[Federal Register: July 20, 1999 (Volume 64, Number 138)]
[Notices]
[Page 38893-38896]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20jy99-50]

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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974: System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of new systems of records.

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SUMMARY: This notice adds three systems to the Commodity Futures
Trading Commission's systems of records maintained under the Privacy
Act: Freedom of Information Act requests, Privacy Act requests, and
requests for confidential treatment. This notice informs the public of
the existence and character of these systems and the routine uses which
the Commission may make of the information contained in the systems.

DATES: Comments on the establishment of the new systems of records must
be received no later than August 19, 1999. The new systems of records
will be effective August 29, 1999 unless the Commission receives
comments which would result in a contrary determination. .

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

FOR FURTHER INFORMATION CONTACT: Stacy Dean Yochum, Office of the
Executive Director, (202) 418-5157, or Eileen Donovan, Office of the
Secretariat, (202) 418-5096, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR
part 146, the Commission is publishing a description of three new
systems of records. Each is described in detail below.
    1. Freedom of Information Act Requests. The Commission established
this system of records to manage the processing of requests received
under the Freedom of Information Act. Because this system allows
retrieval of information about an individual through his or her name,
the Privacy Act of 1974, as amended, requires a general notice of the
existence of this system of records to the public.
    The Freedom of Information Act (FOIA) provides individuals with a
right of access to federal agency records,

[[Page 38894]]

except to the extent that such records are protected from disclosure by
one of nine exemptions. When the Commission receives a FOIA request,
the request is assigned a control number for tracking purposes and a
letter is sent to the requester acknowledging receipt of the request.
    Search forms are sent to the Commission offices or divisions which
maintain the records requested. Staff members in the responding office
or division complete the form and return it to the Commission's FOIA
Compliance Office with any responsive material located. When all
completed search forms have been returned, a response letter is
prepared and sent to the requester with any responsive material not
exempt from disclosure.
    A file folder is maintained for each request received and each
folder contains the original request, copies of the acknowledgment and
response letters, the search forms, any memoranda or notes related to
the processing of the request, a copy of the bill sent to the requester
if fees were incurred, and a copy or record of the material provided to
the requester. The records are kept in locked file cabinets until
destroyed in accordance with National Archives and Records
Administration (NARA) General Records Schedule (GRS) 14. Once a request
is closed, the records are used only to expedite the processing of
appeals and subsequent requests for the same information and to prepare
the Commission's annual report to the Department of Justice on FOIA
activity for the fiscal year, without reference to the individual who
made the request. Information pertaining to the processing and
disposition of each request is compiled electronically in the FOIA
Tracking System database and destroyed in accordance with GRS-14.
    2. Privacy Act Requests. The Commission established this system of
records to manage the processing of requests received under the Privacy
Act. Because this system allows retrieval of information about an
individual through his or her name, the Privacy Act of 1974, as
amended, requires a general notice of the existence of this system of
records to the public.
    The Privacy Act provides individuals with a right of access to
records about themselves that are maintained in a federal agency's
system of records. When the Commission receives a Privacy Act request,
the request is assigned a control number for tracking purposes and a
letter is sent to the requester acknowledging receipt of the request
and asking for proof of the requester's identity.
    Once the requester's identity is confirmed, search forms are sent
to the Commission offices or divisions which maintain the records
requested. Staff members in the responding office or division complete
the form and return it to the Commission's FOIA Compliance Office with
any responsive material located. When all completed search forms are
returned, a response letter is prepared and sent to the requester with
any responsive material not exempt from disclosure.
    A file folder is maintained for each request received and each
folder contains the original request, copies of the acknowledgement and
response letters, the requester's proof of identity, the search forms,
any memoranda or notes related to the processing of the request, a copy
of the bill sent to the requester if fees were incurred, and a copy or
record of the material provided to the requester. The records are kept
in locked file cabinets until destroyed in accordance with GRS-14. Once
a request is closed, the records are used only to process appeals and
to prepare the Commission's biennial Privacy Act report to Congress,
without reference to the individual who made the request. Information
pertaining to the processing and disposition of each request is
compiled electronically in the FOIA Tracking System database and
destroyed in accordance with GRS-14.
    3. Requests for Confidential Treatment. Individuals submitting
information to the Commission may also submit a written request for
confidential treatment of that information. The Commission maintains
these requests for confidential treatment in a system of records so
that if the Commission receives a FOIA request for the information, the
submitter can be notified and given the opportunity to justify
withholding the information from the requester. Because this system
allows retrieval of information about an individual through his or her
name, the Privacy Act of 1974, as amended, requires a general notice of
the existence of this system of records to the public.
    A submitter seeking confidential treatment must request such
treatment in writing and copies of the request must be sent to the
Commission office or division receiving the information for which
confidential treatment is sought and to the Commission's FOIA
Compliance Office. The request is indexed and placed in a file folder
in a locked cabinet until a FOIA request for the subject information is
received.
    If such a FOIA request is received, the submitter is notified and
asked to submit a detailed written justification of the confidential
treatment request. Commission staff review the justification and
determine whether confidential treatment should be granted or denied.
If it is denied, the submitter may appeal that determination to the
Commission's Office of the General Counsel. Information pertaining to
the processing and disposition of each request is compiled
electronically in the petitions database.
    These new systems of records, as required by 5 U.S.C. 552a(r) of
the Privacy Act, have been submitted to the Committee on Government
Oversight and Reform of the U.S. House of Representatives, the
Committee on Governmental Affairs of the U.S. Senate, and the Office of
Management and Budget, pursuant to Appendix I to OMB Circular A-130,
``Federal Agency Responsibilities for Maintaining Records About
Individuals,'' dated February 8, 1996. Accordingly, the Commission is
giving notice of the establishment of the following systems of records:
CFTC-39

