[Federal Register Volume 66, Number 154 (Thursday, August 9, 2001)]
[Notices]
[Pages 41842-41863]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-19765]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974; Systems of Records; Biennial Publication

AGENCY: Commodity Futures Trading Commission.

ACTION: Publication of annual notice of the existence and character of 
each system of records that the Commodity Futures Trading Commission 
(``Commission'') maintains that 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, Public Law 93-579, 5 
U.S.C. 552a.
    Pursuant to 5 U.S.C. 552a(f), the Commission, on August 8, 1975, 
promulgated rules relating to records maintained by the Commission 
concerning individuals (40 FR 41056). The rules as amended (17 CFR part 
146) address an individual's rights to know what information the 
Commission has in its files concerning the individual; to have access 
to those records; to petition the Commission to have inaccurate or 
incomplete records amended or corrected; and not to have personal 
information disseminated to unauthorized persons. The full text of the 
Commission's rules implementing the Privacy Act can be found in 17 CFR 
part 146.
    Under 17 CFR 146.11(a), the Commission is required to publish 
biennially a notice of the existence and character of each system of 
records it maintains that contains information about individuals. This 
notice implements this requirement and, when read together with the 
Commission's rules, will provide individuals with the information that 
they need to exercise fully their rights under the Privacy Act.

FOR FURTHER INFORMATION CONTACT: Edward W. Colbert, Deputy Secretary to 
the Commission, Freedom of Information Act, Privacy Act and Government 
in the Sunshine Act Compliance Office, (202) 418-5105, or Stacy Dean 
Yochum, Counsel to the Executive Director, (202) 418-5157, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581.

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 materials compiled for law enforcement purposes.
CFTC-31  Information pertaining to individuals discussed at closed 
Commission meetings.
CFTC-32  Investigatory materials compiled by the Office of the 
Inspector General.

The Location of Systems of Records

    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; and
 510 Grain Exchange Building, Minneapolis, Minnesota 55415, 
Telephone: (612) 370-3255.

    Where a system of records is stored in multiple locations, 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 are not available at each of 
the offices listed in the system notice. For example, case files are 
maintained in the office where the investigation is conducted, but 
certain information may be maintained in other offices as well. It is 
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 
concerning registration of the various categories of registrants (CFTC-
20) contains primarily business information. However, a firm's 
application for registration contains a few items of personal 
information concerning key personnel. Because 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 firm but also by the use of the name of these individuals, this 
information is within the purview of the Privacy Act. See the 
definition of system

[[Page 41843]]

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 146.2(g).
    Such a capability would generally not exist, however, in a 
Commission staff investigation of the activities of a firm unless an 
individual is registered as an FCM, IB, CTA or CPO. That is, 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 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, 17 CFR part 146, for a complete list of 
authorized disclosures. Only those arising most frequently have been 
mentioned herein.
    The Privacy Act and the Commission's 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.
    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. Unless otherwise indicated, the following routine uses of 
Commission records are applicable to all CFTC systems. To avoid 
unnecessary repetition of these routine uses, where they are generally 
applicable, the system notice refers the reader to the ``General 
Statement of Routine Uses.'' The notice for each system of records 
lists any specific routine uses that are applicable to that system.
    1. The information may be used by the Commission in any 
administrative proceeding before the Commission, in any injunctive 
action authorized under the Commodity Exchange Act or in any other 
action or proceeding in which the Commission or its staff participates 
as a party or the Commission participates as amicus curiae.
    2. 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.''

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 and Personnel Records
CFTC-6  Employee Travel and Transportation Records
CFTC-7  Exempted Informal Employment Complaint Files
CFTC-8  Employment Applications
CFTC-10  Exempted Investigatory Records
CFTC-12  Fitness Investigations
CFTC-13  Interpretative, Exemptive and No-Action Files
CFTC-15  Large Trader Report Files
CFTC-16  Enforcement Case Files
CFTC-17  Litigation Files-OGC
CFTC-18  Logbook on Speculative Limit Violations
CFTC-20  Registration of Floor Brokers, Floor Traders, Futures 
Commission Merchants, Introducing Brokers, Commodity Trading Advisors, 
Commodity Pool Operators, Leverage Transaction Merchants, Agricultural 
Trade Option Merchants and Associated Persons
CFTC-28  SRO Disciplinary Action File
CFTC-29  Reparations Complaints
CFTC-30  Open Commission Meetings
CFTC-31  Exempted Closed Commission Meetings
CFTC-32  Exempted Office of the Inspector General Investigative Files
CFTC-33  Electronic Key Card Usage
CFTC-34  Telephone System

[[Page 41844]]

CFTC-35  Interoffice and Internet Email
CFTC-36  Internet Security Gateway (Firewall) System
CFTC-37  Lexis-Westlaw Billing Information System
CFTC-38  Automated Library Circulation System
CFTC-39  Freedom of Information Act Requests
CFTC-40  Privacy Act Requests
CFTC-41  Requests for Confidential Treatment
CFTC-42  Debt Collection Files
CFTC-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-10 Exempted Investigatory Records and CFTC-
16 Enforcement Case Files, including:
    a. The matter register. Records are organized by docket number and/
or matter name. The register also indicates the date opened, the 
disposition and status, the date closed, and the staff member assigned.
    b. The matter register also includes reports recommending openings 
and closings of investigations.

Authority for the Maintenance of the System:
    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 files, 
and computer printouts.

Retrievability:
    By matter name or docket number.

Safeguards:
    General building security. In appropriate cases, the records are 
maintained in lockable file cabinets. Computer files require password 
to access.

Retention and Disposal:
    The records are destroyed when no longer needed.

Systems 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, Three Lafayette 
Centre, 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, National Futures Association, 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 
Three Lafayette Centre, 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 files 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:
    The retention and disposal period depends on the nature of the 
correspondence. For example, correspondence with the Commission that 
pertains to the programs and policies of the Commission becomes part of 
the agency's central files and is kept permanently. Other 
correspondence may be kept for between one and 10 years, depending on 
the subject matter.

System Manager(s) and Address:
    Office of the Secretariat; Director, Office of 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 the Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, N.W., Washington, 
D.C. 20581.

