<?xml version="1.0" encoding="UTF-8"?>

<pai><agency toc="yes">
<name>Commodity Futures Trading Commission</name>
<abbrev>CFTC
</abbrev>

<previouslyPublished>
<url> https://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23621.pdf </url>
<title>CFTC-8, Employment Applications-Deletions</title>
<date year="2016" month="9" day="30"/>
</previouslyPublished>
    
<previouslyPublished>
<url> https://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23616.pdf</url>
<title>Employee Personnel, Payroll, Time and Attendance;General Information Technology Records</title>
<date year="2016" month="9" day="30" />
</previouslyPublished>


    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28297.pdf</url>
        <title> CFTC-50, LabCFTC. </title>
        <date year="2018" month="1" day="2"/>
    </previouslyPublished>



    <routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Content of Systems Notices</b></p>

<p>Each system of records notice contains the following information:
</p><p>&#149; The name of the system;
</p><p>&#149; The location of the system;
</p><p>&#149; The categories of individuals whose records are maintained in the system;
</p><p>&#149; The types of records maintained in the system;
</p><p>&#149; The authority for maintaining the system;
</p><p>&#149; The routine uses of records maintained in the system, including the categories of users and the purposes of such uses;
</p><p>&#149; The policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system;
</p><p>&#149; The title and business address of the system manager, the agency official who is responsible for the system of records;
</p><p>&#149; 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
</p><p>&#149; The categories of sources of records in the systemThe 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:
</p><p>&#149; 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)) </p>
<p>&#149; CFTC-10 Investigatory materials compiled for law enforcement purposes</p>
<p>&#149; CFTC-31 Information pertaining to individuals discussed at closed Commission meetings </p>
<p>&#149; CFTC-32 Investigatory materials compiled by the Office of the Inspector General
</p><p><i>The Location of Systems of Records
</i></p><p>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:
</p><p>&#149; <i>Washington, DC:</i> Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, Telephone: (202) 418-5000</p>
<p>&#149; <i>Chicago:</i> 525 West Monroe Street, Suite 1100, Chicago, Illinois 60661, Telephone: (312) 596-0700</p>
<p>&#149; <i>Kansas City:</i> Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, Missouri 64112, Telephone: (816) 960-7700</p>
<p>&#149; <i>New York:</i> 140 Broadway, 19th Floor, New York, New York 10005, Telephone: (646) 746-9700</p>
<p>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</p>
<p>In many cases, records within a system will not all be available at each of the offices listed in the system notice. For example, case files are basically maintained in the office where the investigation is conducted, but certain information may be maintained in other offices as well. Similarly, many but not necessarily all employee records are maintained in the particular office where the employee works. In addition, the Commission's computers are physically located in Chicago and also in the Washington, DC headquarters office, although information in computer printout form may be available in any office</p>
<p>Of course, it will be the Commission's responsibility, unless otherwise specified in the system notice, to determine where the particular records being sought are located. However, if the individual seeking the records in fact knows the location, it would be helpful to the Commission if the requester would indicate that location</p>
<p><i>Scope and Content of Systems of Records
</i></p>
<p>The Privacy Act applies to personal information about individuals. Personal information subject to the provisions of the Privacy Act may sometimes be found in a system of records that might appear to relate solely to commercial matters. For example, the system of records entitled "registration of futures commission merchants"  contains essentially business information. However, the application for registration contains a few items of personal information concerning key personnel of the registrant firm. Since the capability exists through the National Futures Association's computer system to retrieve information from this system of records not only by use of the name of the futures commission merchant but also by the use of the name of these individuals, this information is within the purview of the Privacy Act. See the definition of system of records in the Privacy Act, 5 U.S.C. 552(a)(5), and &#167; 146.2(g) of the Commission's Privacy Act rules, 17 CFR 148.2(g).</p>
<p>Such a capability would generally not exist, however, in a Commission staff investigation of the activities of the futures commission merchant (FCM), except in the rare instance when an individual is registered as an FCM. Thus, if the investigation was opened under the name of the FCM, information would be retrievable only under that name. Accordingly, information about principals of a firm under investigation that might be developed during the investigation would generally not be retrievable by the name of the individual, and the provisions of the Privacy Act would not apply.
</p>
<p><b>General Statement of Routine Uses
</b></p><p>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, 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.</p>
<p>The following routine uses apply to all CFTC systems of records:
</p><p>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. </p>
<p>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.</p>
<p>3. Information may be given to any "registered entity," as defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, <i>et seq.</i> ("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 (<i>e.g.,</i> 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, <i>et seq.</i>
</p><p>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.</p>
<p>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.</p>
<p>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. </p>
<p>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.</p>
<p>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."
</p><p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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 system.</p>
<p>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:
</p><p>a. The agency, or any component thereof; or
</p><p>b. Any employee of the agency in his or her official capacity; or
</p><p>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
</p><p>d. The United States, when the agency determines that litigation is likely to affect the agency or any of its components;
</p><p>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.</p>
<p>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.</p>
<p>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 <i>et seq.,</i> including Section 8(e) of such Act at 7 U.S.C. 12, and the rules and regulations promulgated thereunder.</p>
<p>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.</p>
<p>19. Information may be disclosed to appropriate agencies, entities, and individuals when:
</p><p>a. The Commission suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>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
</p><p>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.
</p><p><b> System Notices</b>
</p><p>The Commission's systems of records are set forth below. For further information contact: Freedom of Information Act (FOIA), Privacy Act and Government in the Sunshine Act Compliance Staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Fourth Floor, Washington, DC 20581, (202) 418-5105.</p></xhtmlContent></routineUses>
<section id="CFTC1" toc="yes">
<systemNumber>-1</systemNumber>
<subsection type="systemName">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))</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p>
<p>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.</p>
<p>c. Individuals lodging complaints with the Commission concerning third parties.</p>
<p>d. Individuals whom the Commission staff has identified as relevant to an enforcement matter, such as complainants, witnesses and counsel.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>An index system to CFTC-10 Investigatory Records (exempted) and CFTC-16 Enforcement Case Files, including:
</p><p>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.</p>
<p>b. The matter register also includes reports recommending openings and closings of investigations.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> including Section 8 of such Act at 7 U.S.C. 12, and the rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By matter name or docket number.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records related to CFTC-10, Investigatory Records (exempted), and CFTC-16, Enforcement Case Files, are maintained indefinitely.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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 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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>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.
</p></xhtmlContent></subsection></section>
<section id="CFTC2" toc="yes">
<systemNumber>-2</systemNumber>
<subsection type="systemName">Commission Correspondence Files</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals corresponding with the Commission, directly or through their representatives. Individuals discussed in correspondence to or from the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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. <i>See</i> previous discussion concerning the category of records maintained in this system.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals corresponding with the Commission and correspondence and memoranda prepared by the Commission. </p></xhtmlContent></subsection></section>
<section id="CFTC3" toc="yes">
<systemNumber>-3</systemNumber>
<subsection type="systemName">Docket Files for Reparations and Administrative Adjudication</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All individuals involved in any CFTC administrative enforcement or reparations proceeding.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commission is authorized or required to conduct proceedings under several provisions of the Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.</i> These files are necessary for the conduct of orderly proceedings. <i>See also</i> 44 U.S.C. 3101.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the docket number and cross-indexed by complainant and respondent names.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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 (<i>e.g.,</i> eLaw), separate from public records.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Proceedings Clerk, Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Commission staff members; opposing parties and their attorneys; proceeding witnesses; and miscellaneous sources.</p></xhtmlContent></subsection></section>

    <section id="CFTC-5" toc="yes">
        <systemNumber>CFTC-5</systemNumber>
        <subsection type="systemName">
           Employee Personnel, Payroll, Time and Attendance.
        </subsection>

        <subsection type="securityClassification">
        <xhtmlContent>
            <p>Unclassified.</p>
            </xhtmlContent>
            </subsection>
    <subsection type="systemLocation">
        <xhtmlContent>
            <p>This system is located in the Office of the Executive Director, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581 and on a computer system at the Commission’s payroll processor, Department of Agriculture’s National Finance Center, New Orleans, LA.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfIndividuals">
        <xhtmlContent>
            <p>Former and current Commission employees, including volunteers and interns.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfRecords">
        <xhtmlContent>
            <p>Categories of records include personnel records not covered by government-wide system of records notices, including records related to telework and requests for reasonable accommodation, which may include medical information; student loan repayment program application and information; and employee counseling, grievances and other employee matters not appealed to the MSPB.  This System also contains records related to payroll, including salary information, awards and pay increases; benefits information needed for processing payment of benefits; direct deposit information; pay deductions, including tax and retirement deductions, life insurance, health and dental insurance deductions, flexible spending account deductions, savings allotments, transit and parking deductions, garnishments, debts owed to the Commission, and charity deductions; salary offset under part 141 of the Commission’s rules; all forms of leave requests, balances and credits; all other absence types, including suspension; information necessary to administer the Commission’s voluntary leave transfer program, including leave donated or used and any supporting documentation, which may include medical information; hours worked; and time and attendance records.  The System includes identifying information, such as name; business and personal contact information; social security number; date of birth; citizenship; bank account information for direct deposit; and employee identification number.</p>
            <p>
                
                    
                        Note:   
                            The CFTC is the custodian of many employment-related records that are described in the system notices published by the Office of Personnel Management, MSPB, Equal Employment Opportunity Commission and other Federal agencies.  For a complete list of government-wide Privacy Act systems, please see OMB Memo 99-05, Attachment C, "Government-wide Systems of Records," at https://www.whitehouse.gov/omb/memoranda_m99-05-c/.
                        
                
        </p>
        </xhtmlContent>
    </subsection>
    <subsection type="authorityForMaintenance">
        <xhtmlContent>
            <p>5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="purpose">
        <xhtmlContent>
            <p>Information is collected to allow the Commission to handle personnel, payroll, time and attendance functions, including personnel functions involving records not covered by government-wide system of records notices, telework requests, requests for reasonable accommodation, student loan repayment program documentation, employee counseling, grievances and other employee matters not appealed to the Merit Systems Protection Board (MSPB), and payroll, pay deductions, leave requests, time and attendance.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="routineUsesOfRecords">
        <xhtmlContent>
         
            <p>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.</p>
            <p>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.</p>
            <p>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.</p>
            <p>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.</p>
            <p>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, and 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.</p>
            <p>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.</p>
            <p>g. To provide information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.</p>
            <p>Information in this system also may be disclosed in accordance with the blanket routine uses that appear at the beginning of the Commission’s compilation of its system of records notices, see, e.g., 76 FR 5974 (Feb. 2, 2011), and the Commission’s website, www.cftc.gov.</p>
            <p>Disclosure to consumer reporting agencies:</p>
            <p>None.</p>
           
            </xhtmlContent>
    </subsection>
    <subsection type="policiesAndPractices">
        <xhtmlContent>
            <p>Storage:</p>
            <p>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, and other electronic media as needed.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retrievability">
        <xhtmlContent>
        <p>By the name, identification number, or other personally identifying information of the employee, volunteer or intern.</p>
    </xhtmlContent>
    </subsection>
    <subsection type="safeguards">
        <xhtmlContent>
            <p>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 who have a legitimate need to know the information; required use of strong passwords that are frequently changed; multi-factor authentication for remote access and access to many CFTC network components; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security.  Only specifically authorized individuals may access the National Finance Center computer system.  Physical measures include restrictions on building access to authorized individuals, 24-hour security guard service, and maintenance of records in lockable offices and filing cabinets.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retentionAndDisposal">
        <xhtmlContent>
            <p>These records are maintained according to retention schedules prescribed by the General Records Schedule for each type of workforce record.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="systemManager">
        <xhtmlContent>
            <p>Executive Director, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="notificationProcedure">
        <xhtmlContent>
            <p>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 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.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordSourceCategories">
        <xhtmlContent>
        <p>Individual about whom the record is maintained; CFTC human resources office records; records from the National Finance Center; and information from third parties providing benefits or other services to covered individuals.</p>
         
