[Federal Register Volume 76, Number 22 (Wednesday, February 2, 2011)]
[Notices]
[Pages 5974-6002]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-2133]



[[Page 5973]]

Vol. 76

Wednesday,

No. 22

February 2, 2011

Part III





Commodity Futures Trading Commission





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Privacy Act of 1974; Publication of the Systems of Records Managed by 
the Commodity Futures Trading Commission; Notice

  Federal Register / Vol. 76 , No. 22 / Wednesday, February 2, 2011 / 
Notices  

[[Page 5974]]


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COMMODITY FUTURES TRADING COMMISSION


Privacy Act of 1974; Notice; Publication of the Systems of 
Records Managed by the Commodity Futures Trading Commission

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice; publication of existence and character of revised 
systems of records and proposed routine uses.

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SUMMARY: The Commodity Futures Trading Commission (Commission) is 
revising the notices it is required to publish under the Privacy Act of 
1974 to describe the systems of records that contain information about 
individuals. This revision incorporates address and title changes and 
updated system descriptions. It also incorporates new systems of 
records that were compiled since the last publication of the 
Commission's systems of records notices in 2001. This revision proposes 
to add routine uses that are applicable to all of the Commission's 
systems of records and to re-identify the systems of records already in 
existence in a more consistent format.

DATES: Comments should be postmarked by March 14, 2011. This notice 
will become effective without further notice, on the date which is 60 
days from the date given above unless otherwise revised pursuant to 
comments received.

ADDRESSES: Written comments may be mailed or delivered to: Office of 
the Secretariat, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Comments may also 
be sent by e-mail to http://comments.cftc.gov.

FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy 
Officer, Office of the Executive Director, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone: (202) 418-6629 or e-mail: [email protected].

SUPPLEMENTARY INFORMATION: This notice alerts the public to the 
information the Commission collects and maintains on individuals. In 
compiling and publishing the complete text for all of the Commission 
systems of records, new routine uses (blanket routine uses) have been 
added that apply to all of the notices. Since routine uses are 
permissive in nature, the blanket routine uses and the routine uses 
listed for each of the systems of records may be used to make a 
disclosure, but are not required to be used when a requester seeks a 
record. The responsibility to decide whether a routine use is 
applicable rests with the Commission. The Commission is also proposing 
to add a new system of records entitled, Emergency Locator System as 
CFTC-9. This system of records will contain information about 
Commission employees and those identified by the employee to contact in 
the event of a medical or other emergency concerning the employee.
    The system report, as required by 5 U.S.C. 552a(r) has been 
submitted to the Committee on Homeland Security and Governmental 
Affairs of the United States Senate, the Committee on Oversight and 
Government Reform of the House of Representatives, and the Office of 
Management and Budget.

The Privacy Act

    The Privacy Act is a Federal law that protects information about 
individuals that is collected and maintained in a ``system of records'' 
by an agency of the United States government. In addition to providing 
the public with information about these systems, the Privacy Act and 
the Commission's rules limit the agency's ability to use or disclose 
personal information except for specific purposes.

Systems of Records

    A ``system of records'' is a collection of information about 
individuals in paper, electronic, or other format, from which 
information is retrieved by the name of the individual or by some other 
identifying particular assigned to the individual, such as a social 
security number or address. The Privacy Act does not cover information 
about businesses or about individuals who are not U.S. citizens or 
lawfully admitted aliens. See 5 U.S.C. 522a(5).
    Each system of records notice contains the following information:
     The name of the system;
     The location of the system;
     The categories of individuals whose records are maintained 
in the system;
     The types of records maintained in the system;
     The authority for maintaining the system;
     The routine uses of records maintained in the system, 
including the categories of users and the purposes of such uses;
     The policies and practices for storing, retrieving, 
accessing, retaining, and disposing of records in the system;
     The title and business address of the system manager, the 
agency official who is responsible for the system of records;
     How to find out whether the system of records contains a 
record pertaining to the individual, how the individual may gain access 
to any record pertaining to the individual contained in the system of 
records, and how the individual can contest the content of the records; 
and
     The categories of sources of records in the system.

Exempt Systems of Records

    The Commission has exempted four systems of records from certain 
requirements of the Privacy Act, as authorized under 5 U.S.C. 552a(k), 
because they contain investigatory material:
     CFTC-1 Enforcement matter register and matter indices 
(exempted, to the extent it contains records that refer or relate to 
records covered under CFTC-10, Investigatory Records (exempted)).
     CFTC-10 Investigatory materials compiled for law 
enforcement purposes.
     CFTC-31 Information pertaining to individuals discussed at 
closed Commission meetings.
     CFTC-32 Investigatory materials compiled by the Office of 
the Inspector General.

Locations of Systems of Records

    Each system of records notice tells the public where records are 
kept. Records may be kept at one or more Commission offices. The 
Commission offices are in the following locations:
     Washington, DC: Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581, Telephone: (202) 418-5000.
     Chicago: 525 West Monroe Street, Suite 1100, Chicago, 
Illinois 60661, Telephone: (312) 596-0700.
     Kansas City: Two Emanuel Cleaver II Blvd., Suite 300, 
Kansas City, Missouri 64112, Telephone: (816) 960-7700.
     New York: 140 Broadway, 19th Floor, New York, New York 
10005, Telephone: (646) 746-9700.
    In the system of records notice, the Commission headquarters office 
in Washington, DC, is referred to as the ``principal office.'' The 
regional offices are referred to collectively as the ``regional 
offices.'' ``All Commission offices'' means the headquarters office and 
the regional offices.

General Statement of CFTC Routine Uses

    The following ``blanket routine uses'' of records, numbered ``1'' 
through ``19'' below, apply to every system of records maintained 
within the Commission. These blanket routine uses of the records are 
published below only once in the interest of simplicity, economy,

[[Page 5975]]

and to avoid redundancy. Additional routine uses that apply to a 
particular Commission system notice are listed in the applicable system 
notice. The release of records under all routine uses is permissive 
rather than mandatory. Each of the blanket routine uses is for a 
purpose which is compatible with the purpose for which the information 
was originally collected.
    The following routine uses apply to all CFTC systems of records:
    1. Information may be used by the Commission in any administrative 
proceeding before the Commission, in any injunctive action authorized 
under the Commodity Exchange Act or in any other action or proceeding 
in which the Commission or its staff participates as a party or the 
Commission participates as amicus curiae.
    2. Information may be disclosed to the Department of Justice, the 
Securities and Exchange Commission, the United States Postal Service, 
the Internal Revenue Service, the Department of Agriculture, the Office 
of Personnel Management, and to other Federal, State, local, 
territorial or Tribal law enforcement or regulatory agencies for use in 
meeting their statutory and regulatory requirements.
    3. Information may be given to any ``registered entity,'' as 
defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, et 
seq. (``the Act''), if the Commission has reason to believe that such 
information will assist the registered entity in carrying out its 
responsibilities under the Act. Information may also be given to any 
registered futures association registered under section 17 of the Act 
(e.g., the National Futures Association) to assist it in carrying out 
its self-regulatory responsibilities under the Act, and to any national 
securities exchange or national securities association registered with 
the Securities and Exchange Commission to assist those organizations in 
carrying out their self-regulatory responsibilities under the 
Securities Exchange Act of 1934, 15 U.S.C. 78a, et seq.
    4. At the discretion of the Commission staff, information may be 
given or shown to anyone during the course of a Commission 
investigation if the staff has reason to believe that the person to 
whom it is disclosed may have further information about the matters 
discussed therein, and those matters appear relevant to the subject of 
the investigation.
    5. Information may be included in a public report issued by the 
Commission following an investigation, to the extent that this is 
authorized under section 8 of the Commodity Exchange Act, 7 U.S.C. 12. 
Section 8 authorizes publication of such reports but contains 
restrictions on the publication of certain types of sensitive business 
information developed during an investigation. In certain contexts, 
some of this information might be considered personal in nature.
    6. Information may be disclosed to a Federal agency in response to 
its request in connection with the hiring or retention of an employee, 
the issuance of a security clearance, the reporting of an investigation 
of an employee, the letting of a contract or the issuance of a license, 
or a grant or other benefit by the requesting agency, to the extent 
that the information may be relevant to the requesting agency's 
decision on the matter.
    7. Information may be disclosed to a prospective employer in 
response to its request in connection with the hiring or retention of 
an employee, to the extent that the information is believed to be 
relevant to the prospective employer's decision in the matter.
    8. Information may be disclosed to any person, pursuant to Section 
12(a) of the Commodity Exchange Act, 7 U.S.C. 16(a), when disclosure 
will further the policies of that Act or of other provisions of law. 
Section 12(a) authorizes the Commission to cooperate with various other 
government authorities or with ``any person.''
    9. Where information, either alone or in conjunction with other 
information indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant information may 
be disclosed to the appropriate Federal, State, local, territorial, 
Tribal, or foreign law enforcement authority or other appropriate 
entity charged with the responsibility for investigating or prosecuting 
such violation or charged with enforcing or implementing such law.
    10. Information may be disclosed to the General Services 
Administration for the purpose of records management inspections 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    11. Information may be disclosed to the National Archives and 
Records Administration for the purpose of records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    12. Information may be disclosed to foreign law enforcement, 
investigatory, or administrative authorities in order to comply with 
requirements set forth in international arrangements, such as memoranda 
of understanding.
    13. Information may be disclosed to contractors, grantees, 
volunteers, experts, students, and others performing or working on a 
contract, service, grant, cooperative agreement, or job for the Federal 
government when necessary to accomplish an agency function.
    14. Information may be disclosed to the Merit Systems Protection 
Board, including the Office of Special Counsel for the purpose of 
litigation, including administrative proceedings, appeals, special 
studies of the civil service and other merit systems.
    15. Information may be disclosed to the Department of Justice or in 
a proceeding before a court, adjudicative body, or other administrative 
body which the agency is authorized to appear, when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her official capacity where 
the Department of Justice or the agency has agreed to represent the 
employee; or
    d. The United States, when the agency determines that litigation is 
likely to affect the agency or any of its components;

Is a party to litigation or has an interest in such litigation, and the 
use of such records by the Department of Justice or the agency is 
deemed by the agency to be relevant and necessary to the litigation 
provided, however, that in each case it has been determined that the 
disclosure is compatible with the purpose for which the records were 
collected.
    16. Information may be disclosed to a Member of Congress or staff 
acting upon the Member's behalf when the Member or staff requests the 
information on behalf of, or at the request of, the individual who is 
the subject of the record.
    17. Information related to any traders or the amount or quantity of 
any commodity purchased or sold by such traders may be disclosed to any 
committee of either House of Congress upon its request, acting within 
the scope of its jurisdiction, pursuant to the Commodity Exchange Act, 
7 U.S.C. 1 et seq., including Section 8(e) of such Act at 7 U.S.C. 12, 
and the rules and regulations promulgated thereunder.
    18. Information may be disclosed to another Federal agency, to a 
court, or a party in litigation before a court or in an administrative 
proceeding being conducted by a Federal agency, when the Government is 
a party to the judicial or administrative proceeding.
    19. Information may be disclosed to appropriate agencies, entities, 
and individuals when:

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    a. The Commission suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    b. The Commission has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and
    c. The disclosure made to such agencies, entities, and individuals 
is reasonably necessary to assist in connection with the Commission's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

CFTC Systems of Records Notices

    Below is a list of the Commission's systems of records, followed by 
the complete text of all of the systems of records notices.

