, and publish

content and messages that are similar to email. MySites also allows

users to join groups, connect with colleagues and receive a newsfeed

when new information is posted.

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 users

to disseminate and share information, collaborate and communicate with

each other with the goal of more efficiently conducting Commission

business. Also, the Internal Electronic Collaboration Tools system will

contain documents in electronic form covered by other System of Record

Notices, and the routine uses for those System of Record Notices apply.

In addition, information in this system may be disclosed in accordance

with the blanket routine uses that appear in the Commission's Privacy

Act Systems of Records Notices, see, e.g., 76 FR 5974 (Feb. 2, 2011).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESS CONTROLS,

RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Electronic records, including emails, spreadsheets, PDF files,

other documents and content maintained in or through this system are

stored on the Commission's network and other electronic media as

needed, such as encrypted hard drives and back-up media. Print-outs of

records in this system are stored in file folders, binders and similar

filing methods.

RETRIEVABILITY:

By name of the employee, volunteer, intern, consultant or

contractor who has access to the CFTC network.