[Federal Register Volume 72, Number 155 (Monday, August 13, 2007)]
[Notices]
[Pages 45225-45228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-15801]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974: System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of new system of records and proposed routine uses.

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SUMMARY: This notice adds a new system of records to the Commission's 
systems of records under the Privacy Act. The new system contains 
information collected to document and support decisions regarding 
clearance for access to classified information and the suitability, 
eligibility, and fitness for service of applicants for federal 
employment, including students, interns, or volunteers, and contractor 
positions to the extent that contract duties require access to federal 
facilities, information, systems, or applications.

[[Page 45226]]

This system is necessary to comply with Homeland Security Presidential 
Directive 12 (HSPD-12).

DATES: In accordance with subsections (e)(4) and (e)(11) of the Privacy 
Act of 1974, as amended (5 U.S.C. 552a), any interested person may 
submit written comments concerning this system of records. Comments on 
the establishment of the new system of records must be received no 
later than September 12, 2007. The new system of records will be 
effective September 24, 2007 unless the Commission receives comments 
which would result in a contrary determination.

ADDRESSES: Comments should be addressed to Dave Stawick, Secretary, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
St. NW., Washington, DC 20581. Comments may be sent via electronic mail 
to [email protected].

FOR FURTHER INFORMATION CONTACT: Stacy Yochum, Office of the Executive 
Director, (202) 418-5157, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR 
Part 146, the Commission is publishing a description of a new system of 
records. The new system contains records related to background checks 
at the Commission.
    This new system of records, as required by 5 U.S.C. 552a(r) of the 
Privacy Act, will be submitted to the Committee on Government Oversight 
and Reform of the U.S. House of Representatives, the Committee on 
Governmental Affairs of the U.S. Senate, and the Office of Management 
and Budget, pursuant to Appendix I to OMB Circular A-130, ``Federal 
Agency Responsibilities for Maintaining Records About Individuals,'' 
dated July 15, 1994. Accordingly, the Commission is giving notice of 
the establishment of the following system of records:
CFTC-44

SYSTEM NAME:
    Personnel Security Files.

SECURITY CLASSIFICATION:
    Most personnel identity verification (PIV) records are not 
classified.

SYSTEM LOCATION:
    The Personnel Security Files are located in the Office of Human 
Resources, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who require regular, ongoing access to CFTC facilities, 
information technology systems, or information classified in the 
interest of national security, including applicants for CFTC employment 
or contracts, CFTC employees, contractors of the CFTC, students, 
interns, volunteers, individuals authorized to perform or use services 
provided in CFTC facilities, and individuals formerly in any of these 
positions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may include any or all of the following, depending on the 
individual and his or her position:
    1. Data needed to identify an individual, including: Individual's 
last, first, middle names (filed alphabetically by last name), and 
former names (if applicable); Social Security Number; date of birth; 
birthplace; home address; telephone numbers; residential history; 
photograph; gender; height; weight; and hair and eye color.
    2. Individual's citizenship; fingerprints; security classification; 
types and dates of investigations; agency conducting investigation; 
position sensitivity levels; miscellaneous investigation comments; 
summary report of investigation; results of suitability decisions; 
level of security clearance; and date of issuance of security 
clearance.
    3. ``I-9'' documents, such as driver's license, passport, and birth 
certificate.
    3. Names of relatives; relatives birth dates, home address, and 
citizenship; and names of relatives who work for the Federal 
government.
    4. Reports about the individual's qualifications for a position, 
e.g., employee/applicant's employment/work history; employment 
references and contact information; educational/training institutions 
attended, degrees and certifications earned; and educational and 
training references.
    5. Information needed to investigate an individual's character, 
conduct, and behavior in the community where he or she lives or lived; 
criminal history, e.g., arrests and convictions for violations against 
the law; mental health history; drug use; financial information, e.g., 
income tax return information and credit reports; reports of interviews 
with present and former supervisors, co-workers, associates, and 
educators; and other related personal references and contact 
information.
    6. Reports of inquiries with law enforcement agencies, employers, 
and reports of action after the Office of Personnel Management or FBI 
section 8(d) Full Field Investigation; Notices of Security 
Investigation and other information developed from the above described 
Certificates of Clearance, e.g., date of security clearances, requests 
for appeals, witness statements, investigator's notes, security 
violations, circumstances of violations, and agency action(s) taken.
    7. Information obtained from SF-85, SF-85P, SF-86, and SF-87 forms; 
summary reports from OPM or another Federal agency conducting 
background investigations; and results of adjudications and security 
violations. (Note: This system of records does not duplicate or 
supersede the Office of Personnel Management (OPM) Central-9 system of 
records, which covers the investigations OPM and its contractors 
conduct on behalf of other agencies.)

