41378 Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 

than the small organization that will 

provide the service to the Government. 

2. If approved, the action will result 

in authorizing small entities to provide 

the service to the Government. 

3. There are no known regulatory 

alternatives which would accomplish 

the objectives of the Javits-WagnerO’Day Act (41 U.S.C. 8501–8506) in 

connection with the service proposed 

for addition to the Procurement List. 

Comments on this certification are 

invited. Commenters should identify the 

statement(s) underlying the certification 

on which they are providing additional 

information. 

End of Certification 

The following service is proposed for 

addition to the Procurement List for 

provision by the nonprofit agency listed: 

Service 

Service Type/Location: Janitorial/Custodial 

Service, WA104 Seattle-Marysville 

Armed Forces Reserve Center (AFRC), 

13613 40th Avenue NE., Marysville, WA. 

NPA: Portland Habilitation Center, Inc., 

Portland, OR. 

Contracting Activity: Dept of the Army, 

W6QM MICC–ARCC North, Fort McCoy, 

WI. 

Barry S. Lineback, 

Director, Business Operations. 

[FR Doc. 2012–17094 Filed 7–12–12; 8:45 am] 

BILLING CODE 6353–01–P 

COMMODITY FUTURES TRADING 

COMMISSION 

Privacy Act of 1974 System of Records 

Notice 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Notice; publication of character 

of one revised system of records and 

two new systems of records 

SUMMARY: The Commodity Futures 

Trading Commission (Commission) is 

revising one system of records under the 

Privacy Act of 1974: CFTC–44, 

Personnel Security Files, to be renamed 

CFTC–44, Personnel Clearance System. 

The Commission also is establishing 

two new systems of records: CFTC–48, 

Personal Property Claims, and CFTC– 

49, Whistleblower Records (Exempted). 

Revisions to CFTC–44 incorporate 

enhancements to the system of records 

with a new streamlined process of 

capturing personal information, 

minimizing paper records and 

eliminating manual entry into a legacy 

application when an individual applies 

for a security clearance. New CFTC–48 

addresses information collected through 

a new process for employees to file and 

have adjudicated claims for damage or 

loss of certain personal property, as 

stated in Commission policies and 

applicable law. New CFTC–49 addresses 

information collected for the 

Commission’s whistleblower program, 

which is described and defined in 

Section 23 of the Commodity Exchange 

Act, 7 U.S.C. 26, and the rules 

promulgated thereunder, 17 CFR part 

165. 

DATES: Comments must be received on 

or before August 13, 2012. This action 

will be effective without further notice 

on August 22, 2012, unless revised 

pursuant to comments received. 

ADDRESSES: You may submit comments 

identified by ‘‘Personnel Clearance 

System SORN,’’ ‘‘Personal Property 

Claims SORN,’’ or ‘‘Whistleblower 

Records 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. Follow 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 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 Section 

145.9 of the Commission’s regulations, 

17 CFR part 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 public 

comment file and will be considered as 

required under all applicable laws, and 

may be accessible under the Freedom of 

Information Act. 

FOR FURTHER INFORMATION CONTACT: 

Kathy Harman-Stokes, Chief Privacy 

Officer, kharman-stokes@cftc.gov, 202– 

418–6629, Office of the Executive 

Director, Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581. 

SUPPLEMENTARY INFORMATION: 

I. 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, among 

other things. 

II. Routine Uses 

Information in the systems of records 

covered by this Federal Register notice 

may be disclosed in accordance with the 

blanket routine uses numbered 

1 through 19 published at 76 FR 5974 

(Feb. 2, 2011) and copied below for 

convenience. These blanket routine uses 

apply to all CFTC systems of records, 

except as otherwise provided in a 

specific system of records notice: 

1. Information may be used by the 

Commission in any administrative 

proceeding before the Commission, in 

any injunctive action authorized under 

the Commodity Exchange Act or in any 

other action or proceeding in which the 

Commission or its staff participates as a 

party or the Commission participates as 

amicus curiae. 

2. Information may be disclosed to the 

Department of Justice, the Securities 

and Exchange Commission, the United 

States Postal Service, the Internal 

Revenue Service, the Department of 

Agriculture, the Office of Personnel 

Management, and to other Federal, state, 


srobinson on DSK4SPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 41379 

local, territorial or tribal law 

enforcement or regulatory agencies for 

use in meeting their statutory and 

regulatory requirements. 

