[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
COMMODITY FUTURES TRADING COMMISSION
Content of Systems Notices
Each of the notices 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. The routine uses of records maintained in the system,
including the categories of users and the purposes of such uses;
7. The policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system;
8. The title and business address of the system manager, 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 him,
how he may gain access to any record pertaining to him contained in
the system of records, and how he can contest the content of the
records; and
10. The categories of sources of records in the system.
The following four systems of records have been exempted as set
forth in the descriptions of these systems of records from certain
requirements of the Privacy Act, as authorized under 5 U.S.C.
552a(k):
CFTC-9 Confidential information obtained during employee
background investigations.
CFTC-10 Investigatory material compiled for law enforcement
purposes.
CFTC 31 Information pertaining to individuals discussed at
closed Commission meetings.
CFTC 32 Investigatory materials compiled by the Office of the
Inspector General.
The Location of Systems of Records
The eighth item described above calls for the address of the
Commission office involved. The Commission offices are in the
following locations:
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC
20581, Telephone: (202) 418-5000.
300 Riverside Plaza, Suite 1600 North, Chicago, Illinois 60606,
Telephone: (312) 353-5990.
4900 Main Street, Suite 721, Kansas City, Missouri 64112,
Telephone: (816) 931-7600.
One World Trade Center, Suite 3747, New York, New York 10048,
Telephone: (212) 466-2061.
Murdock Plaza, 10900 Wilshire Blvd, Suite 400, Los Angeles,
California 90024, Telephone: (310) 235-6783.
510 Grain Exchange Building, Minneapolis, Minnesota 55415,
Telephone: (612) 370-3255.
Where multiple locations are involved in a system notice, rather
than listing each address the notice merely identifies the offices
and refers to this introductory section for each address. The
Commission's headquarters office is in Washington, DC, and is
referred to in the systems notice as the ``principal office.'' The
Commission maintains regional offices in Chicago and New York and
smaller offices in Kansas City, Minneapolis and Los Angeles. For
purposes of this notice, the regional offices and smaller offices are
referred to collectively as the ``regional offices.'' ``All CFTC
offices'' means the headquarters office, the regional offices and the
smaller offices.
In many cases, records within a system will not all 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 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 and also in the Washington, DC headquarters office,
although information in computer printout form may be available in
any office.
Of course, it will be the Commission's 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 the requester 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. 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 National Futures Association's
computer system 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 the definition of system
of records in the Privacy Act, 5 U.S.C. 552(a)(5), and Sec. 146.2(g)
of the Commission's Privacy Act rules, 17 CFR 148.2(g).
Such a capability would generally not exist, however, in a
Commission staff investigation of the activities of the futures
commission merchant (FCM), except in the rare instance when an
individual is registered as an FCM. Thus, if the investigation was
opened under the name of the FCM, information would be retrievable
only under that name. Accordingly, information about principals of a
firm under investigation that might be developed during the
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.
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.
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 that 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 its staff
participates as a party or the Commission participates as amicus
curiae.
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 if the Commission has reason
to believe this will assist the contract market in carrying out its
responsibilities under the Commodity Exchange Act, 7 U.S.C. 1, et
seq., and 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, or a grant or other benefit by the requesting
agency, to the extent that the information may be relevant to the
requesting agency's decision on the matter.
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. For
further information contact: Freedom of Information Act (FOIA),
Privacy Act and Government in the Sunshine Act Compliance Staff,
Office of the Secretariat, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW, Fourth Floor,
Washington, DC 20581, (202) 418-5105.
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/Payroll Records
CFTC-6 Employee Travel Records
CFTC-7 Deleted-Incorporated in CFTC-4 and CFTC-6
CFTC-8 Employment Applications
CFTC-9 Exempted Employee Background Investigation Material
CFTC-10 Exempted Investigation Records
CFTC-11 Deleted-Incorporated in CFTC-20 and CFTC-22
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 Deleted-Incorporated in CFTC-29
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 Deleted-Incorporated in CFTC-20
CFTC-22 Deleted-Incorporated in CFTC-20
CFTC-23 Deleted-Incorporated in CFTC-20
CFTC-24 Deleted-Incorporated in CFTC-20
CFTC-25 Deleted
CFTC-26 Deleted-Incorporated in CFTC-14
CFTC-27 Deleted
CFTC-28 SRO 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-33 Electronic Key Card Usage
CFTC-34 Telephone System
CFTC-35 Interoffice and Internet E-Mail
CFTC-36 Internet Web Site and News Group Browsing System
CFTC-37 Lexis/Westlaw Billing Information System
CFTC-38 Automated Library Circulation System
CFTC-1
System name:
Matter Register and Matter Indices.
System location:
This system is located in the Division of Enforcement in the
Commission's principal office and regional offices. See ``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, 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 ``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, loose-leaf binders, computer
memory, computer printouts, and index cards.
Retrievability:
By name of investigation.
Safeguards:
General building security. In appropriate cases, the records are
maintained in lockable file cabinets.
Retention and disposal:
The records are destroyed when no longer needed.
System manager(s) and address:
Director, Division of Enforcement in the Commission's principal
office and Regional Counsel in New York, Chicago and Los Angeles. See
``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, 1155 21st
Street, NW., Washington, DC 20581. Telephone (202) 418-5105.
