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2011-2133

  • Federal Register, Volume 76 Issue 22 (Wednesday, February 2, 2011)[Federal Register Volume 76, Number 22 (Wednesday, February 2, 2011)]

    [Notices]

    [Pages 5974-6002]

    From the Federal Register Online via the Government Printing Office [www.gpo.gov]

    [FR Doc No: 2011-2133]

    [[Page 5973]]

    Vol. 76

    Wednesday,

    No. 22

    February 2, 2011

    Part III

    Commodity Futures Trading Commission

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    Privacy Act of 1974; Publication of the Systems of Records Managed by

    the Commodity Futures Trading Commission; Notice

    Federal Register / Vol. 76 , No. 22 / Wednesday, February 2, 2011 /

    Notices

    [[Page 5974]]

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    COMMODITY FUTURES TRADING COMMISSION

    Privacy Act of 1974; Notice; Publication of the Systems of

    Records Managed by the Commodity Futures Trading Commission

    AGENCY: Commodity Futures Trading Commission.

    ACTION: Notice; publication of existence and character of revised

    systems of records and proposed routine uses.

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    SUMMARY: The Commodity Futures Trading Commission (Commission) is

    revising the notices it is required to publish under the Privacy Act of

    1974 to describe the systems of records that contain information about

    individuals. This revision incorporates address and title changes and

    updated system descriptions. It also incorporates new systems of

    records that were compiled since the last publication of the

    Commission's systems of records notices in 2001. This revision proposes

    to add routine uses that are applicable to all of the Commission's

    systems of records and to re-identify the systems of records already in

    existence in a more consistent format.

    DATES: Comments should be postmarked by March 14, 2011. This notice

    will become effective without further notice, on the date which is 60

    days from the date given above unless otherwise revised pursuant to

    comments received.

    ADDRESSES: Written comments may be mailed or delivered to: Office of

    the Secretariat, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Comments may also

    be sent by e-mail to http://comments.cftc.gov.

    FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy

    Officer, Office of the Executive Director, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone: (202) 418-6629 or e-mail: kharman-stokes@cftc.gov.

    SUPPLEMENTARY INFORMATION: This notice alerts the public to the

    information the Commission collects and maintains on individuals. In

    compiling and publishing the complete text for all of the Commission

    systems of records, new routine uses (blanket routine uses) have been

    added that apply to all of the notices. Since routine uses are

    permissive in nature, the blanket routine uses and the routine uses

    listed for each of the systems of records may be used to make a

    disclosure, but are not required to be used when a requester seeks a

    record. The responsibility to decide whether a routine use is

    applicable rests with the Commission. The Commission is also proposing

    to add a new system of records entitled, Emergency Locator System as

    CFTC-9. This system of records will contain information about

    Commission employees and those identified by the employee to contact in

    the event of a medical or other emergency concerning the employee.

    The system report, as required by 5 U.S.C. 552a(r) has been

    submitted to the Committee on Homeland Security and Governmental

    Affairs of the United States Senate, the Committee on Oversight and

    Government Reform of the House of Representatives, and the Office of

    Management and Budget.

    The Privacy Act

    The Privacy Act is a Federal law that protects information about

    individuals that is collected and maintained in a ``system of records''

    by an agency of the United States government. In addition to providing

    the public with information about these systems, the Privacy Act and

    the Commission's rules limit the agency's ability to use or disclose

    personal information except for specific purposes.

    Systems of Records

    A ``system of records'' is a collection of information about

    individuals in paper, electronic, or other format, from which

    information is retrieved by the name of the individual or by some other

    identifying particular assigned to the individual, such as a social

    security number or address. The Privacy Act does not cover information

    about businesses or about individuals who are not U.S. citizens or

    lawfully admitted aliens. See 5 U.S.C. 522a(5).

    Each system of records notice contains the following information:

    The name of the system;

    The location of the system;

    The categories of individuals whose records are maintained

    in the system;

    The types of records maintained in the system;

    The authority for maintaining the system;

    The routine uses of records maintained in the system,

    including the categories of users and the purposes of such uses;

    The policies and practices for storing, retrieving,

    accessing, retaining, and disposing of records in the system;

    The title and business address of the system manager, the

    agency official who is responsible for the system of records;

    How to find out whether the system of records contains a

    record pertaining to the individual, how the individual may gain access

    to any record pertaining to the individual contained in the system of

    records, and how the individual can contest the content of the records;

    and

    The categories of sources of records in the system.

    Exempt Systems of Records

    The Commission has exempted four systems of records from certain

    requirements of the Privacy Act, as authorized under 5 U.S.C. 552a(k),

    because they contain investigatory material:

    CFTC-1 Enforcement matter register and matter indices

    (exempted, to the extent it contains records that refer or relate to

    records covered under CFTC-10, Investigatory Records (exempted)).

    CFTC-10 Investigatory materials 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.

    Locations of Systems of Records

    Each system of records notice tells the public where records are

    kept. Records may be kept at one or more Commission offices. The

    Commission offices are in the following locations:

    Washington, DC: Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581, Telephone: (202) 418-5000.

    Chicago: 525 West Monroe Street, Suite 1100, Chicago,

    Illinois 60661, Telephone: (312) 596-0700.

    Kansas City: Two Emanuel Cleaver II Blvd., Suite 300,

    Kansas City, Missouri 64112, Telephone: (816) 960-7700.

    New York: 140 Broadway, 19th Floor, New York, New York

    10005, Telephone: (646) 746-9700.

    In the system of records notice, the Commission headquarters office

    in Washington, DC, is referred to as the ``principal office.'' The

    regional offices are referred to collectively as the ``regional

    offices.'' ``All Commission offices'' means the headquarters office and

    the regional offices.

    General Statement of CFTC Routine Uses

    The following ``blanket routine uses'' of records, numbered ``1''

    through ``19'' below, apply to every system of records maintained

    within the Commission. These blanket routine uses of the records are

    published below only once in the interest of simplicity, economy,

    [[Page 5975]]

    and to avoid redundancy. Additional routine uses that apply to a

    particular Commission system notice are listed in the applicable system

    notice. The release of records under all routine uses is permissive

    rather than mandatory. Each of the blanket routine uses is for a

    purpose which is compatible with the purpose for which the information

    was originally collected.

    The following routine uses apply to all CFTC systems of records:

    1. Information 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. Information may be disclosed to the Department of Justice, 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, local,

    territorial or Tribal law enforcement or regulatory agencies for use in

    meeting their statutory and regulatory requirements.

    3. Information may be given to any ``registered entity,'' as

    defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, et

    seq. (``the Act''), if the Commission has reason to believe that such

    information will assist the registered entity in carrying out its

    responsibilities under the Act. Information may also be given to any

    registered futures association registered under section 17 of the Act

    (e.g., the National Futures Association) to assist it in carrying out

    its self-regulatory responsibilities under the Act, 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, 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. 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. 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. 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. 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.''

    9. Where information, either alone or in conjunction with other

    information indicates a violation or potential violation of law--

    criminal, civil, or regulatory in nature--the relevant information may

    be disclosed to the appropriate Federal, State, local, territorial,

    Tribal, or foreign law enforcement authority or other appropriate

    entity charged with the responsibility for investigating or prosecuting

    such violation or charged with enforcing or implementing such law.

    10. Information may be disclosed to the General Services

    Administration for the purpose of records management inspections

    conducted under the authority of 44 U.S.C. 2904 and 2906.

    11. Information may be disclosed to the National Archives and

    Records Administration for the purpose of records management

    inspections being conducted under the authority of 44 U.S.C. 2904 and

    2906.

    12. Information may be disclosed to foreign law enforcement,

    investigatory, or administrative authorities in order to comply with

    requirements set forth in international arrangements, such as memoranda

    of understanding.

    13. Information may be disclosed to contractors, grantees,

    volunteers, experts, students, and others performing or working on a

    contract, service, grant, cooperative agreement, or job for the Federal

    government when necessary to accomplish an agency function.

    14. Information may be disclosed to the Merit Systems Protection

    Board, including the Office of Special Counsel for the purpose of

    litigation, including administrative proceedings, appeals, special

    studies of the civil service and other merit systems.

    15. Information may be disclosed to the Department of Justice or in

    a proceeding before a court, adjudicative body, or other administrative

    body which the agency is authorized to appear, when:

    a. The agency, or any component thereof; or

    b. Any employee of the agency in his or her official capacity; or

    c. Any employee of the agency in his or her official capacity where

    the Department of Justice or the agency has agreed to represent the

    employee; or

    d. The United States, when the agency determines that litigation is

    likely to affect the agency or any of its components;

    Is a party to litigation or has an interest in such litigation, and the

    use of such records by the Department of Justice or the agency is

    deemed by the agency to be relevant and necessary to the litigation

    provided, however, that in each case it has been determined that the

    disclosure is compatible with the purpose for which the records were

    collected.

    16. Information may be disclosed to a Member of Congress or staff

    acting upon the Member's behalf when the Member or staff requests the

    information on behalf of, or at the request of, the individual who is

    the subject of the record.

    17. Information related to any traders or the amount or quantity of

    any commodity purchased or sold by such traders may be disclosed to any

    committee of either House of Congress upon its request, acting within

    the scope of its jurisdiction, pursuant to the Commodity Exchange Act,

    7 U.S.C. 1 et seq., including Section 8(e) of such Act at 7 U.S.C. 12,

    and the rules and regulations promulgated thereunder.

    18. Information may be disclosed to another Federal agency, to a

    court, or a party in litigation before a court or in an administrative

    proceeding being conducted by a Federal agency, when the Government is

    a party to the judicial or administrative proceeding.

    19. Information may be disclosed to appropriate agencies, entities,

    and individuals when:

    [[Page 5976]]

    a. The Commission suspects or has confirmed that the security or

    confidentiality of information in the system of records has been

    compromised;

    b. The Commission has determined that as a result of the suspected

    or confirmed compromise there is a risk of harm to economic or property

    interests, identity theft or fraud, or harm to the security or

    integrity of this system or other systems or programs (whether

    maintained by the Commission or another agency or entity) that rely

    upon the compromised information; and

    c. The disclosure made to such agencies, entities, and individuals

    is reasonably necessary to assist in connection with the Commission's

    efforts to respond to the suspected or confirmed compromise and

    prevent, minimize, or remedy such harm.

    CFTC Systems of Records Notices

    Below is a list of the Commission's systems of records, followed by

    the complete text of all of the systems of records notices.

    Index

    CFTC-1 Enforcement Matter Register and Matter Indices (exempted)

    CFTC-2 Commission Correspondence Files

    CFTC-3 Proceedings Docket Files Forwarded for Adjudication

    CFTC-4 Employee Leave, Time, and Attendance

    CFTC-5 Employee Personnel/Payroll Records

    CFTC-6 Employee Travel and Transportation Records

    CFTC-7 Formal Employment Discrimination Complaint and Reasonable

    Accommodation Files

    CFTC-8 Employment Applications

    CFTC-9 Emergency Locator System

    CFTC-10 Investigatory Records (exempted)

    CFTC-12 Fitness Investigations

    CFTC-13 Interpretative, Exemptive, and No-Action Files

    CFTC-14 Commodity Futures Trading Commission Alumni Records

    CFTC-15 Large Trader Report Files

    CFTC-16 Enforcement Case Files

    CFTC-17 Litigation Files--OGC

    CFTC-18 Logbook on Speculative Limit Violations

    CFTC-20 Registration

    CFTC-28 Self-Regulatory Organization Disciplinary Action Files

    CFTC-29 Reparations Complaints

    CFTC-30 Open Commission Meetings

    CFTC-31 Closed Commission Meetings (exempted)

    CFTC-32 Office of the Inspector General Investigative Files

    (exempted)

    CFTC-33 Electronic Access Card

    CFTC-34 Telephone System (BlackBerry or Calling Card)

    CFTC-35 Interoffice and Internet E-mail

    CFTC-36 Internet Security Gateway Systems (Firewall, Web Content

    Filter, and E-mail Filter)

    CFTC-37 Lexis/Westlaw Billing Information System

    CFTC-38 Automated Library Circulation System

    CFTC-39 Freedom of Information Act Requests

    CFTC-40 Privacy Act Requests

    CFTC-41 Requests for Confidential Treatment

    CFTC-42 Debt Collection Files

    CFTC-43 Visitor Information System

    CFTC-44 Personnel Security Files

    CFTC-1

    SYSTEM NAME:

    Enforcement Matter Register and Matter Indices (exempted, to the

    extent it contains records that refer or relate to records covered

    under CFTC-10, Investigatory Records (exempted)).