        </xhtmlContent>
        </subsection>
    <subsection type="exemptionsClaimed">
        <xhtmlContent>
            <p>None.</p>
        </xhtmlContent>
    </subsection>
</section>






<section id="CFTC6" toc="yes">
<systemNumber>-6</systemNumber>
<subsection type="systemName">Employee Travel and Transportation Records</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5701-5752; 31 U.S.C. 1, <i>et seq.;</i> 44 U.S.C. 3101.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual on whom the record is maintained.</p></xhtmlContent></subsection></section>

<section id="CFTC9" toc="yes">
<systemNumber>-9</systemNumber>
<subsection type="systemName">Emergency Locator System</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of Human Resources, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>

<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and contractors of the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual on whom they are maintained.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained as long as the individual is an employee of, or providing services to, the Commission.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Human Resources, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 418-5013.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by the individual who is the subject of the record.</p></xhtmlContent></subsection></section>
<section id="CFTC10" toc="yes">
<systemNumber>-10</systemNumber>
<subsection type="systemName">Investigatory Records (exempted)</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>e. Individuals whom the Commission staff has identified as relevant to an enforcement investigation, such as complainants, witnesses and counsel.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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:
</p><p>(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
</p><p>(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.</p>
<p>All Investigatory Records remain exempt from disclosure under the Privacy Act.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Reporting forms and other information filed with the Commission; self-regulatory organizations; individuals or firms covered by the Commission's registration requirements; Federal, <i>State</i> 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.</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="CFTC12" toc="yes">
<systemNumber>-12</systemNumber>
<subsection type="systemName">National Futures Association (NFA) Applications Suite System (Exempted).</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>The electronic applications and databases that comprise the NFA Applications Suite System (Exempted) are located in two primary locations, NFA, 300 South Riverside, Suite 1800, Chicago, Illinois 60606 and the CFTC, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  Some information is also located at CFTC regional offices at 525 West Monroe Street, Suite 1100, Chicago, IL 60661; 140 Broadway, 19th Floor, New York, NY 10005; and 4900 Main Street, Suite 500, Kansas City, MO 64112.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>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, swap dealers, major swap participants, retail foreign exchange dealers and agricultural trade option merchants (ATOMs); individuals who file notices of exemption or claims for exemption from certain CFTC requirements; individuals who are or may become principals (as defined in 17 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.  Also individuals, who have been suspended, expelled, disciplined, or denied access to or by a self-regulatory organization (SRO), including, but not limited to, NFA or who have been subject to a CFTC civil or administrative action.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Information pertaining to the fitness of the individuals or firms to engage in business subject to the Commission’s jurisdiction, including but not limited to registration forms, schedules and supplements, fingerprint cards which are required for certain individual registrants as provided under CFTC rules, correspondence relating to registration, fitness investigations, and reports and memoranda reflecting information developed from various sources.  This system includes investigatory material compiled for law enforcement purposes whose disclosure the Commission staff has determined could compromise Commission investigations, or would reveal the identity of a source who furnished information to the Commission under an express promise that the identity of the source would be held in confidence.</p>
<p>Information pertaining to disciplinary or other adverse action taken by an SRO or the CFTC, including the name of the person against whom such action was taken, the action taken, and the reasons.</p>
<p>Information submitted by certain individuals or firms to enable NFA and/or CFTC supervision and oversight of activities governed by the Commodity Exchange Act, such as financial statements, reports and notice filings; disclosure documents; and submissions by swap dealers and major swap participants pursuant to Commission Regulation 3.10(a)(1)(v)(A) and information developed by the NFA and/or CFTC related to such information.</p>
<p>Information submitted by individuals related to notices of exemption or claims for exemption from certain CFTC requirements and information developed by NFA and/or the CFTC related to the notice of exemption or claim for exemption.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The Commodity Exchange Act, 7 U.S.C. 1, et seq., and the rules and regulations promulgated thereunder.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The records in this system are used to support the Commission’s registration and other regulatory authority as delegated to NFA.  This involves maintaining fitness investigation and other fitness related records, including investigatory material compiled for law enforcement purposes, non-fitness registration records, images of registration records, information related to disciplinary action taken by the CFTC and self-regulatory organizations including NFA; processing hard copy and electronic fingerprint cards; and maintaining a web based registration system, records related to notices of exemption or claims for exemption from certain CFTC requirements, and financial statements, reports, notices and other filings that enable NFA and the CFTC to oversee registrant activities for compliance with legal requirements.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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.</p>
<p>NFA generally makes available to the public on NFA website(s), including the Background Affiliation Status Information Center (BASIC), firm directories, registration forms, business addresses, telephone numbers, registration categories, biographical supplements (except for any confidential information on supplementary attachments to the forms), effective dates of registration, registration status, and disciplinary action taken concerning futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, swap dealers, major swap participants and retail foreign exchange dealers and their associated persons.  NFA also will release records or portions of records to any member of the public if such records or portions are "public" or "publicly available" under CFTC Regulations 1.10(g) or 145.0.</p>
<p>For information not made available to the public as explained above, NFA may disclose information contained in those portions of this system of records maintained by NFA:</p>
<p>(1) to any person with whom an applicant or registrant is or plans to be associated as an associated person or affiliated as a principal or with whom an individual is or plans on being associated as a swap associated person;</p>
<p>(2) to any futures commission merchant or retail foreign exchange dealer with whom an introducing broker, whether an applicant or registrant, has or plans to enter into a guarantee agreement under CFTC Regulation 1.10;</p>
<p>(3) to boards of trade designated as contract markets or to any other futures associations registered with the Commission to assist those organizations in carrying out their responsibilities under the Act, or to national securities exchanges or national securities associations registered with the Securities &amp; Exchange Commission to assist those organizations in carrying out their responsibilities under the Securities Exchange Act of 1934;</p>
<p>(4) to federal, state or local law enforcement or regulatory agencies acting within the scope of their jurisdiction or for their use in meeting responsibilities assigned to them under law (to the same extent that the Commission may disclose such registration information under Sections 8(e) and 8(g) of the Act);</p>
<p>(5) pursuant to an order of a court of competent jurisdiction; except that, subpoenas and summonses covering non-public portions of registration records and copies of the non-public records shall be promptly forwarded to the Commission to enable the Commission to consult with NFA on how to proceed;</p>
<p>(6) otherwise with the authorization of the FOI, Privacy and Sunshine Act Compliance staff or the General Counsel of the Commission or his or her designee, in accordance with CFTC Regulations 145.7(b), (h) and (i); the Freedom of Information Act, 5 U.S.C. 552; and the Privacy Act, 5 U.S.C. 552a; and</p>
<p>(7) to any individual or firm, or person acting on behalf of the individual or firm, who seeks access to registration records, excluding any reports reflecting information developed from sources outside the Commission or NFA compiled or generated in connection with determining fitness for registration or affiliation as a principal, in connection with that individual's or firm's application for registration.</p>
<p>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, which can be found in the <i>Federal Register</i> at 76 FR 5974 (Feb. 2, 2011).</p>
<p>Disclosure To Consumer Reporting Agencies:</p>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p> Storage:</p>
<p>Paper records are stored in file folders and binders.  Electronic records, including computer files, are stored on the Commission’s network, NFA databases or applications, NFA Website, and other electronic media (e.g., microfiche) as needed.</p>
</xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>By the name of the individual or firm, an NFA identification number, docket number or by cross-indexing an individual’s file to the name of the firm with which the individual is associated or affiliated (e.g., the name of the futures commission merchant).</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>Records are protected from unauthorized access and improper use through administrative, technical and physical security measures.  Administrative measures includes workforce security awareness training.  Technical security measures within the NFA and CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>These records are retained and disposed of in accordance with CFTC Records Schedules available at:  www.cftc.gov/ucm/groups/public/@aboutcftc/documents/file/recordsdispositionschedule.pdf.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>For records held by the Commission related to fitness investigations and registration:  Director, Division of Swap Dealer and Intermediary Oversight (DSIO), Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  Surveillance Branch Chiefs in the regional offices at 525 West Monroe Street, Suite 1100, Chicago, IL 60661 and 140 Broadway, 19th Floor, New York, NY 10005.  For records held by the Commission related to disciplinary action:  Director, Division of Market Oversight (DMO), Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
<p>For records held by NFA:  Vice President for Registration, National Futures Association, 300 South Riverside, Suite 1800, Chicago, Illinois 60606.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>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 FOIA/Privacy Act Request, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  Telephone (202) 418-5000.</p>
<p>Individuals may also request registration information by telephone directly from the NFA information center at (800) 621-3570 or (312) 781-1410.  Inquiries can also be made to NFA by fax at (312) 781-1459 or via the Internet at information@nfa.futures.org.  NFA will query the 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 www.nfa.futures.org.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>The individual or firm on whom the record is maintained; the individual’s employer; individuals filing reparations complaints or answers; Federal, state and local regulatory and law enforcement agencies; commodities and securities exchanges; NFA; Financial Industry Regulatory Authority (FINRA); foreign futures and securities authorities and INTERPOL; self-regulatory organizations notifying the Commission of disciplinary or other adverse actions taken; and other miscellaneous sources.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>The records in this system that refer, relate to or are from third-party sources related to fitness or other investigations of applicants for registration or registrants are 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.
</p></xhtmlContent></subsection></section>
<section id="CFTC13" toc="yes">
<systemNumber>-13</systemNumber>
<subsection type="systemName">Interpretive, Exemptive, and No-Action Files</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Most files are prepared by the Division of Clearing and Intermediary 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 (<i>http://www.cftc.gov</i>). All offices are located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests for interpretative, exemptive and no-action letters, supplemental correspondence, any related internal memoranda, other supporting documents and the responses to the requests.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> and the rules and regulations promulgated thereunder, including 17 CFR Parts 140.98 and 140.99.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p>
<p>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.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="CFTC4" toc="yes">
<systemNumber>-14</systemNumber>
<subsection type="systemName">Commodity Futures Trading Commission Alumni Records</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of Human Resources, Commodity Futures trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Former employees of the Commission, and those who worked as contractors or were engaged in duties at the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the name or e-mail address of the individual.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information is retained until revised or deleted in accordance with General Records Schedule 13, Item 4b.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Office of Management Operations, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="cftc15" toc="yes">
<systemNumber>-15</systemNumber>
<subsection type="systemName">Enterprise Surveillance, Oversight &amp; Risk Monitoring System.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The electronic systems that comprise the Enterprise Surveillance, Oversight &amp; Risk Monitoring System are located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who own, hold, or control a reportable position, volume threshold account, or reportable sub-account, individuals who have reporting, regulatory, or oversight responsibility at firms regulated by the Commission, and individuals requesting exemptions, as defined in 17 CFR parts 17, 18, 19, 20, 39 and 151, including but not limited to individuals who process reportable positions, volume threshold accounts, or reportable sub-accounts and/or submit information related to such positions, accounts, or sub-accounts to the Commission; employees, officers or agents of registered derivatives clearing organizations (DCOs); and individuals whose cleared positions are reported by a DCO pursuant to Commission regulations.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>1. Reports filed by the individual who owns, holds or controls the reportable position, volume threshold account, or reportable sub-account:
</p><p>a. Statements of Reporting Trader (CFTC Forms 40 and 40S).</p>
<p>b. Information reported on CFTC Form 40 is described in part 18 of the Commission's rules and regulations.</p>
<p>c. Large trader reporting form (Series 04 Form).</p>
<p>2. Reports to be filed by futures commission merchants, designated contract markets, clearing members and other members of contract markets, originating firms, foreign brokers, swap dealers, and, for large option traders, by contract markets:
</p><p>a. Identification of "Special Accounts" (CFTC Form 102A).</p>
<p>b. Identification of "Volume Threshold Accounts" (CFTC Form 102B).</p>
<p>c. Identification of "Omnibus Volume Threshold Accounts" and "Reportable Sub-Accounts" (CFTC Form 71).</p>
<p>d. Information reported on CFTC Forms 102A, 102B and 71 is described in part 17 of the Commission's rules and regulations.</p>
<p>e. Identification and Reporting of a Swap Counterparty or Customer "Consolidated Account" with a Reportable Position (CFTC Form 102S).</p>
<p>f. Information reported on CFTC Form 102S is described in part 20 of the Commission's rules and regulations.</p>
<p>g. Large trader reporting form (Series 01 Form).</p>
<p>3. Computer records prepared from information on the forms described in items (1) and (2) above.</p>
<p>4. Other information submitted to the Commission by the covered individuals via registration channels or gathered by the Commission to review compliance with the Commodity Exchange Act and Commission rules.</p>
<p>5. 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 covered individual.</p>
<p>6. Regulatory report filings, regulatory notice filings and correspondence and memoranda with individuals concerning such filings.</p>
<p>7. Records containing contact information on individuals associated with registration applicants or registered firms or other entities, including business, home and cell phone numbers, email addresses and home addresses.</p>
<p>8. 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.</p>
<p>9. Reports by DCOs of cleared positions of clearing member customers.</p>
<p>10. Information related to hedge exemptions and requests for disaggregation and re-aggregation in accordance with Part 151 of the Commission's rules.</p>
<p>[1] On July 26, 2012, the Commission published a Notice of Proposed Rulemaking, which proposes new rules and related forms for public comment that are designed to enhance the Commission's identification of futures and swap market participants. The proposed rules would leverage the Commission's existing position and transaction reporting programs by requiring the electronic submission of trader identification and market participant data on amended Forms 102 and 40, and on new Form 71. See <i>Federal Register</i> Vol. 77, No. 144, July 26, 2012, RIN 3038-AD31, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> including Sections 4g, 4i, 8, 7 U.S.C. 4t, 6g, 6i, 12, 2(d), 76 FR 43851 Section 20 and the rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system are used to support market oversight, and market, risk and financial surveillance activities, specifically, monitoring the commodity futures and swaps markets, performing various mission-critical commodity futures, and swaps market analyses, reviewing activities of registered entities for compliance with the Commodity Exchange Act and Commission regulations, and conducting surveillance on both intra and inter-exchange and across side-by-side electronic trading platforms. Records are also used to support firm and registrant oversight, including compliance with the Commission's financial and regulatory requirements.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information concerning firms, 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. When not otherwise prohibited by law, 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.</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data will be collected and maintained electronically and/or in paper files. Paper records are stored in file folders, binders, computer files and computer disks. Electronic records, including computer files and electronically maintained data, are stored on the Commission's network and other electronic media as needed, such as encrypted hard drives.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Files may be retrieved by firm or registrant name, individual name or other identifier (e.g., account number or firm number) related to the individual.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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 that are 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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained in accordance with records disposition schedules approved by the National Archives and Records Administration. The schedules are available at <i>www.cftc.gov</i>.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Information Officer, Office of Data and Technology, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, agencies, firms, Exchanges, DCOs and Designated Self-Regulatory Organizations will provide the information for this system of records, which includes correspondence from individuals, agencies, firms, Exchanges, DCOs and Designated Self-Regulatory Organizations requested to provide information on the individual.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="cftc16" toc="yes">
<systemNumber>-16</systemNumber>
<subsection type="systemName">Enforcement Case Files.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p>
<p>b. Individuals whom the Commission staff has identified as relevant to an enforcement investigation, such as complainants, witnesses and counsel.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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 <i>et seq.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By case title or in some instances by docket number.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The parties, their attorneys, the Commission's Office of Proceedings, the relevant court, and miscellaneous sources.</p></xhtmlContent></subsection></section>
<section id="cftc17" toc="yes">
<systemNumber>-17</systemNumber>
<subsection type="systemName">Litigation Files'OGC.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Parties involved in litigation with the Commission or litigation in which the Commission has an interest including, but not limited to:
</p><p>a. Administrative proceedings before the Commission, including appeals from staff determinations of requests made under FOIA and the Privacy Act;
</p><p>b. Federal court cases to which the Commission is a party;
</p><p>c. Litigation in which the Commission is participating as amicus curiae; and
</p><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Public papers filed in litigation as described above, including appellate and amicus curiae briefs, motions, and final decisions and orders.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1, <i>et seq.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by caption of the case.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy General Counsel for Litigation, Office of the General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The court or regulatory authority before which the action is pending, the attorneys for one of the named parties, and miscellaneous sources.</p></xhtmlContent></subsection></section>
<section id="cftc18" toc="yes">
<systemNumber>-18</systemNumber>
<subsection type="systemName">Logbook on Speculative Limit Violations.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have exceeded and who have potentially exceeded speculative limits in a particular fiscal year.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> including Sections 4i and 8 of that Act at 7 U.S.C. 6i and 12, and the rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By any of the available data fields as noted above under "Categories of Records in the System," <i>e.g.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are destroyed five years after the end of the fiscal year that the records covered.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Large Trader reports filed by reporting firms and reporting markets. Correspondence prepared by the Commission or by the individual or individual's representative.</p></xhtmlContent></subsection></section>