[[Page 41845]]

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

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 files, 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 to be kept nonpublic are segregated. Precautions are taken as 
to these items to assure that access is restricted to authorized 
personnel only. Access to computer records is limited to authorized 
personnel and password protected.

Retention and Disposal:
    Docket files in reparations cases are maintained for 10 years after 
final disposition of the case. Docket files in enforcement cases are 
maintained for 15 years after final disposition of the case.

System Manager(s) and Address:
    Proceedings Clerk, Office of Proceedings, Commodity Futures Trading 
Commission, Three Lafayette Centre, 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, Three Lafayette Centre, 1155 21st Street, N.W., 
Washington, D.C. 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.

[[Page 41846]]

System Manager and Address:
    Office of Human Resources, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

Notification Procedure:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

Record source categories:
    The individual on whom the record is maintained.
CFTC-5

System Name:
    Employee Personnel/Payroll Records.

System Location:
    This system is located in the Office of Human Resources and the 
Office of General Counsel, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581 and on a 
computer system located in the Department of Agriculture's National 
Finance Center, New Orleans, Louisiana.

Categories of Individuals Covered by the System:
    All CFTC employees.

Categories of Records in the System:
    Payroll related information for current 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, direct deposit information, and copies of the CFTC time 
and attendance reports as well as authorities relating to deductions, 
including salary offset under part 141 of the Commission's rules. The 
records maintained in the principal office for all employees may also 
include: a. Forms required and records maintained under the 
Commission's rules of conduct and the Ethics in Government Act, such as 
the SF-278 and requests for approval of outside employment (CFTC Form 
20); b. Various summary materials received in computer printout form; 
c. Awards information; d. Recruitment, relocation or retention bonuses; 
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 (OPM/GOVT-1), and are not included within this system. 
(Check Opm/Govt-1 to see if it includes relocation, retention, etc. 
bonuses)

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.
    c. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement, Administration for Children and 
Families, Department of Health and Human Services Federal Parent 
Locator System (FPLS) and Federal Tax Offset System to enable state 
jurisdictions to locate individuals and identify their income sources 
to establish paternity, establish and modify orders of support, and for 
enforcement action.
    d. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement for release to the Social Security 
Administration for verifying social security numbers in connection with 
the operation of the FPLS by the Office of Child Support Enforcement.
    e. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement for release to the Department of 
Treasury for purposes of administering the Earned Income Tax Credit 
Program (Section 32, Internal Revenue Code of 1986) and verifying a 
claim with respect to employment in a tax return.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Paper records in file folders, computer files, 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 the 
General Records Schedule for each type of personnel/payroll record.

System Manager(s) and Address:
    The 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, Three Lafayette 
Centre, 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 and Transportation Records.

SYSTEM LOCATION:
    This system is located in the Office of Financial Management, Three 
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. In the 
Commission's headquarters office, transit subsidy applications and 
distribution records are maintained by the Department of 
Transportation.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Any Commission member, employee, witness, expert, advisory 
committee

[[Page 41847]]

member or non-CFTC employee traveling on official business for the 
Commission and any CFTC employee who applies for and receives a transit 
subsidy.

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, requests, receipts, invoices from 
credit card vendors' receipts, and other records. Transit subsidy 
records contain: In DC, the employee's name and the amount received; in 
other regions, the employee's name, home address, office, office phone, 
the last four digits of the social security number, the mode of 
transportation, and the monthly amount of transportation expenses. 
Transit subsidy distribution records in offices other than headquarters 
contain the employee's name and the amount received.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq.; 44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    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 files 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 or the name of the employee applying for or 
receiving a transit subsidy and by the last four digits of the social 
security number.

SAFEGUARDS:
    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:
    Travel Records are retained for six years after the period covered 
by the account. Records of travel that is non-Federally funded are 
retained for four years. Transit subsidy disbursement records are 
retained for three years. Transit subsidy applications maintained by 
CFTC are retained for three years after the employee is no longer in 
the program or the application is superceded.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records or contesting the content of 
records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    The individual on whom the record is maintained.
CFTC-7

SYSTEM NAME:
    Exempted Informal Employment Complaint Files.

SYSTEM LOCATION:
    Office of the Executive Director, Three Lafayette Centre, 1155 21st 
St. NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals, including Commission employees, contractors or 
visitors, who are accused of sexual or other harassment in violation of 
employment discrimination laws or Commission employment policies, in 
particular the Commission's Sexual Harassment Policy.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Reports to Commission officials from supervisors, managers, or 
members of the Commission concerning complaints or concerning observed 
instances of sexual harassment; records relating to the complaint or 
incident, relating to any investigation, and to any disposition of the 
matter. The potential contents of the system are not limited to 
complaints or other material under the Commission's Sexual Harassment 
Policy. Complaints concerning other forms of employment discrimination 
would be made part of this system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    29 CFR 1614.102(a); 5 U.S.C. Sec. 2302(b).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The four routine uses for this system are taken from the 
Commission's General Statement of Routine Uses: published in 64 Fed. 
Reg.33829: Number 1 (disclosed in an action where the Commission or a 
present or former member or employee of the Commission is a party); 2 
(given to other federal or state agencies within the scope of their 
statutory mandates); 4 (disclosed in an investigation); and 6 
(disclosed if relevant to a federal agency in connection with a 
personnel, contracting or licensing action concerning the person about 
whom the record is maintained).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records stored in files.

RETRIEVABILITY:
    Records are retrievable by the name of the employee or third party 
about whom a complaint or report has been made.

SAFEGUARDS:
    In addition to general building security, paper records are 
maintained in areas accessible only to authorized personnel.

RETENTION AND DISPOSAL:
    Indefinite.

SYSTEM MANAGER(s) AND ADDRESS:
    Executive Director, 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 
Assistant Secretary for FOI, Privacy and Sunshine Acts Compliance, 
Commodity Futures Trading Commission, 1155 21st Street, NW., 
Washington, DC 20581.

