[Federal Register Volume 62, Number 103 (Thursday, May 29, 1997)]
[Notices]
[Pages 29108-29113]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13773]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974: System of Records

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice of new systems of records.

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SUMMARY: This notice adds five systems to the Commodity Futures Trading 
Commission's systems of records maintained under the Privacy Act: The 
Commission's internal and Internet e-mail system, the Internet web and 
news group browsing system, the Lexis/Westlaw billing system, the 
Library automated circulation system, and the telephone system. The 
notice informs the public of the existence and character of these 
systems and the routine uses which the Commission may make of the 
information contained in the systems.

DATES: Comments on the establishment of the new system of records must 
be received no later than June 30, 1997. The new system of records will 
be effective July 8, 1997, unless the Commission receives comments 
which would result in a contrary determination.

ADDRESSES: Comments concerning routine uses should be addressed to Jean 
A. Webb, Secretary, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. Comments 
may also be sent via the Internet via [email protected].

FOR FURTHER INFORMATION CONTACT: Stacy Dean Yochum, Office of the 
Executive Director, (202) 418-5157, or Glynn Mays, Office of General 
Counsel, (202) 418-5120, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, and the Commission's implementing regulations, 17 CFR 
part 146, the Commission is publishing a description of five new 
systems of records. Each is described in detail below.
    1. Telephone System. The Commission is establishing this system to 
enhance its ability to assess employee use of the telephone systems 
provided by the Commission. Since parts of this system may be used to 
retrieve information about an individual through the telephone number 
assigned to that individual, the Privacy Act of 1974, as amended, 
requires a general notice of the existence of this system of records to 
the public. The information may be used for telecommunication traffic 
studies, cost projections or other management studies and to enable the 
Commission to determine responsibility for placement of specific calls 
in connection with inquiries into possible employee or contractor 
misconduct, including misuse of government-provided telephones.
    The new system includes records relating to calls made from 
Commission telephones or charged to CFTC issued calling cards. The 
Commission keeps a record of the telephone number or calling card 
number assigned to each employee or on-site contractor. Local telephone 
services provide a monthly bill which includes a list of local toll 
call activity. For local toll calls, the bill shows the number from 
which the call was made, the date and time of the call, the city or 
service and the number to which the call was made, the length of the 
call and the charge for the call.
    For long distance calls placed through the Federal 
Telecommunications System, the General Services Administration (GSA) 
provides the Commission with a monthly report by line number that shows 
the city and telephone number for each call placed, the date, time and 
duration of the call and the cost for that call. This system also 
contains telephone assignment records, records reflecting the location 
of government telephones and requests for information concerning calls 
made to or from particular line numbers. OAS also receives reports, 
listed by calling card number, of employee long-distance calls placed 
through AT&T, MCI, and Sprint which are charged to an employee's 
government issued calling card.
    2. Interoffice and Internet E-mail. The Commission is establishing 
a system of records for its electronic mail system. The e-mail system 
allows each employee to send and receive messages and document 
attachments at his or her personal computer. Because this system allows 
information on individuals to be retrieved through the address assigned 
to each employee or on-site contractor, the Privacy Act of 1974, as 
amended, requires a general notice of the existence of this system of 
records to the public.
    The interoffice system allows messages to be sent and received by 
CFTC employees or on-site contractors. Through gateway software, 
employees also may use their e-mail system to send and receive external 
messages and document attachments via the Internet. Each employee has 
an interoffice mail address based on his or her name, division or 
office and location. Each employee also has an Internet address

[[Page 29109]]