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:
This system is located in the Commission's principal offices at
1155 21st 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 that are
part of a general correspondence file maintained by the office
involved. It includes correspondence indexed by subject matter, date
or assigned number and, in certain offices, by individual name of the
correspondent.
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 ``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 loose-leaf binders, on index
cards, computer memory and printouts, and related indices on magnetic
disk.
Retrievability:
By name of correspondent, subject matter, date or assigned
number. The name 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:
Office of the Secretariat; Director, Office of Public Affairs;
Director, Office of Legislative and Intergovernmental Affairs;
Executive Director; General Counsel; Director, Division of
Enforcement; Director, Division of Trading and Markets; and,
Director, Division of Economic Analysis. All are located at 1155 21st
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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105. 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:
This system is located in the Office of Proceedings, Proceedings
Clerk's Office, Commodity Futures Trading Commission, 1155 21st
Street, NW., Fourth Floor, Washington, DC.
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 that are part of the record of
an administrative or reparations 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:
These records are public records unless the Commission or
assigned presiding officer determines for good cause to treat them as
nonpublic records consistent with the provisions of the Freedom of
Information Act. Nonpublic portions may be used for any purpose
specifically authorized by the Commission or by the presiding officer
who ordered such nonpublic treatment of the records.
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, and microfiche.
Retrievability:
By the docket number and cross-indexed by complainant and
respondent names.
Safeguards:
Only items that the Commission or the presiding officer has
directed be kept nonpublic are segregated. Precautions are taken as
to these items to assure that access is restricted to authorized
personnel only.
Retention and disposal:
Maintained in the Office of Proceedings with the presiding
officer until disposition by the presiding officer, and then the
entire record of the proceeding is forwarded to the Proceedings
Clerk's office for maintenance.
System manager(s) and address:
Proceedings Clerk, Office of Proceedings, 1155 21st Street, NW.,
Fourth Floor, 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 contesting the content of records about
themselves contained in this system of records should address written
inquiry to the FOI, Privacy and Sunshine Acts Compliance Staff,
Commodity Futures Trading Commission, 1155 21st Street, NW.,
Washington, DC 20581. Telephone (202) 418-5105.
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:
The information in the system is kept in the CFTC offices in
which the employee described by the records is located. Information
is also kept centrally on the computer system located in the
Department of Agriculture's National Finance Center, New Orleans,
Louisiana.
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, as well as the allocation of employee time to
designated budget account codes.
Authority for maintenance of the system:
5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 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:
Hard copies of time and attendance worksheets, leave request
slips and signed printouts; diskettes; mainframe computer (NFC).
Retrievability:
By the name of the employee or by the employee number, cross-
indexed by name.
Safeguards:
Lock boxes and/or locked file drawers. Password required for
access to diskettes and NFC computer system.
Retention and disposal:
Hard copy records, including leave slips, signed printouts from
the PC-TARE system, overtime approval slips and budget account code
worksheets are retained for six years, then destroyed. Diskettes are
written over on a 12 month rotating cycle.
System manager(s) and address:
Office of Human Resources, 1155 21st 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
The individual on whom the record is maintained.
CFTC-5
System name:
Employee Personnel/Payroll Records.
System location:
This system is located in the Office of Human Resources at 1155
21st Street, NW., Washington, DC 20581.
Categories of individuals covered by the system:
All CFTC employees.
Categories of records in the system:
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, 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.
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 bonds and charity deductions, mailing addresses
and home addresses, and copies of the CFTC time and attendance
reports as well as authorities relating to deductions.
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. Awards information; and e.
Training information.
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.
c. Certain information will be provided, as required by law, to
the Office of Child Support Enforcement, Administration for Children
and Families, Department of Health and Human Services Federal Parent
Locator System (FPLS) and Federal Tax Offset System to enable state
jurisdictions to locate individuals and identify their income sources
to establish paternity, establish and modify orders of support, and
for enforcement action.
d. Certain information will be provided, as required by law, to
the Office of Child Support Enforcement for release to the Social
Security Administration for verifying social security numbers in
connection with the operation of the FPLS by the Office of Child
Support Enforcement.
e. Certain information will be provided, as required by law, to
the Office of Child Support Enforcement for release to the Department
of Treasury for purposes of administering the Earned Income Tax
Credit Program (Section 32, Internal Revenue Code of 1986) and
verifying a claim with respect to employment in a tax return.
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
printouts.
Retrievability:
By the name or social security number of the employee.
Safeguards:
Lockable cabinets for paper records. Computer records accessible
through password protected security system.
Retention and disposal:
Maintained according to retention schedules prescribed by NARA
for each type of personnel/payroll record.
System manager(s) and address:
Office of Human Resources, 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 ``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, 1155 21st
Street, NW., Washington, DC 20581. Telephone (202) 418-5105.
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:
This system is located in the Commission's office at 1155 21st
Street, NW, Washington, DC.
Categories of individuals covered by the system:
Any Commission member, employee, witness, expert, advisory
committee member or non-CFTC employee traveling 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, miscellaneous claims, 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:
5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purpose 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, computer memory and computer
printout.
