Federal Register / Vol. 89, No. 23 / Friday, February 2, 2024 / Proposed Rules 7307 

Regulatory Findings 

The FAA determined that this 

proposed AD would not have federalism 

implications under Executive Order 

13132. This proposed AD would not 

have a substantial direct effect on the 

States, on the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. 

For the reasons discussed above, I 

certify this proposed regulation: 

(1) Is not a ‘‘significant regulatory 

action’’ under Executive Order 12866, 

(2) Would not affect intrastate 

aviation in Alaska, and 

(3) Would not have a significant 

economic impact, positive or negative, 

on a substantial number of small entities 

under the criteria of the Regulatory 

Flexibility Act. 

List of Subjects in 14 CFR Part 39 

Air transportation, Aircraft, Aviation 

safety, Incorporation by reference, 

Safety. 

The Proposed Amendment 

Accordingly, under the authority 

delegated to me by the Administrator, 

the FAA proposes to amend 14 CFR part 

39 as follows: 

PART 39—AIRWORTHINESS 

DIRECTIVES 

■ 1. The authority citation for part 39 

continues to read as follows: 

Authority: 49 U.S.C. 106(g), 40113, 44701. 

§ 39.13 [Amended] 

■ 2. The FAA amends § 39.13 by adding 

the following new airworthiness 

directive: 

Airbus Helicopters: Docket No. FAA–2024– 

0038; Project Identifier MCAI–2023– 

00645–R. 

(a) Comments Due Date 

The FAA must receive comments on this 

airworthiness directive (AD) by March 18, 

2024. 

(b) Affected ADs 

None. 

(c) Applicability 

This AD applies to all Airbus Helicopters 

Model SA–365N, SA–365N1, AS–365N2, and 

AS 365 N3 helicopters, certificated in any 

category. 

(d) Subject 

Joint Aircraft System Component (JASC) 

Code 6720, Tail Rotor Control System. 

(e) Unsafe Condition 

This AD was prompted by a report of an 

obstructed tail rotor (TR) pedal control that 

was blocked during flight. The FAA is 

issuing this AD to detect and address 

interference of the tail rotor pedal control. 

The unsafe condition, if not addressed, could 

result in loss of yaw control of the helicopter. 

(f) Compliance 

Comply with this AD within the 

compliance times specified, unless already 

done. 

(g) Requirements 

Except as specified in paragraphs (h) and 

(i) of this AD: Comply with all required 

actions and compliance times specified in, 

and in accordance with, European Union 

Aviation Safety Agency (EASA) AD 2023– 

0090, dated May 4, 2023 (EASA AD 2023– 

0090). 

(h) Exceptions to EASA AD 2023–0090 

(1) Where paragraph (1) of EASA AD 2023– 

0090 requires compliance within 165 flight 

hours, this AD requires accomplishing 

paragraph (1) of EASA AD 2023–0090 within 

100 hours time-in-service. 

(2) Where EASA AD 2023–0090 refers to its 

effective date, this AD requires using the 

effective date of this AD. 

(3) Where the service information 

referenced in EASA AD 2023–0090 specifies 

discarding parts, this AD requires removing 

those parts from service. 

(4) This AD does not adopt the ‘‘Remarks’’ 

section of EASA AD 2023–0090. 

(i) No Reporting Requirement 

Although the service information 

referenced in EASA AD 2023–0090 specifies 

to submit certain information to the 

manufacturer, this AD does not include that 

requirement. 

(j) Alternative Methods of Compliance 

(AMOCs) 

(1) The Manager, International Validation 

Branch, FAA, has the authority to approve 

AMOCs for this AD, if requested using the 

procedures found in 14 CFR 39.19. In 

accordance with 14 CFR 39.19, send your 

request to your principal inspector or local 

Flight Standards District Office, as 

appropriate. If sending information directly 

to the manager of the International Validation 

Branch, send it to the attention of the person 

identified in paragraph (k) of this AD. 

Information may be emailed to: 9-AVS-AIR730-AMOC@faa.gov. 

(2) Before using any approved AMOC, 

notify your appropriate principal inspector, 

or lacking a principal inspector, the manager 

of the local flight standards district office/ 

certificate holding district office. 

(k) Related Information 

For more information about this AD, 

contact Dan McCully, Program Manager, 

International Validation Branch, FAA, 1600 

Stewart Ave., Suite 410, Westbury, NY 

11590; phone: (404) 474–5548; email: 

william.mccully@faa.gov. 

(l) Material Incorporated by Reference 

(1) The Director of the Federal Register 

approved the incorporation by reference of 

the service information listed in this 

paragraph under 5 U.S.C. 552(a) and 1 CFR 

part 51. 

(2) You must use this service information 

as applicable to do the actions required by 

this AD, unless the AD specifies otherwise. 

(i) European Union Aviation Safety Agency 

(EASA) AD 2023–0090, dated May 4, 2023. 

(ii) [Reserved] 

(3) For EASA AD 2023–0090 identified in 

this AD, contact EASA, Konrad-AdenauerUfer 3, 50668 Cologne, Germany; telephone 

+49 221 8999 000; email ADs@

easa.europa.eu; internet easa.europa.eu. You 

may find the EASA material on the EASA 

website at ad.easa.europa.eu. 

(4) You may view this service information 

at the FAA Office of the Regional Counsel, 

Southwest Region, 10101 Hillwood Pkwy., 

Room 6N–321, Fort Worth, TX 76177. For 

information on the availability of this 

material at the FAA, call (817) 222–5110. 

(5) You may view this material at the 

National Archives and Records 

Administration (NARA). For information on 

the availability of this material at NARA, 

visit www.archives.gov/federal-register/cfr/ 

ibr-locations or email fr.inspection@nara.gov. 

Issued on January 24, 2024. 

Victor Wicklund, 

Deputy Director, Compliance & Airworthiness 

Division, Aircraft Certification Service. 

