[Federal Register Volume 64, Number 189 (Thursday, September 30, 1999)]
[Notices]
[Pages 52775-52776]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-25190]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974: Notice of New System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of new system of records and proposed routine uses.

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SUMMARY: This notice adds a new system of records to the Commission's 
system of records under the Privacy Act. The new system will contain 
information about employees of the Commission and third parties who are 
visiting or working at Commission offices who are accused of sexual or 
other unlawful harassment. The Commission is proposing that the routine 
uses of these records be limited to use in proceedings in which the 
Commission or any present or former member or employee is a party and 
in any investigation to which the information is relevant. In addition, 
the Commission is proposing that the records be available to any other 
federal or state agency for use in meeting the responsibilities 
assigned to them under the law or to another federal agency, if 
relevant, in connection with a personnel action concerning the employee 
about whom the record is maintained. The Commission is also publishing 
a notice of a proposed rule to exempt the system of records under 5 
U.S.C. 552a(k)(2) from certain sections of the Privacy Act, as 
investigatory material compiled for law enforcement purposes.

DATES: Comments on the establishment of the new system of records and 
the proposed routine uses must be received no later than November 1, 
1999. The new system of records and the routine uses will be effective 
November 9, 1999 unless the Commission receives comments which would 
mandate a contrary determination.

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

FOR FURTHER INFORMATION CONTACT: Stacy Dean Yochum, Office of the 
Executive Director, (202) 418-5157, or 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 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 a new system of 
records. The new system will contain records generated in compliance 
with the Commission's Sexual Harassment Policy, which in relevant part 
permits persons complaining of harassment to invoke certain informal 
procedures to resolve the complaint and requires a report of the 
resolution to be forwarded to the Commission's Executive Director. The 
Policy also requires supervisors and managers to report observed and 
reported incidents of harassment to the Commission's EEO Director. 
Under the Policy, reports or complaints of incidents of harassment if 
not resolved at the supervisor level may be referred in-house or to an 
outside contractor for investigation. These investigations may result 
in disciplinary action. This system also would contain similar records 
of complaints of other violations of equal employment rights, although 
the Commission does not have a published policy for informal handling 
of such matters at this time.
    The system is being numbered ``CFTC-7'', the number used for a 
system of records which was consolidated with other systems and is no 
longer being maintained. This new system of records, as required by 5 
U.S.C. 552a(r) of the Privacy Act, has 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 1 
to OMB Circular A-130, ``Federal Agency Responsibilities for 
Maintaining Records About Individuals,'' dated July 15, 1994. 
Accordingly, the Commission is giving notice of the establishment of 
the following system of records:
CFTC-7

System name:
    Exempted Informal Employment Complaint Files.

System location:
    Office of the Executive Director, Three Lafayette Centre, 1155 21st 
St. NW, Washington, DC 20581.

Categories of individuals covered by the system:
    Individuals, including Commission employees, contractors or 
visitors, who are accused of sexual or other harassment in violation of 
employment discrimination laws or Commission employment policies, 
including the Commission's Sexual Harassment Policy.

Categories of records in the system:
    Reports to Commission officials from supervisors, managers, or 
members of the Commission concerning complaints or concerning observed 
instances of sexual harassment. Records relating to

[[Page 52776]]

the complaint or incident, relating to any investigation, and to any 
disposition of the matter. The potential contents of the system are not 
limited to complaints or other material under the Commission's Sexual 
Harassment Policy. Complaints concerning other forms of illegal 
employment discrimination would be made part of this system.

Authority for maintenance of the system:
    5 U.S.C. 2302(b); 29 CFR 1614.102(a).

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The four routine uses for this system are taken from the 
Commission's General Statement of Routine Uses, published 64 FR 33829: 
Number 1 (disclosed in an action where the Commission or a present or 
former member or employee of the Commission is a party); 2 (given to 
other federal or state agencies within the scope of their statutory 
mandates); 4 (disclosed in an investigation); and 6 (disclosed if 
relevant to a federal agency in connection with a personnel, 
contracting or licensing action concerning the person about whom the 
record is maintained).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
storage:
    Paper records stored in files.

Retrievability:
    Records are retrievable by the name of the employee or third party 
about whom a complaint or report has been made.

Safeguards:
    In addition to general building security, paper records are 
maintained in areas accessible only to authorized personnel.

Retention and disposal:
    Indefinite.

System manager(s) and address:
    Executive Director, 1155 21st Street, NW, Washington, DC 20581.

Notification procedure:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiries to the 
Assistant Secretary for FOI, Privacy and Sunshine Acts Compliance, 
Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, 
DC 20581.

Record access procedures:
    See ``Notification Procedures,'' above.

Contesting record procedures:
    See ``Notification Procedures,'' above.

Record source categories:
    Internal complaints, internal investigations, reports of activity 
which apparently violate the Commission's Sexual Harassment Policy or 
other employment discrimination prohibitions, proceedings, as relevant, 
under the EEOC's Federal Sector Complaint Processing Rules, 29 CFR Part 
1614.

(Authority: 5 U.S.C. 552a(e)(4))

    Issued in Washington, DC, on September 22, 1999.

    By the Commission.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 99-25190 Filed 9-29-99; 8:45 am]
BILLING CODE 6351-01-M