[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
COMMODITY FUTURES TRADING COMMISSION
Content of System Notices
Each system notice contains the following information:
1. The name of the system;
2. The location of the system;
3. The categories of individuals on whom records are maintained in the
system;
4. The categories of records maintained in the system;
5. The authority for maintaining the system;
6. Each routine use of the records contained in the system, including
the categories of users and the purpose of each use;
7. The policies and practices of the agency regarding storage,
retrievability, access controls, retention, and disposal of the
records;
8. The title and business address of the agency official who is
responsible for the system of records;
9. The agency procedures by which an individual can find out whether
the system of records contains a record pertaining to that individual;
and how to gain access to any record contained in the system of
records pertaining to that individual, as well as how to contest the
content of the records; and
10. The categories of sources of records in the system.(See Note 1
below.)
The Location of Systems of Records
The eighth item described above calls for the address of the
Commission office involved. The Commission maintains offices in the
following locations:
2033 K Street, NW, Washington, DC 20581; telephone (202) 254-3382
2000 L Street, NW, Washington, DC.; telephone (202) 254-5006
233 South Wacker Drive, 46th Floor, Chicago, Illinois 60606;
telephone (312) 353-9499
4901 Main Street, Room 208, Kansas City, Missouri 64112; telephone
(816) 374-2994
One World Trade Center, Suite 4747, New York, New York 10004;
telephone (212) 466-2071
10850 Wilshire Boulevard, Suite 510, Los Angeles, California 90024;
telephone (213) 824-7456
510 Grain Exchange Building, Minneapolis, Minnesota 55415; telephone
(612) 725-2025
Where multiple locations are involved in a system notice, the notice
merely identifies the offices and refers to this introductory section
for each address. In the system notice, the Washington office is
referred to as the ``principal office,'' the Chicago, Kansas City, New
York and Los Angeles offices as the ``regional offices.''
Records within a system will not always be available at each of the
offices listed in the system notice. For example, case files are
basically maintained in the office where the investigation is being
conducted, but certain information may be maintained in other offices
as well. Similarly, many but not necessarily all employee records are
maintained in the particular office where the employee works. In
addition, the Commission's computers are physically located in
Chicago, North Carolina, and in the Washington, D.C., headquarters
office, although information in computer printout form may be
available in any office.
The Commission has undertaken the responsibility, unless otherwise
specified in the system notice, to determine where the particular
records being sought are located. However, if the individual seeking
the records in fact knows the location, it would be helpful to the
Commission if he would indicate that location.
Scope and Content of Systems of Records
The Privacy Act applies to personal information about individuals.
Personal information subject to the provisions of the Privacy Act may
sometimes be found in a system of records that might appear to relate
solely to commercial matters. For example, the system of records
entitled ``registration of futures commission merchants''contains
essentially business information. (See Note 2 below). However, the
application for registration contains a few items of personal
information concerning key personnel of the registrant firm. Since the
capability exists through the Commission's computer to retrieve
information from this system of records not only by use of the name of
the futures commission merchant but also by the use of the name of
these individuals this information is within the purview of the
Privacy Act.(See Note 3 below).
Such a capability would generally not exist, however, in a Commission
staff investigation of the activities of the futures commission
merchant. Thus, if the investigation were opened under the name of the
futures commission merchant, information would be retrievable only
under that name. Accordingly, information about principals of a firm
under investigation would generally not be retrievable by the name of
the individual, and the provisions of the Privacy Act would not apply.
General Statement of Routine Uses
A principal purpose of the Privacy Act is to restrict the unauthorized
dissemination of personal information concerning an individual. In
this connection, the Privacy Act and the Commission's rules prohibit
all dissemination except for specific purposes.(See Note 4 below.)
The Privacy Act and the rules specifically provide that disclosure may
be made with the written consent of the individual to whom the record
pertains. Disclosure may also be made to those officers and employees
of the Commission who need the record in the performance of their
duties. In addition, disclosures are authorized if they are made
pursuant to the terms of the Freedom of Information Act, 5 U.S.C. 552.
In addition, the Privacy Act and the Commission's rules permit
disclosure of individual records if it is for a ``routine use,'' which
is defined as a use of a record which is compatible with the purpose
for which it was collected. The system notice for each system of
records is required to list each of these routine uses.
Many of the routine uses of Commission records are applicable to a
number of systems. These include the following:
1. The information in the system 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 any member of the
Commission or its staff participates as a party or the Commission
participates as amicus curiae, and may be disclosed in response to a
subpoena issued in the course of a proceeding to which the Commission
is not a party.
2. The information may be given to the Justice Department, 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 or local
law enforcement or regulatory agencies for use in meeting
responsibilities assigned to them under the law, or made available to
any member of Congress who is acting in his capacity as a member of
Congress.
3. The information may be given to any board of trade designated as a
contract market by the Commission or to any futures association
registered with the Commission, if the Commission has reason to
believe this will assist the contract market or registered futures
association in carrying out its responsibilities under the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and may be given to any national
securities exchange or national securities association registered with
the Securities and Exchange Commission, to assist those organizations
in carrying out their self-regulatory responsibilities under the
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq.
4. At the discretion of the Commission staff, the 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. The 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. The 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, 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. The 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. The 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.''
To avoid unnecessary repetition of these routine uses, where they are
generally applicable the system notice refers the reader to the above
description. Unless otherwise indicated, where the system notice
contains a reference to the foregoing routine uses, all of the eight
routine uses listed above apply to that system.
System Notices
The Commission's systems of records are set forth below.
Note 1: Two systems of records, one relating to investigatory material
compiled for law enforcement purposes and the other relating to
confidential information obtained during employee background
investigations, have been exempted in the Commission's rules from
certain requirements of the Privacy Act, as authorized under the
Privacy Act, 5 U.S.C. 552a(k). Among the requirements from which these
systems have been exempted is the requirement that the information
listed under items (9) and (10) above be furnished.
Note 2: A futures commission merchant is someone engaged in soliciting
or accepting orders for the purchase or sale of commodity futures in
the manner defined in section 2(a)(1) of the Commodity Exchange Act, 7
U.S.C. 2.
Note 3: See the definition of system of records in the Privacy Act, 5
U.S.C. 552a(a)(5), and section 146.2(g) of the Commission's Privacy
Act rules, 17 CFR 146.2(g)..
Note 4: Individuals should refer to the full text of the Privacy Act,
5 U.S.C. 552a(b), and to the Commission's rules for a complete list of
authorized disclosures. Only those arising most frequently have been
mentioned herein.
Index
CFTC-1 Matter Register and Matter Indices.
CFTC-2 Correspondence Files.
CFTC-3 Docket Files.
CFTC-4 Employee Leave, Time and Attendance.
CFTC-5 Employee Personnel Records.
CFTC-6 Employee Travel Records.
CFTC-7 Employee Records Maintained by the Office of ADP Services.
CFTC-8 Employment Applications.
CFTC-9 Exempted Employee Background Investigation Material.
CFTC-10 Exempted Investigation Records.
CFTC-11 Deleted--Incorporated in CFTC-20.
CFTC-12 Fitness Investigations.
CFTC-13 Interpretation Files.
CFTC-14 Matter Files.
CFTC-15 Large Trader Report Files.
CFTC-16 Case Files.
CFTC-17 Litigation Files--OGC.
CFTC-18. Logbook on Speculative Limit Violations.
CFTC-19 Petition and Rulings.
CFTC-20 Registration of Floor Brokers, Floor Traders, Futures
Commission Merchants, Introducing Brokers, Commodity Trading Advisors,
Commodity Pool Operators, Leverage Transaction Merchants, and
Associated Persons.
CFTC-21 Removed--Incorporated in CFTC-20.
CFTC-22 Removed--Incorporated in CFTC-20.
CFTC-23 Removed--Incorporated in CFTC-20.
CFTC-24 Removed--Incorporated in CFTC-20.
CFTC-25 Removed.
CFTC-26 Removed--Incorporated in CFTC-14.
CFTC-27 Removed.
CFTC-28 Exchange Disciplinary Action File.
CFTC-29 Reparations Complaints.
CFTC-30 Open Commission Meetings.
CFTC-31 Exempted Closed Commission Meetings.
CFTC-32 Office of the Inspector General Investigative Files.
CFTC-1
System name: Matter Register and Matter Indices.
System location:
Commission's principal and regional offices. See introduction, ``The
Location of Systems of Records.''
Categories of individuals covered by the system:
a. Persons found or alleged to have, or suspected of having violated
the Commodity Exchange Act or the rules and regulations or orders of
the Commission adopted thereunder.
b. Persons lodging complaints with the Commission.
c. Agency referrals.
Categories of records in the system:
An index system to CFTC-14 Matter Files and CFTC-16 Case Files,
including:
a. The matter register. A file number is assigned to each case and the
record is filed according to that number. The register also indicates
the date opened, the disposition and status, the date closed, and the
staff member assigned.
b. The matter register also includes reports recommending opening and
closing of investigations.
Authority for the maintenance of the system:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders, in looseleaf binders, or on index
cards.
Retrievability:
By name of investigation.
Safeguards:
Secured rooms or secured premises with access limited to those whose
official duties require access. In appropriate cases the records are
maintained in lockable file cabinets.
Retention and disposal:
Destroyed when no longer needed.
System manager(s) and address:
Director, Division of Enforcement in the Commission's principal office
and Regional Counsel of each regional office. See introduction, ``The
Location of Systems of Records.''
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Persons submitting complaints to the Commission, and miscellaneous
sources including customers, law enforcement and regulatory agencies,
commodity exchanges, trade sources, and Commission staff generated
items.
CFTC-2
System name: Correspondence Files.
System location:
Commission's principal offices at 2033 K Street, NW, Washington, DC
20581.
Categories of individuals covered by the system:
Persons corresponding with the Commission, directly or through their
representatives. Persons discussed in correspondence to or from the
Commission.
Categories of records in the system:
Incoming and outgoing correspondence and indices of correspondence,
and certain internal reports and memoranda related to the
correspondence.
This system includes only those records which are part of a general
correspondence file maintained by the office involved. It includes
correspondence indexed by subject matter, date or assigned number
unless there is a corresponding index capability by individual name.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders, in looseleaf binders, or on index
cards.
Retrievability:
By name, subject and case. This may be either the name of the person
who sent or received the letter, or the person on whose behalf the
letter was sent or received. It may also be another person who was the
principal subject of the letter, where circumstances appear to justify
this treatment. See previous discussion concerning the category of
records maintained in this system.
Safeguards:
Secured rooms or on secured premises with access limited to those
whose official duties require access.
Retention and disposal:
Maintained indefinitely depending on the policies and practices of the
offices involved.
System manager(s) and address:
The General Counsel; Director, Office of Public Information; Director,
Division of Enforcement; and the Office of the Secretariat. All are
located at 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382. Specify the system
manager, if known.
