[Federal Register Volume 86, Number 234 (Thursday, December 9, 2021)]
[Notices]
[Pages 70116-70118]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-26632]


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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 a new system of records, CFTC-57, Reasonable 
Accommodations Records, to receive, track, process, and report on 
requests for reasonable accommodations.

DATES: In accordance with 5 U.S.C. 552(e)(4) and (11), this notice will 
go into effect without further notice on December 9, 2021 unless 
otherwise revised pursuant to comments received. All routine uses will 
go into effect on January 10, 2022. Comments must be received on or 
before January 10, 2022.

ADDRESSES: You may submit comments, identified as pertaining to ``CFTC-
57, Reasonable Accommodations Records,'' by any of the following 
methods:
     CFTC Comments Portal: https://comments.cftc.gov. Select 
the ``Submit Comments'' link for this notice and follow the 
instructions on the Public Comment Form.
     Mail: Send to Christopher Kirkpatrick, Secretary of the 
Commission, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW, Washington, DC 20581.
     Hand Delivery/Courier: Follow the same instructions as for 
Mail, above.
    Please submit your comments using only one of these methods. 
Submissions through the CFTC Comments Portal are encouraged.
    All comments must be submitted in English, or if not, be 
accompanied by an English translation. Comments will be posted as 
received to https://comments.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://comments.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 this notice will be retained in the 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: Charles Cutshall, Chief Privacy 
Officer, [email protected], 202-418-5833, Legal Division, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street 
NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION: Federal agencies are required by law to 
provide reasonable accommodations and personal assistance services to 
qualified employees and applicants. Reasonable accommodations can apply 
to the duties of the job and/or where and how job tasks are performed. 
Reasonable accommodations may include, but are not limited to: Making 
existing facilities readily accessible to individuals with 
disabilities; restructuring jobs, modifying work schedules or places of 
work (i.e., telework), and providing

[[Page 70117]]

flexible scheduling for medical appointments or religious observance; 
acquiring or modifying equipment or examinations or training materials; 
providing accessible technology or other workplace adaptive equipment; 
providing qualified readers and interpreters, personal assistants, 
service animals; granting permission to wear religious dress, 
hairstyles, or facial hair or to observe a religious prohibition 
against wearing certain garments; considering requests for medical and 
religious exemptions to specific workplace requirements; and making 
other modifications to workplace policies and practices.

SYSTEM NAME AND NUMBER:
    Reasonable Accommodations Records--CFTC-57.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    This system is maintained by the Chief Human Capital Officer in the 
Commission's office at Three Lafayette Centre, 1155 21st Street NW, 
Washington, DC 20581. Records may also be located at the regional 
offices in Chicago, Illinois; Kansas City, Missouri; and New York, New 
York.

SYSTEM MANAGER(S):
    Chief Human Capital Officer, Human Resources Branch of the Division 
of Administration, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. Email is 
[email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Rehabilitation Act of 1973, sections 501 and 504, Public Law 
93-112, as amended; the Americans with Disabilities Act (ADA) of 1990, 
Public Law 101-336 (1990), as amended by the ADA Amendments Act of 2008 
(ADAA), Public Law 110-325 (2009); Title VII of the Civil Rights Act of 
1964, Public Law 88-352, as amended; Title VII of the Civil Rights Act 
of 1964, 42 U.S.C. 2000e; 29 CFR 1605 (Guidelines on Discrimination 
Because of Religion), Executive Order 13164 (July 28, 2000); Executive 
Order 13548 (July 26, 2010); and Executive Order 14043 (September 9, 
2021).

