[Federal Register: August 13, 2007 (Volume 72, Number 155)]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974: System of Records
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice of new system of records and proposed routine uses.
SUMMARY: This notice adds a new system of records to the Commission's
systems of records under the Privacy Act. The new system contains
information collected to document and support decisions regarding
clearance for access to classified information and the suitability,
eligibility, and fitness for service of applicants for federal
employment, including students, interns, or volunteers, and contractor
positions to the extent that contract duties require access to federal
facilities, information, systems, or applications.
This system is necessary to comply with Homeland Security Presidential
Directive 12 (HSPD-12).
DATES: In accordance with subsections (e)(4) and (e)(11) of the Privacy
Act of 1974, as amended (5 U.S.C. 552a), any interested person may
submit written comments concerning this system of records. Comments on
the establishment of the new system of records must be received no
later than September 12, 2007. The new system of records will be
effective September 24, 2007 unless the Commission receives comments
which would result in a contrary determination.
ADDRESSES: Comments should be addressed to Dave Stawick, Secretary,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
St. NW., Washington, DC 20581. Comments may be sent via electronic mail
FOR FURTHER INFORMATION CONTACT: Stacy Yochum, Office of the Executive
Director, (202) 418-5157, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR
Part 146, the Commission is publishing a description of a new system of
records. The new system contains records related to background checks
at the Commission.
This new system of records, as required by 5 U.S.C. 552a(r) of the
Privacy Act, will be submitted to the Committee on Government Oversight
and Reform of the U.S. House of Representatives, the Committee on
Governmental Affairs of the U.S. Senate, and the Office of Management
and Budget, pursuant to Appendix I to OMB Circular A-130, ``Federal
Agency Responsibilities for Maintaining Records About Individuals,''
dated July 15, 1994. Accordingly, the Commission is giving notice of
the establishment of the following system of records:
Personnel Security Files.
Most personnel identity verification (PIV) records are not
The Personnel Security Files are located in the Office of Human
Resources, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who require regular, ongoing access to CFTC facilities,
information technology systems, or information classified in the
interest of national security, including applicants for CFTC employment
or contracts, CFTC employees, contractors of the CFTC, students,
interns, volunteers, individuals authorized to perform or use services
provided in CFTC facilities, and individuals formerly in any of these
CATEGORIES OF RECORDS IN THE SYSTEM:
Records may include any or all of the following, depending on the
individual and his or her position:
1. Data needed to identify an individual, including: Individual's
last, first, middle names (filed alphabetically by last name), and
former names (if applicable); Social Security Number; date of birth;
birthplace; home address; telephone numbers; residential history;
photograph; gender; height; weight; and hair and eye color.
2. Individual's citizenship; fingerprints; security classification;
types and dates of investigations; agency conducting investigation;
position sensitivity levels; miscellaneous investigation comments;
summary report of investigation; results of suitability decisions;
level of security clearance; and date of issuance of security
3. ``I-9'' documents, such as driver's license, passport, and birth
3. Names of relatives; relatives birth dates, home address, and
citizenship; and names of relatives who work for the Federal
4. Reports about the individual's qualifications for a position,
e.g., employee/applicant's employment/work history; employment
references and contact information; educational/training institutions
attended, degrees and certifications earned; and educational and
5. Information needed to investigate an individual's character,
conduct, and behavior in the community where he or she lives or lived;
criminal history, e.g., arrests and convictions for violations against
the law; mental health history; drug use; financial information, e.g.,
income tax return information and credit reports; reports of interviews
with present and former supervisors, co-workers, associates, and
educators; and other related personal references and contact
6. Reports of inquiries with law enforcement agencies, employers,
and reports of action after the Office of Personnel Management or FBI
section 8(d) Full Field Investigation; Notices of Security
Investigation and other information developed from the above described
Certificates of Clearance, e.g., date of security clearances, requests
for appeals, witness statements, investigator's notes, security
violations, circumstances of violations, and agency action(s) taken.
