2011-8346

Federal Register, Volume 76 Issue 67 (Thursday, April 7, 2011)[Federal Register Volume 76, Number 67 (Thursday, April 7, 2011)]

[Notices]

[Pages 19330-19332]

From the Federal Register Online via the Government Printing 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, kharman-stokes@cftc.gov, 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

Last Updated: April 7, 2011