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

[[Page 41848]]

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

RECORD SOURCE CATEGORIES:
    Internal complaints, internal investigations, reports of activity 
which apparently violates the Commission's Sexual Harassment Policy or 
other employment discrimination prohibitions, proceedings, as relevant, 
under the EEOC's Federal Sector Complaint Processing rules, 29 CFR part 
1614.
CFTC-8

SYSTEM NAME:
    Employment Applications.

SYSTEM LOCATION:
    This system is located in the Office of Human Resources, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants for positions with the 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. 
If a review is pending by the Office of Personnel Management (OPM) or 
other authority, the records are retained until that review is 
completed.

SYSTEM MANAGER(s) AND ADDRESS:
    The Office of Human Resources, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    The individual on whom the record is maintained.
CFTC-10

SYSTEM NAME:
    Exempted Investigatory Records.

SYSTEM LOCATION:
    This system is located in the Office of General Counsel in the 
Commission's principal office and the Division of Enforcement 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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Investigatory materials compiled for law enforcement purposes whose 
disclosure the Commission staff has determined could impair the 
effectiveness and orderly conduct of the Commission's regulatory and 
enforcement program or compromise Commission investigations. This 
system may include all or any part of the records developed during the 
investigation or inquiry, including data from Commission reporting 
forms, account statements and other trading records, exchange records, 
bank records and credit information, business records, reports of 
interviews, transcripts of testimony, exhibits to transcripts, 
affidavits, statements by witnesses, registration information, 
contracts and agreements. The system may also contain internal 
memoranda, reports of investigation, orders of investigation, 
subpoenas, warning letters, stipulations of compliance, correspondence, 
and other miscellaneous investigatory matters. The nature of the 
personal information contained in these files varies according to what 
is considered relevant by the attorney assigned based on the 
circumstances of the particular case under investigation, and may 
include personal background information about the individual involved, 
his education and employment history, information on prior violations, 
and a wide variety of financial information, as well as a detailed 
examination of the individual's activities during the period in 
question.

RETRIEVABILITY:
    By assigned file name, which may be the matter number or the name 
of the person or firm that is the principal subject of the 
investigation. A summary index of material is also stored on the 
computer.

SAFEGUARDS:
    In addition to normal office and building security, certain of 
these records are maintained in locked file cabinets and/or secured 
file rooms. All employees are made aware of the sensitive nature of 
investigatory information. Computer access is restricted to authorized 
personnel.

RETENTION AND DISPOSAL:
    Maintained until exemption is no longer necessary, then filed in 
the appropriate nonexempt system.
    If an investigatory matter is closed without institution of a case, 
the files, other than opening and closing reports, are shipped to off-
site storage within 90 days of closing. Records are maintained in off-
site storage for 5 years, and then destroyed.
    If the Commission files an injunctive or administrative action or 
an appellate matter, the related investigatory files and records are 
retained in the office conducting the litigation; the files and records 
remain exempt from disclosure under the Privacy Act. When the case is 
concluded, the investigatory materials are stored and disposed of on 
the same

[[Page 41849]]

schedule as the related non-exempt case files (see CFTC-16 and CFTC-
17).
    The Office of General Counsel retains copies of certain 
investigatory materials indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Enforcement in the Commission's principal 
office or the Regional Counsel of the region where the investigation is 
being conducted, or the General Counsel. See ``The Location of Systems 
of Records.''

RECORD SOURCE CATEGORIES:
    a. Reporting forms and other information filed with the Commission; 
b. self-regulatory organizations; 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.

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-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, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581. Records for futures commission 
merchants, introducing brokers, commodity pool operators, commodity 
trading advisors, their respective associated persons and principals, 
with active registration status in any capacity on or after October 1, 
1983; leverage transaction merchants and their associated persons and 
principals with active registration status as such on or after August 
1, 1994; floor brokers and floor traders with active registration 
status as such on or after August 1, 1994; and Agricultural Trade 
Option Merchants (ATOMs) and their associated persons: 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 
futures commission merchants, introducing brokers, commodity pool 
operators, commodity trading advisors, leverage transaction merchants 
and agricultural trade option merchants; persons listed or who may be 
listed as principals (as defined in 17 CFR 3.1); persons who have 
applied or who may apply for registration as associated persons of the 
foregoing firms; and floor brokers and floor traders.

Categories of Recors 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 images or 
alpha-numeric format and hardcopy format including registration forms, 
schedules and supplements, fingerprint cards which are required for 
registrants except ATOMs, correspondence relating to registration, and 
reports and memoranda reflecting information developed from various 
sources. In addition, the system contains records of each fitness 
investigation.

Authority for Maintenance of the System:
    Sections 4f(a)(1) and (2), 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.

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, the Commission may disclose 
information contained in this system of records 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 NFA rules that have been approved by the Commission or permitted 
to become effective without Commission approval. The disclosure must be 
made under circumstances authorized by the Commission as consistent 
with the Commission's regulations and routine uses. No specific consent 
is required by an applicant or registered introducing broker to 
disclosure of information to the futures commission merchant with whom 
it has or plans to enter a guarantee agreement.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Paper records in file folders, computer files, computer printouts, 
index 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 file to the name of the futures commission 
merchant, introducing broker, commodity trading advisor, commodity pool 
operator, leverage transaction merchant or agricultural trade option 
merchant with which the individual is associated or affiliated.

Safeguards:
    General office security measures include secured rooms or premises 
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:
    Since 1991, when a fitness investigation is opened by NFA, 
applications, biographical supplements, other forms, related documents, 
correspondence and reports are immediately scanned, indexed and stored 
using computer imaging software so the information may be retrieved and 
printed. Both hard copy and imaged records are maintained by NFA for 10 
years after the individual becomes inactive or for 10 years after the 
firm with which the individual is associated

[[Page 41850]]

becomes inactive. Records retained by CFTC are held for 10 years.
    NFA also maintains an index and summary of the hard copy records of 
this system in a database, the Membership, Registration, Receivables 
System (MRRS). The MRRS records are maintained permanently by NFA, as 
applicable, and are updated periodically as long as the individual is 
active. MRRS records on persons who may apply may be maintained 
indefinitely; microfiche records produced for back up of MRRS records 
for 1995 and earlier are maintained permanently by NFA.

