extent that sections 552(b)(4) (relating to sensitive business information), 552(b)(6) (relating to invasions of personal privacy) and 552(b)(7) (relating to investigatory records) of Title 5 of the United States Code appear to permit the information supplied to be withheld from public disclosure.

(d) Any person who has made a request, pursuant to § 145.7, for inspection or for a copy of any record containing information that has been granted confidential treatment by the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance may, to the extent that he has been denied access to requested records, seek administrative review by the Commission of the denial in accordance with the procedure set forth in § 145.7(g). If administrative review is sought, the person who petitioned for confidential treatment shall promptly be notified and provided with a copy of the application for administrative review; his opposition to the application, if timely served upon the applicant and received by the Commission, will be considered by the Commission.

(e) A person who has petitioned for confidential treatment which has been denied by the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance shall be notified by telegram on the day of denial. The telegram shall advise him of the denial and that the information will be publicly disclosed unless an appeal to the Commission should be taken within five business days in accordance with paragraph (f) of § 145.9.

(f)(1) Any person who has been denied confidential treatment for specific information may seek Commission review of that denial by filing with the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, within five business days after the denial, a brief written statement that review of the denial is sought.

(2) When the Commission review of a denial of confidential treatment is sought, the time in which the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance must initially determine whether to grant or deny the request

for access to the record containing the information, as prescribed in § 145.7(f), shall be extended for ten business days, by written notice to the person making the request. This will enable the Commission to consult with the Office of its General Counsel and other components within the Commission having substantial interest in the subject matter. Within that ten-business-day period the Commission shall determine whether the request for records shall be granted to include the information for which confidential treatment has been sought. If confidential treatment of a record should be granted, the person who had requested access to that record and has, accordingly, been denied access to the record will be notified in the manner prescribed in § 145.7(g)(6).

(3) Except with respect to trade secrets and processes, which shall in no event be publicly disclosed, and except with respect to matters the disclosure of which would violate the Privacy Act of 1974, 5 U.S.C. 552a, or the rules of the Commission thereunder, which are contained in Part 146, nothing in § 145.9 shall be interpreted to prevent the Commission from publicly disclosing information or records. The Commission may deny confidential treatment to a document that might lawfully be withheld from the public or limit the length of time for which confidential treatment shall be accorded, if the public interest in access to the information appears to the Commission to outweigh the business or personal interest of any person that might be adversely affected by the disclosure.

(g) A person who has petitioned for confidential treatment which has been denied by the Commission shall be notified by telegram on the day of the denial. The telegram shall advise him of the denial and that the information will be publicly disclosed on or after a specified date, which shall be no less than ten business days after the day of the denial.

(h) Neither the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance nor the Commission will: (1) Honor oral requests for confidential treatment of information or requests made other

wise than in conformity to this rule, (2) honor requests that are unnecessarily broad in scope or where inadequate explanation is given, or (3) permit the Commission's staff to devote its time to remedy deficiencies in the request.

(i) No request for confidential treatment of information should be made by any person who does not intend in good faith to aid the Commission in the defense of any proceeding that might thereafter be brought to compel the Commission to disclose the information. Unless such information was submitted for the convenience and at the request of the Commission or its staff, the Commission will make available to the public any information it has previously retained in confidence under paragraph (c) of § 145.9 if the person requested and obtained confidential treatment of that information (or those on whose behalf he acted) is unwilling, upon request, to aid in the defense of an action brought against the Commission to compel the Commission to disclose the information.

(Sec. 2(a)(11) of the Commodity Exchange Act, 7 U.S.C. 4a(j) (1976), and 5 U.S.C. 552 (1976))

[41 FR 16290, Apr. 16, 1976, as amended at 45 FR 3257, Jan. 17, 1980]

§ 145.9b Appendix B-Schedule of fees.

(a) The following charges will be made for services in locating or making available records or copies thereof:

(1) One dollar for each one-quarter hour spent by clerical personnel in excess of the first quarter hour in searching for and producing a requested record.

(2) Where, because of the generality of a request or otherwise, a search cannot successfully be performed by clerical personnel, $2 for each one-quarter hour spent in excess of the first-quarter hour by professional or managerial personnel in searching for a requested record.

(3) No fee shall be charged for copies of documents if the number of pages requested by that individual totals less than 10. This limit applies to the total requests under this section during any 180-day period.

(4) For requests for copies of documents in excess of 10 pages the charge will be $0.10 per page.

(5) For materials other than paper records, the direct cost of the materials shall be charged, but the person making the request shall be notified of the amount of the charge and shall give specific approval prior to the preparation of copies.

