[Federal Register Volume 64, Number 138 (Tuesday, July 20, 1999)]
[Notices]
[Pages 38893-38896]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-18393]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974: System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of new systems of records.

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SUMMARY: This notice adds three systems to the Commodity Futures 
Trading Commission's systems of records maintained under the Privacy 
Act: Freedom of Information Act requests, Privacy Act requests, and 
requests for confidential treatment. This notice informs the public of 
the existence and character of these systems and the routine uses which 
the Commission may make of the information contained in the systems.

DATES: Comments on the establishment of the new systems of records must 
be received no later than August 19, 1999. The new systems of records 
will be effective August 29, 1999 unless the Commission receives 
comments which would result in a contrary determination. .

ADDRESSES: Comments should be addressed to Jean A. Webb, Secretary, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW, Washington, DC 20581. Comments may also be sent via 
electronic mail to [email protected].

FOR FURTHER INFORMATION CONTACT: Stacy Dean Yochum, Office of the 
Executive Director, (202) 418-5157, or Eileen Donovan, Office of the 
Secretariat, (202) 418-5096, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR 
part 146, the Commission is publishing a description of three new 
systems of records. Each is described in detail below.
    1. Freedom of Information Act Requests. The Commission established 
this system of records to manage the processing of requests received 
under the Freedom of Information Act. Because this system allows 
retrieval of information about an individual through his or her name, 
the Privacy Act of 1974, as amended, requires a general notice of the 
existence of this system of records to the public.
    The Freedom of Information Act (FOIA) provides individuals with a 
right of access to federal agency records,

[[Page 38894]]

except to the extent that such records are protected from disclosure by 
one of nine exemptions. When the Commission receives a FOIA request, 
the request is assigned a control number for tracking purposes and a 
letter is sent to the requester acknowledging receipt of the request.
    Search forms are sent to the Commission offices or divisions which 
maintain the records requested. Staff members in the responding office 
or division complete the form and return it to the Commission's FOIA 
Compliance Office with any responsive material located. When all 
completed search forms have been returned, a response letter is 
prepared and sent to the requester with any responsive material not 
exempt from disclosure.
    A file folder is maintained for each request received and each 
folder contains the original request, copies of the acknowledgment and 
response letters, the search forms, any memoranda or notes related to 
the processing of the request, a copy of the bill sent to the requester 
if fees were incurred, and a copy or record of the material provided to 
the requester. The records are kept in locked file cabinets until 
destroyed in accordance with National Archives and Records 
Administration (NARA) General Records Schedule (GRS) 14. Once a request 
is closed, the records are used only to expedite the processing of 
appeals and subsequent requests for the same information and to prepare 
the Commission's annual report to the Department of Justice on FOIA 
activity for the fiscal year, without reference to the individual who 
made the request. Information pertaining to the processing and 
disposition of each request is compiled electronically in the FOIA 
Tracking System database and destroyed in accordance with GRS-14.
    2. Privacy Act Requests. The Commission established this system of 
records to manage the processing of requests received under the Privacy 
Act. Because this system allows retrieval of information about an 
individual through his or her name, the Privacy Act of 1974, as 
amended, requires a general notice of the existence of this system of 
records to the public.
    The Privacy Act provides individuals with a right of access to 
records about themselves that are maintained in a federal agency's 
system of records. When the Commission receives a Privacy Act request, 
the request is assigned a control number for tracking purposes and a 
letter is sent to the requester acknowledging receipt of the request 
and asking for proof of the requester's identity.
    Once the requester's identity is confirmed, search forms are sent 
to the Commission offices or divisions which maintain the records 
requested. Staff members in the responding office or division complete 
the form and return it to the Commission's FOIA Compliance Office with 
any responsive material located. When all completed search forms are 
returned, a response letter is prepared and sent to the requester with 
any responsive material not exempt from disclosure.
    A file folder is maintained for each request received and each 
folder contains the original request, copies of the acknowledgement and 
response letters, the requester's proof of identity, the search forms, 
any memoranda or notes related to the processing of the request, a copy 
of the bill sent to the requester if fees were incurred, and a copy or 
record of the material provided to the requester. The records are kept 
in locked file cabinets until destroyed in accordance with GRS-14. Once 
a request is closed, the records are used only to process appeals and 
to prepare the Commission's biennial Privacy Act report to Congress, 
without reference to the individual who made the request. Information 
pertaining to the processing and disposition of each request is 
compiled electronically in the FOIA Tracking System database and 
destroyed in accordance with GRS-14.
    3. Requests for Confidential Treatment. Individuals submitting 
information to the Commission may also submit a written request for 
confidential treatment of that information. The Commission maintains 
these requests for confidential treatment in a system of records so 
that if the Commission receives a FOIA request for the information, the 
submitter can be notified and given the opportunity to justify 
withholding the information from the requester. Because this system 
allows retrieval of information about an individual through his or her 
name, the Privacy Act of 1974, as amended, requires a general notice of 
the existence of this system of records to the public.
    A submitter seeking confidential treatment must request such 
treatment in writing and copies of the request must be sent to the 
Commission office or division receiving the information for which 
confidential treatment is sought and to the Commission's FOIA 
Compliance Office. The request is indexed and placed in a file folder 
in a locked cabinet until a FOIA request for the subject information is 
received.
    If such a FOIA request is received, the submitter is notified and 
asked to submit a detailed written justification of the confidential 
treatment request. Commission staff review the justification and 
determine whether confidential treatment should be granted or denied. 
If it is denied, the submitter may appeal that determination to the 
Commission's Office of the General Counsel. Information pertaining to 
the processing and disposition of each request is compiled 
electronically in the petitions database.
    These new systems of records, as required by 5 U.S.C. 552a(r) of 
the Privacy Act, have been submitted to the Committee on Government 
Oversight and Reform of the U.S. House of Representatives, the 
Committee on Governmental Affairs of the U.S. Senate, and the Office of 
Management and Budget, pursuant to Appendix I to OMB Circular A-130, 
``Federal Agency Responsibilities for Maintaining Records About 
Individuals,'' dated February 8, 1996. Accordingly, the Commission is 
giving notice of the establishment of the following systems of records:
CFTC-39