3. Information may be given to any 

‘‘registered entity,’’ as defined in section 

1a of the Commodity Exchange Act, 7 

U.S.C. 1 et seq. (‘‘the Act’’), if the 

Commission has reason to believe that 

such information will assist the 

registered entity in carrying out its 

responsibilities under the Act. 

Information may also be given to any 

registered futures association registered 

under Section 17 of the Act (e.g., the 

National Futures Association) to assist it 

in carrying out its self-regulatory 

responsibilities under the Act, and to 

any national securities exchange or 

national securities association registered 

with the Securities and Exchange 

Commission to assist those 

organizations in carrying out their selfregulatory responsibilities under the 

Securities Exchange Act of 1934, 15 

U.S.C. 78a et seq. 

4. At the discretion of the 

Commission staff, information may be 

given or shown to anyone during the 

course of a Commission investigation if 

the staff has reason to believe that the 

person to whom it is disclosed may 

have further information about the 

matters discussed therein, and those 

matters appear relevant to the subject of 

the investigation. 

5. Information may be included in a 

public report issued by the Commission 

following an investigation, to the extent 

that this is authorized under Section 8 

of the Commodity Exchange Act, 7 

U.S.C. § 12. Section 8 authorizes 

publication of such reports but contains 

restrictions on the publication of certain 

types of sensitive business information 

developed during an investigation. In 

certain contexts, some of this 

information might be considered 

personal in nature. 

6. Information may be disclosed to a 

Federal agency in response to its request 

in connection with the hiring or 

retention of an employee, the issuance 

of a security clearance, the reporting of 

an investigation of an employee, the 

letting of a contract or the issuance of 

a license, or a grant or other benefit by 

the requesting agency, to the extent that 

the information may be relevant to the 

requesting agency’s decision on the 

matter. 

7. Information may be disclosed to a 

prospective employer in response to its 

request in connection with the hiring or 

retention of an employee, to the extent 

that the information is believed to be 

relevant to the prospective employer’s 

decision in the matter. 

8. Information may be disclosed to 

any person, pursuant to Section 12(a) of 

the Commodity Exchange Act, 7 U.S.C. 

16(a), when disclosure will further the 

policies of that Act or of other 

provisions of law. Section 12(a) 

authorizes the Commission to cooperate 

with various other government 

authorities or with ‘‘any person.’’ 

9. Where information, either alone or 

in conjunction with other information 

indicates a violation or potential 

violation of law—criminal, civil, or 

regulatory in nature—the relevant 

information may be disclosed to the 

appropriate Federal, state, local, 

territorial, tribal, or foreign law 

enforcement authority or other 

appropriate entity charged with the 

responsibility for investigating or 

prosecuting such violation or charged 

with enforcing or implementing such 

law. 

10. Information may be disclosed to 

the General Services Administration for 

the purpose of records management 

inspections conducted under the 

authority of 44 U.S.C. 2904 and 2906. 

11. Information may be disclosed to 

the National Archives and Records 

Administration for the purpose of 

records management inspections being 

conducted under the authority of 

44 U.S.C. 2904 and 2906. 

12. Information may be disclosed to 

foreign law enforcement, investigatory, 

or administrative authorities in order to 

comply with requirements set forth in 

international arrangements, such as 

memoranda of understanding. 

13. Information may be disclosed to 

contractors, grantees, volunteers, 

experts, students, and others performing 

or working on a contract, service, grant, 

cooperative agreement, or job for the 

Federal government when necessary to 

accomplish an agency function. 

14. Information may be disclosed to 

the Merit Systems Protection Board, 

including the Office of Special Counsel 

for the purpose of litigation, including 

administrative proceedings, appeals, 

special studies of the civil service and 

other merit systems. 

15. Information may be disclosed to 

the Department of Justice or in a 

proceeding before a court, adjudicative 

body, or other administrative body 

which the agency is authorized to 

appear, when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her official capacity where the 

Department of Justice or the agency has 

agreed to represent the employee; or 

d. The United States, when the agency 

determines that litigation is likely to 

affect the agency or any of its 

components; 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by the Department of Justice or 

the agency is deemed by the agency to 

be relevant and necessary to the 

litigation provided, however, that in 

each case it has been determined that 

the disclosure is compatible with the 

purpose for which the records were 

collected. 