<section id="cftc29" toc="yes">
<systemNumber>-29</systemNumber>
<subsection type="systemName">Reparations Cases Closed in the Complaints Section.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals filing reparations complaints, as well as the firms and individuals named in the complaints.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By docket number and cross-indexed by the name of the complainant and respondent.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Futures Trading Specialist, Complaints Section, Office of Proceedings, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals filing reparations complaints or answers.</p></xhtmlContent></subsection></section>
<section id="cftc30" toc="yes">
<systemNumber>-30</systemNumber>
<subsection type="systemName">Open Commission Meetings.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are the subject of discussion at a Commission meeting open for public observation.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information pertaining to the individuals who are the subject of discussion at an open Commission meeting.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> and rules and regulations promulgated thereunder, including Commission regulations at 17 CFR Part 147.7.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary of the Commission, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="cftc31" toc="yes">
<systemNumber>-31</systemNumber>
<subsection type="systemName">Closed Commission Meetings (exempted).</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are the subject of discussion at a closed Commission meeting.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> and the rules and regulations promulgated thereunder, including Commission regulations at 17 CFR Part 147.7.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary of the Commission, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="cftc32" toc="yes">
<systemNumber>-32</systemNumber>
<subsection type="systemName">Office of the Inspector General Investigative Files (exempted).</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are part of an investigation of fraud and abuse concerning Commission programs or operations.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> and regulations, rules or orders issued thereunder; Public Law 95-452, as amended, 5 U.S.C. App. 3.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p>
<p>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.</p>
<p>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 <i>et seq.,</i> 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 <i>et seq.,</i> and regulations, rules or orders issued pursuant thereto.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Investigative files are retrieved by the subject matter of the investigation or by case file number. An index provides a cross-reference on individuals investigated.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Office of the Inspector General Investigative Files and the index to the files are destroyed 20 years after the case is closed.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Inspector General, Office of the Inspector General, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>
<section id="cftc33" toc="yes">
<systemNumber>-33</systemNumber>
<subsection type="systemName">Electronic Access Card.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Authorized access cardholders in headquarters and regional offices, including Commission employees, onsite contractors, visitors, or representatives of landlords.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records showing name of assigned user, electronic access card number and card status (<i>i.e.,</i> 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.</p>
<p>Records showing name of assigned user, electronic access card number, card status and card activity (<i>i.e.,</i> 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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> including Section 12(b)(3) of the Act, at 7 U.S.C. 16(b)(3), and rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p>
<p>b. Information contained in this system may be disclosed to any person for their use of maintenance or service of data processing systems.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the subject, by assigned access card number, by time period and by entry point.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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 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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Management Operations, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>

    <section id="cftc35" toc="yes">
    <systemNumber>-35</systemNumber>
       <subsection type="systemName">General Information Technology Records.</subsection> 
      
            <subsection type="securityClassification">
                <xhtmlContent>
                    <p>Unclassified.</p>
                </xhtmlContent>
                    </subsection>
        <subsection type="systemLocation">
            <xhtmlContent>
                <p>This system is located in the Commission’s Office of Data and Technology at its principal office at Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p>Individuals covered by the system include current and former CFTC network users, including current or former employees, interns, volunteers, contractors and consultants.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p>The system of records covers certain records that the CFTC computer systems routinely compile and maintain about users of its systems to enable the information technology ("IT") network and its hardware, software, applications, databases, communications and Internet access to function effectively, reliably and securely, and for activities to be logged for auditing, system improvement, and security purposes, to the extent such records are covered by the Privacy Act of 1974 and not included in another system of records.  This system includes but is not limited to:  network user information needed for the IT network and its components to function effectively and securely and for the CFTC to control access to software, applications, data and information; network activity information including, for example, activity logs, audit trails, identification of devices used to access CFTC systems, Internet sites visited, and information input into sites visited, logs of calls to and from a CFTC network user on desk or mobile phones, and similar communication data traffic logs, and, if needed to locate a misplaced CFTC mobile device or for related purposes, the location of that device; and logs of calls placed using CFTC calling cards.  Many CFTC computer systems collect and maintain additional information, other than system use data, about individuals inside and outside the CFTC.  For a complete list of CFTC Privacy Act systems, please see http://www.cftc.gov/Transparency/PrivacyOffice/SORN/index.htm to learn about other categories of information collected and maintained about individuals in the CFTC’s computer system.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p>5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq. including Section 12 of the Commodity Exchange Act, at 7 U.S.C. 16, and the rules and regulations promulgated thereunder.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p>The purpose of the system of records is to enable effective, reliable and secure operation of the information technology network and its hardware, software, applications, databases, communications and Internet access that CFTC staff members rely upon to perform their job duties and carry out the agency’s mission.  This includes:  to monitor usage of computer systems; to ensure the availability and reliability of the agency computer facilities; to document and/or control access to various computer systems; to audit, log, and alert responsible CFTC personnel when certain personally identifying information is accessed in specified systems; to identify the need for and to conduct training programs, which can include the topics of information security, acceptable computer practices, and CFTC information security policies and procedures; to monitor security on computer systems; to add and delete users; to investigate and make referrals for disciplinary or other action if improper or unauthorized use is suspected or detected.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p>The information in this system will be routinely used by CFTC staff members in the Office of Data and Technology to:  facilitate authorized access to and use of CFTC email accounts and internal individual and shared electronic storage and collaboration platforms; enable appropriate access and controls over access to other CFTC systems, applications and information; implement privacy and security controls over CFTC resources and information; generate audit trails for review by staff to understand vulnerabilities and issues to improve system effectiveness and security; and support the communications, telecommunications and audiovisual services CFTC staff members need to fulfill their job duties. Information in this system also may be disclosed in accordance with the blanket routine uses that appear at the beginning of the Commission’s compilation of its system of records notices, see, e.g., 76 FR 5974 (Feb. 2, 2011), and the Commission’s website, http://www.cftc.gov.</p>
                <p>Disclosure To Consumer Reporting Agencies:</p>
                <p>None.</p>
                
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p>Storage:</p>
                <p>Paper records are stored in file folders and electronic records are stored on the Commission’s network and other electronic media as needed, such as encrypted hard drives and back-up media.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p>Certain information covered by this SORN may be retrieved by name, CFTC username, identification number, title, device identifier, Internet Protocol address assigned to CFTC IT network components, email address, and calling card or phone number of the CFTC network user.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p>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 who have a legitimate need to know the information; required use of strong passwords that are frequently changed; multi-factor authentication for remote access and access to many CFTC network components; use of encryption for certain data types and transfers; firewalls and intrusion detection applications; and regular review of security procedures and best practices to enhance security.  Physical measures include restrictions on building access to authorized individuals, 24-hour security guard service, and maintenance of records in lockable offices and filing cabinets.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p>The records will be maintained in accordance with records disposition schedules approved by the National Archives and Records Administration.  The schedules are available at www.cftc.gov.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p>The Chief Information Officer, Office of Data and Technology, located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p>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 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.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p>Current and former CFTC IT network users, including current and former employees, interns, volunteers, contractors and consultants; individuals communicating with CFTC network users through CFTC communications platforms; and CFTC hardware, software and system components that generate information reflecting activity on the CFTC IT network.</p>
                