System Manager(s) and Address:
    Director, 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, Three Lafayette Centre, 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 1-800-621-3570 or 312-781-
1410. Inquiries can also be made to NFA by FAX (312-781-1459) or via 
the Internet at [email protected]. NFA will query the MRRS system 
about current registration status and registration history, and will 
provide instructions on how to make written requests for copies of 
records. The Internet may be used to obtain information on current 
registration status and futures-related regulatory actions at 
www.nfa.futures.org by selecting ``BASIC.''

Records Source Categories:
    The individual or firm on whom the record is maintained; the 
individual's employer; Federal, state and local regulatory and law 
enforcement agencies; commodities and securities exchanges; National 
Futures Association; 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:
    Interpretative, Exemptive and No-Action Files.

System Location:
    Most files are prepared by the Division of Trading and Markets and 
are kept in that Office. Public copies of the interpretative, exemptive 
and no-action letters, which may be redacted, are also kept in the 
Secretariat and the Office of Public Affairs, and are also available on 
the CFTC website (www.cftc.gov). All offices are located at the 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581.

Categories of Individuals Covered by the System:
    Persons who have requested the Commission or its staff to provide 
interpretations, exemptions or no-action positions regarding the 
provisions of the Commodity Exchange Act or the Commission's 
regulations thereunder. The requests may have been made directly by an 
individual, or through the individual's attorney or other 
representative. A request may also be made on behalf of a registrant or 
other party that contains information about individuals employed by or 
affiliated with the registrant or other party. Registrants include 
futures commission merchants, introducing brokers, commodity pool 
operators, commodity trading advisors, agricultural trade option 
merchants, leverage transaction merchants, associated persons, floor 
brokers and floor traders.

Categories of Records in the System:
    Requests for interpretative, exemptive and no-action letters, 
supplemental correspondence, any related internal memoranda, other 
supporting documents and the responses to the requests.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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, substantive 
interpretative, exemptive and no-action letters are made public and 
published by the Commission. Portions of such letters or information 
will be deleted or omitted to the extent necessary to prevent a clearly 
unwarranted invasion of personal privacy or to the extent they 
otherwise contain material considered nonpublic under the Freedom of 
Information Act and the Commission's rules implementing that Act.
    b. Information in these files may be used as a reference in 
responding to later inquiries from the same party, in following up on 
earlier correspondence involving the same person, or when another 
person raises the same or similar issues.
    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. The redacted outgoing letter is 
maintained electronically on a Division of Trading and Markets shared 
drive.

RETRIEVABILITY:
    The Division of Trading and Markets (T&M) has two tracking systems 
in place. One system is based on information contained in incoming 
correspondence. It may be searched by, among other things, the name of 
the individual who signed the request letter (the requester) and the 
firm of which the individual is a partner, owner, or employee (such as 
a law firm, operating company or registrant.) Searchable fields may 
also include subject matter information such as the names of the 
parties and trading entities cited in the document. T&M has a second 
tracking system which is based on information contained in published 
and unpublished letters issued by T&M since 1991. This system may be 
searched by the name of the requester, the firm with which he or she is 
affiliated and the names of the parties and trading entities involved. 
Public copy files in the Secretariat and the Office of Public Affairs 
are filed by the name of the requester, even if another party makes the 
request on behalf of the requester. If the name of the firm or 
individual on whose behalf the request is made is not known, the 
records are maintained in the name of the attorney or other 
representative making the request.

SAFEGUARDS:
    Access to non-public records is limited to the offices where the 
records are maintained and is limited to authorized personnel.

[[Page 41851]]

RETENTION AND DISPOSAL:
    Letters signed by the Commission and unique, precedent-setting 
letters signed by staff are maintained by CFTC for 20 years, then 
transferred to the National Archives and Records Administration as 
permanent records. Other letters signed by staff are destroyed after 15 
years.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Trading and Markets; 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 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, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    Individuals, corporations, limited liability companies, other 
business organizations, or representatives seeking interpretations of, 
exemptions from, or no-action opinions on the provisions of the 
Commodity Exchange Act or Commission rules.
CFTC-15

SYSTEM NAME:
    Large Trader Report Files.

SYSTEM LOCATION:
    The copies of original reports and related correspondence are 
located in 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 as defined in 17 CFR parts 
17, 18 and 19.

CATEGORIES OF RECORDS IN THE SYSTEM:
    1. Reports filed by the individual holding the reportable position:
    a. Statements of Reporting Trader (CFTC Form 40) contains 
information described in part 18 of the Commission's rules and 
regulations, including the name, address, number, and principal 
occupation of the reporting trader, financial interest in and control 
of commodity futures accounts, and information about the trader's 
business associations;
    b. Large trader reporting 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 option, 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.
    4. Correspondence and memoranda of telephone conversations between 
the Commission and the individual or between the Commission and other 
agencies dealing with matters of official business concerning the 
individual.
    5. Other miscellaneous information, including intra-agency 
correspondence and memoranda concerning the individual and documents 
relating to official actions taken by the Commission against the 
individual.
    6. Reports of Positions and Transactions of Clearing Member Firms. 
Information is provided in machine-readable form and contains the data 
prescribed in section 16 of the Commission's regulations. The 
information includes an identification number for each clearing member, 
open contracts at the firm for proprietary and customer accounts and 
transactions such as trades, exchanges of futures for physicals, 
delivery notices issued and received, and transfers and option 
exercises. The information is filed in the 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.

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 files, 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 identifier.

[[Page 41852]]

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 in off-site 
storage for 5 years before being destroyed. The computer file is 
maintained for 10 years for Form 01, 03, and 04. Clearing member 
positions and transactions are maintained for 3 years. Trader code 
numbers and related information are maintained for 5 years after a 
trader becomes non-reportable. 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.''

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, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105. Include the 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:
    Enforcement 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 public papers filed by or with the Commission or 
the courts in connection with administrative proceedings or injunctive 
actions brought by the Commission. Records include, as a minimum, a 
copy of the complaint, motions filed, exhibits and the final decision 
and order.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    These files are necessary for the orderly and effective conduct of 
litigation authorized under the Commodity Exchange Act and other 
Federal statutes. See, e.g., dection 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 files, 
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 and any final decision 
or dispositive orders are kept indefinitely at the headquarters office. 
Most case files are destroyed after 15 years; unique, precedent-setting 
cases are forwarded to the National Archives and Records Administration 
for permanent retention after 20 years.