Index

CFTC-1 Enforcement Matter Register and Matter Indices (exempted)
CFTC-2 Commission Correspondence Files
CFTC-3 Proceedings Docket Files Forwarded for Adjudication
CFTC-4 Employee Leave, Time, and Attendance
CFTC-5 Employee Personnel/Payroll Records
CFTC-6 Employee Travel and Transportation Records
CFTC-7 Formal Employment Discrimination Complaint and Reasonable 
Accommodation Files
CFTC-8 Employment Applications
CFTC-9 Emergency Locator System
CFTC-10 Investigatory Records (exempted)
CFTC-12 Fitness Investigations
CFTC-13 Interpretative, Exemptive, and No-Action Files
CFTC-14 Commodity Futures Trading Commission Alumni Records
CFTC-15 Large Trader Report Files
CFTC-16 Enforcement Case Files
CFTC-17 Litigation Files--OGC
CFTC-18 Logbook on Speculative Limit Violations
CFTC-20 Registration
CFTC-28 Self-Regulatory Organization Disciplinary Action Files
CFTC-29 Reparations Complaints
CFTC-30 Open Commission Meetings
CFTC-31 Closed Commission Meetings (exempted)
CFTC-32 Office of the Inspector General Investigative Files 
(exempted)
CFTC-33 Electronic Access Card
CFTC-34 Telephone System (BlackBerry or Calling Card)
CFTC-35 Interoffice and Internet E-mail
CFTC-36 Internet Security Gateway Systems (Firewall, Web Content 
Filter, and E-mail Filter)
CFTC-37 Lexis/Westlaw Billing Information System
CFTC-38 Automated Library Circulation System
CFTC-39 Freedom of Information Act Requests
CFTC-40 Privacy Act Requests
CFTC-41 Requests for Confidential Treatment
CFTC-42 Debt Collection Files
CFTC-43 Visitor Information System
CFTC-44 Personnel Security Files
CFTC-1

SYSTEM NAME:
    Enforcement Matter Register and Matter Indices (exempted, to the 
extent it contains records that refer or relate to records covered 
under CFTC-10, Investigatory Records (exempted)).

SYSTEM LOCATION:
    This system is located in the Division of Enforcement in the 
Commission's principal office at Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington DC, 20581, 
and regional offices in Chicago at 525 West Monroe Street, Suite 1100 
Chicago, IL 60661, in Kansas City at Two Emanuel Cleaver II Blvd., 
Suite 300, Kansas City, MO 64112, and New York at 140 Broadway, 19th 
Floor, New York, NY 10005.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    a. Individuals found or alleged to have, or suspected of having, 
violated the Commodity Exchange Act or the rules, regulations or orders 
of the Commission adopted thereunder.
    b. Individuals whom the Commission staff has reason to believe have 
violated, are violating or are about to violate a law or regulation or 
order of another Federal, State or foreign authority.
    c. Individuals lodging complaints with the Commission concerning 
third parties.
    d. Individuals whom the Commission staff has identified as relevant 
to an enforcement matter, such as complainants, witnesses and counsel.
    e. Individuals whom a foreign law enforcement authority has found 
or alleges to have, or suspects of having, violated foreign laws, 
rules, regulations or orders of such foreign law enforcement authority.

CATEGORIES OF RECORDS IN THE SYSTEM:
    An index system to CFTC-10 Investigatory Records (exempted) and 
CFTC-16 Enforcement Case Files, including:
    a. The matter register records are organized by docket number and/
or matter name. The register also indicates the date opened, the 
disposition and status, the date closed, and the staff member assigned.
    b. The matter register also includes reports recommending openings 
and closings of investigations.

AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section 8 
of such Act at 7 U.S.C. 12, and the rules and regulations promulgated 
thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders, computer files 
(eLaw) and computer disks. Electronic records, including computer 
files, are stored on the Commission's network and other electronic 
media as needed, such as encrypted hard drives.

RETRIEVABILITY:
    By matter name or docket number.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    Records related to CFTC-10, Investigatory Records (exempted), and 
CFTC-16, Enforcement Case Files, are maintained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Enforcement, in the Commission's principal 
office at Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street, NW., Washington, DC 20581 and Regional Counsels in 
the

[[Page 5977]]

regional offices: in Chicago at 525 West Monroe Street, Suite 1100 
Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd., 
Suite 300, Kansas City, MO 64112; and in New York at 140 Broadway, 19th 
Floor, New York, NY 10005.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains non-exempt information about themselves or seeking access to 
non-exempt records about themselves in this system of records, or 
contesting the content of non-exempt records about themselves contained 
in this system of records should address written inquiry to the Office 
of General Counsel, Paralegal Specialist, Three Lafayette Centre, 1155 
21st Street, NW., Washington, DC 20581. Telephone (202) 418-5011.

RECORD SOURCE CATEGORIES:
    Individuals submitting complaints to the Commission, and 
miscellaneous sources including customers, law enforcement and 
regulatory agencies, commodity exchanges, National Futures Association, 
trade sources, and Commission-staff-generated items.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The records in this system that refer or relate to records 
contained in CFTC-10, Investigatory Records (exempted), have been 
exempted by the Commission from certain provisions of the Privacy Act 
of 1974 pursuant to the terms of the Privacy Act, 5 U.S.C. 552a(k)(2), 
and the Commission's rules promulgated thereunder, 17 CFR 146.12. These 
records are exempt from the notification procedures, records access 
procedures, and record contest procedures set forth in the system 
notices of other systems of records, and from the requirement that the 
sources of records in the system be described.
CFTC-2

SYSTEM NAME:
    Commission Correspondence Files.

SYSTEM LOCATION:
    This system is located in the Commission's principal office at 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals corresponding with the Commission, directly or through 
their representatives. Individuals discussed in correspondence to or 
from the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Incoming and outgoing correspondence and indices of correspondence, 
and certain internal reports and memoranda related to the 
correspondence. This system also includes e-mail, Internet and Web-
based correspondence submitted by the public. This system includes only 
those records that are part of a general correspondence file maintained 
by the office involved. It includes correspondence indexed by assigned 
number and, in certain offices, by individual name of the 
correspondent.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders or on index 
cards. Electronic records, including computer files, are stored on the 
Commission's network and other electronic media as needed, including 
desktop applications and the Correspondence System.

RETRIEVABILITY:
    By name of correspondent, subject matter, date or assigned number. 
The name may be either the name of the person who sent or received the 
letter, or the person on whose behalf the letter was sent or received. 
It may also be another person who was the principal subject of the 
letter, where circumstances appear to justify this treatment. See 
previous discussion concerning the category of records maintained in 
this system.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

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

SYSTEM MANAGER(S) AND ADDRESS:
    Office of the Secretariat; Director, Office of International 
Affairs, Office of External Affairs; Executive Director; General 
Counsel; Director, Division of Enforcement; Director, Division of 
Market Oversight; Director, Division of Clearing and Intermediary 
Oversight, and Office of the Chief Economist. All are located at the 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals corresponding with the Commission and correspondence 
and memoranda prepared by the Commission.
CFTC-3

SYSTEM NAME:
    Docket Files for Reparations and Administrative Adjudication.

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

[[Page 5978]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All individuals involved in any CFTC administrative enforcement or 
reparations proceeding.

CATEGORIES OF RECORDS IN THE SYSTEM:
    All pleadings, motions, applications, stipulations, affidavits, 
transcripts and documents introduced as evidence, briefs, orders, 
findings, opinions, and other matters that are part of the record of an 
administrative or reparations proceeding. They also include related 
correspondence and indices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commission is authorized or required to conduct proceedings 
under several provisions of the Commodity Exchange Act, 7 U.S.C. 1 et 
seq. These files are necessary for the conduct of orderly proceedings. 
See also 44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    These records are public records unless the Commission or assigned 
presiding officer determines for good cause to treat them as nonpublic 
records consistent with the provisions of the Freedom of Information 
Act. Nonpublic portions may be used for any purpose specifically 
authorized by the Commission or by the presiding officer who ordered 
such nonpublic treatment of the records.
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, on index cards, paper 
docket cards, and microfilm. Electronic records, including computer 
files, are stored on the Commission's network and other electronic 
media as needed.

RETRIEVABILITY:
    By the docket number and cross-indexed by complainant and 
respondent names.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets. Records that the Commission or 
presiding officer has directed be held nonpublic, such as material 
submitted in a proceeding ``in camera'' or ``under seal,'' are 
maintained in file folders, binders or in the Commission's computer 
network (e.g., eLaw), separate from public records.

RETENTION AND DISPOSAL:
    Docket files for reparations cases are maintained for 10 years 
after final disposition of the case. Docket files in administrative/
enforcement cases are maintained for 15 years after final disposition 
of the case. Docket files for reparations sanctions files are 
maintained until the sanction is satisfied. Docket files of unique or 
precedent setting cases are permanent records that are transferred to 
the National Archives when 20 years old.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Commission staff members; opposing parties and their attorneys; 
proceeding witnesses; and miscellaneous sources.
CFTC-4

SYSTEM NAME:
    Employee Leave, Time, and Attendance.

SYSTEM LOCATION:
    The information in the system is located in the same Commission 
office as the employee described by the records. Information is also 
kept centrally on the computer system located in the Department of 
Agriculture's National Finance Center, New Orleans, Louisiana.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All Commission employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Various records reflecting Commission employees' time and 
attendance and leave status, as well as the allocation of employee time 
to designated budget account codes.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.

ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
    a. The information may be provided to the Department of Justice or 
other Federal agencies in connection with any investigation, or 
administrative or legal proceeding involving any violation or potential 
violation of any Federal law, rule, or regulation.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, including paper copies of 
time and attendance worksheets, leave request slips and signed computer 
printouts. Electronic records are stored on the Commission's network 
and in other electronic media as needed, and certain computer files 
(STARweb) are located at the National Finance Center (NFC).

RETRIEVABILITY:
    By the name of the employee or by the employee number, cross-
indexed by name.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access

[[Page 5979]]

to authorized individuals and maintenance of records in lockable 
offices and filing cabinets. Only specifically authorized individuals 
may access the NFC computer system, and UserID and password are 
required.