[FR Doc. 2024–01754 Filed 2–1–24; 8:45 am] 

BILLING CODE 4910–13–P 

COMMODITY FUTURES TRADING 

COMMISSION 

17 CFR Part 146 

RIN 3038–AF22 

Privacy Act Regulations 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Commodity Futures 

Trading Commission (CFTC or 

Commission) proposes to update its 

regulations regarding exemptions for 

certain systems of records from one or 

more provisions of the Privacy Act of 

1974 (Privacy Act). The Commission 

proposes to revise these regulations to 

specifically identify the systems of 

records currently included in the 

regulation that the Commission is 

exempting, additional systems of 

records that the Commission intends to 

exempt, and the sections of the Privacy 

Act from which the Commission is 

exempting each system of records, and 

the reasons therefor, in order to better 

conform to the requirements of the 

Privacy Act and the guidance contained 

in Office of Management and Budget 

(OMB) Circular A–108, Federal Agency 

Responsibilities for Review, Reporting, 

and Publication Under the Privacy Act 

(OMB A–108). The Commission also 

proposes to reorganize the regulations 

for ease of reference. 


khammond on DSKJM1Z7X2PROD with PROPOSALS
7308 Federal Register / Vol. 89, No. 23 / Friday, February 2, 2024 / Proposed Rules 

1 5 U.S.C. 552a. 

2 5 U.S.C. 552a(a)(5). 

3 5 U.S.C. 552a(b). 

4 5 U.S.C. 552a(d). 

5 5 U.S.C. 552a(j) and (k). 

6 5 U.S.C. 553. 

7 5 U.S.C. 552a(j) and (k). 

8 17 CFR 146. 

9 5 U.S.C. 552a(j) and (k). 

10OMB A–108, available at https://

www.whitehouse.gov/wp-content/uploads/legacy_

drupal_files/omb/circulars/A108/omb_circular_a108.pdf, at page 25. 

11OMB A–108 at page 25. 

DATES: Please submit comments on or 

before March 4, 2024. 

ADDRESSES: You may submit comments 

identified as pertaining to ‘‘Privacy Act 

Regulations’’ by any of the following 

methods: 

• CFTC Comments Portal: https://

comments.cftc.gov. Select the ‘‘Submit 

Comments’’ link for this rulemaking 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. To avoid 

possible delays with mail or in-person 

deliveries, submissions through the 

CFTC Comments Portal are encouraged. 

All comments must be submitted in 

English, or if not, accompanied by an 

English translation. Comments will be 

posted as received to www.cftc.gov. You 

should submit only information that 

you wish to make available publicly. If 

you wish the Commission to consider 

information that may be exempt from 

disclosure under the Freedom of 

Information Act (FOIA), 5 U.S.C. 552, a 

petition for confidential treatment of the 

exempt information may be submitted 

according to the procedures established 

in the Commission’s regulations at 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 

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 comment 

file and will be considered as required 

under the Administrative Procedure Act 

(APA), and may be accessible under 

FOIA. 

FOR FURTHER INFORMATION CONTACT: 

Kellie Cosgrove Riley, Chief Privacy 

Officer, privacy@cftc.gov, 202–418– 

5610, Office of the General Counsel, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW, Washington, DC 

20581. 

SUPPLEMENTARY INFORMATION: 

I. Background 

A. The Privacy Act 

The Privacy Act of 1974 1 establishes 

a code of fair information practice 

principles that govern Federal agencies’ 

collection, maintenance, use, and 

dissemination of an individual’s 

personal information. The Privacy Act 

applies to information that is 

maintained in a ‘‘system of records,’’ 

defined as a group of any records under 

the control of an agency from which 

information is retrieved by the name of 

the individual or by some identifying 

number, symbol, or other identifying 

particular assigned to the individual.2

In addition to establishing a code of 

fair information practice principles, the 

Privacy Act restricts disclosure of 

records containing personal information 

that an agency maintains.3 The Privacy 

Act also grants individuals an increased 

right of access to records maintained 

about themselves as well as the right to 

request amendment of those records 

upon a showing that they are not 

accurate, relevant, timely, or complete.4

B. Privacy Act Exemptions 

The Privacy Act permits agencies, 

where certain requirements are met and 

subject to limitations set forth in the 

Privacy Act, to specifically exempt 

systems of records from certain 

provisions of the Privacy Act, mainly 

pertaining to the Privacy Act’s 

provisions permitting individuals to 

access and request amendment of their 

records.5 In order to claim an 

exemption, however, the agency must 

engage in a rulemaking process 

pursuant to the APA 6 and make clear to 

the public why particular exemptions 

are being invoked.7

Part 146 of the Commission’s 

regulations,8 entitled ‘‘Records 

Maintained on Individuals,’’ contains 

the rules of the Commission 

implementing the Privacy Act. 

Commission regulations §§ 146.12 and 

146.13 (together, Privacy Act 

regulations) currently assert exemptions 

for certain of the Commission’s systems 

of records that contain records related to 

the Commission’s investigatory mission 

and personnel security obligations. 

After reviewing those regulations, the 

Commission has preliminarily 

determined that the current Privacy Act 

regulations do not include all of the 

systems of records for which the 

Commission would, in fact, assert 

exemptions, and those systems of 

records that are currently referenced are 

not clearly identified with each system 

of records’ number and accurate title. 

The Commission has also preliminarily 

determined to add more specificity 

regarding the rationale for exempting 

each of the systems of records in order 

to better demonstrate the Commission’s 

compliance with subsections (j) and (k) 

of the Privacy Act 9 and the 

corresponding guidance in OMB 

Circular A–108.10 OMB A–108, issued 

in 2016, provides that, at minimum, an 

agency’s Privacy Act exemption 

regulations shall include the specific 

name of any systems of records that will 

be exempt pursuant to the regulations, 

the specific provisions of the Privacy 

Act from which the systems of records 

will be exempt and the reasons therefor, 

and an explanation of why the 

exemption is necessary and 

appropriate.11 Accordingly, the 

Commission proposes to replace current 

§ 146.12 of the Commission’s 

regulations with a more detailed 

provision that would more specifically 

identify all of the systems of records it 

proposes to exempt, the specific 

provisions of the Privacy Act from 

which each system of records is being 

exempted, and the reasons why the 

Commission is adopting those 

exemptions. Moreover, the Commission 

has preliminarily concluded that a 

separate Privacy Act regulation § 146.13 

for exemptions taken for an Office of the 

Inspector General (OIG) system of 

records is not required by the Privacy 

Act or OMB guidance. Accordingly, the 

Commission proposes to remove current 

Commission regulation § 146.13 and 

add the OIG exemptions to proposed 

Commission regulation § 146.12, with 

revisions to the content as explained 

below. 