                </xhtmlContent>
    </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent>
        </subsection>
    </section> 






        <systemNumber>-37</systemNumber>
<subsection type="systemName">Lexis/Westlaw Billing Information System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Library, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Commission employees and onsite contractors who are users of the Lexis/Westlaw research system.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> including Section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3), and rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By division, by month of use, by database accessed, by user name and user identification number.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely in electronic form, while hard copies are destroyed when no longer useful to the Commission employee reviewing them.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Supervisory Librarian, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Lexis/Westlaw billing information.</p></xhtmlContent></subsection>
<section id="cftc38" toc="yes">
<systemNumber>-38</systemNumber>
<subsection type="systemName">Automated Library Circulation System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Library, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual Commission employees who check out books and periodicals from the Commission Library.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 41 CFR Part 101-27.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by employee name, by the employee's bar code number, or by employee's office telephone number.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Supervisory Librarian, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Library user bar code identifiers; library materials use; overdue notices.</p></xhtmlContent></subsection></section>
<section id="cftc39" toc="yes">
<systemNumber>-39</systemNumber>
<subsection type="systemName">Freedom of Information Act Requests.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests, internal memoranda, response letters, appeals of denials, appeal determinations and electronic tracking data.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552, 5 U.S.C. 301.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders and on microfiche; electronic records, including computer files, are stored on the Commission's network, <i>e.g.,</i> desktop applications and RequestTracking, and on other electronic media as needed.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By assigned control number, by name of requester, or by subject of request.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FOIA requests are retained in accordance with General Records Schedule 14 of the National Archives and Records Administration.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Paralegal Specialist, Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals requesting information from the Commission pursuant to the FOIA and employees processing the requests.</p></xhtmlContent></subsection></section>
<section id="cftc40" toc="yes">
<systemNumber>-40</systemNumber>
<subsection type="systemName">Privacy Act Requests.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests, internal memoranda, response letters, appeals of denials, appeal determinations and electronic tracking data.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552a, 5 U.S.C. 301.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders and on microfiche; electronic records, including computer files, are stored on the Commission's network, <i>e.g.,</i> desktop applications and RequestTracking, and on other electronic media as needed.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By assigned control number or by name of requester.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Privacy Act requests are retained in accordance with General Records Schedule 14 of the National Archives and Records Administration.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Paralegal Specialist, Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals requesting information from the Commission pursuant to the Privacy Act and employees processing the requests.</p></xhtmlContent></subsection></section>
<section id="cftc41" toc="yes">
<systemNumber>-41</systemNumber>
<subsection type="systemName">Requests for Confidential Treatment.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals requesting confidential treatment of, and individuals who are the subjects of, documents filed with the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests for confidential treatment, the documents for which confidential treatment is requested and electronic tracking data.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552, 5 U.S.C. 301.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders and on microfiche; electronic records, including computer files, are stored on the Commission's network, <i>e.g.,</i> desktop applications and Contreat2003, and on other electronic media as needed.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of requester or by subject of request.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for 20 years then destroyed.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Paralegal Specialist, Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals submitting documents to the Commission.</p></xhtmlContent></subsection></section>
<section id="cftc42" toc="yes">
<systemNumber>-42</systemNumber>
<subsection type="systemName">Debt Collection Files.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Office of Financial Management, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st St. NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3701, <i>et seq.</i></p>
</xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p>
<p>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.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by CFTC docket number and by the name of the debtor.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with General Records Schedule 6 of the National Archives and Records Administration.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Financial Management, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Commission orders, judicial orders, debtors, credit reports from commercial credit bureaus, asset search databases, Department of the Treasury, Department of Justice.</p></xhtmlContent></subsection></section>
<section id="cftc43" toc="yes">
<systemNumber>-43</systemNumber>
<subsection type="systemName">Visitor Information System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Visitors to the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>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.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer records are stored in a stand-alone database. Paper reports from the system are kept in a locked file.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By date and by visitor name.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained for three months and then destroyed.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Office of Management Operations, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual on whom the record is maintained.</p></xhtmlContent></subsection></section>
<section id="cftc44" toc="yes">
<systemNumber>-44</systemNumber>
<subsection type="systemName">Personnel Clearance System (PCS).</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who require regular, ongoing access to CFTC facilities, information technology systems, or information classified in the interest of national security, including candidates for Commission employment or 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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include any or all of the following: First name, last name, social security number, date of birth, state of birth, country of birth, non CFTC phone number, non CFTC email address, CFTC duty location, CFTC hiring division, hiring manager, job title, job series, job grade, journeymen job grade, appointment type, prior CFTC employment, prior employment year, prior employment division, business manager, proposed start date, level of clearance needed, clearance valid date, clearance related investigation status, and clearance related investigation notes; copies of and information derived from passports, birth certificates, driver's licenses, OF 306 forms, US "I-9 Forms" and resumes; information provided by the Office of Personnel Management (OPM) for clearance determination purposes; and in addition for contractors only, estimated contract end date, option year information, hiring manager and/or Contract Officer Technical Reviewer (COTR), contract number, company name, company point of contact, and company address.</p>
<p><i>Note: </i> 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.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Applicants and appointees to Federal service are subject to a background investigation under 5 CFR parts 731, 732, and 736, Executive Order 10450, "Security Requirements for Government Employment" and the agency memorandum exercising authority to conduct investigations of non-competitive service applicants and appointees under these authorities. <i>See also</i> Executive Order 13292, "Classified National Security Information," and Executive Order 12968, "Access to Classified Information." HSPD-12 clarified that Federal contractors are also subject to background investigation under these authorities. The Office of Personnel Management (OPM) is authorized to collect this information under 5 U.S.C. 3301, 3302, and 9101. 5 U.S.C. 1104 allows OPM to delegate the personnel management function to other Federal agencies.</p>
<p>Solicitation of the Social Security Number is also authorized by Executive Order 9397, which asks Federal agencies to use this number to help identify individuals in agency records.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system are used to verify identity and to facilitate background investigations by OPM and adjudications by the CFTC Security and Emergency Management Officer.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system may be disclosed as stated below:
</p><p>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.</p>
<p>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.</p>
<p>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.</p>
<p>Information also may be disclosed as stated in the blanket routine uses numbered 1 through 19 that appear at the beginning of the Commission's compilation of its systems of records notices at 76 FR 5974 (Feb. 2, 2011), and copied in this <i>Federal Register</i> notice above for convenience, "Supplementary Information," "II. Routine Uses."
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data will be collected and maintained electronically and in paper files. Paper records are stored in file folders, binders, computer files and computer disks. Electronic records, including computer files and electronically maintained data, are stored on the Commission's network and other electronic media as needed, such as encrypted hard drives.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Files are retrieved by name of the individual.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in the system are protected from unauthorized access and misuse through various administrative, technical and physical security measures. Technical security measures within CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 only and maintaining records in lockable offices and filing cabinets. These records are kept in electronic form and in file folders in locked metal file cabinets in locked rooms at the headquarters office in the Security and Emergency Management Office.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained and disposed of in accordance with General Records Schedule 18, Item 22a and Item 22b. The schedules are available at <i>www.cftc.gov.</i> The data will be deleted by the Personnel Security staff 90 days after the separation of the individual from CFTC.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Security and Emergency Management Office within Logistics and Operations in the Commission's Office of the Executive Director, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p>
<p>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.</p>
<p><i>Note:</i> 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.</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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 Human Resources staff on the subject of any background investigation and security adjudication may also be made available.</p>
<p><i>Note: </i> 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 Security and Emergency Management 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 the Federal Investigations Processing Center, as stated in OPM Central-9. The signed request should be made under the Privacy Act of 1974 and include the requester's full name, home address, Social Security Number, date and place of birth, and other information requested by OPM.</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.</p>
<p><i>Note: </i> 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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual and OPM will provide the information for this system of records.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="cftc45" toc="yes">
<systemNumber>-45</systemNumber>
<subsection type="systemName">Comments Online.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals providing comments or other input to the Commission in response to proposed rules, industry filings or other Commission request for comments associated with Commission rules, policies or procedures, whether the individuals provide comments or input directly or through their representatives. Any individuals who may be discussed or identified in the comments or input provided by others to the Commission.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming comments or other input to the Commission in response to proposed rules, industry filings or other Commission request for comments associated with Commission rules, policies or procedures, provided to the Commission via the web form on the <i>http://www.cftc.gov</i> site, electronic mail, facsimile or postal mail. Comments or input submitted through <i>http://www.cftc.gov</i> include the full name of the submitter, an email address and the name of the organization, if an organization is submitting the comments. The commenter may optionally provide job title, mailing address and phone numbers. The comments or input provided may contain other personal information, although the comment submission instructions advise commenters not to include additional personal or confidential information.</p>
<p>This system excludes comments or input for which the Commission has received and either has approved or not yet decided a Freedom of Information Act "request for confidential treatment." Records related to such requests are covered under System of Record Notice CFTC-41, "Requests for Confidential Treatment."
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101, Administrative Procedure Act, 5 U.S.C. 553 <i>et seq.,</i> the Commodity Exchange Act, 7 U.S.C. 1 <i>et seq.,</i> and rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To collect and maintain in an electronic system feedback from the public and industry groups regarding proposed rules and other Commission regulatory actions in accordance with the Administrative Procedure Act ("APA") or other statutory or regulatory provisions, as well as input on Commission activities that may not be associated with notice and comment requirements.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Comments or input in this system, along with the commenter's name and organization, are published on the <i>http://www.cftc.gov</i> site. In the event a commenter has withdrawn a comment before the comment period has closed or the Commission has determined that a comment contains obscenities or other material deemed inappropriate for publication by the Commission, the comment will be removed from publication on the <i>http://www.cftc.gov</i> site but will be retained the Comments Online database for consideration as required by the APA or as part of the Commission's documentation of a comment withdrawal if requested.</p>
<p>The Comments Online system also contains the commenter's email address and other personal contact information the commenter may voluntarily provide to the Commission, such as phone number. The email address will be used for the Commission to send the commenter a verification of receipt of the comment. The email address and other contact information may be used by the Commission to contact the commenter with questions about his or her submission. Only the commenter's name and organization are made available with the comment or input on <i>http://www.cftc.gov</i>, unless the commenter incorporates other personal information into the text of his or her comment or input.</p>
<p>Also, information in this system may be disclosed in accordance with the blanket routine uses numbered 1 through 19 that appear in the Commission's Privacy Act Systems of Records Notice, 76 FR 5974 (Feb. 2, 2011).</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders, binders, computer disks, and are uploaded into the Comments Online system. Electronic records, including comments or input and personal information provided through the web form on the <i>http://www.cftc.gov</i> site, by electronic mail or as uploaded into the Comments Online database, are stored on the Commission's network and other electronic media as needed, such as the eLaw system, desktop applications and back-up media.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the individual providing the comment or input, name of the individual on whose behalf a comment or input is provided, number assigned to the comment or input, or the subject matter, such as the proposed rule or industry filing to which the comment or input pertains. Also, by the name of any individual who is identified or discussed in the text of a comment or other input provided by another party.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in the Comments Online system, including personal information contained in the database and not published on <i>http://www.cftc.gov,</i> are protected from unauthorized access and misuse through various administrative, technical and physical security measures. Technical security measures within CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 only and maintaining records in lockable offices and filing cabinets.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention and disposal period depends on the nature of the comment or input provided to the Commission. For example, comments that pertain to a Commission proposed rule or industry filing become part of the agency's central files and are kept permanently. Other input to the Commission may be kept for between one and 10 years, depending on the subject matter.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Commission's Office of the Secretariat, located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals and organizations providing comments or other input to the Commission.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="cftc46" toc="yes">
<systemNumber>-46</systemNumber>
<subsection type="systemName">Lost, Stolen, Damaged or Destroyed CFTC Property.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>CFTC employees, interns, volunteers, contractors and consultants who have experienced the loss, theft, damage or destruction of CFTC accountable property assigned to them.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes the information provided by employees, volunteers, interns, contractors or consultants on a Lost, Stolen, Damaged or Destroyed CFTC Property reporting form, such as name, office contact information, and details concerning the loss, theft, damage or destruction of property; evidence and records collected from the employee, volunteer, intern, contractor or consultant, his or her supervisor or others interviewed; copies of police reports, accident reports, photographs and notes from interviews; meeting minutes from Property Survey Board meetings; findings, recommendations and the final decision concerning responsibility for reimbursement; information concerning reimbursement; and, if applicable, records related to an appeal.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Commodity Exchange Act Section 2(a)(5) (7 U.S.C. 2(a)(5)), Section 2(a)(6) (7 U.S.C. 2(a)(6)) and Section 2(a)(12) (7 U.S.C. 2(a)(12)), and the rules and regulations promulgated thereunder; the Federal Property and Administrative Services Act of 1949, 40 U.S.C. 471 <i>et seq.;</i> the Federal Managers' Financial Integrity Act of 1982, 31 U.S.C. 3512(b) and (c); and the Government Employee's Standard of Conduct, 5 CFR 2635.704.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the new system of records is to facilitate reporting by employees, interns, volunteers, contractors and consultants when CFTC property assigned to them is lost, stolen, damaged or destroyed, to allow the CFTC Logistics and Operations Unit (L&amp;O), a new Property Survey Board, and/or the Commission's Executive Director to review reports and related evidence, to determine whether the employee, intern, volunteer, contractor or consultant should be held financially responsible for reimbursing the CFTC for the costs of the property, and to allow an appeal of a decision.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in this system will be routinely used by CFTC staff in the Office of the Executive Director, including L&amp;O, Financial Management Branch, and, as needed, the Human Resources Branch, to facilitate the accounting for and determination of financial responsibility of employees, volunteers, interns, contractors and consultants for lost, stolen, damaged or destroyed CFTC property assigned to them. Information in this system may also be disclosed in accordance with the blanket routine uses that appear in the Commission's Privacy Act Systems of Records Notices, see, <i>e.g.,</i> 76 FR 5974 (Feb. 2, 2011).</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders, binders, computer disks, and are uploaded into the CFTC network. Electronic records, including emails, spreadsheets, PDF files and documents maintained on a SharePoint site, are stored on the Commission's network and other electronic media as needed, such as encrypted hard drives and back-up media.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the employee, volunteer, intern, contractor or consultant who completes and provides to L&amp;O staff the Lost, Stolen, Damaged or Destroyed CFTC Property Report and provides other evidence.</p></xhtmlContent></subsection>