RETENTION AND DISPOSAL:
    Hard copy records, including leave slips, signed computer printouts 
from the STARweb system, overtime approval slips and budget account 
code worksheets are retained for six years, and then destroyed.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The individual about whom the record is maintained.
CFTC-5

SYSTEM NAME:
    Employee Personnel/Payroll Records.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All Commission employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Payroll related information for current Commission employees, 
including payroll and leave data for each employee relating to rate and 
amount of pay, leave and hours worked, and leave balances, tax and 
retirement deductions, life insurance and health insurance deductions, 
savings allotments, savings bonds and charity deductions, student loan 
repayment program information, other benefits information, mailing 
addresses and home addresses, direct deposit information, and copies of 
the Commission time and attendance reports as well as authorities 
relating to deductions, including salary offset under part 141 of the 
Commission's rules. The records maintained in the principal office for 
all employees may also include: (a.) Various summary materials received 
in computer printout form; (b.) Awards information; (c.) Recruitment, 
relocation or retention bonuses; and (d.) Training information.
    The official personnel records maintained by the Commission are 
described in the system notices published by the Office of Personnel 
Management (OPM/GOVT-1 and OPM/GOVT-2), and are not included within 
this system. OPM/GOVT-1 is the General Personnel Records System for 
OPM. This system includes employee personal identifying information, 
such as name, date of birth, home address, mailing address, social 
security number, and home telephone. OPM/GOVT-2 is the OPM Employee 
Performance File System Records System, which covers employee 
performance ratings of record and conduct-related documents maintained 
by first line supervisors and managers. See https://www.opm.gov/fedregis/2006/71-061906-35363-a.htm.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    44 U.S.C. 3101, Ethics in Government Act of 1978 (5 U.S.C. 
7301APP); Executive Order Nos. 12674 (as modified by 12731), 12565, and 
11222: 5 CFR parts 2634, 2635. (Personnel Financial Disclosure 
Requirements).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. The information may be provided to the Department of Justice, 
the Office of Personnel Management or other Federal agencies, or used 
by the Commission in connection with any investigation or 
administrative or legal proceeding involving any violation of Federal 
law or regulation thereunder.
    b. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement, Administration for Children and 
Families, Department of Health and Human Services Federal Parent 
Locator System (FPLS) and Federal Tax Offset System to enable State 
jurisdictions to locate individuals and identify their income sources 
to establish paternity, establish and modify orders of support, and for 
enforcement action.
    c. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement for release to the Social Security 
Administration for verifying social security numbers in connection with 
the operation of the FPLS by the Office of Child Support Enforcement.
    d. Certain information will be provided, as required by law, to the 
Office of Child Support Enforcement for release to the Department of 
Treasury for purposes of administering the Earned Income Tax Credit 
Program (Section 32, Internal Revenue Code of 1986) and verifying a 
claim with respect to employment in a tax return.
    e. The information may be provided to insurance companies 
providing, or proposing to bid on a solicitation to provide, health 
benefits to Commission employees. This data may include, but is not 
limited to: name, social security number, date of birth, age, gender, 
marital status, service computation date, date of initial appointment 
with the Commission, geographic location, standard metropolitan service 
area, home phone number, home address, of the Commission employee. For 
each enrolled dependent of the Commission employee, this information 
may include, but is not limited to: dependent's name, relationship of 
the dependent to the Commission employee, date of birth, age, gender, 
social security number, home address, marital status, student status, 
and handicap status where applicable. This information may be used to 
verify eligibility, pay claims, or provide accurate bids.
    f. For employees who request repayment of student loans through the 
CFTC Student Loan Repayment Program, certain information will be 
provided to the organizations that hold the requesting employees' loan 
notes for the purpose of verifying outstanding loan amounts and 
administering such program.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, and electronic records, 
including computer files, are stored on the Commission's network, the 
National Finance Center Personnel/Payroll System/CFTC-Network, and 
other electronic media as needed.

[[Page 5980]]

RETRIEVABILITY:
    By the name or social security number of the employee.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    These records are maintained according to retention schedules 
prescribed by the General Records Schedule for each type of personnel/
payroll record.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained; personnel office 
records; and miscellaneous sources.
CFTC-6

SYSTEM NAME:
    Employee Travel and Transportation Records.

SYSTEM LOCATION:
    Employee travel records are part of the GovTrip System operated by 
the Northrop Grumman Mission Systems located at 12900 Federal Park 
System Drive, Fairfax, VA 22033. Access to these records is through 
Office of Financial Management, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. 
The transit subsidy system is located in the Office of Management 
Operations, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Any Commission member, employee, witness, expert, advisory 
committee member or non-Commission employee traveling on official 
business for the Commission and any Commission employee who applies for 
and receives a transit subsidy.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Travel records contain the name, social security number, address, 
destination, itinerary, mode and purpose of travel, dates, expenses, 
miscellaneous claims, amounts advanced, amounts claimed, and amounts 
reimbursed. Includes travel authorizations, travel vouchers, requests, 
receipts, invoices from credit card vendors' receipts, and other 
records. Transit subsidy records contain the employee's name, home 
address, office, office phone, the last four digits of the social 
security number, the mode of transportation, the monthly amount of 
transportation expenses, and the monthly amount received.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network, 
including GovTrip, and in other electronic media as needed.

RETRIEVABILITY:
    By the name of the Commission member, employee witness, expert, 
advisory committee member or Commission employee traveling on official 
business for the Commission or the name of the employee applying for or 
receiving a transit subsidy and by the last four digits of the social 
security number.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    Travel records are retained for six years and three months after 
the period covered by the account. Records of travel that is non-
Federally funded are retained for six years, three months. Transit 
subsidy applications maintained by Commission are retained for three 
years after the employee is no longer in the program or the application 
is superseded.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy Director for Accounting and Financial Systems and Network 
Manager (travel and transportation records) and Director, Office of 
Management Operations (transit subsidy records), both at Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

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

SYSTEM NAME:
    Formal Employment Discrimination Complaint and Reasonable 
Accommodation Files.

[[Page 5981]]

SYSTEM LOCATION:
    The system is located in the Office of Equal Employment Opportunity 
Office (EEO), Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st St., NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals or groups (employees or applicants), who believe they 
have been discriminated against, and/or subjected to harassment (sexual 
or non-sexual) on the basis of their race color, religion, sex 
(gender), national origin, age, disability (mental or physical), 
retaliation or sexual orientation. Employees seeking work-related 
accommodations for disabilities (mental/physical), and disabled 
applicants seeking accommodations to participate in the employment 
process.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    29 CFR 1614.102(a); 5 U.S.C. Sec. 2302(b); 29 CFR 1614.203.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Information may be disclosed where the Commission or a present 
member of the Commission is a party to a lawsuit or the records are 
needed for investigatory purposes.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network and in 
other electronic media as needed.

RETRIEVABILITY:
    Records are retrievable by the name of the complainant and/or the 
complainant case number for discrimination complaints, and by the 
applicant/employee name for reasonable accommodation requests.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access and specifically to access of these records to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Records are destroyed four years after resolution of the 
discrimination complaint. Reasonable accommodation records are 
maintained throughout employment; retired at employee's retirement; 
destroyed four years after retirement.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

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

SYSTEM NAME:
    Employment Applications.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants for positions with the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contains the application and/or the resume of the applicant.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE/RETRIEVABILITY:
    Paper records are stored in file folders and electronic files 
submitted by applicants via e-mail to [email protected]. The 
applicant tracking system is located on the CFTC Network. Summary 
information of applications is also available to staff of the Office of 
Human Resources through an automated applicant tracking system that can 
retrieve by announcement number or applicant name.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Also, access to applicant tracking 
system granted only to appropriate personnel. Physical measures include 
restrictions on building access to authorized individuals and 
maintenance of records in lockable offices and filing cabinets.

[[Page 5982]]

RETENTION AND DISPOSAL:
    Most applicant records are retained for two years, then destroyed. 
If a review is pending by the Office of Personnel Management (OPM) or 
other authority, the records are retained until that review is 
completed.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The individual on whom the record is maintained.
CFTC-9

SYSTEM NAME:
    Emergency Locator System.

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

CATEGORIES ON INDIVIDUALS COVERED BY THE SYSTEM:
    Employees and contractors of the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains information regarding the organizational and 
telephone number of individual Commission employees and contractors. 
The system also contains the home address, telephone numbers, and 
personal e-mail address of the individual, and the names, home 
addresses, personal e-mail address, and telephone numbers of the 
individual(s) to contact in the event of a medical or other emergency 
concerning the CFTC employee or contractor.

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

PURPOSES:
    The purpose of this system is to maintain emergency contact names 
and contact information for individuals for use in the event that a 
medical or other emergency involving the individual occurs while the 
individual is employed or providing services to the Commission through 
contract.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, RETAINING, AND 
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network and in 
other electronic media as needed.

RETRIEVABILITY:
    Records are retrieved by the name of the individual on whom they 
are maintained.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets. Also, these records are 
maintained in a secured area, available only to authorized personnel 
whose duties require access.

RETENTION AND DISPOSAL:
    Records are maintained as long as the individual is an employee of, 
or providing services to, the Commission.

SYSTEM MANAGER AND ADDRESS:
    Director, Office of Human Resources, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5013.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Information is provided by the individual who is the subject of the 
record.
CFTC-10

SYSTEM NAME:
    Investigatory Records (exempted).

SYSTEM LOCATION:
    This system is located in the Office of General Counsel and the 
Division of Enforcement in the Commission's principal office at 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581, and in the Division of Enforcement 
in the regional offices in Chicago at 525 West Monroe Street, Suite 
1100 Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd., 
Suite 300, Kansas City, MO 64112; and New York at 140 Broadway, 19th 
Floor, New York, NY 10005.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    a. Individuals whom the Commission staff has reason to believe have 
violated, are violating, or are about to violate the Commodity Exchange 
Act and the rules, regulations and orders promulgated thereunder.
    b. Individuals whom the Commission staff has reason to believe have 
violated, are violating or are about to violate a law or regulation or 
order of another Federal, State or foreign authority.
    c. Individuals whom the Commission staff has reason to believe may 
have information concerning violations of the Commodity Exchange Act 
and the rules, regulations and orders promulgated thereunder.
    d. Individuals involved in investigations authorized by the 
Commission concerning the activities of members of the Commission or 
its employees based upon formal complaint or otherwise.
    e. Individuals whom the Commission staff has identified as relevant 
to an enforcement investigation, such as complainants, witnesses and 
counsel.
    f. Individuals whom a foreign law enforcement authority has found 
or alleges to have, or suspects of having, violated foreign laws, 
rules, regulations or orders of such foreign law enforcement authority.

[[Page 5983]]

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Commodity Exchange Act, 7 U.S.C. 1 et seq., including 7 U.S.C. 13a-
1, authorizing injunctive actions, various provisions in that Act 
authorizing administrative actions, and the rules and regulations 
promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders, computer files 
(eLaw) and computer disks. Electronic records, including computer 
files, are stored on the Commission's network and on various other 
electronic media as needed, such as encrypted hard drives.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of certain 
records in secured filing rooms and/or locked filing cabinets. Also, 
all employees are made aware of the sensitive nature of investigatory 
information.