    SYSTEM LOCATION:

    This system is located in the Division of Enforcement in the

    Commission's principal office at Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington DC, 20581,

    and regional offices in Chicago at 525 West Monroe Street, Suite 1100

    Chicago, IL 60661, in Kansas City at Two Emanuel Cleaver II Blvd.,

    Suite 300, Kansas City, MO 64112, and New York at 140 Broadway, 19th

    Floor, New York, NY 10005.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    a. Individuals 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. Individuals whom the Commission staff has reason to believe have

    violated, are violating or are about to violate a law or regulation or

    order of another Federal, State or foreign authority.

    c. Individuals lodging complaints with the Commission concerning

    third parties.

    d. Individuals whom the Commission staff has identified as relevant

    to an enforcement matter, such as complainants, witnesses and counsel.

    e. Individuals whom a foreign law enforcement authority has found

    or alleges to have, or suspects of having, violated foreign laws,

    rules, regulations or orders of such foreign law enforcement authority.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    An index system to CFTC-10 Investigatory Records (exempted) and

    CFTC-16 Enforcement Case Files, including:

    a. The matter register records are organized by docket number and/

    or matter name. 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 openings

    and closings of investigations.

    AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section 8

    of such Act at 7 U.S.C. 12, and the rules and regulations promulgated

    thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, binders, computer files

    (eLaw) and computer disks. Electronic records, including computer

    files, are stored on the Commission's network and other electronic

    media as needed, such as encrypted hard drives.

    RETRIEVABILITY:

    By matter name or docket number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Records related to CFTC-10, Investigatory Records (exempted), and

    CFTC-16, Enforcement Case Files, are maintained indefinitely.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Division of Enforcement, in the Commission's principal

    office at Commodity Futures Trading Commission, Three Lafayette Centre,

    1155 21st Street, NW., Washington, DC 20581 and Regional Counsels in

    the

    [[Page 5977]]

    regional offices: in Chicago at 525 West Monroe Street, Suite 1100

    Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd.,

    Suite 300, Kansas City, MO 64112; and in New York at 140 Broadway, 19th

    Floor, New York, NY 10005.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains non-exempt information about themselves or seeking access to

    non-exempt records about themselves in this system of records, or

    contesting the content of non-exempt records about themselves contained

    in this system of records should address written inquiry to the Office

    of General Counsel, Paralegal Specialist, Three Lafayette Centre, 1155

    21st Street, NW., Washington, DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals submitting complaints to the Commission, and

    miscellaneous sources including customers, law enforcement and

    regulatory agencies, commodity exchanges, National Futures Association,

    trade sources, and Commission-staff-generated items.

    SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

    The records in this system that refer or relate to records

    contained in CFTC-10, Investigatory Records (exempted), have been

    exempted by the Commission from certain provisions of the Privacy Act

    of 1974 pursuant to the terms of the Privacy Act, 5 U.S.C. 552a(k)(2),

    and the Commission's rules promulgated thereunder, 17 CFR 146.12. These

    records are exempt from the notification procedures, records access

    procedures, and record contest procedures set forth in the system

    notices of other systems of records, and from the requirement that the

    sources of records in the system be described.

    CFTC-2

    SYSTEM NAME:

    Commission Correspondence Files.

    SYSTEM LOCATION:

    This system is located in the Commission's principal office at

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals corresponding with the Commission, directly or through

    their representatives. Individuals discussed in correspondence to or

    from the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Incoming and outgoing correspondence and indices of correspondence,

    and certain internal reports and memoranda related to the

    correspondence. This system also includes e-mail, Internet and Web-

    based correspondence submitted by the public. This system includes only

    those records that are part of a general correspondence file maintained

    by the office involved. It includes correspondence indexed by assigned

    number and, in certain offices, by individual name of the

    correspondent.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    44 U.S.C. 3101.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, binders or on index

    cards. Electronic records, including computer files, are stored on the

    Commission's network and other electronic media as needed, including

    desktop applications and the Correspondence System.

    RETRIEVABILITY:

    By name of correspondent, subject matter, date or assigned number.

    The name may be either the name of the person who sent or received the

    letter, or the person on whose behalf the letter was sent or received.

    It may also be another person who was the principal subject of the

    letter, where circumstances appear to justify this treatment. See

    previous discussion concerning the category of records maintained in

    this system.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    The retention and disposal period depends on the nature of the

    correspondence. For example, correspondence with the Commission that

    pertains to the programs and policies of the Commission becomes part of

    the agency's central files and is kept permanently. Other

    correspondence may be kept for between one and 10 years, depending on

    the subject matter.

    SYSTEM MANAGER(S) AND ADDRESS:

    Office of the Secretariat; Director, Office of International

    Affairs, Office of External Affairs; Executive Director; General

    Counsel; Director, Division of Enforcement; Director, Division of

    Market Oversight; Director, Division of Clearing and Intermediary

    Oversight, and Office of the Chief Economist. All are located at the

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals corresponding with the Commission and correspondence

    and memoranda prepared by the Commission.

    CFTC-3

    SYSTEM NAME:

    Docket Files for Reparations and Administrative Adjudication.

    SYSTEM LOCATION:

    This system is located in the Office of Proceedings, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    [[Page 5978]]

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All individuals involved in any CFTC administrative enforcement or

    reparations proceeding.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    All pleadings, motions, applications, stipulations, affidavits,

    transcripts and documents introduced as evidence, briefs, orders,

    findings, opinions, and other matters that are part of the record of an

    administrative or reparations proceeding. They also include related

    correspondence and indices.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commission is authorized or required to conduct proceedings

    under several provisions of the Commodity Exchange Act, 7 U.S.C. 1 et

    seq. These files are necessary for the conduct of orderly proceedings.

    See also 44 U.S.C. 3101.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    These records are public records unless the Commission or assigned

    presiding officer determines for good cause to treat them as nonpublic

    records consistent with the provisions of the Freedom of Information

    Act. Nonpublic portions may be used for any purpose specifically

    authorized by the Commission or by the presiding officer who ordered

    such nonpublic treatment of the records.

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, on index cards, paper

    docket cards, and microfilm. Electronic records, including computer

    files, are stored on the Commission's network and other electronic

    media as needed.

    RETRIEVABILITY:

    By the docket number and cross-indexed by complainant and

    respondent names.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets. Records that the Commission or

    presiding officer has directed be held nonpublic, such as material

    submitted in a proceeding ``in camera'' or ``under seal,'' are

    maintained in file folders, binders or in the Commission's computer

    network (e.g., eLaw), separate from public records.

    RETENTION AND DISPOSAL:

    Docket files for reparations cases are maintained for 10 years

    after final disposition of the case. Docket files in administrative/

    enforcement cases are maintained for 15 years after final disposition

    of the case. Docket files for reparations sanctions files are

    maintained until the sanction is satisfied. Docket files of unique or

    precedent setting cases are permanent records that are transferred to

    the National Archives when 20 years old.

    SYSTEM MANAGER(S) AND ADDRESS:

    Proceedings Clerk, Office of Proceedings, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Commission staff members; opposing parties and their attorneys;

    proceeding witnesses; and miscellaneous sources.

    CFTC-4

    SYSTEM NAME:

    Employee Leave, Time, and Attendance.

    SYSTEM LOCATION:

    The information in the system is located in the same Commission

    office as the employee described by the records. Information is also

    kept centrally on the computer system located in the Department of

    Agriculture's National Finance Center, New Orleans, Louisiana.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All Commission employees.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Various records reflecting Commission employees' time and

    attendance and leave status, as well as the allocation of employee time

    to designated budget account codes.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.

    ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

    CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

    a. The information may be provided to the Department of Justice or

    other Federal agencies in connection with any investigation, or

    administrative or legal proceeding involving any violation or potential

    violation of any Federal law, rule, or regulation.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, including paper copies of

    time and attendance worksheets, leave request slips and signed computer

    printouts. Electronic records are stored on the Commission's network

    and in other electronic media as needed, and certain computer files

    (STARweb) are located at the National Finance Center (NFC).

    RETRIEVABILITY:

    By the name of the employee or by the employee number, cross-

    indexed by name.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access

    [[Page 5979]]

    to authorized individuals and maintenance of records in lockable

    offices and filing cabinets. Only specifically authorized individuals

    may access the NFC computer system, and UserID and password are

    required.

    RETENTION AND DISPOSAL:

    Hard copy records, including leave slips, signed computer printouts

    from the STARweb system, overtime approval slips and budget account

    code worksheets are retained for six years, and then destroyed.

    SYSTEM MANAGER AND ADDRESS:

    Director, Office of Human Resources, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The individual about whom the record is maintained.

    CFTC-5

    SYSTEM NAME:

    Employee Personnel/Payroll Records.

    SYSTEM LOCATION:

    This system is located in the Office of Human Resources, and the

    Office of General Counsel, Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581 and on a

    computer system located in the Department of Agriculture's National

    Finance Center, New Orleans, LA.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All Commission employees.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Payroll related information for current Commission employees,

    including payroll and leave data for each employee relating to rate and

    amount of pay, leave and hours worked, and leave balances, tax and

    retirement deductions, life insurance and health insurance deductions,

    savings allotments, savings bonds and charity deductions, student loan

    repayment program information, other benefits information, mailing

    addresses and home addresses, direct deposit information, and copies of

    the Commission time and attendance reports as well as authorities

    relating to deductions, including salary offset under part 141 of the

    Commission's rules. The records maintained in the principal office for

    all employees may also include: (a.) Various summary materials received

    in computer printout form; (b.) Awards information; (c.) Recruitment,

    relocation or retention bonuses; and (d.) Training information.

    The official personnel records maintained by the Commission are

    described in the system notices published by the Office of Personnel

    Management (OPM/GOVT-1 and OPM/GOVT-2), and are not included within

    this system. OPM/GOVT-1 is the General Personnel Records System for

    OPM. This system includes employee personal identifying information,

    such as name, date of birth, home address, mailing address, social

    security number, and home telephone. OPM/GOVT-2 is the OPM Employee

    Performance File System Records System, which covers employee

    performance ratings of record and conduct-related documents maintained

    by first line supervisors and managers. See https://www.opm.gov/fedregis/2006/71-061906-35363-a.htm.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    44 U.S.C. 3101, Ethics in Government Act of 1978 (5 U.S.C.

    7301APP); Executive Order Nos. 12674 (as modified by 12731), 12565, and

    11222: 5 CFR parts 2634, 2635. (Personnel Financial Disclosure

    Requirements).

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. The information may be provided to the Department of Justice,

    the Office of Personnel Management or other Federal agencies, or used

    by the Commission in connection with any investigation or

    administrative or legal proceeding involving any violation of Federal

    law or regulation thereunder.

    b. Certain information will be provided, as required by law, to the

    Office of Child Support Enforcement, Administration for Children and

    Families, Department of Health and Human Services Federal Parent

    Locator System (FPLS) and Federal Tax Offset System to enable State

    jurisdictions to locate individuals and identify their income sources

    to establish paternity, establish and modify orders of support, and for

    enforcement action.

    c. Certain information will be provided, as required by law, to the

    Office of Child Support Enforcement for release to the Social Security

    Administration for verifying social security numbers in connection with

    the operation of the FPLS by the Office of Child Support Enforcement.

    d. Certain information will be provided, as required by law, to the

    Office of Child Support Enforcement for release to the Department of

    Treasury for purposes of administering the Earned Income Tax Credit

    Program (Section 32, Internal Revenue Code of 1986) and verifying a

    claim with respect to employment in a tax return.

    e. The information may be provided to insurance companies

    providing, or proposing to bid on a solicitation to provide, health

    benefits to Commission employees. This data may include, but is not

    limited to: name, social security number, date of birth, age, gender,

    marital status, service computation date, date of initial appointment

    with the Commission, geographic location, standard metropolitan service

    area, home phone number, home address, of the Commission employee. For

    each enrolled dependent of the Commission employee, this information

    may include, but is not limited to: dependent's name, relationship of

    the dependent to the Commission employee, date of birth, age, gender,

    social security number, home address, marital status, student status,

    and handicap status where applicable. This information may be used to

    verify eligibility, pay claims, or provide accurate bids.

    f. For employees who request repayment of student loans through the

    CFTC Student Loan Repayment Program, certain information will be

    provided to the organizations that hold the requesting employees' loan

    notes for the purpose of verifying outstanding loan amounts and

    administering such program.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, and electronic records,

    including computer files, are stored on the Commission's network, the

    National Finance Center Personnel/Payroll System/CFTC-Network, and

    other electronic media as needed.

    [[Page 5980]]

    RETRIEVABILITY:

    By the name or social security number of the employee.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    These records are maintained according to retention schedules

    prescribed by the General Records Schedule for each type of personnel/

    payroll record.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Office of Human Resources, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individual about whom the record is maintained; personnel office

    records; and miscellaneous sources.