Record source categories:
Persons corresponding with the Commission and correspondence and
memoranda prepared by the Commission.
CFTC-3
System name: Docket Files.
System location:
Hearing Clerk's office, 2000 L Street, NW, Suite 620, Washington, DC
20036.
Categories of individuals covered by the system:
All persons involved in any CFTC proceeding.
Categories of records in the system:
All pleadings, motions, applications, stipulations, affidavits,
transcripts and documents introduced as evidence, briefs, orders,
findings, opinions, and other matters which are part of the record of
an administrative proceeding. They also include related correspondence
and indices.
Authority for maintenance of the system:
The Commission is authorized or required to conduct hearings under
several provisions of the Commodity Exchange Act. These files are a
necessary concomitant for the conduct of orderly hearings. See also 44
U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Public records unless the Commission or assigned presiding officer
determines for good cause to treat as non-public consistent with the
provisions of the Freedom of Information Act. Non-public portions may
be used for any purpose specifically authorized by the presiding
officer who ordered non-public treatment or by the Commission.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By the docket number and cross-indexed by complainant and respondent
names.
Safeguards:
Only items which the Commission or the presiding officer has directed
be kept non-public are segregated and precautions are taken as to
these items to assure that access is restricted to authorized
personnel only.
Retention and disposal:
Maintained in the Hearings Section until disposition by the presiding
officer, and then forwarded to the Hearings Clerk's office for filing.
System manager(s) and address:
Hearing Clerk, Hearing Clerk's office, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Commission staff members; opposing parties and their attorneys;
proceeding witnesses; and miscellaneous sources.
CFTC-4
System name: Employee Leave, Time and Attendance.
System location:
Commission's principal office, 2033 K Street, NW, Washington, DC
20581.
Categories of individuals covered by the system:
All CFTC employees.
Categories of records in the system:
Various records reflecting CFTC employees time and attendance and
leave status.
Authority for maintenance of the system:
5 U.S.C. 6301-6323; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. In response to legitimate requests, this information may be
provided to other federal agencies for the purpose of hiring or
retaining employees, and may be provided to other prospective
employers, to the extent that the information is relevant to the
prospective employer's decision in the matter.
b. The information may be provided to the Justice Department or other
federal agencies or used by the Commission in connection with any
investigation, or administrative or legal proceeding involving any
violation of any federal law or regulation thereunder.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders or on index cards.
Retrievability:
By the name of the employee or by the employee number, cross-indexed
by name.
Safeguards:
Locked cabinets.
Retention and disposal:
Three years, then destroyed.
System manager(s) and address:
Budget and Accounting Officer, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The individual on whom the record is maintained.
CFTC-5
System name: Employee Personnel Records.
System location:
Personnel Section at 2033 K Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
All CFTC employees.
Categories of records in the system:
The records maintained in the principal office for all employees
include: a. Forms required and records maintained under the
Commission's rules of conduct and the Ethics in Government Act; b.
Pre-employment inquiries not included with ``exempted employee
background investigation materials''; c. Various summary materials
received in computer printout form; d. Card indices reflecting various
information contained in other personnel records.
The official personnel records maintained by the Commission are
described in the system notices published by the Office of Personnel
Management, and are not included within this system.
Authority for maintenance of the system:
44 U.S.C. 3101, 5 U.S.C. APP.
(Personnel Financial Disclosure Requirements).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. In response to legitimate requests, this information may be
provided to other federal agencies for the purpose of hiring or
retaining employees, and may be provided to other prospective
employers, to the extent that the information is relevant to the
prospective employer's decision in the matter.
b. The information may be provided to the Justice Department, 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders and on index cards.
Retrievability:
By the name of the employee.
Safeguards:
Lockable cabinets.
Retention and disposal:
Maintained in the current file until the employee is terminated or
separated, retained for 2 years thereafter, and then destroyed, except
for those maintained under the Commission's rules of conduct and the
Ethics in Government Act which are maintained until no longer needed
or required under applicable law and regulation.
System manager(s) and address:
Personnel Officer of the Commission, except for records maintained
under the Commission's rules of conduct and the Ethics in Government
Act, for which the General Counsel is the system manager. See
introduction, ``The Location of Systems of Records.''
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 FOE, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Individual on whom the record is maintained; personnel office records;
and miscellaneous sources.
CFTC-6
System name: Employee Travel Records.
System location:
Commission's principal office, 2033 K Street, NW, Washington, DC
20581.
Categories of individuals covered by the system:
Any Commission member, employee, witness, expert or any member of an
Advisory Committee who travels on official business for the
Commission.
Categories of records in the system:
Contains the name, address, destination, itinerary, mode and purpose
of travel, dates, expenses, amounts advanced, amounts claimed, and
amounts reimbursed. Includes travel authorizations, travel vouchers,
copies of government transportation requests, receipts and other
records.
Authority for maintenance of the system:
31 U.S.C. 1 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information may be provided to the Justice Department 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By the name of the member, employee, witness, expert and member of the
Advisory Committee.
Safeguards:
Lockable cabinets.
Retention and disposal:
Three years and then destroyed.
System manager(s) and address:
Budget and Accounting Officer, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The individual on whom the record is maintained.
CFTC-7
System name: Employee records maintained by the office of ADP
Services.
System location:
Commission's principal office, 2033 K Street, NW, Washington, DC
20581.
Categories of individuals covered by the system:
All CFTC employees.
Categories of records in the system:
a. General records relating to the employee including information from
the notification of personnel action (SF-50) and other related
sources, employee name, social security or other employee number,
birth date, veteran's preference, tenure, leave group, insurance
coverage, retirement coverage, type of employment, date service
commenced and ended, grade and step, base salary, duty station,
various computation dates, leave codes and status, employing office
and other miscellaneous information.
b. Payroll related information for CFTC employees, including payroll
and leave data for each employee relating to rate and amount of pay,
leave, and hours worked, and leave balances, tax and retirement
deductions, life insurance and health insurance deductions, savings
allotments, savings bond and charity deductions, mailing addresses and
home addresses, including copies of the CFTC time and attendance
reports as well as authorizations relating to deductions.
c. Travel vouchers and related material.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from these records is transmitted to the U.S. Treasury to
effect reimbursement of travel expenses and issuance of paychecks, as
well as distribution of pay to other sources according to employee
instructions. Appropriate information from these records is also
forwarded to taxing authorities and others receiving proceeds from the
employee's pay.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders; magnetic disc.
Retrievability:
By social security number or equivalent employee number and by name of
employee.
Safeguards:
Access limited to the offices where the records are maintained.
Certain records are kept in lockable file cabinets and safes.
Retention and disposal:
Three years, then destroyed.
System manager(s) and address:
Director, Operations and Budget Section, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The individual on whom the record is maintained.
CFTC-8
System name: Employment Applications.
System location:
Personnel Section at 2033 K Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
Applicants for positions with the CFTC.
Categories of records in the system:
Contains the application form (SF-171) and/or the resume of the
applicant.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information about these records is used in making inquiries concerning
the qualifications of the applicant.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By occupational interest.
Safeguards:
Lockable cabinets.
Retention and disposal:
Two years, then destroyed.
System manager(s) and address:
Personnel Officer of the Commission, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The individual on whom the record is maintained.
CFTC-9
System name: Exempted Employee Background Investigation
Material.
System location:
Personnel Section at 2033 K Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
Employees and prospective employees of CFTC.
Categories of records in the system:
Investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for CFTC employment
obtained under an express promise that the identity of the source
would be held in confidence, or which were obtained prior to September
28, 1975, under an implied promise of confidentiality.
Authority for maintenance of the system:
44 U.S.C. 3101; 5 U.S.C. 552a(k)(5).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses'' except the
general routine use number (3) is not applicable. Disclosure pursuant
to the other routine uses may be subject to the consent of the person
furnishing the information.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By employee name.
Safeguards:
Lockable cabinets in secured offices or buildings.
Retention and disposal:
Three years, then destroyed.
System manager(s) and address:
Personnel Officer, 2033 K Street, NW, Washington, DC 20581.
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, 5 U.S.C. 552a(k)(5), and the
Commission's rules promulgated thereunder, 17 CFR 146.12. These
records are exempt from the notification procedures, record access
procedures, and record contest procedures set forth in the system
notices of other record systems, and from the requirement that the
sources of records in the system be described.
CFTC-10
System name: Exempted Investigation Records.
System location:
Commission's principal and regional offices. See introduction, ``The
Location of Systems of Records.''
Categories of individuals covered by the system:
a. Individuals whom the 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.
b. Individuals whom the staff has reason to believe may have
information concerning violations of the Commodity Exchange Act and
the rules, regulations and orders promulgated thereunder.
c. Individuals involved in investigations authorized by the Commission
concerning the activities of members of the Commission or its
employees based upon formal complaint or otherwise.
d. Individuals filing applications with the Commission for their own
registration or registration of a firm.
Categories of records in the system:
Investigatory materials compiled for law enforcement purposes whose
disclosure the Commission staff has determined could impair the
effectiveness and orderly conduct of the Commission's regulatory and
enforcement program, or compromise Commission investigations; may
include all or any part of the records developed during the
investigation or inquiry.
Authority for maintenance of the system:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C. 3101;
5 U.S.C. 552a(k)(2).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses'' except that
general routine use number (5) is not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By assigned case number or case title. Cases filed by number are
cross-indexed by case title.
Safeguards:
In addition to normal office and building security, certain of these
records are maintained in locked file cabinets. All employees are
aware of the sensitive nature of the information gathered during
investigations.
Retention and disposal:
Maintained until exemption is no longer necessary, then returned to
the appropriate non-exempt system.
System manager(s) and address:
Director, Division of Enforcement, except for those records maintained
under the Commission's rules of conduct and the ethics in Government
Act, for which the General Counsel is the system manager. See
introduction ``The Location of Systems of Records.''
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 record
systems, and from the requirement that the sources of records in the
system be described.
CFTC-11
Incorporated into CFTC-20.
CFTC-12
System name:
Fitness Investigations.
Systen location:
Records for floor brokers and floor traders with respect to matters
commenced prior to August 1, 1994; associated persons and principals
of leverage transaction merchants whose registration status as such
was inactive prior to January 1, 1986; and also for all other
categories where registration status in every applicable capacity was
inactive prior to October 1, 1983: Division of Trading and Markets,
2033 K Street NW, Washington, DC 20581.
Records for futures commission merchants, introducing brokers,
commodity pool operators, commodity trading advisors, their respective
associated persons and principals, with active registration status in
any capacity on or after October 1, 1983; leverage transaction
merchants and their associated persons and principals with active
registration status as such on or after April 13, 1984, except as
noted above; records for floor brokers and floor traders with respect
to matters commenced on or after August 1, 1994: National Futures
Association (NFA), 200 West Madison Street, Suite 1400, Chicago,
Illinois 60606.
(See also ``Retention and Disposal,'' infra.)
