[Federal Register Volume 88, Number 65 (Wednesday, April 5, 2023)]
[Notices]
[Pages 20146-20149]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07030]


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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 to cover the collection and 
maintenance of records pertaining to the administration of the CFTC's 
advisory committees and subcommittees.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice 
will go into effect without further notice on April 5, 2023 unless 
otherwise revised pursuant to comments received. All routine uses will 
go into effect on May 5, 2023. Comments must be received on or before 
May 5, 2023.

ADDRESSES: You may submit comments, identified as pertaining to ``CFTC-
58 Advisory Committees,'' by any of the following methods:

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     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 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 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: Marcela Souaya, (202) 418-5137, 
[email protected], Office of the General Counsel, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street NW, 
Washington, DC 20581.

SUPPLEMENTARY INFORMATION: The CFTC's advisory committees were created 
to provide input and make recommendations to the Commission on a 
variety of regulatory and market issues that affect the integrity and 
competitiveness of the United States (U.S.) derivatives markets. The 
committees facilitate communication between the Commission and U.S. 
derivatives markets, trading firms, market participants, and end users. 
The CFTC currently has five advisory committees. The Agricultural 
Advisory Committee, Global Markets Advisory Committee, Market Risk 
Advisory Committee, and the Technology Advisory Committee are 
discretionary committees under the Federal Advisory Committee Act 
(FACA), 5 U.S.C. 1001 et seq. The Energy and Environmental Markets 
Advisory Committee was established by the Dodd-Frank Wall Street Reform 
and Consumer Protection Act, Public Law 111-203, and subsequently 
codified in the Commodity Exchange Act, 7 U.S.C. 1 et seq., at 7 U.S.C. 
2(a)(15), and is not subject to the FACA. The Commission also 
establishes and maintains subcommittees that report to advisory 
committees as needed. Advisory committee and subcommittee members are 
generally representatives, but depending on the issues to be addressed, 
the Commission will appoint special government employees (SGEs) and 
officials from other Federal agencies from time to time. The CFTC 
identifies candidates for advisory committee and subcommittee 
membership through a variety of methods, including public requests for 
nominations; recommendations from existing advisory committee members; 
consultations with knowledgeable persons outside the CFTC (industry, 
consumer groups, other state or Federal government agencies, academia, 
etc.); requests to be represented received from individuals and 
organizations; and Commissioners' and CFTC staff's professional 
knowledge of those experienced in the derivatives and other underlying 
commodities markets. The CFTC collects and maintains information on 
CFTC advisory committee and subcommittee applicants and members, and 
those who make recommendations for committee or subcommittee 
memberships, or otherwise interact with the CFTC regarding its advisory 
committees and subcommittees. The records are used for the 
administration of the CFTC's advisory committees and subcommittees.

SYSTEM NAME AND NUMBER:
    Advisory Committees CFTC 58.

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. 
Records may also be located at the regional offices in Chicago, 
Illinois; Kansas City, Missouri; and New York, New York. The system 
will be hosted on the CFTC's cloud and data center computing 
infrastructure. Duplicate versions of some or all system information 
may be at satellite locations where the CFTC has granted direct access 
to support CFTC operations, system backup, emergency preparedness, and/
or continuity of operations.

SYSTEM MANAGER(S):
    Committee Management Officer and Deputy General Counsel for General 
Law, [email protected], Office of the General Counsel, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street NW, 
Washington, DC 20581.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The collection of records is authorized by the Federal Advisory 
Committee Act, 5 U.S.C. 1001 et seq., and 7 U.S.C. 2(a)(15).

PURPOSE(S) OF THE SYSTEM:
    The system collects and maintains information on CFTC advisory 
committee and subcommittee applicants and members, and those who make 
recommendations for committee or subcommittee memberships, or otherwise 
interact with the CFTC regarding its advisory committees and 
subcommittees. The records are used for the administration of the 
CFTC's advisory committees and subcommittees. For example, as part of 
the member evaluation and selection process, the CFTC collects and 
maintains information to determine the experience and expertise of 
potential advisory committee and subcommittee members, ensure that the 
membership on a committee or subcommittee is balanced, and ensure that 
committee and subcommittee members are properly designated as 
representatives or SGEs. The records are also used to document and 
manage committee and subcommittee memberships, to receive public input 
regarding the work of the advisory committees and subcommittees, and to 
complete the annual mandatory FACA report to the General Services 
Administration (GSA).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The categories of individuals in this system include, but are not 
limited to:
    1. Advisory committee and subcommittee applicants;
    2. Current and past advisory committee and subcommittee members;
    3. Advisory committee and subcommittee experts and consultants;
    4. Administrative assistants to the above-listed categories of 
individuals;
    5. Advisory committee and subcommittee member organization point 
persons, designated representative members, and designated alternate 
representative members;
    6. Advisory committee meeting panelists;
    7. Individuals who make advisory committee or subcommittee member 
recommendations or serve as references; and,