SYSTEM MANAGER 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, Three Lafayette 
Centre, 1155 21st Street, N.W., Washington, D.C. 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, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Parties involved in litigation with the Commission or litigation in 
which the Commission has an interest including, but not limited to:
    a. Administrative proceedings before the Commission, including 
appeals from staff determinations of requests made under FOIA and the 
Privacy Act;
    b. Federal court cases to which the Commission is a party;
    c. Litigation in which the Commission is participating as amicus 
curiae; and
    d. Other cases involving issues of concern to the Commission, 
including those brought by other law enforcement and regulatory 
agencies and those brought by private parties.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Public papers filed in litigation as described above, including 
appellate and amicus curiae briefs, motions, and final decisions and 
orders.

[[Page 41853]]

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.''

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 files 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. Computer access is also limited to authorized personnel.

RETENTION AND DISPOSAL:
    Maintained in the active files until the action is completed, 
including final review at the appellate level. Thereafter, transferred 
to the inactive case files, where a skeletal record of pleadings, 
briefs, findings, and opinions and other particularly relevant papers 
may be maintained. These records are maintained on premises for five 
years, and then transferred to off-site storage. Most case files are 
destroyed after 15 years; unique precedent setting cases are destroyed 
after 20 years. A copy of some of the documents may be kept in 
precedent files for use in later legal research or preparation of 
filings in other matters.

SYSTEM MANAGER AND ADDRESS:
    The Office of the General Counsel, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    The court or regulatory authority before which the action is 
pending, the attorneys for one of the named parties, and miscellaneous 
sources.
CFTC-18

SYSTEM NAME:
    Logbook on Speculative Limit Violations.

SYSTEM LOCATION:
    This system is located in the 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 off-site for 15 
years before being destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief, Surveillance Branch, Central Regional Office, Commodity 
Futures Trading Commission, 300 South Riverside Dr., Suite 1600 North, 
Chicago, Illinois 60606; Chief, Surveillance Branch, Eastern Regional 
Office, Commodity Futures Trading Commission, One World Trade Center, 
Suite 3747, 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, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    Series 03 reports filed by traders and series 01 reports filed by 
FCMs. Correspondence prepared by the Commission or by the individual or 
individual's representative.
CFTC-20

SYSTEM NAME:
    Registration of Floor Brokers, Floor Traders, Futures Commission 
Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity 
Pool Operators, Leverage Transaction Merchants, Agricultural Trade 
Option Merchants and Associated Persons.

SYSTEM LOCATION:
    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 or who may apply for registration as 
futures commission merchants, introducing brokers, commodity pool 
operators, commodity trading advisors, leverage transaction merchants 
and agricultural

[[Page 41854]]

trade option merchants (ATOMs); persons listed or who may be listed as 
principals (as defined in 17 CFR 3.1); persons who have applied or who 
may apply for registration as associated persons of the foregoing 
firms; and floor brokers and floor traders.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to the registration and fitness of the 
above-described individuals, except ATOMs, to engage in business 
subject to the Commission's jurisdiction. Information on ATOMs includes 
only the names and registration status of ATOMs and their associated 
persons. The system includes registration forms, schedules, and 
supplements; correspondence relating to registration; and reports and 
memoranda reflecting information developed from various sources.
    Computerized systems, consisting primarily of information taken 
from the registration forms, are maintained by NFA. Computer records 
include the name, date and place of birth, social security number 
(optional), exchange trading privileges (floor brokers and floor 
traders only), firm affiliation, and the residence or business address, 
or both, of each associated person, floor broker, floor trader and 
principal. Computer records also include information relating to name, 
trade name, principal office address, records address, names of 
principals and branch managers of futures commission merchants, 
introducing brokers, commodity pool operators, commodity trading 
advisors, leverage transaction merchants, and agricultural trade option 
merchants.
    Directories, when produced, list the name, business address, and 
exchange affiliation of all registered floor brokers and the name and 
firm affiliation of all associated persons and principals. These 
directories are sold to the public by NFA. Registration forms and 
biographical supplements, except for any confidential information on 
supplementary attachments to the forms, are publicly available for 
disclosure, inspection and copying.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 
8a(10) and 19 of the Commodity Exchange Act as amended, 7 U.S.C. 6f(1), 
6k(4), 6k(5), 6n(1), 12a(1), 12a(5), 12a(10), and 23.

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, the 
Commission may disclose information contained in this system of records 
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 that have 
been approved by the Commission or permitted to become effective 
without Commission approval. Disclosures must be made under 
circumstances authorized by the Commission as consistent with the 
Commission's regulations and routine uses. No specific consent is 
required by an applicant or registered introducing broker 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 files, 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, leverage transaction merchant or 
agricultural trade option merchant with whom the individual is 
associated or affiliated.

SAFEGUARDS:
    General office security measures including secured rooms or 
premises with access limited to those whose official duties require 
access. Access to computer files limited to authorized personnel.

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 eight additional years before being destroyed.
    NFA also maintains an index and summary of the hard copy records of 
this system in a database, the Membership, Registration, Receivables 
System (MRRS). The MRRS records are maintained permanently and are 
updated periodically as long as the individual has a registration 
application pending, is registered in any capacity, or is affiliated 
with any registrant in any capacity. MRRS records on persons who may 
apply may be maintained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Trading and Markets, or designee, Commodity 
Futures Trading Commission, Three Lafayette Centre, 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 should address written inquiry to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, Three Lafayette Centre, 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 1-800-621-3570 or 312-781-1410. 
Inquiries can also be made to NFA by FAX (312-781-1459) or via email at 
[email protected]. NFA will query the MRRS system about current 
registration status and registration and disciplinary history, and will 
provide instructions on how to make written requests for copies of 
records. The Internet may be used to obtain information on current 
registration status and futures-related regulatory actions at 
www.nfa.futures.org by selecting ``BASIC.''