C. Specific Exempted Systems of 

Records 

1. CFTC–1 Enforcement Matter Register 

and Matter Indices (CFTC–1) 

CFTC–1 contains an index and 

registry of enforcement investigations. 

This system of records is not currently 

identified in Commission regulation 

§ 146.12 as a system of records that the 

Commission has exempted. The 

Commission is proposing to exempt this 

system of records because the records 


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Federal Register / Vol. 89, No. 23 / Friday, February 2, 2024 / Proposed Rules 7309 

12 5 U.S.C. 552a(k)(2). 

13 7 U.S.C. 1 et seq. 14 5 U.S.C. 552a(k)(2). 15 5 U.S.C. 552a(k)(2). 

are compiled for law enforcement 

purposes and must be protected from 

disclosure in order to maintain the 

integrity of the investigative process and 

not provide to any individual an 

opportunity to access records and 

compromise that process, such as 

through the destruction of evidence, 

interference with witnesses, or 

otherwise. In addition, the Commission 

is proposing to exempt this system of 

records in order to keep confidential the 

identity of sources who provided 

information to the Commission during 

the course of the investigation under an 

express promise that their identities 

would remain confidential. If an 

individual can access the identities of 

confidential sources, those sources may 

be unwilling to provide information that 

the Commission needs for its law 

enforcement activities. Specifically, the 

Commission is proposing to exempt 

CFTC–1, pursuant to subsection (k)(2) of 

the Privacy Act 12 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

proposed CFTC–1 exemptions. 

2. CFTC–10 Investigatory Records 

(CFTC–10) 

CFTC–10 contains records compiled 

for law enforcement purposes, including 

records developed during an 

investigation of violations or potential 

violations of the Commodity Exchange 

Act.13 This system of records is 

included in the current Commission 

regulation § 146.12 but is identified as 

‘‘Exempted Investigatory Records’’ and 

the exemptions identified in the current 

regulation lack the specificity that the 

Commission is proposing to include in 

new regulation § 146.12. The 

Commission is proposing to identify 

this system of records by its proper title 

and number and set forth the specific 

reasons for which it is being exempted 

from particular provisions of the Privacy 

Act. To that end, the Commission is 

proposing to explain in revised 

Commission regulation § 146.12 that 

this system of records is being exempted 

because the records must be protected 

from disclosure in order to maintain the 

integrity of the investigative process and 

not provide an individual an 

opportunity to access records and 

compromise that process, such as 

through the destruction of evidence, 

interference with witnesses, or 

otherwise. In addition, the Commission 

is proposing to exempt this system of 

records in order to keep confidential the 

identity of sources who provided 

information to the Commission during 

the course of the investigation under an 

express promise that their identities 

would remain confidential. If an 

individual can access the identities of 

confidential sources, those sources may 

be unwilling to provide information that 

the Commission needs for its law 

enforcement activities. Specifically, the 

Commission is proposing to exempt 

CFTC–10, pursuant to subsection (k)(2) 

of the Privacy Act 14 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–10 exemptions. 

3. CFTC–12 National Futures 

Association (NFA) Applications Suite 

System (CFTC–12) 

CFTC–12 contains records held by 

NFA on behalf of the Commission by 

delegated authority to support the 

Commission’s registration and other 

regulatory authority. These records 

include records pertaining to the fitness 

of individuals to be registered with the 

Commission and engage in business 

activities that are subject to the 

Commission’s jurisdiction and records 

pertaining to disciplinary or other 

adverse action investigated or taken 

with respect to individual registrants. 

This system of records is not currently 

identified in Commission regulation 

§ 146.12 as a system of records that the 

Commission has exempted. The 

Commission is proposing to exempt this 

system of records because to the extent 

the records pertaining to individuals 

that NFA holds on behalf of the 

Commission are investigatory records 

compiled for law enforcement purposes, 

they must be protected from disclosure 

in order to maintain the integrity of the 

investigative process and not provide to 

any individual an opportunity to access 

records and compromise that process, 

such as through the destruction of 

evidence, interference with witnesses, 

or otherwise. In addition, the 

Commission is proposing to exempt this 

system of records in order to keep 

confidential the identity of sources who 

provided information to NFA acting on 

behalf of the Commission during the 

course of the investigation under an 

express promise that their identities 

would remain confidential. If an 

individual can access the identities of 

confidential sources, those sources may 

be unwilling to provide information that 

the Commission needs for its law 

enforcement activities. Specifically, the 

Commission is proposing to exempt 

CFTC–12, pursuant to subsection (k)(2) 

of the Privacy Act 15 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–12 exemptions. 

4. CFTC–31 Closed Commission 

Meetings (CFTC–31) 

CFTC–31 contains records about 

individuals who are the subject of 

discussion at closed Commission 

meetings, including those who are the 

subject of investigations or who are 

being considered for employment. This 

system of records is included in the 

current Commission regulation § 146.12 

but identified as ‘‘Exempted Closed 

Commission Meetings’’ and the 

exemptions identified in the current 

regulation lack the specificity that the 

Commission is proposing to include in 

new regulation § 146.12. The 

Commission is proposing to identify 

this system of records by its proper title 

and number and to set forth the specific 

reasons for which it is being exempted 

from particular provisions of the Privacy 

Act. To that end, to the extent the 

records in this system of records pertain 

to law enforcement investigations, the 

Commission is proposing to exempt this 

system of records because the records 

must be protected from disclosure in 

order to maintain the integrity of the 

investigative process and not to provide 

to any individual an opportunity to 

compromise that process, such as 

through the destruction of evidence, 

interference with witnesses, or 

otherwise. In addition, the Commission 

is proposing to exempt this system of 

records in order to keep confidential the 

identity of sources who provided 

information to the Commission during 

the course of the investigation under an 

express promise that their identities 

would remain confidential. If an 

individual can access the identities of 

confidential sources, those sources may 

be unwilling to provide information that 


khammond on DSKJM1Z7X2PROD with PROPOSALS
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16 5 U.S.C. 552a(k)(2) and (k)(5), respectively. 