Categories of individuals covered by the system:
Persons who have applied to the Commission or NFA, as applicable, or
who may apply to NFA for registration as floor brokers, floor traders
or as associated persons, and principals (as defined in 17 CFR 3.1) of
futures commission merchants, introducing brokers, commodity pool
operators, commodity trading advisors and leverage transaction
merchants.
Categories of records in the system:
Information pertaining to the fitness of the above-described
individuals to engage in business subject to the Commission's
jurisdiction. The system contains information in computerized and
hardcopy format including registration forms, schedules and
supplements; fingerprint cards; correspondence relating to
registration; and reports and memoranda reflecting information
developed from various sources outside the CFTC or NFA. In addition,
the system contains records of each CFTC or NFA fitness investigation.
Authority for maintenance of the system:
Sections 4f(1), 4k(4), 4k(5), 4n(l), 8a(1)-(5), 8a(10), 8a(11), 17(o)
and 19 of the Commodity Exchange Act, 7 U.S.C. 6f(1), 6k(4), 6k(5),
6n(1), 12a(1)-(5), 12a(10), 12a(11), 21(o) and 23 (1988 and Supp. IV
1992).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses applicable to all of the Commission's systems of
records, including this system, were set forth under the caption,
``General Statement of Routine Uses,'' in 47 FR 43759, 43760-61
(October 4, 1982), and subsequently modified in 47 FR 44830, 44831
(October 12, 1982). In addition, information contained in this system
of records may be disclosed by the Commission as follows:
1. Information contained in this system of records may be disclosed to
any person with whom an applicant or registrant is or plans to be
associated as an associated person or affiliated as a principal.
2. Information contained in this system of records may be disclosed to
any registered futures commission merchants with whom an applicant or
registered introducing broker has or plans to enter into a guarantee
agreement in accordance with Commission regulation 1.10 (17 CFR 1.10).
NFA may disclose information contained in those portions of this
system of records maintained by NFA, but any such disclosure must be
made in accordance with Commission-approved NFA rules and under
circumstances authorized by the Commission as consistent with the
Commission's regulations and routine uses. The currently authorized
circumstances are set forth in the Commission's September 28, 1984
Order authorizing NFA to perform certain Commission registration
functions including the maintenance of Commission records and are
published at 49 FR 39593, 39596 (October 9, 1984), except that Item 2b
therein was modified to eliminate the requirement of specific consent
by the applicant or registered introducing broker to the disclosure of
information to the futures commission merchant with whom it has or
plans to enter a guarantee agreement. 51 FR 25930, 25931 (July 17,
1986).
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,
index cards, microfiche.
Retrievability:
By the name of the individual of firm, or by assigned identification
number. Where applicable, the NFA's computer cross-indexes the
individual's file to the name of the futures commission merchant,
introducing broker, commodity trading advisor, commodity pool operator
or leverage transaction merchant with which the individual is
associated or affiliated.
Safeguards:
General office security measures including secured rooms or premises
and, in appropriate cases, lockable file cabinets with access limited
to persons whose official duties require access.
Retention and disposal:
Applications, biographical supplements, other forms, related documents
and correspondence are maintained on the CFTC's or NFA's premises, as
applicable, for three years after the individual's registration(s) or
affiliation(s) as a principal becomes inactive. Records are then
stored at an appropriate site for an additional seven years before
being destroyed; CFTC-held records are stored in the Federal Records
Center, and NFA-held records are to be stored either on NFA's premises
or in appropriate fireproof off-site facilities.
Computer records are maintained permanently on NFA's premises and are
updated periodically as long as the individual remains pending for
registration, registered in any capacity, or affiliated with any
registrant as a principal. Computer records on persons who may apply
may be maintained indefinitely. Microfiche records, when produced, are
maintained permanently on the CFTC's or NFA's premises.
System manager(s) and address:
Assistant Director, Registration Unit, Division of Trading and
Markets, at the Commission's principal office, or his designee.
For records held by NFA: Vice President for Registration or the
Records Custodian, National Futures Association, 200 West Madison
Street, Suite 1400, Chicago, Illinois 60606, or a designee.
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 inquiries to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street
NW, Washington, DC 20581; telephone (202) 254-3382.
Record source categories:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state or local regulatory and law
enforcement agencies; commodities and securities exchanges, National
Futures Association and National Association of Securities Dealers;
foreign futures and securities authorities and INTERPOL; and other
miscellaneous sources. Computer records are prepared from the forms,
supplements, attachments and related documents submitted to the
Commission or NFA and from information developed during the fitness
inquiry.
CFTC-13
System name: Interpretation Files.
System location:
Office of the General Counsel and Office of Public Information, 2033 K
Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
Persons who have requested the Office of the General Counsel to
provide them with its interpretation of provisions of the Commodity
Exchange Act or various rules and regulations adopted by the
Commission. The requests may have been made directly by the
individual, or through the individual's attorney or other
representative.
Categories of records in the system:
Interpretation letters furnished, the request for an interpretation,
and any related internal memoranda and supporting documents.
Authority for maintenance of the system:
Section 2(a)(4) of the Commodity Exchange Act, 7 U.S.C. 4a(c); 44
U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Interpretation letters and the related requests for interpretation
which discuss matters of general applicability may be made public and
may be published by the Commission, or the Commission may otherwise
make information public concerning matters raised therein. However,
portions of such letters or information will be deleted or omitted to
the extent necessary to prevent a clearly unwarranted invasion of
personal privacy or to the extent they otherwise contain material
considered nonpublic under the Freedom of Information Act and the
Commission's rules implementing that Act.
b. Information in these files may be used as a reference in responding
to later inquiries from the same party or in following up on earlier
correspondence involving the same person.
c. Also see introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By futures commission merchant, floor broker, commodity pool operator,
commodity trading advisor or associated person name if the request is
made by them or on their behalf. If it is made on behalf or another
individual it will be filed by the name of the individual. If the
identity of these persons is not known, the record will be maintained
in the name of the attorney or other representative filing the
request.
Safeguards:
Access limited to the offices where the records are maintained.
Retention and disposal:
Maintain permanently (on premises for 5 years, then transferred to the
Federal Records Center). After 20 years, offered to the National
Archives and Records Administration.
System manager(s) and address:
The General Counsel, and the Director, Office of Public Information in
the Commission's principal office. See introduction, ``The Location of
Systems of Records.''
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Persons corresponding with the Commission and correspondence and
memoranda prepared by the Commission.
CFTC-14
System name: Matter Files.
System location:
Commission's principal and regional offices. Pending investigations
files may be located in whatever office is conducting the
investigation. See introduction, ``The Location of Systems of
Records.''
Categories of individuals covered by the system:
a. Individuals whom the 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, or the rules
and regulations of any board of trade designated as a contract market.
b. Individuals whom the staff has reason to believe may have
information concerning violations of the Commodity Exchange Act and
the rules, regulations, and orders promulagated thereunder, or the
rules and regulations of any board of trade designated as a contract
market.
c. Individuals involved in investigations authorized by the Commission
concerning the activities of members of the Commission or its
employees based upon formal complaint or otherwise.
d. Individuals filing an application for registration as associated
person or floor broker Form 8-R (biographical information
questionnaire) in connection with an application for registration with
the Commission.
Categories of records in the system:
Anything obtained during the course of an investigation including data
from Commission reporting forms, account statements, and other trading
records, exchange records, bank records, and credit information,
business records, reports of interviews, transcripts of testimony,
exhibits to transcripts, affidavits, statements by witnesses,
contracts and agreements. Also contains internal memoranda, reports of
investigation, subpoenas, warning letters, stipulations of compliance,
correspondence and other miscellaneous matters. The nature of the
personal information contained in these files varies according to what
is considered relevant by the attorney assigned based on the
circumstances of the particular case under investigation, and may
include personal background information about the individual involved,
his education and employment history, information on prior violations,
and a wide variety of financial information, as well as a detailed
examination of the individual's activities during the period in
question.
Authority for maintenance of the system:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.'' Information
concerning traders and their activities may be disclosed and made
public by the Commission to the extent permitted by law when deemed
appropriate to further the practices and policies of the Commodity
Exchange Act. Information collected during an investigation 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By assigned case number or case title. Matter cases are filed by
number and cross-indexed by matter title.
Safeguards:
In addition to normal office and building security, certain of these
records are maintained in locked file cabinets. All employees are
aware of the sensitive nature of the information gathered during
investigations.
Retention and disposal:
Regional office records are maintained on the premises for 5 years,
then sent to the Federal Records Center for 5 years, before being
destoryed. The records in the Office of the General Counsel are
generally maintained until the investigation is closed and any action
arising therefrom has been completed, including all review at the
appellate level. Thereafter, certain basic information may be retained
and sent to the Federal Records Center, while the remaining
information is either returned to the person from whom it was obtained
or destroyed.
System manager(s) and address:
Director, Division of Enforcement in the Commission's principal
office. Regional Counsel of the region where the investigation is
being conducted. See introduction, ``The Location of Systems of
Records.''
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
a. Reporting forms and other information filed with the Commission; b.
boards of trade; c. futures commission merchants, commodity trading
advisors, commodity pool operators, floor brokers; d. federal, state
and local regulatory and law enforcement agencies; e. banks, credit
organizations and other institutions; f. corporations; g. individuals
having knowledge of the facts; h. attorneys; i. publications; j.
courts; and k. miscellaneous sources.
CFTC-15
System name: Large Trader Report Files.
System location:
Copies of original reports and related correspondence in CFTC office
where filed. See further description below. Ancillary records and
information (computer printout) may be located in any CFTC office. See
introduction, ``The Location of Systems of Records.''
Categories of individuals covered by the system:
Individuals holding reportable positions.
Categories of records in the system:
1. Reports filed by the individual holding the reportable position:
a. Statements of Reporting Trader (CFTC Form 40). Contains information
described in part 18 of the Commission's rules and regulations,
including the name, address, number, and principal occupation of the
reporting trader, financial interest in and control of commodity
futures accounts, and information about the traders business
associations;
b. Large trader reporting form (Series 03 Form). Contains information
described in part 18 of the Commission's rules and regulations,
including the traders identifying number, previous open contracts,
trades and deliveries that day, open contracts at the end of the day,
and classification as to speculation or hedging;
c. Large trader reporting form (Series 04 Form). Contains information
described in part 19 of the Commission's rules and regulations, to be
filed by merchants, processors and dealers in commodities which have
federally imposed speculative position limits. Includes trader's
identifying number, stocks owned, fixed price sale and purchase
commitments. These reports are filed in the CFTC office in the city
where the reporting trader is located. If there is no CFTC office in
that city, the reports are filed according to specific instructions of
the CFTC.
2. Reports to be filed by futures commission merchants, members of
contract markets, foreign brokers and for large option traders by
contract markets.
a. Identification of ``Special Accounts'' (CFTC Form 102). Contains
material described in part 17 of the Commission's rules and
regulations. Includes the name, address, and occupation of a customer
whose accounts have reached the reporting level.