Retrievability:
By the name of the Commission member, employee witness, expert,
advisory committee member or CFTC employee traveling on official
business for the Commission, and by Commission identification number.
Safeguards:
Access to the computer records is protected by a security system.
General building security limits access to paper records kept in
files of support staff in the offices of travelers and in the Travel
Office.
Retention and disposal:
Records are retained for three years after the period covered by
the account.
System manager(s) and address:
Accounting Officer and Network Manager, 1155 21st 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
The individual on whom the record is maintained.
CFTC-7
Deleted--Incorporated into CFTC-4 and CFTC-6.
CFTC-8
System name:
Employment Applications.
System location:
This system is located in Office of Human Resources at 1155 21st
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 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 job announcement number. Summary information of applications
is also available to staff of the Office of Human Resources through
an automated applicant tracking system.
Safeguards:
Lockable cabinets for paper records. Access to applicant tracking
system granted only to appropriate personnel.
Retention and disposal:
Most applicant records are retained for two years, then
destroyed. Job announcements that are filled through examining
authority delegated from the Office of Personnel Management (OPM) are
kept for 5 years, then destroyed.
System manager(s) and address:
Office of Human Resources, 1155 21st 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
The individual on whom the record is maintained.
CFTC-9
System name:
Exempted Employee Background Investigation Material.
System location:
This system is located in the Office of Human Resources at 1155
21st Street, NW., Washington, DC 20581.
Categories of individuals covered by the system:
Employees and prospective employees of the CFTC.
Categories of records in the system:
Investigatory material complied 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.
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 ``General Statement of Routine Uses'' except that 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:
These records are retained for three years, then destroyed.
System manager(s) and address:
Security Officer, Office of Human Resources, 1155 21st 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:
This system is located in the Commission's principal and regional
offices. See ``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. This
system 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 ``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, disks, computer memory, computer
printouts. A summary index of material is also stored on the
computer.
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 nonexempt 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 ``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
Deleted--Incorporated into CFTC-20.
CFTC-12
System name:
Fitness Investigations.
System location:
Records for floor brokers and floor traders with respect to
matters commenced prior to August 1, 1994: Division of Trading and
Markets, 1155 21st 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 August 1, 1994; floor brokers and floor
traders with active registration status as such on or after August 1,
1994: National Futures Association (NFA), 200 West Madison Street,
Suite 1400, Chicago, Illinois 60606-3447. (See also ``Retention and
Disposal,'' infra.)
Categories of individuals covered by the system:
Persons who have applied or who may apply for registration as
floor brokers, floor traders, 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. In addition, the system contains
records of each fitness investigation.
Authority for maintenance of the system:
Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1)-(5), 8a(10), 8a(11),
17(o) and 19 of the Commodity Exchange Act as amended, 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, are set forth under the ``General
Statement of Routine Uses.'' 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 merchant 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, 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. No specific consent is required by an applicant or
registered introducing broker to disclosure of information to the
futures commission merchant with whom it has or plans to enter a
guarantee agreement.
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 include secured rooms or
premises and, in appropriate cases, lockable file cabinets with
access limited to persons whose official duties require access.
Access to computer systems is password protected and limited to
authorized personnel only.
Retention and disposal:
Hard copies of applications, biographical supplements, other
forms, related documents and correspondence are maintained, as
applicable, for two years after the individual's registration(s), or
that of the firm(s) with which the individual is associated as an
associated person or affiliated as a principal, becomes inactive.
Hard copy records are then stored at an appropriate site for an
additional eight 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. Since 1991, NFA has scanned, indexed and stored hard copy
records on the computer via imaging software so the information may
be retrieved and printed. Like the hard copy records, these imaged
records are maintained by NFA for 10 years after the individual's
registration(s), or the registration of the firm(s) with which the
individual is affiliated as an associated person or principal becomes
inactive.
NFA also maintains an index and summary of the hard copy records
of this system in a data base, the Membership, Registration,
Receivables System (MRRS). The MRRS records are maintained
permanently on CFTC's or NFA's premises, as applicable, and are
updated periodically as long as the individual's application is
pending for registration in any capacity or affiliated with any
registrant in any capacity. MRRS 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 for Registration, Division of Trading and
Markets, at the Commission's principal office, or a designee. For
records held by NFA, the systems manager is the Vice President for
Registration, National Futures Association, 200 West Madison Street,
Suite 1400, Chicago, Illinois 60606-3447, 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 should address written inquiry to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
Telephone (202) 418-5105. Individuals may also request registration
information by telephone directly from the NFA information center at
1-800-676-3570 or the NFA Disciplinary Information Access Line at 1-
800-676-4632. NFA will query the computer database about the
individual's current registration status and registration history,
and provide instructions on how to make written requests for copies
of records.
Record source categories:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state and 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:
Files are kept in the office responsible for preparing the
interpretation letter, including the Division of Trading and Markets,
the Office of the General Counsel, and the Division of Economic
Analysis. Copies of the interpretation letters without the supporting
documentation are also kept in the Secretariat and the Office of
Public Affairs. All offices are located at 1155 21st Street, NW,
Washington, DC 20581.