which is based on his or her name (usually the first initial and full 
last name of the employee) with the appendix ``@cftc.gov'' which is the 
Commission's registered Internet domain.
    Employees have a number of options on how to treat information sent 
or received through the e-mail system. They may send and delete, send 
and save, send and move to another file, just save or just move, and 
print.
    The complete content of both interoffice and Internet e-mail which 
has been saved by the sender or recipient, including sender, recipient, 
subject, attachments, date and time, and message, is retained on file 
servers in each CFTC location. The e-mail information remains on the 
file server until the employee deletes the message sent or received, or 
some system failure causes a loss of e-mail information. File servers 
are backed up nightly on magnetic tapes which are rotated every four 
weeks. The e-mail information is maintained by the agency's network 
administrators and may be accessed, if necessary to restore mail 
service in the event of a hardware or software failure. The network 
administrator has the capability to access the header information of 
the message (i.e., sender, recipient, subject, date and time sent or 
received, and the filename of any data attached) in order to maintain 
the system.
    In addition, the network administrator has the capability to change 
passwords for employees, which employees may request if they have 
forgotten their password or their password has been compromised. At the 
time the network administrator assigns a temporary password to an 
employee, the network administrator has the ability to access the 
content of the employee's mailbox. The network administrator's 
authority to change a password without a request from the employee is 
severely limited. Once an employee enters a new password, which he or 
she must do to access the e-mail system after the temporary password 
change, the network administrator no longer has access to the 
employee's mailbox, except to view the header information.
    As part of the gateway software used by the Commission to link the 
Internet to the interoffice mail system, the network administrator will 
see the full content of an Internet e-mail message in the event of an 
error. If the person to whom a CFTC employee sent an Internet e-mail 
message cannot be reached or if a message sent to a CFTC employee 
cannot be received, usually due to an error in the address or a 
malfunction of any hardware in the link, a CFTC ``postmaster,'' who is 
also a network administrator, receives both the header information and 
the content of the message. The network administrator then alerts the 
employee trying to send or receive the message of the error and assists 
in the resolution of the error, if possible. The purpose of this 
feature is to provide the postmaster with the information necessary to 
resolve errors.
    3. Internet Web Site and News Group Browsing. The Commission is 
establishing a system of records related to employees' use of the 
Internet web site and news group browsing capability. The Commission 
offers the capability to browse Internet web sites and news groups in 
order to conduct quick and extensive research to enhance productivity 
and effectiveness. Because information in this system can be retrieved 
by an Internet protocol address assigned to each computer which is, in 
turn, assigned (in most cases) to an office and individual, the Privacy 
Act of 1974 , as amended, requires a general notice of the existence of 
this system of records to the public.
    When an individual accesses Internet web sites or news groups from 
a CFTC computer, a record , expressed in URL (Uniform Resource Locator) 
terms, which shows the address of each site visited and the document 
and graphic images viewed are kept on the individual computer. The 
information is stored in a ``history file,'' which includes the URL as 
well as additional data, and in a ``cache directory,'' which stores 
text and graphic images from sites visited so that the computer can 
retrieve the information from its own files rather than the Internet if 
the user wishes to revisit the site. The purpose of the record on the 
individual computer is to allow the individual to recall particular 
sites visited more quickly. The record in the history file expands 
until 100 URLs are entered or until the individual deletes the 
information. The files in the ``cache directory'' will increase until 
1% hard disk capacity is reached or until the individual deletes the 
information. When capacity is reached in the history file or the cache 
directory, the information will be overwritten, with the oldest 
information being replaced first. This information on the individual 
computer is not protected by a password; any individual using that 
computer could determine what web sites had been previously visited 
using that computer. No information in that record identifies the 
individual who conducted the searches. However, if the computer resides 
in an office assigned to one individual, that individual is presumably 
the person using the computer to visit the web sites recorded on that 
computer.
    Records on web site and news group browsing are also kept for a 
limited time on the Commission's firewall software located in the 
headquarters computer room. Because the file size for recording web 
site and news group browsing is limited, the firewall retains the 
information until the file is full. Currently, the file becomes full in 
about 3 days, although that time could shorten with increased web site 
and news group browsing. The records are kept by Internet protocol 
address, which is assigned to a particular computer in a particular 
location. Some computers are ``shared access'' computers, but most are 
assigned to an individual. In addition to the protocol address, the 
firewall software tracks the web sites and news groups accessed and the 
date and time of the access, although not the content of the site or 
search.
    The network administrators have access to the firewall information 
in order to assess the use of the Internet web site and news group 
browsing capability. The Commission has put a ``URL blocker'' into 
place to block access to web sites and news groups that are clearly 
unrelated to the work of the Commission.
    4. Lexis/Westlaw Billing System. The Commission is establishing a 
system of records which tracks, by division, by database used, by 
employee name and by user identification, the date, elapsed time and 
charge for the use of the Lexis and Westlaw legal research systems. The 
billing system also tracks the subject name of the search, which is 
provided by the individual user. Because this system allows retrieval 
of information about an individual through his or her name, the Privacy 
Act of 1974, as amended, requires a general notice of the existence of 
this system of records to the public.
    In order to enhance Commission employees' ability to conduct 
efficient legal research, the Commission has entered into a government 
contract, through the Library of Congress, for access to the Lexis and 
Westlaw legal research systems. Each employee who wishes to use the 
system obtains a user identification number and, if necessary, training 
on the system through the Administrative Officer, Office of Information 
Resources Management (OIRM).
    The cost of the system to the Commission is based on actual usage. 
Each month, the Commission receives a detailed bill from Lexis/Westlaw 
providing information by division which includes user name, user 
identification number, the total charge,

