[Federal Register Volume 64, Number 189 (Thursday, September 30, 1999)]
[Proposed Rules]
[Pages 52695-52696]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-25189]


=======================================================================
-----------------------------------------------------------------------

COMMODITY FUTURES TRADING COMMISSION

17 CFR Part 146


Privacy Act of 1974; Implementation

AGENCY: Commodity Futures Trading Commission.

ACTION: Proposed rule.

-----------------------------------------------------------------------

SUMMARY: The Commission proposes to adopt a rule to exempt a new system 
of records, concerning, inter alia, complaints of sexual harassment, 
from

[[Page 52696]]

Sections 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of 
the Privacy Act of 1974 on the basis that the system is investigatory 
material compiled for law enforcement purposes. The name of the system 
of records is the Exempted Informal Employment Complaint Files and it 
is designated CFTC-7.

DATES: Comments must be received on or before November 1, 1999.

ADDRESSES: Comments should be addressed to Jean A. Webb, Secretary, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1152 21st 
Street NW., Washington, DC 20581. Comments may also be sent by 
facsimile to number (202) 418-5221 or by electronic mail to 
[email protected]. Refer to ``Sexual harassment files.''

FOR FURTHER INFORMATION CONTACT: Stacy Dean Yochum, Counsel to the 
Executive Director, (202) 418-5157, Glynn L. Mays, Office of the 
General Counsel, (202) 418-5140, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: In September 1998 the Commission adopted a 
Sexual Harassment Policy that enabled persons who believed they were 
victims of harassment to invoke certain informal procedures. The Policy 
requires all supervisors, managers, and members of the Commission to 
report instances of sexual harassment witnessed by them or reported to 
them to the Commission's EEO Director. Remedies under the Policy 
include methods for informal resolution of complaints between a 
complainant and the person she or he believes has engaged in harassment 
and also for investigations under the aegis of the Executive Director 
to determine whether discriplinary action is warranted. Records of 
complaints, reports, investigations, and dispositions will be 
maintained by the Executive Director. The purposes of the records 
system include centralization information on this workplace issue and 
the Commission's response to it, identification of repeat offenders, 
and support for disciplinary action. Neither the Policy nor the system 
of records is part of the EEOC's Federal Sector Complaint Processing 
system. See 29 CFR part 1614. Both the policy and maintenance of the 
system of records are, however, consistent with the EEOC's mandate to 
federal agencies to ``maintain a continuing affirmative program to 
promote equal opportunity and to identify and eliminate disciminatory 
practices and policies.'' 29 CFR 1614.102(a).
    In the Commission's view, the materials in this system of records 
are investigatory materials compiled for law enforcement purposes 
within the meaning of Privacy Act Section 552a(k)(2), 5 U.S.C. 
552a(k)(2). Individual access to these files could impair the 
effectiveness and orderly conduct of the Commission's program to combat 
illegal workplace discrimination and discipline those responsible.
    Accordingly the Commission is proposing to amend its rules under 
the Privacy Act, 17 CFR 146.12, to exempt this system of records from 
the requirements of Privacy Act sections 552a(c)(3) [availability of 
accounting of disclosures]; (d) [individual access to records]; (e)(1) 
[relevancy of records]; (e)(4)(G) [request of an individual whether a 
system of records contains a record pertaining to him or her]; 
(e)(4)(H) [notification of access and contest procedures]; (e)(4)(I) 
[publication of categories of sources of records in the system]; and 
(f) [adoption of rules relating, inter alia, to individual access to 
his or her records in the system].

List of Subjects in 17 CFR Part 146

    Privacy.

    For the reasons stated above, 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: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a), Pub. 
L. 93-463, 88 Stat. 1389 (7 U.S.C. 40(j)) unless otherwise noted.

    2. Amend Sec. 146.12 Exemptions, by revising the last sentence of 
paragraph (a) to read as follows:


Sec. 146.12  Exemptions.

    (a) * * * Materials exempted under this paragraph are contained in 
the system of records entitled ``Exempted Investigatory Records,'' 
``Exempted Informal Employment Complaint Files,'' and/or in the system 
of records entitled ``Exempted Closed Commission Meetings.''
* * * * *
    Issued in Washington, DC, on September 22, 1999.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 99-25189 Filed 9-29-99; 8:45 am]
BILLING CODE 6351-01-M