[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