[[Page 29110]]

date, type of charge, elapsed time of the search and the database 
accessed. The Administrative Officer, OIRM, reviews the billing 
information and forwards the information for each office to the 
office's administrative officer. The administrative officer certifies 
that the information is accurate, i.e., that the individuals using the 
system are, in fact, Commission employees who would, in the performance 
of their duties, have need of the legal research system, and returns 
the billing information to the Administrative Officer, OIRM. The 
Administrative Officer then certifies the bill on behalf of the 
Commission, and forwards the certification to the CFTC's Office of 
Financial Management for payment.
    The Administrative Officer retains a hard copy of the billing 
information for a period of two years in a locked drawer of her desk. 
Information is retrieved only by manual search, and in order to 
retrieve information about individual usage, the Administrative Officer 
must look at each month's bill and know the division or office in which 
the individual works. The Administrative Officer uses the information 
to conduct an annual analysis, without reference to individual users, 
of the cost of Lexis/Westlaw use by month and year, and comparing 
actual expenditures to budget estimates. Lexis/Westlaw also has access 
to this information, but uses it only for statistical and billing 
purposes.
    In the event that apparently excessive or unusual use of the Lexis/
Westlaw databases was evident from the face of the bill, the 
administrative officer in each division would be responsible for 
discussing the matter with division employees or management prior to 
certifying the information as accurate.
    5. Automated Library Circulation System. The Commission is 
establishing an automated library circulation system to improve 
inventory control of the Commission's library resources. Because parts 
of this system may be used to retrieve information about an individual 
through his or her library bar code number, the Privacy Act of 1974, as 
amended, requires a general notice of the existence of this system of 
records to the public.
    Before the establishment of the automated system, information on 
checking out library materials was done by hand, on index cards, by 
various library employees. As a result, the accuracy of the information 
was questionable. When an employee left the Commission, the library 
could not always accurately determine what materials the person needed 
to return to the library. Similarly, if library materials were missing, 
their location could not always be accurately traced.
    The new automated circulation system's primary feature is a bar 
code based check-in, check-out system. The library assigns each book a 
unique bar code number. The library also assigns each library user a 
unique bar code number, which is kept on a rolodex card at the 
circulation desk. At the point of check out, the bar codes are entered 
into the automated system by waving a bar code reader over the user 
information and the book information. The computer unites the book and 
the user bar codes, and a loan record is established. When the book is 
returned or, in the case of lost materials, when reimbursement is made, 
the loan record is deleted. Individuals may also request that a hold be 
placed in the system on individual titles to prevent the title from 
being checked-out or renewed .
    When a title has been checked-out, the system places a ``CHECKED 
OUT'' notice next to the title in the library's automated catalog. The 
identity of the person who checked-out the material is not available to 
the catalog user, but is available to library staff.
    The circulation system can provide each user, on request, a receipt 
for his or her most current loan transaction. The receipt will include 
a list of all materials currently checked-out to the individual. The 
system does not retain any record of check out once the materials are 
returned. The system can also produce, if necessary, a series of three 
computer-generated overdue notices. The third notice informs the 
recipient that he or she will be responsible for reimbursing the 
Commission the cost of the materials borrowed unless the materials are 
returned within a specified period.
    These new systems of records, as required by 5 U.S.C. 552a(r) of 
the Privacy Act, have been submitted to the Committee on Government 
Oversight and Reform of the U.S. House of Representatives, the 
Committee on Governmental Affairs of the U.S. Senate, and the Office of 
Management and Budget, pursuant to Appendix I to OMB Circular A-130, 
``Federal Agency Responsibilities for Maintaining Records About 
Individuals,'' dated July 15, 1994. Accordingly, the Commission is 
giving notice of the establishment of the following systems of records:
CFTC-34

SYSTEM NAME:
    Telephone System.

