System of Record Notices

[Federal Register: August 13, 2007 (Volume 72, Number 155)]

[Notices]

[Page 45225-45228]

From the Federal Register Online via GPO Access [wais.access.gpo.gov]

[DOCID:fr13au07-45]

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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.

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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.

[[Page 45226]]

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

to secretary@cftc.gov.

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:

CFTC-44

SYSTEM NAME:

Personnel Security Files.

SECURITY CLASSIFICATION:

Most personnel identity verification (PIV) records are not

classified.

SYSTEM LOCATION:

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

positions.

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

clearance.

3. ``I-9'' documents, such as driver's license, passport, and birth

certificate.

3. Names of relatives; relatives birth dates, home address, and

citizenship; and names of relatives who work for the Federal

government.

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

training references.

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

information.

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.

PURPOSE:

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

following conditions:

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

[[Page 45227]]

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

records.

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.

552a.

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

regulatory action.

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:

STORAGE:

Records are stored on paper and electronically in a secure

location.

RETRIEVABILITY:

Background investigation files are retrieved by name, Social

Security number (SSN), or fingerprint.

SAFEGUARDS:

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

applicable.

SYSTEM MANAGER(S) AND ADDRESS:

Vivian Jarcho, Office of Human Resources, Commodity Futures Trading

Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

DC 20581.

NOTIFICATION PROCEDURE:

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.

[[Page 45228]]

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,

David Stawick,

Secretary of the Commission.

[FR Doc. E7-15801 Filed 8-10-07; 8:45 am]

BILLING CODE 6351-01-P