RECORD SOURCE CATEGORIES:
    The individual or firm on whom the record is maintained; the 
individual's

[[Page 41855]]

employer; and other miscellaneous sources. The computer records are 
prepared from the forms, supplements, attachments and related documents 
submitted to the NFA.
CFTC-28

SYSTEM NAME:
    SRO Disciplinary Action File.

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 been suspended, expelled, disciplined, or denied 
access to or by an self-regulatory organization (SRO).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to a disciplinary or other adverse action 
taken by an SRO, including the name of the person against whom such 
action was taken, the action taken, and the reasons therefore. The 
information is maintained on a computerized system, the Background 
Affiliation Status Information Center (BASIC), and consists primarily 
of data furnished by SROs.

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:
    Computer files and printouts.

RETRIEVABILITY:
    By the name of the individual or firm, or by an NFA identification 
number.

SAFEGUARDS:
    General office security measures. Computer access limited to 
authorized personnel.

RETENTION AND DISPOSAL:
    Retained for ten years.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Director, Contract Markets Section, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 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:
    Reparations Complaints.

SYSTEM LOCATION:
    This system is located in the Office of Proceedings, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals filing customer reparations complaints, as well as the 
firms and individuals named in the complaints.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Reparations complaints, answers, supporting documentation and 
correspondence filed with the Office of Proceedings. If the complaint 
is forwarded for decision by an administrative law judge or 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 
reparations 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 files, 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 to offices and computers 
limited to authorized personnel.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the FOI, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    Persons filing reparations 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, Three Lafayette Centre, 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.

[[Page 41856]]

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:
    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; computer memory; computer printouts; 
microfiche; and audiocassette 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:
    Maintained in lockable file cabinets on secured premises or 
password-protected computer systems, with access limited to those 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 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); transferred to the 
National Archives as permanent records when 20 years old.

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

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether this system of records 
contains information about themselves, seeking access to records about 
themselves in this system of records, or contesting the content of 
records about themselves contained in this system of records should 
address written inquiry to the FOIA, Privacy and Sunshine Acts 
Compliance Staff, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5105.

RECORD SOURCE CATEGORIES:
    1. The staff in one or more Divisions generates the information 
recorded during Commission meetings concerning individuals who are the 
subject of discussion at the meetings.
    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, Three Lafayette Centre, 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; computer memory; computer printouts; 
microfiche; and audiocassette 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:
    Maintained in lockable file cabinets on secured premises or 
password-protected computer systems, with access limited to those 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 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); transferred to the National Archives as permanent 
records when 20 years old.

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

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The records in this system have been exempted by the Commission 
from certain provisions of the Privacy Act of 1974 pursuant to the 
terms of the Privacy Act, 5 U.S.C. 552a, and the Commission's rules 
promulgated thereunder, 17 CFR 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:
    Exempted Office of the Inspector General Investigative Files.

SYSTEM LOCATION:
    Office of the Inspector General, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, 
DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are part of an investigation of fraud and abuse

[[Page 41857]]

concerning Commission programs or operations.

CATEGORIES OF RECORDS IN THE SYSTEM:
    All correspondence relevant to the investigation; all internal 
staff memoranda, copies of all subpoenas issued during the 
investigation, affidavits, statement from witnesses, transcripts of 
testimony taken in the investigation and accompanying exhibits; 
documents and records or copies obtained during the investigation; 
opening reports, progress reports and closing reports; and an index of 
individuals investigated.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Public Law 95-452, as amended, 5 U.S.C. App. 3.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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 or regulatory in 
nature, the relevant records may be referred to the appropriate board 
of trade designated as a contract market by the Commission or to the 
appropriate futures association registered with the Commission, if the 
Office of the Inspector General has reason to believe this will assist 
the contract market or registered futures association in carrying out 
its self-regulatory responsibilities under the Commodity Exchange Act, 
7 U.S.C. 1 et seq., and regulations, rules or orders issued pursuant 
thereto, and such records may also be referred to any national 
securities exchange or national securities association registered with 
the Securities and Exchange Commission, to assist those organizations 
in carrying out their self-regulatory responsibilities under the 
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., and 
regulations, rules or orders issued pursuant thereto.
    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.
    8. 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 Office of the Inspector General may also disclose 
information 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 
files.

RETRIEVABILITY:
    Investigative files are retrieved by the subject matter of the 
investigation or by case file number. An index provides a cross-
reference on individuals investigated.

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. Computer files are available only to authorized personnel.

RETENTION AND DISPOSAL:
    The Office of the Inspector General Investigative Files and the 
index to the files are destroyed twenty years after the case is closed.

SYSTEM MANAGER(S) AND ADDRESS:
    Inspector General, Office of the Inspector General, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether 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, Three Lafayette Centre, 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),

[[Page 41858]]

(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) to the 
extent the system of records pertains to the enforcement of criminal 
laws. Under 5 U.S.C. 552(k)(2), the Office of the Inspector General 
Investigative Files are exempted from 5 U.S.C. 552a 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, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581, and Chicago Regional Office, 300 Riverside Plaza, Suite 1600 
North, Chicago, IL 60606.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Authorized key cardholders in headquarters and the Chicago Regional 
Office, including CFTC employees, on site contractors, visitors, or 
representatives of landlords.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Computer printouts showing name of assigned user, key card number, 
access level, and status. In headquarters, on request to the landlord, 
the landlord provides usage information on time and location of key 
card use by key card user. In Chicago, this information is maintained 
by the Office of Administrative Services and is accessed only in the 
event of a building security problem.

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. 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 
files.

RETRIEVABILITY:
    By name of the subject, by assigned key card number, by time period 
and by entry point.

SAFEGUARDS:
    In the headquarters office, information may be requested from the 
Commission's landlords' databases only by the Director of the Office of 
Administrative Services, or his/her designee, and the Commission 
maintains all key card usage records in limited access areas at all 
times. In Chicago, key card information is maintained in a locked area, 
with access restricted to staff members of the Office of Administrative 
Services.

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. Paper records are destroyed when no longer 
required or after two years, whichever is shorter. Computer diskettes 
are destroyed when no longer required or after three years, whichever 
is shorter.