SYSTEM LOCATION:
    Monthly billing records for local toll calls, long distance calls, 
and calling card calls are located in the Office of Administrative 
Services, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street, NW, Washington, DC 20581. The most current record of 
the phone numbers and calling card numbers assigned to individual 
employees and contractors is kept by the administrative office in each 
regional location except Los Angeles. Los Angeles telephone assignment 
records are kept in the Washington, DC, Office of Administrative 
Services.

 CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals (generally Commission employees and on-site contractor 
personnel) who make telephone calls from Commission telephones or use 
government issued calling cards.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records relating to the use of Commission telephones or calling 
cards to place calls; records indicating assignment of telephone or 
calling card numbers to employees; and records relating to requests for 
telephone call detail information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and 41 CFR part 101-35.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    See the Commission's ``General Statement of Routine Uses,'' Nos. 1 
and 2, Privacy Act Issuances, 1995. In addition, records and data may 
be disclosed as necessary (1) to representatives of the General 
Services Administration or the National Archives and Records 
Administration who are conducting records management inspections under 
the authority of 44 U.S.C. 2904 and 2906; (2) to a telecommunications 
company or consultant providing telecommunications support to permit 
servicing the account.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on computer printouts.

RETRIEVABILITY:
    Records are retrievable by a Commission telephone or calling card 
number that is assigned to an individual.

SAFEGUARDS:
    In addition to general building security, records are maintained in 
limited access areas at all times.

[[Page 29111]]

RETENTION AND DISPOSAL:
    In accordance with the general record schedules and the 
Commission's record management handbook, the records in the system are 
considered temporary and are destroyed when no longer required, usually 
every 3 months.

SYSTEM MANAGER(s) AND ADDRESS:
    Director, Office of Administrative Services, Commodity Futures 
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiries to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, 1155 21st Street, NW, Washington, DC 20581.

RECORD ACCESS PROCEDURES: 
    See ``Notification Procedures,'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedures,'' above.

RECORD SOURCE CATEGORIES:
    Telephone and calling card assignment records; call detail listings 
received from local and long distance service providers; results of 
administrative inquiries relating to assignment of responsibility for 
placement of specific long distance calls.
CFTC-35

SYSTEM NAME:
    Interoffice and Internet E-Mail System.

SYSTEM LOCATION: 
    File servers in each system location (Washington, DC, Chicago, New 
York, Kansas City, Minneapolis, and Los Angeles) retain records. 
Records are backed up nightly onto magnetic tape in all locations 
except Minneapolis. Records are backed up weekly onto magnetic tape in 
the Minneapolis office. The most recent two weeks of tapes are kept in 
locked boxes in the Washington, DC, and Chicago locations. Tapes with 
information covering the prior two weeks are kept at an off-site 
storage facility in Washington, DC, and Chicago. Tapes with information 
covering the most recent four week period are kept on-site, in a 
secured area, in the New York, Kansas City, Los Angeles, and 
Minneapolis locations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All CFTC employees and on-site contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the use of the interoffice and Internet e-mail system, 
including address of sender and receiver(s), subject, date sent or 
received, name of attachment and certification status. On a restricted 
basis, records may include the contents of an individual's mailbox.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 
U.S.C. 16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records are used by CFTC network administrators who have a need 
for the records in the performance of their duties. See also the 
Commission's ``General Statement of Routine Uses,'' Nos. 1, and 2, 
Privacy Act Issuances, 1995 Comp. In addition, the records and data, 
other than the content of individual mailboxes, may also be disclosed 
as necessary to contractors as necessary for assessment, modification, 
or maintenance of the e-mail system.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on the file servers in each CFTC location. 
Servers are backed up nightly and the information is transferred to 
magnetic tape. In Washington, DC, and Chicago, the most recent two 
weeks of magnetic tape are kept in a locked box in the Computer Room. 
The prior two weeks are kept at an off-site storage facility in 
Washington, DC, and Chicago. The entire four weeks of magnetic tape 
information is kept in unlocked boxes in a secured area in the New 
York, Kansas City, Los Angeles and Minneapolis locations.

