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Privacy Act: [CFTC-9]...
<DOC> [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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