RETENTION AND DISPOSAL:
    If an investigatory matter is closed without institution of a case, 
the files are maintained in off site storage for five years, and then 
destroyed. When the Commission moves forward from an investigation to 
litigation:
    (a) Investigatory records that are disclosed by the Commission in 
the administrative, court or other proceedings become part of non-
exempt CFTC-16, Enforcement Case Files and/or CFTC-17, Litigation 
Files--OGC, and are retained and disposed of pursuant to CFTC-16 and/or 
CFTC-17; and
    (b) Investigatory records not disclosed in such proceedings are 
retained in exempt CFTC-10, Investigatory Records, and disposed of on 
the same schedule as the related non-exempt records under CFTC-16 or 
CFTC-17.
    All Investigatory Records remain exempt from disclosure under the 
Privacy Act.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Enforcement and/or General Counsel, Office of 
the General Counsel in the Commission's principal office at Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581 and Regional Counsels in the regional 
offices: in Chicago at 525 West Monroe Street, Suite 1100, Chicago, IL 
60661; in Kansas City at Two Emanuel Cleaver II Blvd., Suite 300, 
Kansas City, MO 64112; and in New York at 140 Broadway, 19th Floor, New 
York, NY 10005.

RECORD SOURCE CATEGORIES:
    Reporting forms and other information filed with the Commission; 
self-regulatory organizations; individuals or firms covered by the 
Commission's registration requirements; Federal, State and local 
regulatory and law enforcement agencies; banks, credit organizations 
and other institutions; corporations; individuals having knowledge of 
the facts; attorneys; publications; courts; and miscellaneous sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The records in this system have been exempted by the Commission 
from certain provisions of the Privacy Act of 1974 pursuant to the 
terms of the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's 
rules promulgated thereunder, 17 CFR 146.12. These records are exempt 
from the notification procedures, records access procedures, and record 
contest procedures set forth in the system notices of other systems of 
records, and from the requirement that the sources of records in the 
system be described.
CFTC-12

SYSTEM NAME:
    Fitness Investigations.

SYSTEM LOCATION:
    Records for floor brokers and floor traders with respect to matters 
commenced prior to August 1, 1994 are located in the Division of 
Clearing and Intermediary Oversight, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Records for futures commission merchants, introducing 
brokers, commodity pool operators, commodity trading advisors, their 
respective associated persons and principals, with active registration 
status in any capacity on or after October 1, 1983; leverage 
transaction merchants and their associated persons and principals with 
active registration status as such on or after August 1, 1994; floor 
brokers and floor traders with active registration status as such on or 
after August 1, 1994; and agricultural trade option merchants (ATOMs) 
and their associated persons are located at the National Futures 
Association (NFA), 300 South Riverside, Suite 1800, Chicago, Illinois 
60606.

[[Page 5984]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have applied or who may apply for registration as 
futures commission merchants, introducing brokers, commodity pool 
operators, commodity trading advisors, leverage transaction merchants 
and ATOMs; individuals listed or who may be listed as principals (as 
defined in 17 CFR Part 3.1); individuals who have applied or who may 
apply for registration as associated persons of the foregoing firms; 
and floor brokers and floor traders.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to the fitness of the above-described 
individuals or firms to engage in business subject to the Commission's 
jurisdiction. The system contains information in computerized images or 
alpha-numeric format and hardcopy format including registration forms, 
schedules and supplements, fingerprint cards which are required for 
individual registrants except ATOMs, correspondence relating to 
registration, and reports and memoranda reflecting information 
developed from various sources. In addition, the system contains 
records of each fitness investigation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act as amended, 7 U.S.C. 1 et seq., 
including Sections 4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1)-(5), 
8a(10), 8a(11), 17(o) and 19, at 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1), 
12a(1)-(5), 12a(10), 12a(11), 21(o) and 23, and the rules and 
regulations promulgated under the Commodity Exchange Act.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    a. Information contained in this system of records may be disclosed 
to any person with whom an applicant or registrant is or plans to be 
associated as an associated person or affiliated as a principal.
    b. Information contained in this system of records may be disclosed 
to any registered futures commission merchant with whom an applicant or 
registered introducing broker has or plans to enter into a guarantee 
agreement in accordance with Commission regulation at 17 CFR Part 1.10.

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

    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and binders. Electronic 
records, including computer files, are stored on the Commission's 
network, in the NFA Online Registration System (ORS), microfiche and 
various other electronic media as needed, such as encrypted hard 
drives.

RETRIEVABILITY:
    By the name of the individual or firm, or by the assigned 
identification number. Where applicable, the NFA's computer cross-
indexes the individual's file to the name of the futures commission 
merchant, introducing broker, commodity trading advisor, commodity pool 
operator, leverage transaction merchant or ATOMs with which the 
individual is associated or affiliated.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals, including limiting access 
to individuals whose official duties require access, and maintenance of 
records in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    Since 1991, when a fitness investigation is opened by NFA, 
applications, biographical supplements, other forms, related documents, 
correspondence and reports are immediately scanned, indexed and stored 
using computer imaging software so the information may be retrieved and 
printed. Imaged records are maintained indefinitely. Any hard copy 
originals are maintained by NFA for two years after imaged. Records 
retained by CFTC are held for ten years.

SYSTEM MANAGER(S) AND ADDRESS:
    For records held by the Commission: Director, Division of Clearing 
and Intermediary Oversight, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. For 
records held by NFA: Vice President for Registration, National Futures 
Association, 300 South Riverside, Suite 1800, Chicago, Illinois 60606.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.
    Individuals may also request registration information by telephone 
directly from the NFA information center at (800) 621-3570 or (312) 
781-1410. Inquiries can also be made to NFA by fax at (312) 781-1459 or 
via the Internet at [email protected]. NFA will query the ORS 
database system about current registration status and registration 
history, and will provide instructions on how to make written requests 
for copies of records. The Internet may be used to obtain information 
on current registration status and futures-related regulatory actions 
at http://www.nfa.futures.org by selecting ``BASIC.''

RECORDS SOURCE CATEGORIES:
    The individual or firm on whom the record is maintained; the 
individual's employer; Federal, State and local regulatory and law 
enforcement agencies; commodities and securities exchanges; NFA; 
National Association of Securities Dealers; foreign futures and 
securities authorities and INTERPOL; and other miscellaneous sources.
CFTC-13

SYSTEM NAME:
    Interpretive, Exemptive, and No-Action Files.

SYSTEM LOCATION:
    Most files are prepared by the Division of Clearing and 
Intermediary

[[Page 5985]]

Oversight and are kept in that office. Public copies of the 
interpretative, exemptive and no-action letters, which may be redacted, 
are also kept in the Office of the Secretariat and the Office of Public 
Affairs, and are also available on the CFTC Web site (http://www.cftc.gov). All offices are located at the Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Requests for interpretative, exemptive and no-action letters, 
supplemental correspondence, any related internal memoranda, other 
supporting documents and the responses to the requests.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., and the rules and 
regulations promulgated thereunder, including 17 CFR Parts 140.98 and 
140.99.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Pursuant to the Commission's rules, 17 CFR Part 140.98, 
substantive interpretative, exemptive and no-action letters are made 
public and published by the Commission. Portions of such letters or 
information will be deleted or omitted to the extent necessary to 
prevent a clearly unwarranted invasion of personal privacy or to the 
extent they otherwise contain material considered nonpublic under the 
Freedom of Information Act and the Commission's rules implementing that 
Act.
    b. Information in these files may be used as a reference in 
responding to later inquiries from the same party, in following up on 
earlier correspondence involving the same person, or when another 
person raises the same or similar issues.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records in file folders. Electronic records, including 
computer files, are stored on the Commission's network, including 
desktop applications and e-mail files. The redacted outgoing letter is 
maintained electronically on a shared drive.

RETRIEVABILITY:
    The Division of Clearing and Intermediary Oversight has tracking 
systems in place. A division-wide database maintains information on all 
projects, including requests for exemptive, no-action and interpretive 
letters, and is completely searchable. In addition, each section within 
the Division of Clearing and Intermediary Oversight may maintain its 
own tracking system for requests that preceded the implementation of 
the division-wide system. Public copy files in the Office of the 
Secretariat and the Office of Public Affairs are filed by the name of 
the requester, even if another party makes the request on behalf of the 
requester.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

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

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Clearing and Intermediary Oversight; 
Secretary to the Commission, Office of the Secretariat; and Director, 
Office of Public Affairs at Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals, corporations, limited liability companies, other 
business organizations, or representatives seeking interpretations of, 
exemptions from, or no-action opinions on the provisions of the 
Commodity Exchange Act or Commission rules.
CFTC-14

SYSTEM NAME:
    Commodity Futures Trading Commission Alumni Records.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Former employees of the Commission, and those who worked as 
contractors or were engaged in duties at the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains information regarding former employees of the 
Commission including their names, position titles, office address and 
telephone number, and with the approval of the individual, home and/or 
business address, home and/or business telephone number, e-mail 
address, and other relevant data needed to keep in contact with the 
individual. This system will also contain similar information regarding 
contractors and other who were engaged in duties at the Commission.

[[Page 5986]]

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

PURPOSE:
    The records are used by Commission staff to maintain contact with 
former Commission employees and others involved in Commission business. 
These records may be used to notify individuals of Commission events.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, AND DISPOSING OF 
RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network and 
other electronic media as needed.

RETRIEVABILITY:
    Records may be retrieved by the name or e-mail address of the 
individual.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, required use of strong 
passwords frequently changed, use of encryption for certain data types 
and transfers, and regular review of security procedures and best 
practices to enhance security. Physical measures include restrictions 
on building access to authorized individuals and maintenance of records 
in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    Information is retained until revised or deleted in accordance with 
General Records Schedule 13, Item 4b.

SYSTEM MANAGER AND ADDRESS:
    Deputy Director, Office of Management Operations, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals about whom the records are maintained. Information will 
predominately be obtained directly from the individual in response to 
the Commission's request to have alumni respond regarding Commission 
events.
CFTC-15

SYSTEM NAME:
    Large Trader Report Files (Integrated Surveillance System).

SYSTEM LOCATION:
    This system is located in the Division of Market Oversight, in the 
Commission's principal office at Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; 
and in the regional offices at in Chicago at 525 West Monroe Street, 
Suite 1100 Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, 
New York, NY 10005.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals holding reportable positions as defined in 17 CFR Parts 
17, 18 and 19.