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    8. Individuals who attend advisory committee or subcommittee 
meetings or provide public comments in conjunction with advisory 
committee meetings.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records in this system include, but are not 
limited to:
    1. Contact information (e.g., name, title, home or work address, 
personal or work email address, personal or work number, employer, and/
or organizational affiliation) for advisory committee and subcommittee 
applicants and current and past members (including organizational point 
persons, designated representative members, and designated 
representative alternate members), and administrative assistants to 
these individuals; advisory committee and subcommittee experts and 
consultants; advisory committee meeting panelists; individuals who make 
advisory committee or subcommittee member recommendations or serve as 
references; and, individuals who attend advisory committee or 
subcommittee meetings or provide public comments in conjunction with 
advisory committee meetings;
    2. Information that supports an applicant's experience and 
expertise to serve or a member's experience and expertise to continue 
to serve on an advisory committee or subcommittee, including letters of 
interest, recommendation letters, nomination letters (including self-
nominations), and biographical information (e.g., education, work 
experience, areas of expertise, professional societies, board and other 
committee memberships, authored publications, professional awards, 
etc.);
    3. Information that ensures appropriate designation of an applicant 
or member as either a representative or SGE, membership balance (i.e., 
represented organization and viewpoint category), or to the extent 
possible, helps the agency select members representing a wide ethnic, 
racial, gender, and age representation;
    4. Federal lobbyist status and other vetting documentation; and,
    5. Miscellaneous correspondence relating to the above.

RECORD SOURCE CATEGORIES:
    The sources for the records maintained in this system include, but 
are not limited to:
    1. Advisory committee and subcommittee applicants;
    2. Current and past advisory committee and subcommittee members;
    3. Advisory committee and subcommittee experts and consultants;
    4. Administrative assistants to the above-listed categories of 
individuals;
    5. Advisory committee and subcommittee member organization point 
persons, designated representative members, and designated alternate 
representative members;
    6. Advisory committee meeting panelists;
    7. Individuals who make advisory committee or subcommittee member 
recommendations or serve as references; and
    8. Individuals who attend advisory committee or subcommittee 
meetings or provide public comments in conjunction with advisory 
committee meetings.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    These records and information in these records may be disclosed:
    1. To the Chair or co-Chair of an advisory committee or 
subcommittee and other committee or subcommittee members to assign 
tasks to achieve a committee's or subcommittee's goals; to distribute 
information to committee or subcommittee members, their assistants, and 
other meeting participants for the purposes of conducting meetings and 
general committee or subcommittee business; and/or to prepare and 
review committee and subcommittee reports and/or recommendations.
    2. To the public to access information about the CFTC's advisory 
committees and subcommittees, including its members and activities on 
the CFTC website (https://www.cftc.gov).
    3. To the GSA or the Library of Congress when necessary in the 
administration of the CFTC's FACA committees and subcommittees, 
including complying with reporting obligations.
    4. To the appropriate agencies, entities, and persons to the extent 
necessary to obtain information relevant to a determination of whether 
an individual is eligible to serve on a CFTC advisory committee or 
subcommittee, and whether the individual would serve in a 
representative or SGE capacity.
    5. To contractors performing or working on a contract for the 
Federal government when necessary to accomplish an agency function.
    6. To the Government Accountability Office (GAO) and other 
appropriate Federal legislative oversight authorities with the 
responsibility for reviewing agency advisory committees.
    7. To the Department of Justice (DOJ) or in a proceeding before a 
court, adjudicative body, or other administrative body before which the 
agency is authorized to appear, when:
    a. The Commission, or any division or office thereof;
    b. Any employee of the Commission in their official capacity;
    c. Any employee of the Commission in their personal capacity where 
the DOJ or the agency has agreed to represent the employee; or
    d. The United States, when the Commission determines that 
litigation is likely to affect the agency or any of its divisions or 
offices; is a party to litigation or has an interest in such 
litigation, and the use of such records by the DOJ or the Commission is 
deemed by the agency to be relevant and necessary to the litigation 
provided, however, that in each case it has been determined that the 
disclosure is compatible with the purpose for which the records were 
collected.

    8. To the National Archives and Records Administration pursuant to 
its records management and inspection authorities under 44 U.S.C. 2904 
and 2906.
    9. 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.
    10. 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 maintained in this system of records are stored 
electronically or on paper in secure facilities.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The records are retrieved by an individual's or committee's name.

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POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The records maintained in this system are retained and disposed of 
in accordance with the National Archives and Records Administration 
(NARA) General Records Schedule DAA-GRS-2015-0001 (GRS 6.2) Federal 
Advisory Committee Records. The CFTC disposes of the paper documents by 
shredding. All electronic records, files, and data are destroyed either 
by physical destruction of the electronic storage media or by erasure 
of the data.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical, and physical security measures 
employed by the CFTC. Administrative safeguards include maintenance of 
written policies, standards, and procedures reinforced by training and 
periodic auditing. Technical security safeguards 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 network components; use of encryption for certain data 
types and transfers; and firewalls and intrusion detection 
applications. Physical safeguards include restrictions on building 
access to authorized individuals, use of security guard services, and 
video surveillance.

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 the 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 the 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 the 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 March 30, 2023, by the Commission.
Christopher Kirkpatrick,
Secretary of the Commission.
[FR Doc. 2023-07030 Filed 4-4-23; 8:45 am]
BILLING CODE 6351-01-P