    CFTC-6

    SYSTEM NAME:

    Employee Travel and Transportation Records.

    SYSTEM LOCATION:

    Employee travel records are part of the GovTrip System operated by

    the Northrop Grumman Mission Systems located at 12900 Federal Park

    System Drive, Fairfax, VA 22033. Access to these records is through

    Office of Financial Management, Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

    The transit subsidy system is located in the Office of Management

    Operations, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Any Commission member, employee, witness, expert, advisory

    committee member or non-Commission employee traveling on official

    business for the Commission and any Commission employee who applies for

    and receives a transit subsidy.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Travel records contain the name, social security number, address,

    destination, itinerary, mode and purpose of travel, dates, expenses,

    miscellaneous claims, amounts advanced, amounts claimed, and amounts

    reimbursed. Includes travel authorizations, travel vouchers, requests,

    receipts, invoices from credit card vendors' receipts, and other

    records. Transit subsidy records contain the employee's name, home

    address, office, office phone, the last four digits of the social

    security number, the mode of transportation, the monthly amount of

    transportation expenses, and the monthly amount received.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq.; 44 U.S.C. 3101.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSE OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network,

    including GovTrip, and in other electronic media as needed.

    RETRIEVABILITY:

    By the name of the Commission member, employee witness, expert,

    advisory committee member or Commission employee traveling on official

    business for the Commission or the name of the employee applying for or

    receiving a transit subsidy and by the last four digits of the social

    security number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Travel records are retained for six years and three months after

    the period covered by the account. Records of travel that is non-

    Federally funded are retained for six years, three months. Transit

    subsidy applications maintained by Commission are retained for three

    years after the employee is no longer in the program or the application

    is superseded.

    SYSTEM MANAGER(S) AND ADDRESS:

    Deputy Director for Accounting and Financial Systems and Network

    Manager (travel and transportation records) and Director, Office of

    Management Operations (transit subsidy records), both at Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The individual on whom the record is maintained.

    CFTC-7

    SYSTEM NAME:

    Formal Employment Discrimination Complaint and Reasonable

    Accommodation Files.

    [[Page 5981]]

    SYSTEM LOCATION:

    The system is located in the Office of Equal Employment Opportunity

    Office (EEO), Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st St., NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals or groups (employees or applicants), who believe they

    have been discriminated against, and/or subjected to harassment (sexual

    or non-sexual) on the basis of their race color, religion, sex

    (gender), national origin, age, disability (mental or physical),

    retaliation or sexual orientation. Employees seeking work-related

    accommodations for disabilities (mental/physical), and disabled

    applicants seeking accommodations to participate in the employment

    process.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Reports to Commission officials from supervisors, managers, or

    members of the Commission, the Equal Employment Opportunity Commission,

    and Congress relating to discrimination claims or concerning observed

    instances of sexual harassment; records relating to the complaint or

    incident, relating to any investigation, and to any disposition of the

    matter. Records of accommodation requests and the disposition of those

    requests. 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 employment discrimination

    would be made part of this system.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    29 CFR 1614.102(a); 5 U.S.C. Sec. 2302(b); 29 CFR 1614.203.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. Information may be disclosed where the Commission or a present

    member of the Commission is a party to a lawsuit or the records are

    needed for investigatory purposes.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network and in

    other electronic media as needed.

    RETRIEVABILITY:

    Records are retrievable by the name of the complainant and/or the

    complainant case number for discrimination complaints, and by the

    applicant/employee name for reasonable accommodation requests.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access and specifically to access of these records to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Records are destroyed four years after resolution of the

    discrimination complaint. Reasonable accommodation records are

    maintained throughout employment; retired at employee's retirement;

    destroyed four years after retirement.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Office of Equal Employment Opportunity, Commodity Futures

    Trading Commission, Three Lafayette Centre, 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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Internal complaints, internal investigations, reports of activity

    which apparently violates 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

    1614.

    CFTC-8

    SYSTEM NAME:

    Employment Applications.

    SYSTEM LOCATION:

    This system is located in the Office of Human Resources, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Applicants for positions with the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Contains the application and/or the resume of the applicant.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    44 U.S.C. 3101.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE/RETRIEVABILITY:

    Paper records are stored in file folders and electronic files

    submitted by applicants via e-mail to Employment@cftc.gov. The

    applicant tracking system is located on the CFTC Network. Summary

    information of applications is also available to staff of the Office of

    Human Resources through an automated applicant tracking system that can

    retrieve by announcement number or applicant name.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Also, access to applicant tracking

    system granted only to appropriate personnel. Physical measures include

    restrictions on building access to authorized individuals and

    maintenance of records in lockable offices and filing cabinets.

    [[Page 5982]]

    RETENTION AND DISPOSAL:

    Most applicant records are retained for two years, then destroyed.

    If a review is pending by the Office of Personnel Management (OPM) or

    other authority, the records are retained until that review is

    completed.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Office of Human Resources, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The individual on whom the record is maintained.

    CFTC-9

    SYSTEM NAME:

    Emergency Locator System.

    SYSTEM LOCATION:

    This system is located in the Office of Human Resources, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES ON INDIVIDUALS COVERED BY THE SYSTEM:

    Employees and contractors of the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    This system contains information regarding the organizational and

    telephone number of individual Commission employees and contractors.

    The system also contains the home address, telephone numbers, and

    personal e-mail address of the individual, and the names, home

    addresses, personal e-mail address, and telephone numbers of the

    individual(s) to contact in the event of a medical or other emergency

    concerning the CFTC employee or contractor.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301

    PURPOSES:

    The purpose of this system is to maintain emergency contact names

    and contact information for individuals for use in the event that a

    medical or other emergency involving the individual occurs while the

    individual is employed or providing services to the Commission through

    contract.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, RETAINING, AND

    DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network and in

    other electronic media as needed.

    RETRIEVABILITY:

    Records are retrieved by the name of the individual on whom they

    are maintained.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets. Also, these records are

    maintained in a secured area, available only to authorized personnel

    whose duties require access.

    RETENTION AND DISPOSAL:

    Records are maintained as long as the individual is an employee of,

    or providing services to, the Commission.

    SYSTEM MANAGER AND ADDRESS:

    Director, Office of Human Resources, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5013.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Information is provided by the individual who is the subject of the

    record.

    CFTC-10

    SYSTEM NAME:

    Investigatory Records (exempted).

    SYSTEM LOCATION:

    This system is located in the Office of General Counsel and the

    Division of Enforcement in the Commission's principal office at

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581, and in the Division of Enforcement

    in the regional offices in Chicago at 525 West Monroe Street, Suite

    1100 Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd.,

    Suite 300, Kansas City, MO 64112; and New York at 140 Broadway, 19th

    Floor, New York, NY 10005.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    a. Individuals whom the Commission staff has reason to believe have

    violated, are violating, or are about to violate the Commodity Exchange

    Act and the rules, regulations and orders promulgated thereunder.

    b. Individuals whom the Commission staff has reason to believe have

    violated, are violating or are about to violate a law or regulation or

    order of another Federal, State or foreign authority.

    c. Individuals whom the Commission staff has reason to believe may

    have information concerning violations of the Commodity Exchange Act

    and the rules, regulations and orders promulgated thereunder.

    d. Individuals involved in investigations authorized by the

    Commission concerning the activities of members of the Commission or

    its employees based upon formal complaint or otherwise.

    e. Individuals whom the Commission staff has identified as relevant

    to an enforcement investigation, such as complainants, witnesses and

    counsel.

    f. Individuals whom a foreign law enforcement authority has found

    or alleges to have, or suspects of having, violated foreign laws,

    rules, regulations or orders of such foreign law enforcement authority.

    [[Page 5983]]

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Investigatory materials compiled for law enforcement purposes whose

    disclosure the Commission staff has determined could impair the

    effectiveness and orderly conduct of the Commission's regulatory and

    enforcement program or compromise Commission investigations. This

    system may include all or any part of the records developed during the

    investigation or inquiry, including data from Commission reporting

    forms, account statements and other trading records, exchange records,

    bank records and credit information, business records, information

    available on the Internet or other electronic sources, reports of

    interviews, transcripts of testimony, exhibits to transcripts,

    affidavits, statements by witnesses, registration information,

    contracts and agreements. The system may also contain internal

    memoranda, reports of investigation, orders of investigation,

    subpoenas, warning letters, stipulations of compliance, correspondence,

    and other miscellaneous investigatory matters. The nature of the

    personal information contained in these files varies according to what

    is considered relevant by the attorney assigned based on the

    circumstances of the particular case under investigation, and may

    include personal background information about the individual involved,

    his education and employment history, information on prior violations,

    and a wide variety of financial information, as well as a detailed

    examination of the individual's activities during the period in

    question.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Commodity Exchange Act, 7 U.S.C. 1 et seq., including 7 U.S.C. 13a-

    1, authorizing injunctive actions, various provisions in that Act

    authorizing administrative actions, and the rules and regulations

    promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, binders, computer files

    (eLaw) and computer disks. Electronic records, including computer

    files, are stored on the Commission's network and on various other

    electronic media as needed, such as encrypted hard drives.

    RETRIEVABILITY:

    By assigned file name, which may be the matter number or the name

    of the person or firm that is the principal subject of the

    investigation. A summary index of material is also stored on the

    computer.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of certain

    records in secured filing rooms and/or locked filing cabinets. Also,

    all employees are made aware of the sensitive nature of investigatory

    information.

    RETENTION AND DISPOSAL:

    If an investigatory matter is closed without institution of a case,

    the files are maintained in off site storage for five years, and then

    destroyed. When the Commission moves forward from an investigation to

    litigation:

    (a) Investigatory records that are disclosed by the Commission in

    the administrative, court or other proceedings become part of non-

    exempt CFTC-16, Enforcement Case Files and/or CFTC-17, Litigation

    Files--OGC, and are retained and disposed of pursuant to CFTC-16 and/or

    CFTC-17; and

    (b) Investigatory records not disclosed in such proceedings are

    retained in exempt CFTC-10, Investigatory Records, and disposed of on

    the same schedule as the related non-exempt records under CFTC-16 or

    CFTC-17.

    All Investigatory Records remain exempt from disclosure under the

    Privacy Act.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Division of Enforcement and/or General Counsel, Office of

    the General Counsel in the Commission's principal office at Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581 and Regional Counsels in the regional

    offices: in Chicago at 525 West Monroe Street, Suite 1100, Chicago, IL

    60661; in Kansas City at Two Emanuel Cleaver II Blvd., Suite 300,

    Kansas City, MO 64112; and in New York at 140 Broadway, 19th Floor, New

    York, NY 10005.

    RECORD SOURCE CATEGORIES:

    Reporting forms and other information filed with the Commission;

    self-regulatory organizations; individuals or firms covered by the

    Commission's registration requirements; Federal, State and local

    regulatory and law enforcement agencies; banks, credit organizations

    and other institutions; corporations; individuals having knowledge of

    the facts; attorneys; publications; courts; and miscellaneous sources.

    SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

    The records in this system have been exempted by the Commission

    from certain provisions of the Privacy Act of 1974 pursuant to the

    terms of the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's

    rules promulgated thereunder, 17 CFR 146.12. These records are exempt

    from the notification procedures, records access procedures, and record

    contest procedures set forth in the system notices of other systems of

    records, and from the requirement that the sources of records in the

    system be described.

    CFTC-12

    SYSTEM NAME:

    Fitness Investigations.

    SYSTEM LOCATION:

    Records for floor brokers and floor traders with respect to matters

    commenced prior to August 1, 1994 are located in the Division of

    Clearing and Intermediary Oversight, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Records for futures commission merchants, introducing

    brokers, commodity pool operators, commodity trading advisors, their

    respective associated persons and principals, with active registration

    status in any capacity on or after October 1, 1983; leverage

    transaction merchants and their associated persons and principals with

    active registration status as such on or after August 1, 1994; floor

    brokers and floor traders with active registration status as such on or

    after August 1, 1994; and agricultural trade option merchants (ATOMs)

    and their associated persons are located at the National Futures

    Association (NFA), 300 South Riverside, Suite 1800, Chicago, Illinois

    60606.