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

Notification Procedures:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiry to the FOI, 
Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading 
Commission, Three Lafayette Centre, 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:
    The Commission's landlord in headquarters and the Chicago Regional 
Office provide information on name of assigned user, key card number, 
access level, and status is provided by the landlord to the Commission 
on a weekly basis. The landlords provide information on usage on 
request.
CFTC-34

SYSTEM NAME:
    Telephone System.

SYSTEM LOCATION:
    Monthly billing records for long-distance calls and calling card 
calls are located in the Office of Information Resources Management 
(OIRM), Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street, NW., Washington, DC 20581. OIRM in DC and the 
administrative staff in each regional office keep the most current 
record of the phone numbers assigned to individual employees and 
contractors. OIRM keeps records of calling card numbers assigned to all 
individual employees of the Commission.

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 long-
distance 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. 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 and CDs.

[[Page 41859]]

RETRIEVABILITY:
    Records are retrievable by a Commission telephone or calling card 
number.

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 3 years old.

SYSTEM MANAGER(S) AND ADDRESS:
    Telecommunications Specialist, 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, Three Lafayette Centre, 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 Email.

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

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 email system, 
including the mailbox name, number of objects in the mailbox, and 
aggregate size of the mailbox.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 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 USER AND THE PURPOSES OF SUCH USES:
    CFTC network administrators who have a need for the records in the 
performance of their duties use the records. See also the Commission's 
``General Statement of Routine Uses,'' Nos. 1, and 2. In addition, the 
records and data, other than the content of individual mailboxes, may 
also be disclosed to contractors as necessary for assessment, 
modification, or maintenance of the email system.

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

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

SAFEGUARDS:
    Network administrators have access to the email information. This 
access is generally limited to the ``header'' information described 
under ``Categories of Records.'' In addition, the mailbox owner can 
grant access to objects in the mailbox to others. The tapes are kept in 
locked storage boxes in Washington, DC, and only network administrators 
and OIRM management have keys to the locked boxes. In the Chicago, New 
York and Los Angeles offices, tapes are kept in a secured area. Only 
designated OIRM personnel have access to these secured areas.

RETENTION AND DISPOSAL:
    Records on magnetic tape are retained for four weeks, and then 
destroyed as the tape is written over with new information. Records are 
retained on the mail servers until the sender and receiver delete the 
information from the email system. Internet email information that is 
received by the postmaster due to an error in delivery is considered 
temporary and is destroyed after the problem is corrected. When an 
employee leaves the Commission, the employee's mailbox is deleted 
unless the employee or the employee's administrative officer requests 
that the mailbox be retained in order to recover work-related 
information.

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

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

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

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

RECORD SOURCE CATEGORIES:
    Internet email, interoffice email.
CFTC-36

SYSTEM NAME:
    Internet Security Gateway (Firewall) System.

SYSTEM LOCATION:
    Firewall software, located on a PC in the Office of Information 
Resources Management, Commodity Futures Trading Commission, Three 
Lafayette Centre, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581. Information on use of each personal computer is 
stored on that computer.

[[Page 41860]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All CFTC employees and on site contractors who are users of the 
Internet.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the websites 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 website 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. Records may also be disclosed as necessary to the agency's 
Internet service provider or agency contractor to the extent that 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 firewall for six months. 
Information on websites visited by each PC is also stored in the PC's 
history file or cache directory. The information is stored on the 
individual PC until the cache directory consumes 1% of total disk 
space. Oldest items are then removed until the directory is equal to or 
less than 1% of the total disk space. History file records are 
maintained until 100 URLs are entered. (URL stands for ``Uniform 
Resource Locator'' and is the address of the site visited, for example, 
http://www.cftc.gov.) The oldest URLs are deleted until the total URL 
count is equal to or less than 100 entries.

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

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

RETENTION AND DISPOSAL:
    Records are retained on the Commission's firewall software for 
approximately six months, and then destroyed.

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

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

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

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

RECORD SOURCE CATEGORIES:
    Internet, website and news group browsing, website access.
CFTC-37

SYSTEM NAME:
    Lexis/Westlaw Billing Information System

SYSTEM LOCATION:
    Office of Information Resources Management, Commodity Futures 
Trading Commission, 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. Copies of 
the usage information for staff in a particular division are 
distributed monthly to the division's administrative officer for 
review. See the Commission's ``General Statement of Routine Uses,'' 
Nos. 1 and 2. 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:
    The Administrative Officer, OIRM, maintains billing information 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 a locked file cabinet. Information 
is provided only to the OIRM Administrative Officer or other CFTC staff 
who have a need to know for budgeting or billing reconciliation 
purposes.

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

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

[[Page 41861]]

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

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

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

RECORD 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. Employees also have the ability to look 
up their own records to ascertain what materials are in their 
possession and the date they are due back to the Library. See the 
Commission's ``General Statement of Routine Uses,'' Nos. 1 and 2. The 
records may also be disclosed as necessary to agency contractors in 
connection with assessment, modification or maintenance of the 
automated circulation system.

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

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

SAFEGUARDS:
    Employees may access their own records. Only authorized CFTC staff 
members, who are principally staff of the Library or the Office of 
Information Resources Management, may access records of all employees. 
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, 
Three Lafayette Centre, 1155 21st Street N.W., 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, Three Lafayette Centre, 1155 21st Street NW., Washington, 
DC 20581.

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

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

RECORD SOURCE CATEGORIES:
    Library user bar code identifiers; library materials use; overdue 
notices.
CFTC-39

SYSTEM NAME:
    Freedom of Information Act Requests.

SYSTEM LOCATION:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581. Other offices involved in the processing of 
requests may also maintain copies of the requests and any related 
internal administrative records.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons requesting information from the Commission pursuant to 
provisions of the Freedom of Information Act, 5 U.S.C. 552, and persons 
who are the subjects of Freedom of Information Act requests.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Requests, internal memoranda, response letters, appeals of denials, 
appeal determinations and electronic tracking data.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 552, 5 U.S.C. 301.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records are used by Commission staff to process FOIA requests 
and appeals and to prepare an annual report to the Department of 
Justice on the Commission's FOIA activity. See also the Commission's 
``General Statement of Routine Uses,'' Nos. 1 and 2.