16. Information may be disclosed to a 

Member of Congress or staff acting upon 

the Member’s behalf when the Member 

or staff requests the information on 

behalf of, or at the request of, the 

individual who is the subject of the 

record. 

17. Information related to any traders 

or the amount or quantity of any 

commodity purchased or sold by such 

traders may be disclosed to any 

committee of either House of Congress 

upon its request, acting within the scope 

of its jurisdiction, pursuant to the 

Commodity Exchange Act, 7 U.S.C. 1 

et seq., including Section 8(e) of such 

Act at 7 U.S.C. 12, and the rules and 

regulations promulgated thereunder. 

18. Information may be disclosed to 

another Federal agency, to a court, or a 

party in litigation before a court or in an 

administrative proceeding being 

conducted by a Federal agency, when 

the Government is a party to the judicial 

or administrative proceeding. 

19. Information may be disclosed to 

appropriate agencies, entities, and 

individuals when: 

a. The Commission suspects or has 

confirmed that the security or 

confidentiality of information in the 

system of records has been 

compromised; 

b. The Commission has determined 

that as a result of the suspected or 

confirmed compromise there is a risk of 

harm to economic or property interests, 

identity theft or fraud, or harm to the 

security or integrity of this system or 

other systems or programs (whether 

maintained by the Commission or 

another agency or entity) that rely upon 

the compromised information; and 

c. The disclosure made to such 

agencies, entities, and individuals is 

reasonably necessary to assist in 

connection with the Commission’s 

efforts to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. 

III. Personnel Clearance System 

The Commission proposes to revise a 

system of records, CFTC–44, Personnel 

Security Files, to rename the system 


srobinson on DSK4SPTVN1PROD with NOTICES
41380 Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 

CFTC–44, Personnel Clearance System 

(PCS) and to identify enhancements. 

The PCS will contain information about 

individuals who require regular, ongoing access to CFTC assets, including 

facilities, information technology 

systems or information classified in the 

interest of national security. The 

individuals may be Commission 

employees, contractors, interns, 

volunteers, candidates for employment, 

individuals formerly in any of these 

positions, and others. 

Any individual who will regularly 

access CFTC assets must receive an 

official security clearance before access 

is authorized. CFTC collects personal 

information from the individual, such as 

social security number and date of birth. 

CFTC provides elements of that 

information to Federal investigative 

agencies, such as OPM. Once the 

completed investigation is provided to 

the CFTC, the CFTC adjudicates the 

clearance request. 

In the past, the CFTC has handled 

much of this process manually, on 

paper, using a legacy, MS–Access-based 

application. The new system will 

minimize the need for paper records, 

thereby improving security of personal 

information. It also will eliminate the 

need for manual input of personal 

information into the legacy application, 

increasing efficiency and the accuracy 

of information. In addition, the 

enhancements will make it easier to 

share security clearance processing 

information in a timely manner with 

appropriate Federal officials. 

IV. Personal Property Claims 

The Commission is developing a 

policy and procedure for employee 

claims for damaged or lost personal 

property, pursuant to the Military 

Personnel & Civilian Employees’ Claims 

Act of 1964, 31 U.S.C. 3721. Under the 

policy and procedure, the Commission 

will pay or otherwise settle employee 

claims up to a defined amount per 

incident for damage or loss of personal 

property under certain circumstances. 

The new system of records will 

include all information collected about 

the personal property claim from the 

employee and the related 

documentation of decisions and 

payment of such claims. The 

information will facilitate the review of 

the claim and collection of evidence by 

the Logistics and Operations Unit 

(L&O), the Executive Director’s decision 

on the claim, and the payment for or 

replacement of the property. The new 

system of records also will contain 

information on requests for 

reconsideration when claims have been 

denied. 

V. Whistleblower Records (Exempted) 

The Commission is creating a system 

to maintain records related to the 

whistleblower program, which is 

described and defined in Section 23 of 

the Commodity Exchange Act, 7 U.S.C. 

26, and the rules promulgated 

thereunder, 17 CFR part 165. The 

system may include all or any part of 

the records developed during the 

whistleblower tip, complaint or referral 

submission process, investigation or 

inquiry, and/or whistleblower award 

claim and determination process, 

including but not limited to data from 

Commission reporting forms, such as 

Commission Forms TCR and WB–APP, 

documents and information related to 

the whistleblower program, and records 

drafted and/or compiled for the 

Commission’s Whistleblower Award 

Determination Panel. This system may 

include: Records, data and 

correspondence submitted by and sent 

to whistleblowers and/or their 

representatives; correspondence with 

other law enforcement and regulatory 

agencies regarding referral of 

whistleblower information and related 

actions brought by such agencies based 

on whistleblower information; 

interviews, memoranda and other work 

products prepared by Commission staff; 

affidavits, statements by witnesses, 

contracts and agreements with 

whistleblowers, including 

confidentiality agreements; and 

information available on the Internet or 

other electronic sources accessed for 

purposes of the whistleblower program. 