17 5 U.S.C. 552a(j)(2). 

18 5 U.S.C. 552a(k)(2). 19 5 U.S.C. 552a(k)(2) and (k)(5). 

the Commission needs for its law 

enforcement activities. Finally, to the 

extent records in this system of records 

are compiled solely for the purpose of 

determining the suitability, eligibility, 

or qualifications of an individual who is 

being considered for employment with 

the Commission, the Commission is 

proposing to exempt this system of 

records where the disclosure of records 

would reveal the identity of somebody 

who provided information in the 

context of the Commission’s 

determination and who had expressly 

requested that their identity remain 

confidential. The Commission has 

preliminarily determined that such an 

exemption is necessary in order to 

obtain information relevant to its 

eligibility determinations. Accordingly, 

the Commission is proposing to exempt 

CFTC–31, pursuant to subsections (k)(2) 

and (k)(5) of the Privacy Act 16 and 

subject to the requirements and 

limitations set forth therein, from the 

following provisions of the Privacy Act: 

5 U.S.C. 552a(c)(3); (d)(1), (2), (3), and 

(4); (e)(1); (e)(4)(G), (H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–31 exemptions. 

5. CFTC–32 Office of the Inspector 

General Investigative Files (CFTC–32) 

CFTC–32 contains records relevant to 

criminal and civil investigations 

conducted by the Office of the Inspector 

General (OIG). This system of records is 

included in the current Commission 

regulation § 146.13 with exemptions 

promulgated pursuant to subsections 

(j)(2) and (k)(2) of the Privacy Act, the 

former for records related to the OIG’s 

criminal law enforcement activities and 

the latter for investigatory records 

compiled for law enforcement purposes 

not within the scope of subsection (j)(2). 

The Commission has preliminarily 

concluded that a separate Privacy Act 

regulation § 146.13 for exemptions taken 

for this OIG system of records is not 

required by the Privacy Act or OMB 

guidance. Accordingly, the Commission, 

after consultation with the OIG, 

proposes to remove current Commission 

regulation § 146.13 and incorporate the 

exemptions for CFTC–32 into proposed 

Commission regulation § 146.12. 

Moreover, the Commission is proposing 

to set forth the specific reasons for 

which this system of records is being 

exempted from particular provisions of 

the Privacy Act. To that end, the 

Commission is proposing to explain in 

revised Commission regulation § 146.12 

that this system of records is being 

exempted because the records must be 

protected from disclosure in order to 

maintain the integrity of the 

investigative process and not provide to 

any individual an opportunity to access 

records and compromise that process, 

such as through the destruction of 

evidence, interference with witnesses, 

or otherwise. In addition, the 

Commission is proposing to exempt this 

system of records in order to keep 

confidential the identity of sources who 

provided information to the 

Commission during the course of the 

investigation under an express promise 

that their identities would remain 

confidential. If an individual can access 

the identities of confidential sources, 

those sources may be unwilling to 

provide information that the 

Commission needs for its law 

enforcement activities, federal employee 

and contractor witnesses may risk 

retaliation in the federal workplace, and 

any witness may risk witness 

interference tactics including threats, 

harassment, and physical and emotional 

harm. Specifically, the Commission is 

proposing to exempt this system of 

records, pursuant to subsection (j)(2) of 

the Privacy Act 17 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3) and 

(4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), 

(4)(G)–(I), (5), and (8); (f); and (g). In 

addition, the Commission is proposing 

to exempt this system of records, 

pursuant to subsection (k)(2) of the 

Privacy Act 18 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–32 exemptions. The Commission 

also requests comment on whether the 

CFTC–32 exemptions should be 

included in proposed Commission 

regulation § 146.12 or remain in 

separate Commission regulation 

§ 146.13. 

6. CFTC–44 Personnel Clearance 

System (CFTC–44) 

CFTC–44 contains records related to 

the background investigations and 

security clearances of individuals who 

have been or are being considered for 

access to Commission facilities, 

information technology systems, and 

classified or confidential information. 

These records may include statements 

from individuals who have provided 

information in the course of a 

background investigation and have 

requested that their identity remain 

confidential, and records that constitute 

investigatory materials compiled for law 

enforcement purposes. This system of 

records is identified in current 

regulation § 146.12 by its predecessor 

name, ‘‘Exempted Employee 

Background Investigation Material,’’ and 

the current regulation exempts the 

system of records only pursuant to 

subsection (k)(5) of the Privacy Act. The 

Commission is proposing to identify 

this system of records by its proper title 

and number and to set forth the specific 

reasons for which it is being exempted 

from particular provisions of the Privacy 

Act pursuant to both subsection (k)(2) 

and (k)(5) of the Privacy Act.19 To that 

end, to the extent records in this system 

of records are compiled solely for the 

purpose of determining an individual’s 

suitability, eligibility, or qualifications 

for employment with the Commission, 

the Commission is proposing to explain 

in the revised Commission regulation 

§ 146.12 that this system of records is 

exempt where the disclosure of records 

would reveal the identity of somebody 

who provided information in the 

context of the Commission’s 

determination and who had expressly 

requested that their identity remain 

confidential in order to maintain the 

promised confidentiality and enable the 

Commission to obtain information 

relevant to its eligibility determinations. 