Categories of individuals covered by the system:
Persons who have requested the Commission 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. Pursuant to the Commission's rules, 17 CFR 140.98,
interpretation letters and the related requests for interpretation
that discuss matters of general applicability are made public and
published by the Commission. 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 ``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 if the
request is made by them or on their behalf. If it is made on behalf
of 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:
Maintained permanently (on premises for 5 years then transferred
to the Federal Records Center). After 20 years, offered to the
National Archives and Records Service.
System manager(s) and address:
Chief Counsel, Division of Trading and Markets; the General
Counsel; Director, Division of Economic Analysis; the Secretary to
the Commission; and the Director, Office of Public Affairs. All
system managers are located in the Commission's principal office. See
``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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
Individuals, proprietorships, corporations, other business
organizations, or representatives seeking interpretation of the
provisions of the Commodity Exchange Act or Commission rules.
CFTC-14
System name:
Matter Files.
System location:
This system is located in the Commission's principal and regional
offices. Pending investigation files may be located in the office
that is conducting the investigation. See ``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 promulgated 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, floor trader or floor broker Form 8-R
(biographical information questionnaire) in connection with an
application for registration with the Commission.
e. Individuals indicted or convicted for criminal violations of
the Act or other commodity related violations.
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, registration information, contracts and agreements. Also
contains internal memoranda, reports of investigation, orders 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 ``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 the 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, disks, computer memory, computer
printouts. A summary index of material is also stored on the
computer.
Retrievability:
By assigned matter title, person or firm.
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:
In the principal office, opening and closing reports, complaints,
and significant orders are kept permanently. Once an investigation is
closed without institution of a case, the files, other than the
materials described above, are shipped to off-site storage within
ninety days of closing. Records of preliminary inquiries closed
without further action, are forwarded to off-site storage within a
year following closure. Records are maintained in off-site storage
for 5 years, then destroyed. In the regional offices, records are
maintained on the premises for 3 years after the matter is closed,
then sent to the Federal Records Center for 5 years before being
destroyed.
If an investigatory matter is not closed, but becomes a
Commission injunctive or administrative action, the matter files
become part of the case files described in CFTC-16.
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 ``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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
a. Reporting forms and other information filed with the
Commission; b. boards of trade; c. persons or firms covered by the
Commission's registration requirements; 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:
The copies of original reports and related correspondence are
located in the CFTC office where filed. See further description
below. Ancillary records and information (computer printout) may be
located in any CFTC office. See ``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 trader's
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 trader's 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
(available on a non-routine basis by special call);
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 that 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 that the futures commission merchant 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, mostly in machine readable form, 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. 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 part 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 is 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 option 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:
See ``General Statement of Routine Uses.'' In addition,
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.
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:
CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are
retained on the premises until the account has been inactive for 5
years and are then destroyed. Form 01, 03, and 04 reports are
maintained for 6 months on the premises and then held at the Federal
Records Center for 5 years before being destroyed. The computer file
is maintained for 10 years for Form 01, 03, and 04 reports and large
trader options data reported by contract markets. Clearing member
positions and transactions are maintained for 2 years. Trader code
numbers and related information are maintained for 5 years after a
trader becomes nonreportable. Account numbers assigned by an FCM are
maintained on the system for 1 year after the account is no longer
reported.
System manager(s) and address:
Chief, Surveillance Branch, in the region where the records are
located. See ``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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105. 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:
This system is located in the Commission's principal and regional
offices. Pending litigation files may be located in other
participating offices. See ``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, including records described in CFTC-14,
Matter Files, as well as pleadings and litigation correspondence.
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:
See ``General Statement of Routine Uses.'' The information in
these files is generally a matter of public record and may be
disclosed without restriction.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders or binders, disks, computer memory,
computer printouts. A summary index of material is also stored on the
computer.
Retrievability:
By case title or in some instances by docket number.
Safeguards:
General office security measures including secured premises with
access limited to those whose official duties require access.
Retention and disposal:
After an action is complete, the complaint, final decision, and
order are kept indefinitely at the headquarters office. The remainder
of the litigation file is shipped to off-site storage 90 days after
the case is completed. Most case files are destroyed after 15 years;
unique precedent setting cases are destroyed after 20 years.
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 ``The Location of Systems 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
The parties, their attorneys, the Commission's Proceedings
Clerk's Office, the relevant court, and miscellaneous sources.
CFTC-17
System name:
Litigation Files-OGC.
System location:
This system is located in the Office of the General Counsel at
1155 21st 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; and
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, disks, computer memory or computer printouts 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 other
actions brought by others that 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 ``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, as well as disks, computer memory
and computer printouts.
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. 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, 1155 21st 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
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:
This system is located in the Commission's Chicago and New York
regional offices. See ``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 the violation, the date the
violation ceased, and the action taken. Copies of warning letters and
replies pertaining to the violation listed are maintained with the
logbook.
Authority for maintenance of the system:
Sections 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 ``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, Suite 4600,
Chicago, Illinois 60606; Chief, Surveillance Branch, One World Trade
Center, Suite 4747, New York, 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 contained in this system of records or contesting
the content of records about themselves contained in this system of
records should address written inquiry to the FOI, Privacy and
Sunshine Acts Compliance Staff, Commodity Futures Trading Commission,
1155 21st Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
Series 03 reports filed by traders. Correspondence prepared by
the Commission or by the individual or individual's representative.