The system may also contain internal 

memoranda and declarations of 

Commission staff, correspondence and 

other miscellaneous investigatory 

matters. 

VI. Notice: Personnel Clearance System 

SYSTEM NUMBER: 

CFTC–44 

SYSTEM NAME: 

Personnel Clearance System (PCS). 

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 who require regular, 

ongoing access to CFTC facilities, 

information technology systems, or 

information classified in the interest of 

national security, including candidates 

for Commission employment or 

contracts, Commission employees, 

contractors of the Commission, 

students, interns, volunteers, 

individuals authorized to perform or use 

services provided in Commission 

facilities, and individuals formerly in 

any of these positions. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may include any or all of the 

following: First name, last name, social 

security number, date of birth, state of 

birth, country of birth, non CFTC phone 

number, non CFTC email address, CFTC 

duty location, CFTC hiring division, 

hiring manager, job title, job series, job 

grade, journeymen job grade, 

appointment type, prior CFTC 

employment, prior employment year, 

prior employment division, business 

manager, proposed start date, level of 

clearance needed, clearance valid date, 

clearance related investigation status, 

and clearance related investigation 

notes; copies of and information derived 

from passports, birth certificates, 

driver’s licenses, OF 306 forms, US 

‘‘I–9 Forms’’ and resumes; information 

provided by the Office of Personnel 

Management (OPM) for clearance 

determination purposes; and in addition 

for contractors only, estimated contract 

end date, option year information, 

hiring manager and/or Contract Officer 

Technical Reviewer (COTR), contract 

number, company name, company point 

of contact, and company address. 

Note: This system of records does not 

include the Office of Personnel Management 

(OPM) background investigation report. An 

identical version of the investigation report is 

in the possession of the Commission, but is 

considered to be part of the OPM Central-9, 

Personnel Investigations Records. For 

information on how to request access to the 

OPM Central-9, Personnel Investigations 

Records, please see the Note in the Records 

Access Procedures section of this notice. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Applicants and appointees to Federal 

service are subject to a background 

investigation under 5 CFR parts 731, 

732, and 736, Executive Order 10450, 

‘‘Security Requirements for Government 

Employment’’ and the agency 

memorandum exercising authority to 

conduct investigations of noncompetitive service applicants and 

appointees under these authorities. See 

also Executive Order 13292, ‘‘Classified 

National Security Information,’’ and 

Executive Order 12968, ‘‘Access to 

Classified Information.’’ HSPD–12 

clarified that Federal contractors are 


srobinson on DSK4SPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 41381 

also subject to background investigation 

under these authorities. The Office of 

Personnel Management (OPM) is 

authorized to collect this information 

under 5 U.S.C. 3301, 3302, and 9101. 5 

U.S.C. 1104 allows OPM to delegate the 

personnel management function to other 

Federal agencies. 

Solicitation of the Social Security 

Number is also authorized by Executive 

Order 9397, which asks Federal 

agencies to use this number to help 

identify individuals in agency records. 

PURPOSE(S): 

The records in this system are used to 

verify identity and to facilitate 

background investigations by OPM and 

adjudications by the CFTC Security and 

Emergency Management Officer. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Information in this system may be 

disclosed as stated below: 

a. 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. 

b. Employment, Clearances, Contract, 

or Other Benefits Decision by an 

Organization other than the 

Commission—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. 

c. 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. 

Information also may be disclosed as 

stated in the blanket routine uses 

numbered 1 through 19 that appear at 

the beginning of the Commission’s 

compilation of its systems of records 

notices at 76 FR 5974 (Feb. 2, 2011), and 

copied in this Federal Register notice 

above for convenience, ‘‘Supplementary 

Information,’’ ‘‘II. Routine Uses.’’ 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESS CONTROLS, SAFEGUARDS, 

RETAINING, AND DISPOSING OF RECORDS IN THE

SYSTEM: 

STORAGE: 

The data will be collected and 

maintained electronically and in paper 

files. Paper records are stored in file 

folders, binders, computer files and 

computer disks. Electronic records, 

including computer files and 

electronically maintained data, are 

stored on the Commission’s network 

and other electronic media as needed, 

such as encrypted hard drives. 