In addition, to the extent records in this 

system of records pertain to law 

enforcement investigations, the 

Commission is proposing to exempt this 

system of records because the records 

must be protected from disclosure in 

order to maintain the integrity of the 

investigative process and not provide to 

any individual the opportunity to 

compromise that process, such as 

through the destruction of evidence, 

interference with witnesses, or 

otherwise. The Commission is also 

proposing to exempt this system of 

records in order to keep confidential the 

identity of sources who provided 

information to the Commission during 

the course of the investigation under an 

express promise that their identities 

would remain confidential. If an 

individual can access the identities of 

confidential sources, those sources may 

be unwilling to provide information that 

the Commission needs for its law 

enforcement activities. Specifically, the 

Commission is proposing to exempt this 


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Federal Register / Vol. 89, No. 23 / Friday, February 2, 2024 / Proposed Rules 7311 

20 5 U.S.C. 552a(k)(2) and (k)(5). 

21 5 U.S.C. 552a(k)(2). 

22 5 U.S.C. 601 et seq. 

23 5 U.S.C. 552a(a)(2). 

24 5 U.S.C. 3501 et seq. 

25 7 U.S.C. 19(a). 

26 7 U.S.C. 19(a)(2). 

27 7 U.S.C. 19(b). 

system of records, pursuant to 

subsections (k)(2) and (k)(5) of the 

Privacy Act 20 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–44 exemptions. 

7. CFTC–49 Whistleblower Records 

(CFTC–49) 

CFTC–49 contains records related to 

whistleblower tips, complaints and 

referrals, records related to 

investigations and inquiries into 

whistleblower complaints, and records 

related to the whistleblower award 

claim and determination process. This 

system of records is not currently 

identified in Commission regulation 

§ 146.12 as a system of records that the 

Commission has exempted. The 

Commission is proposing to exempt this 

system of records because the records 

are compiled for law enforcement 

purposes and must be protected from 

disclosure in order to maintain the 

integrity of the whistleblower process 

and not provide to any individual an 

opportunity to access records and 

compromise an investigation, such as 

through the destruction of evidence, 

interference with witnesses, or 

otherwise. In addition, the Commission 

is proposing to exempt this system of 

records in order to keep confidential the 

identity of sources who provided 

information during the course of the 

investigation under an express promise 

that their identities would remain 

confidential. If an individual can access 

the identities of confidential sources, 

those sources may be unwilling to 

provide information that the 

Commission needs to investigate 

whistleblower tips, complaints, and 

referrals. Specifically, the Commission 

proposes to exempt this system of 

records, pursuant to subsection (k)(2) of 

the Privacy Act 21 and subject to the 

requirements and limitations set forth 

therein, from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f). 

Request for Comment 

The Commission requests comment 

on the justification for and scope of the 

CFTC–49 exemptions. 

II. Related Matters 

A. Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA) 

requires federal agencies to consider 

whether the rules they propose will 

have a significant economic impact on 

a substantial number of small entities 

and, if so, to provide a regulatory 

flexibility analysis regarding the 

economic impact on those entities.22

The proposed regulations, issued 

under the Privacy Act, exempt certain 

systems of records maintained by the 

Commission from certain provisions of 

the Privacy Act, primarily those 

provisions related to an individual’s 

right to access and seek amendment of 

those records. Individuals are defined in 

the Privacy Act as United States citizens 

or aliens lawfully admitted to the 

United States for permanent 

residence.23 Small entities, as defined in 

the RFA, are not individuals under the 

Privacy Act and are not provided rights 

thereunder; therefore, small entities are 

outside the scope of the proposed 

regulations. Accordingly, the Chairman, 

on behalf of the Commission, hereby 

certifies pursuant to 5 U.S.C. 605(b), 

that this proposed rule will not have a 

significant economic impact on a 

substantial number of small entities. 

B. Paperwork Reduction Act 

The Paperwork Reduction Act (PRA) 

imposes certain requirements on federal 

agencies in connection with their 

conducting or sponsoring any collection 

of information.24 The Commission may 

not conduct or sponsor, and a 

respondent is not required to respond 

to, a request for collection of 

information unless the information 

collection request displays a currently 

valid control number issued by OMB. 

This proposed rule does not contain a 

‘‘collection of information,’’ as defined 

in the PRA. Accordingly, the 

requirements imposed by the PRA are 

not applicable to this proposed rule. 

C. Cost-Benefit Considerations 

Section 15(a) of the Commodity 

Exchange Act (CEA) provides that, 

before promulgating a regulation under 

the CEA or issuing an order, the 

Commission shall consider the costs 

and benefits of the action of the 

Commission.25 Section 15(a) further 

specifies that the costs and benefits 

shall be evaluated in light of five broad 

areas of market and public concern: (1) 

protection of market participants and 

the public; (2) efficiency, 

competitiveness, and financial integrity 

of the futures markets; (3) price 

discovery; (4) sound risk management 

practices; and (5) other public interest 

considerations.26 The proposed rules 

are being promulgated under the 

Privacy Act and pertain to the rights of 

individuals with respect to records the 

Commission maintains about them. The 

proposed rules are not being 

promulgated under the CEA. Therefore, 

the Commission preliminarily finds that 

the considerations enumerated in 

section 15(a)(2) of the CEA are not 

applicable here. 

Request for Comment 

The Commission requests comment 

on whether its preliminary finding is 

correct. 

D. Antitrust Considerations 

Section 15(b) of the CEA requires the 

Commission to take into consideration 

the public interest to be protected by the 

antitrust laws and endeavor to take the 

least anticompetitive means of 

achieving the purposes of the CEA, in 

issuing any order or adopting any 

Commission rule or regulation 

(including any exemption under section 

4(c) or 4c(b)), or in requiring or 

approving any bylaw, rule, or regulation 

of a contract market or registered futures 

association established pursuant to 

section 17 of the CEA.27 The 

Commission believes that the public 

interest to be protected by the antitrust 

laws is generally to protect competition. 

The Commission has considered the 

proposed rule to determine whether it is 

anticompetitive and has preliminarily 

identified no anticompetitive effects. 

Because the Commission has 

preliminarily determined that the 

proposed rule is not anticompetitive 

and has no anticompetitive effects, the 

Commission has not identified any less 

anticompetitive means of achieving the 

purposes of the Act. 