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to receive, track, process, and 
report the processing of requests for reasonable accommodations and for 
personal assistance services. It maintains records from qualified 
employees and applicants with disabilities, as defined by the 
Rehabilitation Act of 1973 and the Americans with Disabilities Act, as 
amended by the Americans with Disabilities Amendments Act of 2008, and 
records from employees with targeted disabilities who request or 
receive personal assistance services. It also maintains records 
received from employees who request or receive accommodations under 
Title VII of the Civil Rights Act of 1964.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by the system include job applicants seeking 
employment with the CFTC and CFTC employees who request or receive 
reasonable accommodations under the Rehabilitation Act of 1973, Public 
Law 93-112, as amended, the Americans with Disabilities Act of 1990, 
Public Law 101-336 (1990), as amended by the Americans with 
Disabilities Act Amendments Act of 2008 (ADAA), and Title VII of the 
Civil Rights Act of 1964, Public Law 88-352, as amended. It covers CFTC 
employees with targeted disabilities who request personal assistance 
services, as required by the Rehabilitation Act of 1973, Public Law 93-
112, as amended. It also covers individuals or representatives (e.g., a 
family member or attorney) authorized to request reasonable 
accommodations on behalf of an applicant for employment or employee.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information about the individual who requires reasonable 
accommodations and the job for which they are either an applicant or 
employed includes:
     First, middle, and last name of the individual who 
requires the accommodation;
     Address, phone number, and email address of the person who 
requires the accommodation;
     Job (occupational series, grade level, and office) for 
which reasonable accommodations was requested; and,
     Date of request.
    Information about the nature of the disability and/or need for 
reasonable accommodations includes:
     Medical documentation provided by the requester or at the 
requestor's direction or request (e.g., by a representative or the 
individual's healthcare provider) as required to substantiate an 
individual's disability or need to care for themselves or a family 
member;
     Information about a requestor's religious beliefs, 
provided by the requestor in support of a request for accommodation; 
and
     Type(s) of accommodation(s) requested or received.
    Information associated with the receipt and adjudication of 
requests for reasonable accommodations includes:
     Request approvals and denial notices;
     Forms, correspondence, records of oral conversations, and 
supporting notes and documentation associated with an informal dispute 
resolution or appeal processes;
     Expense(s) information associated with the requested 
accommodation;
     Whether an accommodation requested or provided occurred 
pre-employment or during employment; and
     The sources of technical assistance consulted in trying to 
identify a possible reasonable accommodation.

RECORD SOURCE CATEGORIES:
    Information is obtained from applicants and employees; an 
individual's licensed healthcare professional, religious or spiritual 
advisors or institutions, and from management officials; and authorized 
individuals or representatives (e.g., family member or attorney) who 
request reasonable accommodations and/or receive a reasonable 
accommodations or other appropriate modification from CFTC on behalf of 
an applicant or employee.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Information may be disclosed to the Department of Justice or 
other federal entity, the Merit Systems Protection Board, the Office of 
Special Counsel, or in a proceeding before a court, adjudicative body, 
or other administrative body before which the agency is authorized to 
appear, or in the course of civil discovery, litigation, or settlement 
negotiations, in actions authorized under the Commodity Exchange Act 
and otherwise authorized, when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in their official capacity; or
    c. Any employee of the agency in their personal capacity where the 
Department of Justice or the agency has agreed to represent the 
employee; or
    d. The United States, when the litigation is likely to affect the 
CFTC 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 agency is 
deemed to be relevant and necessary to the litigation.
    (2) To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate

[[Page 70118]]

authority charged with investigating or prosecuting a violation or 
enforcing or implementing a law, rule, regulation, or order, where a 
record, either on its face or in conjunction with other information, 
indicates a violation or potential violation of law, which includes 
criminal, civil, or regulatory violations;
    (3) 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;
    (4) To contractors, performing or working on a contract for the 
Commission when necessary to accomplish an agency function;
    (5) To a Congressional office in response to an inquiry made at the 
request of the individual to whom the record pertains;
    (6) To appropriate agencies, entities, and person when (1) the CFTC 
suspects or has confirmed that there has been a breach of the system of 
records; (2) the CFTC has determined that as a result of the suspected 
or confirmed breach there is a risk of harm to individuals, the CFTC 
(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 CFTC efforts to respond to the suspected 
or confirmed breach or to prevent, minimize, or remedy such harm;
    (7) To another Federal agency or Federal entity, when the CFTC 
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;
    (8) To the National Archives and Records Administration (NARA) for 
records management inspections being conducted under the authority of 
44 U.S.C. 2904 and 2906;
    (9) To medical personnel to meet a bona fide medical emergency; and
    (10) To an authorized appeal grievance examiner, formal complaints 
examiner, administrative judge, equal employment opportunity 
investigator, arbitrator or other duly authorized official engaged in 
investigation or settlement of a grievance, complaint or appeal filed 
by an employee.

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:
    In accordance with NARA General Records Schedule (GRS) 2.3 
(Employee Relations Records) item 20 (Reasonable accommodations case 
files). Disposition Authority: DAA-GRS-2018-0002-0002. Disposition 
Instruction: Temporary. Destroy three (3) years after employee 
separation from the agency or all appeals are concluded whichever is 
later, but longer retention is authorized if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Medical and religious exemptions documentation supporting a 
reasonable accommodations request will be maintained in a confidential 
file separate and apart from the requestor's Official Personnel Folder 
or Employee Performance File. Records are protected from unauthorized 
access and improper use through administrative, technical, and physical 
security measures.
    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 Legal Division, 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 Legal Division, 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 Legal Division, 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 December 3, 2021, by the 
Commission.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2021-26632 Filed 12-8-21; 8:45 am]
BILLING CODE 6351-01-P