    [[Page 5984]]

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who have applied or who may apply for registration as

    futures commission merchants, introducing brokers, commodity pool

    operators, commodity trading advisors, leverage transaction merchants

    and ATOMs; individuals listed or who may be listed as principals (as

    defined in 17 CFR Part 3.1); individuals who have applied or who may

    apply for registration as associated persons of the foregoing firms;

    and floor brokers and floor traders.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information pertaining to the fitness of the above-described

    individuals or firms to engage in business subject to the Commission's

    jurisdiction. The system contains information in computerized images or

    alpha-numeric format and hardcopy format including registration forms,

    schedules and supplements, fingerprint cards which are required for

    individual registrants except ATOMs, correspondence relating to

    registration, and reports and memoranda reflecting information

    developed from various sources. In addition, the system contains

    records of each fitness investigation.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act as amended, 7 U.S.C. 1 et seq.,

    including Sections 4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1)-(5),

    8a(10), 8a(11), 17(o) and 19, at 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1),

    12a(1)-(5), 12a(10), 12a(11), 21(o) and 23, and the rules and

    regulations promulgated under the Commodity Exchange Act.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USERS AND THE PURPOSE OF SUCH USES:

    a. Information contained in this system of records may be disclosed

    to any person with whom an applicant or registrant is or plans to be

    associated as an associated person or affiliated as a principal.

    b. Information contained in this system of records may be disclosed

    to any registered futures commission merchant with whom an applicant or

    registered introducing broker has or plans to enter into a guarantee

    agreement in accordance with Commission regulation at 17 CFR Part 1.10.

    Note: NFA may disclose information contained in those portions

    of this system of records, but any such disclosure must be made in

    accordance with NFA rules that have been approved by the Commission

    or permitted to become effective without Commission approval. The

    disclosure must be made under circumstances authorized by the

    Commission as consistent with the Commission's regulations and

    routine uses. No specific consent is required by an applicant or

    registered introducing broker to disclosure of information to the

    futures commission merchant with whom it has or plans to enter a

    guarantee agreement.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and binders. Electronic

    records, including computer files, are stored on the Commission's

    network, in the NFA Online Registration System (ORS), microfiche and

    various other electronic media as needed, such as encrypted hard

    drives.

    RETRIEVABILITY:

    By the name of the individual or firm, or by the assigned

    identification number. Where applicable, the NFA's computer cross-

    indexes the individual's file to the name of the futures commission

    merchant, introducing broker, commodity trading advisor, commodity pool

    operator, leverage transaction merchant or ATOMs with which the

    individual is associated or affiliated.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals, including limiting access

    to individuals whose official duties require access, and maintenance of

    records in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Since 1991, when a fitness investigation is opened by NFA,

    applications, biographical supplements, other forms, related documents,

    correspondence and reports are immediately scanned, indexed and stored

    using computer imaging software so the information may be retrieved and

    printed. Imaged records are maintained indefinitely. Any hard copy

    originals are maintained by NFA for two years after imaged. Records

    retained by CFTC are held for ten years.

    SYSTEM MANAGER(S) AND ADDRESS:

    For records held by the Commission: Director, Division of Clearing

    and Intermediary Oversight, Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. For

    records held by NFA: Vice President for Registration, National Futures

    Association, 300 South Riverside, Suite 1800, Chicago, Illinois 60606.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    Individuals may also request registration information by telephone

    directly from the NFA information center at (800) 621-3570 or (312)

    781-1410. Inquiries can also be made to NFA by fax at (312) 781-1459 or

    via the Internet at information@nfa.futures.org. NFA will query the ORS

    database system about current registration status and registration

    history, and will provide instructions on how to make written requests

    for copies of records. The Internet may be used to obtain information

    on current registration status and futures-related regulatory actions

    at http://www.nfa.futures.org by selecting ``BASIC.''

    RECORDS SOURCE CATEGORIES:

    The individual or firm on whom the record is maintained; the

    individual's employer; Federal, State and local regulatory and law

    enforcement agencies; commodities and securities exchanges; NFA;

    National Association of Securities Dealers; foreign futures and

    securities authorities and INTERPOL; and other miscellaneous sources.

    CFTC-13

    SYSTEM NAME:

    Interpretive, Exemptive, and No-Action Files.

    SYSTEM LOCATION:

    Most files are prepared by the Division of Clearing and

    Intermediary

    [[Page 5985]]

    Oversight and are kept in that office. Public copies of the

    interpretative, exemptive and no-action letters, which may be redacted,

    are also kept in the Office of the Secretariat and the Office of Public

    Affairs, and are also available on the CFTC Web site (http://www.cftc.gov). All offices are located at the Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who have requested the Commission or its staff to

    provide interpretations, exemptions or no-action positions regarding

    the provisions of the Commodity Exchange Act or the Commission's

    regulations there under. The requests may have been made directly by an

    individual, or through the individual's attorney or other

    representative. A request may also be made on behalf of a registrant or

    other party that contains information about individuals employed by or

    affiliated with the registrant or other party. Registrants include

    futures commission merchants, introducing brokers, commodity pool

    operators, commodity trading advisors, agricultural trade option

    merchants, leverage transaction merchants, associated persons, floor

    brokers and floor traders.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Requests for interpretative, exemptive and no-action letters,

    supplemental correspondence, any related internal memoranda, other

    supporting documents and the responses to the requests.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., and the rules and

    regulations promulgated thereunder, including 17 CFR Parts 140.98 and

    140.99.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. Pursuant to the Commission's rules, 17 CFR Part 140.98,

    substantive interpretative, exemptive and no-action letters are made

    public and published by the Commission. Portions of such letters or

    information will be deleted or omitted to the extent necessary to

    prevent a clearly unwarranted invasion of personal privacy or to the

    extent they otherwise contain material considered nonpublic under the

    Freedom of Information Act and the Commission's rules implementing that

    Act.

    b. Information in these files may be used as a reference in

    responding to later inquiries from the same party, in following up on

    earlier correspondence involving the same person, or when another

    person raises the same or similar issues.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records in file folders. Electronic records, including

    computer files, are stored on the Commission's network, including

    desktop applications and e-mail files. The redacted outgoing letter is

    maintained electronically on a shared drive.

    RETRIEVABILITY:

    The Division of Clearing and Intermediary Oversight has tracking

    systems in place. A division-wide database maintains information on all

    projects, including requests for exemptive, no-action and interpretive

    letters, and is completely searchable. In addition, each section within

    the Division of Clearing and Intermediary Oversight may maintain its

    own tracking system for requests that preceded the implementation of

    the division-wide system. Public copy files in the Office of the

    Secretariat and the Office of Public Affairs are filed by the name of

    the requester, even if another party makes the request on behalf of the

    requester.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Letters signed by the Commission and unique, precedent-setting

    letters signed by staff are maintained for 20 years, then transferred

    to the National Archives and Records Administration as permanent

    records. Other letters signed by staff are destroyed after 15 years.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Division of Clearing and Intermediary Oversight;

    Secretary to the Commission, Office of the Secretariat; and Director,

    Office of Public Affairs at Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals, corporations, limited liability companies, other

    business organizations, or representatives seeking interpretations of,

    exemptions from, or no-action opinions on the provisions of the

    Commodity Exchange Act or Commission rules.

    CFTC-14

    SYSTEM NAME:

    Commodity Futures Trading Commission Alumni Records.

    SYSTEM LOCATION:

    This system is located in the Office of Human Resources, Commodity

    Futures trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Former employees of the Commission, and those who worked as

    contractors or were engaged in duties at the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    This system contains information regarding former employees of the

    Commission including their names, position titles, office address and

    telephone number, and with the approval of the individual, home and/or

    business address, home and/or business telephone number, e-mail

    address, and other relevant data needed to keep in contact with the

    individual. This system will also contain similar information regarding

    contractors and other who were engaged in duties at the Commission.

    [[Page 5986]]

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301.

    PURPOSE:

    The records are used by Commission staff to maintain contact with

    former Commission employees and others involved in Commission business.

    These records may be used to notify individuals of Commission events.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, AND DISPOSING OF

    RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network and

    other electronic media as needed.

    RETRIEVABILITY:

    Records may be retrieved by the name or e-mail address of the

    individual.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, required use of strong

    passwords frequently changed, use of encryption for certain data types

    and transfers, and regular review of security procedures and best

    practices to enhance security. Physical measures include restrictions

    on building access to authorized individuals and maintenance of records

    in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Information is retained until revised or deleted in accordance with

    General Records Schedule 13, Item 4b.

    SYSTEM MANAGER AND ADDRESS:

    Deputy Director, Office of Management Operations, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals about whom the records are maintained. Information will

    predominately be obtained directly from the individual in response to

    the Commission's request to have alumni respond regarding Commission

    events.

    CFTC-15

    SYSTEM NAME:

    Large Trader Report Files (Integrated Surveillance System).

    SYSTEM LOCATION:

    This system is located in the Division of Market Oversight, in the

    Commission's principal office at Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581;

    and in the regional offices at in Chicago at 525 West Monroe Street,

    Suite 1100 Chicago, IL 60661; and New York at 140 Broadway, 19th Floor,

    New York, NY 10005.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals holding reportable positions as defined in 17 CFR Parts

    17, 18 and 19.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    1. Reports filed by the individual holding the reportable position:

    a. Statements of Reporting Trader (CFTC Form 40) contains

    information described in part 18 of the Commission's rules and

    regulations, including the name, address, number, and principal

    occupation of the reporting trader, financial interest in and control

    of commodity futures accounts, and information about the trader's

    business associations;

    b. Large trader reporting contains information described in part 18

    of the Commission's rules and regulations, including the trader's

    identifying number, previous open contracts, trades and deliveries that

    day, open contracts at the end of the day, and classification as to

    speculation or hedging (available on a non-routine basis by special

    call);

    c. Large trader reporting form (Series 04 Form). Contains

    information described in part 19 of the Commission's rules and

    regulations, to be filed by merchants, processors and dealers in

    commodities that have Federally imposed speculative position limits.

    Includes trader's identifying number, stocks owned, fixed price sale

    and purchase commitments. These reports are filed in the Commission

    office in the city where the reporting trader is located. If there is

    no Commission office in that city, the reports are filed according to

    specific instructions of the Commission.

    2. Reports to be filed by futures commission merchants, members of

    contract markets, foreign brokers and, for large option traders, by

    contract markets.

    a. Identification of ``Special Accounts'' (CFTC Form 102). Contains

    material described in part 17 of the Commission's rules and

    regulations. Includes the name, address, and the occupation of a

    customer whose accounts have reached the reporting level. Also includes

    the account number that the futures commission merchant uses to

    identify this customer on the firm's 01 report (see next paragraph),

    and whether the customer has control of or financial interest in

    accounts of other traders.

    b. Large trader reporting form (Series 01 Form). Contains material

    described in part 17 of the Commission's rules and regulations, for

    each ``special account.'' Shows customer account number, reportable

    position held in each commodity future and option, and information

    concerning deliveries and exchanges of futures for physicals by

    individuals with reportable positions.

    3. Computer records prepared from information on the forms

    described in items (1) and (2) above.

    4. Correspondence and memoranda of telephone conversations between

    the Commission and the individual or between the Commission and other

    agencies dealing with matters of official business concerning the

    individual.

    5. Other miscellaneous information, including intra-agency

    correspondence and memoranda concerning the individual and documents

    relating to official actions taken by the Commission against the

    individual.

    6. Reports of Positions and Transactions of Clearing Member Firms.

    Information is provided in electronic transmission and is readable on

    the Internet and contains the data prescribed in section 16 of the

    Commission's regulations. The information includes an identification

    number for each clearing member, open contracts at the firm for

    proprietary and customer accounts and transactions such as trades,

    exchanges of futures for physicals, delivery notices issued and

    received, and transfers and option exercises. The information is filed

    in the

    [[Page 5987]]

    city where the exchange is located or as instructed by the Commission.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections

    4g, 4i, and 8 of that Act, at 7 U.S.C. 6g, 6i and 12, and the rules and

    regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. Information concerning traders and their activities may be

    disclosed and made public by the Commission to the extent permitted by

    law when deemed appropriate to further the practices and policies of

    the Commodity Exchange Act.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF THE RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, loose-leaf binders and

    similar paper filing methods, and electronic records, including

    computer files and the Integrated Surveillance System, are stored on

    Commission's network and other electronic media as needed.

    RETRIEVABILITY:

    CFTC Form 40, CFTC Form 102, correspondence and other miscellaneous

    information are maintained directly under the name of the reporting

    trader. The series 01 and 04 forms are maintained by identifying code

    number. However, information from these forms is included in the

    computer and retrievable by individual identifier.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Further, access to these records is limited to those

    individuals whose official duties require access, through security

    features built into the Integrated Surveillance System. Physical

    measures include restrictions on building access to authorized

    individuals and maintenance of records in lockable offices and filing

    cabinets.