Also includes the account number which the futures commission
merchants uses to identify this customer on the firm's 01 report (see
next paragraph), and whether the customer has control of or financial
interest in accounts of other traders.
b. Large trader reporting form (Series 01 Form). Contains material
described in part 17 of the Commission's rules and regulations, for
each ``special account.'' Shows customer account number, reportable
position held in each commodity future and information concerning
deliveries and exchanges of futures for physicals by persons with
reportable positions. These reports are filed in the CFTC office in
the city where the contract market involved is located. If there is no
CFTC office in that city, they are filed in the office where the CFTC
instructs that they be filed.
3. Computer records prepared from information on the forms described
in items (1) and (2) above. The computer system is located in Chicago
and North Carolina. Printouts may be located in some or all of the
Commission's offices.
4. Correspondence and memoranda of telephone conversations between the
Commission and the individual or between the Commission and other
agencies dealing with matters of official business concerning the
individual.
5. Other miscellaneous information, including intra-agency
correspondence and memoranda concerning the individual and documents
relating to official actions taken by the Commission against the
individual.
6. Reports from contract markets concerning futures and options:
(a) Positions and Transactions of Clearing Member Firms. Information
is provided in machine readable form and contains the data prescribed
in Section 16, of the Commission's regulations. The information
includes an identification number for each clearing member, open
contracts at the firm for proprietary and customer accounts and
transactions such as trades, exchanges of futures for cash, delivery
notices issued and received, and transfers and option exercises. The
information filed in the city where the exchange is located or as
instructed by the Commission. Data is transmitted to the CFTC computer
system and printouts are available at all CFTC offices.
(b) Large Option Trader Data. Information is provided in machine
readable form and contains the data prescribed in Commission Rule
16.02. Shows customer account number and reportable options positions
as specified in Rule 16.02. Machine readable media is delivered to the
Commission office in which the contract market is located or as
instructed by the Commission. The data is transmitted to the CFTC
computer system and printouts of the data are available in each
Commission office.
Authority for maintenance of the system:
Sections 4g, 4i, and 8 of the Commodity Exchange Act, 7 U.S.C. 6g, 6i,
and 12.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information concerning traders and their activities may be disclosed
and made public by the Commission to the extent permitted by law when
deemed appropriate to further the practices and policies of the
Commodity Exchange Act. Also see introduction, ``General Statement of
Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders, computer memory, and computer printout.
Retrievability:
Form 40, Form 102, correspondence and other miscellaneous information
are maintained directly under the name of the reporting trader. The
Series 01, 03, and 04 forms are maintained by identifying code number.
However, information from these forms is included in the computer and
retrievable by individual name from the computer.
Safeguards:
General office security measures, with recent trading reports stored
in lockable file cabinets. Access is limited to those whose official
duties require access.
Retention and disposal:
CFIC Form 40, CFTC Form 102, correspondence, memoranda, etc. are
retained on the premises until the account has been inactive for 10
years and then destroyed. Form 01, 03 and 04 reports are maintained
for 2 years on the premises and then held at the Federal Records
Center for 3 years before being destroyed. The computer file is
maintained for 10 years for Form 01, 03, 04 reports and large trader
options data reported by contract markets. Clearing member positions
and transactions are maintained for five years. Trader code numbers
and related information are maintained for ten years after a trader
becomes nonreportable. Account numbers assigned by an FCM are
maintained on the system for five years after the account is no longer
reported.
System manager(s) and address:
Chief, Surveillance Branch, in the region where the records are
located. See introduction, ``The Location of Systems of Records.''
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382. Include code
number assigned by the Commission for filing reports, the name of the
futures commission merchant through whom traded, and the time period
for which information is sought.
Record source categories:
The individual on whom the record is maintained and futures commission
merchants through whom the individual trades. Correspondence and
memoranda prepared by the Commission or its staff. Correspondence from
firms, agencies, or individuals requested to provide information on
the individual.
CFTC-16
System name: Case Files.
System location:
Commission's principal and regional offices. Pending litigation files
may be located in other participating offices. See introduction, ``The
Location of Systems of Records.''
Categories of individuals covered by the system:
Persons or firms against whom the Commission has taken enforcement
action based on violations of the Commodity Exchange Act or the rules
and regulations promulgated thereunder.
Categories of records in the system:
Copies of various papers filed by or with the Commission or the courts
in connection with administrative proceedings or injunctive actions
brought by the Commission. It includes, as a minimum, a copy of the
complaint and the final decision and order, and may contain other
documents as well.
Authority for maintenance of the system:
These files are necessary for the orderly and effective conduct of
litigation authorized under the Commodity Exchange Act and other
federal statutes. See e.g., section 6c of the Commodity Exchange Act,
7 U.S.C. 13a-1, authorizing injunctive actions, and various provisions
in that Act authorizing administrative actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in these files is generally a matter of public record
and may be disclosed without restriction. Also see introduction,
``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders or binders.
Retrievability:
By case title.
Safeguards:
General office security measures including secured rooms or premises
with access limited to those whose official duties require access.
Retention and disposal:
Maintained indefinitely, although after action is complete usually
reduced to only the complaint, final decision, and order.
System manager(s) and address:
Director, Division of Enforcement at the Commission's principal office
and Regional Counsel for the region where the records are located. See
introduction, ``The Location of Systems of Records.''
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The parties, their attorneys, the Commission's Hearings Section, the
relevant court, and miscellaneous sources.
CFTC-17
System name: Litigation Files--OGC.
System location:
Office of the General Counsel at 2033 K Street, NW, Washington, DC
20581.
Categories of individuals covered by the system:
Parties involved in litigation with the Commission or litigation in
which the Commission has an interest including, but not limited to:
a. Administrative proceedings before the Commission;
b. Injunctive actions brought by the Commission;
c. Other federal court cases to which the Commission is a party;
d. Litigation in which the Commission is participating as amicus
curiae;
e. Other cases involving issues of concern to the Commission,
including those brought by other law enforcement and regulatory
agencies and those brought by private parties.
Categories of records in the system:
Papers comprising or included in the record of the case, and briefs
and correspondence related to that action. May also include internal
memoranda and other documents pertaining to the matter being
litigated.
Authority for maintenance of the system:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., entrusts the
Commission with broad regulatory responsibilities over commodity
futures transactions. In this connection, the Commission is authorized
to bring both administrative proceedings and injunctive actions where
there appear to have been violations of the Act. Furthermore, to
effectuate the purposes of the Act, it is necessary that the
Commission staff be familiar with developments in others actions
brought by other which have implications in the commodity law areas.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in these files is generally a matter of public record
and may be disclosed without restriction. Also see introduction,
``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Alphabetically by caption of the case.
Safeguards:
General office security measures including secured rooms or premises
with access limited to those whose official duties require access.
Retention and disposal:
Maintained in the active files until the action is completed,
including final review at the appellate level. Thereafter, transferred
to the inactive case files, where a skeletal record of pleadings,
briefs, findings and opinions and other particularly relevant papers
may be maintained. These records are maintained on premises for five
years, then transferred to the Federal Records Center. Other materials
are generally destroyed except insofar as a copy of some of the
documents may be kept in precedent files for use in later legal
research or preparation of filings in other matters.
System manager(s) and address:
General Counsel, 2033 K Street, NW, Washington, DC 29581.
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
The court or regulatory authority before whom the action is pending,
the attorneys for one of the named parties, and miscellaneous sources.
CFTC-18
System name: Logbook on Speculative Limit Violations.
System location:
Commission's Chicago and New York regional offices. See introduction,
``The Location of Systems of Records.''
Categories of individuals covered by the system:
Individuals who have exceeded speculative limits in a particular
fiscal year.
Categories of records in the system:
A listing, by year, of the violations of speculative limits imposed by
the Commission and the exchanges. It includes the trader's assigned
code number, the commodity involved, the name of the trader, the type
of violation, the date of violation, the date the violation ceased,
and the action taken. Copies of warning letters and replies pertaining
to the violations listed are maintained with the logbook.
Authority for maintenance of the system:
Section 4i and 8 of the Commodity Exchange Act, 7 U.S.C. 6i and 12.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By fiscal year, and within each year by the name of the violator.
Safeguards:
General office security measures including secured rooms or premises
with access limited to those whose official duties require access.
Retention and disposal:
Maintained on the premises for 5 years, then held in Federal Records
Center for 15 years before being destroyed.
System manager(s) and address:
Chief, Surveillance Branch, 233 South Wacker Drive, 46th Floor,
Chicago, Illinois 60606; Chief, Surveillance Branch, One World Trade
Center, Suite 4747, New York 10048.
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Series 03 reports filed by traders. Correspondence prepared by the
Commission or by the individual or individual's representative.
CFTC-19
System name: Petitions and Rulings.
System location:
Complaints Section, Hearing Clerk's office, at 2000 L Street, NW,
Washington, DC 20036.
Categories of individuals covered by the system:
All persons named in an Application for Institution of a Proceeding
before the CFTC or its predecessors.
Categories of records in the system:
The application and supporting documentation of the person submitting
the application.
Authority for maintenance of the system:
These records are ancillary to the Commission's authority to institute
administrative proceedings. See also 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By number and application caption. Generally, the caption will be the
name of complainant and name of a firm, organization, or person
against whom the applicant complains.
Safeguards:
Access limited to the office where the record is maintained.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Hearing Clerk, Hearing Clerk's office, 2033 K 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, 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 FOI, Privacy and Sunshine Acts Compliance Staff,
Commodity Futures Trading Commission, 2033 K Street, NW, Washington,
DC 20581. Telephone (202) 254-3382.
Record source categories:
Persons submitting an Application for Institution of a proceeding.
CFTC-20
System name: Registration of Floor Brokers, Floor Traders,
Futures Commission Merchants, Introducing Brokers, Commodity
Trading Advisors, Commodity Pool Operators, Leverage Transaction
Merchants, and Associated Persons.
System location:
NFA, 200 West Madison Street, Suite 1400, Chicago, Illinois 60606. If
registration status as an associated person of a leverage transaction
merchant was inactive prior to January 1, 1986, or if registration
status in every other applicable capacity was inactive prior to
October 1, 1983: Division of Trading and Markets (see ``Retention and
Disposal,'' infra).
Categories of individuals covered by the system:
Persons who have applied to the CFTC or NFA, as applicable, for
registration as floor brokers, floor traders or as associated persons,
and principals (as defined in 17 CFR 3.1) of futures commission
merchants, introducing brokers, commodity trading advisors, commodity
pool operators, and leverage transaction merchants.
Categories of records in the system:
Information pertaining to the registration and fitness of the above-
described individuals to engage in business subject to the
Commission's jurisdiction. The system includes registration forms,
schedules and supplements; fingerprint cards; correspondence relating
to registration; and reports and memoranda reflecting information
developed from various sources outside the CFTC or NFA.
