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Privacy Impact Assessment

for

Entellitrak Employee Labor Relations Tracking 

System (ETK ER/LR)

May 2022

System/Business Owner 

Lauren Colon

Chief Workforce Relations Officer

Reviewing Official 

Charles Cutshall

Chief Privacy Officer
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I. What information will be collected? 

General Information/File Types

☒ Whistleblower Information ☒ Human Resources Information

☒ Health Information

Identifying Numbers

☒ Patient ID Number ☒ Truncated or Partial Social Security Number

☒ Employee Identification Number ☒ File/Case ID Number

☒ Professional License Number ☒ Federal Student Aid Number

☒ Credit/Debit Card Number ☒ Taxpayer Identification Number

Contact Information

☒ Personal Mobile Number ☒ Business Phone Number

☒ Personal E-mail Address ☒ Business E-mail Address

☒ Home Phone Number ☒ Personal or Business Fax Number

☒ Home Mailing Address ☒ Business Mailing Address

Biographical Information

☒ Name ☒ Gender

☒ Date of Birth ☒ Zip Code

☒ Employment Information ☒ Military Service Information

☒ Academic Transcript ☒ Resume or Curriculum Vitae

Biometrics/Distinguishing Features/Characteristics

☒ Video Recording ☒ Voice/Audio Recording

☒ Weight

Medical/Emergency Information

☒ Medical/Health Information ☒ Mental Health Information

☒ Disability Information ☒ Workers’ Compensation Information

☒ Patient ID Number ☒ Accommodation Information

☒ Vaccine Information

Active Directory/Device Information

☒ IP Address ☒ Log data

☒ User Name / Password

Identify any Active Directory/Device Information is not included above:

☒ Unique Employee ID ☒ First Name

☒ Last Name ☒ City_primary

☒ State_primary ☒ email_primary

☒ phone_primary ☒ Title

☒ Department ☒ Office Number
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II. Why is the information being collected? 

The Commodity Futures Trading Commission’s (CFTC) Workforce Relations staff will use the Entellitrak 

Employee Labor Relations Tracking System (ETK ER/LR) in order to facilitate their management and 

reporting responsibilities. The system will allow the CFTC to track cases, conduct trend analyses, 

produce detailed reports, keep an electronic repository of case information and facilitate electronic 

record keeping and reporting. ETK ER/LR has the ability to collect, track, manage, process, and report 

data for numerous Case Management Workflows including disciplinary and adverse actions, grievances, 

bargaining, bargaining impasse, representation cases, negotiability disputes, unfair labor practice 

charges, and performance actions. ETK ER/LR is a logically separated, front-end application built on a 

unique instance of the Entellitrak platform, with no electronic integration between ETK ER/LR and other 

Entellitrak applications, such as ETK Equal Employment Opportunity (EEO) and ETK Reasonable 

Accommodations (RA). 

The following CFTC and Office of Personnel Management (OPM) system of records notices (SORNs)

describe the purposes for which personally identifiable information (PII) is collected, used, maintained, 

and shared:

• CFTC-5, Employee Personnel, Payroll, Time, and Attendance (81 FR 67327) 

• OPM/GOVT-3, Records of Adverse Action, Performance Based Reduction in Grade and Removal 

Actions, and Termination of Probationers (71 FR 35350) 

The Workforce Relations office will provide their staff notice at the time that their ETK ER/LR account is 

created that staff will be accessing Privacy Act protected records and will inform staff of their obligation 

to use the records in accordance with the appropriate SORNs. 

The CFTC Human Resources Branch (HRB) is charged with administering the Commission’s labor and 

employee relations programs. As part of these responsibilities, HRB handles the full spectrum of labor 

management relations (including collective bargaining, negotiability appeals, representation cases, 

unfair labor practice charges, negotiated grievances, and arbitrations), performance cases, disciplinary 

actions, and adverse actions and statutory appeals.

The following authorities permit the collection, use, maintenance, and sharing of PII in support of these 

responsibilities: 

• 5 U.S.C. Chapter 75 – Adverse Actions – and the regulations promulgated at 5 CFR parts 715, 

731, 752, and 771

• 5 U.S.C. Chapter 43 – Performance Appraisal – and the regulations promulgated under 5 U.S.C § 

4305 at 5 CFR part 432

• 5 U.S.C. Chapter 33 – Examination, Selection, and Placement – and the regulations promulgated 

under 5 U.S.C. § 3321 at 5 CFR part 315 (subparts H and I)

• The Administrative Dispute Resolution Act of 1996 (ADRA), Public Law 104-320, 5 U.S.C. §§ 

570a-581

• 5 U.S.C. Chapter 71 – Labor-Management Relations
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III. What is the intended use of the information? 

Information maintained in the information system includes PII that is collected directly and indirectly 

from CFTC staff and used by Workforce Relations to receive and investigate employee grievances and 

unfair labor practice cases, process adverse actions, and conduct bargaining. 

Information collected and maintained in the information system may be shared pre-trial with the 

affected employee that filed the action or is seeking a change. Information may be shared with CFTC 

staff during the course of an investigation who are directly impacted by the action or who have an 

appropriate need for the information in the course of fulfilling their official duties.

IV. With whom will the information be shared? 

PII maintained in the information system is shared externally, but only when authorized and consistent 

with the disclosures and routine uses identified in the Privacy Act and applicable privacy notices. All 

disclosures not covered by Privacy Act exceptions, or otherwise required by Executive Branch policy are 

compatible with the purposes for which the information was collected.

According to CFTC-5, PII maintained in the information system may be disclosed to:

a) The Department of Justice, the Office of Personnel Management or other Federal agencies, or 

used by the Commission in connection with any investigation or administrative or legal 

proceeding involving any violation of Federal law or regulation thereunder; 

b) Provide information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when 

relevant and necessary to their duties of exclusive representation concerning personnel policies, 

practices, and matters affecting work conditions;

c) 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; 

d) 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, local, territorial or tribal law enforcement or regulatory 

agencies for use in meeting their statutory and regulatory requirements; 

e) Anyone, at the discretion of the Commission staff, 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; 
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f) 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; 

g) 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; 

h) 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; 

i) 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;

j) 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; 

k) 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; 

l) 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; and,
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m) 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.

In addition, those records that are collected and maintained as part of OPM/GOVT-3 may be disclosed in 

accordance with the routine uses published at 71 FR 35350. 

V. How is information in the information system secured?

Records are protected from unauthorized access and improper use through administrative, technical and

physical security measures. Technical measures within CFTC include restrictions on computer access to

authorized individuals who have a legitimate need to know the information; required use of strong

passwords that are frequently changed; multi-factor authentication for remote access and accessto many 

CFTC network components; use of encryption for certain data types and transfers; firewalls and intrusion 

detection applications; and regular review of security procedures and best practices to enhance security.

Physical measures include restrictions on building access to authorized individuals, 24-hour security guard 

service, and maintenance of records in lockable offices and filing cabinets.

This system has been accredited by FedRAMP, which means the minimum security controls identified in 

the FedRAMP control baseline for moderate FIPS categorized information systems, are assessed by thirdparty assessors and validated by the FedRAMP Joint Authorization Board (JAB).

VI. Are records maintained as part of a Privacy Act system of records? 

Information processed in this information system is subject to the Privacy Act and is maintained as part 

of both CFTC-5, Employee Personnel, Payroll, Time and Attendance (81 FR 67327) and OPM GOVT-3, 

Records of Adverse Action, Performance Based Reduction in Grade and Removal Actions, and 

Termination of Probationers (71 FR 35350). The SORNs were published in the Federal Register on 

September 30, 2016 and June 19, 2006 respectively.