CATEGORIES OF RECORDS IN THE SYSTEM:
    1. Reports filed by the individual holding the reportable position:
    a. Statements of Reporting Trader (CFTC Form 40) contains 
information described in part 18 of the Commission's rules and 
regulations, including the name, address, number, and principal 
occupation of the reporting trader, financial interest in and control 
of commodity futures accounts, and information about the trader's 
business associations;
    b. Large trader reporting contains information described in part 18 
of the Commission's rules and regulations, including the trader's 
identifying number, previous open contracts, trades and deliveries that 
day, open contracts at the end of the day, and classification as to 
speculation or hedging (available on a non-routine basis by special 
call);
    c. Large trader reporting form (Series 04 Form). Contains 
information described in part 19 of the Commission's rules and 
regulations, to be filed by merchants, processors and dealers in 
commodities that have Federally imposed speculative position limits. 
Includes trader's identifying number, stocks owned, fixed price sale 
and purchase commitments. These reports are filed in the Commission 
office in the city where the reporting trader is located. If there is 
no Commission office in that city, the reports are filed according to 
specific instructions of the Commission.
    2. Reports to be filed by futures commission merchants, members of 
contract markets, foreign brokers and, for large option traders, by 
contract markets.
    a. Identification of ``Special Accounts'' (CFTC Form 102). Contains 
material described in part 17 of the Commission's rules and 
regulations. Includes the name, address, and the occupation of a 
customer whose accounts have reached the reporting level. Also includes 
the account number that the futures commission merchant uses to 
identify this customer on the firm's 01 report (see next paragraph), 
and whether the customer has control of or financial interest in 
accounts of other traders.
    b. Large trader reporting form (Series 01 Form). Contains material 
described in part 17 of the Commission's rules and regulations, for 
each ``special account.'' Shows customer account number, reportable 
position held in each commodity future and option, and information 
concerning deliveries and exchanges of futures for physicals by 
individuals with reportable positions.
    3. Computer records prepared from information on the forms 
described in items (1) and (2) above.
    4. Correspondence and memoranda of telephone conversations between 
the Commission and the individual or between the Commission and other 
agencies dealing with matters of official business concerning the 
individual.
    5. Other miscellaneous information, including intra-agency 
correspondence and memoranda concerning the individual and documents 
relating to official actions taken by the Commission against the 
individual.
    6. Reports of Positions and Transactions of Clearing Member Firms. 
Information is provided in electronic transmission and is readable on 
the Internet and contains the data prescribed in section 16 of the 
Commission's regulations. The information includes an identification 
number for each clearing member, open contracts at the firm for 
proprietary and customer accounts and transactions such as trades, 
exchanges of futures for physicals, delivery notices issued and 
received, and transfers and option exercises. The information is filed 
in the

[[Page 5987]]

city where the exchange is located or as instructed by the Commission.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections 
4g, 4i, and 8 of that Act, at 7 U.S.C. 6g, 6i and 12, and the rules and 
regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Information concerning traders and their activities may be 
disclosed and made public by the Commission to the extent permitted by 
law when deemed appropriate to further the practices and policies of 
the Commodity Exchange Act.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF THE RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, loose-leaf binders and 
similar paper filing methods, and electronic records, including 
computer files and the Integrated Surveillance System, are stored on 
Commission's network and other electronic media as needed.

RETRIEVABILITY:
    CFTC Form 40, CFTC Form 102, correspondence and other miscellaneous 
information are maintained directly under the name of the reporting 
trader. The series 01 and 04 forms are maintained by identifying code 
number. However, information from these forms is included in the 
computer and retrievable by individual identifier.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Further, access to these records is limited to those 
individuals whose official duties require access, through security 
features built into the Integrated Surveillance System. Physical 
measures include restrictions on building access to authorized 
individuals and maintenance of records in lockable offices and filing 
cabinets.

RETENTION AND DISPOSAL:
    CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are 
retained on the premises until the account has been inactive for five 
years and are then destroyed. Form 01 and 04 reports are maintained for 
six months on the premises and then held in offsite storage for five 
years before being destroyed. The computer file is maintained for ten 
years for Form 01 and 04. Clearing member positions and transactions 
are maintained for three years. Trader code numbers and related 
information are maintained for five years after a trader becomes non-
reportable. Account numbers assigned by an futures commission merchant 
are maintained on the system for one year after the account is no 
longer reported.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief, Market Surveillance Section, Division of Market Oversight, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581; and Surveillance Branch Chiefs in 
the regional offices in Chicago at 525 West Monroe Street, Suite 1100 
Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York, 
NY 10005.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The individual on whom the record is maintained and futures 
commission merchants through whom the individual trades. Correspondence 
and memoranda prepared by the Commission or its staff. Correspondence 
from firms, agencies, or individuals requested to provide information 
on the individual.
CFTC-16

SYSTEM NAME:
    Enforcement Case Files.

SYSTEM LOCATION:
    This system is located in the Division of Enforcement in the 
Commission's principal office at Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, 
and in the Division of Enforcement in the regional offices in Chicago 
at 525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City 
at Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and 
New York at 140 Broadway, 19th Floor, New York, NY 10005.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    a. Individuals or firms against whom the Commission has taken 
enforcement action based on violations of the Commodity Exchange Act or 
the rules and regulations promulgated thereunder.
    b. Individuals whom the Commission staff has identified as relevant 
to an enforcement investigation, such as complainants, witnesses and 
counsel.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Copies of various public papers filed by or with the Commission or 
the courts in connection with administrative proceedings or injunctive 
actions brought by the Commission. Records include, at a minimum, a 
copy of the complaint, motions filed, exhibits and the final decision, 
and order.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    These files are necessary for the orderly and effective conduct of 
litigation authorized under the Commodity Exchange Act and other 
Federal statutes. The Commodity Exchange Act, 7 U.S.C. 1 et seq., 
including section 6c of that Act at 7 U.S.C. 13a-1, section 6(c) of 
that Act at 7 U.S.C. 9, and the rules and regulations promulgated 
thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders, computer files 
(eLaw) and computer disks. Electronic records, including computer 
files, are stored on the Commission's network and on various other 
electronic media as needed, such as encrypted hard drives. A summary 
index of material is also stored on the computer network.

[[Page 5988]]

RETRIEVABILITY:
    By case title or in some instances by docket number.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    After an action is complete, the complaint and any final decision 
or dispositive orders are kept indefinitely at the headquarters office. 
Most case files are destroyed after 15 years; unique, precedent-setting 
cases are offered to the National Archives and Records Administration 
for permanent retention after 20 years.

SYSTEM MANAGER AND ADDRESS:
    Director, Division of Enforcement, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581 and Regional Counsels in the regional offices: in Chicago at 
525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City at 
Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and in 
New York at 140 Broadway, 19th Floor, New York, NY 10005.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The parties, their attorneys, the Commission's Office of 
Proceedings, the relevant court, and miscellaneous sources.
CFTC-17

SYSTEM NAME:
    Litigation Files--OGC.

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

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

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1, et seq., and the rules and 
regulations promulgated pursuant to the Commodity Exchange Act, entrust 
the Commission with broad regulatory responsibilities over commodity 
futures transactions. In this connection, the Commission is authorized 
to bring both administrative proceedings and injunctive actions where 
there appear to have been violations of the Act. Furthermore, to 
effectuate the purposes of the Act, it is necessary that the Commission 
staff be familiar with developments in other actions brought by others 
that have implications in the commodity law areas.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The information in these files is generally a matter of public 
record and may be disclosed without restriction. Information in this 
system may be disclosed in accordance with the blanket routine uses 
numbered 1 through 19 that appear at the beginning of the Commission's 
compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, binders, computer files 
(eLaw) and computer disks. Electronic records, including computer 
files, are stored on the Commission's network and on various other 
electronic media as needed, such as encrypted hard drives.

RETRIEVABILITY:
    Alphabetically by caption of the case.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

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

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

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

[[Page 5989]]

should address written inquiry to the Office of General Counsel, 
Paralegal Specialist, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. 
Telephone (202) 418-5011.

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

SYSTEM NAME:
    Logbook on Speculative Limit Violations.

SYSTEM LOCATION:
    This system is located in the Division of Market Oversight, in the 
Commission's principal office at Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581; 
and is accessible in the regional offices in Chicago at 525 West Monroe 
Street, Suite 1100, Chicago, IL 60661; and New York at 140 Broadway, 
19th Floor, New York, NY 10005.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have exceeded and who have potentially exceeded 
speculative limits in a particular fiscal year.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records consist of a sequential listing, by year, of the 
possible violations and confirmed violations of speculative limits 
imposed by the Commission and the exchanges. The logbook records the 
date notification is sent to traders and/or exchanges, the due date for 
reply and the date the response is received. It includes the trader's 
name and assigned trader ID, the commodity (code) involved, and the 
type of violation. Copies of referral letters, warning letters and 
replies pertaining to the violation listed are scanned and become part 
of the electronic record.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections 
4i and 8 of that Act at 7 U.S.C. 6i and 12, and the rules and 
regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders. Electronic records, 
including computer files, are stored on the Commission's network and in 
other electronic media as needed.

RETRIEVABILITY:
    By any of the available data fields as noted above under 
``Categories of Records in the System,'' e.g., trader's name and 
assigned trader ID, the commodity (code) involved, the type of 
violation, and dates for tracking referral letters, other 
correspondence and reports.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Files are destroyed five years after the end of the fiscal year 
that the records covered.

SYSTEM MANAGER(S) AND ADDRESS:
    Market Surveillance Market Information Group Management in the 
regional offices in Chicago at 525 West Monroe Street, Suite 1100 
Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York, 
NY 10005.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Large Trader reports filed by reporting firms and reporting 
markets. Correspondence prepared by the Commission or by the individual 
or individual's representative.
CFTC-20

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

SYSTEM LOCATION:
    This system is located at the National Futures Association (NFA), 
300 South Riverside, Suite 1800, Chicago, IL 60606.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have applied or who may apply for registration as 
futures commission merchants, introducing brokers, commodity pool 
operators, commodity trading advisors, leverage transaction merchants 
and agricultural trade option merchants (ATOMs); individuals listed or 
who may be listed as principals (as defined in 17 Part CFR 3.1); 
individuals who have applied or who may apply for registration as 
associated persons of the foregoing firms; and floor brokers and floor 
traders.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to the registration and fitness of the 
above-described individuals, except ATOMs, to engage in business 
subject to the Commission's jurisdiction. Information on ATOMs includes 
only the names and registration status of ATOMs and their associated 
persons. The system includes registration forms, schedules, and 
supplements; correspondence relating to registration; and reports and 
memoranda reflecting information developed from various sources.
    Computerized systems, consisting primarily of information taken 
from the registration forms, are maintained by NFA. Computer records 
include the name, date and place of birth, social security number 
(optional), exchange trading privileges (floor brokers and floor 
traders only), firm affiliation, and the residence or business address, 
or both, of each associated person, floor broker, floor trader and 
principal. Computer records also include information relating to name, 
trade name, principal office address, records

[[Page 5990]]

address, names of principals and branch managers of futures commission 
merchants, introducing brokers, commodity pool operators, commodity 
trading advisors, leverage transaction merchants, and ATOMs.
    Firm directories, business address, telephone number, registration 
category, and effective date of registration of futures commission 
merchants, introducing brokers, commodity pool operators and commodity 
trading advisors may be sold to the public by the NFA. These 
directories provide registration forms and biographical supplements, 
except for any confidential information on supplementary attachments to 
the forms, are publicly available for disclosure, inspection and 
copying.