Computerized systems, consisting primarily of information taken from
the registration forms, are maintained by NFA. Computer records
include the name, date and place of birth, social security number
(optional), exchange trading privileges (floor brokers and floor
traders only), firm affiliation, and the residence or business
addresses, or both, of each associated person, floor broker, floor
trader and principal. Computer records also include information
relating to name, trade name, principal office address, records
address, names of principals and branch managers of futures commission
merchants, introducing brokers, commodity pool operators, commodity
trading advisors, and leverage transaction merchants; names of
advisory services for commodity trading advisors; and names of pools
for commodity pool operators.
Directories and microfiche records, when produced, list the name,
business address, and exchange membership affiliation of all
registered floor brokers and floor traders and the name and firm
affiliation of all associated persons and principals. These
directories and microfiche records, as well as registration forms and
biographical supplements, except for any confidential information on
supplementary attachments to the forms, are publicly available to any
person for disclosure, inspection and copying. Auxiliary records, such
as card indices which summarize information contained in this system
regarding each associated person, floor broker, floor trader and
principal, may also be maintained.
Authority for maintenance of the system:
Section 4f(1), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10), and 19 of
the Commodity Exchange Act, 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1),
12a(1), 12a(5), 12a(10), and 23 (1988), as amended by the Futures
Trading Practices Act of 1992, Pub. L. 102-546, 106 Stat. 3590.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses applicable to all of the Commission's systems of
records, including this system, were set forth under the caption,
``General Statement of Routine Uses,'' in 47 FR 43759, 43760-61
(October 4, 1982), and subsequently modified in 47 FR 44830, 44831
(October 12, 1982). In addition, information contained in this system
of records may be disclosed by the Commission as follows:
1. Information contained in this system of records may be disclosed to
any person with whom an applicant or registrant is or plans to be
associated as an associated person affiliated as a principal.
2. Information contained in this system of records may be disclosed to
any registered futures commission merchants with whom an applicant or
registered introducing broker has or plans to enter into a guarantee
agreement in accordance with Commission regulation 1.10 (17 CFR 1.10).
NFA may disclose information contained in those portions of this
system of records maintained by NFA, but any such disclosure must be
made in accordance with Commission-approved NFA rules and under
circumstances authorized by the Commission as consistent with the
Commission's regulations and routine uses. The currently authorized
circumstances are set forth in the Commission's September 28, 1984
Order authorizing NFA to perform certain Commission registration
functions, including the maintenance of Commission records, and are
published at 49 FR 39593, 39596 (October 9, 1984), except that Item 2b
therein was modified to eliminate the requirement of specific consent
by the applicant or registered introducing broker to the disclosure of
information to the futures commission merchant with whom it has or
plans to enter a guarantee agreement. 51 FR 25930, 25931 (July 17,
1986).
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,
index cards, microfiche.
Retrievability:
By the name of the individual or firm, or by assigned identification
number. Where applicable, the NFA's computer cross-indexes the
individual's file to the name of the futures commission merchant,
introducing broker, commodity trading advisor, commodity pool operator
or leverage transaction merchant with which the individual is
associated or affiliated.
Safeguards:
General office security measures including secured rooms or premises
and, in appropriate cases, lockable file cabinets with access limited
to persons whose official duties require access.
Retention and disposal:
Applications, biographical supplements, other forms, related documents
and correspondence are maintained on the CFTC's or NFA's premises, as
applicable, for three years after the individual's registration(s) or
affiliation(s) as a principal becomes inactive. Records are then
stored at an appropriate site for an additional seven years before
being destroyed; CFTC-held records are stored in the Federal Records
Center, and NFA-held records are to be stored either on NFA's premises
or in appropriate fireproof off-site facilities.
Computer records are maintained permanently on NFA's premises and are
updated periodically as long as the individual remains pending for
registration, registered in any capacity, or affiliated with any
registrant as a principal. Any computer printouts that are produced in
order to publish directories are maintained on the premises for six
months and then destroyed. Microfiche records, when produced, are
maintained permanently on the CFTC's or NFA's premises.
System manager(s) and address:
Assistant Director, Registration Unit, Division of Trading and
Markets, at the Commission's principal office, or his designee.
For records held by NFA: Vice President for Registration or the
Records Custodian, National Futures Association, 200 West Madison
Street, suite 1400, Chicago, Illinois 60606, or a designee.
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 inquiries to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581; telephone (202) 254-3382.
Record source categories:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state or local regulatory and law
enforcement agencies; commodities and securities exchanges, National
Futures Association and National Association of Securities Dealers;
and other miscellaneous sources. The computer records are prepared
from the forms, supplements, attachments and related documents
submitted to the Commission or NFA and from information developed
during the fitness inquiry.
CFTC-21
Removed--Incorporated into CFTC-20.
CFTC-22
Removed--Incorporated into CFTC-20.
CFTC-23
Removed--Incorporated into CFTC-20.
CFTC-24
Removed--Incorporated into CFTC-20.
CFTC-25
Removed.
CFTC-26
Removed--Incorporated into CFTC-14.
CFTC-27
Removed.
CFTC-28
System name: Exchange Disciplinary Action File.
System location:
Records in this system are maintained at the Commission's principal
and regional offices. See introduction, ``The Location of Systems of
Records.''
Categories of individuals covered by the system:
Persons who have been suspended, expelled, or disciplined, or denied
access to or by an exchange.
Categories of records in the system:
Letters of notification of disciplinary or other adverse action taken
by an exchange which include the name of the person against whom such
action was taken, the action taken and the reasons therefor.
Authority for maintenance of the system:
Section 8c(1)(B) of the Commodity Exchange Act, 7 U.S.C. 12c(1)(B).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Looseleaf binders.
Retrievability:
By chronological order according to the exchange which took the
disciplinary or other adverse action which is the subject of the
notice.
Safeguards:
General office security measures.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Assistant Director, Contract Markets Section, at 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street
NW, Washington, DC 20581. Telephone (202) 254-3382.
Record source categories:
Exchanges notifying the Commission of disciplinary or other adverse
actions taken.
CFTC-29
System name: Reparations Complaints.
System location:
Complaints Section, 2000 L Street, NW, Washington, DC 20036.
Categories of individuals covered by the system:
Individuals filing customer reparations complaints, as well as the
firms and individuals named in the complaints.
Categories of records in the system:
Reparation complaints, answers and correspondence filed with the
Complaints Section.
Authority for maintenance of the system:
Section 14 of the Commodity Exchange Act, 7 U.S.C. 18.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records are used in the conduct of the Commission's reparations
program. Also see introduction, ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By number and cross-indexed by the name of the complainant and
respondent.
Safeguards:
General office security including secured rooms or premises, and in
appropriate cases lockable file cabinets, with access limited to those
whose official duties require access.
Retention and disposal:
Maintained indefinitely, but when a case is forwarded to the Hearings
Section these records are included in the Commission's docket files.
System manager(s) and address:
Director, Complaints Section, 2033 K 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street,
NW, Washington, DC 20581. Telephone: (202) 254-3382.
Record source categories:
Persons filing reparation complaints or answers.
CFTC-30
System name: Open Commission Meetings.
System location:
Office of the Secretariat, Commodity Futures Trading Commission, 2033
K Street NW., Washington, DC 20581.
Categories of individuals covered by the system:
Persons who are the subject of discussion at a Commission meeting open
for public observation.
Categories of records in the system:
Information pertaining to the individuals who are the subject of
discussion at an open Commission meeting.
Authority for maintenance of the system:
Government in the Sunshine Act, 5 U.S.C. 552b(f), and Commission
regulations at 17 CFR 147.7.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in these files is a matter of public record and may be
disclosed without restriction. See also, the routine uses applicable
to many of the Commission's systems of records, including this system,
set forth under the caption, ``General Statement of Routine Uses,'' in
47 FR 43759, 43760-61 (October 4, 1982), and subsequently modified in
47 FR 44830, 44831 (October 12, 1982).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders or microfiche; audiocassette tapes.
Retrievability:
The indices to the recordings, transcripts, and minutes of all
Commission meetings are organized by year in chronological order. Each
yearly index is further indexed in alphabetical order according to
subject matter, including the names of individuals, firms, exchanges
or other topics, which are discussed at the meetings.
Safeguards:
General office security measures, with access limited to persons whose
official duties require access.
Retention and disposal:
Maintained on the premises for at least the statutory period required
by the Sunshine Act and Commission regulations (i.e., at least two
years after each meeting or at least one year after the conclusion of
any agency proceeding with respect to which the meeting or portion of
the meeting was held, whichever is later); then retired to the
National Archives or stored on the premises.
System manager(s) and address:
Jean A. Webb, Secretary of the Commission, Commodity Futures Trading
Commission, 2033 K 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 or records, should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 2033 K Street
NW, Washington, DC 20581; telephone (202) 254-3382.
Record source categories:
1. The information recorded during Commission meetings concerning
individuals who are the subject discussion at the meetings is
generated by the staff in one or more Divisions.
2. The indices are prepared from the recordings, transcripts and/or
minutes.
CFTC-31
System name: Exempted Closed Commission Meetings.
System location:
Office of the Secretariat, Commodity Futures Trading Commission, 2033
K Street NW, Washington, DC 20581.
Categories of individuals covered by the system:
Persons who are the subject of discussion at a closed Commission
meeting.
Categories of records in the system:
Information pertaining to individuals who are the subject of
discussion at a closed Commission meeting. This information consists
of (a) investigatory materials compiled for law enforcement purposes
whose disclosure the Commission has determined could impair the
effectiveness and orderly conduct of the Commission's regulatory,
enforcement and contract market surveillance programs or compromise
Commission investigations, or (b) investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for employment with the Commission to the extent that
it identifies a confidential source.
Authority for maintenance of the system:
Government in the Sunshine Act, 5 U.S.C. 552b(f), and Commission
regulations at 17 CFR 147.7.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses applicable to many of the Commission's systems of
records, including this system, were set forth under the caption,
``General Statement of Routine Uses,'' in 47 FR 43759, 43760-61
(October 4, 1982), and subsequently modified in 47 FR 44830, 44831
(October 12, 1982).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders or microfiche; audiocassette tapes.
Retrievability:
The indices to the recordings, transcripts, and minutes of all
Commission meetings are organized by year in chronological order. Each
yearly index is further indexed in alphabetical order according to
subject matter, including the names of individuals, firms, exchanges
or other topics, which are discussed at the meetings.
Safeguards:
General office security measures, with access limited to persons whose
official duties require access.
Retention and disposal:
Maintained on the premises for at least the statutory period required
by the Sunshine Act and Commission regulations (i.e., at least two
years after each meeting or at least one year after the conclusion of
any agency proceeding with respect to which the meeting or portion of
the meeting was held, whichever is later); then retired to the
National Archives or stored on the premises.