Request for Comment 

The Commission requests comment 

on whether the proposed rule is 

anticompetitive and, if it is, what the 

anticompetitive effects are and whether 

there are less anticompetitive means of 

achieving the relevant purposes of the 

Act that would otherwise be served by 

adopting the proposed rule. The 

Commission also requests comment on 

whether the proposed rule implicates 

any other specific public interest to be 

protected by the antitrust laws. 


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7312 Federal Register / Vol. 89, No. 23 / Friday, February 2, 2024 / Proposed Rules 

List of Subjects in 17 CFR Part 146 

Privacy. 

For the reasons stated in the 

preamble, the Commodity Futures 

Trading Commission proposes to amend 

17 CFR part 146 as follows: 

PART 146—RECORDS MAINTAINED 

ON INDIVIDUALS 

■ 1. The authority citation for part 146 

continues to read as follows: 

Authority: 88 Stat. 1896 (5 U.S.C. 552a), 

as amended; 88 Stat. 1389 (7 U.S.C. 4a(j)). 

■ 2. Revise § 146.12 to read as follows: 

§ 146.12 Exemptions. 

The Commission is exempting from 

certain provisions of the Privacy Act the 

systems of records set forth in this 

section. In addition, when these systems 

of records and any other of the 

Commission’s systems of records 

maintain a record received from another 

system of records that is exempted from 

one or more provisions of the Privacy 

Act, the Commission will claim the 

same exemptions for that record that are 

claimed for the system of records from 

which it originated. 

(a) CFTC–1 Enforcement Matter 

Register and Matter Indices. The system 

of records identified as CFTC–1 

Enforcement Matter Register and Matter 

Indices contains an index and registry of 

enforcement investigations. Pursuant to 

5 U.S.C. 552a(k)(2) and subject to the 

requirements and limitations set forth 

therein, the Commission is exempting 

this system of records from the 

following provisions of the Privacy Act: 

5 U.S.C. 552a(c)(3); (d)(1), (2), (3), and 

(4); (e)(1); (e)(4)(G), (H), and (I); and (f), 

and from the following corresponding 

sections of this part: 146.3; 146.5; 

146.6(d); 146.11(a)(7), (8), and (9); and 

146.7(a). Exemptions from these 

particular subsections of the Privacy Act 

and sections of this part promulgated 

thereunder are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the 

existence and extent of that 

investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Allowing the 

subject of the investigation to amend 

records in this system of records could 

likewise interfere with ongoing law 

enforcement proceedings and impose an 

impossible administrative burden by 

requiring law enforcement 

investigations to be continuously 

reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of investigations into 

potential violations of law, the 

significance of certain information may 

not be clear or the information may not 

be strictly relevant or necessary to a 

specific investigation; but, effective law 

enforcement requires the retention of all 

information that may aid in establishing 

patterns of unlawful activity and 

providing investigative leads. 

(4) From subsection (e)(4)(G), (H), 

and(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(b) CFTC–10 Investigatory Records. 

The system of records identified as 

CFTC–10 Investigatory Records contains 

records compiled for law enforcement 

purposes, including records developed 

during an investigation of violations or 

potential violations of the Commodity 

Exchange Act. Pursuant to 5 U.S.C. 

552a(k)(2) and subject to the 

requirements and limitations set forth 

therein, the Commission is exempting 

this system of records from the 

following provisions of the Privacy Act: 

5 U.S.C. 552a(c)(3); (d)(1), (2), (3), and 

(4); (e)(1); (e)(4)(G), (H), and (I); and (f), 

and from the following corresponding 

sections of this part: 146.3; 146.5; 

146.6(d); 146.11(a)(7), (8), and (9); and 

146.7(a). Exemptions from these 

particular subsections of the Privacy Act 

and sections of this part promulgated 

thereunder are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the 

existence and extent of that 

investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Allowing the 

subject of the investigation to amend 

records in this system of records could 

likewise interfere with ongoing law 

enforcement proceedings and impose an 

impossible administrative burden by 

requiring law enforcement 

investigations to be continuously 

reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of investigations into 

potential violations of law, the 

significance of certain information may 

not be clear or the information may not 

be strictly relevant or necessary to a 

specific investigation; but, effective law 

enforcement requires the retention of all 

information that may aid in establishing 

patterns of unlawful activity and 

providing investigative leads. 

(4) From subsection (e)(4)(G), (H), 

and(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 


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requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(c) CFTC–12 National Futures 

Association (NFA) Applications Suite 

System. The system of records identified 

as CFTC–12 National Futures 

Association (NFA) Applications Suite 

System contains records held by NFA 

on behalf of the Commission, by 

delegated authority to support the 

Commission’s registration and other 

regulatory authority. These records 

include records pertaining to the fitness 

of individuals to be registered with the 

Commission and engage in business 

activities that are subject to the 

Commission’s jurisdiction and records 

pertaining to disciplinary or other 

adverse action investigated or taken 

with respect to individual registrants. 

Pursuant to 5 U.S.C. 552a(k)(2) and 

subject to the requirements and 

limitations set forth therein, the 

Commission is exempting this system of 

records from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f), and from the 

following corresponding sections of this 

part: 146.3; 146.5; 146.6(d); 146,11(a)(7), 

(8), and (9); and 146.7(a). Exemptions 

from these particular subsections of the 

Privacy Act are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of accountings of certain 

disclosures could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Allowing the 

subject of the investigation to amend 

records in this system of records could 

likewise interfere with ongoing law 

enforcement proceedings and impose an 

impossible administrative burden by 

requiring law enforcement 

investigations to be continuously 

reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of investigations into 

potential violations of law, the 

significance of certain information may 

not be clear or the information may not 

be strictly relevant or necessary to a 

specific investigation; but, effective law 

enforcement requires the retention of all 

information that may aid in establishing 

patterns of unlawful activity and 

providing investigative leads. 

(4) From subsection (e)(4)(G), (H), and 

(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(d) CFTC–31 Closed Commission 

Meetings. The system of records 

identified as CFTC–31 Closed 

Commission Meetings contains records 

about individuals who are the subject of 

discussion at closed Commission 

meetings, including those who are the 

subject of investigations or who are 

being considered for employment. 

