[Federal Register Volume 62, Number 162 (Thursday, August 21, 1997)]
[Notices]
[Pages 44442-44461]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-22050]
[[Page 44442]]
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COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974; Systems of Records; Annual Publication
ACTION: Publication of annual notice of existence and character of each
system of records that the Commodity Futures Trading Commission
(``Commission'') maintains which contains information about
individuals.
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SUMMARY: The purpose of this notice is to announce the existence and
character of the systems of records of the Commodity Futures Trading
Commission as required by the Privacy Act of 1974, Pub.L. 93-579, 5
U.S.C. 552a.
Pursuant to 5 U.S.C. 552a(f), the Commission, on September 4, 1975,
promulgated rules relating to records maintained by the Commission
concerning individuals (40 FR 41056). The rules as amended (17 CFR part
146) deal with an individual's right to know what information the
Commission has in its files concerning the individual, the individual's
right to have access to those records, the individual's right to
petition the Commission to have inaccurate or incomplete records
amended or corrected, and the individual's right not to have personal
information disseminated to unauthorized persons. The full text of the
Commission's rules implementing the Privacy Act should be consulted for
a detailed description of the procedures to be followed.
Under 5 U.S.C. 552a(e)(4) and 17 CFR 146.11(a), the Commission is
required to publish annually a notice of the existence and character of
each system of records it maintains which contains information about
individuals. This notice implements this requirement and, when read
together with the Commission's rules, will provide individuals with the
information they need to exercise fully their rights under the Privacy
Act.
FOR FURTHER INFORMATION CONTACT: Edward W. Colbert, Assistant Secretary
to the Commission, Freedom of Information Act, Privacy Act and
Government in the Sunshine Act Compliance Office, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW,
Washington, DC 20581, (202) 418-5105.
SUPPLEMENTARY INFORMATION:
Content of Systems Notices
Each of the notices contains the following information:
1. The name of the system;
2. The location of the system;
3. The categories of individuals on whom records are maintained in
the system;
4. The categories of records maintained in the system;
5. The authority for maintaining the system;
6. The routine uses of records maintained in the system, including
the categories of users and the purposes of such uses;
7. The policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system;
8. The title and business address of the system manager, the agency
official who is responsible for the system of records;
9. The agency procedures by which an individual can find out
whether the system of records contains a record pertaining to him, how
he may gain access to any record pertaining to him contained in the
system of records, and how he can contest the content of the records;
and
10. The categories of sources of records in the system.
The following four systems of records have been exempted as set
forth in the descriptions of these systems of records from certain
requirements of the Privacy Act, as authorized under 5 U.S.C. 552a(k):
CFTC-9 Confidential information obtained during employee
background investigations.
CFTC-10 Investigatory material compiled for law enforcement
purposes.
CFTC 31 Information pertaining to individuals discussed at closed
Commission meetings.
CFTC 32 Investigatory materials compiled by the Office of the
Inspector General.
The Location of Systems of Records
The eighth item described above calls for the address of the
Commission office involved. The Commission offices are in the following
locations:
Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581, Telephone: (202) 418-5000.
300 Riverside Plaza, Suite 1600 North, Chicago, Illinois
60606, Telephone: (312) 353-5990.
4900 Main Street, Suite 721, Kansas City, Missouri 64112,
Telephone: (816) 931-7600.
One World Trade Center, Suite 3747, New York, New York
10048, Telephone: (212) 466-2061.
Murdock Plaza, 10900 Wilshire Blvd, Suite 400, Los
Angeles, California 90024, Telephone: (310) 235-6783.
510 Grain Exchange Building, Minneapolis, Minnesota 55415,
Telephone: (612) 370-3255.
Where multiple locations are involved in a system notice, rather
than listing each address the notice merely identifies the offices and
refers to this introductory section for each address. The Commission's
headquarters office is in Washington, DC, and is referred to in the
systems notice as the ``principal office.'' The Commission maintains
regional offices in Chicago and New York and smaller offices in Kansas
City, Minneapolis and Los Angeles. For purposes of this notice, the
regional offices and smaller offices are referred to collectively as
the ``regional offices.'' ``All CFTC offices'' means the headquarters
office, the regional offices and the smaller offices.
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.
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.
Scope and Content of Systems of Records
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
[[Page 44443]]
definition of system of records in the Privacy Act, 5 U.S.C. 552(a)(5),
and Sec. 146.2(g) of the Commission's Privacy Act rules, 17 CFR
148.2(g).
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.
General Statement of Routine Uses
A principal purpose of the Privacy Act is to restrict the
unauthorized dissemination of personal information concerning an
individual. In this connection, the Privacy Act and the Commission's
rules prohibit all dissemination except for specific purposes.
Individuals should refer to the full text of the Privacy Act, 5 U.S.C.
552a(b), and to the Commission's rules for a complete list of
authorized disclosures. Only those arising most frequently have been
mentioned herein.
The Privacy Act and the rules specifically provide that disclosure
may be made with the written consent of the individual to whom the
record pertains. Disclosure may also be made to those officers and
employees of the Commission who need the record in the performance of
their duties. In addition, disclosures are authorized if they are made
pursuant to the terms of the Freedom of Information Act, 5 U.S.C. 552.
In addition, the Privacy Act and the Commission's rules permit
disclosure of individual records if it is for a ``routine use,'' which
is defined as a use of a record that is compatible with the purpose for
which it was collected. The system notice for each system of records is
required to list each of these routine uses.
Many of the routine uses of Commission records are applicable to a
number of systems. These include the following:
1. The information in the system may be used by the Commission in
any administrative proceeding before the Commission, in any injunctive
action authorized under the Commodity Exchange Act or in any other
action or proceeding in which the Commission or its staff participates
as a party or the Commission participates as amicus curiae.
2. The information may be given to the Justice Department, 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 or local law
enforcement or regulatory agencies for use in meeting responsibilities
assigned to them under the law, or made available to any member of
Congress who is acting in his capacity as a member of Congress.
3. The information may be given to any board of trade designated as
a contract market by the Commission if the Commission has reason to
believe this will assist the contract market in carrying out its
responsibilities under the Commodity Exchange Act, 7 U.S.C. 1, et seq.,
and to any national securities exchange or national securities
association registered with the Securities and Exchange Commission, to
assist those organizations in carrying out their self-regulatory
responsibilities under the Securities Exchange Act of 1934, 15 U.S.C.
78a, et seq.
4. At the discretion of the Commission staff, the information may
be given or shown to anyone during the course of a Commission
investigation if the staff has reason to believe that the person to
whom it is disclosed may have further information about the matters
discussed therein, and those matters appear relevant to the subject of
the investigation.
5. The information may be included in a public report issued by the
Commission following an investigation, to the extent that this is
authorized under Section 8 of the Commodity Exchange Act, 7 U.S.C. 12.
Section 8 authorizes publication of such reports but contains
restrictions on the publication of certain types of sensitive business
information developed during an investigation. In certain contexts,
some of this information might be considered personal in nature.
6. The information may be disclosed to a federal agency in response
to its request in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract or the issuance
of a license, or a grant or other benefit by the requesting agency, to
the extent that the information may be relevant to the requesting
agency's decision on the matter.
7. The information may be disclosed to a prospective employer in
response to its request in connection with the hiring or retention of
an employee, to the extent that the information is believed to be
relevant to the prospective employer's decision in the matter.
8. The 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.'' To avoid
unnecessary repetition of these routine uses, where they are generally
applicable, the system notice refers the reader to the above
description. Unless otherwise indicated, where the system notice
contains a reference to the foregoing routine uses, all of the eight
routine uses listed above apply to that system.
System Notices
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.
