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: [email protected]

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:

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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

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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 [email protected] 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 [email protected] 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 [email protected] 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