These records may include statements 

from individuals who have provided 

information in the course of an 

applicant’s or employee’s background 

investigation or other Commission 

investigation and who have requested 

that their identities remain confidential. 

Pursuant to 5 U.S.C. 552a(k)(2) and 

(k)(5) and subject to the requirements 

and limitations set forth therein, the 

Commission is exempting this system of 

records from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f), and from the 

following corresponding sections of this 

part: 146.3; 146.5; 146.6(d); 146.11(a)(7), 

(8), and (9); and § 146.7(a). Exemptions 

from these particular subsections of the 

Privacy Act are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the 

existence and extent of that 

investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Allowing the 

subject of the investigation to amend 

records in this system of records could 

likewise interfere with ongoing law 

enforcement proceedings and impose an 

impossible administrative burden by 

requiring law enforcement 

investigations to be continuously 

reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of investigations into 

potential violations of law, the 

significance of certain information may 

not be clear or the information may not 

be strictly relevant or necessary to a 

specific investigation; but, effective law 

enforcement requires the retention of all 

information that may aid in establishing 

patterns of unlawful activity and 

providing investigative leads. 

(4) From subsection (e)(4)(G), (H), and 

(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(e) CFTC–32, Office of the Inspector 

General Investigative Files. The system 


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of records identified as CFTC–32 Office 

of the Inspector General Investigative 

Files contains records relevant to 

criminal and civil investigations 

conducted by the Office of the Inspector 

General, including records about 

individuals being investigated for 

fraudulent and abusive activities. 

Pursuant to 5 U.S.C. 552a(j)(2) and 

subject to the requirements and 

limitations set forth therein, the 

Commission is exempting this system of 

records from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3) and 

(4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), 

(4)(G)–(I), (5), and (8); (f); and (g), and 

from the following corresponding 

sections of this part: 146.3; 146.4; 146.5; 

146.6(b), (d), and (e); 146.7(a), (c), and 

(d); 146.8; 146.9; 146.10; and 

146.11(a)(7), (8), and (9). In addition, 

pursuant to 5 U.S.C. 552a(k)(2) and 

subject to the requirements and 

limitations set forth therein, the 

Commission is exempting this system of 

records from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f), and from the 

following corresponding sections of this 

part: 146.3; 146.5; 146.6(d); 146.11(a)(7), 

(8), and (9); and 146.7(a). Exemptions 

from these particular subsections of the 

Privacy Act are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the 

existence and extent of that 

investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (c)(4) (Notice of 

Correction), because this system is 

exempt from the access and amendment 

provisions of subsection (d), as noted in 

paragraph (e)(3) of this section. 

(3) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Allowing the 

subject of the investigation to amend 

records in this system of records could 

likewise interfere with ongoing law 

enforcement proceedings and impose an 

impossible administrative burden by 

requiring law enforcement 

investigations to be continuously 

reinvestigated. 

(4) From subsection (e)(1) (Relevancy 

and Necessity of Information) and (5) 

(Accuracy, Timeliness, Relevance, and 

Completeness), because in the course of 

investigations into potential violations 

of law, the significance of certain 

information may not be clear or the 

information may not be strictly relevant 

or necessary to a specific investigation; 

but, effective law enforcement requires 

the retention of all information that may 

aid in establishing patterns of unlawful 

activity and providing investigative 

leads. 

(5) From subsection (e)(2) (Collect 

from Individual), because in a law 

enforcement investigation the 

requirement that information be 

collected to the greatest extent possible 

from the subject individual would 

present a serious impediment to law 

enforcement, in that the subject of the 

investigation would be informed of the 

existence of the investigation and would 

therefore be able to avoid detection, 

apprehension, or legal obligations or 

duties. 

(6) From subsection (e)(3) (Privacy 

Act Statement), because to comply with 

the requirements of this subsection 

during the course of an investigation 

could impede the information gathering 

process and hamper the investigation. 

(7) From subsection (e)(4)(G), (H), and 

(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(8) From subsection (e)(8) (Serve 

Notice), because the application of this 

provision could prematurely reveal an 

ongoing criminal investigation to the 

subject of the investigation, present a 

serious impediment to law enforcement 

by interfering with the ability to issue 

subpoenas or otherwise gather 

information, and reveal investigative 

techniques, procedures, or evidence. 

(9) From subsection (g) (Civil 

Remedies), because this system of 

records is exempt from the individual 

access and amendment provisions in 

subsection (d) of the Privacy Act for the 

reasons noted in paragraph (e)(3) of this 

section; therefore, the Commission is 

not subject to civil action for failure to 

adhere to those requirements. 

(f) CFTC–44 Personnel Clearance 

System. The system of records identified 

as CFTC–44 Personnel Clearance 

System contains records related to the 

background investigations and security 

clearances of individuals who have been 

or are being considered for access to 

Commission facilities, information 

technology systems, and classified or 

confidential information. These records 

may include statements from 

individuals who have provided 

information in the course of a 

background investigation and have 

requested that their identity remain 

confidential. Pursuant to 5 U.S.C. 

552a(k)(2) and (k)(5) and subject to the 

requirements and limitations set forth 

therein, the Commission is exempting 

this system of records from the 

following provisions of the Privacy Act: 

5 U.S.C. 552a(c)(3); (d)(1), (2), (3), and 

(4); (e)(1); (e)(4)(G), (H), and (I); and (f), 

and from the following corresponding 

sections of this part: 146.3; 146.5; 

146.6(d); 146.11(a)(7), (8), and (9); and 

146.7(a). Exemptions from these 

particular subsections of the Privacy Act 

are justified for the following reasons: 