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Depending on the purpose of the investigation, the U.S. government 
is authorized to ask for this information under Executive Orders 10450, 
10865, 12333, and 12356; sections 3301 and 9101 of title 5, U.S. Code; 
sections 2165 and 2201 of title 42, U.S. Code; sections 781 to 887 of 
title 50, U.S. Code; parts 5, 732, and 736 of title 5, Code of Federal 
Regulations; and Homeland Security Presidential Directive 12 (HSPD-12), 
Policy for a Common Identification Standard for Federal Employees and 
Contractors, August 27, 2004.

PURPOSE:
    The records in this system are used to document and support 
decisions regarding the suitability, eligibility, and fitness for 
service of applicants for Federal employment and contract positions, 
including students, interns, and volunteers to the extent their duties 
require access to Federal facilities, information, systems, or 
applications. The records are also used to support decisions regarding 
clearance for access to classified information. The records may be used 
to document security violations and supervisory actions taken.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
    Information in this system may be routinely disclosed under the 
following conditions:
    1. Litigation by the Department of Justice--when (a) CFTC or (b) 
any CFTC employee in his or her official capacity; (c) any CFTC 
employee in his or her individual capacity where CFTC or the Department 
of Justice (DOJ) has agreed

[[Page 45227]]

to represent the employee; or (d) the United States Government, is a 
party to litigation or has an interest in such litigation, and by 
careful review, the CFTC determines that the records are both relevant 
and necessary to the litigation and the use of such records by DOJ is 
therefore deemed by the agency to be for a purpose compatible with the 
purpose for which the CFTC collected the records.
    2. A Court or Adjudicative Body--in a proceeding when: (a) The 
CFTC; (b) any CFTC employee in his or her official capacity; (c) any 
CFTC employee in his or her individual capacity where CFTC or the 
Department of Justice has agreed to represent the employee; or (d) the 
United States Government, is a party to litigation or has an interest 
in such litigation, and by careful review, the CFTC determines that the 
records are both relevant and necessary to the litigation and the use 
of such records is therefore deemed by the agency to be for a purpose 
that is compatible with the purpose for which the CFTC collected the 
records.
    3. Law Enforcement and Investigation--except as noted on Forms SF 
85, 85-P, and 86, when a record on its face, or in conjunction with 
other records, indicates a violation or potential violation of law, 
whether civil, criminal, or regulatory in nature, and whether arising 
by general statute or particular program statute, or by regulation, 
rule, or order issued pursuant thereto, disclosure may be made to the 
appropriate public authority, whether Federal, foreign, State, local, 
or tribal, or otherwise, responsible for enforcing, investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, or rule, regulation, or order issued pursuant thereto, if 
the information disclosed is relevant to any enforcement, regulatory, 
investigative or prosecutorial responsibility of the receiving entity.
    4. Congressional Inquiries--when requested by a Congressional 
office in response to an inquiry by an individual made to the 
Congressional office concerning his or her own records.
    5. Government-wide Program Management and Oversight--when requested 
by the National Archives and Records Administration or to the General 
Services Administration for records management inspections conducted 
under 44 U.S.C. 2904 and 2906; when the DOJ is contacted in order to 
obtain that department's advice regarding disclosure obligations under 
the Freedom of Information Act; or when the Office of Management and 
Budget is contacted in order to obtain that office's advice regarding 
obligations under the Privacy Act.
    6. Contract Services or Cooperative Agreements--a record may be 
disclosed to CFTC contractors who have been engaged to assist the CFTC 
in the performance of a contract service or other activity related to 
this system of records and who need to have access to the records in 
order to perform their activity. Recipients shall be required to comply 
with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 
552a.
    7. Employment, Clearances, Contract, or Other Benefits Decision by 
CFTC--disclosure may be made to any source or potential source from 
which information is requested in the course of an investigation 
concerning the retention of an employee or other personnel action 
(other than hiring), the retention of a security clearance, or the 
letting of a contract, to the extent necessary to identify the 
individual, inform the source of the nature and purpose of the 
investigation, and to identify the type of information requested.
    8. Employment, Clearances, Contract, or Other Benefits Decision by 
an Organization other than CFTC--disclosure may be made to a Federal 
State, local, foreign, or tribal or other public authority of the fact 
that this system of records contains information relevant to the 
retention of an employee, the retention of a security clearance, or the 
letting of a contract. The other agency or licensing organization may 
then make a request supported by the written consent of the individual 
for the entire record if it so chooses. No disclosure will be made 
unless the information has been determined to be sufficiently reliable 
to support a referral to another office within the agency or to another 
Federal agency for criminal, civil, administrative, personnel, or 
regulatory action.
    9. National Security and Intelligence Matters--these records may be 
disclosed to Federal, State, local agencies, or other appropriate 
entities or individuals, or through established liaison channels to 
selected foreign governments, in order to enable an intelligence agency 
to carry out its responsibilities under the National Security Act of 
1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 
or any successor order, applicable national security directives, or 
classified implementing procedures approved by the Attorney General and 
promulgated pursuant to such statutes, orders or directives.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS, 
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on paper and electronically in a secure 
location.