System name:
    Freedom of Information Act Requests.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, 
Washington, DC 20581. Copies of the requests and any related internal 
administrative records may also be maintained by other offices involved 
in the processing of requests.

Categories of individuals covered by the system:
    Persons requesting information from the Commission pursuant to 
provisions of the Freedom of Information Act, 5 U.S.C. 552, and persons 
who are the subjects of Freedom of Information Act requests.

Categories of records in the system:
    Requests, internal memoranda, response letters, appeals of denials, 
appeal determinations and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The records are used by Commission staff to process FOIA requests 
and appeals and to prepare an annual report to the Department of 
Justice on the Commission's FOIA activity. See also the Commission's 
``General Statement of

[[Page 38895]]

Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, computer memory, computer printouts, 
and microfiche.

Retrievability:
    By assigned control number, by name of requester, or by subject of 
request.

Safeguards:
    Paper records and microfiche are maintained in lockable file 
cabinets on secured premises. Information stored on computers is 
protected by a password, with access limited to persons whose official 
duties require access.

Retention and disposal:
    FOIA requests are retained in accordance with General Records 
Schedule 14 of the National Archives and Records Administration.

System managers and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, 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, 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 FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, 1155 21st 
Street, NW, Washington, DC 20581.

Record source categories:
    Persons requesting information from the Commission pursuant to the 
Freedom of Information Act and employees processing the requests.
CFTC-40

System name:
    Privacy Act Requests.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, 
Washington, DC 20581. Copies of the requests and any related internal 
administrative records may also be maintained by other offices involved 
in the processing of requests.

Categories of individuals covered by the system:
    Persons filing requests for access to, correction of, or an 
accounting of disclosures of personal information contained in system 
of records maintained by the Commission, pursuant to the Privacy Act of 
1974. 5 U.S.C. 552a.

Categories of records in the system:
    Requests, internal memoranda, response letters, appeals of denials, 
appeal determinations and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552a, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The records are used by Commission staff to process Privacy Act 
requests and appeals and to prepare the Commission's Biennial Privacy 
Act report to Congress. See also the Commission's ``General Statement 
of Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, computer memory, computer printouts, 
and microfiche.

Retrievability:
    By assigned control number or by name of requester.

Safeguards:
    Paper records and microfiche are maintained in lockable file 
cabinets on secured premises. Information stored on computers is 
protected by a password, with access limited to persons whose official 
duties require access.

Retention and disposal:
    Privacy Act requests are retained in accordance with General 
Records Schedule 14 of the National Archives and Records 
Administration.

System manager(s) and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, Commodity Futures Trading Commission, Three Lafayette 
Center, 1155 21st Street, NW, Washington, DC 20581.

Notification procedure:
    Individuals seeking to determine whether this system of records 
contains information about themselves, 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 FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, 1155 21st 
Street, NW, Washington, DC 20581.

Record source categories:
    Persons requesting information from the Commission pursuant to the 
Privacy Act and employees processing the requests.
CFTC-41

System name:
    Requests for Confidential Treatment.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, 
Washington, DC 20581. A copy of the request may also be kept by the 
office receiving the document for which confidential treatment is being 
requested.

Categories of individuals covered by the system:
    Persons requesting confidential treatment of, and persons who are 
the subjects of, documents filed with the Commission.

Categories of records in the system:
    Requests for confidential treatment, the documents for which 
confidential treatment is requested and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses.
    The records are used by Commission staff to determine whether to 
grant or deny confidential treatment of information submitted to the 
Commission for which a FOIA request has been received and to process 
appeals of determinations denying confidential treatment for submitted 
information. See also the Commission's ``General Statement of Routine 
Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders, computer memory, computer printouts, 
and microfiche.

[[Page 38896]]

Retrievability:
    By name of requester or by subject of request

Safeguards:
    Paper records are maintained in lockable file cabinets on secured 
premises. Information stored on computers is protected by a password, 
with access limited to persons whose official duties require access.

Retention and disposal:
    Records are retained for 20 years, then destroyed.

System manager and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, 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, 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 FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Future Trading Commission, 1155 21st 
Street, NW, Washington, DC 20581.

Record source categories:
    Persons submitting documents to the Commission.

    Issued in Washington, DC this 14th day of July, 1999 by the 
Commodity Futures Trading Commission.
Catherine D. Dixon,
Assistant Secretary to the Commission.
[FR Doc. 99-18393 Filed 7-20-99; 8:45 am]
BILLING CODE 6351-01-M