(1) From subsections (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the extent 

of that investigation and reveal 

investigative interests of the 

Commission and the recipient entity 

that were previously unknown to the 

individual. Release of such information 

to the subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to adequately assess an individual when 

making a decision about the 

individual’s access to Commission 

facilities, information technology 

systems, and classified and confidential 

information. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because the records contained in this 

system may be related to ongoing 

investigations, and individual access to 

these records could alert the subject of 

an investigation to the extent of that 

investigation and reveal investigative 

interests of the Commission and others 

that were previously unknown to the 


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individual. Providing a subject with 

access to these records could impair the 

effectiveness of the Commission’s 

investigations and could significantly 

impede the investigation by providing 

the opportunity for the subject to 

destroy documentary evidence, 

improperly influence witnesses and 

confidential sources, fabricate 

testimony, and engage in other activities 

that could compromise the 

investigation. In addition, providing an 

individual with access to these records 

may reveal the identity of a source who 

furnished information under an express 

promise that their identity would 

remain confidential. Amendment of the 

records in this system of records would 

interfere with ongoing law enforcement 

proceedings and impose an impossible 

administrative burden by requiring law 

enforcement investigations to be 

continuously reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of conducting and 

adjudicating background investigations, 

the significance of certain information 

may not be clear or the information may 

not be strictly relevant or necessary to 

a specific investigation; but, effective 

investigations require the retention of 

all information that may aid in the 

investigation and provide investigative 

leads. 

(4) From subsection (e)(4)(G), (H), and 

(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

(g) CFTC–49 Whistleblower Records. 

The system of records identified as 

CFTC–49 Whistleblower Records 

contains records related to 

whistleblower tips, complaints and 

referrals, records related to 

investigations and inquiries into 

whistleblower complaints, and records 

related to the whistleblower award 

claim and determination process. 

Pursuant to 5 U.S.C. 552a(k)(2) and 

subject to the requirements and 

limitations set forth therein, the 

Commission is exempting this system of 

records from the following provisions of 

the Privacy Act: 5 U.S.C. 552a(c)(3); 

(d)(1), (2), (3), and (4); (e)(1); (e)(4)(G), 

(H), and (I); and (f), and from the 

following corresponding sections of this 

part: 146.3; 146.5; 146.6(d); 146.11(a)(7), 

(8), and (9); and 146.7(a). Exemptions 

from these particular subsections of the 

Privacy Act are justified for the 

following reasons: 

(1) From subsection (c)(3) 

(Accounting of Certain Disclosures), 

because release of the accounting of 

certain disclosures could alert the 

subject of an investigation to the 

existence and extent of that 

investigation and reveal the 

investigative interests of the 

Commission and the recipient entity. 

Release of such information to the 

subject of an investigation could 

reasonably be anticipated to impede and 

interfere with the Commission’s efforts 

to identify and investigate unlawful 

activities. 

(2) From subsection (d)(1), (2), (3), 

and (4) (Access and Amendment), 

because individual access to these 

records could alert the subject of an 

investigation to the existence and extent 

of that investigation and reveal the 

investigative interests of the 

Commission and others. Providing a 

subject with access to these records 

could impair the effectiveness of the 

Commission’s investigations and could 

significantly impede the investigation 

by providing the opportunity for the 

subject to destroy documentary 

evidence, improperly influence 

witnesses and confidential sources, 

fabricate testimony, and engage in other 

activities that could compromise the 

investigation. Allowing the subject of 

the investigation to amend records in 

this system of records could likewise 

interfere with ongoing law enforcement 

proceedings and impose an impossible 

administrative burden by requiring law 

enforcement investigations to be 

continuously reinvestigated. 

(3) From subsection (e)(1) (Relevancy 

and Necessity of Information), because 

in the course of investigations, the 

significance of certain information may 

not be clear or the information may not 

be strictly relevant or necessary to a 

specific investigation; but, effective 

investigations require the retention of 

all information that may aid in the 

investigation or aid in establishing 

patterns of activity and provide 

investigative leads. 

(4) From subsection (e)(4)(G), (H), and 

(I) (Agency Requirements) and (f) 

(Agency Rules), because the 

Commission is not required to establish 

requirements, rules, or procedures 

related to access and amendment of 

records in a system of records that is 

exempt from the individual access and 

amendment provisions in subsection (d) 

of the Privacy Act. 

§ 146.13 [Removed] 

■ 3. Remove § 146.13. 

Issued in Washington, DC, on January 24, 

2024, by the Commission. 

Christopher Kirkpatrick, 

Secretary of the Commission. 

Note: The following appendix will not 

appear in the Code of Federal Regulations. 

Appendix to Privacy Act Regulations— 

Commission Voting Summary 

On this matter, Chairman Behnam and 

Commissioners Johnson, Goldsmith Romero, 

Mersinger, and Pham voted in the 

affirmative. No Commissioner voted in the 

negative. 

[FR Doc. 2024–01684 Filed 2–1–24; 8:45 am] 

BILLING CODE 6351–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

21 CFR Part 117 

[Docket No. FDA–2016–D–2343] 

Hazard Analysis and Risk-Based 

Preventive Controls for Human Food; 

Draft Guidance for Industry; 

Availability 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Notification of availability. 

SUMMARY: The Food and Drug 

Administration (FDA, we, or the 

Agency) is announcing the availability 

of a revised draft Introduction, and a 

revised draft Appendix 1, within a 

multichapter guidance for industry 

entitled ‘‘Hazard Analysis and RiskBased Preventive Controls for Human 

Food.’’ This multichapter draft 

guidance, when finalized, will explain 

our current thinking on how to comply 

with the requirements for hazard 

analysis and risk-based preventive 

controls under our rule entitled 

‘‘Current Good Manufacturing Practice, 

Hazard Analysis, and Risk-Based 

Preventive Controls for Human Food.’’ 

We revised the draft Introduction and 

draft Appendix 1: Known or Reasonably 

Foreseeable Hazards (‘‘Potential 

Hazards’’) to address comments 

submitted on drafts that we made 

available in 2016. This draft guidance is 

not final nor is it in effect at this time. 

DATES: Submit either electronic or 

written comments on the draft guidance 

by June 3, 2024 to ensure that the 

Agency considers your comment on this 

draft guidance before it begins work on 

the final version of the guidance. 

ADDRESSES: You may submit comments 

on any guidance at any time as follows: 


khammond on DSKJM1Z7X2PROD with PROPOSALS