RETRIEVABILITY: 

Files are retrieved by name of the 

individual. 

ACCESS CONTROLS, SAFEGUARDS: 

Records in the system 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. These records are 

kept in electronic form and in file 

folders in locked metal file cabinets in 

locked rooms at the headquarters office 

in the Security and Emergency 

Management Office. 

RETENTION AND DISPOSAL: 

The records will be maintained and 

disposed of in accordance with General 

Records Schedule 18, Item 22a and Item 

22b. The schedules are available at 

www.cftc.gov. The data will be deleted 

by the Personnel Security staff 90 days 

after the separation of the individual 

from CFTC. 

SYSTEM MANAGER(S) AND ADDRESS: 

Security and Emergency Management 

Office within Logistics and Operations 

in the Commission’s Office of the 

Executive Director, 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 Office of General Counsel, 

Paralegal Specialist, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581. Telephone (202) 

418–5011. 

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, such as a government-issue 

photo ID, sufficient to satisfy the 

custodian of the records that the 

requester is entitled to access. 

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. 

Note: For information on how to request 

access to the OPM Personnel Investigations 

Records which are part of the OPM Central9 system of records, please see the Note in 

the Records Access Procedures section of this 

notice. 

RECORDS ACCESS PROCEDURES: 

Individuals wishing to request access 

to CFTC 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. Correspondence 


srobinson on DSK4SPTVN1PROD with NOTICES
41382 Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 

between the requester and Human 

Resources staff on the subject of any 

background investigation and security 

adjudication may also be made 

available. 

Note: The CFTC may not provide an 

individual with access to his/her OPM 

Personnel Investigations Records or to copies 

of OPM documentation of any background 

investigation conducted by OPM or 

contractors dealing with those investigations. 

These records, which are sent to the CFTC 

Security and Emergency Management Office 

to allow adjudication of the request for 

security clearance, are owned by OPM and 

reside within the OPM Central-9 system of 

records. OPM is solely responsible for 

controlling access to, or amendment of, those 

records. Those seeking access to, or 

amendment, of those records owned by OPM 

should submit a request in writing to the 

Federal Investigations Processing Center, as 

stated in OPM Central-9. The signed request 

should be made under the Privacy Act of 

1974 and include the requester’s full name, 

home address, Social Security Number, date 

and place of birth, and other information 

requested by OPM. 

CONTESTING RECORD PROCEDURES: 

Individuals wishing to request 

amendment of their CFTC 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 of records. 

Note: Individuals who wish to request 

amendment of their OPM Personnel 

Investigations Records should follow the 

requirements of the OPM Central-9 system of 

records. For information on how to submit 

such a request, please see the Note in the 

Records Access Procedures section of this 

notice. 

RECORD SOURCE CATEGORIES: 

The individual and OPM will provide 

the information for this system of 

records. 

EXEMPTIONS CLAIMED FOR THIS SYSTEM: 

None. 

VII. Notice: Personal Property Claims 

SYSTEM NUMBER: 

CFTC–48 

SYSTEM NAME: 

Personal Property Claims. 

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: 

CFTC employees and former 

employees who have experienced 

damage to or loss of personal property 

incident to Commission business. 

Covered individuals also may include 

authorized agents or legal 

representatives of CFTC employees or 

former employees, or their survivors. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The system of records includes the 

information provided by employees on 

a CFTC Personal Property Claims form, 

including the following when 

applicable: name of employee, 

information concerning the damage or 

loss of personal property, personal 

property at issue, corroborating 

statements from persons who have 

personal knowledge of the facts 

concerning the claim, either an itemized 

bill for repair of damaged property, or 

an itemized repair estimate or bill of 

sale or value estimate from a competent 

repairman or appraiser, evidence that 

the employee has filed a claim with the 

carrier or insurer, and copies of any 

pertinent correspondence, copies of 

travel and transportation orders, a 

statement concerning any 

reimbursement obtained from a carrier 

or insurer, describing reimbursement 

received for each item, copies of police 

reports, and other evidence which may 

be needed for CFTC review and 

determination of whether to pay the 

claim. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The Military Personnel and Civilian 

Employees’ Claims Act, 31 U.S.C. 3721, 

authorizes heads of federal agencies to 

pay or otherwise settle claims of 

employees up to a limit specified by the 

Act and/or CFTC policies for damage or 

loss of personal property incident to 

their services. 

