OIG Intake Form

Instructions

The purpose of this intake form is to report complaints concerning fraud, waste, abuse, and economy and efficiency issues relating to CFTC programs and operations, including suspected misconduct by CFTC employees, contractors or consultants, including reprisal for reporting previous incidents.

For complaints pertaining to market professionals or markets regulated by CFTC, please refer to the CFTC Division of Enforcement.

In Section 3 of this form, you may elect to report anonymously, confidentially, or may consent to the disclosure of your identity.

Upon submission of the intake form, an automated response acknowledging the receipt of the form and the confirmation number for the form will be sent to the email you have provided. If you are submitting anonymously, please make note of your confirmation number for your records.

If you have previously submitted any information pertaining to this incident, please provide the confirmation number from the original confirmation email.

Please refer to the attached Privacy Act statement that sets forth your rights with regard to submitting data to CFTC OIG.

IMPORTANT INSTRUCTIONS:

  • In order for us to best understand your information, we encourage you to answer all the questions that you can. However, fields marked with a red exclamation () are required.
  • When providing information, please be as specific as you can and provide as much detail as possible.
  • We encourage you to submit any documents relevant to your information by accessing the File Uploads section of this form where you can select, add, or delete your documents.

PLEASE NOTE:

  • Unless you affirmatively extend your session, your form will timeout and all data will be lost 65 minutes after opening this page.
  • You will then need to re-access the form and enter your data again.
  • Please don’t close this browser or window until all answers are ready to submit so that fields are not lost.

Fields marked with a red exclamation () are required

Section 1: Describe Your Complaint

5. Which of the following allegation categories best describes the incident(s)?

select

If you don’t see a category that reflects your incident, please consider if it is really a market participant allegation and click here to go to report misconduct by a market participant.

10. Who else might be aware of the misconduct/wrongdoing? Provide us with as many details as you can about the alleged misconduct, the subjects who committed the wrong doing, and anyone whom you think may have additional information.

11. Have you filed your complaint on this matter with any other entity?

For example, another Inspector General office, other law enforcement agencies, CFTC management or program officials, or other Government agencies?


Section 2: Attachments and Documentation Supporting Your Complaint

The CFTC Portal is encrypted throughout transmission and processing. It is not necessary to password protect or encrypt uploaded files. These files will be rejected since they cannot be automatically checked for malware and viruses.

  • You may upload up to 10 separate files.
  • Files are limited to a size of 30 MB each.
  • Acceptable Formats ( .doc,.docx,.dot,.xls,.xlsx,.jpg,.jpeg,.pdf,.bmp,.txt,.ppt,.pptx,.odt,.ods,.odp ).
  • A file name cannot contain the following special characters: * ? # % ~ & : { } | ' < > " /
  • If additional attachments are needed for your submission please submit the form as many times as necessary.
  • Depending on the size of your submission, the transaction can take as long as 4 minutes.Required Field


If supporting documentation exists outside your control, where can that documentation be found? What would the documents show? If possible, please provide any links, web addresses, platform details, screenshots or similar validation.

Section 3: Tell Us About You

You may report anonymously, confidentially or openly, with consent to the disclosure of your identity.

To assist you in making your decision, please read the following information and provide details accordingly.

Anonymous:

    I am NOT providing my identity.

  • I understand that not providing my identity may limit the OIG’s ability to ask me follow-up questions.
  • If the OIG determines the allegation(s) I report cannot be investigated without knowing my identity or obtaining additional details from me, my lack of consent may prevent further action from being taken on my complaint.

Confidential:

    I do NOT consent to the disclosure of my identity outside of the OIG, except as described below.

  • I understand that if the OIG determines the allegation(s) I report cannot be investigated without disclosing my identity on a need-to-know basis to CFTC employees outside the OIG and to others as authorized under our routine uses, OIG may be unable to investigate my complaint.
  • I further understand that if I elect confidential status and the OIG investigates, my identity may eventually be disclosed outside the OIG if
    • required by applicable legal authority and may include legal process in litigation, or
    • the Inspector General determines that such disclosure is otherwise unavoidable during the course of an OIG investigation and may include disclosures to prosecutors and appropriate law enforcement officials as necessary to cooperatively investigate and to prosecute, and disclosures within CFTC as necessary to take internal disciplinary action.

  • Consent to disclosure
    • I consent to the disclosure of my identity without restrictions or limits.


In the event a file or data field needs to be re-submitted or clarified, how may we contact you? Please provide some form of contact information that you believe will preserve your anonymity, for the purpose of OIG follow up only.

FORM SUBMISSION

Upon submission, you will receive a confirmation email with a confirmation number, please retain this email and use the number if you need to provide any additional information or attachments.