Index
CFTC-1 Matter Register and Matter Indices
CFTC-2 Correspondence Files
CFTC-3 Docket Files
CFTC-4 Employee Leave, Time, and Attendance
CFTC-5 Employee Personnel/Payroll Records
CFTC-6 Employee Travel Records
CFTC-7 Deleted-Incorporated in CFTC-4 and CFTC-6
CFTC-8 Employment Applications
CFTC-9 Exempted Employee Background Investigation Material
CFTC-10 Exempted Investigation Records
CFTC-11 Deleted-Incorporated in CFTC-20 and CFTC-22
CFTC-12 Fitness Investigations
CFTC-13 Interpretation Files
CFTC-14 Matter Files
CFTC-15 Large Trader Report Files
CFTC-16 Case Files
CFTC-17 Litigation Files-OGC
CFTC-18 Logbook on Speculative Limit Violations
CFTC-19 Deleted-Incorporated in CFTC-29
CFTC-20 Registration of Floor Brokers, Floor Traders, Futures
Commission Merchants, Introducing Brokers, Commodity Trading
Advisors, Commodity Pool Operators, Leverage Transaction Merchants,
and Associated Persons
CFTC-21 Deleted-Incorporated in CFTC-20
CFTC-22 Deleted-Incorporated in CFTC-20
CFTC-23 Deleted-Incorporated in CFTC-20
CFTC-24 Deleted-Incorporated in CFTC-20
CFTC-25 Deleted
CFTC-26 Deleted-Incorporated in CFTC-14
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CFTC-27 Deleted
CFTC-28 SRO Disciplinary Action File
CFTC-29 Reparations Complaints
CFTC-30 Open Commission Meetings
CFTC-31 Exempted Closed Commission Meetings
CFTC-32 Office of the Inspector General Investigative Files
CFTC-33 Electronic Key Card Usage
CFTC-34 Telephone System
CFTC-35 Interoffice and Internet E-Mail System
CFTC-36 Internet Web Site and News Group Browsing System
CFTC-37 Lexis/Westlaw Billing Information System
CFTC-38 Automated Library Circulation System
CFTC-1
SYSTEM NAME:
Matter Register and Matter Indices.
SYSTEM LOCATION:
This system is located in the Division of Enforcement in the
Commission's principal office and regional offices. See ``The Location
of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Persons found or alleged to have, or suspected of having,
violated the Commodity Exchange Act or the rules, regulations or orders
of the Commission adopted thereunder.
b. Persons lodging complaints with the Commission.
c. Agency referrals.
CATEGORIES OF RECORDS IN THE SYSTEM:
An index system to CFTC-14 Matter Files and CFTC-16 Case Files,
including:
a. The matter register. A file number is assigned to each case and
the record is filed according to that number. The register also
indicates the date opened, the disposition and status, the date closed,
and the staff member assigned.
b. The matter register also includes reports recommending opening
and closing of investigations.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, loose-leaf binders, computer memory,
computer printouts, and index cards.
RETRIEVABILITY:
By name of investigation.
SAFEGUARDS:
General building security. In appropriate cases, the records are
maintained in lockable file cabinets.
RETENTION AND DISPOSAL:
The records are destroyed when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement in the Commission's principal
office and Regional Counsel in New York, Chicago and Los Angeles. See
``The Location of Systems of Records.''
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW., Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Persons submitting complaints to the Commission, and miscellaneous
sources including customers, law enforcement and regulatory agencies,
commodity exchanges, trade sources, and Commission staff generated
items.
CFTC-2
SYSTEM NAME:
Correspondence Files.
SYSTEM LOCATION:
This system is located in the Commission's principal offices at
1155 21st Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons corresponding with the Commission, directly or through
their representatives. Persons discussed in correspondence to or from
the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Incoming and outgoing correspondence and indices of correspondence,
and certain internal reports and memoranda related to the
correspondence. This system includes only those records that are part
of a general correspondence file maintained by the office involved. It
includes correspondence indexed by subject matter, date or assigned
number and, in certain offices, by individual name of the
correspondent.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, in loose-leaf binders, on index
cards, computer memory and printouts, and related indices on magnetic
disk.
RETRIEVABILITY:
By name of correspondent, subject matter, date or assigned number.
The name may be either the name of the person who sent or received the
letter, or the person on whose behalf the letter was sent or received.
It may also be another person who was the principal subject of the
letter, where circumstances appear to justify this treatment. See
previous discussion concerning the category of records maintained in
this system.
SAFEGUARDS:
Secured rooms or on secured premises with access limited to those
whose official duties require access.
RETENTION AND DISPOSAL:
Maintained indefinitely depending on the policies and practices of
the offices involved.
SYSTEM MANAGER(S) AND ADDRESS:
Office of the Secretariat; Director, Office of Public Affairs;
Director, Office of Legislative and Intergovernmental Affairs;
Executive Director; General Counsel; Director, Division of Enforcement;
Director, Division of Trading and Markets; and, Director, Division of
Economic Analysis. All are located at 1155 21st Street, NW, Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone
[[Page 44445]]
(202) 418-5105. Specify the system manager, if known.
RECORD SOURCE CATEGORIES:
Persons corresponding with the Commission and correspondence and
memoranda prepared by the Commission.
CFTC-3
SYSTEM NAME:
Docket Files.
SYSTEM LOCATION:
This system is located in the Office of Proceedings, Proceedings
Clerk's Office, Commodity Futures Trading Commission, 1155 21st Street,
NW., Fourth Floor, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All persons involved in any CFTC proceeding.
CATEGORIES OF RECORDS IN THE SYSTEM:
All pleadings, motions, applications, stipulations, affidavits,
transcripts and documents introduced as evidence, briefs, orders,
findings, opinions, and other matters that are part of the record of an
administrative or reparations proceeding. They also include related
correspondence and indices.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commission is authorized or required to conduct hearings under
several provisions of the Commodity Exchange Act. These files are a
necessary concomitant for the conduct of orderly hearings. See also 44
U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records are public records unless the Commission or assigned
presiding officer determines for good cause to treat them as nonpublic
records consistent with the provisions of the Freedom of Information
Act. Nonpublic portions may be used for any purpose specifically
authorized by the Commission or by the presiding officer who ordered
such nonpublic treatment of the records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, computer printouts,
index cards, and microfiche.
RETRIEVABILITY:
By the docket number and cross-indexed by complainant and
respondent names.
SAFEGUARDS:
Only items that the Commission or the presiding officer has
directed be kept nonpublic are segregated. Precautions are taken as to
these items to assure that access is restricted to authorized personnel
only.
RETENTION AND DISPOSAL:
Maintained in the Office of Proceedings with the presiding officer
until disposition by the presiding officer, and then the entire record
of the proceeding is forwarded to the Proceedings Clerk's office for
maintenance.
SYSTEM MANAGER(S) AND ADDRESS:
Proceedings Clerk, Office of Proceedings, 1155 21st Street, NW.,
Fourth Floor, Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves, or contesting the content of records about themselves
contained in this system of records should address written inquiry to
the FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures
Trading Commission, 1155 21st Street, NW., Washington, DC 20581.
Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Commission staff members; opposing parties and their attorneys;
proceeding witnesses; and miscellaneous sources.
CFTC-4
SYSTEM NAME:
Employee Leave, Time and Attendance.
SYSTEM LOCATION:
The information in the system is kept in the CFTC offices in which
the employee described by the records is located. Information is also
kept centrally on the computer system located in the Department of
Agriculture's National Finance Center, New Orleans, Louisiana.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All CFTC employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Various records reflecting CFTC employees' time and attendance and
leave status, as well as the allocation of employee time to designated
budget account codes.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.
ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
a. In response to legitimate requests, this information may be
provided to other federal agencies for the purpose of hiring or
retaining employees, and may be provided to other prospective
employers, to the extent that the information is relevant to the
prospective employer's decision in the matter.
b. The information may be provided to the Justice Department or
other federal agencies or used by the Commission in connection with any
investigation, or administrative or legal proceeding involving any
violation of any federal law or regulation thereunder.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Hard copies of time and attendance worksheets, leave request slips
and signed printouts; diskettes; mainframe computer (NFC).
RETRIEVABILITY:
By the name of the employee or by the employee number, cross-
indexed by name.
SAFEGUARDS:
Lock boxes and/or locked file drawers. Password required for access
to diskettes and NFC computer system.
RETENTION AND DISPOSAL:
Hard copy records, including leave slips, signed printouts from the
PC-TARE system, overtime approval slips and budget account code
worksheets are retained for six years, then destroyed. Diskettes are
written over on a 12 month rotating cycle.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Human Resources, 1155 21st Street, NW, Washington, DC
20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
[[Page 44446]]
CFTC-5
SYSTEM NAME:
Employee Personnel/Payroll Records.
SYSTEM LOCATION:
This system is located in the Office of Human Resources at 1155
21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All CFTC employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
General records relating to the employee including information
from the notification of personnel action (SF-50) and other related
sources, employee name, Social Security or other employee number, birth
date, veteran's preference, tenure, leave group, insurance coverage,
type of employment, date service commenced and ended, grade and step,
base salary, duty station, various computation dates, leave codes and
status, employing office and other miscellaneous information.
Payroll related information for CFTC employees, including payroll
and leave data for each employee relating to rate and amount of pay,
leave and hours worked, and leave balances, tax and retirement
deductions, life insurance and health insurance deductions, savings
allotments, savings bonds and charity deductions, mailing addresses and
home addresses, and copies of the CFTC time and attendance reports as
well as authorities relating to deductions.
The records maintained in the principal office for all employees
include: a. Forms required and records maintained under the
Commission's rules of conduct and the Ethics in Government Act; b. Pre-
employment inquiries not included with ``exempted employee background
investigation materials''; c. Various summary materials received in
computer printout form; d. Awards information; and e. Training
information.
The official personnel records maintained by the Commission are
described in the system notices published by the Office of Personnel
Management, and are not included within this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101, 5 U.S.C. APP. (Personnel Financial Disclosure
Requirements).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. In response to legitimate requests, this information may be
provided to other federal agencies for the purpose of hiring or
retaining employees, and may be provided to other prospective
employers, to the extent that the information is relevant to the
prospective employer's decision in the matter.
b. The information may be provided to the Justice Department, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, and computer
printouts.
RETRIEVABILITY:
By the name or social security number of the employee.
SAFEGUARDS:
Lockable cabinets for paper records. Computer records accessible
through password protected security system.
RETENTION AND DISPOSAL:
Maintained according to retention schedules prescribed by NARA for
each type of personnel/payroll record.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Human Resources, except for records maintained under
the Commission's rules of conduct and the Ethics in Government Act, for
which the General Counsel is the system manager. See ``The Location of
Systems of Records.''
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW., Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Individual on whom the record is maintained; personnel office
records; and miscellaneous sources.
CFTC-6
SYSTEM NAME:
Employee Travel Records.
SYSTEM LOCATION:
This system is located in the Commission's office at 1155 21st
Street, NW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any Commission member, employee, witness, expert, advisory
committee member or non-CFTC employee traveling on official business
for the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the name, address, destination, itinerary, mode and
purpose of travel, dates, expenses, miscellaneous claims, amounts
advanced, amounts claimed, and amounts reimbursed. Includes travel
authorizations, travel vouchers, copies of government transportation
requests, receipts and other records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq; 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The information may be provided to the Justice Department 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory and computer
printout.
RETRIEVABILITY:
By the name of the Commission member, employee witness, expert,
advisory committee member or CFTC employee traveling on official
business for the Commission, and by Commission identification number.
SAFEGUARDS:
Access to the computer records is protected by a security system.
General building security limits access to paper records kept in files
of support staff in the offices of travelers and in the Travel Office.
RETENTION AND DISPOSAL:
Records are retained for three years after the period covered by
the account.
SYSTEM MANAGER(S) AND ADDRESS:
Accounting Officer and Network Manager, 1155 21st Street, NW,
Washington, DC 20581.
[[Page 44447]]
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records or contesting the content of
records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
CFTC-7
Deleted--Incorporated into CFTC-4 and CFTC-6.
CFTC-8
SYSTEM NAME:
Employment Applications.
SYSTEM LOCATION:
This system is located in Office of Human Resources at 1155 21st
Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for positions with the CFTC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the application and/or the resume of the applicant.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information about these records is used in making inquiries
concerning the qualifications of the applicant.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders.
RETRIEVABILITY:
By job announcement number. Summary information of applications is
also available to staff of the Office of Human Resources through an
automated applicant tracking system.
SAFEGUARDS:
Lockable cabinets for paper records. Access to applicant tracking
system granted only to appropriate personnel.
RETENTION AND DISPOSAL:
Most applicant records are retained for two years, then destroyed.
Job announcements that are filled through examining authority delegated
from the Office of Personnel Management (OPM) are kept for 5 years,
then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Human Resources, 1155 21st Street, NW., Washington, DC
20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
CFTC-9
SYSTEM NAME:
Exempted Employee Background Investigation Material.
SYSTEM LOCATION:
This system is located in the Office of Human Resources at 1155
21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and prospective employees of the CFTC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigatory material complied for the purpose of determining
suitability, eligibility, or qualifications for CFTC employment
obtained under an express promise that the identity of the source would
be held in confidence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101; 5 U.S.C. 552a(k)(5).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses'' except that general
routine use number (3) is not applicable. Disclosure pursuant to the
other routine uses may be subject to the consent of the person
furnishing the information.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders.
RETRIEVABILITY:
By employee name.
SAFEGUARDS:
Lockable cabinets in secured offices or buildings.
RETENTION AND DISPOSAL:
These records are retained for three years, then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Security Officer, Office of Human Resources, 1155 21st Street, NW.,
Washington, DC 20581.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system have been exempted by the Commission
from certain provisions of the Privacy Act, 5 U.S.C. 552a(k)(5), and
the Commission's rules promulgated thereunder, 17 CFR 146.12. These
records are exempt 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
sources of records in the system be described.
CFTC-10
SYSTEM NAME:
Exempted Investigation Records.
SYSTEM LOCATION:
This system is located in the Commission's principal and regional
offices. See ``The Location of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Individuals whom the staff has reason to believe have violated,
are violating, or are about to violate the Commodity Exchange Act and
the rules, regulations and orders promulgated thereunder.
b. Individuals whom the staff has reason to believe may have
information concerning violations of the Commodity Exchange Act and the
rules, regulations and orders promulgated thereunder.
c. 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.
d. Individuals filing applications with the Commission for their
own registration or registration of a firm.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigatory materials compiled for law enforcement purposes whose
disclosure the Commission staff has determined could impair the
effectiveness and orderly conduct of the Commission's regulatory and
enforcement program, or compromise Commission investigations. This
system
[[Page 44448]]
may include all or any part of the records developed during the
investigation or inquiry.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C.
3101; 5 U.S.C. 552a(k)(2).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses'' except that general
routine use number (5) is not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, disks, computer memory, computer
printouts. A summary index of material is also stored on the computer.
RETRIEVABILITY:
By assigned case number or case title. Cases filed by number are
cross-indexed by case title.
SAFEGUARDS:
In addition to normal office and building security, certain of
these records are maintained in locked file cabinets. All employees are
aware of the sensitive nature of the information gathered during
investigations.
RETENTION AND DISPOSAL:
Maintained until exemption is no longer necessary, then returned to
the appropriate nonexempt system.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement, except for those records
maintained under the Commission's rules of conduct and the Ethics in
Government Act, for which the General Counsel is the system manager.