PURPOSE(S): 

The purpose of the system of records 

is to include all information related to 

claims by employees for damage to or 

loss of personal property incident to 

Commission business, as provided in 

the Military Personnel & Civilian 

Employees’ Claims Act of 1964, 31 

U.S.C. 3721. The system will facilitate 

the review of a claim and collection of 

evidence by CFTC Logistics and 

Operations Unit (L&O); will facilitate 

the Executive Director’s decision as to 

whether to pay a claim, offer a 

replacement of the property in kind or 

otherwise settle the claim; will facilitate 

processing through Financial 

Management; and when a claim has 

been denied, will allow a claimant to 

request reconsideration, as stated in 

Commission policy. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

The information in this system will be 

routinely used by CFTC staff in the 

Office of the Executive Director, 

including L&O, Security and Emergency 

Management Office and Financial 

Management Branch to review, process 

and adjudicate personal property 

claims. Information also may be 

disclosed as stated in the blanket 

routine uses numbered 1 through 19 

that appear at the beginning of the 

Commission’s compilation of its 

systems of records notices at 76 FR 5974 

(Feb. 2, 2011), and copied in this 

Federal Register notice above for 

convenience, ‘‘Supplementary 

Information,’’ ‘‘II. Routine Uses.’’ 

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 CFTC network. 

Electronic records, including emails, 

spreadsheets, PDF files and documents 

are maintained on a SharePoint site, are 

stored on the Commission’s network 

and other electronic media as needed, 

such as encrypted hard drives and backup media. 

RETRIEVABILITY: 

By name of the employee who files 

the personal property claim. 

ACCESS CONTROLS, SAFEGUARDS: 

Records in the system 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. 


srobinson on DSK4SPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 41383 

RETENTION AND DISPOSAL: 

The records will be maintained in 

accordance with records disposition 

schedules approved by the National 

Archives and Records Administration. 

The schedules are available at 

www.cftc.gov. 

SYSTEM MANAGER(S) AND ADDRESS: 

Logistics & Operations in the 

Commission’s Office of the Executive 

Director, 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 who file personal 

property claims; the individual’s 

supervisor; information from witnesses 

collected by the Security and 

Emergency Management Office staff; the 

Executive Director, who makes the final 

decision regarding settlement of the 

claim; and personnel in the 

Commission’s Financial Management 

Branch who handle financial 

reimbursement issues. 

EXEMPTIONS CLAIMED FOR THIS SYSTEM: 

None. 

VIII. Notice: Whistleblower Records 

(Exempted) 

SYSTEM NUMBER: 

CFTC–49 

SYSTEM NAME: 

Whistleblower Records (Exempted). 

SYSTEM LOCATION: 

This system is located in the 

Whistleblower Office, in the Office of 

the Executive Director, 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: 

a. Individuals who have submitted 

tips, complaints or referrals, award 

applications and/or related documents 

or information to the Whistleblower 

Office in relation to the Commission’s 

whistleblower program, and any 

individuals who are referenced in any 

information submitted to or accessed by 

the Whistleblower Office in relation to 

the whistleblower program. 

b. Individuals whom the Commission 

staff has reason to believe have violated, 

are violating, or are about to violate the 

Commodity Exchange Act and the rules, 

regulations and orders promulgated 

thereunder. 

c. Individuals whom the Commission 

staff has reason to believe have violated, 

are violating, or are about to violate a 

law or regulation or order of another 

federal, state or foreign authority. 

d. Individuals whom the Commission 

staff has reason to believe may have 

information concerning violations of the 

Commodity Exchange Act and the rules, 

regulations and orders promulgated 

thereunder. 

e. Individuals whom the Commission 

staff has identified as relevant to an 

enforcement investigation, such as 

complainants, witnesses and counsel. 