<subsection type="safeguards"><xhtmlContent><p>Records in the system are protected from unauthorized access and misuse through various administrative, technical and physical security measures. Technical security measures within CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 only and maintaining records in lockable offices and filing cabinets.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained in accordance with records disposition schedules approved by the National Archives and Records Administration. The schedules are available at <i>www.cftc.gov.</i></p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Commission's Logistics and Operations Unit, Property Management Officer, located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees, volunteers, interns, contractors or consultants who provide information through the Lost, Stolen, Damaged or Destroyed CFTC Property Report or in discussions with L&amp;O staff, the Property Survey Board or Executive Director; selected L&amp;O staff and the Property Survey Board members involved in reviewing a particular situation to make a recommendation regarding responsibility for reimbursement; the Executive Director, who makes the final decision regarding responsibility; and personnel in the Commission's Financial Management Branch who handle financial reimbursement issues.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="cftc47" toc="yes">
<systemNumber>-47</systemNumber>
<subsection type="systemName">Internal Electronic Collaboration Tools.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Commodity Futures Trading Commission headquarters, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>CFTC employees, interns, volunteers, contractors and consultants who are given access to the CFTC network.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>CFTC user name, title, business and personal contact information, and organizational chart and hierarchy information. Those users who elect to participate in MySites will be able to publish additional personal information, such as personal photographs, information about their family status (such as whether they are married or have children), their hobbies, subject matter areas of Commission business about which they are knowledgeable, personal activities, notes, messages and other content. Also, the Internal Electronic Collaboration Tools will contain documents in electronic form covered by other CFTC Privacy Act System of Record Notices.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. &#167; 1 <i>et seq.</i> including Section 12(b) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3), and the rules and regulations promulgated thereunder.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the new system of records is to enhance and improve efficiencies in the dissemination and exchange of information within the Commission and allow colleagues to connect with each other. The internal electronic collaboration tools, utilizing the Microsoft SharePoint platform, will upgrade the Commission's intranet, allow users to set up team collaboration workspaces, facilitate sharing of documents, policies and information, and allow limited social networking through the SharePoint "MySites" feature. The new intranet will include Commission policies, procedures, forms, organization charts, news clips, links to other sites that are helpful for staff members, and links to other CFTC SharePoint sites containing shared documents and other information. The intranet will include content regarding program offices, services and support, and projects and activities. By connecting to a CFTC network administration database, the intranet will display a directory of all CFTC users, including titles, contact information and the photograph used for CFTC credentials for all employees, interns, volunteers, consultants and contractors (collectively "users"). The MySites feature will allow CFTC users to set up a personal profile, upload pictures, and publish content and messages that are similar to email. MySites also allows users to join groups, connect with colleagues and receive a newsfeed when new information is posted.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in this system will be routinely used by CFTC users to disseminate and share information, collaborate and communicate with each other with the goal of more efficiently conducting Commission business. Also, the Internal Electronic Collaboration Tools system will contain documents in electronic form covered by other System of Record Notices, and the routine uses for those System of Record Notices apply. In addition, information in this system may be disclosed in accordance with the blanket routine uses that appear in the Commission's Privacy Act Systems of Records Notices, see, <i>e.g.,</i> 76 FR 5974 (Feb. 2, 2011).</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic records, including emails, spreadsheets, PDF files, other documents and content maintained in or through this system are stored on the Commission's network and other electronic media as needed, such as encrypted hard drives and back-up media. Print-outs of records in this system are stored in file folders, binders and similar filing methods.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the employee, volunteer, intern, consultant or contractor who has access to the CFTC network.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in the system are protected from unauthorized access and misuse through various administrative, technical and physical security measures. Technical security measures within CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 only and maintaining records in lockable offices and filing cabinets.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained and dispositioned in accordance with records disposition schedules approved by the National Archives and Records Administration.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Commission's Office of Data and Technology, located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>CFTC employees, volunteers, interns, contractors or consultants who have access to the CFTC network and post information within the Internal Electronic Collaboration Tools. The source of user directory information is the network administration database.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Internal Electronic Collaboration Tools system will contain documents in electronic form covered by other System of Record Notices, and the exemptions for those System of Record Notices apply.
</p></xhtmlContent></subsection></section><section id="cftc48" toc="yes">
<systemNumber>-48</systemNumber>
<subsection type="systemName">Personal Property Claims.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>CFTC employees and former employees who have experienced damage to or loss of personal property incident to Commission business. Covered individuals also may include authorized agents or legal representatives of CFTC employees or former employees, or their survivors.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes the information provided by employees on a CFTC Personal Property Claims form, including the following when applicable: name of employee, information concerning the damage or loss of personal property, personal property at issue, corroborating statements from persons who have personal knowledge of the facts concerning the claim, either an itemized bill for repair of damaged property, or an itemized repair estimate or bill of sale or value estimate from a competent repairman or appraiser, evidence that the employee has filed a claim with the carrier or insurer, and copies of any pertinent correspondence, copies of travel and transportation orders, a statement concerning any reimbursement obtained from a carrier or insurer, describing reimbursement received for each item, copies of police reports, and other evidence which may be needed for CFTC review and determination of whether to pay the claim.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Military Personnel and Civilian Employees' Claims Act, 31 U.S.C. 3721, authorizes heads of federal agencies to pay or otherwise settle claims of employees up to a limit specified by the Act and/or CFTC policies for damage or loss of personal property incident to their services.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system of records is to include all information related to claims by employees for damage to or loss of personal property incident to Commission business, as provided in the Military Personnel &amp; Civilian Employees' Claims Act of 1964, 31 U.S.C. 3721. The system will facilitate the review of a claim and collection of evidence by CFTC Logistics and Operations Unit (L&amp;O); will facilitate the Executive Director's decision as to whether to pay a claim, offer a replacement of the property in kind or otherwise settle the claim; will facilitate processing through Financial Management; and when a claim has been denied, will allow a claimant to request reconsideration, as stated in Commission policy.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in this system will be routinely used by CFTC staff in the Office of the Executive Director, including L&amp;O, Security and Emergency Management Office and Financial Management Branch to review, process and adjudicate personal property claims. Information also may be disclosed as stated in the blanket routine uses numbered 1 through 19 that appear at the beginning of the Commission's compilation of its systems of records notices at 76 FR 5974 (Feb. 2, 2011), and copied in this <i>Federal Register</i> notice above for convenience, "Supplementary Information," "II. Routine Uses."
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders, binders, computer disks, and are uploaded into the CFTC network. Electronic records, including emails, spreadsheets, PDF files and documents are maintained on a SharePoint site, are stored on the Commission's network and other electronic media as needed, such as encrypted hard drives and back-up media.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the employee who files the personal property claim.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Records in the system are protected from unauthorized access and misuse through various administrative, technical and physical security measures. Technical security measures within CFTC include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 only and maintaining records in lockable offices and filing cabinets.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained in accordance with records disposition schedules approved by the National Archives and Records Administration. The schedules are available at <i>www.cftc.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Logistics &amp; Operations in the Commission's Office of the Executive Director, located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who file personal property claims; the individual's supervisor; information from witnesses collected by the Security and Emergency Management Office staff; the Executive Director, who makes the final decision regarding settlement of the claim; and personnel in the Commission's Financial Management Branch who handle financial reimbursement issues.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection>
</section>
<section id="cftc49" toc="yes">
<systemNumber>-49</systemNumber>
<subsection type="systemName">Whistleblower Records (Exempted).</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Whistleblower Office, in the Office of the Executive Director, in the Commission's principal office at Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>a. Individuals who have submitted tips, complaints or referrals, award applications and/or related documents or information to the Whistleblower Office in relation to the Commission's whistleblower program, and any individuals who are referenced in any information submitted to or accessed by the Whistleblower Office in relation to the whistleblower program.</p>
<p>b. 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.</p>
<p>c. 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.</p>
<p>d. 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.</p>
<p>e. Individuals whom the Commission staff has identified as relevant to an enforcement investigation, such as complainants, witnesses and counsel.</p>
<p>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.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system may include all or any part of the records developed during the whistleblower tip, complaint or referral submission process, investigation or inquiry, or whistleblower award claim and determination process, as described in Section 23 of the Commodity Exchange Act, 7 U.S.C. 26, and the rules promulgated thereunder, 17 CFR part 165, including but not limited to data from Commission reporting forms, such as Commission Forms TCR and WB-APP, documents and information related to the whistleblower program, and records drafted and/or compiled for the Commission's Whistleblower Award Determination Panel whose disclosure the Commission staff has determined could impair the effectiveness and orderly conduct of the Commission's whistleblower, regulatory and enforcement programs or compromise Commission investigations. This system may include: records, data and correspondence submitted by and sent to whistleblowers and/or their representatives; correspondence with other law enforcement and regulatory agencies regarding referral of whistleblower information and related actions brought by such agencies based on whistleblower information; interviews, memoranda and other work products prepared by Commission staff; affidavits, statements by witnesses, contracts and agreements with whistleblowers, including confidentiality agreements; and information available on the Internet or other electronic sources accessed for purposes of the whistleblower program. The system may also contain internal memoranda and declarations of Commission staff, correspondence and other miscellaneous investigatory matters. The nature of the personal information contained in these files varies according to what has been submitted by the whistleblower and/or his/her representative, and may include personal background information about individuals involved, their education and employment history, social security numbers, trading account details, information on prior violations, and a wide variety of financial information, as well as a detailed examination of the individuals' activities during the period in question.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Commodity Exchange Act Section 23, 7 U.S.C. &#167; 26, and the rules promulgated thereunder, 17 CFR part 165, authorizing the creation and administration of the Commission's whistleblower program.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Commission's whistleblower program is designed to pay awards to eligible individuals who voluntarily provide the Commission with original information about violations of the Commodity Exchange Act (CEA) that lead to the successful enforcement of covered judicial or administrative actions, or related actions. The whistleblower provisions also prohibit retaliation by employers against individuals who provide the Commission with information about possible CEA violations. As part of its administration of the whistleblower program, the Commission's Whistleblower Office maintains records of whistleblower tips, complaints, award claims and related supplemental records and correspondence.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 at 76 FR 5974 (Feb. 2, 2011), and copied in this <i>Federal Register</i> notice above for convenience, "Supplementary Information," "II. Routine Uses," which will be exercised in accordance with Commodity Exchange Act Section 23(h)(2), 7 U.S.C. 26(h)(2), and rule 165.4 thereunder, 17 CFR 165.4.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are stored in file folders and binders. Electronic records, including PDFs of paper records and computer files, are stored on the Commission's network and on various other electronic media as needed, such as encrypted hard drives.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the name, submission number or other individual identifier of the individual or individuals seeking whistleblower status or claiming a whistleblower award.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are protected from unauthorized access and improper use through administrative, technical and physical security measures. Technical security measures within the Commission include restrictions on computer access to authorized individuals, required use of strong passwords that are 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 whistleblower information.</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>1. Whistleblower Submission Files:
</p><p>a. Includes but is not limited to Forms TCR and WB-APP, records provided by whistleblowers and/or their representatives in support of their submissions, memoranda of interviews with whistleblowers, correspondence with whistleblowers and/or their representatives, and other related records.</p>
<p>b. Such files will be closed after the last action on the relevant Division of Enforcement matter, after the final appeal of the decision of the Whistleblower Award Determination Panel is exhausted, or after the award payment to the whistleblower has been made, whichever is applicable and whichever is latest (the cut-off date). Such files will be destroyed 15 years after the end of the fiscal year on which the latest cut-off date occurs.</p>
<p>2. Whistleblower Award Determination Panel Records:
</p><p>a. Includes but is not limited to documentation that the Whistleblower Office collects and prepares for the Whistleblower Award Determination Panel to make eligibility and award decisions, the Panel's determinations, records documenting payment of awards to whistleblowers, Panel membership lists and other records related to the administration of the Panel, and other related records.</p>
<p>b. Such files will be closed after the final appeal of the Whistleblower Award Determination Panel decision is exhausted, or after the award payment to the whistleblower has been made, whichever is applicable and whichever is latest (the cut-off date). Such files will be transferred to the National Archives and Records Administration 15 years after the end of the fiscal year in which the latest cut-off date occurs.</p>
<p>All whistleblower records remain exempt from disclosure under the Privacy Act.</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Whistleblower Officer in the Office of the Executive Director, in the Commission's principal office at Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Reporting forms and other information filed with or submitted to the Commission by: Individuals interested in participating in the whistleblower program; 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; the Whistleblower Award Determination Panel; and other sources which may have information related to the handling of a whistleblower matter.</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>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.</p></xhtmlContent></subsection></section>