See ``The Location of Systems of Records.''
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system have been exempted by the Commission
from certain provisions of the Privacy Act of 1974 pursuant to the
terms of the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's
rules promulgated thereunder, 17 CFR 146.12. These records are exempt
from the notification procedures, records access procedures, and record
contest procedures set forth in the system notices of other record
systems, and from the requirement that the sources of records in the
system be described.
CFTC-11
Deleted--Incorporated into CFTC-20.
CFTC-12
SYSTEM NAME:
Fitness Investigations.
SYSTEM LOCATION:
Records for floor brokers and floor traders with respect to matters
commenced prior to August 1, 1994: Division of Trading and Markets,
1155 21st Street, NW, Washington, DC 20581. Records for futures
commission merchants, introducing brokers, commodity pool operators,
commodity trading advisors, their respective associated persons and
principals, with active registration status in any capacity on or after
October 1, 1983; leverage transaction merchants and their associated
persons and principals with active registration status as such on or
after August 1, 1994; floor brokers and floor traders with active
registration status as such on or after August 1, 1994: National
Futures Association (NFA), 200 West Madison Street, Suite 1400,
Chicago, Illinois 60606-3447. (See also ``Retention and Disposal,''
infra.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who have applied or who may apply for registration as floor
brokers, floor traders, as associated persons, and principals (as
defined in 17 CFR 3.1) of futures commission merchants, introducing
brokers, commodity pool operators, commodity trading advisors and
leverage transaction merchants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the fitness of the above-described
individuals to engage in business subject to the Commission's
jurisdiction. The system contains information in computerized and
hardcopy format including registration forms, schedules and
supplements, fingerprint cards, correspondence relating to
registration, and reports and memoranda reflecting information
developed from various sources. In addition, the system contains
records of each fitness investigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1)-(5), 8a(10), 8a(11),
17(o) and 19 of the Commodity Exchange Act as amended, 7 U.S.C. 6f(1),
6k(4), 6k(5), 6n(1), 12a(1)-(5), 12a(10), 12a(11), 21(o) and 23 (1988
and Supp. IV 1992).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The routine uses applicable to all of the Commission's systems of
records, including this system, are set forth under the ``General
Statement of Routine Uses.'' In addition, information contained in this
system of records may be disclosed by the Commission as follows:
1. Information contained in this system of records may be disclosed
to any person with whom an applicant or registrant is or plans to be
associated as an associated person or affiliated as a principal.
2. Information contained in this system of records may be disclosed
to any registered futures commission merchant with whom an applicant or
registered introducing broker has or plans to enter into a guarantee
agreement in accordance with Commission regulation 1.10 (17 CFR 1.10).
NFA may disclose information contained in those portions of this
system of records, but any such disclosure must be made in accordance
with Commission-approved NFA rules and under circumstances authorized
by the Commission as consistent with the Commission's regulations and
routine uses. No specific consent is required by an applicant or
registered introducing broker to disclosure of information to the
futures commission merchant with whom it has or plans to enter a
guarantee agreement.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, computer printouts,
index cards, microfiche.
RETRIEVABILITY:
By the name of the individual or firm, or by assigned
identification number. Where applicable, the NFA's computer cross-
indexes the individual's file to the name of the futures commission
merchant, introducing broker, commodity trading advisor, commodity pool
operator or leverage transaction merchant with which the individual is
associated or affiliated.
SAFEGUARDS:
General office security measures include secured rooms or premises
and, in appropriate cases, lockable file cabinets with access limited
to persons whose official duties require access. Access to computer
systems is password protected and limited to authorized personnel only.
RETENTION AND DISPOSAL:
Hard copies of applications, biographical supplements, other forms,
[[Page 44449]]
related documents and correspondence are maintained, as applicable, for
two years after the individual's registration(s), or that of the
firm(s) with which the individual is associated as an associated person
or affiliated as a principal, becomes inactive. Hard copy records are
then stored at an appropriate site for an additional eight years before
being destroyed. CFTC-held records are stored in the Federal Records
Center, and NFA-held records are to be stored either on NFA's premises
or in appropriate fireproof off-site facilities. Since 1991, NFA has
scanned, indexed and stored hard copy records on the computer via
imaging software so the information may be retrieved and printed. Like
the hard copy records, these imaged records are maintained by NFA for
10 years after the individual's registration(s), or the registration of
the firm(s) with which the individual is affiliated as an associated
person or principal becomes inactive.
NFA also maintains an index and summary of the hard copy records of
this system in a data base, the Membership, Registration, Receivables
System (MRRS). The MRRS records are maintained permanently on CFTC's or
NFA's premises, as applicable, and are updated periodically as long as
the individual's application is pending for registration in any
capacity or affiliated with any registrant in any capacity. MRRS
records on persons who may apply may be maintained indefinitely;
microfiche records, when produced, are maintained permanently on the
CFTC's or NFA's premises.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director for Registration, Division of Trading and
Markets, at the Commission's principal office, or a designee. For
records held by NFA, the systems manager is the Vice President for
Registration, National Futures Association, 200 West Madison Street,
Suite 1400, Chicago, Illinois 60606-3447, or a designee.
NOTIFICATION PROCEDURE:
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 should address written inquiry to the FOI,
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581. Telephone (202)
418-5105. Individuals may also request registration information by
telephone directly from the NFA information center at 1-800-676-3570 or
the NFA Disciplinary Information Access Line at 1-800-676-4632. NFA
will query the computer database about the individual's current
registration status and registration history, and provide instructions
on how to make written requests for copies of records.
RECORD SOURCE CATEGORIES:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state and local regulatory and law
enforcement agencies; commodities and securities exchanges, National
Futures Association and National Association of Securities Dealers;
foreign futures and securities authorities and INTERPOL; and other
miscellaneous sources. Computer records are prepared from the forms,
supplements, attachments and related documents submitted to the
Commission or NFA and from information developed during the fitness
inquiry.
CFTC-13
SYSTEM NAME:
Interpretation Files.
SYSTEM LOCATION:
Files are kept in the office responsible for preparing the
interpretation letter, including the Division of Trading and Markets,
the Office of the General Counsel, and the Division of Economic
Analysis. Copies of the interpretation letters without the supporting
documentation are also kept in the Secretariat and the Office of Public
Affairs. All offices are located at 1155 21st Street, NW, Washington,
DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who have requested the Commission to provide them with its
interpretation of provisions of the Commodity Exchange Act or various
rules and regulations adopted by the Commission. The requests may have
been made directly by the individual, or through the individual's
attorney or other representative.
CATEGORIES OF RECORDS IN THE SYSTEM:
Interpretation letters furnished, the request for an
interpretation, and any related internal memoranda and supporting
documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 2(a)(4) of the Commodity Exchange Act, 7 U.S.C. 4a(c), 44
U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. Pursuant to the Commission's rules, 17 CFR 140.98,
interpretation letters and the related requests for interpretation that
discuss matters of general applicability are made public and published
by the Commission. Portions of such letters or information will be
deleted or omitted to the extent necessary to prevent a clearly
unwarranted invasion of personal privacy or to the extent they
otherwise contain material considered nonpublic under the Freedom of
Information Act and the Commission's rules implementing that Act.
b. Information in these files may be used as a reference in
responding to later inquiries from the same party or in following up on
earlier correspondence involving the same person.
c. Also see ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders.
RETRIEVABILITY:
By futures commission merchant, floor broker, commodity pool
operator, commodity trading advisor or associated person if the request
is made by them or on their behalf. If it is made on behalf of another
individual, it will be filed by the name of the individual. If the
identity of these persons is not known, the record will be maintained
in the name of the attorney or other representative filing the request.