CFTC-19
Deleted--Incorporated into CFTC-29.
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:
National Futures Association (NFA), 200 West Madison Street,
Suite 1400, Chicago, Illinois 60606-3447.
Categories of individuals covered by the system:
Persons who have applied 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 applications for
registration forms, schedules, and supplements; fingerprint cards;
correspondence relating to registration; and reports and memoranda
reflecting information developed from various sources.
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 membership (floor brokers and floor traders
only), firm affiliation, and the residence or business address, 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.
Directories, when produced, list the name, business address, and
exchange membership affiliation of all registered floor brokers and
the name and firm affiliation of all associated persons and
principals. These directories, 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.
Authority for maintenance of the system:
Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19
of the Commodity Exchange Act as amended, 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:
See ``General Statement of Routine Uses.'' 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 merchant with whom an
applicant or registered introducing broker has entered 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. No specific consent is
required by an applicant or registered introducing broker to
disclosure of information to the futures commission merchant with
whom it has or plans to enter a guarantee agreement.
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, indexed cards, and 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 primary registration file to the name of the
futures commission merchant, introducing broker, commodity trading
advisor, commodity pool operator or leverage transaction merchant
with whom 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 those whose official duties require access.
Retention and disposal:
Hard copies of applications, biographical supplements, other
forms, related documents and correspondence are maintained on the
NFA's premises, as applicable, for two years after the individual's
registration(s), or that of the firm(s) with which the individual is
associated as an associated person or affiliated as a principal,
becomes inactive. Hard copies of records are then stored at an
appropriate site for an additional eight years before being
destroyed. Records are to be stored either on NFA's premises or in
appropriate fireproof off-site facilities.
NFA also maintains an index and summary of the hard copy records
of this system in a data base, the Membership, Registration,
Receivables System (MRRS). The MRRS records are maintained
permanently and are updated periodically as long as the individual is
pending for registration, registered in any capacity or affiliated
with any registrant as a principal. MRRS records on persons who may
apply may be maintained indefinitely.
System manager(s) and address:
Assistant Director for Registration, Division of Trading and
Markets, Commodity Futures Trading Commission, 1155 21st Street, NW,
Washington, DC 20581, and Vice President for Registration, National
Futures Association, 200 West Madison Street, Suite 1400, Chicago,
Illinois 60606-3447.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records,
should address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Individuals may also request registration information by telephone
from the NFA information center at 1-800-676-3570 or from the
Disciplinary Information Access Line at 1-800-676-4632. NFA will
query the MRRS system about current registration status and
registration history, and provide instructions on how to make written
requests for copies of records.
Record source categories:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state and 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. The computer records are prepared from the
forms, supplements, attachments and related documents submitted to
the NFA and from information developed during the fitness inquiry.
CFTC-21
Deleted--Incorporated into CFTC-20.
CFTC-22
Deleted--Incorporated into CFTC-20.
CFTC-23
Deleted--Incorporated into CFTC-20.
CFTC-24
Deleted--Incorporated into CFTC-20.
CFTC-25
Deleted.
CFTC-26
Deleted--Incorporated into CFTC-14.
CFTC-27
Deleted.
CFTC-28
System name:
SRO Disciplinary Action File.
System location:
Records in this system are maintained at the Commission's
principal and regional offices. See ``The Location of Systems of
Records.''
Categories of individuals covered by the system:
Persons who have been suspended, expelled, disciplined, or denied
access to or by a self-regulatory organization (SRO).
Categories of records in the system:
Letters of notification of disciplinary or other adverse action
taken by an exchange that include the name of the person against whom
such action was taken, the action taken and the reasons therefore.
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 ``General Statement of Routine Uses.''
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Loose-leaf binders, computer memory, and computer printouts.
Retrievability:
By chronological order according to the self-regulatory
organization that took the disciplinary or other adverse action that
is the subject of the notice and by the name of the individual.
Safeguards:
General office security measures.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Assistant Director, Contract Markets Section, Commodity Futures
Trading Commission, 1155 21st 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, 1155 21st
Street NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
Self-regulatory organizations notifying the Commission of
disciplinary or other adverse actions taken.
CFTC-29
System name:
Reparation Complaints.
System location:
This system is located in the Office of Proceedings, 1155 21st
Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
Individuals filing customer reparation complaints, as well as the
firms and individuals named in the complaints.
Categories of records in the system:
Reparation complaints, answers, supporting documentation and
correspondence filed with the Office of Proceedings. If the complaint
is forwarded for decision by an administrative law judge or
proceedings officer, records become part of CFTC-3, Docket Files.
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
reparation program. Also see ``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, computer
printouts.
Retrievability:
By docket number and cross-indexed by the name of the complainant
and respondent.
Safeguards:
General office security including secured rooms and, in
appropriate cases, lockable file cabinets, with access limited to
those whose official duties require access.
Retention and disposal:
The records are maintained for 10 years after the case is closed,
except that complaints, decisions, and Commission opinions and
orders, are retained indefinitely.