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

ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
    a. Information contained in this system of records may be disclosed 
to any person with whom an applicant or registrant is or plans to be 
associated as an associated person or affiliated as a principal.
    b. Information contained in this system of records may be disclosed 
to any registered futures commission merchant with whom an applicant or 
registered introducing broker has entered or plans to enter into a 
guarantee agreement in accordance with Commission regulation at 17 CFR 
Part 1.10.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and binders. Electronic 
information, including computer files, are stored on the Commission's 
network, in the NFA Online Registration System (ORS)), microfiche and 
various other electronic media as needed.

RETRIEVABILITY:
    By the name of the individual or firm, or by assigned 
identification number. Where applicable, the NFA's computer cross-
indexes the individual's primary registration file to the name of the 
futures commission merchant, introducing broker, commodity trading 
advisor, commodity pool operator, leverage transaction merchant or ATOM 
with whom the individual is associated or affiliated.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Since 2002, registration application records have primarily been 
managed electronically through ORS. ORS electronic records are 
maintained indefinitely, and are updated periodically as long as the 
individual has a registration application pending, is registered in any 
capacity, or is affiliated with any registrant in any capacity. ORS 
records on individuals who may apply are maintained indefinitely.
    Hard copy records generated prior to 2002 are also maintained 
indefinitely, as is an electronic index and summary of these hard copy 
records.

SYSTEM MANAGER(S) AND ADDRESS:
    Vice President for Registration, National Futures Association 
(NFA), 300 South Riverside, Suite 1800, Chicago, IL 60606.

NOTIFICATION PROCEDURE:
    Individuals may also request registration information by telephone 
from the NFA information center at (800) 621-3570 or (312) 781-1410. 
Inquiries can also be made to NFA by fax at (312) 781-1459 or via e-
mail at [email protected]. NFA will query the ORS system 
about current registration status and registration and disciplinary 
history, and will provide instructions on how to make written requests 
for copies of records. The Internet may be used to obtain information 
on current registration status and futures-related regulatory actions 
at http://www.nfa.futures.org by selecting ``BASIC.''

RECORD SOURCE CATEGORIES:
    The individual or firm on whom the record is maintained; the 
individual's employer; and other miscellaneous sources. The computer 
records are prepared from the forms, supplements, attachments and 
related documents submitted to the NFA.
CFTC-28

SYSTEM NAME:
    Self-Regulatory Organization Disciplinary Action Files.

SYSTEM LOCATION:
    This system is located in the Division of Market Oversight, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581; in the regional offices in Chicago at 
Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL 60661 and New 
York at 140 Broadway, 19th Floor, New York, NY 10005; and at the 
National Futures Association (NFA), 300 South Riverside, Suite 1800, 
Chicago, IL 60606.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have been suspended, expelled, disciplined, or 
denied access to or by a self-regulatory organization (SRO).

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    44 U.S.C. 3101; the Commodity Exchange Act, 7 U.S.C. 1 et seq., 
including Section 8c(a)(1) of the Commodity Exchange Act, at 7 U.S.C.

[[Page 5991]]

12c(a)(1), and the rules and regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and binders. Electronic 
information, including computer files, is stored on the Commission's 
network, the NFA Website/BASIC, and other electronic media as needed.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Records are retained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy Director, Division of Market Oversight, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581; Surveillance Branch Chiefs in the regional 
offices in Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL 
60661 and New York at 140 Broadway, 19th Floor, New York, NY 10005; and 
Vice President for Registration, National Futures Association, 300 
South Riverside, Suite 1800, Chicago, IL 60606.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Self-regulatory organizations notifying the Commission of 
disciplinary or other adverse actions taken.
CFTC-29

SYSTEM NAME:
    Reparations Cases Closed in the Complaints Section.

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

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Reparations complaints, answers, supporting documentation and 
correspondence filed with the Office of Proceedings. If the complaint 
is forwarded for decision by an administrative law judge or judgment 
officer, records become part of CFTC-3, Docket Files for Reparations 
and Administrative Adjudication.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section 
14 of the Commodity Exchange Act, at 7 U.S.C. 18; 44 U.S.C. 3101, and 
the rules and regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders, manual and paper docket 
cards; electronic records, including computer files, are stored on the 
Commission's network and other electronic media as needed.

RETRIEVABILITY:
    By docket number and cross-indexed by the name of the complainant 
and respondent.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    The records are maintained for ten years after the case is closed, 
except that complaints, decisions, and Commission opinions and orders, 
are retained permanently. Records concerning reparations complaints 
that are not accepted are maintained for three years.

SYSTEM MANAGER(S) AND ADDRESS:
    Futures Trading Specialist, Complaints Section, Office of 
Proceedings, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals filing reparations complaints or answers.
CFTC-30

SYSTEM NAME:
    Open Commission Meetings.

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

[[Page 5992]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are the subject of discussion at a Commission 
meeting open for public observation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to the individuals who are the subject of 
discussion at an open Commission meeting.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity 
Exchange Act, 7 U.S.C. 1 et seq., and rules and regulations promulgated 
thereunder, including Commission regulations at 17 CFR Part 147.7.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The information in these files is a matter of public record and may 
be disclosed without restriction. Information in this system may also 
be disclosed in accordance with the blanket routine uses numbered 1 
through 19 that appear at the beginning of the Commission's compilation 
of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network, in 
desktop applications and CommMinutes. Information is also stored on 
microfiche, in audiocassette tapes, CDs and DVDs.

RETRIEVABILITY:
    These records that include recordings, transcripts, and minutes of 
all Commission meetings are organized and retrieved either by year in 
chronological order or by the names of the individuals, firms, 
exchanges, or other topics that are discussed at the meetings.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Maintained on the Commission premises for at least the statutory 
period required by the Sunshine Act and Commission regulations (at 
least two years after each meeting or at least one year after the 
conclusion of any agency proceeding with respect to which the meeting 
or portion of the meeting was held, whichever is later); transferred to 
the National Archives as permanent records when 20 years old.

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

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether this system of records 
contains information about themselves, seeking access to records about 
themselves in this system of records, or contesting the content of 
records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The staff in one or more Divisions generates the information 
recorded during Commission meetings concerning individuals who are the 
subject of discussion at the meetings. The indices are prepared from 
the recordings, transcripts and/or minutes.
CFTC-31

SYSTEM NAME:
    Closed Commission Meetings (exempted).

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are the subject of discussion at a closed 
Commission meeting.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information pertaining to individuals who are the subject of 
discussion at a closed Commission meeting. This information consists of 
(a) investigatory materials compiled for law enforcement purposes whose 
disclosure the Commission has determined could impair the effectiveness 
and orderly conduct of the Commission's regulatory, enforcement and 
contract market surveillance programs or compromise Commission 
investigations, or (b) investigatory materials compiled solely for the 
purpose of determining suitability, eligibility, or qualifications for 
employment with the Commission to the extent that it identifies a 
confidential source.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity 
Exchange Act, 7 U.S.C. 1 et seq., and the rules and regulations 
promulgated thereunder, including Commission regulations at 17 CFR Part 
147.7.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network, in 
desktop applications and CommMinutes, and other electronic media as 
needed. Information is also stored on microfiche, in audiocassette 
tapes, CDs and DVDs.

RETRIEVABILITY:
    These records that include recordings, transcripts, and minutes of 
all Commission meetings are organized and retrieved either by year in 
chronological order or by the name of the individuals, firms, 
exchanges, or other topics discussed at the meetings.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and

[[Page 5993]]

maintenance of records in lockable offices and filing cabinets.

RETENTION AND DISPOSAL:
    Maintained on the Commission premises for at least the statutory 
period required by the Sunshine Act and Commission regulations (at 
least two years after each meeting or at least one year after the 
conclusion of any agency proceeding with respect to which meeting was 
held, whichever is later); transferred to the National Archives as 
permanent records when 20 years old.

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

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The records in this system have been exempted by the Commission 
from certain provisions of the Privacy Act of 1974 pursuant to the 
terms of the Privacy Act, 5 U.S.C. 552a, and the Commission's rules 
promulgated thereunder, 17 CFR Part 146.12. These records are exempted 
from the notification procedures, record access procedures and record 
contest procedures set forth in the system notices of other record 
systems, and from the requirement that the source of records in the 
system be described.
CFTC-32

SYSTEM NAME:
    Office of the Inspector General Investigative Files (exempted).

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are part of an investigation of fraud and abuse 
concerning Commission programs or operations.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Commodity Exchange Act, 7 U.S.C. 1 et seq., and regulations, rules 
or orders issued thereunder; Public Law 95-452, as amended, 5 U.S.C. 
App. 3.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. The information in the system may be disclosed by the Commission 
in any administrative proceeding before the Commission, in any 
injunctive action, or in any other action or proceeding authorized 
under the Commodity Exchange Act or the Inspector General Act of 1978 
in which the Commission or any member of the Commission or its staff 
participates as a party or the Commission participates as amicus 
curiae.
    b. In any case in which records in the system indicates a violation 
or potential violation of law, whether civil, criminal or regulatory in 
nature, whether arising by general statute or particular program 
statute, or by regulation, rule or order issued pursuant thereto, the 
relevant records may be referred to the appropriate agency, whether 
Federal, foreign, State or local, charged with enforcing or 
implementing the statute, regulation, rule or order.
    c. In any case in which records in the system indicate a violation 
or potential violation of law, whether civil, criminal or regulatory in 
nature, the relevant records may be referred to the appropriate board 
of trade designated as a contract market by the Commission or to the 
appropriate futures association registered with the Commission, if the 
Office of the Inspector General has reason to believe this will assist 
the contract market or registered futures association in carrying out 
its self-regulatory responsibilities under the Commodity Exchange Act, 
7 U.S.C. 1 et seq., and regulations, rules or orders issued pursuant 
thereto, and such records may also be referred to any national 
securities exchange or national securities association registered with 
the Securities and Exchange Commission, to assist those organizations 
in carrying out their self-regulatory responsibilities under the 
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., and 
regulations, rules or orders issued pursuant thereto.
    d. The information may be given or shown to anyone during the 
course of an Office of the Inspector General (OIG) investigation if the 
staff has reason to believe that disclosure to the person will further 
the investigation. Information may also be disclosed to Federal, 
foreign, State or local authorities in order to obtain information or 
records relevant to an OIG investigation.
    e. The information may be given to independent auditors or other 
private firms with which the OIG has contracted to carry out an 
independent audit, or to collate, aggregate or otherwise refine data 
collected in the system of records. These contractors will be required 
to maintain Privacy Act safeguards with respect to such records.
    f. The information may be disclosed to a Federal, foreign, State or 
local government agency where records in either system of records 
pertain to an applicant for employment, or to a current employer of 
that agency where the records are relevant and necessary to an agency 
decision concerning the hiring or retention of an employee or 
disciplinary or other administrative action concerning an employee.
    g. The information may be disclosed to a Federal, foreign, State, 
or local government agency in response to its request in connection 
with the issuance of a security clearance, the letting of a contract, 
or the issuance of a license, grant or other benefit by the requesting 
agency, to the extent that the information is relevant and necessary to 
the requesting agency's decision in the matter.
    h. The information may be disclosed to the Department of Justice or 
other counsel to the Commission for legal advice or to pursue claims 
and to government counsel when the defendant in litigation is (a) any 
component of the Commission or any member or employee of the Commission 
in his or her official capacity, or (b) the United States or any agency 
thereof.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network, 
including desktop applications, and other electronic media as needed.