System manager(s) and address:
Jean A. Webb, Secretary of the Commission, Commodity Futures Trading
Commission, 2033 K Street NW, Washington, DC 20581.
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 and the Commission's rules promulgated
thereunder, 17 CFR 146.12. These records are exempt from the
noitification procedures, record access procedures, and record contest
procedures set forth in the system notices of other record systems,
and from the requirement that the source of records in the system be
described.
CFTC-32
System name: Office of the Inspector General Investigative Files.
System location:
Office of the Inspector General, Commodity Futures Trading Commission,
2033 K Street, NW, Washington, DC 20581.
Categories of records in the system:
All correspondence relevant to the investigation; all internal staff
memoranda, copies of all subpoenas issued during the investigation,
affidavits, statement from witnesses, transcripts of testimony taken
in the investigation and accompanying exhibits; documents and records
or copies obtained during the investigation; working papers of the
staff and other documents and records relating to the investigation;
and opening reports, progress reports and closing reports.
Authority for maintenance of the system:
Pub. L. 95-452, as amended, 5 U.S.C. app. 3.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) The information in the system 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 any member of the
Commission or its staff participates as a party or the Commission
participates as amicus curiae and may be made available to the extent
required by law in response to a subpoena issued in the course of a
proceeding to which the Commission is not a party.
(2) In any case in which records in the system indicate a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records may be referred to the appropriate agency, whether
Federal, foreign, state or local, charged with enforcing or
implementing the statute, regulation, rule or order.
(3) In any case in which records in the system indicate a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, the relevant records may be referred to the appropriate board
of trade designated as a contract market by the Commission or to the
appropriate futures association registered with the Commission, if the
OIG has reason to believe this will assist the contract market or
registered futures association in carrying out its self-regulatory
responsibilities under the Commodity Exchange Act, 7 U.S.C. 1 et seq.,
and regulations, rules or orders issued pursuant thereto, and such
records may also be referred to any national securities exchange or
national securities association registered with the Securities and
Exchange Commission, to assist those organizations in carrying out
their self-regulatory responsibilities under the Securities Exchange
Act of 1934, 15 U.S.C. 78a et seq., and regulations, rules or orders
issued pursuant thereto.
(4) The information may be given or shown to anyone during the course
of an OIG investigation if the staff has reason to believe that
disclosure to the person will further the investigation. Information
may also be disclosed to Federal, foreign, state or local authorities
in order to obtain information or records relevant to an OIG
investigation.
(5) The information may be given to independent auditors or other
private firms with which the OIG has contracted to carry out an
independent audit, or to collate, aggregate or otherwise refine data
collected in the system of records. These contractors will be required
to maintain Privacy Act safeguards with respect to such records.
(6) The information may be disclosed to a Federal, foreign, state or
local government agency where records in this system of records
pertain to an applicant for employment, or to a current employer of
that agency where the records are relevant and necessary to an agency
decision concerning the hiring or retention of an employee or
disciplinary or other administrative action concerning an employee.
(7) The information may be disclosed to a Federal, foreign, state, or
local government agency in response to its request in connection with
the issuance of a security clearance, the letting of a contract, or
the issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision in the matter.
(8) The information may be disclosed to the Department of Justice or
other counsel to the Commission for legal advice and also when the
defendant in litigation is: (a) Any component of the Commission or any
member or employee of the Commission in his or her official capacity;
or (b) the United States. The information may also be disclosed to
counsel for any Commission member or employee in litigation or
anticipating litigation in his or her individual capacity where the
Commission or the Department of Justice agrees to represent such
employee or authorizes representation by another.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders, computer diskettes and computer memory.
Retrievability:
By the name of the subject of the investigation or by assigned
identification number.
Safeguards:
The records are kept in limited access areas during duty hours and in
file cabinets in locked offices at all other times. These records are
available only to those persons whose official duties require such
access.
Retention and disposal:
The Office of the Inspector General Investigative Files are destroyed
ten years after the case is closed.
System manager(s) and address:
Inspector General, Office of the Inspector General, Commodity Futures
Trading Commission, 2033 K 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, should address written inquiries to the FOI,
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading
Commission, 2033 K Street, NW, Washington, DC 20581.
Record access procedures:
See Notification Procedure above.
Contesting record procedures:
See Notification Procedure above.
Record source categories:
Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the
Commission; records of other entities; federal, foreign, state or
local bodies and law enforcement agencies; documents, correspondence
relating to litigation, and transcripts of testimony; and
miscellaneous other sources.
System exemptions from certain provisions of the Privacy Act:
Under 5 U.S.C. 552a(j)(2), this system of records is exempted from 5
U.S.C. 552a except subsections (b), (c) (1), and (2), (e)(4) (A)
through (F), (e) (6), (7), (9), (10), and (11), and (i) to the extent
the system of records pertains to the enforcement of criminal laws,
and under 5 U.S.C. 552a(k)(2) is exempted from 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4) (G), (H), and (I) and (f) to the extent the system
of records consists of investigatory material compiled for law
enforcement purposes, other than material within the scope of the
exemption at 5 U.S.C. 552a(j)(2). These exemptions are contained at 17
CFR 146.13.
PRIVACY ACT RULES
COMMODITY FUTURES TRADING COMMISSION
Title 17-Commodity and Securities Exchange
Chapter I-Commodity Futures Trading Commission
PART 146--RECORDS MAINTAINED ON INDIVIDUALS
Sec.
146.1 Purpose and scope.
146.2 Definitions.
146.3 Requests by an individual for information or access.
146.4 Procedures for identifying the individual making the request.
146.5 Disclosure of requested information to individuals; fees for
copies of records.
146.6 Disclosure to third parties.
146.7 Content of systems of records.
146.8 Amendment of a record.
146.9 Appeals to the Commission.
146.10 Information supplied by the Commission when collecting
information from an individual.
146.11 Public notice of records systems.
146.12 Exemptions.
146.13 Inspector General exemptions.
Appendix A--Fees for copies of records requested under the Privacy Act
of 1974.
Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a); Sec. 101(a),
Pub. L. 93-463, 88 Stat. 1389 (7 U.S.C. 4a(j)).
Editorial note:For nomenclature changes to this part, see 45 FR 26954,
Apr. 22, 1980.
Source: 41 FR 3212, Jan. 21, 1976, unless otherwise noted.
Sec. 146.1 Purpose and scope.
(a) This Part contains the rules of the Commodity Futures Trading
Commission implementing the Privacy Act of 1974 (Pub. L. 93-579, 5
U.S.C. 552a). These rules apply to all records maintained by this
Commission which are not excepted or exempted as set forth in
Sec. 146.12, insofar as they contain personal information concerning an
individual, identify that individual by name or other symbol and are
contained in a system of records from which information is retrieved by
the individual's name or identifying symbol. Among the primary purposes
of these rules are to permit individuals to determine whether
information about them is contained in Commission files and, if so, to
obtain access to that information; to establish procedures whereby
individuals may have inaccurate and incomplete information corrected;
and, to restrict access by unauthorized persons to that information.
(b) In this part the Commission is also exempting certain Commission
systems of records from some of the provisions of the Privacy Act of
1974 that would otherwise be applicable to those systems. These
exemptions are authorized under the Privacy Act, 5 U.S.C. 552a(k).
Sec. 146.2 Definitions.
For purposes of this part 146--
(a) The term ``Commission'' means the Commodity Futures Trading
Commission;
(b) The term ``Executive Director'' refers to the executive level
staff official appointed pursuant to section 2(a)(5) of the Commodity
Exchange Act.
(c) The term ``FOI, Privacy and Sunshine Acts compliance staff, Office
of the Secretariat'' refers to the staff in the Office of the
Secretariat in the Commission's principal office in Washington, DC who
are assigned to respond to requests and handle various other matters
under the Freedom of Information Act, the Privacy Act of 1974 and the
Government in the Sunshine Act;
(d) The term ``individual'' means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(e) The term ``maintain'' includes maintain, collect, use, or
disseminate;
(f) The term ``record'' means any item, collection, or grouping of
information about an individual that is maintained by the Commission,
including but not limited to, his education, financial transactions, and
criminal or employment history and that contains his name, or the
identifying number, symbol, or other identifying particular assigned to
the individual;
(g) The term ``system of records'' means a group of any records under
the control of the Commission from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual;
(h) The term ``system notice'' means a notice of the existence and
character of the Commission's system of records published in the Federal
Register pursuant to Sec. 146.11(a) of these rules;
(i) The term ``routine use'' means, with respect to the disclosure of
a record, the use of that record for a purpose which is compatible with
the purpose for which it was collected;
(j) The term ``Freedom of Information Act'' encompasses both the
Freedom of Information Act, as amended, 5 U.S.C. 552, and the
Commission's rules contained in part 145 of this title.
(k) The term ``agency'' means any executive department, military
department, Government corporation, Government controlled corporation or
other establishment in the Executive branch of the Government or any
independent regulatory agency.
[41 FR 3212, Jan.21,1976, as amended at 45 FR 26954, Apr. 22,1980]
Sec. 146.3 Requests by an individual for information or access.
(a) Any individual may request information on whether a system of
records maintained by the Commission contains any information pertaining
to him, or may request access to his record or to any information
pertaining to him which is contained in a system of records. All
requests shall be directed to the FOI, Privacy and Sunshine Acts
Compliance Staff, Office of the Secretariat, Commodity Futures Trading
Commission, 2033 K Street, NW, Washington, DC 20581.
(b) A request for information or for access to records under this Part
may be made by mail or in person. The request shall (1) be in writing
and signed by the individual making the request; (2) include the full
name (including the middle name) of the individual seeking the
information or record, his home address and telephone number, his
business address and telephone number; and (3) if he is or ever has been
registered with the Commission or its predecessor agency, or associated
with a firm so registered as a partner, officer or director or 10%
shareholder, state in what capacity he is or was registered.
(c) For each system of records from which information is sought, the
request shall (1) specify the title and identifying number for that
system as it appears in the system notice published by the Commission;
(2) provide additional identifying information, if any, specified in the
system notice; (3) describe the specific information or kind of
information sought within that system of records; and (4) set forth any
special arrangements sought concerning the time, place, or form of
access. A description of the information contained in a system notice
and instructions on how to obtain copies of the Commission's system
notices appear in Sec. 146.11(b).
(d) The Commission will respond in writing to a request made under
this section within ten days (excluding Saturdays, Sundays and legal
public holidays) after receipt of the request. If a definitive reply
cannot be given within ten days, the request will be acknowledged and an
explanation will be given of the status of the request.
(e) When an individual has requested access to records, available to
him under these rules, he will either be notified in writing of where
and when he may obtain access to the records requested or be given the
name, address and telephone number of the member of the Commission staff
with whom he should communicate to make further arrangements for access.
[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976]
Sec. 146.4 Procedures for identifying the individual making the
request.