(6) When, in accordance with § 145.7(e), a request has been made and granted to examine Commission records at an office of the Commission other than the office at which those records are normally maintained, the Commission shall transmit the records in a manner which the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts compliance considers best calculated to assure that the records will not be lost or damaged in transit, and the requesting party (i) shall reimburse the Commission for the actual cost to the Commission for transporting the records; and (ii) shall be charged at the rate of $1 for each one-quarter hour devoted by a Commission employee in preparing the records to be transported.

(7) The Commission may, upon application by the individual, furnish any records without charge or at a reduced rate, if it determines that such waiver or reduction of fees is in the public interest.

(8) No charge shall be made for time spent in resolving legal or policy issues affecting access to records of known contents or for the time involved in examining records to determine whether they are exempt from the disclosure requirements of the Freedom of Information Act and should be withheld. (9) No fee will be charged in connection with any record which is not made available because:

(i) It is found to be nonpublic as described in § 145.5; or

(ii) After reasonable search, a record adequately identified cannot be located, provided that a fee will be charged if after the person who requested the record or copy has been notified that it cannot be located, the search is continued beyond that time at his insistence.

(b) Requests for copies of documents shall be made either in person, by telephone or by mail addressed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, 2033 K Street, N.W., Washington, D.C. 20581, except that in person or telephone requests for copies of publiclyavailable records described in §§ 145.2 and 145.6(b) may also be made to the appropriate regional office.

(c) A request for Commission records may state that the requesting party is willing to pay fees up to a stated limit for services to be provided in locating and making available requested records. In such circumstances, no work will be done that will result in fees beyond the stated limit without fur

ther written authorization. If no limit is initially stated by the person requesting records or copies, services in locating and making available the requested records will not be done so as to exceed fees of $25.00, and copying services will not be provided in excess of $25.00, without the express written authorization by the requesting person, and he will be so advised. Where it is anticipated that fees for requested services will exceed $50.00 an advance deposit of 25 percent of the anticipated fee or $25.00, whichever is greater, may be required.

(d) Payment must be made by check or money order payable to the Commodity Futures Trading Commission. No employee of the Commission is authorized to accept payment of fees in cash.

(e) Advance payment of all or part of the fee may be required at the discretion of the Commission. Generally, advance payment will not be required where the anticipated fee is less than $25.00.

[41 FR 16290, Apr. 16, 1976, as amended at 45 FR 26954, Apr. 22, 1980]

These rules apply to all records maintained by this Commission which are not excepted or exempted as set forth in § 146.12, insofar as they contain personal information concerning an individual, identify that individual by name or other symbol and are contained in a system of records from which information is retrieved by the individual's name or identifying symbol. Among the primary purposes of these rules are to permit individuals to determine whether information about them is contained in Commission files and, if so, to obtain access to that information; to establish procedures whereby individuals may have inaccurate and incomplete information corrected; and, to restrict access by unauthorized persons to that information.

(b) In this part the Commission is also exempting certain Commission systems of records from some of the provisions of the Privacy Act of 1974 that would otherwise be applicable to those systems. These exemptions are authorized under the Privacy Act, 5 U.S.C. 552a(k).

For purposes of this Part 146

(a) The term "Commission" means the Commodity Futures Trading Commission;

(b) The term "Executive Director" refers to the executive level staff official appointed pursuant to section 2(a)(5) of the Commodity Exchange Act.

(c) The term "FOI, Privacy and Sunshine Acts compliance staff" refers to the staff in the Office of the Secretariat in the Commission's principal office in Washington, D.C. who are assigned to respond to requests and handle various other matters under the Freedom of Information Act, the Privacy Act of 1974 and the Government in the Sunshine Act;

(d) The term "individual" means a citizen of the United States or an alien lawfully admitted for permanent residence;

(e) The term "maintain" includes maintain, collect, use, or disseminate;

(f) The term "record" means any item, collection, or grouping of information about an individual that is

maintained by the Commission, including but not limited to, his education, financial transactions, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual;

(g) The term "system of records" means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual;

(h) The term "system notice" means a notice of the existence and character of the Commission's system of records published in the FEDERAL REGISTER pursuant to § 146.11(a) of these rules;

(i) The term "routine use" means, with respect to the disclosure of a record, the use of that record for a purpose which is compatible with the purpose for which it was collected;

(j) The term "Freedom of Information Act" encompasses both the Freedom of Information Act, as amended, 5 U.S.C. 552, and the Commission's rules contained in Part 145 of this Title.