SAFEGUARDS:
Access limited to the offices where the records are maintained.
RETENTION AND DISPOSAL:
Maintained permanently (on premises for 5 years then transferred to
the Federal Records Center). After 20 years, offered to the National
Archives and Records Service.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Counsel, Division of Trading and Markets; the General
Counsel; Director, Division of Economic Analysis; the Secretary to the
Commission; and the Director, Office of Public Affairs. All system
managers are located in the Commission's principal office. See ``The
Location of Systems of Records.''
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains
[[Page 44450]]
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Individuals, proprietorships, corporations, other business
organizations, or representatives seeking interpretation of the
provisions of the Commodity Exchange Act or Commission rules.
CFTC-14
SYSTEM NAME:
Matter Files.
SYSTEM LOCATION:
This system is located in the Commission's principal and regional
offices. Pending investigation files may be located in the office that
is conducting the investigation. See ``The Location of Systems of
Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Individuals whom the 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, or the rules
and regulations of any board of trade designated as a contract market.
b. Individuals whom the staff has reason to believe may have
information concerning violations of the Commodity Exchange Act and the
rules, regulations, and orders promulgated thereunder, or the rules and
regulations of any board of trade designated as a contract market.
c. 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.
d. Individuals filing an application for registration as associated
person, floor trader or floor broker Form 8-R (biographical information
questionnaire) in connection with an application for registration with
the Commission.
e. Individuals indicted or convicted for criminal violations of the
Act or other commodity related violations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Anything obtained during the course of an investigation including
data from Commission reporting forms, account statements and other
trading records, exchange records, bank records and credit information,
business records, reports of interviews, transcripts of testimony,
exhibits to transcripts, affidavits, statements by witnesses,
registration information, contracts and agreements. Also contains
internal memoranda, reports of investigation, orders of investigation,
subpoenas, warning letters, stipulations of compliance, correspondence
and other miscellaneous matters. The nature of the personal information
contained in these files varies according to what is considered
relevant by the attorney assigned based on the circumstances of the
particular case under investigation, and may include personal
background information about the individual involved, his education and
employment history, information on prior violations, and a wide variety
of financial information, as well as a detailed examination of the
individual's activities during the period in question.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C.
3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.'' Information concerning
traders and their activities may be disclosed and made public by the
Commission to the extent permitted by law when deemed appropriate to
further the practices and policies of the Commodity Exchange Act.
Information collected during the investigation 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, disks, computer memory, computer
printouts. A summary index of material is also stored on the computer.
RETRIEVABILITY:
By assigned matter title, person or firm.
SAFEGUARDS:
In addition to normal office and building security, certain of
these records are maintained in locked file cabinets. All employees are
aware of the sensitive nature of the information gathered during
investigations.
RETENTION AND DISPOSAL:
In the principal office, opening and closing reports, complaints,
and significant orders are kept permanently. Once an investigation is
closed without institution of a case, the files, other than the
materials described above, are shipped to off-site storage within
ninety days of closing. Records of preliminary inquiries closed without
further action, are forwarded to off-site storage within a year
following closure. Records are maintained in off-site storage for 5
years, then destroyed. In the regional offices, records are maintained
on the premises for 3 years after the matter is closed, then sent to
the Federal Records Center for 5 years before being destroyed.
If an investigatory matter is not closed, but becomes a Commission
injunctive or administrative action, the matter files become part of
the case files described in CFTC-16.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement in the Commission's principal
office. Regional Counsel of the region where the investigation is being
conducted. See ``The Location of Systems of Records.''
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
a. Reporting forms and other information filed with the Commission;
b. boards of trade; c. persons or firms covered by the Commission's
registration requirements; d. federal, state and local regulatory and
law enforcement agencies; e. banks, credit organizations and other
institutions; f. corporations; g. individuals having knowledge of the
facts; h. attorneys; i. publications; j. courts; and k. miscellaneous
sources.
CFTC-15
SYSTEM NAME:
Large Trader Report Files.
SYSTEM LOCATION:
The copies of original reports and related correspondence are
located in
[[Page 44451]]
the CFTC office where filed. See further description below. Ancillary
records and information (computer printout) may be located in any CFTC
office. See ``The Location of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals holding reportable positions.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Reports filed by the individual holding the reportable position:
a. Statements of Reporting Trader (CFTC Form 40) contains
information described in part 18 of the Commission's rules and
regulations, including the name, address, number, and principal
occupation of the reporting trader, financial interest in and control
of commodity futures accounts, and information about the trader's
business associations;
b. Large trader reporting form (Series 03 Form). Contains
information described in part 18 of the Commission's rules and
regulations, including the trader's identifying number, previous open
contracts, trades and deliveries that day, open contracts at the end of
the day, and classification as to speculation or hedging (available on
a non-routine basis by special call);
c. Large trader reporting form (Series 04 Form). Contains
information described in part 19 of the Commission's rules and
regulations, to be filed by merchants, processors and dealers in
commodities that have federally imposed speculative position limits.
Includes trader's identifying number, stocks owned, fixed price sale
and purchase commitments. These reports are filed in the CFTC office in
the city where the reporting trader is located. If there is no CFTC
office in that city, the reports are filed according to specific
instructions of the CFTC.
2. Reports to be filed by futures commission merchants, members of
contract markets, foreign brokers and for large option traders by
contract markets.
a. Identification of ``Special Accounts'' (CFTC Form 102). Contains
material described in part 17 of the Commission's rules and
regulations. Includes the name, address, and occupation of a customer
whose accounts have reached the reporting level. Also includes the
account number that the futures commission merchant uses to identify
this customer on the firm's 01 report (see next paragraph), and whether
the customer has control of or financial interest in accounts of other
traders.
b. Large trader reporting form (Series 01 Form). Contains material
described in part 17 of the Commission's rules and regulations, for
each ``special account.'' Shows customer account number, reportable
position held in each commodity future and information concerning
deliveries and exchanges of futures for physicals by persons with
reportable positions. These reports are filed, mostly in machine
readable form, in the CFTC office in the city where the contract market
involved is located. If there is no CFTC office in that city, they are
filed in the office where the CFTC instructs that they be filed.
3. Computer records prepared from information on the forms
described in items (1) and (2) above. The computer system is located in
Chicago. Printouts may be located in some or all of the Commission's
offices.
4. Correspondence and memoranda of telephone conversations between
the Commission and the individual or between the Commission and other
agencies dealing with matters of official business concerning the
individual.
5. Other miscellaneous information, including intra-agency
correspondence and memoranda concerning the individual and documents
relating to official actions taken by the Commission against the
individual.
6. Reports from contract markets concerning futures and options:
a. Positions and Transactions of Clearing Member Firms. Information
is provided in machine readable form and contains the data prescribed
in part 16 of the Commission's regulations. The information includes an
identification number for each clearing member, open contracts at the
firm for proprietary and customer accounts and transactions such as
trades, exchanges of futures for cash, delivery notices issued and
received, and transfers and option exercises. The information is filed
in the city where the exchange is located or as instructed by the
Commission. Data is transmitted to the CFTC computer system and
printouts are available at all CFTC offices.
b. Large Option Trader Data. Information is provided in machine
readable form and contains the data prescribed in Commission Rule
16.02. Shows customer account number and reportable option positions as
specified in Rule 16.02. Machine readable media is delivered to the
Commission office in which the contract market is located or as
instructed by the Commission. The data is transmitted to the CFTC
computer system and printouts of the data are available in each
Commission office.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 4g, 4i, and 8 of the Commodity Exchange Act, 7 U.S.C. 6g,
6i, and 12.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.'' In addition, information
concerning traders and their activities may be disclosed and made
public by the Commission to the extent permitted by law when deemed
appropriate to further the practices and policies of the Commodity
Exchange Act.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF THE RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, and computer
printout.