System manager(s) and address:
Office of Proceedings, Complaints Section, 1155 21st 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, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
Persons or firms filing reparation complaints or answers.
CFTC-30
System name:
Open Commission Meetings--CFTC.
System location:
This system is located in the Office of the Secretariat,
Commodity Futures Trading Commission, 1155 21st 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 Acts, 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. Also see ``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 microfiche; audio cassette
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 that 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:
Secretary of the Commission, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records
should address written inquiry to the FOIA, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
Record source categories:
1. The information recorded during Commission meetings concerning
individuals who are the subject of 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--CFTC.
System location:
This system is located in the Office of the Secretariat,
Commodity Futures Trading Commission, 1155 21st 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 materials 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:
See ``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, microfiche, and audio cassette
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 Acts 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 meeting was
held, whichever is later); then retired to the National Archives or
stored on the premises.
System manager(s) and address:
Secretary of the Commission, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581.
System 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 exempted
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 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, 1155 21st Street NW., Washington, DC 20581.
Categories of individuals covered by the system:
Individuals who are part of an investigation of fraud and abuse
concerning Commission programs or operations.
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;
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 or disclosed by the
Commission in any administrative proceeding before the Commission, in
any injunctive action, or in any other action or proceeding
authorized under the Commodity Exchange Act or the Inspector General
Act of 1978 in which the Commission or any member of the Commission
or its staff participates as a party or the Commission participates
as amicus curiae.
2. In any case in which records in the system indicates 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 either 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.
9. The information may be disclosed to the Department of Justice
or other counsel to the Commission for legal advice or to pursue
claims and to government counsel 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
or any agency thereof. The information may also be disclosed to
counsel for any Commission member or employee in litigation or in
anticipation of 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, 1155 21st Street, NW., Washington, DC
20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the systems of records, or contesting the content
of records about themselves, should address written inquiry to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street, NW., Washington, DC 20581.
Record source categories:
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 exempted from certain provision of the Act:
Under 5 U.S.C. 552a(j)(2), the Office of the Inspector General
Investigative Files are exempted from 5 U.S.C. 552a except
subsections (b), (c)(1), and (2), (3)(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. Under 5 U.S.C.
552(k)(2), the Office of the Inspector General Investigative Files
are exempted from 5 U.S.C. 552a except subsections (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. These exemptions are contained at 17 CFR
146.13.
CFTC-33
System name:
Electronic Key Card Usage.
System location:
Office of Administrative Services, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581.
Categories of individuals covered by the system:
Authorized key card holders, which may include CFTC employees,
on-site contractors, visitors, or representatives of landlords.
Categories of records in the system:
Computer print-outs showing key card number and, in some cases,
name of assigned user.
Authority for maintenance of the system:
Sections 2(a)(2)(A)(b) and 12(b)(3), Commodity Exchange Act, 7
U.S.C. 4a(e) and 16(b)(3).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Commission's ``General Statement of Routine Uses,'' Nos.
1, 2, 6 and 7, Privacy Act Issuances, 1995 Comp. In addition,
information contained in this system may be disclosed by the
Commission (1) to any person in connection with architectural,
security or other surveys concerning use of office space and (2) to
employees and contractors for the purpose of maintenance or service
of data processing systems.
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 name of the subject, by assigned key card number, by time
period and by entry point.
Safeguards:
Information from the Commission's landlords' data bases may only
be requested from the landlords by the Director of the Office of
Administrative Services, or his/her designee. The Commission
maintains all key card usage records in limited access areas at all
times.
Retention and disposal:
In accordance with the general record schedules and the
Commission's record management handbook the records in the system are
considered temporary and are destroyed when no longer required.
System manager(s) and address:
Director, Office of Administrative Services, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records or contesting the content
of records about themselves should address written inquiry to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581. The
system of records and the notification, access and challenge
procedures apply only to records of key card usage in the
Commission's actual possession. None of these applies to any
information solely in a landlord's possession.
Record source categories:
With one exception, information in the system is supplied by the
Commission's landlords, typically on request. Information supplied is
a record of use of electronic key cards and in that sense the
information is obtained directly from the users of the key cards.
Information in the data base maintained in Chicago by the Commission
itself is also merely recorded usage of electronic key cards and
similarly is obtained directly from the user of the key card.
CFTC-34
System name:
Telephone System.
System location:
Monthly billing records for local toll calls, long distance
calls, and calling card calls are located in the Office of
Administrative Services, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. The
most current record of the phone numbers and calling card numbers
assigned to individual employees and contractors is kept by the
administrative office in each regional location except Los Angeles.
Los Angeles telephone assignment records are kept in the Washington,
DC, Office of Administrative Services.
Categories of individuals covered by the system:
Individuals (generally Commission employees and on-site
contractor personnel) who make telephone calls from Commission
telephones or use government issued calling cards.
Categories of records in the system:
Records relating to the use of Commission telephones or calling
cards to place calls; records indicating assignment of telephone or
calling card numbers to employees; and records relating to requests
for telephone call detail information.
Authority for maintenance of the system:
5 U.S.C. 301 and 41 CFR part 101-35.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Commission's ``General Statement of Routine Uses,'' Nos.