    RETENTION AND DISPOSAL:

    CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are

    retained on the premises until the account has been inactive for five

    years and are then destroyed. Form 01 and 04 reports are maintained for

    six months on the premises and then held in offsite storage for five

    years before being destroyed. The computer file is maintained for ten

    years for Form 01 and 04. Clearing member positions and transactions

    are maintained for three years. Trader code numbers and related

    information are maintained for five years after a trader becomes non-

    reportable. Account numbers assigned by an futures commission merchant

    are maintained on the system for one year after the account is no

    longer reported.

    SYSTEM MANAGER(S) AND ADDRESS:

    Chief, Market Surveillance Section, Division of Market Oversight,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581; and Surveillance Branch Chiefs in

    the regional offices in Chicago at 525 West Monroe Street, Suite 1100

    Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York,

    NY 10005.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The individual on whom the record is maintained and futures

    commission merchants through whom the individual trades. Correspondence

    and memoranda prepared by the Commission or its staff. Correspondence

    from firms, agencies, or individuals requested to provide information

    on the individual.

    CFTC-16

    SYSTEM NAME:

    Enforcement Case Files.

    SYSTEM LOCATION:

    This system is located in the Division of Enforcement in the

    Commission's principal office at Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581,

    and in the Division of Enforcement in the regional offices in Chicago

    at 525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City

    at Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and

    New York at 140 Broadway, 19th Floor, New York, NY 10005.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    a. Individuals or firms against whom the Commission has taken

    enforcement action based on violations of the Commodity Exchange Act or

    the rules and regulations promulgated thereunder.

    b. Individuals whom the Commission staff has identified as relevant

    to an enforcement investigation, such as complainants, witnesses and

    counsel.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Copies of various public papers filed by or with the Commission or

    the courts in connection with administrative proceedings or injunctive

    actions brought by the Commission. Records include, at a minimum, a

    copy of the complaint, motions filed, exhibits and the final decision,

    and order.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    These files are necessary for the orderly and effective conduct of

    litigation authorized under the Commodity Exchange Act and other

    Federal statutes. The Commodity Exchange Act, 7 U.S.C. 1 et seq.,

    including section 6c of that Act at 7 U.S.C. 13a-1, section 6(c) of

    that Act at 7 U.S.C. 9, and the rules and regulations promulgated

    thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, binders, computer files

    (eLaw) and computer disks. Electronic records, including computer

    files, are stored on the Commission's network and on various other

    electronic media as needed, such as encrypted hard drives. A summary

    index of material is also stored on the computer network.

    [[Page 5988]]

    RETRIEVABILITY:

    By case title or in some instances by docket number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    After an action is complete, the complaint and any final decision

    or dispositive orders are kept indefinitely at the headquarters office.

    Most case files are destroyed after 15 years; unique, precedent-setting

    cases are offered to the National Archives and Records Administration

    for permanent retention after 20 years.

    SYSTEM MANAGER AND ADDRESS:

    Director, Division of Enforcement, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581 and Regional Counsels in the regional offices: in Chicago at

    525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City at

    Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and in

    New York at 140 Broadway, 19th Floor, New York, NY 10005.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The parties, their attorneys, the Commission's Office of

    Proceedings, the relevant court, and miscellaneous sources.

    CFTC-17

    SYSTEM NAME:

    Litigation Files--OGC.

    SYSTEM LOCATION:

    This system is located in the Office of the General Counsel,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Parties involved in litigation with the Commission or litigation in

    which the Commission has an interest including, but not limited to:

    a. Administrative proceedings before the Commission, including

    appeals from staff determinations of requests made under FOIA and the

    Privacy Act;

    b. Federal court cases to which the Commission is a party;

    c. Litigation in which the Commission is participating as amicus

    curiae; and

    d. Other cases involving issues of concern to the Commission,

    including those brought by other law enforcement and regulatory

    agencies and those brought by private parties.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Public papers filed in litigation as described above, including

    appellate and amicus curiae briefs, motions, and final decisions and

    orders.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1, et seq., and the rules and

    regulations promulgated pursuant to the Commodity Exchange Act, entrust

    the Commission with broad regulatory responsibilities over commodity

    futures transactions. In this connection, the Commission is authorized

    to bring both administrative proceedings and injunctive actions where

    there appear to have been violations of the Act. Furthermore, to

    effectuate the purposes of the Act, it is necessary that the Commission

    staff be familiar with developments in other actions brought by others

    that have implications in the commodity law areas.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    The information in these files is generally a matter of public

    record and may be disclosed without restriction. Information in this

    system may be disclosed in accordance with the blanket routine uses

    numbered 1 through 19 that appear at the beginning of the Commission's

    compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, binders, computer files

    (eLaw) and computer disks. Electronic records, including computer

    files, are stored on the Commission's network and on various other

    electronic media as needed, such as encrypted hard drives.

    RETRIEVABILITY:

    Alphabetically by caption of the case.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Maintained in the active files until the action is completed,

    including final review at the appellate level. Thereafter, transferred

    to the inactive case files, where a skeletal record of pleadings,

    briefs, findings, and opinions and other particularly relevant papers

    may be maintained. These records are maintained on premises for five

    years, and then transferred to off-site storage. Most case files are

    destroyed after 15 years; unique precedent-setting cases are

    transferred to the National Archives for permanent retention. A copy of

    some of the documents may be kept in precedent files for use in later

    legal research or preparation of filings in other matters.

    SYSTEM MANAGER AND ADDRESS:

    Deputy General Counsel for Litigation, Office of the General

    Counsel, Commodity Futures Trading Commission, Three Lafayette Centre,

    1155 21st Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records

    [[Page 5989]]

    should address written inquiry to the Office of General Counsel,

    Paralegal Specialist, Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

    Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    The court or regulatory authority before which the action is

    pending, the attorneys for one of the named parties, and miscellaneous

    sources.

    CFTC-18

    SYSTEM NAME:

    Logbook on Speculative Limit Violations.

    SYSTEM LOCATION:

    This system is located in the Division of Market Oversight, in the

    Commission's principal office at Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581;

    and is accessible in the regional offices in Chicago at 525 West Monroe

    Street, Suite 1100, Chicago, IL 60661; and New York at 140 Broadway,

    19th Floor, New York, NY 10005.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who have exceeded and who have potentially exceeded

    speculative limits in a particular fiscal year.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    The records consist of a sequential listing, by year, of the

    possible violations and confirmed violations of speculative limits

    imposed by the Commission and the exchanges. The logbook records the

    date notification is sent to traders and/or exchanges, the due date for

    reply and the date the response is received. It includes the trader's

    name and assigned trader ID, the commodity (code) involved, and the

    type of violation. Copies of referral letters, warning letters and

    replies pertaining to the violation listed are scanned and become part

    of the electronic record.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections

    4i and 8 of that Act at 7 U.S.C. 6i and 12, and the rules and

    regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders. Electronic records,

    including computer files, are stored on the Commission's network and in

    other electronic media as needed.

    RETRIEVABILITY:

    By any of the available data fields as noted above under

    ``Categories of Records in the System,'' e.g., trader's name and

    assigned trader ID, the commodity (code) involved, the type of

    violation, and dates for tracking referral letters, other

    correspondence and reports.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Files are destroyed five years after the end of the fiscal year

    that the records covered.

    SYSTEM MANAGER(S) AND ADDRESS:

    Market Surveillance Market Information Group Management in the

    regional offices in Chicago at 525 West Monroe Street, Suite 1100

    Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York,

    NY 10005.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Large Trader reports filed by reporting firms and reporting

    markets. Correspondence prepared by the Commission or by the individual

    or individual's representative.

    CFTC-20

    SYSTEM NAME:

    Registration (Registration of Floor Brokers, Floor Traders, Futures

    Commission Merchants, Introducing Brokers, Commodity Trading Advisors,

    Commodity Pool Operators, Leverage Transaction Merchants, Agricultural

    Trade Option Merchants and Associated Persons).

    SYSTEM LOCATION:

    This system is located at the National Futures Association (NFA),

    300 South Riverside, Suite 1800, Chicago, IL 60606.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who have applied or who may apply for registration as

    futures commission merchants, introducing brokers, commodity pool

    operators, commodity trading advisors, leverage transaction merchants

    and agricultural trade option merchants (ATOMs); individuals listed or

    who may be listed as principals (as defined in 17 Part CFR 3.1);

    individuals who have applied or who may apply for registration as

    associated persons of the foregoing firms; and floor brokers and floor

    traders.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information pertaining to the registration and fitness of the

    above-described individuals, except ATOMs, to engage in business

    subject to the Commission's jurisdiction. Information on ATOMs includes

    only the names and registration status of ATOMs and their associated

    persons. The system includes registration forms, schedules, and

    supplements; correspondence relating to registration; and reports and

    memoranda reflecting information developed from various sources.

    Computerized systems, consisting primarily of information taken

    from the registration forms, are maintained by NFA. Computer records

    include the name, date and place of birth, social security number

    (optional), exchange trading privileges (floor brokers and floor

    traders only), firm affiliation, and the residence or business address,

    or both, of each associated person, floor broker, floor trader and

    principal. Computer records also include information relating to name,

    trade name, principal office address, records

    [[Page 5990]]

    address, names of principals and branch managers of futures commission

    merchants, introducing brokers, commodity pool operators, commodity

    trading advisors, leverage transaction merchants, and ATOMs.

    Firm directories, business address, telephone number, registration

    category, and effective date of registration of futures commission

    merchants, introducing brokers, commodity pool operators and commodity

    trading advisors may be sold to the public by the NFA. These

    directories provide registration forms and biographical supplements,

    except for any confidential information on supplementary attachments to

    the forms, are publicly available for disclosure, inspection and

    copying.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections

    4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19 of

    the Commodity Exchange Act as amended, at 7 U.S.C. 6f(1), 6k(4), 6k(5),

    6n(1), 12a(1), 12a(5), 12a(10), and 23, and the rules and regulations

    promulgated thereunder.

    ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

    CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

    a. Information contained in this system of records may be disclosed

    to any person with whom an applicant or registrant is or plans to be

    associated as an associated person or affiliated as a principal.

    b. Information contained in this system of records may be disclosed

    to any registered futures commission merchant with whom an applicant or

    registered introducing broker has entered or plans to enter into a

    guarantee agreement in accordance with Commission regulation at 17 CFR

    Part 1.10.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    Note: NFA may disclose information contained in those portions

    of this system of records maintained by NFA, but any such disclosure

    must be made in accordance with NFA rules that have been approved by

    the Commission or permitted to become effective without Commission

    approval. Disclosures must be made under circumstances authorized by

    the Commission as consistent with the Commission's regulations and

    routine uses. No specific consent is required by an applicant or

    registered introducing broker for disclosure of information to the

    futures commission merchant with whom it has or plans to enter a

    guarantee agreement.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and binders. Electronic

    information, including computer files, are stored on the Commission's

    network, in the NFA Online Registration System (ORS)), microfiche and

    various other electronic media as needed.

    RETRIEVABILITY:

    By the name of the individual or firm, or by assigned

    identification number. Where applicable, the NFA's computer cross-

    indexes the individual's primary registration file to the name of the

    futures commission merchant, introducing broker, commodity trading

    advisor, commodity pool operator, leverage transaction merchant or ATOM

    with whom the individual is associated or affiliated.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Since 2002, registration application records have primarily been

    managed electronically through ORS. ORS electronic records are

    maintained indefinitely, and are updated periodically as long as the

    individual has a registration application pending, is registered in any

    capacity, or is affiliated with any registrant in any capacity. ORS

    records on individuals who may apply are maintained indefinitely.

    Hard copy records generated prior to 2002 are also maintained

    indefinitely, as is an electronic index and summary of these hard copy

    records.

    SYSTEM MANAGER(S) AND ADDRESS:

    Vice President for Registration, National Futures Association

    (NFA), 300 South Riverside, Suite 1800, Chicago, IL 60606.

    NOTIFICATION PROCEDURE:

    Individuals may also request registration information by telephone

    from the NFA information center at (800) 621-3570 or (312) 781-1410.

    Inquiries can also be made to NFA by fax at (312) 781-1459 or via e-

    mail at information@nfa.futures.org. NFA will query the ORS system

    about current registration status and registration and disciplinary

    history, and will provide instructions on how to make written requests

    for copies of records. The Internet may be used to obtain information

    on current registration status and futures-related regulatory actions

    at http://www.nfa.futures.org by selecting ``BASIC.''

    RECORD SOURCE CATEGORIES:

    The individual or firm on whom the record is maintained; the

    individual's employer; and other miscellaneous sources. The computer

    records are prepared from the forms, supplements, attachments and

    related documents submitted to the NFA.

    CFTC-28

    SYSTEM NAME:

    Self-Regulatory Organization Disciplinary Action Files.