7. Information obtained from SF-85, SF-85P, SF-86, and SF-87 forms;
summary reports from OPM or another Federal agency conducting
background investigations; and results of adjudications and security
violations. (Note: This system of records does not duplicate or
supersede the Office of Personnel Management (OPM) Central-9 system of
records, which covers the investigations OPM and its contractors
conduct on behalf of other agencies.)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Depending on the purpose of the investigation, the U.S. government
is authorized to ask for this information under Executive Orders 10450,
10865, 12333, and 12356; sections 3301 and 9101 of title 5, U.S. Code;
sections 2165 and 2201 of title 42, U.S. Code; sections 781 to 887 of
title 50, U.S. Code; parts 5, 732, and 736 of title 5, Code of Federal
Regulations; and Homeland Security Presidential Directive 12 (HSPD-12),
Policy for a Common Identification Standard for Federal Employees and
Contractors, August 27, 2004.
The records in this system are used to document and support
decisions regarding the suitability, eligibility, and fitness for
service of applicants for Federal employment and contract positions,
including students, interns, and volunteers to the extent their duties
require access to Federal facilities, information, systems, or
applications. The records are also used to support decisions regarding
clearance for access to classified information. The records may be used
to document security violations and supervisory actions taken.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
Information in this system may be routinely disclosed under the
1. Litigation by the Department of Justice--when (a) CFTC or (b)
any CFTC employee in his or her official capacity; (c) any CFTC
employee in his or her individual capacity where CFTC or the Department
of Justice (DOJ) has agreed
to represent the employee; or (d) the United States Government, is a
party to litigation or has an interest in such litigation, and by
careful review, the CFTC determines that the records are both relevant
and necessary to the litigation and the use of such records by DOJ is
therefore deemed by the agency to be for a purpose compatible with the
purpose for which the CFTC collected the records.
2. A Court or Adjudicative Body--in a proceeding when: (a) The
CFTC; (b) any CFTC employee in his or her official capacity; (c) any
CFTC employee in his or her individual capacity where CFTC or the
Department of Justice has agreed to represent the employee; or (d) the
United States Government, is a party to litigation or has an interest
in such litigation, and by careful review, the CFTC determines that the
records are both relevant and necessary to the litigation and the use
of such records is therefore deemed by the agency to be for a purpose
that is compatible with the purpose for which the CFTC collected the
3. Law Enforcement and Investigation--except as noted on Forms SF
85, 85-P, and 86, when a record on its face, or in conjunction with
other records, indicates a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto, disclosure may be made to the
appropriate public authority, whether Federal, foreign, State, local,
or tribal, or otherwise, responsible for enforcing, investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation, or order issued pursuant thereto, if
the information disclosed is relevant to any enforcement, regulatory,
investigative or prosecutorial responsibility of the receiving entity.
4. Congressional Inquiries--when requested by a Congressional
office in response to an inquiry by an individual made to the
Congressional office concerning his or her own records.
5. Government-wide Program Management and Oversight--when requested
by the National Archives and Records Administration or to the General
Services Administration for records management inspections conducted
under 44 U.S.C. 2904 and 2906; when the DOJ is contacted in order to
obtain that department's advice regarding disclosure obligations under
the Freedom of Information Act; or when the Office of Management and
Budget is contacted in order to obtain that office's advice regarding
obligations under the Privacy Act.
6. Contract Services or Cooperative Agreements--a record may be
disclosed to CFTC contractors who have been engaged to assist the CFTC
in the performance of a contract service or other activity related to
this system of records and who need to have access to the records in
order to perform their activity. Recipients shall be required to comply
with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C.