System name:
    Freedom of Information Act Requests.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW,
Washington, DC 20581. Copies of the requests and any related internal
administrative records may also be maintained by other offices involved
in the processing of requests.

Categories of individuals covered by the system:
    Persons requesting information from the Commission pursuant to
provisions of the Freedom of Information Act, 5 U.S.C. 552, and persons
who are the subjects of Freedom of Information Act requests.

Categories of records in the system:
    Requests, internal memoranda, response letters, appeals of denials,
appeal determinations and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
    The records are used by Commission staff to process FOIA requests
and appeals and to prepare an annual report to the Department of
Justice on the Commission's FOIA activity. See also the Commission's
``General Statement of

[[Page 38895]]

Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

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,
and microfiche.

Retrievability:
    By assigned control number, by name of requester, or by subject of
request.

Safeguards:
    Paper records and microfiche are maintained in lockable file
cabinets on secured premises. Information stored on computers is
protected by a password, with access limited to persons whose official
duties require access.

Retention and disposal:
    FOIA requests are retained in accordance with General Records
Schedule 14 of the National Archives and Records Administration.

System managers and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of
the Secretariat, Commodity Futures Trading Commission, Three Lafayette
Centre, 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581.

Record source categories:
    Persons requesting information from the Commission pursuant to the
Freedom of Information Act and employees processing the requests.
CFTC-40

System name:
    Privacy Act Requests.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW,
Washington, DC 20581. Copies of the requests and any related internal
administrative records may also be maintained by other offices involved
in the processing of requests.

Categories of individuals covered by the system:
    Persons filing requests for access to, correction of, or an
accounting of disclosures of personal information contained in system
of records maintained by the Commission, pursuant to the Privacy Act of
1974. 5 U.S.C. 552a.

Categories of records in the system:
    Requests, internal memoranda, response letters, appeals of denials,
appeal determinations and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552a, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
    The records are used by Commission staff to process Privacy Act
requests and appeals and to prepare the Commission's Biennial Privacy
Act report to Congress. See also the Commission's ``General Statement
of Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

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,
and microfiche.

Retrievability:
    By assigned control number or by name of requester.

Safeguards:
    Paper records and microfiche are maintained in lockable file
cabinets on secured premises. Information stored on computers is
protected by a password, with access limited to persons whose official
duties require access.

Retention and disposal:
    Privacy Act requests are retained in accordance with General
Records Schedule 14 of the National Archives and Records
Administration.

System manager(s) and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of
the Secretariat, Commodity Futures Trading Commission, Three Lafayette
Center, 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581.

Record source categories:
    Persons requesting information from the Commission pursuant to the
Privacy Act and employees processing the requests.
CFTC-41

System name:
    Requests for Confidential Treatment.

System location:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW,
Washington, DC 20581. A copy of the request may also be kept by the
office receiving the document for which confidential treatment is being
requested.

Categories of individuals covered by the system:
    Persons requesting confidential treatment of, and persons who are
the subjects of, documents filed with the Commission.

Categories of records in the system:
    Requests for confidential treatment, the documents for which
confidential treatment is requested and electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552, 5 U.S.C. 301.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses.
    The records are used by Commission staff to determine whether to
grant or deny confidential treatment of information submitted to the
Commission for which a FOIA request has been received and to process
appeals of determinations denying confidential treatment for submitted
information. See also the Commission's ``General Statement of Routine
Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1997 Comp.

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,
and microfiche.

[[Page 38896]]

Retrievability:
    By name of requester or by subject of request

Safeguards:
    Paper records are maintained in lockable file cabinets on secured
premises. Information stored on computers is protected by a password,
with access limited to persons whose official duties require access.

Retention and disposal:
    Records are retained for 20 years, then destroyed.

System manager and address:
    Assistant Secretary to the Commission for FOIA Matters, Office of
the Secretariat, Commodity Futures Trading Commission, Three Lafayette
Centre, 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Future Trading Commission, 1155 21st
Street, NW, Washington, DC 20581.

Record source categories:
    Persons submitting documents to the Commission.

    Issued in Washington, DC this 14th day of July, 1999 by the
Commodity Futures Trading Commission.
Catherine D. Dixon,
Assistant Secretary to the Commission.
[FR Doc. 99-18393 Filed 7-20-99; 8:45 am]
BILLING CODE 6351-01-M


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