    SYSTEM LOCATION:

    This system is located in the Division of Market Oversight,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street NW., Washington, DC 20581; in the regional offices in Chicago at

    Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL 60661 and New

    York at 140 Broadway, 19th Floor, New York, NY 10005; and at the

    National Futures Association (NFA), 300 South Riverside, Suite 1800,

    Chicago, IL 60606.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who have been suspended, expelled, disciplined, or

    denied access to or by a self-regulatory organization (SRO).

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information pertaining to a disciplinary or other adverse action

    taken by an SRO, including the name of the person against whom such

    action was taken, the action taken, and the reasons therefore. The

    information is maintained on a computerized system, the Background

    Affiliation Status Information Center (BASIC), and consists primarily

    of data furnished by NFA and other SROs.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    44 U.S.C. 3101; the Commodity Exchange Act, 7 U.S.C. 1 et seq.,

    including Section 8c(a)(1) of the Commodity Exchange Act, at 7 U.S.C.

    [[Page 5991]]

    12c(a)(1), and the rules and regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and binders. Electronic

    information, including computer files, is stored on the Commission's

    network, the NFA Website/BASIC, and other electronic media as needed.

    RETRIEVABILITY:

    By the name of the individual or firm, or by an NFA identification

    number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Records are retained indefinitely.

    SYSTEM MANAGER(S) AND ADDRESS:

    Deputy Director, Division of Market Oversight, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581; Surveillance Branch Chiefs in the regional

    offices in Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL

    60661 and New York at 140 Broadway, 19th Floor, New York, NY 10005; and

    Vice President for Registration, National Futures Association, 300

    South Riverside, Suite 1800, Chicago, IL 60606.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Self-regulatory organizations notifying the Commission of

    disciplinary or other adverse actions taken.

    CFTC-29

    SYSTEM NAME:

    Reparations Cases Closed in the Complaints Section.

    SYSTEM LOCATION:

    This system is located in the Office of Proceedings, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals filing reparations complaints, as well as the firms and

    individuals named in the complaints.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Reparations complaints, answers, supporting documentation and

    correspondence filed with the Office of Proceedings. If the complaint

    is forwarded for decision by an administrative law judge or judgment

    officer, records become part of CFTC-3, Docket Files for Reparations

    and Administrative Adjudication.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section

    14 of the Commodity Exchange Act, at 7 U.S.C. 18; 44 U.S.C. 3101, and

    the rules and regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders, manual and paper docket

    cards; electronic records, including computer files, are stored on the

    Commission's network and other electronic media as needed.

    RETRIEVABILITY:

    By docket number and cross-indexed by the name of the complainant

    and respondent.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    The records are maintained for ten years after the case is closed,

    except that complaints, decisions, and Commission opinions and orders,

    are retained permanently. Records concerning reparations complaints

    that are not accepted are maintained for three years.

    SYSTEM MANAGER(S) AND ADDRESS:

    Futures Trading Specialist, Complaints Section, Office of

    Proceedings, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals filing reparations complaints or answers.

    CFTC-30

    SYSTEM NAME:

    Open Commission Meetings.

    SYSTEM LOCATION:

    This system is located in the Office of the Secretariat, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    [[Page 5992]]

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who are the subject of discussion at a Commission

    meeting open for public observation.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information pertaining to the individuals who are the subject of

    discussion at an open Commission meeting.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity

    Exchange Act, 7 U.S.C. 1 et seq., and rules and regulations promulgated

    thereunder, including Commission regulations at 17 CFR Part 147.7.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    The information in these files is a matter of public record and may

    be disclosed without restriction. Information in this system may also

    be disclosed in accordance with the blanket routine uses numbered 1

    through 19 that appear at the beginning of the Commission's compilation

    of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network, in

    desktop applications and CommMinutes. Information is also stored on

    microfiche, in audiocassette tapes, CDs and DVDs.

    RETRIEVABILITY:

    These records that include recordings, transcripts, and minutes of

    all Commission meetings are organized and retrieved either by year in

    chronological order or by the names of the individuals, firms,

    exchanges, or other topics that are discussed at the meetings.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Maintained on the Commission premises for at least the statutory

    period required by the Sunshine Act and Commission regulations (at

    least two years after each meeting or at least one year after the

    conclusion of any agency proceeding with respect to which the meeting

    or portion of the meeting was held, whichever is later); transferred to

    the National Archives as permanent records when 20 years old.

    SYSTEM MANAGER(S) AND ADDRESS:

    Secretary of the Commission, Office of the Secretariat, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    NOTIFICATION PROCEDURES:

    Individuals seeking to determine whether this system of records

    contains information about themselves, seeking access to records about

    themselves in this system of records, or contesting the content of

    records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The staff in one or more Divisions generates the information

    recorded during Commission meetings concerning individuals who are the

    subject of discussion at the meetings. The indices are prepared from

    the recordings, transcripts and/or minutes.

    CFTC-31

    SYSTEM NAME:

    Closed Commission Meetings (exempted).

    SYSTEM LOCATION:

    This system is located in the Office of the Secretariat, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who are the subject of discussion at a closed

    Commission meeting.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information pertaining to individuals who are the subject of

    discussion at a closed Commission meeting. This information consists of

    (a) investigatory materials compiled for law enforcement purposes whose

    disclosure the Commission has determined could impair the effectiveness

    and orderly conduct of the Commission's regulatory, enforcement and

    contract market surveillance programs or compromise Commission

    investigations, or (b) investigatory materials compiled solely for the

    purpose of determining suitability, eligibility, or qualifications for

    employment with the Commission to the extent that it identifies a

    confidential source.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity

    Exchange Act, 7 U.S.C. 1 et seq., and the rules and regulations

    promulgated thereunder, including Commission regulations at 17 CFR Part

    147.7.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network, in

    desktop applications and CommMinutes, and other electronic media as

    needed. Information is also stored on microfiche, in audiocassette

    tapes, CDs and DVDs.

    RETRIEVABILITY:

    These records that include recordings, transcripts, and minutes of

    all Commission meetings are organized and retrieved either by year in

    chronological order or by the name of the individuals, firms,

    exchanges, or other topics discussed at the meetings.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and

    [[Page 5993]]

    maintenance of records in lockable offices and filing cabinets.

    RETENTION AND DISPOSAL:

    Maintained on the Commission premises for at least the statutory

    period required by the Sunshine Act and Commission regulations (at

    least two years after each meeting or at least one year after the

    conclusion of any agency proceeding with respect to which meeting was

    held, whichever is later); transferred to the National Archives as

    permanent records when 20 years old.

    SYSTEM MANAGER(S) AND ADDRESS:

    Secretary of the Commission, Office of the Secretariat, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

    The records in this system have been exempted by the Commission

    from certain provisions of the Privacy Act of 1974 pursuant to the

    terms of the Privacy Act, 5 U.S.C. 552a, and the Commission's rules

    promulgated thereunder, 17 CFR Part 146.12. These records are exempted

    from the notification procedures, record access procedures and record

    contest procedures set forth in the system notices of other record

    systems, and from the requirement that the source of records in the

    system be described.

    CFTC-32

    SYSTEM NAME:

    Office of the Inspector General Investigative Files (exempted).

    SYSTEM LOCATION:

    This system is located in the Office of the Inspector General,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who are part of an investigation of fraud and abuse

    concerning Commission programs or operations.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    All correspondence relevant to the investigation; all internal

    staff memoranda, copies of all subpoenas issued during the

    investigation, affidavits, statement from witnesses, transcripts of

    testimony taken in the investigation and accompanying exhibits;

    documents and records or copies obtained during the investigation;

    opening reports, progress reports and closing reports; and an index of

    individuals investigated.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Commodity Exchange Act, 7 U.S.C. 1 et seq., and regulations, rules

    or orders issued thereunder; Public Law 95-452, as amended, 5 U.S.C.

    App. 3.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. The information in the system may be disclosed by the Commission

    in any administrative proceeding before the Commission, in any

    injunctive action, or in any other action or proceeding authorized

    under the Commodity Exchange Act or the Inspector General Act of 1978

    in which the Commission or any member of the Commission or its staff

    participates as a party or the Commission participates as amicus

    curiae.

    b. In any case in which records in the system indicates a violation

    or potential violation of law, whether civil, criminal or regulatory in

    nature, whether arising by general statute or particular program

    statute, or by regulation, rule or order issued pursuant thereto, the

    relevant records may be referred to the appropriate agency, whether

    Federal, foreign, State or local, charged with enforcing or

    implementing the statute, regulation, rule or order.

    c. In any case in which records in the system indicate a violation

    or potential violation of law, whether civil, criminal or regulatory in

    nature, the relevant records may be referred to the appropriate board

    of trade designated as a contract market by the Commission or to the

    appropriate futures association registered with the Commission, if the

    Office of the Inspector General has reason to believe this will assist

    the contract market or registered futures association in carrying out

    its self-regulatory responsibilities under the Commodity Exchange Act,

    7 U.S.C. 1 et seq., and regulations, rules or orders issued pursuant

    thereto, and such records may also be referred 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., and

    regulations, rules or orders issued pursuant thereto.

    d. The information may be given or shown to anyone during the

    course of an Office of the Inspector General (OIG) investigation if the

    staff has reason to believe that disclosure to the person will further

    the investigation. Information may also be disclosed to Federal,

    foreign, State or local authorities in order to obtain information or

    records relevant to an OIG investigation.

    e. The information may be given to independent auditors or other

    private firms with which the OIG has contracted to carry out an

    independent audit, or to collate, aggregate or otherwise refine data

    collected in the system of records. These contractors will be required

    to maintain Privacy Act safeguards with respect to such records.

    f. The information may be disclosed to a Federal, foreign, State or

    local government agency where records in either system of records

    pertain to an applicant for employment, or to a current employer of

    that agency where the records are relevant and necessary to an agency

    decision concerning the hiring or retention of an employee or

    disciplinary or other administrative action concerning an employee.

    g. The information may be disclosed to a Federal, foreign, State,

    or local government agency in response to its request in connection

    with the issuance of a security clearance, the letting of a contract,

    or the issuance of a license, grant or other benefit by the requesting

    agency, to the extent that the information is relevant and necessary to

    the requesting agency's decision in the matter.

    h. The information may be disclosed to the Department of Justice or

    other counsel to the Commission for legal advice or to pursue claims

    and to government counsel when the defendant in litigation is (a) any

    component of the Commission or any member or employee of the Commission

    in his or her official capacity, or (b) the United States or any agency

    thereof.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network,

    including desktop applications, and other electronic media as needed.

    RETRIEVABILITY:

    Investigative files are retrieved by the subject matter of the

    investigation or by case file number. An index provides a

    [[Page 5994]]

    cross-reference on individuals investigated.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets. These records are kept in limited access areas

    during duty hours and in file cabinets in locked offices at all other

    times. These records are available only to those individuals whose

    official duties require such access.

    RETENTION AND DISPOSAL:

    The Office of the Inspector General Investigative Files and the

    index to the files are destroyed 20 years after the case is closed.

    SYSTEM MANAGER(S) AND ADDRESS:

    Inspector General, Office of the Inspector General, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Information in these records is supplied by: Individuals including,

    where practicable, those to whom the information relates; witnesses,

    corporations and other entities; records of individuals and of the

    Commission; records of other entities; Federal, foreign, State or local

    bodies and law enforcement agencies; documents, correspondence relating

    to litigation, and transcripts of testimony; and miscellaneous other

    sources.

    SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:

    Under 5 U.S.C. 552a(j)(2), the Office of the Inspector General

    Investigative Files are exempted from 5 U.S.C. 552a except subsections

    (b), (c)(1), and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10),

    and (11), and (i) to the extent the system of records pertains to the

    enforcement of criminal laws. Under 5 U.S.C. 552(k)(2), the Office of

    the Inspector General Investigative Files are exempted from 5 U.S.C.

    552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) to the extent

    the system of records consists of investigatory material compiled for

    law enforcement purposes. These exemptions are contained at 17 CFR

    146.13.

    CFTC-33

    SYSTEM NAME:

    Electronic Access Card.

    SYSTEM LOCATION:

    This system is located in the Office of Management Operations,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581, and regional offices in New York,

    Chicago, and Kansas City.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Authorized access cardholders in headquarters and regional offices,

    including Commission employees, onsite contractors, visitors, or

    representatives of landlords.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records showing name of assigned user, electronic access card

    number and card status (i.e., whether the card is active or inactive)

    are directly accessible by the Office of Management Operations

    (``OMO'') in the New York and Chicago regional offices, and by OMO upon

    request to the landlord in the headquarters and Kansas City regional

    office. These records are used to verify that cards have been activated

    and deactivated correctly.