1 and 2, Privacy Act Issuances, 1995 Comp. In addition, records and
data may be disclosed as necessary (1) to representatives of the
General Services Administration or the National Archives and Records
Administration who are conducting records management inspections
under the authority of 44 U.S.C. 2904 and 2906; (2) to a
telecommunications company or consultant providing telecommunications
support to permit servicing the account.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are stored on computer printouts.
Retrievability:
Records are retrievable by a Commission telephone or calling card
number that is assigned to an individual.
Safeguards:
In addition to general building security, records are maintained
in limited access areas at all times.
Retention and disposal:
In accordance with the general record schedules and the
Commission's record management handbook, the records in the system
are considered temporary and are destroyed when no longer required,
usually every three months.
System manager(s) and address:
Director, Office of Administrative Services, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records or contesting the content
of records about themselves should address written inquiries to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
Record access procedures:
See ``Notification Procedures,'' above.
Contesting record procedures:
See ``Notification Procedures,'' above.
Record source categories:
Telephone and calling card assignment records; call detail
listings received from local and long distance service providers;
results of administrative inquiries relating to assignment of
responsibility for placement of specific long distance calls.
CFTC-35
System name:
Interoffice and Internet E-Mail
System location:
Mail servers in each system location (Washington, DC, Chicago,
New York, and Los Angeles) retain records. Records are backed up
nightly onto magnetic tape in all locations. In Washington, DC, the
most recent two weeks of tapes are kept in locked boxes and tapes
with information covering the prior two weeks are kept at an off-site
storage facility. Tapes with information covering the most recent
four-week period are kept on-site, in a secured area, in the Chicago,
New York and Los Angeles locations.
Categories of individuals covered by the system:
All CFTC employees and on-site contractors.
Categories of records in the system:
Records on the use of the interoffice and Internet e-mail system,
including the mailbox name, number of objects in the mailbox, and
aggregate size of the mailbox.
Authority for maintenance of the system:
5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act,
7 U.S.C. 16(b)(3).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by CFTC network administrators who have a
need for the records in the performance of their duties. See also the
Commission's ``General Statement of Routine Uses,'' Nos. 1, and 2, in
this Privacy Act Issuances. In addition, the records and data, other
than the content of individual mailboxes, may also be disclosed as
necessary to contractors as necessary for assessment, modification,
or maintenance of the e-mail system.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are stored on the mail servers in each CFTC location.
Servers are backed up nightly to magnetic tape. In Washington, DC,
the most recent two weeks of magnetic tape are kept in a locked box
in the Computer Room and the prior two weeks are kept at an off-site
storage facility. The entire four weeks of magnetic tape information
is kept in unlocked boxes in a secured area in the Chicago, New York
and Los Angeles locations.
Retrievability:
The information can be retrieved by assigned interoffice or
Internet mail address.
Safeguards:
Network administrators have access to the e-mail information.
This access is generally limited to the ``header'' information
described under ``Categories of Records.'' In addition, the mailbox
owner can grant access to objects in the mailbox to others. The tapes
are kept in locked storage boxes in Washington, DC, and only network
administrators and OIRM management have keys to the locked boxes. In
the Chicago, New York and Los Angeles locations, tapes are kept in a
secured area. Only designated office personnel have access to the
secured area.
Retention and disposal:
Records on magnetic tape are retained for four weeks, then
destroyed as the tape is written over with new information. Records
are retained on the mail servers until the sender and receiver delete
the information from the e-mail system. Internet e-mail information
that is received by the postmaster due to an error in delivery is
considered temporary and is destroyed after the problem is corrected.
When an employee leaves the Commission, the employee's mailbox is
deleted unless the employee or the employee's administrative officer
requests that the mailbox be retained in order to recover work-
related information.
System manager(s) and address:
Network Manager, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records, or contesting the content
of records about themselves should address written inquiries to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Internet e-mail, interoffice e-mail.
CFTC 36
System name:
Internet Web Site and News Group Browsing System.
System location:
Firewall software, located on PC in the Washington, DC, office's
computer room. Information on use of each personal computer is stored
on that computer.
Categories of individuals covered by the system:
All CFTC employees and on-site contractors who are users of the
Internet Web Site and News Group Browsing capability.
Categories of records in the system:
Records on the web sites and news groups visited, as identified
by the Internet protocol address assigned to each computer, as well
as information on the date and time of the web site or news group
access.
Authority for maintenance of the system:
5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act,
7 U.S.C. 16(b)(3).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by CFTC network administrators for
maintenance of the firewall system that protects the CFTC from
unauthorized access to its data. The network administrators may also
use the information to evaluate the level of use of the agency's
Internet browsing capability. See also the Commission's ``General
Statement of Routine Uses,'' Nos. 1, and 2, Privacy Act Issuances,
1995 Comp. Records may also be disclosed as necessary to the agency's
Internet service provider or agency contractor to the extent the
information is necessary for maintenance of the agency's Internet
access.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are kept on the software maintained on the firewall
gateway server in the headquarters computer room. In addition, a
record of the Internet browsing done on each computer is maintained
on that PC. The length of time of storage on the firewall gateway
server is governed by available disk space on the server. At current
levels of browsing usage, the information is stored on the server for
approximately three days. Information on web sites visited by each PC
is also stored in the PC's history file or cache directory. The
information is stored on the individual PC until the cache directory
consumes 1% of total disk space. Oldest items are then removed until
the directory is equal to or less than 1% of the total disk space.