RETRIEVABILITY:
    The information can be retrieved by assigned interoffice or 
Internet mail address.

SAFEGUARDS:
    Only network administrators have access to the e-mail information. 
This access is generally limited to the ``header'' information 
described under ``Categories of Records.'' The tapes are kept in locked 
storage boxes in Washington, DC, and Chicago, and only network 
administrators and OIRM management have keys to the locked boxes. In 
the New York, Kansas City, Los Angeles and Minneapolis locations, tapes 
are kept in unlocked boxes, either stored in a fireproof safe or vault. 
Only designated office personnel have access to the safe or vault.

RETENTION AND DISPOSAL:
    Records on magnetic tape are retained for four weeks, then 
destroyed as the tape is written over with new information. Records are 
retained on the file server until the sender and receiver delete the 
information from the e-mail system. Internet e-mail information that is 
received by the postmaster due to an error in delivery is considered 
temporary and is destroyed after the problem is corrected.

SYSTEM MANAGER(S) AND ADDRESS:
    Network Manager, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, 1155 21st Street NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:
    See ``Notification Procedures'' above.

 CONTESTING RECORDS PROCEDURES:
    See ``Notification Procedures'' above.

RECORDS SOURCE CATEGORIES:
    Internet e-mail, interoffice e-mail.
 CFTC 36

SYSTEM NAME:
    Internet Web Site and News Group Browsing System.

SYSTEM LOCATION:
    Firewall software, located on PC in the Washington, DC, office's 
computer room. Information on use of each personal computer is stored 
on that computer.

 CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All CFTC employees and on-site contractors who are users of the 
Internet Web Site and News Group Browsing capability.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the web sites and news groups visited, as identified by 
the

[[Page 29112]]

Internet protocol address assigned to each computer, as well as 
information on the date and time of the web site or news group access.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 
U.S.C. 16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records are used by CFTC network administrators for maintenance 
of the firewall system which protects the CFTC from unauthorized access 
to its data. The network administrators may also use the information to 
evaluate the level of use of the agency's Internet browsing capability. 
See also the Commission's ``General Statement of Routine Uses,'' Nos. 
1, and 2, Privacy Act Issuances, 1995 Comp. Records may also be 
disclosed as necessary to the agency's Internet service provider or 
agency contractor to the extent the information is necessary for 
maintenance of the agency's Internet access.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are kept on the software maintained on the firewall gateway 
server in the headquarters computer room. In addition, a record of the 
Internet browsing done on each computer is maintained on that PC. The 
length of time of storage on the firewall gateway server is governed by 
available disk space on the server. At current levels of browsing 
usage, the information is stored on the server for approximately three 
days. Information on web sites visited by each PC is also stored in the 
PC's history file or cache directory. The information is stored on the 
individual PC until the cache directory consumes 1% of total disk 
space. Oldest items are then removed until the directory is equal to or 
less than 1% of the total disk space. History file records are 
maintained until 100 URLs are entered. (URL stands for ``Uniform 
Resource Locator'' and is the address of the site visited, for example, 
http://www.cftc.gov). The oldest URLs are deleted until the total URL 
count is equal to or less than 100 entries.

 RETRIEVABILITY:
    The information can be retrieved by Internet protocol address. The 
network administrators have access to information about the office 
location and individuals assigned to each computer, as identified by 
Internet protocol address.

SAFEGUARDS:
    Network administrators, through use of a password protection, have 
access to the Internet web browsing system information that is stored 
on the firewall gateway server in the headquarters computer room. 
Access to the computer room is limited to OIRM employees. The Director 
of OIRM may grant the Commission's Internet service provider access to 
the Internet web browsing system information for maintenance purposes. 
However, the provider would not have access to the information that 
links Internet protocol addresses to particular computers, locations 
and individuals.

RETENTION AND DISPOSAL:
    Records are retained on the Commission's firewall software for 
approximately three days, then written over.

