[Federal Register Volume 76, Number 67 (Thursday, April 7, 2011)]
[Notices]
[Pages 19330-19332]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-8346]
=======================================================================
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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, [email protected], 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.
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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