7. Employment, Clearances, Contract, or Other Benefits Decision by
CFTC--disclosure may be made to any source or potential source from
which information is requested in the course of an investigation
concerning the retention of an employee or other personnel action
(other than hiring), the retention of a security clearance, or the
letting of a contract, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
8. Employment, Clearances, Contract, or Other Benefits Decision by
an Organization other than CFTC--disclosure may be made to a Federal
State, local, foreign, or tribal or other public authority of the fact
that this system of records contains information relevant to the
retention of an employee, the retention of a security clearance, or the
letting of a contract. The other agency or licensing organization may
then make a request supported by the written consent of the individual
for the entire record if it so chooses. No disclosure will be made
unless the information has been determined to be sufficiently reliable
to support a referral to another office within the agency or to another
Federal agency for criminal, civil, administrative, personnel, or
9. National Security and Intelligence Matters--these records may be
disclosed to Federal, State, local agencies, or other appropriate
entities or individuals, or through established liaison channels to
selected foreign governments, in order to enable an intelligence agency
to carry out its responsibilities under the National Security Act of
1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333
or any successor order, applicable national security directives, or
classified implementing procedures approved by the Attorney General and
promulgated pursuant to such statutes, orders or directives.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
Records are stored on paper and electronically in a secure
Background investigation files are retrieved by name, Social
Security number (SSN), or fingerprint.
Paper records: Paper records are kept in file folders in locked
metal file cabinets in locked rooms at the headquarters office in the
Office of Human Resources. Access to records is limited to approved
security and administrative personnel who have a need for the
information in the performance of their official duties.
Electronic records: Electronic records are kept in the Office of
Human Resources. Access to the records is restricted to those with a
specific role in the personal identity verification (PIV) process that
requires access to background investigation forms to perform their
duties, and who have been given a password to access that part of the
system including background investigation records. An audit trail is
maintained and reviewed periodically to identify unauthorized access.
Persons given roles in the PIV process must complete training specific
to their roles to ensure they are knowledgeable about how to protect
individually identifiable information.
RETENTION AND DISPOSAL:
These records are retained and disposed of in accordance with
General Records Schedule 18, item 22a, approved by the National
Archives and Records Administration (NARA). Records are destroyed upon
notification of death or not later than five years after separation or
transfer of employee to another agency or department, whichever is
SYSTEM MANAGER(S) AND ADDRESS:
Vivian Jarcho, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
An individual can determine if this system contains a record
pertaining to him/her by sending a request in writing, signed, to the
FOI Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
When requesting notification of or access to records covered by
this Notice, an individual should provide his/her full name, date of
birth, agency name, and work location. An individual requesting
notification of records in person must provide identity documents
sufficient to satisfy the custodian of the records that the requester
is entitled to access, such as a government-issued photo ID.
Individuals requesting notification via mail or telephone must furnish,
at a minimum, name, date of birth, social security number, and home
address in order to establish identity.
RECORDS ACCESS PROCEDURES:
Individuals wishing to request access to records about them should
contact the system manager indicated above. Individuals must furnish
their full name (first, middle, and last name) and birth date for their
record to be located and identified. An individual requesting access
must also follow CFTC Privacy Act requirements regarding verification
of identity and amendment of records.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of their records should
contact the system manager indicated above. Individuals must furnish
their full name (first, middle, and last name) and birth date for the
record to be located and identified. An individual requesting amendment
must also follow the CFTC Privacy Act requirements regarding
verification of identity and amendment or records.
RECORD SOURCE CATEGORIES:
Information is obtained from a variety of sources including the
employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-
86 and personal interviews; employers' and former employers' records;
FBI criminal history records and other databases; financial
institutions and credit reports; medical records and health care
providers; educational institutions; interviews of witnesses such as
neighbors, friends, co-workers, business associates, teachers,
landlords, or family members; tax records; and other public records.
Security violation information is obtained from a variety of sources,
such as guard reports, security inspections, witnesses, supervisor's
reports, audit reports.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
Upon publication of a final rule in the Federal Register, this
system of records will be exempt in accordance with 5 U.S.C.
552a(k)(5). Information will be withheld to the extent it identifies
witnesses promised confidentiality as a condition of providing
information during the course of the background investigation.
Issued in Washington, DC on August 8, 2007.
By the Commission,
Secretary of the Commission.
[FR Doc. E7-15801 Filed 8-10-07; 8:45 am]
BILLING CODE 6351-01-P
Last Updated: August 13, 2007