RETRIEVABILITY:
    Background investigation files are retrieved by name, Social 
Security number (SSN), or fingerprint.

SAFEGUARDS:
    Paper records: Paper records are kept in file folders in locked 
metal file cabinets in locked rooms at the headquarters office in the 
Office of Human Resources. Access to records is limited to approved 
security and administrative personnel who have a need for the 
information in the performance of their official duties.
    Electronic records: Electronic records are kept in the Office of 
Human Resources. Access to the records is restricted to those with a 
specific role in the personal identity verification (PIV) process that 
requires access to background investigation forms to perform their 
duties, and who have been given a password to access that part of the 
system including background investigation records. An audit trail is 
maintained and reviewed periodically to identify unauthorized access. 
Persons given roles in the PIV process must complete training specific 
to their roles to ensure they are knowledgeable about how to protect 
individually identifiable information.

RETENTION AND DISPOSAL:
    These records are retained and disposed of in accordance with 
General Records Schedule 18, item 22a, approved by the National 
Archives and Records Administration (NARA). Records are destroyed upon 
notification of death or not later than five years after separation or 
transfer of employee to another agency or department, whichever is 
applicable.

SYSTEM MANAGER(S) AND ADDRESS:
    Vivian Jarcho, Office of Human Resources, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581.

NOTIFICATION PROCEDURE:
    An individual can determine if this system contains a record 
pertaining to him/her by sending a request in writing, signed, to the 
FOI Privacy and Sunshine Acts Compliance Staff, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581.

[[Page 45228]]

    When requesting notification of or access to records covered by 
this Notice, an individual should provide his/her full name, date of 
birth, agency name, and work location. An individual requesting 
notification of records in person must provide identity documents 
sufficient to satisfy the custodian of the records that the requester 
is entitled to access, such as a government-issued photo ID. 
Individuals requesting notification via mail or telephone must furnish, 
at a minimum, name, date of birth, social security number, and home 
address in order to establish identity.

RECORDS ACCESS PROCEDURES:
    Individuals wishing to request access to records about them should 
contact the system manager indicated above. Individuals must furnish 
their full name (first, middle, and last name) and birth date for their 
record to be located and identified. An individual requesting access 
must also follow CFTC Privacy Act requirements regarding verification 
of identity and amendment of records.

CONTESTING RECORD PROCEDURES:
    Individuals wishing to request amendment of their records should 
contact the system manager indicated above. Individuals must furnish 
their full name (first, middle, and last name) and birth date for the 
record to be located and identified. An individual requesting amendment 
must also follow the CFTC Privacy Act requirements regarding 
verification of identity and amendment or records.

RECORD SOURCE CATEGORIES:
    Information is obtained from a variety of sources including the 
employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-
86 and personal interviews; employers' and former employers' records; 
FBI criminal history records and other databases; financial 
institutions and credit reports; medical records and health care 
providers; educational institutions; interviews of witnesses such as 
neighbors, friends, co-workers, business associates, teachers, 
landlords, or family members; tax records; and other public records. 
Security violation information is obtained from a variety of sources, 
such as guard reports, security inspections, witnesses, supervisor's 
reports, audit reports.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
    Upon publication of a final rule in the Federal Register, this 
system of records will be exempt in accordance with 5 U.S.C. 
552a(k)(5). Information will be withheld to the extent it identifies 
witnesses promised confidentiality as a condition of providing 
information during the course of the background investigation.

    Issued in Washington, DC on August 8, 2007.

    By the Commission,
David Stawick,
Secretary of the Commission.
[FR Doc. E7-15801 Filed 8-10-07; 8:45 am]
BILLING CODE 6351-01-P