	<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 2, 2016 and December 31, 2017</title>
</previousPubs>

    <section id="cftc50" toc="yes">
        <systemNumber>-50</systemNumber>
        <subsection type="systemName"> LabCFTC; CFTC-50 </subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p>
                    Unclassified.
                </p>
            </xhtmlContent>
            </subsection>
        <subsection type="systemLocation">
            <xhtmlContent>
                <p>This system is located at the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p>General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> The collection of this information is authorized under 7 U.S.C. 5(b), and the rules promulgated thereunder.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p>The information in the system is being collected to assist CFTC in communicating with interested parties to encourage responsible FinTech innovation in the markets CFTC oversees and to help accelerate Commission engagement with FinTech solutions that enable the CFTC to carry out its mission responsibilities more effectively and efficiently.  The information collected facilitates communications with FinTech innovators and the CFTC to enable innovators to learn about the CFTC’s regulatory framework and to obtain feedback and information on the implementation of technology ideas for the market.  This information also may help initiate the adoption of new technology within the CFTC’s own mission activities through collaboration with FinTech industry and CFTC market participants.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> The system of records includes information that may contain:  individual’s name, physical address, telephone numbers (work, home, mobile), email addresses, employer, job title, relevant work experience, CFTC status (registrant, non-registrant), organization type (S Corporation, Limited Liability Corporation, etc.), and other business, business partner, or technology information that may be linked to an individual.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p>Information in this system is obtained directly from the individual who is submitting the information.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p>a) To disclose information to other financial regulators to facilitate regulatory discussions around technology innovations;</p>
                <p>b) To disclose information to external committees that advise the CFTC on the impact and implications of technological innovations on financial services and the derivatives markets;</p>
                <p>c) For use in conferences or other events consistent within the purpose of 7 U.S.C. 5(b);</p>
                <p>d) To disclose 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;</p>
                <p>e) To disclose to Federal, State, local, territorial, Tribal, or foreign agencies for use in meeting their statutory or regulatory requirements;</p>
                <p>f) To disclose to any "registered entity," as defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, et seq. ("the Act"), to the extent disclosure is authorized and will assist the registered entity in carrying out its responsibilities under the Act.  Information may also be disclosed to any registered futures association registered under section 17 of the Act 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.;</p>
                <p>g) To disclose to anyone during the course of a Commission investigation if Commission staff has reason to believe that the person to whom it is disclosed may have further information about matters relevant to the subject of the investigation;</p>
                <p>h) To disclose in a public report issued by the Commission following an investigation, to the extent that the disclosure is authorized under section 8 of the Commodity Exchange Act, 7 U.S.C. 12;</p>
                <p>i) To disclose 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;</p>
                <p>j) To disclose to Congress upon its request, acting within the scope of its jurisdiction, pursuant to the Commodity Exchange Act, 7 U.S.C. 1 et seq., and the rules and regulations promulgated thereunder;</p>
                <p>k) To disclose to appropriate agencies, entities, and persons when (1) the Commission suspects or has confirmed that there has been a breach of the system of records; (2) the Commission has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the Commission (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Commission’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm; or</p>
                <p>l) To disclose to another Federal agency or Federal entity, when the Commission determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p>The LabCFTC system of records stores records in this system electronically or on paper in secure facilities.  Electronic records are stored on the Commission’s secure network and other electronic media as needed, such as encrypted hard drives and back-up media.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p>Certain information covered by this system of records notice may be retrieved by name, email address, physical address, or other unique individual identifiers, and other types of information by keyword search.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p>Records for this system will be maintained until the National Archives approves the records disposition schedules for their disposition.  After the schedules are approved, the records will be maintained in accordance with the retention periods in the schedules.  All approved schedules are available at www.cftc.gov.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p>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 should address written inquiries to the Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  See 17 CFR 146.3 for full details on what to include in a Privacy Act access request.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> Individuals contesting the content of records about themselves contained in this system of records should address written inquiries to the Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  See 17 CFR 146.8 for full details on what to include in a Privacy Act amendment request.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p>Individuals seeking notification of any records about themselves contained in this system of records should address written inquiries to the Office of General Counsel, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.  See 17 CFR 146.3 for full details on what to include in a Privacy Act notification request.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="history">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent>
        </subsection>
    </section>