f. Individuals whom a foreign law 

enforcement authority has found or 

alleges to have, or suspects of having, 

violated foreign laws, rules, regulations 

or orders of such foreign law 

enforcement authority. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

This system may include all or any 

part of the records developed during the 

whistleblower tip, complaint or referral 

submission process, investigation or 

inquiry, or whistleblower award claim 

and determination process, as described 

in Section 23 of the Commodity 

Exchange Act, 7 U.S.C. 26, and the rules 

promulgated thereunder, 17 CFR part 

165, including but not limited to data 

from Commission reporting forms, such 

as Commission Forms TCR and WB– 

APP, documents and information 

related to the whistleblower program, 

and records drafted and/or compiled for 

the Commission’s Whistleblower Award 

Determination Panel whose disclosure 

the Commission staff has determined 

could impair the effectiveness and 

orderly conduct of the Commission’s 

whistleblower, regulatory and 

enforcement programs or compromise 

Commission investigations. This system 

may include: records, data and 

correspondence submitted by and sent 

to whistleblowers and/or their 

representatives; correspondence with 

other law enforcement and regulatory 

agencies regarding referral of 

whistleblower information and related 

actions brought by such agencies based 

on whistleblower information; 

interviews, memoranda and other work 

products prepared by Commission staff; 

affidavits, statements by witnesses, 

contracts and agreements with 

whistleblowers, including 

confidentiality agreements; and 

information available on the Internet or 

other electronic sources accessed for 

purposes of the whistleblower program. 

The system may also contain internal 

memoranda and declarations of 

Commission staff, correspondence and 

other miscellaneous investigatory 

matters. The nature of the personal 

information contained in these files 

varies according to what has been 

submitted by the whistleblower and/or 

his/her representative, and may include 

personal background information about 

individuals involved, their education 

and employment history, social security 

numbers, trading account details, 

information on prior violations, and a 

wide variety of financial information, as 

well as a detailed examination of the 

individuals’ activities during the period 

in question. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Commodity Exchange Act Section 23, 

7 U.S.C. § 26, and the rules promulgated 

thereunder, 17 CFR part 165, 

authorizing the creation and 

administration of the Commission’s 

whistleblower program. 

PURPOSE(S): 

The Commission’s whistleblower 

program is designed to pay awards to 

eligible individuals who voluntarily 

provide the Commission with original 

information about violations of the 

Commodity Exchange Act (CEA) that 

lead to the successful enforcement of 

covered judicial or administrative 

actions, or related actions. The 

whistleblower provisions also prohibit 

retaliation by employers against 

individuals who provide the 

Commission with information about 

possible CEA violations. As part of its 

administration of the whistleblower 

program, the Commission’s 

Whistleblower Office maintains records 

of whistleblower tips, complaints, 

award claims and related supplemental 

records and correspondence. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Information in this system may be 

disclosed in accordance with the 

blanket routine uses numbered 1 

through 19 that appear at the beginning 

of the Commission’s compilation of its 

systems of records notices at 76 FR 5974 

(Feb. 2, 2011), and copied in this 

Federal Register notice above for 


srobinson on DSK4SPTVN1PROD with NOTICES
41384 Federal Register / Vol. 77, No. 135 / Friday, July 13, 2012 / Notices 

convenience, ‘‘Supplementary 

Information,’’ ‘‘II. Routine Uses,’’ which 

will be exercised in accordance with 

Commodity Exchange Act Section 

23(h)(2), 7 U.S.C. 26(h)(2), and rule 

165.4 thereunder, 17 CFR 165.4. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records are stored in file folders 

and binders. Electronic records, 

including PDFs of paper records and 

computer files, are stored on the 

Commission’s network and on various 

other electronic media as needed, such 

as encrypted hard drives. 

RETRIEVABILITY: 

By the name, submission number or 

other individual identifier of the 

individual or individuals seeking 

whistleblower status or claiming a 

whistleblower award. 

SAFEGUARDS: 

Records are protected from 

unauthorized access and improper use 

through administrative, technical and 

physical security measures. Technical 

security measures within the 

Commission 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 and 

maintenance of certain records in 

secured filing rooms and/or locked 

filing cabinets. Also, all employees are 

made aware of the sensitive nature of 

whistleblower information. 

RETENTION AND DISPOSAL: 

1. Whistleblower Submission Files: 

a. Includes but is not limited to Forms 

TCR and WB–APP, records provided by 

whistleblowers and/or their 

representatives in support of their 

submissions, memoranda of interviews 

with whistleblowers, correspondence 

with whistleblowers and/or their 

representatives, and other related 

records. 

b. Such files will be closed after the 

last action on the relevant Division of 

Enforcement matter, after the final 

appeal of the decision of the 

Whistleblower Award Determination 

Panel is exhausted, or after the award 

payment to the whistleblower has been 

made, whichever is applicable and 

whichever is latest (the cut-off date). 