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, 
and microfiche.

RETRIEVABILITY:
    By assigned control number, by name of requester, or by subject of 
request.

SAFEGUARDS:
    Paper records and microfiche are maintained in lockable file 
cabinets on secured premises. Information stored on computers is 
protected by a password, with access limited to persons whose official 
duties require access.

RETENTION AND DISPOSAL:
    FOIA requests are retained in accordance with General Records 
Schedule 14 of the National Archives and Records Administration.

SYSTEM MANAGERS AND ADDRESS:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, Commodity Futures Trading

[[Page 41862]]

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, 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.

RECORD SOURCE CATEGORIES:
    Persons requesting information from the Commission pursuant to the 
Freedom of Information Act and employees processing the requests.
CFTC-40

SYSTEM NAME:
    Privacy Act Requests.

SYSTEM LOCATION:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581. Copies of the requests and any related internal 
administrative records may also be maintained by other offices involved 
in the processing of requests.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons filing requests for access to, correction of, or an 
accounting of disclosures of personal information contained in system 
of records maintained by the Commission, pursuant to the Privacy Act of 
1974. 5 U.S.C. 552a.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Requests, internal memoranda, response letters, appeals of denials, 
appeal determinations and electronic tracking data.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 552a, 5 U.S.C. 301.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records are used by Commission staff to process Privacy Act 
requests and appeals and to prepare the Commission's Biennial Privacy 
Act report to Congress. See also the Commission's ``General Statement 
of Routine Uses,'' Nos. 1 and 2.

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, 
and microfiche.

RETRIEVABILITY:
    By assigned control number or by name of requester.

SAFEGUARDS:
    Paper records and microfiche are maintained in lockable file 
cabinets on secured premises. Information stored on computers is 
protected by a password, with access limited to persons whose official 
duties require access.

RETENTION AND DISPOSAL:
    Privacy Act requests are retained in accordance with General 
Records Schedule 14 of the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, 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.

RECORD SOURCE CATEGORIES:
    Persons requesting information from the Commission pursuant to the 
Privacy Act and employees processing the requests.
CFTC-41

SYSTEM NAME:
    Requests for Confidential Treatment.

SYSTEM LOCATION:
    FOI, Privacy and Sunshine Acts Compliance Office, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581. A copy of the request may also be kept by the 
office receiving the document for which confidential treatment is being 
requested.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons requesting confidential treatment of, and persons who are 
the subjects of, documents filed with the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Requests for confidential treatment, the documents for which 
confidential treatment is requested and electronic tracking data.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 552, 5 U.S.C. 301.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records are used by Commission staff to determine whether to 
grant or deny confidential treatment of information submitted to the 
Commission for which a FOIA request has been received and to process 
appeals of determinations denying confidential treatment for submitted 
information. See also the Commission's ``General Statement of Routine 
Uses,'' Nos. 1 and 2.

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, 
and microfiche.

RETRIEVABILITY:
    By name of requester or by subject of request.

SAFEGUARDS:
    Paper records are maintained in lockable file cabinets on secured 
premises. Information stored on computers is protected by a password, 
with access limited to persons whose official duties require access.

RETENTION AND DISPOSAL:
    Records are retained for 20 years, then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Secretary to the Commission for FOIA Matters, Office of 
the Secretariat, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, seeking access to records about 
themselves in this system of records, or contesting the content of 
records about themselves

[[Page 41863]]

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.

RECORD SOURCE CATEGORIES:
    Persons submitting documents to the Commission.
CFTC-42

SYSTEM NAME:
    Debt Collection Files.

SYSTEM LOCATION:
    Division of Trading and Markets, Three Lafayette Centre, 1155 21st 
St. NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who owe a civil monetary penalty to the Commodity 
Futures Trading Commission or who have not complied with an order of 
restitution or disgorgement resulting from an administrative or 
injunctive enforcement action.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Debt collection letters and correspondence to and from the debtor 
and others related to the debt. The files will generally contain 
information including the name and address of the debtor, the 
taxpayer's identification number (which may be the social security 
number); records of each collection made; and notice(s) to the debtor 
demanding payment and describing the consequences of non-payment. The 
files may also contain credit reports; reports of asset searches; 
copies of income tax returns; financial statements reflecting the net 
worth of the debtor; if applicable, date by which the debt must be 
referred to the Department of the Treasury or Department of Justice for 
further collection action; documentation of judgments or liens; and 
citation or basis on which the debt was terminated or compromised.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    31 U.S.C. 3701, et seq.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
    In addition to the Commission's ``General Statement of Routine 
Uses,'' the records regarding the debt and the actions taken to collect 
the monies may be forwarded to the Department of the Treasury or the 
Department of Justice for further collection action. Once the records 
are forwarded to the Department of the Treasury, they are covered by 
the Treasury/Financial Management Services System 014, Debt Collection 
Operations. If the records are forwarded to the Department of Justice, 
they are covered by the Department's system JMD-006, Debt Collection 
Management System. Information about the delinquent debt may be 
disclosed to consumer or commercial reporting agencies as required by 
31 U.S.C. 3711(e) and 4 CFR part 102. Reporting may be done directly by 
the Commission or through the Department of the Treasury upon referral 
of the delinquent debt for further collection action.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records stored in files; computer database.

RETRIEVABILITY:
    Records are retrievable by CFTC docket number and by the name of 
the debtor.

SAFEGUARDS:
    In addition to general building security, paper records are 
maintained in areas accessible only to authorized personnel. Computer 
security measures limit access to electronic data.

RETENTION AND DISPOSAL:
    In accordance with General Records Schedule 6.

SYSTEM MANAGER(S) AND ADDRESS:
    Division of Trading and Markets, 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.

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

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

RECORD SOURCE CATEGORIES:
    Commission orders, judicial orders, debtors, credit reports from 
commercial credit bureaus, asset search databases, Department of the 
Treasury, Department of Justice.

    Issued in Washington, DC, on July 31, 2001 by the Commission.
Jean A. Webb,
Secretary of the Commission.
[FR Doc. 01-19765 Filed 8-8-01; 8:45 am]
BILLING CODE 6351-01-P