RETRIEVABILITY:
    Investigative files are retrieved by the subject matter of the 
investigation or by case file number. An index provides a

[[Page 5994]]

cross-reference on individuals investigated.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets. These records are kept in limited access areas 
during duty hours and in file cabinets in locked offices at all other 
times. These records are available only to those individuals whose 
official duties require such access.

RETENTION AND DISPOSAL:
    The Office of the Inspector General Investigative Files and the 
index to the files are destroyed 20 years after the case is closed.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Information in these records is supplied by: Individuals including, 
where practicable, those to whom the information relates; witnesses, 
corporations and other entities; records of individuals and of the 
Commission; records of other entities; Federal, foreign, State or local 
bodies and law enforcement agencies; documents, correspondence relating 
to litigation, and transcripts of testimony; and miscellaneous other 
sources.

SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
    Under 5 U.S.C. 552a(j)(2), the Office of the Inspector General 
Investigative Files are exempted from 5 U.S.C. 552a except subsections 
(b), (c)(1), and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), 
and (11), and (i) to the extent the system of records pertains to the 
enforcement of criminal laws. Under 5 U.S.C. 552(k)(2), the Office of 
the Inspector General Investigative Files are exempted from 5 U.S.C. 
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) to the extent 
the system of records consists of investigatory material compiled for 
law enforcement purposes. These exemptions are contained at 17 CFR 
146.13.
CFTC-33

SYSTEM NAME:
    Electronic Access Card.

SYSTEM LOCATION:
    This system is located in the Office of Management Operations, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581, and regional offices in New York, 
Chicago, and Kansas City.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Authorized access cardholders in headquarters and regional offices, 
including Commission employees, onsite contractors, visitors, or 
representatives of landlords.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records showing name of assigned user, electronic access card 
number and card status (i.e., whether the card is active or inactive) 
are directly accessible by the Office of Management Operations 
(``OMO'') in the New York and Chicago regional offices, and by OMO upon 
request to the landlord in the headquarters and Kansas City regional 
office. These records are used to verify that cards have been activated 
and deactivated correctly.
    Records showing name of assigned user, electronic access card 
number, card status and card activity (i.e., the time and location of 
access card use by access card user) are directly accessible by OMO in 
the New York and Chicago regional offices, and by OMO upon request to 
the landlord in the headquarters and Kansas City regional office. Such 
records are only accessed and used by the Commission to investigate 
security incidents, such as thefts or inappropriate access to secure 
files.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section 
12(b)(3) of the Act, at 7 U.S.C. 16(b)(3), and rules and regulations 
promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Information contained in this system may be disclosed by the 
Commission to any person in connection with architectural, security or 
other surveys concerning use of office space.
    b. Information contained in this system may be disclosed to any 
person for their use of maintenance or service of data processing 
systems.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders; electronic records, 
including computer files, are stored on the Commission's network, 
including desktop applications, and other electronic media as needed. 
Various reports are generated from the computer system.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets. In the headquarters office, these records may be 
requested from the Commission's landlords' databases only by the 
Director of the Office of Management Operations, or his/her designee, 
and the CFTC maintains all access card usage records in limited access 
areas at all

[[Page 5995]]

times. In the regional offices, access card information is maintained 
in a locked area, with access restricted to staff members of the Office 
of Management Operations.

RETENTION AND DISPOSAL:
    In accordance with the General Record Schedules, the records in the 
system are considered temporary and are destroyed six months after the 
user turns in the access card. Paper records are destroyed when no 
longer required or after two years, whichever is shorter.

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

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiry to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011. The system of records and the 
notification, access and challenge procedures apply only to records of 
access card usage in the Commission's actual possession. None of these 
applies to any information solely in a landlord's possession.

RECORD RESOURCE CATEGORIES:
    The Commission's landlords in headquarters and the regional offices 
provide information on name of assigned user, access card number, 
access level, and status on a weekly basis or as needed.
CFTC-34

SYSTEM NAME:
    Telecommunications Services (BlackBerry or Calling Card).

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Commission employees and contractor personnel who are issued either 
a Blackberry or Calling Card.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Calling Card numbers, BlackBerry numbers and the individuals to 
whom they are assigned.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVEING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Calling Card records are stored in a spreadsheet file. BlackBerry 
records are stored in a database file. Both files are located on a file 
server on the Commission's network in the headquarters office.

RETRIEVABILITY:
    Records are retrievable by employee name, BlackBerry telephone 
number, or calling card number.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    A BlackBerry record is cancelled when a device is reassigned to 
another user. A Calling Card and its record are cancelled when the card 
is returned to the Office of Information and Technology Services.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

RECORD SOURCE CATEGORIES:
    BlackBerry and Calling Card assignment records.
CFTC-35

SYSTEM NAME:
    Interoffice and Internet E-mail.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All Commission employees and authorized contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the use of the interoffice and Internet e-mail system, 
including the mailbox name, number of objects in the mailbox, and 
aggregate size of the mailbox.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including 
Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3), 
and rules and regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USER AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on the mail servers on the computer network in 
each Commission location. Records also may be stored on other 
electronic media as needed, such as encrypted hard drives.

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

[[Page 5996]]

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.
    Network administrators have access to the e-mail information, 
including the ``header'' information described under ``Categories of 
Records.'' In addition, the mailbox owner can grant access to objects 
in the mailbox to others.

RETENTION AND DISPOSAL:
    Records are retained on the Commission's computer mail servers 
until the sender and receiver delete the information from the e-mail 
system, except to the extent the records are archived for back-up or 
disaster recovery purposes. Archived records are retained on the 
Commission's network file servers or other electronic media as needed 
until overwritten through standard archive/back-up and deletion 
procedures. Internet e-mail information that is received by the 
postmaster due to an error in delivery is considered temporary and is 
destroyed after the problem is corrected. When an employee leaves the 
Commission, the employee's mailbox is deleted unless the employee or 
the employee's administrative officer requests that the mailbox be 
retained in order to recover work-related information, or unless the 
employee's e-mail is relevant to pending or anticipated litigation or 
an investigation.

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

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

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

SYSTEM NAME:
    Internet Security Gateway Systems (Firewall, Web Content Filter, 
and E-mail Filter).

SYSTEM LOCATION:
    This system is located in the Office of Information and Technology 
Services, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street, NW., Washington, DC 20581 and in the Chicago Regional 
Office, 525 West Monroe Street, Suite 1100, Chicago, IL 60661.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records on the Web sites accessed and inbound e-mail received, as 
identified by the Internet protocol address assigned to each computer, 
as well as information on the date and time of the Web site that was 
accessed or e-mail that was received, including a record of the sender 
of the e-mail.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including 
Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3), 
and rules and regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are kept and maintained on the Internet Security Gateway 
Systems servers in the DC headquarters and Chicago Regional Office 
computer rooms.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Access to the Internet Security Gateway Systems is password-
protected information that is stored on servers in the DC headquarters 
and Chicago Regional Office computer rooms. Physical measures include 
restrictions on building access to authorized individuals and 
maintenance of records in lockable offices and filing cabinets.
    Access to the computer room is limited to certain employees of the 
Office of Information and Technology Services.

RETENTION AND DISPOSAL:
    Because these records are routinely overwritten through standard 
procedures, the length of time of storage on the Internet Security 
Gateway Systems servers is governed by available disk space on the 
server. Records are generally overwritten in less than one (1) year.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

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

SYSTEM NAME:
    Lexis/Westlaw Billing Information System.

[[Page 5997]]

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All Commission employees and onsite contractors who are users of 
the Lexis/Westlaw research system.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including 
Section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3), and 
rules and regulations promulgated thereunder.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are accessed by Commission staff through the Commission's 
network, including its electronic billing system (MarkView), and may be 
copied by authorized Commission staff to the Commission's computer 
network. The records are stored on the network of the Department of 
Transportation, the organization contractually obligated to support the 
Commission's electronic billing system. When printed, the records are 
stored in a lockable file cabinets.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Records are retained indefinitely in electronic form, while hard 
copies are destroyed when no longer useful to the Commission employee 
reviewing them.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records, or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

RECORD SOURCE CATEGORIES:
    Lexis/Westlaw billing information.
CFTC-38

SYSTEM NAME:
    Automated Library Circulation System.

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

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on the Commission network (Horizon Integrated 
Library System [ILS]). Records on the identifying bar codes assigned to 
individuals are also stored on the network.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets. Employees may access their own records. Only 
authorized Commission staff members, who are principally staff of the 
Library or the Office of Information and Technology Services, may 
access records of all employees.

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

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

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

[[Page 5998]]

content of records about themselves should address written inquiries to 
the Office of General Counsel, Paralegal Specialist, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., 
Washington, DC 20581. Telephone (202) 418-5011.

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

SYSTEM NAME:
    Freedom of Information Act Requests.

SYSTEM LOCATION:
    This system is located in the Office of General Counsel, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581. Other offices involved in the processing of 
requests may also maintain copies of the requests and any related 
internal administrative records.

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and on microfiche; 
electronic records, including computer files, are stored on the 
Commission's network, e.g., desktop applications and RequestTracking, 
and on other electronic media as needed.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

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

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    Individuals requesting information from the Commission pursuant to 
the FOIA and employees processing the requests.
CFTC-40

SYSTEM NAME:
    Privacy Act Requests.

SYSTEM LOCATION:
    This system is located in the Office of General Counsel, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581. Telephone (202) 418-5011. Copies of the 
requests and any related internal administrative records may also be 
maintained by other offices involved in the processing of requests.

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and on microfiche; 
electronic records, including computer files, are stored on the 
Commission's network, e.g., desktop applications and RequestTracking, 
and on other electronic media as needed.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

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

SYSTEM MANAGER(S) AND ADDRESS:
    Paralegal Specialist, Office of General Counsel, Commodity Futures 
Trading

[[Page 5999]]

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

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

SYSTEM NAME:
    Requests for Confidential Treatment.

SYSTEM LOCATION:
    This system is located in the Office of General Counsel, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, 
NW., Washington, DC 20581. A copy of the request may also be kept by 
the office receiving the document for which confidential treatment is 
being requested.

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders and on microfiche; 
electronic records, including computer files, are stored on the 
Commission's network, e.g., desktop applications and Contreat2003, and 
on other electronic media as needed.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

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

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves or seeking access to records 
about themselves in this system of records, or contesting the content 
of records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

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

SYSTEM NAME:
    Debt Collection Files.