 SYSTEM MANAGER(S) AND ADDRESS:
    Network Manager, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

 NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, 1155 21st Street NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:
    See ``Notification Procedures'' above.

CONTESTING RECORDS PROCEDURES:
    See ``Notification Procedures'' above.

RECORDS SOURCE CATEGORIES:
    Internet, web site and news group browsing, Web site access.
CFTC 37

 SYSTEM NAME:
    Lexis/Westlaw Billing Information System.

SYSTEM LOCATION:
    Office of Information Resources Management, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC, 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All CFTC employees and on-site contractors who are users of the 
Lexis/Westlaw research system.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the name, search subject, database searched, date, 
elapsed time, type of charge, and total charge for a search in the 
Lexis/Westlaw automated research system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 
U.S.C. 16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records are used primarily by the Administrative Officer, OIRM, to 
monitor expenditures and to ensure the availability of funds. The 
records containing usage information are distributed monthly to the 
administrative officers in each office for their confirmation that 
Lexis/Westlaw use was authorized. See the Commission's ``General 
Statement of Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1995 
Comp. Lexis/Westlaw can also access the information and uses it for 
statistical analysis and billing purposes.

 POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Billing information is maintained by the Administrative Officer, 
OIRM, in a locked file drawer.

RETRIEVABILITY:
    By division, by month of use, by database accessed, by user name 
and user identification number. Retrieval is done manually.

 SAFEGUARDS:
    Billing information is kept in locked desks at all times. 
Information is provided only to the Administrative Officer, OIRM, and 
is circulated to the administrative officer for each office.

RETENTION AND DISPOSAL:
    Hard copies of monthly billing statements are retained for two 
years, then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Administrative Officer, Office of Information Resources Management, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581.

[[Page 29113]]

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, 1155 21st Street NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:
    See ``Notification Procedures'' above.

 CONTESTING RECORDS PROCEDURES:
    See ``Notification Procedures'' above.

RECORDS SOURCE CATEGORIES:
    Lexis/Westlaw billing information.
 CFTC 38

SYSTEM NAME:
    Automated Library Circulation System.

SYSTEM LOCATION:
    Library, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individual CFTC employees who check out books and periodicals from 
the CFTC Library.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records showing the bar code assigned to employees who use the 
library, title, due date, and hold information on library materials 
checked-out by individual CFTC employees; records of overdue materials 
and of employee notification of overdue materials.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and 41 CFR part 101-27.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM , INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The Library staff uses the information to track the location of 
library materials, to provide users on request with a list of materials 
currently shown as in their possession, and to issue, as necessary, 
overdue notices for materials. See the Commission's ``General Statement 
of Routine Uses,'' Nos. 1 and 2, Privacy Act Issuances, 1995 Comp. The 
records may also be disclosed as necessary to agency contractors in 
connection with assessment, modification or maintenance of the 
automated circulation system.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on the CFTC local area network file server. 
Records on the identifying bar codes assigned to individuals are stored 
in the file server and on rolodex cards.

RETRIEVABILITY:
    Records are retrievable by employee name or by the employee's bar 
code number.

SAFEGUARDS:
    Records may be accessed only by authorized CFTC staff members, who 
are principally staff of the Library or the Office of Information 
Resources Management. Staff members must use an individual password to 
gain access to the information stored in the computer.

RETENTION AND DISPOSAL:
    Records in the system are considered temporary. The records of 
library transactions are destroyed when an item on loan is returned or 
reimbursement is made for replacement of the item.

SYSTEM MANAGER(S) AND ADDRESS:
    Administrative Librarian, Commodity Futures Trading Commission, 
1155 21st Street NW., Washington, DC 20581.

NOTIFICATION PROCDURES:
    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 FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, 1155 21st Street NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:
    See ``Notification Procedures'' above.

CONTESTING RECORDS PROCEDURES:
    See ``Notification Procedures'' above.

RECORDS SOURCE CATEGORIES:
    Library user bar code identifiers; library materials use; overdue 
notices.

    Issued in Washington, DC on May 20, 1997, by the Commission.
Jean A. Webb,
 Secretary of the Commission.
[FR Doc. 97-13773 Filed 5-28-97; 8:45 am]
BILLING CODE 6351-01-P