When a request for information or for access to records has been made
pursuant to Sec. 146.3, before information is given or access is granted
pursuant to Sec. 146.5 of these rules the Commission shall require
reasonable identification of the person making the request to insure
that information is given and records are disclosed only to the proper
person.
(a) An individual may establish his identity by--
(1) Submitting with his request for information or for access a
photocopy of two pieces of identification bearing his name and
signature, one of which shall bear his current home or business address;
or
(2) Appearing at any office of the Commission (located at the
addresses set forth in Sec. 145.6 of these rules) during the regular
working hours for that office and presenting either--
(i) One piece of identification containing a photograph and signature,
such as a drivers license or passport or
(ii) Two pieces of identification bearing his name and signature, one
of which shall bear his current home or business address; or
(3) Providing such other proof of identity as the Commission deems
satisfactory in the circumstances of a particular request.
(b) If the Executive Director or other designated Commission official
determines that the data in a requested record is so sensitive that
unauthorized access could cause harm or embarrassment to the person
whose record is involved, or if the person making the request is unable
to produce satisfactory evidence of identity under paragraph (a) of this
section, the individual making the request may be required to submit a
notarized statement attesting to his identity and that he is familiar
with and understands the criminal penalties provided under section 1001
of Title 18 of the United States Code for making false statements to a
Government agency and under the Privacy Act, section 552a(i)(3) of Title
5 of the United States Code, for obtaining records under false
pretenses. Copies of these statutory provisions and forms for such
notarized statements may be attained upon request from the FOI, Privacy
and Sunshine Acts Compliance Staff, Office of the Secretariat, Commodity
Futures Trading Commission, 2033 K Street, NW., Washington, DC 20581.
(c) The parent or guardian of a minor or a person judicially
determined to be incompetent, in addition to establishing the identity
of the person he represents as described in the previous paragraphs of
this section, shall establish his own identity and his parentage or
guardianship by furnishing a copy of a birth certificate showing
parentage or a court order establishing the guardianship.
(d) Nothing in this section shall preclude the Commission from
requiring additional identification before granting access to the
records if there is reason to believe that the person making the request
may not be the individual to whom the record pertains, or where the
sensitivity of the data warrants it.
(e) The requirements of this section shall not apply if the records
involved would be available to any person pursuant to the Commission's
rules under the Freedom of Information Act as set forth in part 145 of
this chapter.
[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976]
Sec. 146.5 Disclosure of requested information to individuals; fee
for copies of records.
(a) Any individual who has requested access to his record or to any
information pertaining to him in the manner prescribed in Sec. 146.3,
and has identified himself as prescribed in Sec. 146.4, shall be
permitted to review the record and have a copy made of all or any
portion thereof in a form comprehensible to him, subject to fees for
copying services set forth in appendix A to this part. Upon his request
persons of his own choosing may accompany him, but the individual shall
first furnish a written statement authorizing discussion of that
individual's record in the accompany persons' presence.
(b) Access will generally be granted in the office of the Commission
where the records are maintained during normal business hours, but for
good cause shown the Commission may grant access at another office of
the Commission or at different times for the convenience of the
individual making the request.
(c) Where a document containing information about an individual also
contains information not pertaining to him, the portion not pertaining
to the individual shall not be disclosed to him except to the extent the
information is available to any person under the Freedom of Information
Act. If the records sought cannot be provided for review and copying in
a meaningful form, the Commission shall provide to the individual a
report of the information concerning the individual contained in the
record or records which shall be complete and accurate in all material
aspects.
(d) Where the disclosure involves medical records, the records may be
provided only to a physician designated in writing by the individual.
(e) Requests for copies of documents may be directed to the FOI,
Privacy and Sunshine Acts Compliance Staff, Office of the Secretariat or
to the member of the Commission's staff through whom arrangements for
access were made.
(f) Fees for copies of records shall be charged as set forth in the
schedule of fees contained in appendix A to this part. Copies of the
schedule may be obtained upon request from the FOI, Privacy and Sunshine
Acts Compliance Staff, Office of the Secretariat, Commodity Futures
Trading Commission, 2033 K Street, NW, Washington, DC 20581. Payment
should be made by check or money order payable to the Commodity Futures
Trading Commission. Advance payment of all or part of the fee may be
required at the discretion of the Commission, but generally this will
not be required for requests where the anticipated fee is less than $25.
(g) Nothing in this section or in Sec. 146.3 shall:
(1) Require the disclosure of investigative records exempted under
Sec. 146.12 of these rules;
(2) Allow an individual access to any information compiled in
reasonable anticipation of a civil action, administrative proceeding or
a criminal proceeding;
(3) Require the furnishing of information or records which cannot be
retrieved by the name or other identifier of the individual making the
request.
[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45
FR 26954, Apr. 22, 1980]
Sec. 146.6 Disclosure to third parties.
(a) The Commission shall not disclose to any agency or to any person
by any means of communication a record pertaining to an individual which
is contained in a system of records, except under the following
circumstances:
(1) The individual to whom the record pertains has given his written
consent to the disclosure;
(2) The disclosure is to officers and employees of the Commission who
need it in the performance of their duties;
(3) Disclosure is required under the Freedom of Information Act (5
U.S.C. 552);
(4) Disclosure is for a routine use as defined in Sec. 146.2(g) and
described in the system notice for that system of records;
(5) The disclosure is made to the Bureau of the Census for purposes of
planning or carrying out a census or survey or related activity;
(6) The disclosure is made to a recipient who has provided the agency
with advance adequate written assurance that the record will be used
solely as a statistical research or reporting record, and the record is
to be transferred in a form that is not individually identifiable;
(7) The disclosure is made to another agency or to an instrumentality
of any Governmental jurisdiction within or under the control of the
United States for a civil or criminal law enforcement activity if the
activity is authorized by law and if the head of the agency or
instrumentality has made a written request to the Commission specifying
the particular portion desired and the law enforcement activity for
which the record is sought;
(8) The disclosure is made to a person pursuant to a showing of
compelling circumstances affecting the health or safety of an individual
if upon such disclosure notification is transmitted to the last known
address of such individual;
(9) The disclosure is made to either House of Congress, or, to the
extent of matter within its jurisdiction, any committee or subcommittee
thereof, any joint committee of Congress or subcommittee of any such
joint committee;
(10) The disclosure is made to the Comptroller General, or any of his
authorized representatives, in the course of the performance of the
duties of the General Accounting Office; or
(11) The disclosure is pursuant to the order of a court of competent
jurisdiction.
(b) The Commission will make reasonable efforts to serve notice on an
individual when any record on such individual is made available to any
person under compulsory legal process when such process becomes a matter
of public record.
(c) The Commission, with respect to each system of records under its
control, shall keep an accurate accounting of certain disclosures.
(1) A record shall be kept of all disclosures made under paragraph (a)
of Sec. 146.6, except disclosures made with the consent of the
individual to whom the record pertains (paragraph (a)(1) of this
section), disclosures to authorized employees (paragraph (a)(2) of this
section) and disclosures required under the Freedom of Information Act
(paragraph (a)(3) of this section).
(2) The record shall include:
(i) The date, nature, and purpose of each disclosure of a record made
to any person or to another agency;
(ii) The name and address of the person or agency to whom the
disclosure was made.
(3) The accounting will be retained for at least five years or the
life of the record, whichever is longer, after the disclosure for which
the accounting is made.
(d) The accounting described in paragraph (c) of this section will be
made available to the individual named in the record upon his written
request, directed to the FOI, Privacy and Sunshine Acts Compliance
Staff, Office of the Secretariat, Commodity Futures Trading Commission,
2033 K Street, NW, Washington, DC 20581, except that the accounting will
not be revealed with respect to disclosures made under paragraph (a)(7)
of this section pertaining to law enforcement activity, and to
disclosures involving systems of investigative records exempted under
Sec. 146.12 of these rules.
(e) Whenever an amendment or correction of a record or a notation of
dispute concerning the accuracy of records is made by the Commission in
accordance with Sec. Sec. 146.8 and 146.9 of these rules, the Commission
will inform any person or other agency to whom the record was previously
disclosed, if an accounting of the disclosure was made pursuant to the
requirements of paragraph (c) of this section.
[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976]
Sec. 146.7 Content of systems of records.
(a) The Commission will maintain in its records only such information
about an individual as is relevant and necessary to accomplish the
purposes of the Commodity Exchange Act and other purposes required to be
accomplished by statute or by executive order of the President.
(b) The Commission will maintain no record describing how any
individual exercises rights guaranteed by the First Amendment unless
expressly authorized by statute or by the individual about whom the
record is maintained or unless pertinent to and within the scope of an
authorized law enforcement activity.
(c) The Commission will collect information to the greatest extent
practicable directly from the subject individual when the information
may result in adverse determinations about an individual's rights,
benefits, and privileges under Federal programs.
(d) The Commission will maintain all records which are used by the
Commission in making any determination about any individual with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in the determination.
Sec. 146.8 Amendment of a record.
(a) Any individual may request amendment of information pertaining to
him which is contained in a system of records maintained by the
Commission and which is filed under his name or other individual
identifier if he believes the information is not accurate, relevant,
timely or complete. A request for amendment shall be directed to the
FOI, Privacy and Sunshine Acts compliance staff, Office of the
Secretariat, Commodity Futures Trading Commission, 2033 K Street, NW,
Washington, DC 20581.
(b) A request for amendment may be made by mail or in person and
shall: (1) Be in writing and signed by the person making the request;
(2) describe the particular record to be amended with sufficient
specificity to permit the record to be located among those maintained by
the Commission; and (3) specify the nature of the amendment sought and
the justification for the requested change. The person making the
request may be required to provide the information specified in
Sec. 146.3 and Sec. 146.4 of these rules in order to simplify
identification of the record and permit verification of the identity of
the person making the request for amendment.
(c) Receipt of a request for amendment will be acknowledged in writing
within ten days (excluding Saturdays, Sundays, and legal public
holidays) except that, if the individual is given notice within the ten
day period that his request will or will not be complied with, no
acknowledgement is required.
(d) Assistance in preparing a request to amend a record may be
obtained from the FOI, Privacy and Sunshine Acts compliance staff,
Office of the Secretariat, Commodity Futures Trading Commission, 2033 K
Street, NW, Washington, DC 20581.
(e) Upon receipt of a request for amendment the Executive Director of
the Commission or a person designated by the Executive Director shall
promptly determine whether the record is materially inaccurate,
incomplete, misleading, or is irrelevant or not timely, as claimed by
the individual, and, if so, shall cause the record to be amended in
accordance with the individual's request.
(f) If the Executive Director or designee grants the request to amend
the record, the individual shall promptly be advised of the decision and
of the action taken, and notice shall be given of the correction and its
substance to each person or agency to whom the record had previously
been disclosed, as shown on the record of disclosures maintained in
accordance with Sec. 146.6(c).
