[Federal Register: September 30, 1999 (Volume 64, Number 189)]
[Page 52775-52776]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



Privacy Act of 1974: Notice of New System of Records

AGENCY: Commodity Futures Trading Commission.

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


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

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

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

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

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR
part 146, the Commission is publishing a description of a new system of
records. The new system will contain records generated in compliance
with the Commission's Sexual Harassment Policy, which in relevant part
permits persons complaining of harassment to invoke certain informal
procedures to resolve the complaint and requires a report of the
resolution to be forwarded to the Commission's Executive Director. The
Policy also requires supervisors and managers to report observed and
reported incidents of harassment to the Commission's EEO Director.
Under the Policy, reports or complaints of incidents of harassment if
not resolved at the supervisor level may be referred in-house or to an
outside contractor for investigation. These investigations may result
in disciplinary action. This system also would contain similar records
of complaints of other violations of equal employment rights, although
the Commission does not have a published policy for informal handling
of such matters at this time.
    The system is being numbered ``CFTC-7'', the number used for a
system of records which was consolidated with other systems and is no
longer being maintained. This new system of records, as required by 5
U.S.C. 552a(r) of the Privacy Act, has been submitted to the Committee
on Government Oversight and Reform of the U.S. House of
Representatives, the Committee on Governmental Affairs of the U.S.
Senate, and the Office of Management and Budget, pursuant to Appendix 1
to OMB Circular A-130, ``Federal Agency Responsibilities for
Maintaining Records About Individuals,'' dated July 15, 1994.
Accordingly, the Commission is giving notice of the establishment of
the following system of records:

System name:
    Exempted Informal Employment Complaint Files.

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

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

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

[[Page 52776]]

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

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

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

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

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

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

Retention and disposal:

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

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

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

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

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

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

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

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

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