2020-21423
[Federal Register Volume 85, Number 189 (Tuesday, September 29, 2020)]
[Notices]
[Pages 60981-60984]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-21423]
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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 CFTC-54, Ensuring Workplace Health and
Safety in Response to a Public Health Emergency, a system of records
under the Privacy Act of 1974. This system of records maintains
information collected in response to a public health emergency, such as
a pandemic or epidemic, from CFTC staff (including political
appointees, employees, detailees, contractors, consultants, interns,
and volunteers) and visitors to CFTC facilities that is necessary to
ensure a safe and healthy work environment.
DATES: In accordance with 5 U.S.C. 552(e)(4) and (11), this System of
Records will go in to effect without further notice on September 29,
2020 unless otherwise revised pursuant to comments received. New
routine uses will go in to effect on October 29, 2020. Comments must be
received on or before October 29, 2020.
ADDRESSES: You may submit comments identified as pertaining to
``Ensuring Workplace Health and Safety in Response to a Public Health
Emergency'' by any of the following methods:
CFTC Website: https://comments.cftc.gov. Follow the
instructions for submitting comments through the Comments Online
process on 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 60982]]
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
https://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 https://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: Charlie Cutshall, Chief Privacy
Officer, [email protected], 202-418-5833, Office of the Executive
Director, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC 20581.
SUPPLEMENTARY INFORMATION:
I. CFTC-54, Ensuring Workplace Health and Safety in Response to a
Public Health Emergency
The Commodity Futures Trading Commission is establishing CFTC-54,
Ensuring Workplace Health and Safety in Response to a Public Health
Emergency, a system of records under the Privacy Act of 1974. The CFTC
is committed to providing all CFTC staff with a safe and healthy work
environment and to that end it may develop and institute additional
safety measures in response to a public health emergency. These
measures may include instituting activities such as requiring CFTC
staff and visitors to provide information before being allowed access
to a CFTC facility, medical screening, and contact tracing. Contact
tracing conducted by CFTC staff will involve collecting information
about CFTC staff and visitors who are exhibiting symptoms or who have
tested positive for an infectious disease in order to identify and
notify other CFTC staff and visitors with whom they may have come into
contact and who may have been exposed.
Information will be collected and maintained in accordance with the
Americans with Disabilities Act of 1990 and regulations and guidance
published by the U.S. Occupational Safety and Health Administration,
the U.S. Equal Employment Opportunity Commission, and the U.S. Centers
for Disease Control and Prevention.
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 modified system of records to the Office of Management and Budget
and to Congress.
SYSTEM NAME AND NUMBER:
Ensuring Workplace Health and Safety in Response to a Public Health
Emergency; CFTC-54.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
This system is maintained by the Security and Emergency Management
Unit (SEMU) in the Commission's principal office at Three Lafayette
Centre, 1155 21st Street NW, Washington, DC 20581. Records may also be
located at the regional offices in Chicago at 525 West Monroe Street,
Suite 1100, Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II
Blvd., Suite 300, Kansas City, MO 64112; and, New York at 140 Broadway,
19th Floor, New York, NY 10005.
SYSTEM MANAGER(S):
The system manager is the SEMU Officer located in the Commission's
principal office at Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581, and available at [email protected]. Additional
records may be located and managed by Logistics and Operations staff in
the regional offices in Chicago at 525 West Monroe Street, Suite 1100,
Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd.,
Suite 300, Kansas City, MO 64112; and, in New York at 140 Broadway,
19th Floor, New York, NY 10005.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The authority to collect this information derives from General Duty
Clause, Section 5(a)(1) of the Occupational Safety and Health (OSH) Act
of 1970 (29 U.S.C. 654), Executive Order 12196, Occupational safety and
health programs for Federal employees (Feb. 26, 1980), OMB Memorandum
M-20-23 Aligning Federal Agency Operations with the National Guidelines
for Opening Up America Again (Apr. 20, 2020), and the National Defense
Authorization Act For Fiscal Year 2017 (5 U.S.C. 6329c(b)). Information
will be collected and maintained in accordance with the Americans with
Disabilities Act of 1990 (42 U.S.C. 12101 et seq.)