    Records showing name of assigned user, electronic access card

    number, card status and card activity (i.e., the time and location of

    access card use by access card user) are directly accessible by OMO in

    the New York and Chicago regional offices, and by OMO upon request to

    the landlord in the headquarters and Kansas City regional office. Such

    records are only accessed and used by the Commission to investigate

    security incidents, such as thefts or inappropriate access to secure

    files.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section

    12(b)(3) of the Act, at 7 U.S.C. 16(b)(3), and rules and regulations

    promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    a. Information contained in this system may be disclosed by the

    Commission to any person in connection with architectural, security or

    other surveys concerning use of office space.

    b. Information contained in this system may be disclosed to any

    person for their use of maintenance or service of data processing

    systems.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders; electronic records,

    including computer files, are stored on the Commission's network,

    including desktop applications, and other electronic media as needed.

    Various reports are generated from the computer system.

    RETRIEVABILITY:

    By name of the subject, by assigned access card number, by time

    period and by entry point.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets. In the headquarters office, these records may be

    requested from the Commission's landlords' databases only by the

    Director of the Office of Management Operations, or his/her designee,

    and the CFTC maintains all access card usage records in limited access

    areas at all

    [[Page 5995]]

    times. In the regional offices, access card information is maintained

    in a locked area, with access restricted to staff members of the Office

    of Management Operations.

    RETENTION AND DISPOSAL:

    In accordance with the General Record Schedules, the records in the

    system are considered temporary and are destroyed six months after the

    user turns in the access card. Paper records are destroyed when no

    longer required or after two years, whichever is shorter.

    SYSTEM MANAGER(S) AND ADDRESS:

    Director, Office of Management Operations, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581.

    NOTIFICATION PROCEDURES:

    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 inquiry to the Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011. The system of records and the

    notification, access and challenge procedures apply only to records of

    access card usage in the Commission's actual possession. None of these

    applies to any information solely in a landlord's possession.

    RECORD RESOURCE CATEGORIES:

    The Commission's landlords in headquarters and the regional offices

    provide information on name of assigned user, access card number,

    access level, and status on a weekly basis or as needed.

    CFTC-34

    SYSTEM NAME:

    Telecommunications Services (BlackBerry or Calling Card).

    SYSTEM LOCATION:

    This system is located in the Office of Information and Technology

    Services, Commodity Futures Trading Commission, Three Lafayette Centre,

    1155 21st Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Commission employees and contractor personnel who are issued either

    a Blackberry or Calling Card.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Calling Card numbers, BlackBerry numbers and the individuals to

    whom they are assigned.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301 and 41 CFR Part 101-35.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVEING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Calling Card records are stored in a spreadsheet file. BlackBerry

    records are stored in a database file. Both files are located on a file

    server on the Commission's network in the headquarters office.

    RETRIEVABILITY:

    Records are retrievable by employee name, BlackBerry telephone

    number, or calling card number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    A BlackBerry record is cancelled when a device is reassigned to

    another user. A Calling Card and its record are cancelled when the card

    is returned to the Office of Information and Technology Services.

    SYSTEM MANAGER(S) AND ADDRESS:

    Telecommunications Manager, Office of Information and Technology

    Services, Commodity Futures Trading Commission, Three Lafayette Centre,

    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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    BlackBerry and Calling Card assignment records.

    CFTC-35

    SYSTEM NAME:

    Interoffice and Internet E-mail.

    SYSTEM LOCATION:

    This system is located in the Office of Information Technology

    Services, Commodity Futures Trading Commission, Three Lafayette Centre,

    1155 21st Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All Commission employees and authorized contractors.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records on the use of the interoffice and Internet e-mail system,

    including the mailbox name, number of objects in the mailbox, and

    aggregate size of the mailbox.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including

    Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3),

    and rules and regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USER AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Records are stored on the mail servers on the computer network in

    each Commission location. Records also may be stored on other

    electronic media as needed, such as encrypted hard drives.

    RETRIEVABILITY:

    The information can be retrieved by assigned interoffice or

    Internet mail address.

    [[Page 5996]]

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    Network administrators have access to the e-mail information,

    including the ``header'' information described under ``Categories of

    Records.'' In addition, the mailbox owner can grant access to objects

    in the mailbox to others.

    RETENTION AND DISPOSAL:

    Records are retained on the Commission's computer mail servers

    until the sender and receiver delete the information from the e-mail

    system, except to the extent the records are archived for back-up or

    disaster recovery purposes. Archived records are retained on the

    Commission's network file servers or other electronic media as needed

    until overwritten through standard archive/back-up and deletion

    procedures. Internet e-mail information that is received by the

    postmaster due to an error in delivery is considered temporary and is

    destroyed after the problem is corrected. When an employee leaves the

    Commission, the employee's mailbox is deleted unless the employee or

    the employee's administrative officer requests that the mailbox be

    retained in order to recover work-related information, or unless the

    employee's e-mail is relevant to pending or anticipated litigation or

    an investigation.

    SYSTEM MANAGER(S) AND ADDRESS:

    Network Manager, Office of Information and Technology Services,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURES:

    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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Internet e-mail, interoffice e-mail.

    CFTC-36

    SYSTEM NAME:

    Internet Security Gateway Systems (Firewall, Web Content Filter,

    and E-mail Filter).

    SYSTEM LOCATION:

    This system is located in the Office of Information and Technology

    Services, Commodity Futures Trading Commission, Three Lafayette Centre,

    1155 21st Street, NW., Washington, DC 20581 and in the Chicago Regional

    Office, 525 West Monroe Street, Suite 1100, Chicago, IL 60661.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All CFTC employees and onsite contractors who are users of the

    Internet.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records on the Web sites accessed and inbound e-mail received, as

    identified by the Internet protocol address assigned to each computer,

    as well as information on the date and time of the Web site that was

    accessed or e-mail that was received, including a record of the sender

    of the e-mail.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including

    Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3),

    and rules and regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Records are kept and maintained on the Internet Security Gateway

    Systems servers in the DC headquarters and Chicago Regional Office

    computer rooms.

    RETRIEVABILITY:

    The information can be retrieved by Internet protocol address. The

    network administrators have access to information about the office

    location and individuals assigned to each computer, as identified by

    Internet protocol address.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Access to the Internet Security Gateway Systems is password-

    protected information that is stored on servers in the DC headquarters

    and Chicago Regional Office computer rooms. Physical measures include

    restrictions on building access to authorized individuals and

    maintenance of records in lockable offices and filing cabinets.

    Access to the computer room is limited to certain employees of the

    Office of Information and Technology Services.

    RETENTION AND DISPOSAL:

    Because these records are routinely overwritten through standard

    procedures, the length of time of storage on the Internet Security

    Gateway Systems servers is governed by available disk space on the

    server. Records are generally overwritten in less than one (1) year.

    SYSTEM MANAGER(S) AND ADDRESS:

    Network Manager, Commodity Futures Trading Commission, Three

    Lafayette Centre, 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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Internet, Web site and news group browsing, Web site access.

    CFTC-37

    SYSTEM NAME:

    Lexis/Westlaw Billing Information System.

    [[Page 5997]]

    SYSTEM LOCATION:

    This system is located in the Library, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    All Commission employees and onsite contractors who are users of

    the Lexis/Westlaw research system.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records on the name, search subject, database searched, date,

    elapsed time, type of charge, and total charge for a search in the

    Lexis/Westlaw automated research system.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including

    Section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3), and

    rules and regulations promulgated thereunder.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Records are accessed by Commission staff through the Commission's

    network, including its electronic billing system (MarkView), and may be

    copied by authorized Commission staff to the Commission's computer

    network. The records are stored on the network of the Department of

    Transportation, the organization contractually obligated to support the

    Commission's electronic billing system. When printed, the records are

    stored in a lockable file cabinets.

    RETRIEVABILITY:

    By division, by month of use, by database accessed, by user name

    and user identification number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Records are retained indefinitely in electronic form, while hard

    copies are destroyed when no longer useful to the Commission employee

    reviewing them.

    SYSTEM MANAGER(S) AND ADDRESS:

    Supervisory Librarian, Commodity Futures Trading Commission, Three

    Lafayette Centre, 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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Lexis/Westlaw billing information.

    CFTC-38

    SYSTEM NAME:

    Automated Library Circulation System.

    SYSTEM LOCATION:

    This system is located in the Library, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individual Commission employees who check out books and periodicals

    from the Commission Library.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records showing the bar code assigned to employees who use the

    library, title, due date, and hold information on library materials

    checked-out by individual CFTC employees; records of overdue materials

    and of employee notification of overdue materials.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 301 and 41 CFR Part 101-27.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Records are stored on the Commission network (Horizon Integrated

    Library System [ILS]). Records on the identifying bar codes assigned to

    individuals are also stored on the network.

    RETRIEVABILITY:

    Records are retrievable by employee name, by the employee's bar

    code number, or by employee's office telephone number.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets. Employees may access their own records. Only

    authorized Commission staff members, who are principally staff of the

    Library or the Office of Information and Technology Services, may

    access records of all employees.

    RETENTION AND DISPOSAL:

    Records in the system are considered temporary. The records of

    library transactions are destroyed when an item on loan is returned or

    reimbursement is made for replacement of the item.

    SYSTEM MANAGER(S) AND ADDRESS:

    Supervisory Librarian, Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

    NOTIFICATION PROCEDURES:

    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

    [[Page 5998]]

    content of records about themselves should address written inquiries to

    the Office of General Counsel, Paralegal Specialist, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Library user bar code identifiers; library materials use; overdue

    notices.

    CFTC-39

    SYSTEM NAME:

    Freedom of Information Act Requests.

    SYSTEM LOCATION:

    This system is located in the Office of General Counsel, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581. Other offices involved in the processing of

    requests may also maintain copies of the requests and any related

    internal administrative records.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals requesting information from the Commission pursuant to

    provisions of the Freedom of Information Act (FOIA), 5 U.S.C. 552, and

    individuals who are the subjects of FOIA requests.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Requests, internal memoranda, response letters, appeals of denials,

    appeal determinations and electronic tracking data.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 552, 5 U.S.C. 301.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and on microfiche;

    electronic records, including computer files, are stored on the

    Commission's network, e.g., desktop applications and RequestTracking,

    and on other electronic media as needed.

    RETRIEVABILITY:

    By assigned control number, by name of requester, or by subject of

    request.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    FOIA requests are retained in accordance with General Records

    Schedule 14 of the National Archives and Records Administration.

    SYSTEM MANAGER(S) AND ADDRESS:

    Paralegal Specialist, Office of General Counsel, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals requesting information from the Commission pursuant to

    the FOIA and employees processing the requests.

    CFTC-40

    SYSTEM NAME:

    Privacy Act Requests.

    SYSTEM LOCATION:

    This system is located in the Office of General Counsel, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581. Telephone (202) 418-5011. Copies of the

    requests and any related internal administrative records may also be

    maintained by other offices involved in the processing of requests.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals filing requests for access to, correction of, or an

    accounting of disclosures of personal information contained in system

    of records maintained by the Commission, pursuant to the Privacy Act of

    1974. 5 U.S.C. 552a.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Requests, internal memoranda, response letters, appeals of denials,

    appeal determinations and electronic tracking data.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 552a, 5 U.S.C. 301.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and on microfiche;

    electronic records, including computer files, are stored on the

    Commission's network, e.g., desktop applications and RequestTracking,

    and on other electronic media as needed.

    RETRIEVABILITY:

    By assigned control number or by name of requester.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Privacy Act requests are retained in accordance with General

    Records Schedule 14 of the National Archives and Records

    Administration.

    SYSTEM MANAGER(S) AND ADDRESS:

    Paralegal Specialist, Office of General Counsel, Commodity Futures

    Trading

    [[Page 5999]]

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals requesting information from the Commission pursuant to

    the Privacy Act and employees processing the requests.

    CFTC-41

    SYSTEM NAME:

    Requests for Confidential Treatment.

    SYSTEM LOCATION:

    This system is located in the Office of General Counsel, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581. A copy of the request may also be kept by

    the office receiving the document for which confidential treatment is

    being requested.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals requesting confidential treatment of, and individuals

    who are the subjects of, documents filed with the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Requests for confidential treatment, the documents for which

    confidential treatment is requested and electronic tracking data.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 552, 5 U.S.C. 301.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USES:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders and on microfiche;

    electronic records, including computer files, are stored on the

    Commission's network, e.g., desktop applications and Contreat2003, and

    on other electronic media as needed.

    RETRIEVABILITY:

    By name of requester or by subject of request.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Records are retained for 20 years then destroyed.

    SYSTEM MANAGER(S) AND ADDRESS:

    Paralegal Specialist, Office of General Counsel, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves or seeking access to records

    about themselves in this system of records, or contesting the content

    of records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    Individuals submitting documents to the Commission.