(k) The term "agency" means any executive department, military department, Government corporation, Government controlled corporation other establishment in the Executive branch of the Government or any independent regulatory agency.

or

[41 FR 3212, Jan. 21, 1976, as amended at 45 FR 26954, Apr. 22, 1980]

§ 146.3 Requests by an individual for information or access.

(a) Any individual may request information on whether a system of records maintained by the Commission contains any information pertaining to him, or may request access to his record or to any information pertaining to him which is contained in a system of records. All requests shall be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, 2033 K Street, NW., Washington, D.C. 20581.

(b) A request for information or for access to records under this part may be made by mail or in person. The re

quest shall: (1) Be in writing and signed by the individual making the request; (2) include the full name (including the middle name) of the individual seeking the information or record, his home address and telephone number, his business address and telephone number; and (3) if he is or ever has been registered with the Commission or its predecessor agency, or associated with a firm so registered as a partner, officer or director or 10% shareholder, state in what capacity he is or was registered.

(c) For each system of records from which information is sought, the request shall: (1) Specify the title and identifying number for that system as it appears in the system notice published by the Commission; (2) provide additional identifying information, if any, specified in the system notice; (3) describe the specific information or kind of information sought within that system of records; and (4) set forth any special arrangements sought concerning the time, place, or form of access. A description of the information contained in a system notice and instructions on how to obtain copies of the Commission's system notices appear in § 146.11(b).

(d) The Commission will respond in writing to a request made under this section within ten days (excluding Saturdays, Sundays and legal public holidays) after receipt of the request. If a definitive reply cannot be given within ten days, the request will be acknowledged and an explanation will be given of the status of the request.

(e) When an individual has requested access to records, available to him under these rules, he will either be notified in writing of where and when he may obtain access to the records requested or be given the name, address and telephone number of the member of the Commission staff with whom he should communicate to make further arrangements for access.

[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976]

§ 146.4 Procedures for identifying the individual making the request.

When a request for information or for access to records has been made

pursuant to § 146.3, before information is given or access is granted pursuant to § 146.5 of these rules the Commission shall require reasonable identifiIcation of the person making the request to insure that information is given and records are disclosed only to the proper person.

(a) An individual may establish his identity by

(1) Submitting with his request for information or for access a photocopy of two pieces of identification bearing his name and signature, one of which shall bear his current home or business address; or

(2) Appearing at any office of the Commission (located at the addresses set forth in § 145.6 of these rules) during the regular working hours for that office and presenting either

(i) One piece of identification containing a photograph and signature, such as a drivers license or passport or

(ii) Two pieces of identification bearing his name and signature, one of which shall bear his current home or business address; or

(3) Providing such other proof of identity as the Commission deems satisfactory in the circumstances of a particular request.

(b) If the Executive Director or other designated Commission official determines that the data in a requested record is so sensitive that unauthorized access could cause harm or embarrassment to the person whose record is involved, or if the person making the request is unable to produce satisfactory evidence of identity under paragraph (a) of this section, the individual making the request may be required to submit a notarized statement attesting to his identity and that he is familiar with and understands the criminal penalties provided under section 1001 of Title 18 of the United States Code for making false statements to a Government agency and under the Privacy Act, section 552a(i)(3) of Title 5 of the United States Code, for obtaining records under false pretenses. Copies of these statutory provisions and forms for such notarized statements may be attained upon request from the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission,

2033 K Street, NW., Washington, D.C. 20581.

(c) The parent or guardian of a minor or a person judicially determined to be incompetent, in addition to establishing the identity of the person he represents as described in the previous paragraphs of this section, shall establish his own identity and his parentage or guardianship by furnishing a copy of a birth certificate showing parentage or a court order establishing the guardianship.

(d) Nothing in this section shall preIclude the Commission from requiring additional identification before granting access to the records if there is reason to believe that the person making the request may not be the inIdividual to whom the record pertains, or where the sensitivity of the data warrants it.

(e) The requirements of this section shall not apply if the records involved would be available to any person pursuant to the Commission's rules under the Freedom of Information Act as set forth in Part 145 of this chapter.

[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976]

§ 146.5 Disclosure of requested information to individuals; fee for copies of records.

(a) Any individual who has requested access to his record or to any information pertaining to him in the manner prescribed in § 146.3, and has identified himself as prescribed in § 146.4, shall be permitted to review the record and have a copy made of all or any portion thereof in a form comprehensible to him, subject to fees for copying services set forth in Appendix A to this part. Upon his request persons of his own choosing may accompany him, but the individual shall first furnish a written statement authorizing discussion of that individual's record in the accompany persons' pres

ence.

(b) Access will generally be granted in the office of the Commission where the records are maintained during normal business hours, but for good cause shown the Commission may grant access at another office of the Commission or at different times for