PURPOSE(S) OF THE SYSTEM:
The information in the system is collected to assist the CFTC with
maintaining a safe and healthy workplace and to protect CFTC staff
working on-site from risks associated with a public health emergency
(as defined by the U.S. Department of Health and Human Services and
declared by its Secretary), such as a pandemic or epidemic. To that
end, the CFTC may develop and institute additional safety measures in
response to a public health emergency. These measures may include
instituting activities such as requiring CFTC staff and visitors to
provide information before being allowed access to a CFTC facility,
medical screening, and contact tracing. Contact tracing conducted by
CFTC staff will involve collecting information about CFTC staff and
visitors who are exhibiting symptoms or who have tested positive for an
infectious disease in order to identify and notify other CFTC staff and
visitors with whom they may have come into contact and who may have
been exposed.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by this system include CFTC staff (e.g.,
political appointees, employees, detailees, contractors, consultants,
interns, and volunteers) and visitors to a CFTC facility during a
public health emergency, such as a pandemic or epidemic.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system maintains information collected about CFTC staff and
visitors accessing CFTC facilities during a public health emergency,
including a pandemic or epidemic. It maintains biographical information
collected about CFTC staff and visitors that includes, but is not
limited to, their
[[Page 60983]]
name, contact information, whether they are in a high-risk category or
provide dependent care for individuals in a high-risk category, and
recent travel. It maintains health information collected about CFTC
staff and visitors to a CFTC facility, that includes, but is not
limited to, temperature checks, expected or confirmed test results,
dates, symptoms, potential or actual exposure to a pathogen,
immunizations and vaccination information, or other medical history
related to the treatment of a pathogen or communicable disease. It
maintains information collected about CFTC staff and visitors to a CFTC
facility necessary to conduct contact tracing that includes, but is not
limited to, the dates when they visited the facility, the locations
that they visited within the facility (e.g., office and cubicle
number), the duration of time spent in the facility, whether they may
have potentially come into contact with a contagious person while
visiting the facility, travel dates and locations, and a preferred
contact number. It maintains information about emergency contacts for
CFTC staff that includes, but is not limited to, the emergency
contact's name, phone number, and email address.
RECORD SOURCE CATEGORIES:
The information in this system is collected in part directly from
the individual or from the individual's emergency contact. Information
is also collected from security systems monitoring access to CFTC
facilities, such as video surveillance and turnstiles, human resources
systems, emergency notification systems, and federal, state, and local
agencies assisting with the response to a public health emergency.
Information may also be collected from property management companies
responsible for managing office buildings that house CFTC facilities.
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 disclosed:
(a) To a Federal, State, or local agency to the extent necessary to
comply with laws governing reporting of infectious disease;
(b) To the CFTC staff member's emergency contact for purposes of
locating a staff member during a public health emergency or to
communicate that the CFTC staff member may have potentially been
exposed to a virus as the result of a pandemic or epidemic while
visiting a CFTC facility;
(c) To another Federal agency, to a court, or a party in litigation
before a court or in an administrative proceeding being conducted by a
Federal agency when the Commission is a party to the judicial or
administrative proceeding where the information is relevant and
necessary to the proceeding;
(d) To contractors, performing or working on a contract for the
Commission when necessary to accomplish an agency function;
(e) To the Department of Justice or in a proceeding before a court,
adjudicative body, or other administrative body which the Commission is
authorized to appear, when:
(1) The Commission; or
(2) Any employee of the Commission in his or her official capacity;
or
(3) Any employee of the Commission in his or her official capacity
where the Department of Justice or the Commission has agreed to
represent the employee; or
(4) The United States, when the Commission determines that
litigation is likely to affect the agency or any of its components;
Is a party to litigation or has an interest in such litigation, and
the use of such records by the Department of Justice or the Commission
is deemed by the agency to be relevant and necessary to the litigation.
(f) 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 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 of records are stored electronically or on
paper in secure facilities. Electronic records are stored on the
Commission's secure network.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Information covered by this system of records notice may be
retrieved by the name of the individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records of emergency contacts for CFTC staff will be maintained in
accordance with General Records Schedule 5.3, Item 020: Employee
Emergency Contact Information, which requires that the records be
destroyed when superseded or obsolete, or upon separation or transfer
of employee. CFTC will work with the National Archives and Records
Administration (NARA) to draft and secure approval of a records
disposition schedule to cover the remainder of the records described in
this SORN. Until this records disposition schedule is approved by NARA,
CFTC will maintain, and not destroy, these records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical, and physical security measures.
Administrative safeguards include applying a coversheet to sensitive
information. Technical security safeguards 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
[[Page 60984]]
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 September 23, 2020, by the
Commission.
Robert Sidman,
Deputy Secretary of the Commission.
[FR Doc. 2020-21423 Filed 9-28-20; 8:45 am]
BILLING CODE 6351-01-P