    CFTC-42

    SYSTEM NAME:

    Debt Collection Files.

    SYSTEM LOCATION:

    This system is located in the Office of Financial Management,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    St. NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who owe a civil monetary penalty to the Commodity

    Futures Trading Commission or who have not complied with an order of

    restitution or disgorgement resulting from an administrative or

    injunctive enforcement action.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    The files will generally contain information including the name and

    address of the debtor, the taxpayer's identification number (which may

    be the social security number); records of each collection made; and

    notice(s) to the debtor demanding payment and describing the

    consequences of non-payment. The files may also contain credit reports;

    reports of asset searches; copies of income tax returns; financial

    statements reflecting the net worth of the debtor; if applicable, date

    by which the debt must be referred to the Department of the Treasury or

    Department of Justice for further collection action; documentation of

    judgments or liens; and citation or basis on which the debt was

    terminated or compromised.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    31 U.S.C. 3701, et seq.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

    OF USERS AND THE PURPOSES OF SUCH USERS:

    a. Information regarding the debt and the actions taken to collect

    the monies may be disclosed to the Department of the Treasury or the

    Department of Justice for further collection action. Once the records

    are forwarded to the Department of the Treasury, they are covered by

    the Treasury/Financial Management Services System 014, Debt Collection

    Operations. If the records are forwarded to the Department of Justice,

    they are covered by the Department's system JMD-006, Debt Collection

    Management System.

    b. Information about the delinquent debt may be disclosed to

    consumer or commercial reporting agencies as required by 31 U.S.C.

    3711(e). Reporting may be done directly by the Commission or through

    the Department of the Treasury upon referral of the delinquent debt for

    further collection action.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning

    [[Page 6000]]

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

    AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Paper records are stored in file folders. Electronic records,

    including computer files, are stored on the Commission's network and on

    various other electronic media as needed, including eLaw (Practice

    Manager) and DOT Delphi Financial System.

    RETRIEVABILITY:

    Records are retrievable by CFTC docket number and by the name of

    the debtor.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. Physical measures include restrictions on building access to

    authorized individuals and maintenance of records in lockable offices

    and filing cabinets.

    RETENTION AND DISPOSAL:

    Records are retained and disposed in accordance with General

    Records Schedule 6 of the National Archives and Records Administration.

    SYSTEM MANAGER(S) AND ADDRESS:

    Office of Financial Management, Commodity Futures Trading

    Commission, Three Lafayette Centre, 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 Office

    of General Counsel, Paralegal Specialist, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,

    DC 20581. Telephone (202) 418-5011.

    RECORD SOURCE CATEGORIES:

    Commission orders, judicial orders, debtors, credit reports from

    commercial credit bureaus, asset search databases, Department of the

    Treasury, Department of Justice.

    CFTC-43

    SYSTEM NAME:

    Visitor Information System.

    SYSTEM LOCATION:

    The system is located in the Office of the Executive Director,

    Office of Management Operations, Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Visitors to the Commission.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Information from personal identity records, such as driver's

    license, passport, or Federal/Military ID; the number of the printed

    badge issued; location, date, and time of entry; company affiliation of

    visitor; name and phone number of the employee visited; and the purpose

    of the visit.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    The Federal Property and Administrative Services Act of 1949 (63

    Stat. 377), as amended; Homeland Security Presidential Directive 12

    (HSPD-12), Policy for a Common Identification Standard for Federal

    Employees and Contractors, August 27, 2004.

    PURPOSE:

    The purpose of this information is to verify the identity of

    visitors in order to protect the employees and property of the

    Commission, verify that visitors entering the property are authorized

    to do so, and track the time, date, and location of the visitor so

    that, in the event of emergency, the agency can account for all the

    people in its space.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:

    Information in this system may be disclosed in accordance with the

    blanket routine uses numbered 1 through 19 that appear at the beginning

    of the Commission's compilation of its systems of records notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,

    RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    Computer records are stored in a stand-alone database. Paper

    reports from the system are kept in a locked file.

    RETRIEVABILITY:

    By date and by visitor name.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative, technical and physical security measures.

    Technical security measures within CFTC include restrictions on

    computer access to authorized individuals, strong passwords frequently

    changed, use of encryption for certain data types and transfers, and

    regular review of security procedures and best practices to enhance

    security. The visitor database is a stand-alone database, not

    accessible through the CFTC network, and is password protected.

    Physical measures include restrictions on building access to authorized

    individuals and maintenance of records in lockable offices and filing

    cabinets. Written reports are kept in a locked file with limited key

    access.

    RETENTION AND DISPOSAL:

    Records will be retained for three months and then destroyed.

    SYSTEM MANAGER(S) AND ADDRESS:

    Deputy Director, Office of Management Operations, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,

    Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    Individuals seeking to determine whether this system of records

    contains information about themselves, or seeking access to records

    about themselves in the system of records, or contesting the content of

    records about themselves contained in this system of records should

    address written inquiry to the Office of General Counsel, Paralegal

    Specialist, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011.

    RECORD SOURCE CATEGORIES:

    The individual on whom the record is maintained.

    CFTC-44

    SYSTEM NAME:

    Personnel Security Files.

    SYSTEM LOCATION:

    This system is located in the Office of Human Resources, Commodity

    Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,

    NW., Washington, DC 20581.

    CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who require regular, ongoing access to CFTC facilities,

    information technology systems, or information classified in the

    interest of national security, including applicants for Commission

    employment or

    [[Page 6001]]

    contracts, Commission employees, contractors of the Commission,

    students, interns, volunteers, individuals authorized to perform or use

    services provided in Commission facilities, and individuals formerly in

    any of these positions.

    CATEGORIES OF RECORDS IN THE SYSTEM:

    Records may include any or all of the following, depending on the

    individual and his or her position: Resume, OF 306, and ``I-9''

    documents, such as copies of driver's license, passport, and birth

    certificate, and similar documents.

    Note: This system of records does not include the Office of

    Personnel Management (OPM) background investigation report. An

    identical version of the investigation report is in the possession

    of the Commission, but is considered to be part of the OPM Central-

    9, Personnel Investigations Records. For information on how to

    request access to the OPM Central-9, Personnel Investigations

    Records, please see the Note in the Records Access Procedures

    section of this notice.

    AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Depending on the purpose of the investigation, the U.S. government

    is authorized to ask for this information under Executive Orders 10450,

    10865, 12333, 13526, and 13488; sections 3301 and 9101 of title 5, U.S.

    Code; sections 2165 and 2201 of title 42, U.S. Code; sections 781 to

    887 of title 50, U.S. Code; parts 5, 731, 732, and 736 of title 5, Code

    of Federal Regulations; and Homeland Security Presidential Directive 12

    (HSPD-12), Policy for a Common Identification Standard for Federal

    Employees and Contractors, August 27, 2004.

    PURPOSE:

    The records in this system are used to verify identity and to

    facilitate background investigations by OPM.

    ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:

    Information in this system may be disclosed under the following

    conditions:

    a. Except as noted on Forms SF 85, 85-P, and 86, when a record on

    its face, or in conjunction with other records, indicates a violation

    or potential violation of law, whether civil, criminal, or regulatory

    in nature, and whether arising by general statute or particular program

    statute, or by regulation, rule, or order issued pursuant thereto,

    disclosure may be made to the appropriate public authority, whether

    Federal, foreign, State, local, or Tribal, or otherwise, responsible

    for enforcing, investigating or prosecuting such violation or charged

    with enforcing or implementing the statute, or rule, regulation, or

    order issued pursuant thereto, if the information disclosed is relevant

    to any enforcement, regulatory, investigative or prosecutorial

    responsibility of the receiving entity.

    b. Employment, Clearances, Contract, or Other Benefits Decision by

    an Organization other than the Commission--disclosure may be made to a

    Federal, State, local, foreign, or Tribal or other public authority of

    the fact that this system of records contains information relevant to

    the retention of an employee, the retention of a security clearance, or

    the letting of a contract. The other agency or licensing organization

    may then make a request supported by the written consent of the

    individual for the entire record if it so chooses. No disclosure will

    be made unless the information has been determined to be sufficiently

    reliable to support a referral to another office within the agency or

    to another Federal agency for criminal, civil, administrative,

    personnel, or regulatory action.

    c. National Security and Intelligence Matters--these records may be

    disclosed to Federal, State, local agencies, or other appropriate

    entities or individuals, or through established liaison channels to

    selected foreign governments, in order to enable an intelligence agency

    to carry out its responsibilities under the National Security Act of

    1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333

    or any successor order, applicable national security directives, or

    classified implementing procedures approved by the Attorney General and

    promulgated pursuant to such statutes, orders or directives.

    Information in this system may also be disclosed in accordance with

    the blanket routine uses numbered 1 through 19 that appear at the

    beginning of the Commission's compilation of its systems of records

    notices.

    POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,

    RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

    STORAGE:

    These records are maintained on paper. They are stored in a secure

    location in file folders and/or binders.

    RETRIEVABILITY:

    Files are retrieved by name.

    SAFEGUARDS:

    Records are protected from unauthorized access and improper use

    through administrative and physical security measures. Physical

    measures include restrictions on building access to authorized

    individuals and maintenance of records in lockable offices and filing

    cabinets. These records are kept in file folders in locked metal file

    cabinets in locked rooms at the headquarters office in the Office of

    Human Resources. Access to records is limited to approved security and

    administrative personnel who have a need for the information in the

    performance of their official duties.

    RETENTION AND DISPOSAL:

    These records are retained and disposed of in accordance with

    General Records Schedule 18, item 22b.

    SYSTEM MANAGER(S) AND ADDRESS:

    Manager of Employment and Compensation, Office of Human Resources,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street, NW., Washington, DC 20581.

    NOTIFICATION PROCEDURE:

    An individual can determine if this system contains a record

    pertaining to him/her by sending a request in writing, signed, to the

    Office of General Counsel, Paralegal Specialist, Three Lafayette

    Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)

    418-5011. When requesting notification of, or access to, records

    covered by this Notice, an individual should provide his/her full name,

    date of birth, agency name, and work location. An individual requesting

    notification of records in person must provide identity documents, such

    as a government-issue photo ID, sufficient to satisfy the custodian of

    the records that the requester is entitled to access. Individuals

    requesting notification via mail or telephone must furnish, at a

    minimum, name, date of birth, social security number, and home address

    in order to establish identity.

    Note: For information on how to request access to the OPM

    Personnel Investigations Records which are part of the OPM Central-9

    system of records, please see the Note in the Records Access

    Procedures section of this notice.

    RECORDS ACCESS PROCEDURES:

    Individuals wishing to request access to CFTC records about them

    should contact the system manager indicated above. Individuals must

    furnish their full name (first, middle, and last name) and birth date

    for their record to be located and identified. An individual requesting

    access must also follow CFTC Privacy Act requirements regarding

    verification of identity and amendment of records. Correspondence

    between the requester and OHR employees on the subject of any

    [[Page 6002]]

    background investigation and security adjudication may also be made

    available.

    Note: The CFTC may not provide an individual with access to his/

    her OPM Personnel Investigations Records or to copies of OPM

    documentation of any background investigation conducted by OPM or

    contractors dealing with those investigations. These records, which

    are sent to the CFTC Personnel Security Office to allow adjudication

    of the request for security clearance, are owned by OPM and reside

    within the OPM Central-9 system of records. OPM is solely

    responsible for controlling access to, or amendment of, those

    records. Those seeking access to, or amendment, of those records

    owned by OPM should submit a request in writing to: FOI/P, Office of

    Personnel Management, Federal Investigative Services Division, P.O.

    Box 618, Boyers, PA 16018-0618. The signed request should be made

    under the Privacy Act of 1974 and include the requester's full name,

    home address, Social Security Number, and date and place of birth.

    CONTESTING RECORD PROCEDURES:

    Individuals wishing to request amendment of their CFTC records

    should contact the system manager indicated above. Individuals must

    furnish their full name (first, middle, and last name) and birth date

    for the record to be located and identified. An individual requesting

    amendment must also follow the CFTC Privacy Act requirements regarding

    verification of identity and amendment of records. (Note: Individuals

    who wish to request amendment of their OPM Personnel Investigations

    Records should follow the requirements of the OPM Central-9 system of

    records. For information on how to submit such a request, please see

    the Note in the Records Access Procedures section of this notice.)

    RECORD SOURCE CATEGORIES:

    Information is obtained from the individual.

    Issued in Washington, DC, on January 25, 2011.

    By the Commission.

    David Stawick,

    Secretary of the Commission.

    [FR Doc. 2011-2133 Filed 2-1-11; 8:45 am]

    BILLING CODE 6351-01-P

    Last Updated: February 2, 2011