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

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USERS:
    a. Information regarding the debt and the actions taken to collect 
the monies may be disclosed to the Department of the Treasury or the 
Department of Justice for further collection action. Once the records 
are forwarded to the Department of the Treasury, they are covered by 
the Treasury/Financial Management Services System 014, Debt Collection 
Operations. If the records are forwarded to the Department of Justice, 
they are covered by the Department's system JMD-006, Debt Collection 
Management System.
    b. Information about the delinquent debt may be disclosed to 
consumer or commercial reporting agencies as required by 31 U.S.C. 
3711(e). Reporting may be done directly by the Commission or through 
the Department of the Treasury upon referral of the delinquent debt for 
further collection action.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning

[[Page 6000]]

of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are stored in file folders. Electronic records, 
including computer files, are stored on the Commission's network and on 
various other electronic media as needed, including eLaw (Practice 
Manager) and DOT Delphi Financial System.

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

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. Physical measures include restrictions on building access to 
authorized individuals and maintenance of records in lockable offices 
and filing cabinets.

RETENTION AND DISPOSAL:
    Records are retained and disposed in accordance with General 
Records Schedule 6 of the National Archives and Records Administration.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether the system of records 
contains information about themselves, seeking access to records about 
themselves in the system of records or contesting the content of 
records about themselves should address written inquiries to the Office 
of General Counsel, Paralegal Specialist, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. Telephone (202) 418-5011.

RECORD SOURCE CATEGORIES:
    Commission orders, judicial orders, debtors, credit reports from 
commercial credit bureaus, asset search databases, Department of the 
Treasury, Department of Justice.
CFTC-43

SYSTEM NAME:
    Visitor Information System.

SYSTEM LOCATION:
    The system is located in the Office of the Executive Director, 
Office of Management Operations, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Visitors to the Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information from personal identity records, such as driver's 
license, passport, or Federal/Military ID; the number of the printed 
badge issued; location, date, and time of entry; company affiliation of 
visitor; name and phone number of the employee visited; and the purpose 
of the visit.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Federal Property and Administrative Services Act of 1949 (63 
Stat. 377), as amended; Homeland Security Presidential Directive 12 
(HSPD-12), Policy for a Common Identification Standard for Federal 
Employees and Contractors, August 27, 2004.

PURPOSE:
    The purpose of this information is to verify the identity of 
visitors in order to protect the employees and property of the 
Commission, verify that visitors entering the property are authorized 
to do so, and track the time, date, and location of the visitor so 
that, in the event of emergency, the agency can account for all the 
people in its space.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
    Information in this system may be disclosed in accordance with the 
blanket routine uses numbered 1 through 19 that appear at the beginning 
of the Commission's compilation of its systems of records notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS, 
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Computer records are stored in a stand-alone database. Paper 
reports from the system are kept in a locked file.

RETRIEVABILITY:
    By date and by visitor name.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative, technical and physical security measures. 
Technical security measures within CFTC include restrictions on 
computer access to authorized individuals, strong passwords frequently 
changed, use of encryption for certain data types and transfers, and 
regular review of security procedures and best practices to enhance 
security. The visitor database is a stand-alone database, not 
accessible through the CFTC network, and is password protected. 
Physical measures include restrictions on building access to authorized 
individuals and maintenance of records in lockable offices and filing 
cabinets. Written reports are kept in a locked file with limited key 
access.

RETENTION AND DISPOSAL:
    Records will be retained for three months and then destroyed.

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

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves, or seeking access to records 
about themselves in the system of records, or contesting the content of 
records about themselves contained in this system of records should 
address written inquiry to the Office of General Counsel, Paralegal 
Specialist, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011.

RECORD SOURCE CATEGORIES:
    The individual on whom the record is maintained.
CFTC-44

SYSTEM NAME:
    Personnel Security Files.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who require regular, ongoing access to CFTC facilities, 
information technology systems, or information classified in the 
interest of national security, including applicants for Commission 
employment or

[[Page 6001]]

contracts, Commission employees, contractors of the Commission, 
students, interns, volunteers, individuals authorized to perform or use 
services provided in Commission facilities, and individuals formerly in 
any of these positions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may include any or all of the following, depending on the 
individual and his or her position: Resume, OF 306, and ``I-9'' 
documents, such as copies of driver's license, passport, and birth 
certificate, and similar documents.

    Note: This system of records does not include the Office of 
Personnel Management (OPM) background investigation report. An 
identical version of the investigation report is in the possession 
of the Commission, but is considered to be part of the OPM Central-
9, Personnel Investigations Records. For information on how to 
request access to the OPM Central-9, Personnel Investigations 
Records, please see the Note in the Records Access Procedures 
section of this notice.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Depending on the purpose of the investigation, the U.S. government 
is authorized to ask for this information under Executive Orders 10450, 
10865, 12333, 13526, and 13488; sections 3301 and 9101 of title 5, U.S. 
Code; sections 2165 and 2201 of title 42, U.S. Code; sections 781 to 
887 of title 50, U.S. Code; parts 5, 731, 732, and 736 of title 5, Code 
of Federal Regulations; and Homeland Security Presidential Directive 12 
(HSPD-12), Policy for a Common Identification Standard for Federal 
Employees and Contractors, August 27, 2004.

PURPOSE:
    The records in this system are used to verify identity and to 
facilitate background investigations by OPM.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
    Information in this system may be disclosed under the following 
conditions:
    a. Except as noted on Forms SF 85, 85-P, and 86, when a record on 
its face, or in conjunction with other records, indicates a violation 
or potential violation of law, whether civil, criminal, or regulatory 
in nature, and whether arising by general statute or particular program 
statute, or by regulation, rule, or order issued pursuant thereto, 
disclosure may be made to the appropriate public authority, whether 
Federal, foreign, State, local, or Tribal, or otherwise, responsible 
for enforcing, investigating or prosecuting such violation or charged 
with enforcing or implementing the statute, or rule, regulation, or 
order issued pursuant thereto, if the information disclosed is relevant 
to any enforcement, regulatory, investigative or prosecutorial 
responsibility of the receiving entity.
    b. Employment, Clearances, Contract, or Other Benefits Decision by 
an Organization other than the Commission--disclosure may be made to a 
Federal, State, local, foreign, or Tribal or other public authority of 
the fact that this system of records contains information relevant to 
the retention of an employee, the retention of a security clearance, or 
the letting of a contract. The other agency or licensing organization 
may then make a request supported by the written consent of the 
individual for the entire record if it so chooses. No disclosure will 
be made unless the information has been determined to be sufficiently 
reliable to support a referral to another office within the agency or 
to another Federal agency for criminal, civil, administrative, 
personnel, or regulatory action.
    c. National Security and Intelligence Matters--these records may be 
disclosed to Federal, State, local agencies, or other appropriate 
entities or individuals, or through established liaison channels to 
selected foreign governments, in order to enable an intelligence agency 
to carry out its responsibilities under the National Security Act of 
1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 
or any successor order, applicable national security directives, or 
classified implementing procedures approved by the Attorney General and 
promulgated pursuant to such statutes, orders or directives.
    Information in this system may also be disclosed in accordance with 
the blanket routine uses numbered 1 through 19 that appear at the 
beginning of the Commission's compilation of its systems of records 
notices.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS, 
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are maintained on paper. They are stored in a secure 
location in file folders and/or binders.

RETRIEVABILITY:
    Files are retrieved by name.

SAFEGUARDS:
    Records are protected from unauthorized access and improper use 
through administrative and physical security measures. Physical 
measures include restrictions on building access to authorized 
individuals and maintenance of records in lockable offices and filing 
cabinets. These records are kept in file folders in locked metal file 
cabinets in locked rooms at the headquarters office in the Office of 
Human Resources. Access to records is limited to approved security and 
administrative personnel who have a need for the information in the 
performance of their official duties.

RETENTION AND DISPOSAL:
    These records are retained and disposed of in accordance with 
General Records Schedule 18, item 22b.

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

NOTIFICATION PROCEDURE:
    An individual can determine if this system contains a record 
pertaining to him/her by sending a request in writing, signed, to the 
Office of General Counsel, Paralegal Specialist, Three Lafayette 
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202) 
418-5011. When requesting notification of, or access to, records 
covered by this Notice, an individual should provide his/her full name, 
date of birth, agency name, and work location. An individual requesting 
notification of records in person must provide identity documents, such 
as a government-issue photo ID, sufficient to satisfy the custodian of 
the records that the requester is entitled to access. Individuals 
requesting notification via mail or telephone must furnish, at a 
minimum, name, date of birth, social security number, and home address 
in order to establish identity.

    Note: For information on how to request access to the OPM 
Personnel Investigations Records which are part of the OPM Central-9 
system of records, please see the Note in the Records Access 
Procedures section of this notice.

RECORDS ACCESS PROCEDURES:
    Individuals wishing to request access to CFTC records about them 
should contact the system manager indicated above. Individuals must 
furnish their full name (first, middle, and last name) and birth date 
for their record to be located and identified. An individual requesting 
access must also follow CFTC Privacy Act requirements regarding 
verification of identity and amendment of records. Correspondence 
between the requester and OHR employees on the subject of any

[[Page 6002]]

background investigation and security adjudication may also be made 
available.

    Note: The CFTC may not provide an individual with access to his/
her OPM Personnel Investigations Records or to copies of OPM 
documentation of any background investigation conducted by OPM or 
contractors dealing with those investigations. These records, which 
are sent to the CFTC Personnel Security Office to allow adjudication 
of the request for security clearance, are owned by OPM and reside 
within the OPM Central-9 system of records. OPM is solely 
responsible for controlling access to, or amendment of, those 
records. Those seeking access to, or amendment, of those records 
owned by OPM should submit a request in writing to: FOI/P, Office of 
Personnel Management, Federal Investigative Services Division, P.O. 
Box 618, Boyers, PA 16018-0618. The signed request should be made 
under the Privacy Act of 1974 and include the requester's full name, 
home address, Social Security Number, and date and place of birth.

CONTESTING RECORD PROCEDURES:
    Individuals wishing to request amendment of their CFTC records 
should contact the system manager indicated above. Individuals must 
furnish their full name (first, middle, and last name) and birth date 
for the record to be located and identified. An individual requesting 
amendment must also follow the CFTC Privacy Act requirements regarding 
verification of identity and amendment of records. (Note: Individuals 
who wish to request amendment of their OPM Personnel Investigations 
Records should follow the requirements of the OPM Central-9 system of 
records. For information on how to submit such a request, please see 
the Note in the Records Access Procedures section of this notice.)

RECORD SOURCE CATEGORIES:
    Information is obtained from the individual.

    Issued in Washington, DC, on January 25, 2011.

    By the Commission.
David Stawick,
Secretary of the Commission.
[FR Doc. 2011-2133 Filed 2-1-11; 8:45 am]
BILLING CODE 6351-01-P