RETRIEVABILITY:
Form 40, Form 102, correspondence and other miscellaneous
information are maintained directly under the name of the reporting
trader. The series 01, 03, and 04 forms are maintained by identifying
code number. However, information from these forms is included in the
computer and retrievable by individual name from the computer.
SAFEGUARDS:
General office security measures, with recent trading reports
stored in lockable file cabinets. Access is limited to those whose
official duties require access.
RETENTION AND DISPOSAL:
CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are
retained on the premises until the account has been inactive for 5
years and are then destroyed. Form 01, 03, and 04 reports are
maintained for 6 months on the premises and then held at the Federal
Records Center for 5 years before being destroyed. The computer file is
maintained for 10 years for Form 01, 03, and 04 reports and large
trader options data reported by contract markets. Clearing member
positions and transactions are maintained for 2 years. Trader code
numbers and related information are maintained for 5 years after a
trader becomes nonreportable. Account numbers assigned by an FCM are
maintained on the system for 1 year after the account is no longer
reported.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Surveillance Branch, in the region where the records are
located. See ``The Location of Systems of Records.''
[[Page 44452]]
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105. Include
code number assigned by the Commission for filing reports, the name of
the futures commission merchant through whom traded, and the time
period for which information is sought.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained and futures
commission merchants through whom the individual trades. Correspondence
and memoranda prepared by the Commission or its staff. Correspondence
from firms, agencies, or individuals requested to provide information
on the individual.
CFTC-16
SYSTEM NAME:
Case Files.
SYSTEM LOCATION:
This system is located in the Commission's principal and regional
offices. Pending litigation files may be located in other participating
offices. See ``The Location of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons 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.
CATEGORIES OF RECORDS IN THE SYSTEM:
Copies of various papers filed by or with the Commission or the
courts in connection with administrative proceedings or injunctive
actions brought by the Commission. It includes, as a minimum, a copy of
the complaint and the final decision and order, and may contain other
documents as well, including records described in CFTC-14, Matter
Files, as well as pleadings and litigation correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
These files are necessary for the orderly and effective conduct of
litigation authorized under the Commodity Exchange Act and other
federal statutes. See, e.g., section 6c of the Commodity Exchange Act,
7 U.S.C. 13a-1, authorizing injunctive actions, and various provisions
in that Act authorizing administrative actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.'' The information in these
files is generally a matter of public record and may be disclosed
without restriction.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders or binders, disks, computer memory,
computer printouts. A summary index of material is also stored on the
computer.
RETRIEVABILITY:
By case title or in some instances by docket number.
SAFEGUARDS:
General office security measures including secured premises with
access limited to those whose official duties require access.
RETENTION AND DISPOSAL:
After an action is complete, the complaint, final decision, and
order are kept indefinitely at the headquarters office. The remainder
of the litigation file is shipped to off-site storage 90 days after the
case is completed. Most case files are destroyed after 15 years; unique
precedent setting cases are destroyed after 20 years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement at the Commission's principal
office and Regional Counsel for the region where the records are
located. See ``The Location of Systems Records.''
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
The parties, their attorneys, the Commission's Proceedings Clerk's
Office, the relevant court, and miscellaneous sources.
CFTC-17
SYSTEM NAME:
Litigation Files-OGC.
SYSTEM LOCATION:
This system is located in the Office of the General Counsel at 1155
21st Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Parties involved in litigation with the Commission or litigation in
which the Commission has an interest including, but not limited to:
a. Administrative proceedings before the Commission;
b. Injunctive actions brought by the Commission;
c. Other federal court cases to which the Commission is a party;
d. Litigation in which the Commission is participating as amicus
curiae; and
e. Other cases involving issues of concern to the Commission,
including those brought by other law enforcement and regulatory
agencies and those brought by private parties.
CATEGORIES OF RECORDS IN THE SYSTEM:
Papers, disks, computer memory or computer printouts comprising or
included in the record of the case, and briefs and correspondence
related to that action. May also include internal memoranda and other
documents pertaining to the matter being litigated.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1, et seq., entrusts the
Commission with broad regulatory responsibilities over commodity
futures transactions. In this connection, the Commission is authorized
to bring both administrative proceedings and injunctive actions where
there appear to have been violations of the Act. Furthermore, to
effectuate the purposes of the Act, it is necessary that the Commission
staff be familiar with developments in other actions brought by others
that have implications in the commodity law areas.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The information in these files is generally a matter of public
record and may be disclosed without restriction. Also see ``General
Statement of Routine Uses.''
[[Page 44453]]
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, as well as disks, computer memory
and computer printouts.
RETRIEVABILITY:
Alphabetically by caption of the case.
SAFEGUARDS:
General office security measures including secured rooms or
premises with access limited to those whose official duties require
access.
RETENTION AND DISPOSAL:
Maintained in the active files until the action is completed,
including final review at the appellate level. Thereafter, transferred
to the inactive case files, where a skeletal record of pleadings,
briefs, findings, and opinions and other particularly relevant papers
may be maintained. These records are maintained on premises for five
years, then transferred to the Federal Records Center. A copy of some
of the documents may be kept in precedent files for use in later legal
research or preparation of filings in other matters.
SYSTEM MANAGER(S) AND ADDRESS:
General Counsel, 1155 21st Street, NW, Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
The court or regulatory authority before whom the action is
pending, the attorneys for one of the named parties, and miscellaneous
sources.
CFTC-18
SYSTEM NAME:
Logbook on Speculative Limit Violations.
SYSTEM LOCATION:
This system is located in the Commission's Chicago and New York
regional offices. See ``The Location of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have exceeded speculative limits in a particular
fiscal year.
CATEGORIES OF RECORDS IN THE SYSTEM:
A listing, by year, of the violations of speculative limits imposed
by the Commission and the exchanges. It includes the trader's assigned
code number, the commodity involved, the name of the trader, the type
of violation, the date of the violation, the date the violation ceased,
and the action taken. Copies of warning letters and replies pertaining
to the violation listed are maintained with the logbook.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 4i and 8 of the Commodity Exchange Act, 7 U.S.C. 6i and
12.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders.
RETRIEVABILITY:
By fiscal year, and within each year by the name of the violator.
SAFEGUARDS:
General office security measures including secured rooms or
premises with access limited to those whose official duties require
access.
RETENTION AND DISPOSAL:
Maintained on the premises for 5 years, then held in Federal
Records Center for 15 years before being destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Surveillance Branch, 233 South Wacker Drive, Suite 4600,
Chicago, Illinois 60606; Chief, Surveillance Branch, One World Trade
Center, Suite 4747, New York, New York 10048.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves contained 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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Series 03 reports filed by traders. Correspondence prepared by the
Commission or by the individual or individual's representative.
CFTC-19
Deleted--Incorporated into CFTC-29.
CFTC-20
SYSTEM NAME:
Registration of Floor Brokers, Floor Traders, Futures Commission
Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity
Pool Operators, Leverage Transaction Merchants, and Associated Persons.
SYSTEM LOCATION:
National Futures Association (NFA), 200 West Madison Street, Suite
1400, Chicago, Illinois 60606-3447.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who have applied for registration as floor brokers, floor
traders or as associated persons, and principals (as defined in 17 CFR
3.1) of futures commission merchants, introducing brokers, commodity
trading advisors, commodity pool operators, and leverage transaction
merchants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the registration and fitness of the
above-described individuals to engage in business subject to the
Commission's jurisdiction. The system includes applications for
registration forms, schedules, and supplements; fingerprint cards;
correspondence relating to registration; and reports and memoranda
reflecting information developed from various sources.