    <regulations id="reg" toc="yes">
<regulationsTitle number="17">
<heading> Commodity and Securities Exchange </heading>
<regulationsChapter number="I">
<heading> Commodity Futures Trading Commission </heading>
<regulationsPart number="146">
<heading> RECORDS MAINTAINED ON INDIVIDUALS </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>146.1 Purpose and scope.
</p>
<p>146.2 Definitions.
</p>
<p>146.3 Requests by an individual for information or access.
</p>
<p>146.4 Procedures for identifying the individual making the request.
</p>
<p>146.5 Disclosure of requested information to individuals; fees for copies of records.
</p>
<p>146.6 Disclosure to third parties.
</p>
<p>146.7 Content of systems of records.
</p>
<p>146.8 Amendment of a record.
</p>
<p>146.9 Appeals to the Commission.
</p>
<p>146.10 Information supplied by the Commission when collecting information from an individual.
</p>
<p>146.11 Public notice of records systems.
</p>
<p>146.12 Exemptions.
</p>
<p>146.13 Inspector General exemptions.
</p>
<p><b>Appendix A to Part 146--Fees for Copies of Records Requested Under the Privacy Act of 1974</b>
</p>
<p><b>Authority:</b> 88 Stat. 1896 (5 U.S.C. 552a), as amended; 88 Stat. 1389 (7 U.S.C. 4a(j)).
</p>
<p><b>Source:</b> 41 FR 3212, Jan. 21, 1976, unless otherwise noted.</p>
<p><b>&#167; 146.1
 Purpose and scope.
</b></p>
<p>(a) This part contains the rules of the Commodity Futures Trading Commission implementing the Privacy Act of 1974 (Pub. L. 93-579, 5 U.S.C. 552a). These rules apply to all records maintained by this Commission which are not excepted or exempted as set forth in &#167; 146.12, insofar as they contain personal information concerning an individual, identify that individual by name or other symbol and are contained in a system of records from which information is retrieved by the individual’s name or identifying symbol. Among the primary purposes of these rules are to permit individuals to determine whether information about them is contained in Commission files and, if so, to obtain access to that information; to establish procedures whereby individuals may have inaccurate and incomplete information corrected; and, to restrict access by unauthorized persons to that information.
</p>
<p>(b) In this part the Commission is also exempting certain Commission systems of records from some of the provisions of the Privacy Act of 1974 that would otherwise be applicable to those systems. These exemptions are authorized under the Privacy Act, 5 U.S.C. 552a(k).
</p>
<p><b>&#167; 146.2
 Definitions.
</b></p>
<p>For purposes of this part 146:
</p>
<p>(a) The term <i>Commission</i> means the Commodity Futures Trading Commission;
</p>
<p>(b) The term <i>Executive Director</i> refers to the executive level staff official appointed pursuant to section 2(a)(5) of the Commodity Exchange Act.
</p>
<p>(c) The term <i>FOI, Privacy and Sunshine Acts compliance staff</i> refers to the staff in the Office of the Secretariat in the Commission’s principal office in Washington, DC who are assigned to respond to requests and handle various other matters under the Freedom of Information Act, the Privacy Act of 1974 and the Government in the Sunshine Act;
</p>
<p>(d) The term <i>individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence;
</p>
<p>(e) The term <i>maintain</i> includes maintain, collect, use, or disseminate;
</p>
<p>(f) The term <i>record</i> means any item, collection, or grouping of information about an individual that is maintained by the Commission, including but not limited to, his education, financial transactions, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual;
</p>
<p>(g) The term <i>system of records</i> means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual;
</p>
<p>(h) The term <i>system notice</i> means a notice of the existence and character of the Commission’s system of records published in the <i>Federal Register</i> pursuant to &#167; 146.11(a) of these rules;
</p>
<p>(i) The term <i>routine use</i> means, with respect to the disclosure of a record, the use of that record for a purpose which is compatible with the purpose for which it was collected;
</p>
<p>(j) The term <i>Freedom of Information Act</i> encompasses both the Freedom of Information Act, as amended, 5 U.S.C. 552, and the Commission’s rules contained in part 145 of this title.
</p>
<p>(k) The term <i>agency</i> means any executive department, military department, Government corporation, Government controlled corporation or other establishment in the Executive branch of the Government or any independent regulatory agency.
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 45 FR 26954, Apr. 22, 1980]
</p>
<p><b>&#167; 146.3
 Requests by an individual for information or access.
</b></p>
<p>(a) Any individual may request information on whether a system of records maintained by the Commission contains any information pertaining to him, or may request access to his record or to any information pertaining to him which is contained in a system of records. All requests shall be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>(b) A request for information or for access to records under this part may be made by mail or in person. The request shall:
</p>
<p>(1) Be in writing and signed by the individual making the request;
</p>
<p>(2) Include the full name (including the middle name) of the individual seeking the information or record, his home address and telephone number, his business address and telephone number; and
</p>
<p>(3) If he is or ever has been registered with the Commission or its predecessor agency, or associated with a firm so registered as a partner, officer or director or 10% shareholder, state in what capacity he is or was registered.
</p>
<p>(c) For each system of records from which information is sought, the request shall:
</p>
<p>(1) Specify the title and identifying number for that system as it appears in the system notice published by the Commission;
</p>
<p>(2) Provide additional identifying information, if any, specified in the system notice;
</p>
<p>(3) Describe the specific information or kind of information sought within that system of records; and
</p>
<p>(4) Set forth any special arrangements sought concerning the time, place, or form of access. A description of the information contained in a system notice and instructions on how to obtain copies of the Commission’s system notices appear in &#167; 146.11(b).
</p>
<p>(d) The Commission will respond in writing to a request made under this section within ten days (excluding Saturdays, Sundays and legal public holidays) after receipt of the request. If a definitive reply cannot be given within ten days, the request will be acknowledged and an explanation will be given of the status of the request.
</p>
<p>(e) When an individual has requested access to records, available to him under these rules, he will either be notified in writing of where and when he may obtain access to the records requested or be given the name, address and telephone number of the member of the Commission staff with whom he should communicate to make further arrangements for access.
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976; 60 FR 49335, Sept. 25, 1995]
</p>
<p><b>&#167; 146.4
 Procedures for identifying the individual making the request.
</b></p>
<p>When a request for information or for access to records has been made pursuant to &#167; 146.3, before information is given or access is granted pursuant to &#167; 146.5 of these rules the Commission shall require reasonable identification of the person making the request to insure that information is given and records are disclosed only to the proper person.
</p>
<p>(a) An individual may establish his identity by:
</p>
<p>(1) Submitting with his request for information or for access a photocopy of two pieces of identification bearing his name and signature, one of which shall bear his current home or business address; or
</p>
<p>(2) Appearing at any office of the Commission (located at the addresses set forth in &#167; 145.6 of these rules) during the regular working hours for that office and presenting either:
</p>
<p>(i) One piece of identification containing a photograph and signature, such as a drivers license or passport or
</p>
<p>(ii) Two pieces of identification bearing his name and signature, one of which shall bear his current home or business address; or
</p>
<p>(3) Providing such other proof of identity as the Commission deems satisfactory in the circumstances of a particular request.
</p>
<p>(b) If the Executive Director or other designated Commission official determines that the data in a requested record is so sensitive that unauthorized access could cause harm or embarrassment to the person whose record is involved, or if the person making the request is unable to produce satisfactory evidence of identity under paragraph (a) of this section, the individual making the request may be required to submit a notarized statement attesting to his identity and that he is familiar with and understands the criminal penalties provided under section 1001 of title 18 of the U.S. Code for making false statements to a Government agency and under the Privacy Act, section 552a(i)(3) of title 5 of the U.S. Code, for obtaining records under false pretenses. Copies of these statutory provisions and forms for such notarized statements may be attained upon request from the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>(c) The parent or guardian of a minor or a person judicially determined to be incompetent, in addition to establishing the identity of the person he represents as described in the previous paragraphs of this section, shall establish his own identity and his parentage or guardianship by furnishing a copy of a birth certificate showing parentage or a court order establishing the guardianship.
</p>
<p>(d) Nothing in this section shall preclude the Commission from requiring additional identification before granting access to the records if there is reason to believe that the person making the request may not be the individual to whom the record pertains, or where the sensitivity of the data warrants it.
</p>
<p>(e) The requirements of this section shall not apply if the records involved would be available to any person pursuant to the Commission’s rules under the Freedom of Information Act as set forth in part 145 of this chapter.
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28260, July 9, 1976; 60 FR 49335, Sept. 25, 1995]
</p>
<p><b>&#167; 146.5
 Disclosure of requested information to individuals; fee for copies of records.
</b></p>
<p>(a) Any individual who has requested access to his record or to any information pertaining to him in the manner prescribed in &#167; 146.3, and has identified himself as prescribed in &#167; 146.4, shall be permitted to review the record and have a copy made of all or any portion thereof in a form comprehensible to him, subject to fees for copying services set forth in appendix A to this part. Upon his request persons of his own choosing may accompany him, but the individual shall first furnish a written statement authorizing discussion of that individual’s record in the accompany persons’ presence.
</p>
<p>(b) Access will generally be granted in the office of the Commission where the records are maintained during normal business hours, but for good cause shown the Commission may grant access at another office of the Commission or at different times for the convenience of the individual making the request.
</p>
<p>(c) Where a document containing information about an individual also contains information not pertaining to him, the portion not pertaining to the individual shall not be disclosed to him except to the extent the information is available to any person under the Freedom of Information Act. If the records sought cannot be provided for review and copying in a meaningful form, the Commission shall provide to the individual a report of the information concerning the individual contained in the record or records which shall be complete and accurate in all material aspects.
</p>
<p>(d) Where the disclosure involves medical records, the records may be provided only to a physician designated in writing by the individual.
</p>
<p>(e) Requests for copies of documents may be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, or to the member of the Commission’s staff through whom arrangements for access were made.
</p>
<p>(f) Fees for copies of records shall be charged as set forth in the schedule of fees contained in appendix A to this part. Copies of the schedule may be obtained upon request from the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Payment should be made by check or money order payable to the Commodity Futures Trading Commission. Advance payment of all or part of the fee may be required at the discretion of the Commission, but generally this will not be required for requests where the anticipated fee is less than $25.
</p>
<p>(g) Nothing in this section or in &#167; 146.3 shall:
</p>
<p>(1) Require the disclosure of investigative records exempted under &#167; 146.12 of these rules;
</p>
<p>(2) Allow an individual access to any information compiled in reasonable anticipation of a civil action, administrative proceeding or a criminal proceeding;
</p>
<p>(3) Require the furnishing of information or records which cannot be retrieved by the name or other identifier of the individual making the request.
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45 FR 26954, Apr. 22, 1980; 60 FR 49335, Sept. 25, 1995]
</p>
<p><b>&#167; 146.6
 Disclosure to third parties.
</b></p>
<p>(a) The Commission shall not disclose to any agency or to any person by any means of communication a record pertaining to an individual which is contained in a system of records, except under the following circumstances:
</p>
<p>(1) The individual to whom the record pertains has given his written consent to the disclosure;
</p>
<p>(2) The disclosure is to officers and employees of the Commission who need it in the performance of their duties;
</p>
<p>(3) Disclosure is required under the Freedom of Information Act (5 U.S.C. 552);
</p>
<p>(4) Disclosure is for a routine use as defined in &#167; 146.2(i) and described in the system notice for that system of records;
</p>
<p>(5) The disclosure is made to the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity;
</p>
<p>(6) The disclosure is made to a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(7) The disclosure is made to another agency or to an instrumentality of any Governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law and if the head of the agency or instrumentality has made a written request to the Commission specifying the particular portion desired and the law enforcement activity for which the record is sought;
</p>
<p>(8) The disclosure is made to a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
</p>
<p>(9) The disclosure is made to either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee;
</p>
<p>(10) The disclosure is made to the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office; or
</p>
<p>(11) The disclosure is pursuant to the order of a court of competent jurisdiction.
</p>
<p>(12) The disclosure is made, upon request, to a department or agency of any state or political subdivision thereof acting within the scope of its jurisdiction as permitted by section 8(e) of the Act and subject to the limitations of further dissemination as contained in section 8(e). Information disclosed pursuant to this paragraph may also include registration information maintained by the Commission on any registrant as authorized to be disclosed by section 8(g) of the Act. Registration information may be furnished to a department or agency of any state or political subdivision thereof upon reasonable request made by the department or agency or without request whenever the Commission or an employee designated by &#167; 140.75 of this chapter determines that such information may be appropriate for use by the department or agency.
</p>
<p>(13) The disclosure is made, upon request, to a department or agency of any foreign government or any political subdivision thereof, acting within the scope of its jurisdiction, provided that, prior to disclosure, the Commission or an employee delegated authority by &#167; 140.73 of this chapter to disclose information pursuant to section 8(e) of the Act is satisfied that the information will not be disclosed by such department or agency except in connection with an adjudicatory action or proceeding brought under the laws of such foreign government or political subdivision to which such foreign government or political subdivision or any department or agency thereof is a party.
</p>
<p>(b) The Commission will make reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record. In any instance where a record on an individual, which has been submitted to the Commission by such individual, is sought pursuant to a summons or subpoena, notice will be given in accordance with the provisions of section 8(f) of the Commodity Exchange Act, and &#167; 140.80 of this chapter, at least fourteen days prior to disclosure. Notice will not, however, be given with regard to any information as to which the submitter has waived the notice requirements of &#167; 140.80.
</p>
<p>(c) The Commission, with respect to each system of records under its control, shall keep an accurate accounting of certain disclosures.
</p>
<p>(1) A record shall be kept of all disclosures made under paragraph (a) of &#167; 146.6, except disclosures made with the consent of the individual to whom the record pertains (paragraph (a)(1) of this section), disclosures to authorized employees (paragraph (a)(2) of this section) and disclosures required under the Freedom of Information Act (paragraph (a)(3) of this section).
</p>
<p>(2) The record shall include:
</p>
<p>(i) The date, nature, and purpose of each disclosure of a record made to any person or to another agency;
</p>