Such files will be destroyed 15 years 

after the end of the fiscal year on which 

the latest cut-off date occurs. 

2. Whistleblower Award 

Determination Panel Records: 

a. Includes but is not limited to 

documentation that the Whistleblower 

Office collects and prepares for the 

Whistleblower Award Determination 

Panel to make eligibility and award 

decisions, the Panel’s determinations, 

records documenting payment of 

awards to whistleblowers, Panel 

membership lists and other records 

related to the administration of the 

Panel, and other related records. 

b. Such files will be closed after the 

final appeal of the Whistleblower 

Award Determination Panel decision is 

exhausted, or after the award payment 

to the whistleblower has been made, 

whichever is applicable and whichever 

is latest (the cut-off date). Such files will 

be transferred to the National Archives 

and Records Administration 15 years 

after the end of the fiscal year in which 

the latest cut-off date occurs. 

All whistleblower records remain 

exempt from disclosure under the 

Privacy Act. 

SYSTEM MANAGER(S) AND ADDRESS: 

Whistleblower Officer in the Office of 

the Executive Director, in the 

Commission’s principal office at 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581. 

RECORD SOURCE CATEGORIES: 

Reporting forms and other 

information filed with or submitted to 

the Commission by: Individuals 

interested in participating in the 

whistleblower program; self-regulatory 

organizations; individuals or firms 

covered by the Commission’s 

registration requirements; federal, state 

and local regulatory and law 

enforcement agencies; banks, credit 

organizations and other institutions; 

corporations; individuals having 

knowledge of the facts; attorneys; 

publications; courts; the Whistleblower 

Award Determination Panel; and other 

sources which may have information 

related to the handling of a 

whistleblower matter. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

The records in this system have been 

exempted by the Commission from 

certain provisions of the Privacy Act of 

1974 pursuant to the terms of the 

Privacy Act, 5 U.S.C. 552a(k)(2), and the 

Commission’s rules promulgated 

thereunder, 17 CFR 146.12. These 

records are exempt from the notification 

procedures, records access procedures, 

and record contest procedures set forth 

in the system notices of other systems 

of records, and from the requirement 

that the sources of records in the system 

be described. 

Issued in Washington, DC, this 3rd day of 

July 2012, by the Commission. 

Sauntia S. Warfield, 

Assistant Secretary of the Commission. 

[FR Doc. 2012–17087 Filed 7–12–12; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

Board of Regents of the Uniformed 

Services University of the Health 

Sciences 

AGENCY: Uniformed Services University 

of the Health Sciences (USU), 

Department of Defense. 

ACTION: Quarterly Meeting Notice. 

SUMMARY: Under the provisions of the 

Federal Advisory Committee Act of 

1972 (5 U.S.C., Appendix, as amended) 

and the Government in the Sunshine 

Act of 1976 (5 U.S.C. 552b, as 

amended), this notice announces the 

following meeting of the Board of 

Regents of the Uniformed Services 

University of the Health Sciences. 

DATES: 

Tuesday, August 14, 2012. 

8:00 a.m. to 11:30 a.m. (Open 

Session). 

11:30 a.m. to 1:00 p.m. (Closed 

Session). 

ADDRESSES: Everett Alvarez Jr. Board of 

Regents Room (D3001), Uniformed 

Services University of the Health 

Sciences, 4301 Jones Bridge Road, 

Bethesda, Maryland 20814. 

FOR FURTHER INFORMATION CONTACT: 

Janet S. Taylor, Designated Federal 

Officer, 4301 Jones Bridge Road, 

Bethesda, Maryland 20814; telephone 

301–295–3066. Ms. Taylor can also 

provide base access procedures. 

SUPPLEMENTARY INFORMATION: 

Purpose of the Meeting: Meetings of 

the Board of Regents assure that USU 

operates in the best traditions of 

academia. An outside Board is 

necessary for institutional accreditation. 

Agenda: The actions that will take 

place include the approval of minutes 

from the Board of Regents Meeting held 

May 18, 2012; recommendations 

regarding the approval of faculty 

appointments and promotions in the 

School of Medicine and the Graduate 

School of Nursing; and 

recommendations regarding the 


srobinson on DSK4SPTVN1PROD with NOTICES