Computerized systems, consisting primarily of information taken
from the registration forms, are maintained by NFA. Computer records
include the name, date and place of birth, social security number
(optional), exchange membership (floor brokers and floor traders only),
firm affiliation, and the residence or business address, or both, of
each associated person, floor broker, floor trader and principal.
Computer records also include information relating to name, trade name,
principal office address, records address, names of principals and
branch managers of futures commission merchants, introducing brokers,
commodity pool operators, commodity trading advisors, and leverage
transaction merchants.
[[Page 44454]]
Directories, when produced, list the name, business address, and
exchange membership affiliation of all registered floor brokers and the
name and firm affiliation of all associated persons and principals.
These directories, as well as registration forms and biographical
supplements, except for any confidential information on supplementary
attachments to the forms, are publicly available to any person for
disclosure, inspection and copying.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19 of
the Commodity Exchange Act as amended, 7 U.S.C. 6f(1), 6k(4), 6k(5),
6n(1), 12a(1), 12a(5), 12a(10), and 23 (1988), as amended by the
Futures Trading Practices Act of 1992, Pub L. 102-546, 106 Stat. 3590.
ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.'' In addition, information
contained in this system of records may be disclosed by the Commission
as follows:
1. Information contained in this system of records may be disclosed
to any person with whom an applicant or registrant is or plans to be
associated as an associated person or affiliated as a principal.
2. Information contained in this system of records may be disclosed
to any registered futures commission merchant with whom an applicant or
registered introducing broker has entered or plans to enter into a
guarantee agreement in accordance with Commission regulation 1.10 (17
CFR 1.10).
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 Commission-approved NFA rules and under
circumstances authorized by the Commission as consistent with the
Commission's regulations and routine uses. No specific consent is
required by an applicant or registered introducing broker to disclosure
of information to the futures commission merchant with whom it has or
plans to enter a guarantee agreement.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, computer printouts,
indexed cards, and microfiche.
RETRIEVABILITY:
By the name of the individual or firm, or by assigned
identification number. Where applicable, the NFA's computer cross-
indexes the individual's primary registration file to the name of the
futures commission merchant, introducing broker, commodity trading
advisor, commodity pool operator or leverage transaction merchant with
whom the individual is associated or affiliated.
SAFEGUARDS:
General office security measures including secured rooms or
premises and, in appropriate cases, lockable file cabinets, with access
limited to those whose official duties require access.
RETENTION AND DISPOSAL:
Hard copies of applications, biographical supplements, other forms,
related documents and correspondence are maintained on the NFA's
premises, as applicable, for two years after the individual's
registration(s), or that of the firm(s) with which the individual is
associated as an associated person or affiliated as a principal,
becomes inactive. Hard copies of records are then stored at an
appropriate site for an additional eight years before being destroyed.
Records are to be stored either on NFA's premises or in appropriate
fireproof off-site facilities.
NFA also maintains an index and summary of the hard copy records of
this system in a data base, the Membership, Registration, Receivables
System (MRRS). The MRRS records are maintained permanently and are
updated periodically as long as the individual is pending for
registration, registered in any capacity or affiliated with any
registrant as a principal. MRRS records on persons who may apply may be
maintained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director for Registration, Division of Trading and
Markets, Commodity Futures Trading Commission, 1155 21st Street, NW,
Washington, DC 20581, and Vice President for Registration, National
Futures Association, 200 West Madison Street, Suite 1400, Chicago,
Illinois 60606-3447.
NOTIFICATION PROCEDURE:
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 FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105. Individuals
may also request registration information by telephone from the NFA
information center at 1-800-676-3570 or from the Disciplinary
Information Access Line at 1-800-676-4632. NFA will query the MRRS
system about current registration status and registration history, and
provide instructions on how to make written requests for copies of
records.
RECORD SOURCE CATEGORIES:
The individual or firm on whom the record is maintained; the
individual's employer; federal, state and local regulatory and law
enforcement agencies; commodities and securities exchanges, National
Futures Association and National Association of Securities Dealers;
foreign futures and securities authorities and INTERPOL; and other
miscellaneous sources. The computer records are prepared from the
forms, supplements, attachments and related documents submitted to the
NFA and from information developed during the fitness inquiry.
CFTC-21
Deleted--Incorporated into CFTC-20.
CFTC-22
Deleted--Incorporated into CFTC-20.
CFTC-23
Deleted--Incorporated into CFTC-20.
CFTC-24
Deleted--Incorporated into CFTC-20.
CFTC-25
Deleted.
CFTC-26
Deleted--Incorporated into CFTC-14.
CFTC-27
Deleted.
CFTC-28
SYSTEM NAME:
SRO Disciplinary Action File.
SYSTEM LOCATION:
Records in this system are maintained at the Commission's principal
and regional offices. See ``The Location of Systems of Records.''
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who have been suspended, expelled, disciplined, or denied
access to or by a self-regulatory organization (SRO).
[[Page 44455]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters of notification of disciplinary or other adverse action
taken by an exchange that include the name of the person against whom
such action was taken, the action taken and the reasons therefore.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 8c(1)(B) of the Commodity Exchange Act, 7 U.S.C. 12c(1)(B).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Loose-leaf binders, computer memory, and computer printouts.
RETRIEVABILITY:
By chronological order according to the self-regulatory
organization that took the disciplinary or other adverse action that is
the subject of the notice and by the name of the individual.
SAFEGUARDS:
General office security measures.
RETENTION AND DISPOSAL:
Retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director, Contract Markets Section, Commodity Futures
Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Self-regulatory organizations notifying the Commission of
disciplinary or other adverse actions taken.
CFTC-29
SYSTEM NAME:
Reparation Complaints.
SYSTEM LOCATION:
This system is located in the Office of Proceedings, 1155 21st
Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing customer reparation complaints, as well as the
firms and individuals named in the complaints.
CATEGORIES OF RECORDS IN THE SYSTEM:
Reparation 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 proceedings
officer, records become part of CFTC-3, Docket Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 14 of the Commodity Exchange Act, 7 U.S.C. 18.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records are used in the conduct of the Commission's
reparation program. Also see ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer memory, computer printouts.
RETRIEVABILITY:
By docket number and cross-indexed by the name of the complainant
and respondent.
SAFEGUARDS:
General office security including secured rooms and, in appropriate
cases, lockable file cabinets, with access limited to those whose
official duties require access.
RETENTION AND DISPOSAL:
The records are maintained for 10 years after the case is closed,
except that complaints, decisions, and Commission opinions and orders,
are retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Proceedings, Complaints Section, 1155 21st Street, NW,
Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the FOI, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
Persons or firms filing reparation complaints or answers.
CFTC-30
SYSTEM NAME:
Open Commission Meetings--CFTC.
SYSTEM LOCATION:
This system is located in the Office of the Secretariat, Commodity
Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who are the subject of discussion at a Commission meeting
open for public observation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the individuals who are the subject of
discussion at an open Commission meeting.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Government in the Sunshine Acts, 5 U.S.C. 552b(f) and Commission
regulations at 17 CFR 147.7.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The information in these files is a matter of public record and may
be disclosed without restriction. Also see ``General Statement of
Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders or microfiche; audio cassette tapes.
RETRIEVABILITY:
The indices to the recordings, transcripts, and minutes of all
Commission meetings are organized by year in chronological order. Each
yearly index is further indexed in alphabetical order according to
subject matter, including the names of individuals, firms, exchanges or
other topics that are discussed at the meetings.
SAFEGUARDS:
General office security measures, with access limited to persons
whose official duties require access.
RETENTION AND DISPOSAL:
Maintained on the premises for at least the statutory period
required by the Sunshine Act and Commission
[[Page 44456]]
regulations (i.e., 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); then retired to the National Archives or stored on the
premises.