<p>(ii) The name and address of the person or agency to whom the disclosure was made.
</p>
<p>(3) The accounting will be retained for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made.
</p>
<p>(d) The accounting described in paragraph (c) of this section will be made available to the individual named in the record upon his written request, directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, except that the accounting will not be revealed with respect to disclosures made under paragraph (a)(7) of this section pertaining to law enforcement activity, and to disclosures involving systems of investigative records exempted under &#167; 146.12 of these rules.
</p>
<p>(e) Whenever an amendment or correction of a record or a notation of dispute concerning the accuracy of records is made by the Commission in accordance with &#167;&#167; 146.8 and 146.9 of these rules, the Commission will inform any person or other agency to whom the record was previously disclosed, if an accounting of the disclosure was made pursuant to the requirements of paragraph (c) of this section.
</p>
<p>(Secs. 2(a)(11), 8 and 8a of the Commodity Exchange Act, 7 U.S.C. 4a(j), 12 and 12a, as amended by Pub. L. 97-444)
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 48 FR 22136, May 17, 1983; 49 FR 4465, Feb. 7, 1984; 60 FR 49335, Sept. 25, 1995]
</p>
<p><b>&#167; 146.7
 Content of systems of records.
</b></p>
<p>(a) The Commission will maintain in its records only such information about an individual as is relevant and necessary to accomplish the purposes of the Commodity Exchange Act and other purposes required to be accomplished by statute or by executive order of the President.
</p>
<p>(b) The Commission will maintain no record describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity.
</p>
<p>(c) The Commission will collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under Federal programs.
</p>
<p>(d) The Commission will maintain all records which are used by the Commission in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination.
</p>
<p><b>&#167; 146.8
 Amendment of a record.
</b></p>
<p>(a) Any individual may request amendment of information pertaining to him which is contained in a system of records maintained by the Commission and which is filed under his name or other individual identifier if he believes the information is not accurate, relevant, timely or complete. A request for amendment shall be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>(b) A request for amendment may be made by mail or in person and shall: (1) Be in writing and signed by the person making the request; (2) describe the particular record to be amended with sufficient specificity to permit the record to be located among those maintained by the Commission; and (3) specify the nature of the amendment sought and the justification for the requested change. The person making the request may be required to provide the information specified in &#167;&#167; 146.3 and 146.4 of these rules in order to simplify identification of the record and permit verification of the identity of the person making the request for amendment.
</p>
<p>(c) Receipt of a request for amendment will be acknowledged in writing within ten days (excluding Saturdays, Sundays, and legal public holidays) except that, if the individual is given notice within the ten day period that his request will or will not be complied with, no acknowledgement is required.
</p>
<p>(d) Assistance in preparing a request to amend a record may be obtained from the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>(e) Upon receipt of a request for amendment the Executive Director of the Commission or a person designated by the Executive Director shall promptly determine whether the record is materially inaccurate, incomplete, misleading, or is irrelevant or not timely, as claimed by the individual, and, if so, shall cause the record to be amended in accordance with the individual’s request.
</p>
<p>(f) If the Executive Director or designee grants the request to amend the record, the individual shall promptly be advised of the decision and of the action taken, and notice shall be given of the correction and its substance to each person or agency to whom the record had previously been disclosed, as shown on the record of disclosures maintained in accordance with &#167; 146.6(c).
</p>
<p>(g) If the Executive Director or designee disagrees in whole or in part with a request for amendment of a record, the individual shall promptly be notified of the complete or partial denial of his request and the reasons for the refusal. The individual shall also be notified of the procedures for administrative review by the Commission of any complete or partial denial of a request for amendment, which are set forth in &#167; 146.9.
</p>
<p>(h) If a request is received for amendment of a record prepared by another agency which is in the possession or control of the Commission, the request for amendment will be forwarded to that agency. If that agency determines that the correction should be made, the Commission will amend its records accordingly and notify the individual making the request for amendment of the change. If the other agency declines to make the amendment, the Executive Director or designee will independently determine whether the amendment will be made to the record in the Commission’s possession or control, considering any explanation given by the other agency for its decision.
</p>
<p>[41 FR 3211, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 60 FR 49335, Sept. 25, 1995]
</p>
<p><b>&#167; 146.9
 Appeals to the Commission.
</b></p>
<p>(a) Any individual may petition the Commission:
</p>
<p>(1) To review a refusal to comply with an individual request for access to records pursuant to the Privacy Act, 5 U.S.C. 552a(d)(1), and &#167;&#167; 146.3 and 146.5 of the rules in this part;
</p>
<p>(2) To review denial of a request for amendment made pursuant to &#167; 146.8;
</p>
<p>(3) To correct any determination that may have been made adverse to the individual based in whole or in part upon inaccurate, irrelevant, untimely or incomplete information;
</p>
<p>(4) To correct a failure to comply with any other provision of the Privacy Act, 5 U.S.C. 552a, and the rules of this part 146, which has had an adverse effect on the individual.
</p>
<p>(b) The petition to the Commission shall be in writing and shall (1) state in what manner it is claimed the Commission or any Commission employee has failed or refused to comply with provisions of the Privacy Act or of the rules contained in this part 146, and (2) set forth the corrective action the petitioner wishes the Commission to take. The petitioner may, if he wishes, state such facts and cite such legal or other authorities as he considers appropriate.
</p>
<p>(c) The petition shall be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>(d) The Commission will make a determination of any petition filed pursuant to this &#167; 146.9 within thirty days (excluding Saturdays, Sundays and legal public holidays) after receipt by the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat of the petition, unless for good cause shown, the Commission extends the 30-day period. If a petition is denied, the Commission will notify the petitioner in writing and state the reasons therefor.
</p>
<p>(e) Where the petition is made for review of a denial of a request for amendment made pursuant to &#167; 146.8, the following additional procedures shall apply:
</p>
<p>(1) If upon review the Commission grants the petition to amend the record, notice of the correction and its substance shall be given to each person or agency to whom the record had previously been disclosed, as shown on the record of disclosures maintained in accordance with &#167; 146.6(c) of these rules.
</p>
<p>(2) If upon review the initial denial of the request for amendment is upheld in whole or in part, the individual shall be notified of the provisions for judicial review of that determination which are set forth in section 552a(g)(1)(A) and (2)(A), of title 5 of the U.S. Code and the provisions for disputed records set forth in paragraph (e)(3) of this section.
</p>
<p>(3) If after review the Commission has declined to amend the records as the individual has requested, the individual may file with the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat a concise statement setting forth why he disagrees with the Commission’s denial of his request. Any subsequent disclosure containing information about which a statement of disagreement has been filed shall clearly note the portion which is disputed, and include a copy of the individual’s statement. The Commission may also include a copy of a concise statement explaining its reasons for not making the amendments requested.
</p>
<p>(f) The General Counsel or his or her designee is hereby delegated the authority to act for the Commission in deciding appeals under this section. The General Counsel may, in his or her sole and unfettered discretion, refer such appeals to the Commission for decision.
</p>
<p>[41 FR 3211, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45 FR 26954, Apr. 22, 1980; 51 FR 26874, July 28, 1986; 60 FR 49336, Sept. 25, 1995]
</p>
<p><b>&#167; 146.10
 Information supplied by the Commission when collecting information from an individual.
</b></p>
<p>The Commission will inform each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual of:
</p>
<p>(a) The authority (whether granted by statute, or by executive order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
</p>
<p>(b) The principal purpose or purposes for which the information is intended to be used;
</p>
<p>(c) The routine uses which may be made of the information, as published in the <i>Federal Register</i>; and
</p>
<p>(d) The effects on him, if any, of not providing all or any part of the requested information.
</p>
<p><b>&#167; 146.11
 Public notice of records systems.
</b></p>
<p>(a) The Commission will publish in the <i>Federal Register</i> at least biennially a notice of the existence and character of each of its systems of records, which notice shall include--
</p>
<p>(1) The name and location of the system;
</p>
<p>(2) The categories of individuals on whom records are maintained in the system;
</p>
<p>(3) The categories of records maintained in the system;
</p>
<p>(4) Each routine use of the records contained in the system, including the categories of users and the purpose of such use;
</p>
<p>(5) The policies and practices of the Commission regarding storage, retrievability, access controls, retention, and disposal of the records;
</p>
<p>(6) The title and business address of the Commission official who is responsible for the system of records;
</p>
<p>(7) The procedures whereby an individual can be notified at his request if the system of records contains a record pertaining to him;
</p>
<p>(8) The procedures whereby an individual can be notified at his request how he can gain access to any record pertaining to him contained in the system of records, and how he can contest its contents; and
</p>
<p>(9) The categories of sources of records in the system.
</p>
<p>(b) Copies of the notices as printed in the <i>Federal Register</i> will be available in each office of the Commission. Locations of Commission offices are listed in &#167; 145.6. Mail requests shall be directed to the FOI, Privacy and Sunshine Acts compliance staff, Office of the Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. The first copy will be furnished free of charge. A charge will be made for each additional copy.
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 41 FR 28261, July 9, 1976; 45 FR 26955, Apr. 22, 1980; 60 FR 49336, Sept. 25, 1995; 65 FR 53560, Sept. 5, 2000]
</p>
<p><b>&#167; 146.12
 Exemptions.
</b></p>
<p>(a) Investigatory materials compiled for law enforcement purposes are exempt from portions of the Privacy Act of 1974 and of these rules as set forth in paragraph (c) of this section, on the basis and to the extent that individual access to these files could impair the effectiveness and orderly conduct of the Commission’s regulatory and enforcement program. Materials exempted under this paragraph are contained in the system of records entitled "Exempted Investigatory Records"  and/or in the system of records entitled "Exempted Closed Commission Meetings."  Notwithstanding the foregoing, however, no record which has served as a basis for denying an individual a right, privilege, or benefit to which he would otherwise be eligible, shall be maintained in this system, unless the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence. For records of this type, if practicable, material identifying the confidential source shall be extracted or summarized in a manner which protects the source and the summary or extract shall be maintained in a comparable nonexempted system of records.
</p>
<p>(b) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for employment with the Commission are exempt from portions of the Privacy Act of 1974 and of these rules as set forth in paragraph (c) of this section, to the extent that it identifies a confidential source. This is done in order to encourage persons from whom information is sought to provide information to the Commission which, absent assurances of confidentiality, they would be unwilling to give. However, if practicable, material identifying a confidential source shall be extracted or summarized in a manner which protects the source and the summary or extract shall be maintained in a non-exempt system containing the same category of record. Materials exempted under this paragraph are included in the system of records entitled "Exempted Employee Background Investigation Material"  and/or in the system of records entitled "Exempted Closed Commission Meetings."
</p>
<p>(c) The systems set forth in paragraphs (a) and (b) of this section are hereby exempted from the provisions of sections 552a(c), (3)(d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of title 5 of the U.S. Code (the Privacy Act of 1974), and are also exempted from the following sections of these rules: &#167; 146.3 (requests for information and for access); &#167; 146.5 (access to records); &#167; 146.6(d) (accounting of disclosures to be made available to the individual); &#167; 146.11(a) (7), (8), (9) (content of the system notice); and &#167; 146.7(a) (relevancy of records).
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 53 FR 35198, Sept. 12, 1988]
</p>
<p><b>&#167; 146.13
 Inspector General exemptions.
</b></p>
<p>(a) Pursuant to section (j) of the Privacy Act of 1974, the Commission has deemed it necessary to adopt the following exemptions to specified provisions of the Privacy Act:
</p>
<p>(1) Pursuant to, and limited by 5 U.S.C. 552a(j)(2), the system of records maintained by the Office of the Inspector General of the Commission entitled "Office of the Inspector General Investigative Files,"  shall be exempted from the provisions of 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)) and from 17 CFR 146.3, 146.4, 146.5, 146.6 (b), (d) and (e), 146.7 (a), (c) and (d), 146.8, 146.9, 146.10, 146.11(a) (7), (8) and (9), insofar as the system contains information pertaining to criminal law enforcement investigations.
</p>
<p>(2) [Reserved]
</p>
<p>(b) Pursuant to section (k) of the Privacy Act of 1974, the Commission has deemed it necessary to adopt the following exemptions to specified provisions of the Privacy Act:
</p>
<p>(1) Pursuant to, and limited by 5 U.S.C. 552(k)(2), the system of records maintained by the Office of the Inspector General of the Commission entitled "Office of the Inspector General Investigative Files,"  shall be exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) and from 17 CFR 146.3, 146.4, 146.5, 146.6(d), 146.7(a), 146.8, 146.9, 146.11(a) (7), (8) and (9), insofar as it contains investigatory materials compiled for law enforcement purposes.
</p>
<p>(2) [Reserved]
</p>
<p>[57 FR 4364, Feb. 5, 1992]</p>
<p><b>Appendix A to Part 146--Fees for Copies of Records Requested Under the Privacy Act of 1974
</b></p>
<p>a. The following schedule of fees shall apply to copies of records requested pursuant to the Privacy Act of 1974, 5 U.S.C. 552a and &#167; 146.5(f).
</p>
<p>(1) For requests for copies of documents, the charge will be 15 cents per page.
</p>
<p>(2) For materials other than paper records, including computer and cassette tapes, the direct cost of the materials and, if required, time spent by clerical personnel copying the materials shall be charged. Persons making the request shall be notified of the amount of the charge and shall give specific approval before the request is processed.
</p>
<p>(3) For certifying that requested records are true copies, the fee will be $3.00 per certification in addition to other fees, if any.
</p>
<p>(4) Upon request, records will be mailed by means of an overnight/express service at the fee of $10.00 per unit mailed.
</p>
<p>(5) The Commission may, upon application by the individual, furnish any records without charge or at a reduced rate, if it determines that such wavier or reduction of fee is in the public interest.
</p>
<p>b. Requests for copies of documents shall be addressed to FOI, Privacy and Sunshine Acts compliance staff, Office of Secretariat, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
</p>
<p>c. Payment should be made by check or money order payable to the Commodity Futures Trading Commission.
</p>
<p>d. Advance payment of all or part of the fee may be required at the discretion of the Commission. Generally, advance payment will not be required where the anticipated fee is less than $25.
</p>
<p>(7 U.S.C. 4a(j) and 16a as amended by Pub. L. 97-444, 96 Stat. 2294 (1983) and 5 U.S.C. 552. 662a and 552b)
</p>
<p>[41 FR 3212, Jan. 21, 1976, as amended at 45 FR 26955, Apr. 22, 1980; 48 FR 46011, Oct. 11, 1983; 48 FR 55280, Dec. 12, 1983; 49 FR 12684, Mar. 30, 1984; 60 FR 49336, Sept. 25, 1995]</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>

</agency></pai>
