[Federal Register: September 30, 1999 (Volume 64, Number 189)]
[Proposed Rules]
[Page 52695-52696]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



17 CFR Part 146

Privacy Act of 1974; Implementation

AGENCY: Commodity Futures Trading Commission.

ACTION: Proposed rule.


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

[[Page 52696]]

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

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

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

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

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

List of Subjects in 17 CFR Part 146


    For the reasons stated above, the Commodity Futures Trading
Commission proposes to amend 17 CFR part 146 as follows:


    1. The authority citation for part 146 continues to read as

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

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

Sec. 146.12  Exemptions.

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

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