[Federal Register Volume 76, Number 67 (Thursday, April 7, 2011)]
[Notices]
[Pages 19330-19332]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-8346]


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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 a new system 
of records.

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SUMMARY: The Commodity Futures Trading Commission is establishing a 
system of records under the Privacy Act of 1974 for the online 
collection of public comments to notices of proposed rulemakings, 
proposed orders, and other regulatory actions that are required to be 
published in the Federal Register, or applications for registration or 
designation, approval requests or self-certifications related to 
financial products or self-regulatory organization rules or rule 
amendments, petitions for exemption, and other input collected from the 
public that may not be associated with statutory or regulatory notice 
and comment requirements.

DATES: Comments should be postmarked by May 17, 2011. This notice will 
become effective without further notice, on the date which is 60 days 
from the date given above unless otherwise revised pursuant to comments 
received.

ADDRESSES: You may submit comments, identified by ``Comments Online 
SORN,'' 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. Following 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 
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, 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 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: 

I. Comments Online

    The CFTC is obligated to collect comments on rulemakings and other 
regulatory action, which it timely publishes on its Web site 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

[[Page 19331]]

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. Previously, this input was 
received by the Commission's Office of the Secretary and incorporated 
into the Commission Correspondence Files, Privacy Act System of Record 
Notice CFTC-2.
    The new ``Comments Online'' system will collect and store 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 automatically published to http://www.cftc.gov. 
The commenter's contact information, or other 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.\1\ 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.
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    \1\ The Commission reserves the right, but has no obligation, to 
review, pre-screen, filter, redact, refuse or remove any submission 
or part of a submission that it may deem inappropriate for 
publication, such as a comment containing obscene language. If an 
individual wishes to include in his/her comments information that 
he/she believes may be exempt from disclosure under the Freedom of 
Information Act, 5 U.S.C. 552, the individual may submit a petition 
for confidential treatment according to the procedure set forth in 
CFTC regulations at 17 CFR 145.9 before submitting comments.
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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 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.

III. Notice

SYSTEM NUMBER:
CFTC-45

SYSTEM NAME:
    Comments Online.

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.

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. Any individuals who may be discussed 
or identified in the comments or input provided by others to the 
Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Incoming 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, 
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 contain other personal information, although the 
comment submission instructions advise commenters not to include 
additional personal or confidential information.
    This system excludes comments or input for which the Commission has 
received and either has approved or not yet decided a Freedom of 
Information Act ``request for confidential treatment.'' Records related 
to such requests are covered under System of Record Notice CFTC-41, 
``Requests for Confidential Treatment.''

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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):
    To collect and maintain in an electronic system 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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Comments or input in this system, along with the commenter's name 
and organization, are published on the http://www.cftc.gov site. In the 
event a commenter has withdrawn a comment before the comment period has 
closed or the Commission has determined that a comment contains 
obscenities or other material deemed inappropriate for publication by 
the Commission, the comment will be removed from publication on the 
http://www.cftc.gov site but will be retained the Comments Online 
database for consideration as required by the APA or as part of the 
Commission's documentation of a comment withdrawal if requested.
    The Comments Online system also contains the commenter's email 
address and other personal contact information the commenter may 
voluntarily provide to the Commission, such as phone number. The email 
address will be used for the Commission to send the commenter a 
verification of receipt of

[[Page 19332]]

the comment. The email address and other contact information may be 
used by the Commission to contact the commenter with questions about 
his or her submission. Only the commenter's name and organization are 
made available with the comment or input on http://www.cftc.gov, unless 
the commenter incorporates other personal information into the text of 
his or her comment or input.
    Also, information in this system may be disclosed in accordance 
with the blanket routine uses numbered 1 through 19 that appear in the 
Commission's Privacy Act Systems of Records Notice, 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 Comments Online system. Electronic records, 
including comments or input and personal information provided through 
the web form on the http://www.cftc.gov site, by electronic mail or as 
uploaded into the Comments Online database, are stored on the 
Commission's network and other electronic media as needed, such as the 
eLaw system, desktop applications and back-up media.

RETRIEVABILITY:
    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. Also, by the name of any individual who is identified or 
discussed in the text of a comment or other input provided by another 
party.

ACCESS CONTROLS, SAFEGUARDS:
    Records in the Comments Online system, including personal 
information contained in the database and not published on http://www.cftc.gov, 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 retention and disposal period depends on the nature of the 
comment or input provided to the Commission. For example, comments that 
pertain to a Commission proposed rule or industry filing become part of 
the agency's central files and are kept permanently. Other input to the 
Commission may be kept for between one and 10 years, depending on the 
subject matter.

SYSTEM MANAGER(S) AND ADDRESS:
    The Commission's Office of the Secretariat, 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:
    Individuals and organizations providing comments or other input to 
the Commission.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    None.

    Issued in Washington, DC this 4th day of April, 2011, by the 
Commission.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2011-8346 Filed 4-6-11; 8:45 am]
BILLING CODE 6351-01-P