SYSTEM MANAGER(S) AND ADDRESS:
Secretary of the Commission, Commodity Futures Trading Commission,
1155 21st Street, NW, Washington, DC 20581.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records about
themselves in this system of records, or contesting the content of
records about themselves contained in this system of records should
address written inquiry to the FOIA, Privacy and Sunshine Acts
Compliance Staff, Commodity Futures Trading Commission, 1155 21st
Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
RECORD SOURCE CATEGORIES:
1. The information recorded during Commission meetings concerning
individuals who are the subject of discussion at the meetings is
generated by the staff in one or more Divisions.
2. The indices are prepared from the recordings, transcripts and/or
minutes.
CFTC-31
SYSTEM NAME:
Exempted Closed Commission Meetings--CFTC.
SYSTEM LOCATION:
This system is located in the Office of the Secretariat, Commodity
Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who are the subject of discussion at a closed Commission
meeting.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to individuals who are the subject of
discussion at a closed Commission meeting. This information consists of
(a) investigatory materials compiled for law enforcement purposes whose
disclosure the Commission has determined could impair the effectiveness
and orderly conduct of the Commission's regulatory, enforcement and
contract market surveillance programs or compromise Commission
investigations, or (b) investigatory materials compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
employment with the Commission to the extent that it identifies a
confidential source.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Government in the Sunshine Act, 5 U.S.C. 552b(f), and Commission
regulations at 17 CFR 147.7.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
See ``General Statement of Routine Uses.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, microfiche, and audio cassette
tapes.
RETRIEVABILITY:
The indices to the recordings, transcripts, and minutes of all
Commission meetings are organized by year in chronological order. Each
yearly index is further indexed in alphabetical order according to
subject matter, including the names of individuals, firms, exchanges or
other topics, which are discussed at the meetings.
SAFEGUARDS:
General office security measures, with access limited to persons
whose official duties require access.
RETENTION AND DISPOSAL:
Maintained on the premises for at least the statutory period
required by the Sunshine Acts and Commission regulations (i.e., 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); then retired to the National Archives or
stored on the premises.
SYSTEM MANAGER(S) AND ADDRESS:
Secretary of the Commission, Commodity Futures Trading Commission,
1155 21st Street, NW, Washington, DC 20581.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system have been exempted by the Commission
from certain provisions of the Privacy Act of 1974 pursuant to the
terms of the Privacy Act, 5 U.S.C. 552a, and the Commission's rules
promulgated thereunder, 17 CFR 146.12. These records are exempted from
the notification procedures, record access procedures and record
contest procedures set forth in the system notices of other record
systems, and from the requirement that the source of records in the
system be described.
CFTC-32
SYSTEM NAME:
Office of the Inspector General Investigative Files.
SYSTEM LOCATION:
Office of the Inspector General, Commodity Futures Trading
Commission, 1155 21st Street NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are part of an investigation of fraud and abuse
concerning Commission programs or operations.
CATEGORIES OF RECORDS IN THE SYSTEM:
All correspondence relevant to the investigation; all internal
staff memoranda, copies of all subpoenas issued during the
investigation, affidavits, statement from witnesses, transcripts of
testimony taken in the investigation and accompanying exhibits;
documents and records or copies obtained during the investigation; and
opening reports, progress reports and closing reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Pub. L. 95-452, as amended, 5 U.S.C. App. 3.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
1. The information in the system may be used or 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.
2. 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.
3. In any case in which records in the system indicate a violation
or potential violation of law, whether civil, criminal
[[Page 44457]]
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 OIG has reason to believe this will assist the
contract market or registered futures association in carrying out its
self-regulatory responsibilities under the Commodity Exchange Act, 7
U.S.C. 1 et seq., and regulations, rules or orders issued pursuant
thereto, and such records may also be referred to any national
securities exchange or national securities association registered with
the Securities and Exchange Commission, to assist those organizations
in carrying out their self-regulatory responsibilities under the
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., and
regulations, rules or orders issued pursuant thereto.
4. The information may be given or shown to anyone during the
course of an 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.
5. 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.
6. 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.
7. 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.
9. 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. The information may also be disclosed to counsel for any
Commission member or employee in litigation or in anticipation of
litigation in his or her individual capacity where the Commission or
the Department of Justice agrees to represent such employee or
authorizes representation by another.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer diskettes and computer
memory.
RETRIEVABILITY:
By the name of the subject of the investigation or by assigned
identification number.
SAFEGUARDS:
The 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 persons whose official duties require such
access.
RETENTION AND DISPOSAL:
The Office of the Inspector General Investigative Files are
destroyed ten years after the case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, Office of the Inspector General, Commodity
Futures Trading Commission, 1155 21st Street, NW., Washington, DC
20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the systems of records, or contesting the content of
records about themselves, should address written inquiry to the FOI,
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading
Commission, 1155 21st Street, NW., Washington, DC 20581.
RECORD SOURCE CATEGORIES:
Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the
Commission; records of other entities; federal, foreign, state or local
bodies and law enforcement agencies; documents, correspondence relating
to litigation, and transcripts of testimony; and miscellaneous other
sources.
SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
Under 5 U.S.C. 552a(j)(2), the Office of the Inspector General
Investigative Files are exempted from 5 U.S.C. 552a except subsections
(b), (c)(1), and (2), (3)(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 except subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I)
and (f) to the extent the system of records consists of investigatory
material compiled for law enforcement purposes. These exemptions are
contained at 17 CFR 146.13.
CFTC-33
SYSTEM NAME:
Electronic Key Card Usage.
SYSTEM LOCATION:
Office of Administrative Services, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Authorized key card holders, which may include CFTC employees, on-
site contractors, visitors, or representatives of landlords.
CATEGORIES OF RECORDS IN THE SYSTEM:
Computer print-outs showing key card number and, in some cases,
name of assigned user.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 2(a)(2)(A)(b) and 12(b)(3), Commodity Exchange Act, 7
U.S.C. 4a(e) and 16(b)(3).
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,
2, 6 and 7, Privacy Act Issuances, 1995 Comp. In addition, information
contained in this system may be disclosed by the Commission (1) to any
person in connection with architectural, security or other surveys
concerning use of office space and (2) to employees and contractors for
the purpose of maintenance or service of data processing systems.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders, computer diskettes and computer
memory.
[[Page 44458]]
RETRIEVABILITY:
By name of the subject, by assigned key card number, by time period
and by entry point.
SAFEGUARDS:
Information from the Commission's landlords' data bases may only be
requested from the landlords by the Director of the Office of
Administrative Services, or his/her designee. The Commission maintains
all key card usage records in limited access areas at all times.
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.
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 inquiry to the FOI,
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading
Commission, 1155 21st Street, NW, Washington, DC 20581. The system of
records and the notification, access and challenge procedures apply
only to records of key card usage in the Commission's actual
possession. None of these applies to any information solely in a
landlord's possession.
RECORD SOURCE CATEGORIES:
With one exception, information in the system is supplied by the
Commission's landlords, typically on request. Information supplied is a
record of use of electronic key cards and in that sense the information
is obtained directly from the users of the key cards. Information in
the data base maintained in Chicago by the Commission itself is also
merely recorded usage of electronic key cards and similarly is obtained
directly from the user of the key card.
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 Comp. 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.
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 three 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.
[[Page 44459]]
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 PROCESS:
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:
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 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 that 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
[[Page 44460]]
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 over written.
SYSTEM MANAGER(S) AND ADDRESS:
Network Manager, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records, or contesting the content of
records about themselves should address written inquiries to the 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:
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.
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 RECORD 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.
[[Page 44461]]
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 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:
Library user bar code identifiers; library materials use; overdue
notices.
Issued in Washington, DC, on August 14, 1997, by the Commission.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 97-22050 Filed 8-20-97; 8:45 am]
BILLING CODE 6351-01-P