(g) If the Executive Director or designee disagrees in whole or in
part with a request for amendment of a record, the individual shall
promptly be notified of the complete or partial denial of his request
and the reasons for the refusal. The individual shall also be notified
of the procedures for administrative review by the Commission of any
complete or partial denial of a request for amendment, which are set
forth in Sec. 146.9.
(h) If a request is received for amendment of a record prepared by
another agency which is in the possession or control of the Commission,
the request for amendment will be forwarded to that agency. If that
agency determines that the correction should be made, the Commission
will amend its records accordingly and notify the individual making the
request for amendment of the change. If the other agency declines to
make the amendment, the Executive Director or designee will
independently determine whether the amendment will be made to the record
in the Commission's possession or control, considering any explanation
given by the other agency for its decision.
[41 FR 3211, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976]
Sec. 146.9 Appeals to the Commission.
(a) Any individual may petition the Commission:
(1) To review a refusal to comply with an individual request for
access to records pursuant to the Privacy Act, 5 U.S.C. 552a(d)(1), and
Sec. Sec. 146.3 and 146.5 of the rules in this part;
(2) To review denial of a request for amendment made pursuant to
Sec. 146.8;
(3) To correct any determination that may have been made adverse to
the individual based in whole or in part upon inaccurate, irrelevant,
untimely or incomplete information;
(4) To correct a failure to comply with any other provision of the
Privacy Act, 5 U.S.C. 552a, and the rules of this part 146, which has
had an adverse effect on the individual.
(b) The petition to the Commission shall be in writing and shall (1)
state in what manner it is claimed the Commission or any Commission
employee has failed or refused to comply with provisions of the Privacy
Act or of the rules contained in this part 146, and (2) set forth the
corrective action the petitioner wishes the Commission to take. The
petitioner may, if he wishes, state such facts and cite such legal or
other authorities as he considers appropriate.
(c) The petition shall be directed to the FOI, Privacy and Sunshine
Acts Compliance Staff, Office of the Secretariat, Commodity Futures
Trading Commission, 2033 K Street, NW, Washington, DC 20581.
(d) The Commission will make a determination of any petition filed
pursuant to this Sec. 146.9 within thirty days (excluding Saturdays,
Sundays and legal public holidays) after receipt by the FOI, Privacy and
Sunshine Acts Compliance Staff, Office of the Secretariat of the
petition, unless for good cause shown, the Commission extends the 30-day
period. If a petition is denied, the Commission will notify the
petitioner in writing and state the reasons therefor.
(e) Where the petition is made for review of a denial of a request for
amendment made pursuant to Sec. 146.8, the following additional
procedures shall apply:
(1) If upon review the Commission grants the petition to amend the
record, notice of the correction and its substance shall be given to
each person or agency to whom the record had previously been disclosed,
as shown on the record of disclosures maintained in accordance with
Sec. 146.6(c) of these rules.
(2) If upon review the initial denial of the request for amendment is
upheld in whole or in part, the individual shall be notified of the
provisions for judicial review of that determination which are set forth
in Section 552a(g)(1)(A) and (2)(A), of Title 5 of the United States
Code and the provisions for disputed records set forth in paragraph
(e)(3) of this section.
(3) If after review the Commission has declined to amend the records
as the individual has requested, the individual may file with the FOI,
Privacy and Sunshine Acts Compliance Staff, Office of the Secretariat a
concise statement setting forth why he disagrees with the Commission's
denial of his request. Any subsequent disclosure containing information
about which a statement of disagreement has been filed shall clearly
note the portion which is disputed, and include a copy of the
individual's statement. The Commission may also include a copy of a
concise statement explaining its reasons for not making the amendments
requested.
(f) The General Counsel or his or her designeee is hereby delegated
the authority to act for the Commission in deciding appeals under this
section. The General Counsel may, in his or her sole and unfettered
discretion refer such appeals to the Commission for decision.
[41 FR 3211, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45
FR 26954, Apr.22,1980; 51 FR 26874, July 28, 1986]
Sec. 146.10 Information supplied by the Commission when collecting
information from an individual.
The Commission will inform each individual whom it asks to supply
information, on the form which it uses to collect the information or on
a separate form that can be retained by the individual of--
(a) The authority (whether granted by statute, or by executive order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(b) The principal purpose or purposes for which the information is
intended to be used;
(c) The routine uses which may be made of the information, as
published in the Federal Register; and
(d) The effects on him, if any, of not providing all or any part of
the requested information.
Sec. 146.11 Public notice of records systems.
(a) The Commission will publish in the Federal Register at least
annually a notice of existence and character of each of its systems of
records, which notice shall include--
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) Each routine use of the records contained in the system, including
the categories of users and the purpose of such use;
(5) The policies and practices of the Commission regarding storage,
retrievability, access controls, retention, and disposal of the records;
(6) The title and business address of the Commission official who is
responsible for the system of records;
(7) The procedures whereby an individual can be notified at his
request if the system of records contains a record pertaining to him;
(8) The procedures whereby an individual can be notified at his
request how he can gain access to any record pertaining to him contained
in the system of records, and how he can contest its contents; and
(9) The categories of sources of records in the system.
(b) Copies of the notices as printed in the Federal Register will be
available in each office of the Commission. Locations of Commission
offices are listed in Sec. 145.6. Mail requests shall be directed to the
FOI, Privacy and Sunshine Acts Compliance Staff, Office of the
Secretariat, Commodity Futures Trading Commission, 2033 K Street, NW,
Washington, DC 20581. The first copy will be furnished free of charge. A
charge will be made for each additional copy.
[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45
FR 26955, Apr. 22,1980]
Sec. 146.12 Exemptions.
(a) Investigatory materials compiled for law enforcement purposes are
exempt from portions of the Privacy Act of 1974 and of these rules as
set forth in paragraph (c) of this section, on the basis and to the
extent that individual access to these files could impair the
effectiveness and orderly conduct of the Commission's regulatory and
enforcement program. Materials exempted under this paragraph are
contained in the system of records entitled ``Exempted Investigatory
Records'' and/or in the system of records entitled ``Exempted Closed
Commission Meetings.'' Notwithstanding the foregoing, however, no record
which has served as a basis for denying an individual a right,
privilege, or benefit to which he would otherwise be eligible, shall be
maintained in this system, unless the disclosure of such material would
reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to the effective date of this
section, under an implied promise that the identity of the source would
be held in confidence. For records of this type, if practicable,
material identifying the confidential source shall be extracted or
summarized in a manner which protects the source and the summary or
extract shall be maintained in a comparable nonexempted system of
records.
(b) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for employment
with the Commission are exempt from portions of the Privacy Act of 1974
and of these rules as set forth in paragraph (c) of this section, to the
extent that it identifies a confidential source. This is done in order
to encourage persons from whom information is sought to provide
information to the Commission which, absent assurances of
confidentiality, they would be unwilling to give. However, if
practicable, material identifying a confidential source shall be
extracted or summarized in a manner which protects the source and the
summary or extract shall be maintained in a non-exempt system containing
the same category of record. Materials exempted under this paragraph are
included in the system of records entitled ``Exempted Employee
Background Investigation Material'' and/or in the system of records
entitled ''Exempted Closed Commission Meetings.''
(c) The systems set forth in paragraphs (a) and (b) of this section
are hereby exempted from the provisions of Sections 552a(c), (3)(d),
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of Title 5 of the United
States Code (the Privacy Act of 1974), and are also exempted from the
following sections of these rules: Sec. 146.3 (Requests for information
and for access); Sec. 146.5 (Access to records); Sec. 146.6(d)
(Accounting of disclosures to be made available to the individual);
Sec. 146.11(a) (7), (8), (9) (Content of the system notice); and
Sec. 146.7(a) (Relevancy of records).
[41 FR 3212, Jan. 21, 1976, as amended at 53 FR 35198, Sept. 12, 1988]
Sec. 146.13 Inspector General exemptions.
(a) Pursuant to section (j) of the Privacy Act of 1974, the Commission
has deemed it necessary to adopt the following exemptions to specified
provisions of the Privacy Act:
(1) Pursuant to, and limited by 5 U.S.C. 552a(j)(2), the system of
records maintained by the Office of the Inspector General of the
Commission entitled ``Office of the Inspector General Investigative
Files,'' shall be exempted from the provisions of 5 U.S.C. 552a (except
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), and (11), and (i)) and from 17 CFR 146.3, 146.4, 146.5,
146.6(b), (d) and (e), 146.7(a), (c) and (d), 146.8, 146.9, 146.10,
146.11(a)(7, (8) and (9), insofar as the system contains information
pertaining to criminal law enforcement investigations.
(b) Pursuant to section (k) of the Privacy Act of 1974, the Commission
has deemed it necessary to adopt the folowing exemptions to specified
provisions of the Privacy Act:
(1) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the system of
records maintained by the Office of the Inspector General of the
Commission entitled ``Office of the Inspector General Investigative
Files,'' shall be exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f) and from 17 CFR 146.3, 146.4, 146.5,
146.6(d), 146.7(a), 146.8, 146.9, 146.11(a)(7), (8) and (9), insofar as
it contains investigatory materials compiled for law enforcement
purposes.
[57 FR 4364, Feb. 5, 1992]
Appendix A--Fees for Copies of Records Requested Under the Privacy Act
of 1974
a. The following schedule of fees shall apply to copies of records
requested by individuals pursuant to the Privacy Act of 1974, 5 U.S.C.
552a and Sec. 146.5(f).
(1) For requests for copies of documents the charge will be 15 center
per page.
(2) For materials other than paper records, including computer and
cassette tapes, the direct cost of the materials, and if required, time
spent by clerical personnel copying the materials shall be charged.
Persons making the request shall be notified of the amount of the charge
and shall give specific approval before the request is processed.
(3) For certifying that requested records are true copies, the fee
will be $3.00 per certification in addition to other fees, is any.
(4) Upon request, records will be mailed by means of an overnight/
express service at the fee of $10.00 per unit mailed.
(5) The Commission may, upon application by the individual, furnish
any records without charge or at a reduced rate, if it determine that
such waiver or reduction of fee is in the public interest.
b. Requests for copies of documents shall be addressed to FOI, Privacy
and Sunshine Acts compliance staff, Office of Secretariat, Commodity
Futures Trading Commission, 2033 K Streets, NW, Washington, DC 20581.
c. Payment must be made by check or money order payable to the
Commodity Futures Trading Commission. Payment should be made by check or
money order payable to the Commodity Futures Trading Commission.
d. Advance payment of all or part of the fee may be required at the
discretion of the Commission. Generally, advance payment will not be
required where the anticipated fee is less than $25.
[41 FR 3212, Jan. 21, 1976, as amended at 45 FR 26955, Apr. 22, 1980; 48
FR 46011, Oct. 11, 1983; 48 FR 55280, Dec. 12, 1983; 49 FR 12684, Mar.
30, 1984]