History file records are maintained until 100 URLs are entered. (URL
stands for ``Uniform Resource Locator'' and is the address of the
site visited, for example, http://www.cftc.gov.) The oldest URLs are
deleted until the total URL count is equal to or less than 100
entries.
Retrievability:
The information can be retrieved by Internet protocol address.
The network administrators have access to information about the
office location and individuals assigned to each computer, as
identified by Internet protocol address.
Safeguards:
Network administrators, through use of a password protection,
have access to the Internet web browsing system information that is
stored on the firewall gateway server in the headquarters computer
room. Access to the computer room is limited to OIRM employees. The
Director of OIRM may grant the Commission's Internet service provider
access to the Internet web browsing system information for
maintenance purposes. However, the provider would not have access to
the information that links Internet protocol addresses to particular
computers, locations and individuals.
Retention and disposal:
Records are retained on the Commission's firewall software for
approximately three days, then over written.
System manager(s) and address:
Network Manager, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records, or contesting the content
of records about themselves should address written inquiries to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street NW., Washington, DC 20581.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Internet, web site and news group browsing, web site access.
CFTC 37
System name:
Lexis/Westlaw Billing Information System.
System location:
Office of Information Resources Management, Three Lafayette
Centre, 1155 21st Street NW., Washington DC 20581.
Categories of individuals covered by the system:
All CFTC employees and on-site contractors who are users of the
Lexis/Westlaw research system.
Categories of records in the system:
Records on the name, search subject, database searched, date,
elapsed time, type of charge, and total charge for a search in the
Lexis/Westlaw automated research system.
Authority for maintenance of the system:
5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act,
7 U.S.C. 16(b)(3).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used primarily by the Administrative Officer, OIRM,
to monitor expenditures and to ensure the availability of funds. The
records containing usage information are distributed monthly to the
administrative officers in each office for their confirmation that
Lexis/Westlaw use was authorized. See the Commission's ``General
Statement of Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances,
1995 Comp. Lexis/Westlaw can also access the information and uses it
for statistical analysis and billing purposes.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Billing information is maintained by the Administrative Officer,
OIRM, in a locked file drawer.
Retrievability:
By division, by month of use, by database accessed, by user name
and user identification number. Retrieval is done manually.
Safeguards:
Billing information is kept in locked desks at all times.
Information is provided only to the Administrative Officer, OIRM, and
is circulated to the administrative officer for each office.
Retention and disposal:
Hard copies of monthly billing statements are retained for two
years, then destroyed.
System manager(s) and address:
Administrative Officer, Office of Information Resources
Management, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records, or contesting the content
of records about themselves should address written inquiries to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street NW., Washington, DC 20581.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Lexis/Westlaw billing information.
CFTC 38
System name:
Automated Library Circulation System.
System location:
Library, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
Categories of individuals covered by the system:
Individual CFTC employees who check out books and periodicals
from the CFTC Library.
Categories of records in the system:
Records showing the bar code assigned to employees who use the
library, title, due date, and hold information on library materials
checked-out by individual CFTC employees; records of overdue
materials and of employee notification of overdue materials.
Authority for maintenance of the system:
5 U.S.C. 301 and 41 CFR part 101-27.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Library staff uses the information to track the location of
library materials, to provide users on request with a list of
materials currently shown as in their possession, and to issue, as
necessary, overdue notices for materials. See the Commission's
``General Statement of Routine Uses,'' Nos. 1 and 2, Privacy Act
Issuances, 1995 Comp. The records may also be disclosed as necessary
to agency contractors in connection with assessment, modification or
maintenance of the automated circulation system.
Policies and practices for storing, retrieving, accessing,
retaining disposing of records in the system:
Storage:
Records are stored on the CFTC local area network file server.
Records on the identifying bar codes assigned to individuals are
stored in the file server and on rolodex cards.
Retrievability:
Records are retrievable by employee name or by the employee's bar
code number.
Safeguards:
Records may be accessed only by authorized CFTC staff members,
who are principally staff of the Library or the Office of Information
Resources Management. Staff members must use an individual password
to gain access to the information stored in the computer.
Retention and disposal:
Records in the system are considered temporary. The records of
library transactions are destroyed when an item on loan is returned
or reimbursement is made for replacement of the item.
System manager(s) and address:
Administrative Librarian, Commodity Futures Trading Commission,
1155 21st Street NW., Washington, DC 20581.
Notification procedure:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records
about themselves in the system of records, or contesting the content
of records about themselves should address written inquiries to the
FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street NW., Washington, DC 20581.
Record access procedures:
See ``Notification Procedures'' above.
Contesting recORDS PROCEDURES:
See ``Notification Procedures'' above.
Record source categories:
Library user bar code identifiers; library materials use; overdue
notices.
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
biennially 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; 65 FR 33560, Sept. 5, 2000]
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]
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]