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Privacy Act: [CFTC-9]...


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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.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 

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